Andre Stevens
v. Horn,
2006 U.S. App. LEXIS 17043 (3rd Cir 7/6/2006)) The trial court
dismissed a juror who stated opposition to the death penalty instead of
inquiring in to whether she could set aside her views. "The trial judge
did not have enough information before him to conclude that she 'would
be unable to faithfully and impartially apply the law.'
Witt,
469 U.S. at 426. The state courts' finding of bias was not supported by
anything more than speculation and, accordingly, Stevens met his burden
of showing the constitutional violation by the requisite clear and
convincing evidence."
During voir dire prior to the
sentencing phase, the following colloquy
occurred between potential juror Nancy Hartling and the judge:
Judge:
Do you have an opinion about the death penalty which would prevent you
from following the Court's instructions as to what penalty should be
imposed?
Nancy Hartling: I don't believe in the death penalty.
Judge: Very well.
Prosecutor: Challenge for cause, Your Honor.
Judge [*20] : Very well. You are excused, thank you.
Stevens's
attorney did not object to the exclusion or seek in any way to
rehabilitate Hartling. Stevens argued in his habeas petition that the
removal of Hartling violated Witherspoon.
In Witherspoon, the Supreme Court held that a member of a jury
panel may not be excused for cause simply for "voic[ing] general
objections to the death penalty or express[ing] conscientious or
religious scruples against its infliction." 391 U.S. at 522. Otherwise,
a defendant's right to a fair and impartial jury would be violated. See
Szuchon v. Lehman, 273 F.3d 299, 327 (3d Cir. 2001). In Wainwright v.
Witt, 469 U.S. 412, 424, 105 S. Ct. 844, 83 L. Ed. 2d 841 (1985)
(internal quotation and citation omitted), the Court clarified that the
proper standard for determining a Witherspoon violation "is whether the
juror's views would prevent or substantially impair the performance of
his duties as a juror in accordance with his instructions and his
oath." This standard does not require, as footnotes in Witherspoon
itself intimated, that a juror's bias against the death penalty be
shown with "unmistakable [*21] clarity." Id. This is so
because "many
veniremen simply cannot be asked enough questions to reach the point
where their bias has been made 'unmistakably clear.'" Id. at 424-25.
It is enough to justify an excusal that the trial judge be "left with
the definite impression that a prospective juror would be unable to
faithfully and impartially apply the law." Id. at 426.
A trial judge's finding under this standard is a factual determination,
and it is therefore entitled to a presumption of correctness under 28
U.S.C. § 2254(e)(1). Martini v. Hendricks, 348 F.3d 360, 363 (3d
Cir. 2003), cert. denied, 543 U.S. 1025, 125 S. Ct. 662, 160 L. Ed. 2d
503 (2004).
n10 This recognizes that a trial judge is in the best position to judge
the credibility and demeanor of potential jurors during voir dire.
Witt, 469 U.S. at 428; Szuchon, 273 F.3d at 328.
As detailed above, the trial judge--acting on the prosecutor's
objection--excused Hartling for cause after she simply expressed her
personal opposition to the death penalty. No follow-up questioning
ensued to determine whether Hartling could, despite her qualms about
the death penalty, set aside her views and follow the trial court's
instructions and the law. As the Commonwealth appears to recognize, if
we were conducting de novo review, we would have to find a Witherspoon
violation. Indeed, in Szuchon, conducting de novo
review, we found a Witherspoon violation in an interchange that was, if
anything, slightly more expansive than the colloquy here.See Szuchon,
273 F.3d at 329.
Szuchon was governed by a less deferential standard of review.
Under the present, more deferential regime, the state courts' finding
that Hartling was biased against the death penalty is presumed to be
correct, and Stevens bears "the burden of rebutting the presumption . .
. by clear and convincing evidence." 28 U.S.C. § 2254(e)(1).
n12 We agree with the District Court that Stevens met that burden here.
As noted, and as in Szuchon [*24] , the prospective
juror--here,
Hartling--indicated no more than that she opposed the death penalty.
Because the trial judge did not follow up Hartling's single statement
with any follow-up questioning, there is simply no tangible evidence in
the record to support the finding of the state courts. In the absence
of any
evidence in the record to support the state courts' finding, it must be
true that Stevens has established, by the requisite clear and
convincing evidence, that Hartling was removed for cause on a "broader
basis than inability to follow the law or abide by [her] oath [as a
juror]." Adams v. Tex., 448 U.S. 38, 48, 100 S. Ct. 2521, 65 L. Ed. 2d
581 (1980); see also Gray v. Miss., 481 U.S. 648, 652 n.3, 107 S. Ct.
2045, 95 L. Ed. 2d 622 (1987)
("[a] motion to excuse a venire member for cause of course must be
supported by specified causes or reasons that demonstrate, as a matter
of law, the venire member is not qualified to serve"). Indeed, the
record supports but a single conclusion--that Hartling was removed
merely because she expressed opposition to the death penalty. This
violated Stevens's right to a fair and impartial jury. Witherspoon, 391
U.S. at 522. [*25]
In rejecting Stevens's Witherspoon claim, the state courts relied on
the trial judge's statement that, although he could not remember the
interchange with Hartling, he must have been relying on something
emphatic in her demeanor. Stevens, 739 A.2d at 521. A trial judge is
certainly entitled to rely on a potential juror's demeanor. See, e.g.,
Witt, 469 U.S. at 434.
However, the dispositive question under Witherspoon and its progeny
[*26] is "not whether a reviewing court might disagree with
the trial
court's findings, but whether those findings are fairly supported by
the record." Id. As we indicated in Szuchon, the trial judge--when
questioning a potential juror--has an obligation "to make a record of
[any] bias" shown by the juror. 273 F.3d at 328
(citing Gray). By relying on supposition that there must have been
something "emphatic" about Hartling's demeanor, the state courts failed
to heed the Supreme Court's rule that findings of bias must be "fairly
supported by the record." Witt, 469 U.S. at 434.
For that matter, even if we accepted the trial judge's supposition
that he relied on something emphatic in Hartling's demeanor, the result
would be no different. Even if Hartling emphatically
stated that she did not "believe in" the death penalty, all that could
reasonably be inferred is that her moral opposition to capital
punishment was strongly felt. Supreme Court precedent makes clear,
however, that the true question was whether Hartling would have been
able to set aside her "conscientious or religious scruples against" the
death penalty, Witherspoon, 391 U.S. at 522, [*27] and
"faithfully and impartially apply the law." Witt, 469 U.S. at 426.
That Hartling's "conscientious or religious scruples" were strongly
felt says remarkably little about whether she could follow the trial
court's instructions. See Lockhart v. McCree, 476 U.S. 162, 176, 106 S.
Ct. 1758, 90 L. Ed. 2d 137 (1986)
("[i]t is important to remember that not all who oppose the death
penalty are subject to removal for cause in capital cases; those who
firmly believe that the death penalty is unjust may nevertheless serve
as jurors in capital cases so long as they state clearly that they are
willing to temporarily set aside their own beliefs in deference to the
rule of law"); see also Szuchon, 273 F.3d at 331
(holding that the fact that a potential juror did not "believe" in the
death penalty was "by no means the equivalent of being unwilling to
impose it"). The state courts had no basis for concluding that
Hartling's "views would [have] prevent[ed] or substantially impair[ed]
the performance of [her] duties as a juror in accordance with [her]
instructions and [her] oath." Witt, 469 U.S. at 424.
Lina
Martiniano (next friend for Paul Reid) v. Bell,
2006 U.S. App. LEXIS 16912 (6th Cir. 7/7/2006) Stay upheld as to next
friend standing, however, panel splits on the issue of whether a next
friend petition needs to exhaust all claims and whether the issues here
are indeed exhausted.
At the hearing before the district court in this case, the petitioner
presented testimony of an expert, Dr. George W. Woods, Jr., and
presented the affidavits of other mental health experts, indicating
that Reid is incompetent. The State asked for an opportunity to
evaluate Reid and could not complete the evaluation prior to the
scheduled execution. The State raised the question that the petitioner
is not entitled to a stay because she was intentionally dilatory by
filing her case on the eve of execution. On the other hand, the
petitioner suggests that the State knew after the Kirkpatrick
decision that the question of Reid's competency would be an issue
eventually, and the State should have taken measures to evaluate Reid
at some time between 2003 and the execution date.
The district court found that there was sufficient evidence to raise a
reasonable doubt about Reid's competence under [*3]
Kirkpatrick
and that the parties are entitled to a full evidentiary hearing on the
question of his competence. We instruct the district court that, before
proceeding further, it should determine whether there is a state
post-conviction case currently ongoing that would suggest that Reid has
not exhausted his state remedies before filing the petition in the
case. See 28 U.S.C. § 2254(b)(1). n1 In the event the district
court determines that the petitioner has met the requirements of §
2254(b)(1),
the court should set a full evidentiary hearing on the competency of
Reid, which is relevant to whether Martiniano may proceed on behalf of
Reid in this case. See Rees v. Peyton, 384 U.S. 312, 314, 86 S. Ct.
1505, 16 L. Ed. 2d 583 (1966). It also may have a bearing on whether
Reid is competent to be executed under the criteria of Ford v.
Wainwright, 477 U.S. 399, 106 S. Ct. 2595, 91 L. Ed. 2d 335 (1986),
which was cited in the petition for a writ of habeas corpus filed in
this case. If the district court finds Reid to be incompetent, then it
should allow Linda Martiniano or some other suitable person to proceed
as his next friend in appropriate post-conviction [*4]
proceedings.
If he is found competent to waive his further appeals or to proceed on
his own behalf, then the next friend proceedings should be terminated.
Frederick Dickerson v. Bagley,
2006 U.S. App. LEXIS 16956 (6th Cir. 7/7/2006) Trial counsel was
ineffective for failing to develop mitigating evidence about
Dickerson’s family background and mental limitations.
To establish deficiency, the first
element of the Strickland test, "the defendant must show that counsel's
representation fell below an objective standard of reasonableness."
Strickland, 466 U.S. at 688. Carrying forward the "effective assistance
of counsel" principles first established in capital cases in Powell v.
Alabama, 287 U.S. 45, 53 S. Ct. 55, 77 L. Ed. 158 (1932), and
Strickland,
the Supreme Court, in the last three years, in two different death
penalty ineffective assistance of counsel cases, has made it clear and
come down hard on the point that a thorough and complete mitigation
investigation is absolutely necessary in capital cases. The Court has
relied on 1989 and 2003 ABA Guidelines for the Appointment and
Performance of Defense Counsel in Death Penalty Cases, for the required
norms and duties of counsel. Wiggins v. Smith, 539 U.S. 510, 524, 123
S. Ct. 2527, 156 L. Ed. 2d 471 (2003) (incorporating [*8]
the 1989 Guidelines as stating the required professional obligation to
conduct a complete mitigation investigation); Rompilla v. Beard, 545
U.S. 374, 125 S. Ct. 2456, 2466 n.7, 162 L. Ed. 2d 360 (2005)
(relying on 2003 ABA Guidelines as "later, and current, ABA Guidelines
relating to death penalty defense"). Our Court has also made it clear
that this means that counsel for defendants in capital cases must fully
comply with these professional norms, Hamblin v. Mitchell, 354 F.3d
482, 485-88 (6th Cir. 2003) (briefly outlining the historical
development of the requirement of effective assistance of counsel in
capital cases). In Hamblin we said that in order to satisfy the
requirements of the effective assistance of counsel requirement of the
Sixth Amendment, ABA Guidelines establish the relevant criteria:
New
ABA Guidelines adopted in 2003 simply explain in greater detail than
the 1989 Guidelines the obligations of counsel to investigate
mitigating evidence. The 2003 ABA Guidelines do not depart in principle
or concept from Strickland, Wiggins or our court's previous cases
concerning counsel's obligation to investigate mitigation circumstances
[*9] . . . .Id. at 487.
We then quoted the ABA Guidelines that create the required standards of
performance for counsel in capital cases regarding the investigation of
mitigating circumstances, norms that Dickerson's counsel fell far short
of meeting:Counsel's duty to investigate and present mitigating
evidence is now well established. The duty to investigate exists
regardless of the expressed desires of a client. Nor may counsel sit
idly by, thinking that investigation would be futile.
Counsel
cannot responsibly advise a client about the merits of different
courses of action, the client cannot make informed decisions, and
counsel cannot be sure of the client's competency to make such
decisions unless counsel has first conducted a thorough investigation
with respect to both phases of the case.
Because the
sentences in a capital case must consider in mitigation, anything in
the life of the defendant which might militate against the
appropriateness of the death penalty for the defendant, penalty phase
preparation requires extensive and generally unparalleled investigation
into personal and family history. In the case of the client,
[*10]
this begins with the moment of conception [i.e., undertaking
representation of the capital defendant]. Counsel needs to explore:
(1)Medical
history, (including hospitalizations, mental and physical illness or
injury, alcohol and drug use, pre-natal and birth trauma, malnutrition,
developmental delays, and neurological damage).
(2)Family and
social history, (including physical, sexual or emotional abuse; family
history of mental illness, cognitive impairments, substance abuse, or
domestic violence; poverty, familial instability, neighborhood
environment and peer influence); other traumatic events such as
exposure to criminal violence, the loss of a loved one or a natural
disaster; experiences of racism or other social or ethnic bias;
cultural or religious influences; failures of government or social
intervention (e.g., failure to intervene or provide necessary services,
placement in poor quality foster care or juvenile detention facilities);
(3)Educational
history (including achievement, performance, behavior, and activities),
special educational needs (including cognitive limitations and learning
disabilities) and opportunity or lack thereof, and activities;
. [*11] . . .
(5)Employment and training history (including skills and performance,
and barriers to employability);
. . . .
The
mitigation investigation should begin as quickly as possible, because
it may affect the investigation of first phase defense (e.g., by
suggesting additional areas for questioning police officers or other
witnesses), decisions about the need for expert evaluation (including
competency, mental retardation, or insanity), motion practice, and plea
negotiations.
. . . .
It is necessary to locate and
interview the client's family members (who may suffer from some of the
same impairments as the client), and virtually everyone else who knew
the client and his family, including neighbors, teachers, clergy, case
workers, doctors, correctional, probation or parole officers, and
others. Records -- from courts, government agencies, the military,
employers, etc. -- can contain a wealth of mitigating evidence,
documenting or providing clues to childhood abuse, retardation, brain
damage, and/or mental illness, and corroborating witnesses'
recollections. Records should be requested concerning not only the
client, but also his parents, grandparents, siblings, [*12]
and
children. A multi-generational investigation frequently discloses
significant patterns of family dysfunction and may help establish or
strengthen a diagnosis or underscore the hereditary nature of a
particular impairment. The collection of corroborating information from
multiple sources -- a time-consuming task -- is important wherever
possible to ensure the reliability and thus the persuasiveness of the
evidence.
ABA Guidelines for the Appointment and Performance of Defense Counsel
in Death Penalty Cases P 10.7 (2003) at pp. 80-83.
Our Court's precedents also make clear that conducting a partial,
but ultimately incomplete, mitigation investigation does not satisfy
Strickland's requirements. In Harries v. Bell, 417 F.3d 631, 638 (6th
Cir. 2005),
a case applying the pre-AEDPA standard of review, this Court found
counsel's performance at sentencing deficient based on counsel's
failure to investigate, even though counsel had conducted various
interviews of the petitioner's family and acquaintances and had sought
other information, including two competency evaluations. The Court held
that counsel's performance was deficient because they failed
[*13] to
conduct a thorough investigation of the petitioner's mental health and
family background, despite indications of his mental illness and
troubled childhood. Id.
The district court, in its opinion below, faithfully outlined
Dickerson's ineffective assistance of counsel claim in the following
language:
Dickerson claims that counsel were ineffective for
failing to obtain mitigation evidence and present it during trial. Had
counsel done so, Dickerson claims, counsel could have collected a host
of mitigating evidence regarding his family background, including:
1. A father who denied his biological relationship with
him;
2. The fact that Dickerson's siblings may all have different fathers;
3. Dickerson experienced early problems with bed wetting and stuttering;
4. Dickerson's mother referred to him as "the moron";
5.
Dickerson had an ideation attachment to his mother that resulted in his
failure to develop a meaningful relationship with another woman;
6. Dickerson was continually teased at school and became quiet and
withdrawn;
7.
Dickerson was raised in an atmosphere of pimps, prostitutes, and drug
dealers. The younger children generally had to fight their
[*14] way
home from school. Several homosexual advances were made upon Dickerson.
8. Dickerson's relationships with women were unsuccessful. He fathered
children with several women;
9.
Dickerson's relationship with Denise Howard centered around
prostitution and drugs. He believed that he had contracted a venereal
disease from her.
10. Dickerson had a full-scale I.Q. of 77, placing him in the lower
seven percent of cognitive ability;
11.
Psychological testing would have explained his primitive thinking, how
it developed and the effect the combination of the above had on his
ability to make appropriate choices. It would have revealed that he had
a borderline personality disorder. This disorder and its nexus to the
offense would have been available to the panel.
Petition,
at 15. Respondent does not allege that this claim is procedurally
defaulted. Thus, the Court will address the claim on the merits.
Dickerson v. Mitchell, 336 F. Supp. 2d 770, 809 (N.D. Ohio 2004).
The basis for these eleven factual propositions is a series of
affidavits, including those of relatives, family friends and
acquaintances, and a psychologist. ( See generally App.
2686-2714, 2723-30, 2825-28.) [*15] The district court,
like the
state appellate court in this case, did not reject the ineffective
assistance claim on any factual ground. Like the Ohio courts, it
accepted Dickerson's eleven-point factual statement of counsel's
failures. It accepted these facts as well-established in the record.
Neither the district court, nor the state court, asserts that defense
counsel performed a full mitigation investigation, or discovered or
offered at the trial any proof regarding this list of eleven
propositions of fact asserted by Dickerson. The reasoning of both
courts rejects the claim only because of so-called "strategic
decisions" of counsel not to conduct such a comprehensive
investigation. The district court simply accepted the reasoning of the
Ohio state court by adopting its language, as follows:
[T]he
Sixth District Court of Appeals did not unreasonably apply United
States Supreme Court precedent in its post-conviction appeal opinion
denying this claim. It stated:
The record in this case and the affidavits provided by
the appellant clearly indicate that the appellant's trial counsel made
strategic decisions
concerning the presentation of witnesses and [*16]
testimony during
the mitigation phase of trial. Thus, the trial court correctly held
that the appellant's trial counsel did prepare and present mitigation
evidence and that the type of mitigation evidence presented at the
mitigation phase of the trial was the result of tactical decisions made
by the appellant's trial counsel. Strategy and tactical decisions
exercised by defense counsel well within the range of professional
reasonable judgment need not be analyzed by a reviewing court.
Strickland, supra.
State v. Dickerson, 2000 Ohio App. LEXIS 83, No. L-98-1100, 2000 WL
28320, at *5 (Ohio Ct. App. Jan. 14, 2000). Although in summary form,
the Sixth District's opinion is not an unreasonable application of
Strickland and its progeny.
Dickerson, 336 F. Supp. 2d at 812-13
(emphasis added). These statements form the sole basis of the ruling of
both courts on this issue. Neither court further explains what the
"strategic" reasons of counsel were for not conducting any mitigation
investigation of facts concerning Dickerson's "medical history,"
"family and social history," "educational history," or any of the other
factors listed in the ABA [*17] Guidelines.
2. "Strategic Decisions" Must Be Based on Full Information
It seems obvious that the decisions of the district court and the state
court unreasonably apply Strickland, Wiggins, and Rompilla and do not
comply with the requirements of Hamblin and Harries or our Court's
opinion in Frazier v. Huffman, 343 F.3d 780 (6th Cir. 2003).
These cases say that strategic choices made after less than complete
investigation will not pass muster as an excuse when a full
investigation would have revealed a large body of mitigating evidence.
It is not reasonable to refuse to investigate when the investigator
does not know the relevant facts the investigation will uncover. As the
Supreme Court has made clear, an incomplete mitigation investigation
resulting from "inattention, not reasoned strategic judgment" is
unreasonable, as is abandoning "investigation at an unreasonable
juncture, making a fully informed decision with respect to sentencing
strategy impossible." Wiggins, 539 U.S. at 527-28, 534. Had the
investigation been conducted, reasonable lawyers surely would not have
limited
the mitigation proof in this case to simply [*18] an effort
to show
only that Dickerson was "provoked" by jealousy and could not control
his impulses, and therefore suffered from "diminished capacity" at the
time of the crime. They would have put on proof that his low IQ brought
him close to the line of retardation and that his family background and
educational and social history showed extreme deprivation that affected
his moral culpability. The only significant mitigation proof was the
testimony of two mental health experts who had interviewed Dickerson
for an hour and a half to determine if he was sane. They simply
testified that he was fully sane but in emotional turmoil.
conversation that the judges would not impose the death penalty based
on "diminished capacity." It was not reasonable to limit his
investigation to the crime itself and the immediate mental state of the
defendant when the crime was committed. There was abundant mitigating
evidence, much stronger evidence than the mental health testimony that
Dickerson was sane when he committed the crime. Accordingly, the state
court unreasonably applied clearly established Supreme Court precedent
when it simply assumed that counsel's oversights were motivated by
strategy, instead of requiring a complete and thorough mitigation
investigation as mandated by It seems that counsel, as a result of an
ex parte
conversation with one of the judges, before waiving a jury, thought
that the judges would not impose the death penalty. Based on that one
brief conversation in which the judge only suggested that Dickerson
give consideration to a waiver of jury trial in favor of an Ohio
three-judge panel, counsel drew the conclusion that the judges would
not invoke the death penalty. He thought that the ex parte
judge would not have suggested a jury waiver but then vote to execute.
He was wrong. But based on [*19] this conclusion, he not
only waived
the jury but also waived conducting the normal, necessary investigation
required by ABA Guidelines referred to by the Supreme Court and our
Court. Without conducting a complete mitigation investigation, counsel
did not know what an investigation would reveal and had no basis for
making a "strategic decision" based on the ex parteStrickland and its
progeny.
Arave
v. Mawell Hoffman, 2006 U.S. App. LEXIS 16770 (9th Cir 7/5/2006)
Relief granted on trial counsel's performance during plea negotiations.
On February 6, 1989, the Owyhee County prosecutor proposed that Hoffman
plead guilty to first-degree murder in exchange for an agreement by the
State not to pursue the death penalty against Hoffman during
sentencing. The offer was set to expire on February 16, 1989. Wellman
advised Hoffman to reject the plea agreement.
(1989). Based on Wellman based his advice on our en banc decision in
Adamson v. Ricketts, 865 F.2d at 1029-39, filed on December 22, 1988,
about six weeks before the plea offer was tendered. In Adamson,
we held that Arizona's death penalty scheme was unconstitutional
because it permitted sentencing facts to be found by the judge, and not
the jury. See id. at 1023. Wellman noted the similarities between the
Arizona statute found unconstitutional in Adamson and the Idaho death
penalty statute. See Idaho Code § 19-2515Adamson,
he advised Hoffman that he was unlikely to receive the death penalty
because it was only a matter of time before Idaho's death penalty
scheme would also be, in his view, found unconstitutional.
On January 9, 1989, before the prosecutor [*35] tendered
the plea
offer to Hoffman on February 6, 1989, the State of Arizona had already
signaled its unhappiness with our ruling in Adamson by petitioning for
rehearing. On February 1, 1989, this court stayed the mandate in
Adamson
pending the Supreme Court's disposition of the State's anticipated
petition for certiorari to the Supreme Court. When Hoffman let the
prosecutor's offer lapse on February 16, 1989, the State had not yet
filed a petition for certiorari in Adamson, but it was a virtual
guarantee that the State would do so.
On February 2, 1989, four days before the prosecutor tendered the
plea offer, the Supreme Court of Arizona filed its decision in State v.
Walton, 159 Ariz. 571, 769 P.2d 1017 (Ariz. 1989), overruled in part by
Ring v. Arizona, 536 U.S. 584, 603, 122 S. Ct. 2428, 153 L. Ed. 2d 556
(2002),
in which it reaffirmed its earlier view that jury sentencing was not
constitutionally required in death penalty cases, directly contrary to
our decision in Adamson. See Walton, 769 P.2d at 1030.
Thus, on February 16, 1989, when Hoffman let the prosecutor's offer
lapse, there was a clear and direct conflict between the Arizona
[*36] Supreme Court's decision in Walton and our decision
in Adamson. The State of Arizona had already clearly signaled its
intention to appeal our decision in Adamson, and it was not hard to
guess that the defendant in Walton would do the same.
Indeed, certiorari was sought in both cases. In October 1989, the
Supreme Court granted certiorari in Walton, holding in abeyance the
petition in Adamson. See Walton v. Arizona, 493 U.S. 808, 110 S. Ct.
49, 107 L. Ed. 2d 18 (1989). On June 27, 1990, the Supreme Court
affirmed the Arizona Supreme Court's decision in Walton,
thereby directly upholding the constitutionality of Arizona's
judge-sentencing scheme in capital cases, and implicitly upholding the
comparable Idaho scheme. See Walton v. Arizona, 497 U.S. 639, 647-49,
110 S. Ct. 3047, 111 L. Ed. 2d 511 (1990). n7 Then, on June 28, 1990,
the Supreme Court denied the petition for writ of certiorari in
Adamson. See Lewis v. Adamson, 497 U.S. 1031, 110 S. Ct. 3287, 111 L.
Ed. 2d 795 (1990).
We do not fault Wellman for failing to predict the outcome of these
divergent opinions. We do not expect counsel to be prescient about the
direction the law will take. See Lowry v. Lewis, 21 F.3d 344, 346 (9th
Cir. 1994) (holding that a lawyer is not ineffective for failing to
anticipate a decision in a later case); Cooks v. United States, 461
F.2d 530, 532 (5th Cir. 1972) ("Clairvoyance is not a required
attribute of effective representation.").
Nor was it unreasonable for Wellman to draw a connection from the
Arizona death penalty scheme to the Idaho scheme. The same fault that
the Ninth Circuit identified in Arizona death penalty law was present
in Idaho's law: both permitted the sentencing judge to sentence a
defendant to death based on the judge's own factual findings. In short,
then, Idaho's statute and Arizona's statute were materially
indistinguishable. See Charboneau, 774 P.2d at 316-17 (declining to
adopt Adamson
even though the court found no material difference between Idaho's
scheme and Arizona's scheme). Indeed, several of Wellman's colleagues
in the Idaho state bar argued in Idaho state courts that Idaho's
statute [*38] was unconstitutional under Adamson. See,
e.g., id.; State v. Lankford, 116 Idaho 860, 781 P.2d 197, 206-07
(Idaho 1989). Thus, Wellman was not unreasonable in drawing a
connection between our decision in Adamson and Hoffman's case.
We nonetheless find that Wellman's representation of Hoffman during
the plea bargaining stage was deficient for two reasons: first, Wellman
based his advice on incomplete research, and second, Wellman
recommended that his client risk much in exchange for very little.
The first problem is that Wellman based his advice solely on a reading
of Adamson
and not on an understanding of the general landscape in which that case
arose. Wellman testified that he had read Idaho Supreme Court capital
cases, and therefore he must have known that the Idaho state courts had
considered and consistently rejected claims similar to Adamson. See
State v. Fetterly, 109 Idaho 766, 710 P.2d 1202, 1208 (Idaho 1985);
State v. Creech, 105 Idaho 362, 670 P.2d 463, 473-74 (Idaho 1983),
rev'd in part, Arave v. Creech, 507 U.S. 463, 113 S. Ct. 1534, 123 L.
Ed. 2d 188 (1993); State v. Sivak, 105 Idaho 900, 674 P.2d 396, 398-99
(Idaho 1983).
[*39] With minimal research, he would have discovered that
a pair of
cases was well on its way to the Idaho Supreme Court that would
challenge the continuing viability of these Idaho Supreme Court cases
in light of our holding in Adamson. See State v. Fain, 116 Idaho 82,
774 P.2d 252 (Idaho 1989); Charboneau, 774 P.2d at 315-17 (reaffirming
Creech, decided April 4, 1989, less than two months after Hoffman
rejected the plea agreement).
Had Wellman researched Arizona law, he would have discovered that on
February 2, 1989, after Adamson,
but before Hoffman rejected the plea offer, the Arizona Supreme Court
reaffirmed the constitutionality of Arizona's death penalty scheme. See
Walton, 769 P.2d at 1030-31. A judge who concurred in Walton
recognized that the decision might set up a conflict between Arizona
law and Supreme Court precedent and cited the Ninth Circuit's decision
in Adamson. See id. at 1039
(Feldman, V.C.J., concurring). With the state of the law in turmoil
both in Arizona and in Idaho, and with conflicts between this court and
the state supreme courts of both states, a reasonable attorney would
have recognized the [*40] substantial risk of advising a
client to
reject a plea agreement. Because Wellman possessed a deficient
understanding of the law, he led Hoffman to believe that his sentence
would be the same whether he accepted the plea bargain or was convicted
at trial. Such advice was constitutionally deficient. See Cullen v.
United States, 194 F.3d 401, 403-04 (2d Cir. 1999); Meyers v. Gillis,
142 F.3d 664, 666-68 (3d Cir. 1988).
more
disastrous. Under the plea agreement, Hoffman would have given up his
right to challenge the first-degree murder charge based on aider and
abetter liability. But Wellman admitted that his central strategy at
trial -- that Hoffman was less culpable than other participants in the
murder, especially Wages -- could also support a first-degree murder
[*41] charge. Thus, Wellman advised his client to go to
trial and
risk the death penalty even though there was a good possibility that
the guilt phase of trial would result in a first-degree murder charge,
the same outcome as the plea agreement. This was a huge risk in light
of the potential downside, that is, that the court could impose the
death penalty. In contrast, under the plea agreement, Wellman could
have argued his client's lesser culpability at sentencing while
ensuring that Hoffman would not receive a death sentence. n8
Considering the magnitude of the gamble that Wellman was advocating,
Wellman's failure to fully research the landscape surrounding If there
was a high probability that Hoffman was not going to
receive the death penalty, Wellman might have been reasonable in
considering our decision in Adamson as an additional reason to
reject the plea agreement. But Hoffman's chance of receiving the death
penalty was not minimal, a fact that counsel vastly underestimated and
that made counsel's failure to investigate AdamsonAdamson constituted
deficient performance.
We certainly do not mean to imply that counsel is ineffective in
relying on our precedent or in arguing for a reasonable extension of
this court's decisions. In this case, however, counsel advised Hoffman
to give up the certainty of avoiding the death penalty so that he could
go to trial, a risky proposition with a substantial downside. More
importantly, he offered this flawed advice without conducting
reasonable research into the legal landscape. We therefore conclude
that Wellman's legal representation of Hoffman during the plea
bargaining stage was not objectively reasonable.
State
v. Anthony DiFrisco,
2006 N.J. LEXIS 1070 (NJ 7/5/2006) The majority holds that the Court's
prior rulings in this case should have resulted in DiFrisco being taken
off of death row.
New Jersey, like most
states, has a proportionality review for death sentences. Until 1999
the proportionality review and sentence review on direct appeal
occurred in two separate proceedings. In 1994, the New Jersey Supreme
Court upheld DiFrisco'’s death sentence by a vote of 4-3, a year later
5-2 on proportionality review. During the second vote as to
proportionality, one of the justices who had originally voted to uphold
DiFrisco'’s death sentence dissented. In all four justices voted to
reverse his the two separate proceedings DiFrisco however remained
under sentence of death. The DiFrisco
Court ruled 4-3 in his favor that he should be taken off of death row.
In re Proportionality
[*38] In the years following Gregg, we struggled to
develop a proper
mechanism for conducting [*37] proportionality reviews.
Because the
general terms of the enabling statute provided no guidance, the Court
had to decide, among other matters, how many capital cases to compare;
which cases to compare; and what factors to consider in conducting the
comparison. See generally In re Proportionality Review
Project, supra, 161 N.J. 71, 735 A.2d 528 (reviewing special
master's findings for implementation in proportionality review). In Ramseur,
we also determined that, because of our difficulty in developing the
proportionality-review procedure, as well as concerns over conserving
judicial resources, proportionality reviews would be conducted only if
defendants were unsuccessful on all other legal arguments for
overturning their convictions and death sentences. Id. at 96, 735
A.2d 528.
Further, not only was proportionality review reached last, but we
created a bifurcated process so that the review was conducted in an
entirely different proceeding. Ibid. The two proceedings
eventually were called our direct appeal review (which included both
conviction review and penalty review) and our proportionality review. Id.
at 96-97, 735 A.2d 528. However, in Review Project,
we determined that the justifications for bifurcated proceedings were
no longer persuasive and consolidated the reviews, id. at 97, 735
A.2d 528,
although the Court has retained the practice of conducting a
proportionality review only after we have affirmed a defendant's
conviction and rejected all other arguments for reversing the death
sentence.
V.
The unique situation in this appeal -- in which three Justices
voted to reverse defendant's death sentence in the penalty review and
one additional Justice voted to reverse in the proportionality review
-- requires us to evaluate the relationshiip between direct appeal
penalty reviews and proportionality reviews. We now conclude that,
because both penalty review and proportionality review determine
whether a death sentence has been properly imposed, the two reviews are
not distinct but rather different aspects of the same consideration --
whether there was error in the imposition of the death penalty. In
other words, the determination that a death sentence is proportionate
to other death sentences is a necessary part of a Justice's decision to
affirm a death sentence in our overall penalty review scheme.
As stated, [*39] when we review capital cases on direct
appeal,
this Court determines both whether a defendant was properly convicted
of capital murder (conviction review) and whether the defendant's death
sentence was properly imposed (penalty review). In our penalty review,
we determine whether there was legal error in imposing the death
sentence, such as prosecutorial misconduct, and whether that sentence
was imposed in an arbitrary and capricious manner. The determination
that a defendant's death sentence is proportionate to other death
sentences is part of the determination that the death sentence is not
arbitrary and capricious. We recognized that principle in Ramseur,
supra, when we stated that "proportionality review . . . is an
important procedural mechanism to safeguard against the arbitrary and
capricious imposition of the death penalty." 106 N.J. at 330,
524 A.2d 188 (emphasis added).
Treating the two reviews as distinct would also lead to absurd
results. For example, a death sentence could be affirmed even if three
Justices voted in the penalty-review phase to reverse a death sentence
and three other Justices voted to reverse in the proportionality-review
phase. [*40] Under that hypothetical, the death sentence
would stand
although six members of this Court believed that it was improperly
imposed. Moreover, the fact that we will not conduct a proportionality
review if a defendant's conviction or death sentence has been reversed
on other grounds does not change our conclusion. This Court routinely
does not reach issues when its disposition on other arguments has
resolved the matter. See, e.g., State v. Feaster, 184 N.J.
235, 262 n.11, 877 A.2d 229 (2005) (declining to consider
defendant's Fifth Amendment
argument after finding in favor of defendant on other grounds). But,
once reached, there is no reason to treat proportionality review as
different from any other legal argument raised to challenge a death
penalty sentence. Further, the proportionality review enabling statute,
N.J.S.A. 2C:11-3e,
does not suggest that the two reviews should be treated as distinct.
Rather, the statute simply requires the Court to conduct a
proportionality review upon request of a capital defendant. Ibid.
Soto v. Commonwealth, 139 S.W.3d 827, 876 (Ky. 2004) (same); Our
conclusion that proportionality review is properly part of
penalty review is reinforced by decisions from other state courts that
[*41] conduct proportionality reviews of death sentences.
Research
does not disclose any case in which a court has considered
proportionality review to be a distinct phase separate and apart from a
court's penalty review. See, e.g., State v. White, 168
Ariz. 500, 815 P.2d 869, 884 (Ariz. 1991) (conducting
proportionality review as part of direct appeal in context of penalty
review); Douglas v. State, 878 So. 2d 1246, 1262, 878 So. 2d 1272
(Fla. 2004) (same); Gissendaner v. State, 272 Ga. 704, 717, 532
S.E.2d 677 (Ga. 2000) (same); State v. Pratt, 125 Idaho 546,
873 P.2d 800, 823 (Idaho 1993) (same); State v. Williams, 192
Ill. 2d 548, 736 N.E.2d 1001, 1017, 249 Ill. Dec. 563 (Ill. 2000)
(same); State v. Weiland, 505 So. 2d 702, 707 (La. 1987)
(same); Russell v. State, 670 So. 2d 816, 839 (Miss. 1995)
(same); State v. Garcia, 358 N.C. 382, 597 S.E.2d 724, 753-54 (N.C.
2004) (same); State v. Van Tran, 864 S.W.2d 465, 482 (Tenn.
1993) (same); State v. Elmore, 139 Wn.2d 250, 985 P.2d 289, 322
(Wash. 1999).
[*42] Those courts routinely consider proportionality
reviews in the
context of other arguments challenging a defendant's death sentence.
Our prior practice of conducting our capital review in bifurcated
proceedings was an artificial construct intended to benefit this Court
and parties by the avoidance of the lengthy and difficult process of
proportionality review when doing so would be unnecessary to the
ultimate disposition of a case. That construct does not change the fact
that penalty review and proportionality review are part of the same
legal inquiry -- whether a death sentence was properly imposed. That
is, proportionality review provides an additional protection against
the arbitrary and capricious imposition of the death penalty. For those
reasons, we reject the dissents' contention that proportionality review
is distinct from penalty review, post at
(slip op. at 2) (LaVecchia, J., dissenting); post
at (slip op. at 10) (Rivera-Soto, J., dissenting)
(same), and
conclude that the determination that a death sentence is proportionate
to other death sentences is part of a Justice's decision to affirm a
death sentence in our penalty review. [*43]
VI.
In view of our conclusion that proportionality review and penalty
review are not distinct, we hold that in the present matter defendant's
death sentence must be vacated and a life sentence imposed. A review of
the votes in the two appeals leads to the conclusion that our construct
of conducting bifurcated proceedings prevented the Court from
determining that defendant's death sentence was improperly imposed. In
other words, defendant's death sentence was upheld only because our
penalty review was separated into two proceedings, not because a
majority of the Court believed that imposition of the death sentence
was proper.
Anthony
Farina v. State,
2006 Fla. LEXIS 1482 (FL 7/6/2006) (dissent) Split 4-3 on an issue
(detailed more below) on the utter randomness of how Farina got death
while another who was more culpable did not and insertion of religious
law into these secular proceedings.