*1 actually understood the Maynard whether Godinez, of his waiver. See
consequences
(“The
n.
purpose of the ... to determine whether the
inquiry is actually does understand the
defendant consequences particu- of a
significance decision.”).
lar governing our re-
Although the standard deferential, highly it is
view of this claim mentally ill allowed a plain that OMahoma
n I represent himself. would hold man to “an decision was unreasonable this of, clearly established Federal
application 2254(d)(1).
law.” 28 U.S.C. BARKELL, P. Petitioner-
Gerald
Appellant, Warden, Crowley CROUSE,
Brent
County Facility; R.O. Correctional
Lampert, Director, Wyoming Depart Corrections; Crank, Patrick
ment of General,
Wyoming Attorney Respon
dents-Appellees.
No. 05-8045. Appeals,
United States Court of
Tenth Circuit.
Nov. know, they conspired up, you they They up to set me A. are there at Lake. Grand Q. got jail Oh, out of for the sole me released boys? one of the Grand Lake mafia purpose having this Brenda Butler set A. Yeah. up, my conspiracy me that is defense. Q. proposed What does [the witness] know Conspiracy among Court: or between about this case? whom? Well, slipping A. she knows that she was A. and some mafia [Named individuals] driving chemicals in me for months me guys- know, you crazy, charges put and these she Q., Mafia, what mafia? purpose on me that was the sole of it. [Tr. 64-66] Q. guys? Where are the mafia *3 Intern, Christopher Humphrey, Student (Diane Director, Courselle, E. on the brief), Program, University Defender Aid Law, Laramie, Wyoming, College WY, Petitioner-Appellant. for Delicath, L. At- David Senior Assistant (Patrick General, Crank, torney Wyo- J. General, brief), ming Attorney on the WY, Cheyenne, Respondents-Appel- for lees. HARTZ, HOLLOWAY,
Before O’BRIEN, Judges. Circuit HARTZ, Judge. Circuit jury Gerald Barkell was convicted state court two counts of third-degree sexual assault. After initiat- conviction, ing appeal sought his to the trial court an evidentia- remand ry hearing regarding a claim of ineffective of counsel. The Su sexual acts on nights early assistance successive Lozano, July 1999. Diane preme request. attorney Court denied the Continu with the Wyoming Public of an Defender’s Of- ing appeal without benefit fice, appointed represent him. On evidentiary hearing, Mr. Barkell contend 26, 1999, McQueen, October Chris a con- that his trial counsel had been constitu ed defender, tract public replaced Ms. Lozano tionally preparation ineffective and represented Mr. Barkell at trial, trial on Wyo and conduct of the and that the January 24 jury 2000. The re- ming Supreme Court had denied him due guilty turned verdicts on two counts of process meaningful by deny and a appeal assault, third-degree sexual in violation of ing his motion for remand. On October 6-2-304(a)(ii). Wyo. Stat. Ann. 16, 2002, the court affirmed. Barkell v. *4 sentenced to consecutive State, 1239, 1246(Wyo.2002). 55 P.3d years’ terms of five-to-seven imprisonment 14, 2004, January On Mr. Barkell sub- on each count. an application mitted for habeas relief un- Barkell, again represented Mr. by the § der 28 U.S.C. the United States Office, Wyoming Public Defender’s filed Wyoming, District Court for the District of timely appeal Wyoming Supreme raising the same issues raised before the Court on February June 2000. On Wyoming Supreme Court. The district 2001, he moved the court to remand the granted court denied relief a certifi- but case to the trial court for “an evidentiary (COA). appealability cate See 28 U.S.C. hearing to establish factual basis for a 2253(c)(1) COA). (requiring Mr. Barkell claim of ineffective assistance of trial coun- appeals juris- to court. now this We have performance sel based on the by deficient §§ diction 1291 and 2253. under U.S.C. ApltApp. the trial counsel.” Vol. I at 86. respect We affirm with to the claims of On March 1 the court denied the motion denial of process due without comment. It later affirmed Mr. Supreme Court and ineffective assistance Barkell’s convictions. during of counsel trial. But we reverse Mr. application Barkell’s under and remand for further on proceedings . (1) right claims violation of his under the attorney claim that his Sixth and Fourteenth Amendments to ef- in preparing ineffective for trial. Because (2) counsel, fective assistance and viola- (1) he allegations to the federal presented rights process tions of the to due that, true, court district if would entitle meaningful appeal Wyo- virtue of the (2) relief; him to he cannot be faulted for ming Supreme Court’s denial of his motion develop supporting failure to 20, 2005, for a limited remand. On April (3) court; in state the state court has application, district denied the not ruled on whether he be entitled stating that the Court’s to to prove allega- relief he were able his adjudication con- of his claims was neither tions, we do not defer to the state court’s to, trary application nor an unreasonable ruling ineffective-preparation on his claim of, clearly established federal law. him grant opportunity pur- and we that claim in court. sue federal district II. DISCUSSION I. BACKGROUND A. Denial of Remand charged
Mr. Barkell was with sexual that the appeal On Mr. Barkell contends 10-year-old stepdaughter, grant assault after his state court’s refusal a limited BV, forcing him of for his inef- engage develop accused her remand to the record Jordan, rights Gipson to due 376 F.3d claim violated fectiveness (10th Cir.2004) (internal quotation marks meaningful appeal. and a process omitted). and citations rejected this Wyoming Supreme Court contention, Mr. Barkell could holding that 2. Merits “rely allegations specula- on mere Under AEDPA’s standard of re justify a remand. 55 P.3d tion” to view, Mr. Barkell is not entitled to relief at 1246. on claim. Mr. Barkell has this identified prece
no
Court
United States
of Review
Standard
dent at the time of the
court’s
clearly
right
that
decision
established his
Death
The Antiterrorism and Effective
hearing.
(AEDPA)
Penalty
provides
Act of 1996
argues
Mr. Barkell
that “[w]hen the
adjudicated
a claim has been
when
provides
appeal
right,
state
the de-
court,
a federal court
merits
right
appellate
fendant has a
to an
record
grant
only
ap-
relief
when
will
habeas
adequate
present
that is
his claims on
plicant establishes
the state court de-
appeal.” Aplt.
authority
Br. at 22. As
to,
“contrary
cision was
or involved an
Illinois,
this proposition he cites
*5
v.
Griffin
of,
application
clearly
unreasonable
estab-
12,
585,
351
76
100
U.S.
S.Ct.
L.Ed. 891
law,
by
lished Federal
as determined
(1956); Draper Washington,
v.
372 U.S.
States,”
Court of the United
or
Supreme
487,
774,
(1963);
83 S.Ct.
689
addition,
Cuyler
preme
Mr. Barkell cites
v.
Court of the
United States.” 28
Sullivan,
335,
1708,
2254(d)(1);
64
Johnson,
446 U.S.
100 S.Ct.
Penry
U.S.C.
see
(1980);
States v.
782, 795,
1910,
L.Ed.2d 333
United
532 U.S.
121 S.Ct.
150
Cronic,
648,
2039,
(2001) (state
466 U.S.
S.Ct.
the cited
addresses denial of an evi-
cases
dentiary hearing
ap-
the course of an
B.
Ineffective Assistance
peal. Cuyler held
a defendant with
A
making
defendant
an ineffective-assis-
privately
lawyer,
retained
like a defendant
tance-of-counsel claim must show both that
counsel, may raise a Sixth
appointed
performance
objec-
counsel’s
“fell
below
Amendment claim of ineffective assistance.
tive standard of reasonableness” and that
344-45,
See
formance and
the sur-
*6
formance under
prong
first
of the
justify a
rounding
presump-
circumstances
highly
Strickland
test
is
deferential.
tion of ineffectiveness. See 466 U.S. at
“[Cjounsel
strongly presumed
is
to have
658-62,
a. Failure to “[bjecause ed that Barkell does not identi- fy any specific testimony or evidence that Mr. Barkell claims that Mr. *9 offered, pre- the counselors would have the McQueen investigate adequately failed to sumption trial counsel rendered ade- counseling experiences, BV’s school and quate-assistance which would have led to evidence under- and exercised reasonable
693 (2) dence in state court and judgment is not rebutted.” the professional court ruled on whether Mr. Barkell’s alle- Id. true, gations, if would establish an ineffec- evi- Barkell has identified such But Mr. tive-assistance claim. copy a for us. He has submitted dence a limited re- motion for his state-court applicants Habeas who have not mand, attachments. which included several evidentiary in' received (unnotarized) from self-styled A “affidavit” may court be entitled to an that he had discussed Mr. Barkell stated federal court. AEDPA states: McQueen counseling history with Mr. BV’s If the applicant develop has failed to the him to Sue Maxt- and had asked interview factual basis of a claim in State counselor, Hartman, ed, and Mrs. BV’s proceedings, the court shall not hold teacher, that Mr. fourth-grade BV’s but evidentiary hearing on the claim unless McQueen tried to obtain informa- had not applicant the that— shows regarding counseling tion the or otherwise (A) the claim relies on— complied requests. with his (I) law, a new rule of constitutional sister, attached an affidavit from his also made retroactive to cases on collateral Allred, Lynn who attended several had Court, by Supreme review McQueen, in pretrial meetings with Mr. unavailable; previously or McQueen that “Mr. which she asserted many investigate failed to talk to or (ii) predicate a factual that could possible presented witnesses that we had previously not have been discovered him,” including Ms. Maxted and BV’s through diligence; the exercise of due McQueen stated that Mr. teachers. She get many “failed to of the documents (B) underlying the facts claim in- problems, of the victim’s reports past would be sufficient to establish family from ... their cluding reports convincing clear and evidence that but previous counselor and from the reports error, no for constitutional safe houses and foster homes which the found appli- factfinder I ApltApp.
victim was in.” Vol. at 144. guilty underlying cant of the offense. addition, copies counseling In of BV’s 2254(e)(2). § open- “Under the U.S.C. records were attached to the motion. 2254(e)(2), ing clause of failure to de- records, counseling These which relate to velop the factual of a claim is not basis one grades sessions when BV was is a lack of dili- established unless there four, through refer several times to BV’s fault, gence, greater or some attributable tendency to lie. The from first records prisoner’s or the counsel.” prisoner ly- grade contain three references to her 420, 432, 120 Taylor, 529 U.S. Williams second, con- ing, grade and records from (2000). “If S.Ct. L.Ed.2d tain two such references. develop prisoner did not fail court, claim in light support for Mr. Barkell’s factual basis State '2254(e)(2) claim, applicable must ask is not and federal deficient-investigation we and, analyze support proceed we can consider this habeas court should whether so, evidentiary hearing appro- how that affects our standard of whether an pre-AEDPA under stan- Wyoming priate required review of the decision Mullin, F.3d The answer to these dards.” Cannon v. Court. Cir.2004) (internal (1) (10th Bar- brackets questions depends on whether Mr. omitted). Thus, marks adequate present quotation kell made efforts to evi- *10 694 Appellant rely
threshold issue is whether Barkell ex- cannot allega- on mere diligence in state court to ercised sufficient and speculation purpose tions for the of 2254(e)(2). §of avoid the strictures We obtaining a develop remand to a record believe that he did. on his claims of ineffective assistance. previously We denied Barkell’s Motion on Our conclusion based our and, for a Partial appel- Remand in his reading Wyoming of law before Mr. Bar brief, provides late no additional facts jurisdictions In most appeal. kell’s claims or argument justifying a remand. brought of ineffective assistance are postconviction proceedings. collateral See 55 P.3d 1245-46. States, 500,
Massaro v.
538 U.S.
United
If the state court’s denial of an evi-
504, 508,
1690,
123 S.Ct.
As Mr. Bar be said to have “failed to develop motion, kell accompa submitted such a claim,” factual basis [his] id. supporting nied several attachments. 2254(e)(2), even his reasonable inter The Court denied the pretation of state law turned out to be motion for limited remand without expla Williams, wrong, see 529 U.S. at merits, nation. In its decision on the (such S.Ct. 1479 a failure “is not estab however, explained the court as follows its lished unless there diligence, is a lack of rejection of his claim that improp he was fault”); greater some Osborn v. Shil cf. erly denied a remand: (10th Cir.1988) linger, 861 F.2d (“[I]f
[Mr.] Barkell claims that he was entitled
petitioner
reasonably
could not
to remand for an
hearing on have been aware that
procedural
rule
his claims of ineffective assistance of
prevent
addressing
court from
counsel,
State,
citing
claim,
Calene v.
846 P.2d
the merits of his
his violation of that
(Wyo.1993).
case,
review.”).
present
how-
rule cannot bar federal
In our
ever,
view,
is more similar to Griswold v.
Mr. Barkell’s
complied
efforts
with a
State,
incorrect)
(Wyo.1999).
994 P.2d
(although
930-31
apparently
*11
Wyo-
sufficiently stated
documented
of
and
of the mandates
interpretation
appeal.
issue before the trial court
before his
show real
law
it stood
ming
as
Wyoming Supreme
question
put
requirement
can
to the additional
do not
be
We
As
Wyoming law.
of
providing
evidentiary hearing.”).
construction
an
Court’s
of
states,
the last
that court has
Wyoming
the dissent
remanded
Court
request
for
Mr.
word on whether
in that
evidentiary hearing
for an
case.
the re-
evidentiary hearing satisfied
an
predicated
Id. at 694. The remand was
of
law at the time
of
quirements
solely
complaint by appel-
on “the letter of
But
request.
on that
whether
ruling
its
the trial court.” Id. at
lant addressed to
2254(e)(2),
§
purposes of
for
convicted of
appellant
684. The
had been
evidentiary
obtaining
in
an
was at
an
charges relating to theft of
automobile.
fault
Wyoming law
depends not on how
hearing
painting
Id. at 681. He admitted
the ve-
but, rath-
appeal
in his own
was construed
knowing
hicle
denied
that it was sto-
but
er,
reasonably appeared
law
what
len, saying
simply
that he was
hired to do
request for
time he filed his
be at the
His letter as-
painting.
Id.
words,
it is
evidentiary hearing.
other
attorney
informed his
serted that he had
(because
clear
testify
could
to his lack
of witnesses who
so)
request
that his
for
said
Court
exculpatory
other
mat-
knowledge
and
inadequate, but
evidentiary hearing was
ters.
Id. The court concluded:
triggers denial of
inadequacy
whether this
determine that
We do not assume or
under
evidentiary
a federal
exist or that a
witnesses did
valuable
2254(e)(2)
he was
depends
on whether
investigation
preparation
failure
worse)
(or
an inad-
submitting
in
negligent
testimony
valuable
adversely denied
we do not
request.
point
On this
equate
find the contentions
the defendant. We
Indeed, a
Wyoming courts.
defer to the
record now
sufficiently substantial
no occasion to de-
court would have
state
that a
should be held.
presented
has satis-
the defendant
termine whether
hearing,
counsel can tes-
At the
defense
2254(e)(2)
for a
requirements
fied the
can
additional
tify
provide
and Calene
so we have no
evidentiary hearing,
federal
regard-
any
substantiation
matter to which
adjudication on the
of non-called wit-
ing the usefulness
defer.
we could
upon which the
nesses as evidence
then,
Wyo-
Turning,
to the content
re-
may be rendered
court’s decision
for an
when Mr. Barkell moved
ming law
per-
of counsel
garding the standard
evidentiary hearing,
requirements
formance.
had been set forth
obtaining
remand
dissent,
Contrary to the
we see
Id. at 693.
Supreme Court decision
suggest
nothing
opinion
in the Calene
held that a defen-
That decision
Calene.
giv-
Wyoming Supreme Court was
that the
evidentiary hearing to de-
seeking an
dant
break,”
“a
Dissent at
ing Calene
must submit a mo-
velop a factual record
stringent requirements
holding him to less
“appropriately
is
for remand that
tion
appellants
on later
imposed
than would be
defining and
by contentions
supported
evidentiary hearing.
seeking an
any
claim de-
supporting
ineffectiveness
reasonably
be-
Mr. Barkell could
may
appropriate,
supported,
tail and
request for an
that his
lieved
to establish substan-
by affidavit sufficient
by mak-
standard
Calene,
hearing met the Calene
692;
P.2d at
see id.
tiality.”
pre-
his counsel’s
(“[I]t
allegations of
ing specific
necessary for serious
at 687
leads
to follow substantial
to be
trial failures
allegations of ineffectiveness
specific
resulting prejudice.
from
client and
We denied his Motion for Partial Re
*12
allegations may
mand,
Mr. Barkell’s
have been
finding that Griswold failed to
unsworn,
clearly
Mr. Calene’s
provide
but
were.
a substantial factual basis for his
why
Moreover,
Uncertain
the
claim.
brief,
appellate
his
evidentiary
him an
hearing,
Court denied
provides
Griswold
no facts or arguments
Mr.
we believe that
Barkell did not exhibit
in support of this assertion. We have
Williams,
required
consistently
the fault
529 U.S. at
held that we will not consid
432,
1479,
bring him
under
unsupported by
S.Ct.
er claims
cogent argu
2254(e)(2)
obtaining
State,
for not
an evidentia-
authority.
ment and
Madrid v.
ry hearing
1340, 1347
court. It is
useful to
910 P.2d
(Wyo.1996).
contrast this case with two in which the
ducted 210 F.3d (10th Cir.2000) (reviewing addi- Mr. Barkell also complains about tional proffered by habeas appli- McQueen’s failure to consult with or cant without deference to the state court’s call at trial expert witness on child findings factual when state court denied an psychiatry. argues He this failure evidentiary hearing). McQueen unreasonable because Mr. *14 had the resources call expert to wit Conducting independent our ness, it is common for prosecution the to analysis of Mr. allegations, we expert call an witness in child-sex-abuse believe that he has adequately alleged defi cases, and attorney reasonable defense pretrial cient investigation. duty “The expert would use an prepare. He investigate derives from counsel’s basic claims that his prejudiced defense was by function ... to make the adversarial test (1) this failure because consultation with ing process particular work in the case.” expert would have aided Mr. Ward, Williamson 110 F.3d McQueen’s cross-examination of the state’s (10th (internal Cir.1997) quotation marks BV, (2) expert and and expert a defense omitted). a duty “[C]ounsel has to make “could explained jury have how chil investigations or to make a rea testimony evaluated, dren’s should be sonable decision that particular makes in well as shed light problems on with the (internal vestigations unnecessary.” Id. testimony of the expert.” state’s Aplt. Br. omitted). quotation marks In light of the at 32. prosecution’s complete reliance on the vic Lozano, An affidavit from Ms. public the veracity tim’s and the given by leads Mr. originally defender assigned to Mr. Bar- sister, Barkell and his it would have been case, kell’s submitted with the state-court McQueen unreasonable for Mr. not in motion for a supports limited remand his vestigate whether records and witnesses claim that it was unreasonable for Mr. regarding counseling BV’s and school ex McQueen not to consult an expert. The periences suggest could her propensity to states, affidavit practice “[I]t standard lie or her motive to harm Mr. Barkell. See to enlist the use expert of an in child sex Beard, Rompilla v. 545 U.S. 125 S.Ct. cases, abuse help prepare whether to 2456, 2460, 2467, 162 (2005) (it L.Ed.2d 360 cross examination or testify as a defense was unreasonable for counsel not to read ApltApp. witness.” at 138-39. case file he knew prosecution the would rely on at sentencing, though even As for a showing prejudice, although defendant and family suggested had the independent-expert report submitted existed). mitigating that no Mr. Barkell with the remand motion content of the records- submitted Mr. lists factors that support BV’s credibili- Barkell with his motion for limited ty, remand it also lists five question factors that indicates that the any results of in- credibility. addition, such her report ineffective- ... of Mr. Barkell’s other have denial “expert could states claims, and REMAND to the district body of knowl- ness jury about informed evidentiary hearing. alle- court to hold an children’s false edge and research Id. at 216. On abuse.” of sexual gations “I hand, stated: report "also other O’BRIEN, J., concurring part the state’s anything disagree not
do
dissenting
part.
Id.
expert said.”
join
majority opinion
I
pleased
am
that it
convinces us
last statement
This
2-Alleged
Part
Pretrial Errors.
except for
to call
to fail
ineffective assistance
I
holding,
re-
From that discussion
Ultimately, her
expert as a witness.
spectfully dissent.
have corroborated
simply
testimony style
majority opin-
of the
The masterful
and would
expert,
government’s
of the
what, me, is the core issue
ion obscures
impact
prejudicial
had the added
errors,
relating
pretrial
to the claimed
emanating from the defense.
AEDPA deference.
in cross-exam-
to assist
But consultation
sug-
report
matter. The
Congress
another
intended
ination is
There is no doubt
McQueen
have scored
could
gests that
AEDPA to advance these doctrines
on cross-examination
points
[comity, finality and
Fed-
federalism].
some
And,
impor-
more
must in-
expert.
corpus principles
prosecution’s
eral habeas
likely have
consultation would
tantly, prior
shape
the historic and still
form
*15
whether chil-
asking
respect
him from
and com-
prevented
vital relation of mutual
likely
families are more
stepparent
existing
in
between the
purpose
dren
mon
children,
ques-
a
keep-
than other
In
be abused
the federal courts.
States and
affirmative
damaging
a
have been
tion that elicited
delicate balance we
ing this
are uncertain
in-
Although
scope
we
limit the
of federal
answer.
careful to
suf-
adjudications
would itself be
prejudice
this
into state criminal
whether
trusion
Barkell’s ineffective-
in
to sustain Mr.
the
interest
safeguard
ficient
and to
States’
claim,
resulting from
collat-
prejudice
the
criminal and
integrity
ness
of their
the
any
See,
have added to
v.
lapse may
e.g.,
well
Coleman
proceedings.
this
eral
McQueen’s
722, 726,
from Mr.
resulting
U.S.
S.Ct.
prejudice
and abuse III. CONCLUSION that re- injury State to lessen a state through reexamination sults court’s denial AFFIRM the district
We
that the State did
ground
á
conviction on
Barkell’s failure-to-remand
of relief on Mr.
at a
to address
opportunity
have the
ineffec-
not
Mr. Barkell’s
claim and on those of
time;
both doc-
appropriate
attorney’s
prior,
to his
tiveness claims related
inter-
to vindicate
State’s
trines seek
REVERSE
at trial. We
performance
finality
judg-
purpose
obtaining
est in the
of its criminal
a remand to devel-
ments”)-
op
a record
his claims of ineffective
previously
assistance.
denied Bar-
We
420, 436,
Taylor,
v.
Williams
U.S.
and,
kell’s
for a Partial Remand
Motion
1479, 146
(2000) (empha
S.Ct.
L.Ed.2d 435
brief,
provides
his appellate
he
no
added).
sis
argument
additional facts or
justifying a
Supreme Court
The
twice ad-
remand.
Id.
dressed Barkell’s claims of ineffective as-
Id. at 1245-46.
request
sistance of
counsel and his
on that
It
issue.
considered and
The
opinion
Court’s
request
denied
for an
hear-
crystal
words,
is
clear.
Bar-
AEDPA’s
ing
unpublished
in an
order. Later
it
“develop
kell failed to
the factual basis for
(as
the issue
as his
revisited
well
other
his claim.”1 That
is a merits decision
arguments)
a formal opinion. Barkell v.
entitled to AEDPA
But in-
deference.2
State,
(Wyo.2002).
In his second
diligence
Barkell claims that
Barkell exercised sufficient
he was entitled to remand for an
eviden-
state court
avoid the strictures of
2254(e)(2).”3
tiary hearing
693-94.)
on his claims of
(Majority
ineffective
atOp.
counsel,
assistance of
citing Calene v. Since he “identified such
for us”4
State,
693)
(Wyo.1993).
(Majority
rule does (5) years if filed more than five allowed appellate If counsel was ineffec- counsel. judgment after of conviction remedy. Barkell has He can tive another entered. relief in the post conviction petition (1977) (emphasis § 7-14-103 Wyo. Stat. relevant court. The statute state district added.) provides: potential has exhausted (a)A procedural- claim this act under appellate assistance of claim of ineffective jurisdiction and no court has ly barred counsel. claim: if the to decide claim Wyo- (I) requires AEDPA deference raised Could have been but Its case. ming Court this appeal from the not raised a direct *19 contrary to was not or an unrea- decision application of federal deter-
sonable law as States
mined United
Court. We should affirm district respects.
in all America,
UNITED STATES
Plaintiff-Appellee, JONES, Smooth, known
Steven also
Defendant-Appellant.
No. 06-8003. Appeals, States
United Court
Tenth Circuit.
Nov.
