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ROBERT BRETON v . COMMISSIONER OF CORRECTION (SC 19072) Rogers, C. J., and Palmer, Eveleigh, McDonald and Robinson, Js.* Argued October 21, 2016—officially released May 23, 2017 Victoria L. Steinberg , pro hac vice, with whom were Moira L. Buckley and, on the brief, William H. Ket- tlewell , pro hac vice, and Jason A. Casey , pro hac vice, for the appellant (petitioner).
Harry Weller , senior assistant state’s attorney, with whom were Cynthia S. Serafini , senior assistant state’s attorney, and, on the brief, Maureen Platt , state’s attor- ney, and Michael Proto and Marcia Pillsbury , assistant state’s attorneys, for the appellee (respondent).
Opinion
McDONALD, J. The petitioner, Robert Breton, was found guilty of two counts of murder and one count of capital felony for the 1987 stabbing deaths of his former wife and his son, and was sentenced to death. The petitioner thereafter filed a petition for a writ of habeas corpus, attacking both his conviction and his death sentence. This appeal ensued after the habeas court denied the petition. Subsequent events have rendered the petitioner’s claims relating to his death sentence moot; see part II of this opinion; leaving for our consid- eration those challenging the judgment of conviction.
The principal issue in those remaining claims con- cerns defense counsel’s obligation to investigate and present mitigating evidence that could reduce a defen- dant’s culpability when the defendant has directed counsel not to present such evidence and has refused to aid in the presentation of such evidence. The petitioner claims, among other things, that his criminal trial coun- sel provided deficient representation by failing to inves- tigate evidence that would have revealed that he suffered from post-traumatic stress disorder (PTSD) and methamphetamine intoxication at the time of the offenses, which in turn prejudiced him by depriving him of a meritorious mitigating defense strategy. Specif- ically, the petitioner points to counsel’s failure to: (1) discover transcripts memorializing the petitioner’s account of fatally stabbing his father in 1966; and (2) test the petitioner’s blood sample drawn approximately forty hours after the crimes. The petitioner contends that, contrary to the habeas court’s conclusions, his refusal to admit to the 1987 crimes and his instruction to counsel not to present an extreme emotional distur- bance defense does not preclude relief because counsel had not adequately advised him of the evidence that was available due to their deficient investigation and they should not have acquiesced to the petitioner’s unin- formed decision.
We conclude that counsel must ensure that a defen- dant has made a knowing and voluntary decision not to present mitigating evidence. We further conclude that the habeas court properly denied the petition in the present case as to the claims related to this issue, as well as to the petitioner’s other claims challenging his conviction.
I
CRIMINAL TRIAL
The underlying criminal proceedings were the subject
of three previous appeals to this court. See
State
v.
Breton
,
Sometime before 4:30 a.m. on Sunday, December 13, 1987, the petitioner entered the town house apartment where his former wife, JoAnn Breton, and their fifteen year old son, Robert Breton, Jr., had resided since the couple’s divorce in January, 1987. The petitioner was armed with a knife. He proceeded to JoAnn Breton’s bedroom, where he viciously beat and stabbed her. Robert, Jr., came to the bedroom in response to his mother’s cries, but fled when the petitioner turned the attack on him. The petitioner pursued Robert, Jr., to the bottom of the staircase on the first floor, where the attack resumed. Both Robert, Jr., and JoAnn Breton sustained multiple knife wounds to the face, chest and neck. Each bled to death from a knife wound severing the carotid artery.
The petitioner left the apartment and, at some point thereafter, drove to a nearby reservoir. Later Sunday morning, he called someone to pick him up at the reser- voir because his truck had gotten stuck. Sunday eve- ning, he went to work. He made arrangements with Domenic Aurigemma, a friend and coworker, to retrieve the truck the next day. When the men met on Monday morning, December 14, the petitioner asked Aurigemma to first drive him over to JoAnn Breton’s apartment because he had repeatedly gotten a busy signal when he telephoned her over the weekend. Upon their arrival, the petitioner went to the apartment door but then returned to alert Aurigemma that he thought that there was blood on the doorknob. They then called the police.
After the police arrived, obtained entry to the apart- ment, and discovered the bodies, they interviewed the petitioner. They noticed that the petitioner’s hand was bandaged, with blood around the wound. An investiga- tion that same day yielded evidence inculpating the petitioner. One witness reported hearing screams and then seeing the petitioner leave the apartment at approximately 4:30 a.m. on December 13. That same witness also reported having been told by Robert, Jr., that the petitioner had threatened to kill JoAnn Breton. The petitioner was arrested at approximately 8 p.m. on Monday, December 14, 1987. A search warrant executed at the petitioner’s apartment yielded a pair of recently *5 washed sneakers, still wet, that matched bloody foot- prints in the apartment. At approximately 9 p.m. on December 14, the police executed a search warrant that compelled the petitioner to submit to the drawing of a blood sample. The state never tested that blood sample to match it to blood at the scene. Instead, a second sample was drawn and tested by the state in March, 1989, by agreement of the parties, after defense counsel moved to suppress the first sample on the ground that the warrant affidavit contained false statements attrib- uted to the petitioner.
Approximately one month before jury selection was to commence, defense counsel requested that the court order a competency evaluation of the petitioner due to concerns arising from their conversations with him. The trial court, Heiman, J., ordered an independent evaluation by a team of clinicians, who later reported to the court that the petitioner understood the proceedings against him and was able to assist in his defense.
While jury selection was in progress, defense counsel raised further concerns to the court when responding to the deadline for giving notice as to whether they would be presenting any expert testimony during the guilt phase in support of defenses relating to the peti- tioner’s mental state. See Practice Book § 40-18. Coun- sel informed the court that they believed that there was important evidence related to the petitioner’s mental state that could provide the jury with a basis to convict the petitioner of the lesser offense of manslaughter. Nevertheless, the petitioner had told counsel that he did not want them to present a defense of extreme emotional disturbance. Counsel explained that they believed that they must acquiesce to the petitioner’s wishes but asked the court to confirm the petitioner’s position. The trial court then engaged in a colloquy with the petitioner to confirm that he understood that evidence of extreme emotional disturbance could reduce his culpability from murder to manslaughter, but that he had nonetheless instructed his counsel not to file ‘‘any notices of claims of extreme emotional disturbance’’ and, additionally, that he had instructed them not to produce ‘‘any psychiatric evidence’’ at the guilt phase of trial. After receiving that confirmation, the court found the petitioner competent to make this decision. The court informed the petitioner that such a defense still might be presented if he later changed his mind. The court also informed the petitioner that his wishes did not foreclose the possibility that the court could charge the jury on extreme emotional dis- turbance if the evidence warranted such an instruction. The state’s attorney confirmed on the record his under- standing that defense counsel had not precluded the presentation of expert testimony relating to the petition- er’s mental condition at the penalty phase.
During the guilt phase of trial, the defense solely *6 advanced a theory of reasonable doubt. Counsel cross- examined the state’s witnesses in an effort to call into question the credibility of the eyewitness identification and the physical evidence linking the petitioner to the crime scene. In their case, defense counsel presented only three witnesses. The testimony of those witnesses was intended to establish that the petitioner had cut his hand at work, many hours after the crimes.
Before the defense rested, counsel asked, outside the presence of the jury, for certain matters to be placed on the record. First, defense counsel notified the court that the petitioner had elected not to testify. The court confirmed with the petitioner that he understood that he had the right to testify, but did not want to do so. Second, defense counsel expressed their concern that, despite repeated discussions with the petitioner, most recently that same day, he had refused to accept their advice to allow them to present an affirmative defense in mitigation. They asked the court to confirm the peti- tioner’s decision. Before eliciting any statements from the petitioner, the court explained that it had no knowl- edge of the substance of the petitioner’s discussions with counsel and was not seeking such information, as the court should not be privy to such matters. The court then explained to the petitioner that the presentation of certain evidence could result in a conviction of a lesser degree of homicide and urged him to give serious consideration to counsel’s advice, pointing out that the court’s previous denial of defense counsel’s motion for a judgment of acquittal meant that there was sufficient evidence to present the capital felony and murder counts to the jury. The court took a short recess to afford the petitioner an opportunity to consult with counsel. When court reconvened, the petitioner con- firmed that he had had a chance to discuss all aspects of the case with counsel, and counsel confirmed that the defense had no further evidence to present. After the state rested, the court gave a charge to the jury that included an instruction that, if it found that the petitioner had acted under the influence of an extreme emotional disturbance for which there was a reasonable explanation or excuse, it could find the petitioner guilty of manslaughter in the first degree instead of murder. The jury returned a verdict of guilty of murder and capital felony.
The first penalty phase proceeded before the same jury approximately five months later, at which time defense counsel presented evidence of mitigating fac- tors. Mitigating factors also were presented at the sec- ond penalty phase hearings heard by a three judge panel eight years later, following this court’s reversal of the judgment imposing the death sentence in the first pen- alty phase. The primary evidence came from two expert witnesses, Walter Borden, a psychiatrist who had con- ducted a forensic psychiatric evaluation of the peti- tioner, and Anne Phillips, a clinical psychologist who *7 had administered a battery of psychological tests to the petitioner. Borden and Phillips both diagnosed the petitioner as suffering from a severe mixed personality disorder with borderline schizoid, paranoid, and depressive features. Both experts opined that, at the time of the offenses, the petitioner suffered from extreme emotional disturbance and his mental capacity was significantly impaired.
Borden’s testimony was of particular significance. He had interviewed the petitioner on four occasions, beginning just two months after his arrest, in February, 1988, and ending in December, 1988. Borden also elic- ited background information from certain members of the petitioner’s family, and reviewed psychological reports and certain public records pertaining to the petitioner. Those records included a presentence inves- tigation report relating to the petitioner’s conviction of manslaughter for killing his father twenty-one years before the petitioner killed his former wife and his son.
Borden testified that the petitioner’s early childhood
and adolescence were replete with horrific neglect,
abuse and abandonment—some of the worst Borden
had ever encountered—that had significantly affected
the petitioner psychologically. Borden described those
circumstances at length, which this court recounted in
Breton III
, supra,
Borden recounted the following information that he had elicited regarding the two events that are relevant to the petition presently before us, which we memorial- ized in Breton III : ‘‘On December 3, 1966, the [petition- er’s] father left the house to go drinking. It was later reported that, while out drinking, the [petitioner’s] father stated that the time had come to kill the [peti- tioner, who was then nineteen years old]. The [peti- tioner] was at home with his grandmother, who had just prepared a meal for them to eat, when the [petitioner’s] father came in, threatened the [petitioner], pushed the kitchen table against him and threw him up against the wall. The [petitioner] retreated into the bathroom to escape from his father and told his grandmother to call the police. The [petitioner’s] father then attacked [the] grandmother.
‘‘The [petitioner’s] memory about what happened next was not clear. Borden testified that the [petitioner] told him that he remembered picking up a knife and seeing his father fall, apparently hurt. The [petitioner] did not remember stabbing him, however. The [peti- tioner] then ran out of the house, found a police officer to whom he indicated that his father had been hurt and brought the officer back to the house. The [petitioner’s] father died of multiple stab wounds to the chest and face. Ultimately, the [petitioner] confessed to the kill- *8 ing. He pleaded guilty to manslaughter and received a suspended sentence. Borden testified that the [peti- tioner] told him that he did not clearly recall stabbing his father, but admitted that he must have done so.
‘‘Shortly after the [petitioner] killed his father, he met his wife, JoAnn Breton. He married her in December, 1967, within a few days of the first anniversary of his father’s death. The [petitioner] was very dependent on his wife for stability and psychological support, but their marriage was stormy. Borden testified that the [petitioner] was pathologically jealous of other men, paranoid and delusional, and that these conditions derived from a belief that he could not be loved and from a profound distrust of other people.’’ (Footnotes omitted.) Id., 342–43.
‘‘When the [petitioner] was laid off [from his job in 1985], he became depressed and started drinking heav- ily and taking pills. The relationship between him and his wife worsened. . . . Divorce proceedings were ini- tiated in July, 1986, and were finalized in January, 1987.
‘‘During this period the [petitioner] continued to become more depressed and to drink heavily. He also took the prescription drugs Desoxyn and Fiorinal. Desoxyn is an amphetamine with a potent stimulant effect. Borden testified that it was the worst medication that could have been prescribed for the [petitioner] because it would have exacerbated his depression and paranoia and could trigger violent behavior. He also testified that using the drug in combination with alcohol would be ‘like throwing gasoline’ on a simmering fire.
‘‘Borden testified that the [petitioner] reported to him that he was extremely depressed during the month of December, 1987. His birthday, the anniversary of his father’s death and his wedding anniversary all occurred in that month. It would have been his twentieth wedding anniversary that year. [He felt abandoned by the fact that his former wife and his son were planning to leave for Florida on December 17, and would be away for Christmas.] . . .
‘‘On December 12, 1987, the [petitioner] went to his former wife’s house in connection with one of [the various] tasks [that he had recently undertaken in the hopes of reconciling with her]. While there, he took her keys. That evening, the [petitioner] went to a bar. He met a woman there . . . and took her back to his house, where he attempted unsuccessfully to have sex- ual intercourse with her. At some point, he took the woman home and then returned to his own house. He then noticed the keys that he had taken from his former wife’s house and decided to return them to her and to try to talk to her. By then, it was very early in the morning of December 13.
‘‘Borden testified that his understanding of the events that happened next was based on [his first] interview *9 with the [petitioner] on February 20, 1988. [3] The [peti- tioner] told him that, as he parked the car in the parking lot [at] his former wife’s house, he thought that he saw someone walking around [outside]. He then ‘strapped on’ a knife, went to the door and let himself in with the keys. [The petitioner was wearing gloves.] The [peti- tioner] reported to Borden that, at that time, he felt nervous, scared and unsure of himself. He laid the keys on an ironing board and then returned to the door, intending to leave. Instead, he went down into the base- ment. He did not know why. At some point, he went back up to the first floor and stood for a while. He then decided to go upstairs to his former wife’s bedroom. The [petitioner] reported to Borden that he still did not understand what he was doing. The [petitioner] entered his former wife’s bedroom, knelt on the bed and grabbed her. She screamed. The [petitioner] reported to Borden that he just wanted to talk to her at that point, but was unable to speak. His former wife then yelled, ‘Bobby, call the cops, somebody is hurting me.’
‘‘Borden testified that, at this point in the narrative . . . the [petitioner’s] demeanor changed dramatically. He began crying, sweating and trembling. In this agi- tated state, the [petitioner] reported to Borden that he had been trying to keep his former wife from yelling, not trying to hurt her. He recalled pushing her face down, wrestling on the bed with her and falling onto the floor. He found himself sitting on top of her and hitting her to keep her from yelling. She continued to scream to ‘Bobby’ that someone was trying to rape her.
‘‘At some point a light went on in the hall next to the bedroom. When the [petitioner] looked up he saw someone standing in the doorway. The [petitioner] did not know who it was. At that point, the [petitioner] took the knife in his hand. Borden testified that the [petitioner’s] description of his feelings at that time were ‘very similar [to those that he had described having at the time of] the death of his father where he described himself recalling, seeing the hand, his hand and the knife, not knowing what happened. . . . [I]t’s like he didn’t feel like he took the knife, he felt like his hand did it. It was a dissociative, it was not part of him.’
‘‘The [petitioner] reported to Borden that he did not recognize the person in the doorway. He said to his former wife that it was not ‘Bobby,’ but she said that it was. The person in the doorway then said something to the [petitioner]. The [petitioner] reported to Borden that he believed that the words were, ‘Dad, I love you.’ At that point, the [petitioner] saw his own arm go out and hit the person in the doorway. He could not clearly see the person he was striking because the light was behind that person.
‘‘Borden testified that, during this part of the [peti- tioner’s] narrative to him, the [petitioner] was extremely emotional, trembling and crying and appeared to be *10 racked and tormented by his recollection. Borden testi- fied that it was his impression that the [petitioner] was ‘back in that room’ as he reported the events. The [peti- tioner] reported that he hit the person in the doorway and saw something gushing out of his neck or head and heard something gasping and gurgling. At that point, the [petitioner] recognized his son.
‘‘The [petitioner] then heard his former wife calling him and he returned to the bedroom. She asked the [petitioner], ‘[W]hy, Bob?’ The [petitioner] then grabbed her hair and felt his hand hit her. He heard gurgling and then a crash. He left the bedroom and, as he started down the stairs, saw his son lying at the bottom of the stairs on the floor, shaking. At that point, he went back into the bedroom and knelt next to his former wife, who was lying on the floor and asked, ‘[W]hy, why.’ He told her that he just wanted to talk, but then he hit her with his hand again.
‘‘Borden testified that, at this point in the interview, the [petitioner] said, in reference to what happened next, ‘God, no, no, no, I didn’t do that.’ The [petitioner] reported that he left the bedroom and went back down- stairs. His son was lying dead at the bottom of the stairs with his eyes open and looking at the [petitioner]. The [petitioner] said to his son, ‘[T]hank you for the birthday card,’ and then stabbed him in the neck. [5]
‘‘Borden testified that, while the [petitioner] was reporting this portion of the narrative, he was saying, ‘[W]hy do I remember so much? Why do I have to remember?’ and ‘[W]hy, why, why.’ He also continued to cry and to be in an extreme emotional state. After describing his last act, however, his demeanor changed instantaneously, as if he had awoken from a nightmare. Borden testified that he could never persuade the [peti- tioner] to talk about the events surrounding the murders again. . . .
‘‘Borden testified that the [petitioner’s] experience of his hand as not being a part of himself was an example of the depersonalization that borderline personalities are prone to experience. Borden also testified that depersonalization is a defense mechanism developed by children who have been subjected to chronic severe abuse. As adults, such persons are prone to go into a dissociative state under severe stress.
‘‘Borden testified that, in his opinion, at the time of the offense, the [petitioner’s] ability to conform his conduct to the requirements of the law was significantly impaired; his mental functioning was significantly impaired; he suffered from a mental disease or defect, namely borderline personality disorder; and he was severely mentally ill. He also testified that the [peti- tioner] suffered from an extreme emotional disturbance at the time of the offense.’’ (Footnotes added.) Id., 344–49.
The three judge panel before which the second pen- alty phrase was heard made findings consistent with those found by the jury in the first penalty phase. The panel found that the state had proved beyond a reason- able doubt that the murders had been committed in an especially cruel manner. Id., 335–36. The panel found that the petitioner had not proved that he suffered from an extreme emotional disturbance, but had proved other mitigating facts, including that he was neglected, abandoned and the product of an abusive family unit during his childhood. Id., 336 and n.8. The panel con- cluded that none of the proven mitigating facts alone or in combination constituted mitigation. Id., 336. In accordance with its findings, the panel imposed a sen- tence of death. Id. The petitioner directly appealed from the judgment imposing this sentence to this court. Id.
While the appeal in Breton III was pending, the peti- tioner filed a petition for a new trial, claiming that two transcripts of the petitioner’s account of the 1966 killing of his father, which came to light for the first time during the state’s cross-examination of Borden at the second penalty phase hearing, constituted newly dis- covered evidence. One transcript was from a police interview conducted hours after the crime; the other was from the coroner’s inquest. The petition alleged that the transcripts would have led to a different outcome because the petitioner’s dissociated mental state reflected in the 1966 transcripts would have led Borden to diagnose the petitioner as having a significant dissoci- ated mental state at the time of the 1987 homicides that could have rendered him legally insane. This court continued the appeal in Breton III to allow that petition to proceed, after the petitioner argued that a hearing on the petition would provide a crucial factual underpin- ning for a related claim in the appeal. Id., 354. New trial counsel ultimately withdrew that petition with preju- dice, following Borden’s clarification that further test- ing would be necessary to determine whether the petitioner was legally insane at the time of the offense. [6] Id. The appeal in Breton III proceeded, and this court affirmed the judgment imposing a sentence of death on the petitioner. Id., 446.
II HABEAS TRIAL Some prefatory comments are necessary to explain the scope of our review of the habeas proceedings. After his judgment of conviction and sentence became final, the petitioner filed an amended petition for a writ of habeas corpus, claiming that constitutional errors had infected every stage of the criminal proceedings— guilt phase, second penalty phase, petition for a new trial, and appeal. The habeas court, Schuman, J. , denied the petition. The petitioner appealed from that judg- ment to the Appellate Court, and then moved to transfer *12 the appeal to this court.
Following our grant of the motion to transfer, we
issued our decision in
State
v.
Santiago
,
In the operative petition, the petitioner asserted the
following claims that are relevant to the present appeal.
First, he alleged guilt phase counsel rendered ineffec-
tive assistance by: (a) failing to discover the two 1966
transcripts, which could have ultimately established
that the petitioner suffered from PTSD with dissociative
features during the 1987 crimes; (b) failing to test the
blood sample taken from the petitioner approximately
forty hours after the 1987 crimes (first blood sample),
which had remained in the state’s file until discovered
by habeas counsel, and which could have established
that he suffered from methamphetamine (Desoxyn)
intoxication during the commission of the offenses; and
(c) presenting a marginal reasonable doubt defense to
the exclusion of a meritorious extreme emotional dis-
turbance defense. Second, he alleged that he had
received ineffective assistance of counsel in his petition
for a new trial because counsel had withdrawn the
meritorious petition with prejudice. Third, the peti-
tioner alleged that the cumulative effect of counsel’s
deficient performance regarding the aforementioned
matters constituted the prejudice necessary to establish
ineffective assistance of counsel, as well as a violation
of his right to due process. Fourth, the petitioner alleged
that the state’s failure to disclose the 1966 transcripts
constituted the suppression of material, exculpatory
evidence in violation of
Brady Maryland
, 373 U.S.
83, 87,
Hearings on the habeas petition took place in 2011— twenty-four years after criminal trial counsel was appointed, and twenty-two years after the guilt phase of the criminal trial concluded. Although we explore the details of this evidence in part III of this opinion in our analysis of the petitioner’s specific claims, we briefly summarize that evidence to provide context for *13 the habeas court’s decision.
The petitioner proffered testimony from Alan McWhirter and Richard F. Kelly, who represented the petitioner at the guilt phase and the first penalty phase, as well as from the other attorneys whose performance at other stages of the criminal proceedings was alleged to be deficient. McWhirter and Kelly had little recall of the details of their communications with the petitioner and their investigatory strategies due to the exception- ally long time that had lapsed since they represented the petitioner. Defense counsel clearly recalled, how- ever, that the petitioner had consistently taken the posi- tion that he did not commit the crimes and had consistently refused to allow them to present any defense that would be tantamount to an admission that he had done so. They acknowledged that they had believed all along that a reasonable doubt defense had little chance of success. Nonetheless they pursued that strategy because (1) they believed that the petitioner had the right to decide whether to effectively admit that he had committed manslaughter, and (2) the peti- tioner had suggested that he would take the stand to deny having committed the crimes if counsel put on evidence suggesting that he had done so. Defense coun- sel did not believe that they had specifically discussed PTSD with the petitioner, but they recalled discussing the petitioner’s drug and alcohol abuse. McWhirter testi- fied that defense counsel had recognized that intoxica- tion ‘‘would possibly be a defense we could raise depending on whether it was intention[al], uninten- tional, or whatever. Obviously it never got raised because [the petitioner] would not let us go in that direction.’’
The petitioner also proffered documentary evidence and expert witnesses. The petitioner presented expert opinion that the 1966 transcripts would have provided significant evidence that the petitioner was in a dissoci- ative state when he killed his father, which was reflec- tive of PTSD resulting from prior childhood trauma. The experts further opined that this evidence, in combi- nation with the petitioner’s account of the 1987 crimes to Borden and subsequent interviews or testing, demon- strated that he suffered from PTSD with dissociative features during the commission of the 1987 crimes.
The petitioner also presented expert testimony extrapolating, on the basis of the level of methamphet- amine detected when habeas counsel tested the first blood sample in 2005: (a) a range of the level of the drug in the petitioner’s system when the blood was drawn in 1987; and (b) from that range, a range of the level of the drug in his system forty hours earlier when he committed the crimes. The petitioner presented expert opinion that levels in this range would have caused the petitioner to suffer methamphetamine intox- ication. One of the petitioner’s experts, Neil Blumberg, *14 a psychiatrist, opined that the petitioner had six mental disorders at the time of the crimes—chronic PTSD, depressive disorder not otherwise specified, amphet- amine intoxication, amphetamine abuse, alcohol depen- dence, and personality disorder not otherwise specified with borderline features—that collectively had caused an extreme emotional disturbance. Another expert, Pablo Stewart, a psychiatrist, opined that the exacerbat- ing effect of methamphetamine intoxication on preex- isting PTSD or the methamphetamine intoxication alone had caused an extreme emotional disturbance at the time of the crimes.
Finally, the petitioner presented testimony from an experienced capital defense attorney that competent counsel defending such cases would have investigated these matters. This expert opined that counsel should not acquiesce to a defendant’s wishes whether to pre- sent such evidence, and should make continuous efforts to persuade a defendant to present such evidence.
The respondent, the Commissioner of Correction, proffered numerous exhibits relating to defense coun- sel’s investigation and presented his own toxicology experts on methamphetamine intoxication. Those experts opined that, because of various factors, a single, eighteen year old blood sample could not yield evidence to reliably establish a level of methamphetamine in a person’s system forty hours before it had been drawn. The respondent did not offer any experts on PTSD, but he cross-examined the petitioner’s experts as to the foundation of their opinions.
Notably, the petitioner did not testify at the habeas trial. Indeed, his habeas experts testified that the peti- tioner still maintained that he did not commit the crimes and would become so angry and defensive if any attempt was made to probe into that matter that they were forced to rely on his lone account of the crimes to Borden to make a diagnosis. The petitioner also did not offer Borden or Phillips as habeas witnesses to explain whether the transcripts or blood test would have affected their opinions.
The habeas court determined that counsel had ren- dered deficient performance in two respects, but that neither deficiency had prejudiced the petitioner in light of the position he had taken regarding his defense. The court deemed McWhirter and Kelly to have performed deficiently for failing to discover the 1966 transcripts containing the petitioner’s firsthand account of his father’s death. The court found that although defense counsel first became aware of the transcripts when the state’s attorney raised them while cross-examining Borden at the second penalty phase, the transcripts had been available to counsel in materials set aside as relevant to the 1987 crimes in the state’s attorney’s office. As to the significance of this evidence, the court agreed with defense counsel’s assessment that the prior *15 homicide was in part a ‘‘ ‘wild card,’ ’’ insofar as the prosecution could benefit from evidence that the peti- tioner had previously killed someone. The court found that the balance weighed in favor of full investigation, however, because the crimes had substantial similari- ties (irrationally slaying an immediate family member), and the circumstances of the 1966 crime (suspended sentence and probation on a charge of manslaughter) suggested a bona fide defense.
Nonetheless, the court determined that the petitioner had not established prejudice because there was not a reasonable probability that the result would have been different had this evidence been available. The court found that ‘‘the petitioner was a difficult and opposi- tional client who maintained, despite strong evidence to the contrary, that he did not commit the killings. Although first trial counsel thought their best defense was extreme emotional disturbance, because it would reduce murder to manslaughter and thereby eliminate a possible death sentence, for this defense to succeed the petitioner would have to acknowledge his actions in causing the victims’ deaths. The petitioner would not make that acknowledgment.’’ (Footnote omitted.) Not only that, but the petitioner had specifically forbidden counsel to assert a defense on this basis.
The court noted that criminal trial counsel had repeat- edly attempted to change the petitioner’s mind, and that attempting to override his decision was risky as a general proposition and particularly so in the present case. The court noted that it would be difficult to pre- sent the defense without the petitioner’s testimony admitting to the killings. There was nothing that would indicate that the petitioner would be willing to do so, whereas counsel had expressed a legitimate concern that the petitioner would take the stand and deny the killings. That action might not only negate the extreme emotional disturbance defense, but also would allow the state to impeach the petitioner with his prior admis- sion to Borden. As such, the court reasoned that overrid- ing the petitioner’s decision might not only doom the effect of the evidence at the guilt phase, but also nega- tively impact the jurors’ perceptions for purposes of the penalty phase.
The habeas court also found counsel deficient for failing to test the blood sample for evidence of intoxica- tion. The court could perceive of no strategic reason not to test the sample given the petitioner’s drug abuse and the possibility that drug use could support a claim of intoxication or be a mitigating factor at the penalty phase, and counsel had provided none. The court agreed with the petitioner that a blood test for drugs is the ‘‘ ‘gold standard.’ ’’
Nonetheless, the court found that the petitioner was not prejudiced by counsel’s failure to test the sample because he would not have permitted counsel to proffer *16 that evidence. The court reasoned: ‘‘At the guilt phase, the assertion of intoxication evidence essentially repre- sented a concession by the petitioner that, although he was intoxicated at the time, he nonetheless committed the killings. . . . The court credits the testimony of McWhirter that the petitioner refused to allow first trial counsel to take this approach. Drug testing . . . would not likely have changed the petitioner’s mind; the peti- tioner knew that his attorneys had abundant nonscien- tific evidence of the petitioner’s drug and alcohol abuse, yet he still opposed presenting evidence of intoxica- tion.’’ In its discussion of the penalty phase, the court also found that the petitioner’s habeas experts had not established that the petitioner took an intoxicating dose at the critical time before the murders, but rather had relied on one uncertainty after another.
In light of its resolution of the aforementioned claims, the habeas court summarily rejected the petitioner’s remaining claims of ineffective assistance of guilt phase counsel, a Brady violation, and cumulative error. The court deemed the petitioner’s stand regarding his unwillingness to admit to the killings to preclude a claim that counsel was ineffective for presenting a marginal reasonable doubt defense to the exclusion of a meritori- ous extreme emotional disturbance defense. The court concluded that the state had not suppressed the 1966 transcripts, but even if it had, the petitioner’s Brady claim would fail because the materiality standard set forth in Brady is the same as the prejudice component of the ineffective assistance of counsel standard. As to cumulative error, whether framed as ineffective assis- tance of counsel or due process, the habeas court con- cluded that such a claim is not cognizable under Connecticut appellate case law.
Finally, the court rejected the petitioner’s claim that he had received ineffective assistance of counsel in connection with his petition for a new trial. The court concluded that, because there is no statutory or consti- tutional right to counsel in connection with a petition for a new trial, the petitioner had no right to effective assistance of counsel. Accordingly, the habeas court denied the petitioner’s amended petition for a writ of habeas corpus. This appeal followed.
III
APPEAL
The petitioner challenges the habeas court’s factual
finding that he rejected the presentation of evidence of
intoxication and the court’s legal conclusions as to all
of his claims. In reviewing these claims, we are mindful
that ‘‘[t]he habeas court is afforded broad discretion in
making its factual findings, and those findings will not
be disturbed unless they are clearly erroneous. . . .
The application of the habeas court’s factual findings
to the pertinent legal standard, however, presents a
*17
mixed question of law and fact, which is subject to
plenary review.’’ (Internal quotation marks omitted.)
Horn
v.
Commissioner of Correction
,
A Ineffective Assistance of Counsel at the Guilt Phase
A fundamental premise of the petitioner’s challenge
to the habeas court’s decision is that neither his state-
ments rejecting a defense of extreme emotional distur-
bance nor his refusal to admit that he committed the
crimes precludes relief. Citing
Wiggins
v.
Smith
, 539
U.S. 510,
The respondent challenges the habeas court’s conclu-
sions that guilt phase counsel’s performance was defi-
cient with regard to either the transcripts or the blood
sample. In addition to arguing that there were valid
tactical reasons for defense counsel’s inaction as to
those two matters, the respondent argues that PTSD is
simply a new diagnosis by new experts based on the
same information on which the criminal trial experts
based their opinions, which establishes neither defi-
cient performance nor prejudice. The respondent
defends the habeas court’s determination that the peti-
tioner’s actions preclude him from establishing the prej-
udice necessary to obtain habeas relief. He further
argues that
Schriro Landrigan
,
We limit our analysis to the question of prejudice, as that issue is dispositive. We conclude that a client’s resolute, unambiguous instruction not to present miti- *18 gating evidence, if made knowingly and voluntarily, can preclude a showing of prejudice from counsel’s failure to investigate mitigating evidence. We further conclude, largely for the reasons set forth by the habeas court, that this standard was met in the present case.
The petitioner’s challenges to the effectiveness of
counsel are governed by certain well settled principles.
‘‘To succeed on a claim of ineffective assistance of
counsel, a habeas petitioner must satisfy the two-
pronged test articulated in
Strickland
v.
Washington
,
‘‘[S]trategic choices made after less than complete
investigation are reasonable precisely to the extent that
reasonable professional judgments support the limita-
tions on investigation. In other words, counsel has a
duty to make reasonable investigations or to make a
reasonable decision that makes particular investiga-
tions unnecessary.’’
Strickland
v.
Washington
, supra,
The Supreme Court has recognized, however, that
‘‘[t]he reasonableness of counsel’s actions may be deter-
mined or substantially influenced by the defendant’s
own statements or actions. Counsel’s actions are usu-
ally based, quite properly, on informed strategic choices
made by the defendant and on information supplied by
the defendant. In particular, what investigation deci-
sions are reasonable depends critically on such informa-
*19
tion.’’
Strickland
v.
Washington
, supra,
Although the foregoing considerations are familiar
to this court, we have not previously considered how
these general principles apply when a defendant has
refused to allow counsel to present mitigating evidence,
and has even gone so far as to suggest that he would
attempt to derail the presentation of such evidence if
pressed. Other courts have confronted this situation,
albeit principally in the context of the penalty phase of
capital cases. Those courts have recognized that when
a defendant instructs counsel not to investigate or pre-
sent mitigating evidence, the scope of counsel’s duty
to investigate may be more limited.
Cummings
v.
Secre-
tary for the Dept. of Corrections
,
‘‘A competent defendant’s clear instruction not to
investigate or present mitigation evidence also impacts
the prejudice prong of the ineffective assistance test.’’
Cummings Secretary for the Dept. of Corrections
,
*20
supra,
The court explained that ‘‘[n]either
Wiggins
nor
Strickland
addresses a situation in which a client inter-
feres with counsel’s efforts to present mitigating evi-
dence to a sentencing court.
Wiggins
[v.
Smith
, supra,
The majority rejected, in turn, the reasons cited by the United States Court of Appeals for the Ninth Circuit in support of its conclusion that Landrigan was entitled to an evidentiary hearing to establish ineffective assis- tance. The majority first rejected the Ninth Circuit’s primary determination that Landrigan could not have intended to preclude all mitigating evidence, even that about which he could not have known due to counsel’s failure to investigate. Id., 476. The majority concluded that much of the evidence that Landrigan claimed should have been investigated overlapped with the evi- dence that counsel had sought to present. Id. The major- ity noted that counsel had attempted to call Landrigan’s birth mother to testify about her ‘‘ ‘drug us[e] during her pregnancy’ . . . and the possible effects of such drug use.’’ (Citation omitted.) Id. The majority also pointed to Landrigan’s disruptive conduct when counsel tried to proffer anything that could have been consid- *21 ered mitigating as clear evidence ‘‘that Landrigan would have undermined the presentation of any mitigating evidence that his attorney might have uncovered.’’ Id., 477. The majority did not directly respond to the four dissenting justices’ criticism that it had not addressed the lack of neuropsychological information available to Landrigan at the time of his purported waiver, which could have established that Landrigan suffered from an organic brain disorder. Id., 482, 489 (Stevens, J., dissenting). The dissent argued that even if Landrigan knew all of the facts in his history that had led to this diagnosis, the court could not ‘‘assume that he could understand their consequences the way an expert psy- chologist could.’’ Id., 491 (Stevens, J., dissenting).
The majority, however, did respond to the Ninth Cir-
cuit’s decision to grant relief on the grounds ‘‘that the
record does not indicate that Landrigan’s decision not
to present mitigating evidence was ‘informed and know-
ing’ . . . and that ‘[t]he trial court’s dialogue with Lan-
drigan tells us little about his understanding of the
consequences of his decision . . . .’ ’’ (Citations omit-
ted.) Id., 478–79. The court explained: ‘‘We have never
imposed an ‘informed and knowing’ requirement upon
a defendant’s decision not to introduce evidence. Cf.,
e.g.,
Iowa Tovar
,
‘‘First, Landrigan never presented this claim to the
Arizona courts. . . . Second, in Landrigan’s presence,
his counsel told the sentencing court that he had care-
fully explained to Landrigan the importance of mitigat-
ing evidence, ‘especially concerning the fact that the
[s]tate is seeking the death penalty.’ . . . Counsel also
told the court that he had explained to Landrigan that as
counsel, he had a duty to disclose ‘any and all mitigating
factors . . . to th[e] [c]ourt for consideration regard-
ing the sentencing.’ . . . In light of Landrigan’s demon-
strated propensity for interjecting himself into the
proceedings, it is doubtful that Landrigan would have
sat idly by while his counsel lied about having pre-
viously discussed these issues with him. And as Landri-
gan’s counsel conceded at oral argument before this
[c]ourt, we have never required a specific colloquy to
ensure that a defendant knowingly and intelligently
refused to present mitigating evidence. . . . Third, the
Court of Appeals overlooked Landrigan’s final state-
ment to the sentencing court: ‘I think if you want to
give me the death penalty, just bring it right on. I’m
ready for it.’ . . .
It is apparent from this statement
that Landrigan clearly understood the consequences of
telling the judge that, ‘as far as [he was] concerned,’
there were no mitigating circumstances of which she
should be aware.’’ (Citations omitted; footnote omit-
*22
ted.)
Schriro
v.
Landrigan
, supra,
In assessing the impact of
Schriro
on the present
case, two distinctions from the present case bear noting.
First,
Schriro
and case law from lower courts on this
subject involve mitigation evidence in the penalty phase
of a capital case, wherein the absence of such evidence
made it exceedingly likely that the defendant would
be sentenced to death. Thus, the eighth amendment
concerns informing the standards imposed in those
cases do not apply to the present case. See, e.g.,
Hamil-
ton
v.
Ayers
,
Second,
Schriro
involved the highly deferential
review of state proceedings under the Antiterrorism
and Effective Death Penalty Act of 1996 (federal act),
Pub. L. No. 104-132, 110 Stat. 1214.
Schriro
v.
Landri-
gan
, supra,
A survey of case law preceding and postdating
Schriro
reveals that most courts have applied some
sort of knowing and voluntary standard, expressly or
implicitly, when evaluating the effect of a defendant’s
refusal to allow the presentation of mitigating evidence
at the capital sentencing phase on either (a) the effec-
tiveness of counsel or (b) the validity of a waiver of
the right to present mitigating evidence. See
Brawner
Epps
,
U.S.
,
Precisely what such a standard requires appears to
be context specific. Certain common factors can be
gleaned from the jurisdictions that have applied this
standard, however, which are consistent with those
that
Schriro
indicated would apply if a knowing and
intelligent waiver of mitigating evidence was constitu-
tionally required. The record must establish that the
defendant clearly and unequivocally expressed an inten-
tion not to present any mitigating evidence (or to limit
the mitigation evidence). See
Schriro
v.
Landrigan
,
supra,
U.S.
,
The record must also reflect that the defendant under-
stood that he had the right to present mitigating evi-
dence, the nature of the mitigating evidence, and the
consequences of failing to present such evidence.
Schriro
v.
Landrigan
, supra,
Finally, although
Schriro
did not expressly address
this concern, there is consensus that counsel may not
acquiesce to such an instruction when there is evidence
the defendant is not competent to make such a decision.
See, e.g.,
Brawner
v.
Epps
, supra,
Accordingly, we agree with the United States Court
of Appeals for the Eleventh Circuit that, if the record
establishes that the petitioner made a knowing and
intelligent decision not to present mitigating evidence
under the general factors previously discussed, he must
make two showings to establish prejudice under
Strick-
land
. First, the petitioner must show that if he had been
advised more fully about the mitigating evidence, there
is a reasonable probability he would have permitted trial
counsel to present such evidence at trial. See
Gilreath
v.
Head
,
1 Failure to Discover Transcripts to Establish PTSD The petitioner claims that he was prejudiced by defense counsel’s failure to discover the 1966 tran- scripts because they deprived him of evidence that would have led to a diagnosis that he was under an *26 extreme emotional disturbance caused by PTSD at the time of the crimes. According to the petitioner, the transcripts revealed that he was in a dissociative state when he killed his father, which would have led to a diagnosis that he suffered from PTSD with dissociative features when he killed his former wife and his son. The petitioner argues that such a diagnosis would have presented a different basis for an extreme emotional disturbance defense than the severe mixed personality disorder diagnosed by the criminal trial experts, which effectively portrayed him as a pathologically jealous former husband, as it would explain his violent reaction to stressful circumstances. We conclude that, even if we were to assume that guilt phase counsel were defi- cient for failing to discover the transcripts, any such deficiency did not prejudice the petitioner.
Although the habeas court emphasized the fact that the petitioner would not agree to testify in support of an extreme emotional disturbance defense and might even insist on testifying to dispute that he had commit- ted the crimes, our conclusion rests on a broader view of the record consistent with our previous discussion of the law. The record provides ample proof that the petitioner had consistently and unequivocally taken the position that he would not allow counsel to present any mitigating evidence that was tantamount to an admission that he had committed the crimes, but lacked the intent to kill when he did so. The sole statements to the contrary came shortly after his arrest, between January 11 and February 20, 1988. Don Light, a defense investigator, noted that when he questioned the peti- tioner about his sister’s report that he was having night- mares and flashbacks, the petitioner ‘‘became cheerful and made vague statements, such as, if I did it, I can’t believe that I did. He also said is it possible that I could have done this and not be aware that I did so.’’ Weeks later, the petitioner provided a detailed confession in his first interview with Borden, in the presence of Light and Kelly.
From March, 1988 until the defense rested in April, 1989, the petitioner, however, vehemently denied that account. When Borden met with the petitioner for the second time in March, 1988, two weeks after he had confessed to the crimes, the petitioner not only refused to discuss the events on the night of the murders but denied having committed the crimes. When Borden con- fronted him with his prior confession, the petitioner acknowledged the statement but said that he had made it up. He continued to maintain that he had not commit- ted the crimes in subsequent interviews with Borden in September and December, 1988. Similarly, Phillips noted that, in her October, 1988 psychological evalua- tion, the petitioner insisted that he had no direct knowl- edge of the manner of the victims’ deaths. In her report, Phillips further noted that, ‘‘[a]lthough he strongly denied knowledge of his family’s murder, [the peti- *27 tioner] stated that ‘I told them I did it . . . they needed somebody . . . I had no reason not to tell them . . . I have no reason to go on anymore.’ ’’
The petitioner also repeatedly expressed a desire to either force the state to prove its case or to have the state execute him. In September, 1988, Light reported to defense counsel that, when he had informed the petitioner about his upcoming evaluation with Phillips, the petitioner had said that defense counsel promised him the best possible defense, that he wanted a trial, and that he wanted ‘‘the state to ‘have to prove the case’ so that they can ‘zap me,’ which is ‘what I want.’ ’’ In response to this news, Kelly wrote a letter to the petitioner stating that Light had reported the petition- er’s ‘‘expressed desire to have the [state] execute [him], and the effect of that attitude on the nature of any defense to be presented.’’ Kelly asked the petitioner to keep an open mind on his options until defense counsel had a chance to assess all of the information and present him with his options.
At some unspecified point, the petitioner wrote a letter to Kelly stating in part: ‘‘I have no need of spending the rest of my life or any large part of it in a prison with unknown dreams, feelings and [an] uncertain knowing guilt. So my need is not to settle for anything lesser than the electric chair and without appeal which in turn will cause my death. For that’s the least I can do. I can’t feel or think of any other way!’’
In her October, 1988 psychological evaluation, Phil- lips noted that the petitioner had said that ‘‘ ‘it’s not worth trying to restart a life.’ ’’ The petitioner ‘‘expressed skepticism about his attorneys, doubting their commitment to helping him. He described the legal proceedings as a ‘game’ and stated that he was now only interested in seeing how ‘the system is—how good or bad it is—how the game is played.’ ’’
Sometime between the end of December, 1988 and the beginning of January, 1989, the petitioner rejected a plea bargain under which he would have avoided a death sentence but would have had to spend the rest of his life in prison. In a January, 1989 letter to the petitioner, defense counsel memorialized the two alter- natives that the petitioner had rejected, one of which would have allowed him to enter an Alford plea of guilty to two counts of murder. To ensure that the petitioner understood what this meant, the letter explained that an Alford plea would simply acknowl- edge that the state had sufficient evidence that, if believed by a jury, would likely establish his guilt, and would not be an admission that the petitioner had com- mitted the crimes. The letter noted that counsel thought it was important to make this clear ‘‘[i]n light of the different positions you have taken with us at various times throughout the course of our representation (‘I didn’t do it’/‘I did it’/‘Maybe I did it’/‘I don’t remem- *28 ber’) . . . .’’
In that letter, defense counsel also recounted prior discussions with the petitioner regarding the fact that Borden’s psychiatric evaluation gave them a potential extreme emotional disturbance defense. The letter explained that, if credited, extreme emotional distur- bance would be a complete defense to capital felony, and would reduce the two murder counts to manslaugh- ter in the first degree, which would likely result in maximum, consecutive sentences for a term of forty years imprisonment. It went on to note: ‘‘Despite the fact that an [extreme emotional disturbance] defense could, if successful, significantly reduce any penalty, you have forbidden us to use such a defense. We advised you before you made that decision that, in our opinion, defending the charges on an [extreme emotional distur- bance] theory was the best way to go. Given your posi- tion on [extreme emotional disturbance], we will proceed accordingly, not because we agree that it is the best way to go, but because you, as the client have the power to make that decision, even if we feel it is not in your best interests. You should be aware, how- ever, that we, therefore, will not file any Notice of Inten- tion to Rely (on any kind of mental defense) as we are required to by law . . . .’’ The letter ended by advising the petitioner to inform counsel immediately if they had misunderstood his position with regard to rejecting the plea bargain or an extreme emotional disturbance defense. There is no evidence that the petitioner there- after contacted counsel to indicate that they had misun- derstood his position.
As noted in part I of this opinion, because of their concerns about the petitioner’s statements and his rejection of their advice, defense counsel requested a competency evaluation in January, 1989. The evaluation noted that the petitioner ‘‘reported [that] his attorneys have discussed with him the possible defenses avail- able. . . . He indicate[d] that he differs with his attor- neys in his assessment of the strength of the evidence against him. He reports he is presently determined to take his case to trial, believing that the prosecution will have great difficulty proving his guilt ‘beyond a reasonable doubt’ to a jury.’’ Following the clinical team’s report to the court, two separate colloquies ensued with the petitioner. At each, the trial court con- firmed with the petitioner that he had directed counsel not to present a defense of extreme emotional distur- bance or ‘‘any psychiatric testimony,’’ and that he under- stood that he was forgoing the possibility of a strategy that could avoid a death sentence and life impris- onment.
At the habeas trial, McWhirter testified that the peti- tioner had been adamant about not presenting evidence of extreme emotional disturbance at the guilt phase. McWhirter affirmed that he had explained to the peti- *29 tioner ‘‘the risk of pursuing the reasonable doubt defense instead of [extreme emotional disturbance] or other mental state defense.’’ McWhirter stated that, in light of the petitioner’s position, their defense strategy was ‘‘to make the state cross all the ‘T’s, dot all the ‘I’s, and prove the case beyond a reasonable doubt.’’
With respect to specifically using PTSD as the basis for an extreme emotional disturbance defense, McWhirter stated that he was sure that they had consid- ered that condition, by that name or in another form. McWhirter had always assumed that the petitioner was in a dissociative state when he committed the murders. Although the petitioner was never specifically diag- nosed with PTSD, McWhirter knew that the petitioner had traumatic events in his background that he thought had impacted the petitioner’s mental state.
Kelly could not recall discussing PTSD with the peti- tioner, but explained that they had not considered rely- ing on PTSD as an affirmative defense at the guilt phase ‘‘because as with [extreme emotional disturbance] we were faced with a certain dilemma and that dilemma was that [the petitioner], in effect, had indicated that if we tried to offer a defense that necessarily involved him having done the act of killing his family, that he would insist upon testifying and denying it. Thereby, in my view, making him not only a murderer, if the jury should so find, but someone capable of looking them in the face and being—and—and lying to them and being a liar on top of it, which then would have implica- tions for the penalty phase.’’
This evidence conclusively demonstrates that the petitioner was informed, by the court and by counsel, that mitigation evidence could be presented that could reduce his culpability, and was advised against proceed- ing on a theory of reasonable doubt that had little chance of success. The court found the petitioner com- petent to make this decision, a finding that was sup- ported by the opinion of an independent panel. That his decision made it more likely that he would be exposed to a death sentence rather than a lengthy sen- tence of imprisonment does not in and of itself contra- vene that finding. The petitioner did not expressly limit or in any way qualify the scope of his decision to any particular extreme emotional disturbance theory or type of psychiatric testimony. Nor is there any evidence from which such a limitation may be inferred.
From his second meeting with Borden in March, 1988 until the defense rested at the guilt phase in April, 1989, the petitioner consistently refused to undertake any course of action that would be tantamount to an admis- sion to having committed the crimes and insisted on forcing the state to prove its case beyond a reasonable doubt. The petitioner effectively took the position that the only acceptable outcome would be an acquittal or a death sentence. In either case, an extreme emotional *30 disturbance defense, whether based on PTSD or other mental conditions, would thwart that clear intention.
The mere fact that defense counsel never specifically discussed PTSD by its name and diagnostic features with the petitioner does not support a conclusion that a reasonable possibility existed that the petitioner would have allowed counsel to advance a defense based on PTSD if counsel had informed him that there was evi- dence to support such a theory. Defense counsel’s investigation in support of an extreme emotional distur- bance defense uncovered many of the same basic facts essential to the habeas experts’ diagnosis of PTSD with dissociative features. [16] The habeas experts opined that the petitioner’s PTSD arose from childhood trauma, events before and including his father’s death. Borden opined that the severe chronic abuse that the petitioner had suffered when he was a child was the cause of the petitioner’s mental disorder and had ‘‘led up to what happened.’’ He characterized the death of the petition- er’s father as an event that left a deep emotional scar and connected it to the 1987 killings. The habeas experts opined that methamphetamine intoxication would exacerbate PTSD symptoms of impulsivity and aggres- sion. Borden reached the same conclusion regarding the drug’s effects on the condition he had diagnosed, specifically stating that the drug could trigger violent behavior. Phillips testified that the petitioner’s illness would significantly reduce his ability to contain his emotions and rage if confronted with conflict or loss. The habeas experts opined that the 1966 event placed the petitioner at greater risk of responding to traumatic events by developing a dissociative reaction. Borden and Phillips described the petitioner’s mental condition as one that could cause a person, when under severe stress, to ‘‘dissociate,’’ experience ‘‘depersonalization,’’ ‘‘derealization,’’ or a ‘‘disoriented state,’’ or go into a fugue state where one lacks awareness of what he is experiencing. Borden pointed specifically to the peti- tioner’s perception that he was not harming the victims but rather that his hand had committed the harmful acts. Defense counsel testified that they ‘‘always’’ had thought that the petitioner was in a dissociative state attributable to his childhood abuse at the time of the killings, even though they did not attribute it specifically to PTSD.
Indeed, one of the petitioner’s habeas experts who diagnosed the petitioner with PTSD, Blumberg, testi- fied: ‘‘I think . . . Borden and I are in the same ballpark but may have some different diagnostic labels that we’re using. . . . If you think that what . . . Borden has dis- cussed in his diagnosis of this mixed personality disor- der, all these features that he labels are actually features and symptoms of [PTSD]. . . . I would just really describe many of these features that he sees as part of his personality disorder as really being diagnostic of chronic [PTSD].’’
We do not intend to suggest that PTSD and severe mixed personality disorder with the petitioner’s associ- ated features lack any clinically material distinction. Nor do we suggest that defenses based on PTSD and such a disorder would have had equivalent tactical advantages. Our concern is whether these diagnoses would have been seen as materially different from the petitioner’s perspective when deciding to preclude an extreme emotional disturbance defense or the presenta- tion of any psychiatric testimony. The record does not establish that there is a reasonable probability the peti- tioner would have allowed counsel to present a PTSD defense if only counsel had discussed PTSD by name, clinical definition, or symptomology.
To the extent that the petitioner argues that his deci- sion was based on an extreme emotional disturbance defense limited to a theory that the petitioner commit- ted the crimes because he was a sad, pathologically jealous man, the scope of the investigation and the testimony of Borden and Phillips does not support that limited view. It might be fair to say that the state pressed such a theory, but those characteristics were only one part of a far more complex picture of the petitioner’s mental condition that defense counsel’s investigation had yielded. Nothing in the record reflects that defense counsel ever discussed their proposed defense in such terms with the petitioner. The petitioner declined to testify on this or any other matter at the habeas trial.
For the foregoing reasons, the petitioner cannot establish that he was prejudiced by counsel’s failure to uncover the 1966 transcripts. In light of his instructions to counsel and his refusal to assist in the development and presentation of mitigation evidence, there is not a reasonable probability of a different outcome if counsel had uncovered them. Moreover, because methamphet- amine intoxication was an essential element of the opin- ions of each of the petitioner’s experts, meaning that none concluded that PTSD alone caused an extreme emotional disturbance, the petitioner’s PTSD claim also fails for the reasons set forth in the next subpart of this opinion.
2 Failure to Test Blood Sample to Establish Methamphetamine (Desoxyn) Intoxication The petitioner claims that although the habeas court properly concluded that counsel was deficient for fail- ing to test the first blood sample because there was no strategic reason not to and such a test would have been the best evidence of intoxication, it improperly concluded that he was not prejudiced. He contends that the habeas court’s finding that he rejected a defense strategy based on intoxication is clearly erroneous. The petitioner further contends that he could not have made *32 an informed decision to do so because counsel never discussed the presentation of intoxication evidence. We disagree. [18]
The record reflects the following additional evidence related to the intoxication claim. In his February, 1988 confession to Borden, in the presence of Kelly and Light, the petitioner recounted his alcohol and drug abuse in the years and months preceding the crimes, citing ‘‘drugs including [V]alium, [F]iorinal and [De]soxyn.’’ In recounting the events in the days leading up to the murders early Sunday morning, December 13, 1987, the petitioner indicated that at various times on the preced- ing Wednesday and Thursday, he had been drinking and taking pills, including Desoxyn specifically, but could not remember how many pills. In his account of the events on Friday, Saturday, and early Sunday morning, he noted at several points that he had been drinking, but did not mention taking any pills or drugs.
Notes dated February, 1988, reflect that Light began an investigation into the petitioner’s drug use in the days leading up to the crimes. He obtained a letter from the physician who had prescribed medications to the petitioner since 1985, which indicated that the physician had last prescribed Desoxyn to the petitioner on Decem- ber 9, 1987 (three full days before the crimes). Light interviewed the pharmacist who had filled that prescrip- tion as well as previous prescriptions. The pharmacist indicated that the petitioner had previously abused his prescription medication, trying to obtain refills prema- turely. The pharmacist confirmed that, on December 9, he had filled the petitioner’s prescriptions for thirty Desoxyn pills and for 100 Fiorinal pills. Light learned that Desoxyn is an amphetamine and Fiorinal is a relax- ant. Light found it ‘‘[n]otable’’ that, although the Desoxyn prescription specified a dosage of one pill per day, the petitioner’s sister had informed Light that the bottle was empty when she found it in the petitioner’s apartment five days after the prescription had been filled. Light also contacted the petitioner’s health insurance provider to ascertain when and for what pre- scriptions it had paid.
At the habeas trial, McWhirter confirmed that the petitioner’s use of medications would have been a sub- ject of inquiry because such use could be relevant to the petitioner’s state of mind and a possible defense strategy. Light’s report of his investigation into the peti- tioner’s prescriptions and the empty prescription bottle gave McWhirter reason to believe that the petitioner may have been under the influence of more than his prescribed level of medication at the time of the mur- ders. McWhirter testified that the petitioner had told defense counsel ‘‘from the beginning that he was under the influence . . . of alcohol and prescription medica- tions . . . .’’ McWhirter further testified that, although he had no recollection of the specific inquiry to the *33 petitioner whether he was using any drugs or alcohol at the time of the murders, he was ‘‘quite sure that we had such a discussion at some point.’’ He could not recall whether the petitioner had informed defense counsel of the quantity of each drug he had taken before the murders, but assumed the questions had been asked. As previously noted, McWhirter explained that the use of intoxication evidence ‘‘never got raised because [the petitioner] would not let us go in that direction.’’
We conclude that the habeas court’s finding that the
petitioner would not allow counsel to present intoxica-
tion evidence is not clearly erroneous. The habeas court
credited McWhirter’s testimony that intoxication had
been discussed with the petitioner and that he would
not allow them ‘‘to take this approach.’’ Insofar as this
is a pure credibility determination, it is unassailable.
See
Sanchez
v.
Commissioner of Correction
, 314 Conn.
585, 604,
Granted, this single statement alone would be a thin reed on which to rest the habeas court’s ultimate find- ing. The evidence previously discussed, however, makes clear that this statement was not the only support for this finding. The evidence established that counsel had recognized that intoxication evidence could be used to raise a question as to the petitioner’s ability to form the necessary specific intent, and had commenced an investigation into this subject. Defense counsel obtained information from the physician who pre- scribed medications to the petitioner, the pharmacist who filled the prescriptions, the insurance company who paid for the prescriptions, and a family member who had knowledge of the petitioner’s usage. From these sources and the petitioner’s confession, counsel learned what medications the petitioner actually had been prescribed shortly before the murders, that he previously had abused his medications, that he had been abusing them a few days before the murders, and that most of his thirty day supply of Desoxyn, received on December 9, was gone on December 14. The fact that no further investigation was undertaken would seem to corroborate that the petitioner had instructed coun- sel not to ‘‘go in that direction.’’ Indeed, such an instruc- tion was wholly consistent with the petitioner’s refusal to allow the presentation of any theory tantamount to an admission to committing the homicides, and his expressed desire to make the state prove its case.
Despite the fact that the two colloquies with the crimi- nal trial court were limited to the petitioner’s decision not to present evidence of extreme emotional distur- bance, we are persuaded that the record establishes that the petitioner understood the consequences of refusing to allow evidence of intoxication. Indeed, the only strategies that he ever embraced prior to the con- clusion of the guilt phase were to obtain an acquittal or a sentence of death. A successful presentation of intoxication evidence would not achieve either end. Therefore, the petitioner’s instructions to counsel pre- clude his claim that he was prejudiced by counsel’s failure to test the blood sample because he has not established that he would have allowed evidence of intoxication had such a test been conducted.
Even if the petitioner could successfully distinguish a defense strategy based on intoxication from one based on an extreme emotional disturbance, he still could not establish the prejudice necessary to prevail on a claim of ineffective assistance. We agree with the habeas court that the petitioner did not proffer evidence estab- lishing a reasonable probability that he ingested an intoxicating dose of Desoxyn at a point in time prior to the crimes when it would have materially affected his conduct during the commission of the crimes.
Putting aside the habeas court’s questions as to whether the petitioner’s experts accurately extrapo- lated from the blood sample a range of the level of methamphetamine at the time of the blood draw, the petitioner’s expert, Stewart, conceded that these levels could be explained by the ingestion of Desoxyn shortly before the crimes, shortly after the crimes, or some combination thereof. He admitted that his intoxication opinion, therefore, relied upon an ‘‘assumption’’ that the petitioner had ingested the pills before the crimes, finding support for that assumption in the contrast between the petitioner’s description of his state of mind during the crimes and others’ description of his demeanor in the thirty-six hours afterward. According to Stewart, the petitioner’s description was consistent with someone suffering from methamphetamine intoxi- cation, whereas others’ descriptions were ‘‘consistent’’ or ‘‘not inconsistent’’ with someone coming down from a methamphetamine high. Stewart admitted on cross- examination, however, that the petitioner’s demeanor after the crimes was not inconsistent with someone suffering methamphetamine intoxication, and that it was possible for someone to be in such a state without it being readily apparent. Stewart’s opinion did not account for the petitioner’s strategic conduct upon leav- ing the crime scene of washing away any traces of blood from his person, clothing, and shoes. Moreover, Stewart’s assumption that a single blood draw could reliably establish the petitioner’s intoxication at a set point in time was not only contradicted by the respon- *35 dent’s toxicology expert, Charles McKay, but also by the petitioner’s toxicology expert, Gary Lage. Lage testified, consistent with McKay, that one could not tell from the level of methamphetamine in a single blood sample how much of the drug had been taken or when it was taken; one would need either the dosage or the time of inges- tion to determine the other element.
The petitioner’s experts also apparently gave no weight to the petitioner’s own statements regarding his drug consumption, which would seem to be the best evidence of this fact and did not support a theory of methamphetamine intoxication. The petitioner’s narra- tive to Borden contained no fewer than eight references to taking Desoxyn, ‘‘pills,’’ or ‘‘drugs.’’ He specifically recounted taking Desoxyn or ‘‘pills’’ as well as drinking at certain times on Wednesday and Thursday before the murders early Sunday morning. Although he recounted drinking (and, notably, even when, how many and what kind of alcoholic drinks he had) on Friday, Saturday, and the early hours of Sunday just before the murders, he never mentioned taking any pills during this period. Approximately thirty-two hours after the murders, when the petitioner was asked about his current medi- cations at the emergency room for treatment of his cut hand, he mentioned Fiorinal but not Desoxyn. The petitioner’s report to hospital personnel undermines the petitioner’s argument that little weight should be assigned to his failure to mention taking Desoxyn in his account to Borden because no one specifically asked the petitioner whether he had taken any pills shortly before the crimes. When asked, he still failed to report recently taking Desoxyn. Therefore, the petitioner has not established that there is a reasonable probability that, had the blood sample been tested, a different result would have ensued. [20]
3 Presentation of Reasonable Doubt Defense to Exclusion of Extreme Emotional Disturbance Defense The petitioner argues that, because defense counsel recognized that a reasonable doubt defense had a mar- ginal chance of success, they rendered ineffective assis- tance by failing to present a meritorious extreme emotional disturbance defense. The petitioner contends that defense counsel could not accede to the petitioner’s direction not to assert an extreme emotional distur- bance defense both because the petitioner’s decision was uninformed and because it was a tactical decision for counsel to make. Parts III A 1 and 2 of this opinion dispose of the petitioner’s first argument. We also dis- agree with his second argument.
Numerous courts have held that counsel has an ethi-
cal obligation to comply with an informed defendant’s
refusal to allow presentation of a mental disease or
*36
defect defense or mitigating evidence in the penalty
phase of a capital case. See
Frye
v.
Lee
,
The logic underlying these decisions extends to a
client’s instruction to his attorney not to present an
extreme emotional disturbance defense. See
Petrovich
v.
Leonardo
,
We also flatly reject the petitioner’s contention that,
even if defense counsel could not advance an extreme
emotional disturbance
argument
, they still could (and
should) have presented
evidence
supporting that the-
ory. The only substantive evidence supporting such a
theory would have been elicited, perforce, from the
petitioner himself, who plainly was not willing to sup-
port such an effort, or from one of the defense mental
health professionals, whose testimony the petitioner
advised the court he did not want. We fail to see how
such an approach would be faithful to the petitioner’s
emphatic instructions. The fact that an extreme emo-
tional disturbance instruction may be given despite a
defendant’s refusal to pursue such a defense is not to
the contrary. See, e.g.,
State
v.
Asherman
, 193 Conn.
695, 729–31,
B Ineffective Assistance of Counsel in the Petition for a New Trial The petitioner claims the habeas court improperly concluded that he had no statutory or constitutional right to counsel in his petition for a new trial and thus no corresponding right to effective assistance. He con- tends that every federal circuit to address this issue has concluded that a posttrial, preappeal motion for a new trial is a critical stage of the criminal proceedings, to which the constitutional right to counsel attaches, and that his petition for a new trial is subject to this same treatment. We disagree.
A predicate to the right to effective assistance of
counsel is the right to counsel. See
McMann Richard-
son
,
A motion for a new trial is filed ‘‘within the technical
confines of the docketed criminal case. No separate
civil action [i]s brought. . . . [A] petition [for a new
trial] is instituted by a writ and complaint served on
the adverse party; although such an action is collateral
to the action in which a new trial is sought, it is by
its nature a distinct proceeding. The judgment on the
petition terminates the suit which renders it final. On
the contrary, a motion for a new trial is filed in a case
then in progress or pending and
is merely a gradation
in that case leading to a final judgment
. . . . [E]rrors
which are claimed to have been committed in rendering
the judgment on a petition for a new trial are not review-
able on an appeal from the judgment rendered in the
action in which a new trial is sought. . . . On the other
hand, errors which are claimed in relation to a motion
for a new trial may be assigned on the appeal from the
judgment rendered in the case in which the motion is
made.’’ (Citations omitted; emphasis added; footnote
omitted.)
State
v.
Asherman
,
For the preceding reasons, a motion for a new trial
is a critical stage of the criminal proceedings, to which
the right to counsel attaches, whereas a petition for a
new trial is a distinct proceeding. The latter is related
to and can affect the criminal judgment in the same
way that a habeas proceeding may. There is no constitu-
tional right to habeas counsel, however, only a statutory
right. See
Gipson
v.
Commissioner of Correction
, 257
Conn. 632, 646 nn.19 and 20,
C Cumulative Error The petitioner contends that the habeas court improperly concluded that his claims that the cumula- tive prejudicial effect of counsel’s deficient perfor- mance either constituted ineffective assistance or a violation of due process were not cognizable under Connecticut law. He contends that cumulative error is a valid basis on which to grant relief under federal and Connecticut case law.
It appears to be an open question whether such claims
are cognizable under Connecticut law. Compare
Hinds
Commissioner of Correction
,
D Brady Violation for Failing to Disclose 1966 Transcripts Finally, the petitioner contends that the habeas court improperly concluded that the state did not suppress the 1966 transcripts in violation of Brady because defense counsel’s discovery requests did not seek these documents and the state’s open file policy was sufficient to discharge its Brady obligations. In light of our conclu- sions in part III A 1 of this opinion, the petitioner cannot prevail even if this contention is correct.
‘‘In order to prove a
Brady
violation, the defendant
must show: (1) that the prosecution suppressed evi-
dence after a request by the defense; (2) that the evi-
dence was favorable to the defense; and (3) that the
evidence was material.’’ (Internal quotation marks omit-
ted.)
State
v.
Smith
,
E
Conclusion The habeas court properly concluded that the peti- tioner had not established a basis for relief on any of his claims challenging his judgment of conviction. In light of intervening changes in the law, the petitioner’s claims challenging the penalty phase and resulting sen- tence of death have been rendered moot. The petitioner is free to file a motion to correct an illegal sentence pursuant to Practice Book § 43-22.
The appeal is dismissed with respect to the petition- er’s claims regarding the imposition of a sentence of death; the judgment is affirmed.
In this opinion the other justices concurred.
* This case was originally argued before a panel of this court consisting
of Chief Justice Rogers and Justices Palmer, Zarella, Eveleigh, McDonald
and Robinson. Thereafter, Justice Zarella retired from this court and did
not participate in the consideration of the case.
felony count only and not the lesser included murder counts in light of
[1]
Heiman, J.
The trial court, , rendered judgment with respect to the capital
the double jeopardy clause of the fifth amendment to the United States
constitution. See
State Breton
,
