*1 RECTED to compliant file a Petition for Allowance of Appeal days. within 30
Justice EAKIN participate did consideration decision of this matter.
130A.3d 601 Pennsylvania, Appellee COMMONWEALTH of MASON, Appellant. Lenwood No. 676 CAP.
Supreme Pennsylvania. Court Jan. 2015.
Submitted Decided Dec.
Patrick Egan, Rothschild, L.L.P., Fox Joseph Esq., Patricia A. McKinney, Esq., Philadelphia, McKinney & George, Lenwood Mason. Burns,
Hugh Esq., Tracey J. L. Kavanagh, Esq., Jeffrey Krulik, Office, Michael Esq., Philadelphia Attorney’s District Amy General, PA Zapp, Esq., Attorney Office for Common- wealth of Pennsylvania.
SAYLOR, C.J., EAKIN, BAER, TODD, STEVENS, JJ.
OPINION Justice STEVENS.
This is a capital appeal collateral from an order of Court Philadelphia of Common Pleas of County dismissing Appellant first petition Lenwood Mason’s for relief under Post (“PCRA”), §§ Conviction Relief Act 42 Pa.C.S. 9541-9546.1 19, 1994, Appellant’s convictions arose from the June stab- of Iona bing death Jeffries. The facts as underlying adduced at trial by affirming were enunciated this Court in on conviction and sentence direct appeal: jurisdiction appeals grant 1. This Court has exclusive over from the penalty post-conviction denial of relief in death cases. Pa.C.S. 9546(d). § 31, 1994, police were called to the 3800 block [0]n March Brown Philadelphia. Terry Officer Clearfield Street Street, on Iona walking Clearfield Appellant observed with Noting Ms. frightened close his side. look on Jeffries if face, officer asked approached Jeffries’ her and she on The officer noticed Ms. Jeffries’ right. was all bruises forehead, shoulder, Although Appellant neck mouth. the officer that Ms. Jeffries been attacked told had women, Ms. Jeffries informed the officer other several injuries. Jeffries actually had caused her Ms. Appellant to press to the officer that she was reluctant explained Appellant, as she he would kill charges against feared her. on own Ms. state [sic] Based observations and Jeffries’ ments, however, placed Appellant the officer under arrest. later,
Approximately evening three months of June bar, Slim’s, 1994, Ms. Jeffries was Cadillac of her been several friends. had *15 earlier, from on June prison days released two Ms. Jeffries and her friends to decided leave Cadillac When club, to another Jeffries go Ms. asked a male Slim’s and home, as him acquaintance Appellant drive she did want to accompany Upset by to her Jeffries’ plans club. Ms. him, yelled, to want it like that?” Appellant exclude “You and ran out of the bar.
At approximately following morning, Ms. Jeffries’ 9:30 mother, Jeffries, Mrs. Wisteria was at her home when she Appellant banging heard on the door. As Jeffries Wisteria door, protruding she saw hand approached through the screen door. Jeffries asked When Wisteria wanted, to Appellant replied what he he that he needed speak explained with Ms. Jeffries. Wisteria Jeffries asleep. Appellant Ms. Jeffries After insisted he was Jeffries, to speak Appellant with Ms. Wisteria Jeffries told got outside while she Ms. Jeffries. locked the door wait She room, upstairs went Ms. Jeffries’ where Ms. Jeffries and son, on a with her three sleeping year-old was then bed Anthony. Jeffries refused to come Ms. downstairs. Wiste- Appellant returned the front door and told ria Jeffries that Ms. sleeping Jeffries was and that he would have speak wait to her. Appellant then forced his into way house, Jeffries, pushed past Wisteria ran up and immediately stairs. Wisteria Jeffries called the police. Wisteria Jeffries retrieved knife from the kitchen and began head when she upstairs, Appellant saw descending steps. Appellant Jeffries, stated Wisteria “I got her now.” At that point, Wisteria attempted Jeffries to stab Appellant, pushed outside, but he her aside and ran where neighbor, Bell, Greg saw placing what appeared to be a knife into the waistband of his pants. Wisteria upstairs Jeffries ran Jeffries’ Ms. bedroom found and Ms. Jeffries bleeding profusely from multiple stab wounds. Po lice and rescue arrived and units Ms. Jeffries was taken dead. [2] the hospital, pronounced where she was Later that day, same Appellant surrendered to the and police charged first-degree, with murder burglary pos sessing an instrument crime. Mason, 500, 507-08,
Commonwealth v. Pa. (1999). Moore, Attorney Jr., Thomas Esq., Appel- W. undertook lant’s representation, hiring investigator, Ap- an interviewing mother, pellant and his Allan an retaining Tepper, Dr. in the field of expert psychology, forensic clinical perform psychological provide evaluation and to testimony during guilt of trial. sentencing phases As evaluation, of his Dr. Tepper conducted a clinical inter- part tests, of Appellant, intelligence administered view interviewed mother, discovery and reviewed materials police *16 along Philadelphia with School District past drug records and treatment records. Letter from to trial Tepper Dr. Allan counsel, 3/28/95; dated Declaration and Affidavit of Dr. Allan 10/29/07, Tepper, dated filed 11/1/07. According testimony of
2. to the the chief for Philadel- medical examiner Ms, phia County, by eighteen Jeffries’ was caused death wounds to stab head, neck, chest, back, abdomen, including body, her wounds to her arm, groin leg. and trial the Honorable C. Darnell Jones was
juryA before February appeal, 1996. As we noted on direct conducted following testimony: included the the trial behalf, that claiming on his own he had Appellant testified for the first drinking doing drugs, including POP been and time, at on the before the murder. He night the bar PCP, everything smoked the went testified after he or blurry leaving that he did recall Cadillac Slim’s and house on the of her going morning to Ms. Jeffries’ murder. not regain further maintained that he did his senses He murder, on of evening day until late in the the the again already jail. Appellant’s was mother and when he broth- in Appellant’s also testified defense. Es- [Kevin Mason] er on sentially, they they claimed that when the saw murder, of drugs of he under the and day the was influence any “high” they was unlike had ever his condition him experience. seen
Mason, Pa. A.2d at On February 713. murder, of jury first-degree the found guilty of At burglary, possessing and an instrument crime. the trial, jury of Jones penalty phase Judge instructed four regard aggravating mitigating to three circumstances and presented circumstances.3 All the evidence incorporated of trial during guilt phase during behalf mother, uncle, Larry his penalty phase, Lawhorn, Tepper provided testimony and Dr. additional aggravating "[t]he The circumstances were that defendant committed 9711(d)(6); killing felony,” § perpetration of a while Pa.C.S. knowingly offense the defendant the commission of the created “[i]n grave offense,” person in the victim of the risk of death to addition to another 9711(d)(7); significant § defendant has a histo- "[t]he Id. ry involving felony convictions the use or threat of violence 9711(d)(9). § N.T. at 130. person.” Id. mitigating were that defendant was under "[t]he circumstances The disturbance,” mental or emotional
the influence extreme Pa.C.S. 9711(e)(2), capacity appreciate § defendant the crimi- ”[t]he nality requirements conform his conduct to the conduct 9711(e)(3), impaired,” age § substantially Id. of the "[t]he law was crime,” 9711(e)(4), "[a]ny § time of the other Id. defendant mitigation concerning the and record of the evidence of character 9711(e)(8). § of his defendant offense.” circumstances at 131-132. N.T. 2/16/96 *17 the support mitigating circumstances.4 Following penalty the the phase, jury returned of verdict after finding death two aggravating circumstances and no mitigating circumstances.5 February Judge formally imposed Jones the death sentence on 20, 1996.
Following Appellant’s conviction
sentence,
and
trial counsel
Stein,
replaced by
Esq.,
Gerald
who
appeal
filed direct
on Appellant’s
Appellant initially
behalf.
challenged the suffi-
ciency of the
to support
jury’s
evidence
the
of
verdict
first-
(1)
degree
grounds
murder
there was insufficient
evidence
that Appellant
establish
necessary
acted with the
(2)
premeditation;
jury
failing
erred
Appel-
find that
lant was acting
passion”
under the “heat of
fatally
when he
(3)
Jeffries;
stabbed
jury
Ms.
and
in finding a
erred
specific intent to kill
Appellant
because
presented evidence to
show that he was intoxicated at the time of
killing.
See
Mason,
509-511,
sel rendered ineffective assistance
*18
(1) failing
properly
Appel-
consult with
by
trial
(2)
trial;
failing
adequate pre-trial
an
prior
lant
conduct
evi-
investigation, which would have revealed corroborative
spent
time
that
and the victim reconciled
Appellant
dence
murder;
immediately
the
together
days
the
before
stabbing
during
guilt
as a heinous crime
referring
the
Id.,
518,
513, 515,
Pa.
at
closing argument.
phase
716,
determined, however,
This Court
that
A.2d at
718.
to show that
was ineffective.
had failed
Appellant
pre-trial
that the amount of
consul-
explained
Specifically, we
inferring
the total extent
legitimate
tation is not
basis
pre-trial preparation,
and we fur-
adequacy
counsel’s
that
Appellant
allege any
ther
that
had failed
issues
noted
information
any
his counsel should
raised
beneficial
have
pre-trial
further
his counsel would have discovered had
that
Id.,
In addition to leveling guilt phase
claims,
ineffectiveness
Appellant also asserted on direct appeal that he was entitled
to a new trial
on
based
after
consisting
discovered evidence
a letter written by the victim to Appellant while he was
imprisoned and a
picture
visiting
the victim
which,
prison,
Appellant asserted, demonstrated their close
Id.,
and intimate relationship.
Pa.
Appellant’s sentence was thus affirmed this Court 24, 1999, it November became final on October when the United States Supreme Court certiorari. denied Appellant’s execution was subsequently scheduled for March 8, 2001, stayed but was following filing timely pro of a se *19 PCRA on petition February 13, 2001.7 Following several time, extensions of Attorney Egan Patrick filed an amended petition 25, on Appellant’s 2002, raising on January behalf thirteen for claims relief and an asserting entitlement evidentiary hearing discovery.8 and In Janu addition ary 25, 2002 petition, amended PCRA a Appellant submitted variety of including: additional documents to Imme “Motion diately pursu Re-Sentence Petitioner to Life Imprisonment” Virginia, ant Atkins v. 536 U.S. 122 S.Ct.
L.Ed.2d 335 and an accompanying “Supplemental PCRA, ‘‘[a]ny petition 7. Pursuant to Section 9545 of the under this subchapter, including subsequent petition, or second shall filed year judgment one of within the date the becomes final....” Pa.C.S. 9545(b)(1). § January petition pleadings 8. The subsequent and several were I, captioned Corpus as "Petitionfs] Habeas Relief Pursuant to Article Pennsylvania Statutory Section 14 of the and Post Convic Constitution seq. § tion Relief Under 42 Pa.C.S. 9542 et and Consolidated Memoran Notwithstanding Appellant’s captioning, dum Law.” this matter has properly petition. been ron, treated as a PCRA See Commonwealth v. Breaki 323, 327, (2001) (“As Appellant alleges violations of the constitution and of law which undermine the truth- determining process, cognizable his claims are under the PCRA only unavailable.”). corpus and the writ of habeas Petition”;9 in “Supplement Response PCRA Amended Motion Dismiss and Opposition the Commonwealth’s Motion for Pursuant to Atkins Support in of His Relief Reply ” petitions. In “Supplemental” two PCRA Virginia; dismiss, motions to Commonwealth filed several response, the claims were majority Appellant’s previ that the asserting or, reviewable, if waived, meritless. Addi litigated ously boilerplate Appellant’s Commonwealth assailed as tionally, the ineffectiveness, asserting counsel’s allegations appellate such claims insufficient overcome waiver. are parties’ an eleven-year period, plead- Over the course of discovery requests various and numerous ings, along with then motions, by Judge were heard first Jones and ancillary M. Teresa Jones scheduled Judge the Honorable Sarmina. hearing claims, on several of but evidentiary Appellant’s an occurred, hearing Judge appointed Jones was before Appellant’s case trans- the Federal District Court and was hearing The was even- Judge evidentiary ferred Sarmina. in was limited to tually Appellant’s held October testimony phase During day hearing, issues. the five penalty Sadoff, from Dr. L. behalf elicited Robert Cooke, an expert expert forensic Dr. Gerald psychiatry; an Restak, an neuropsychology; in forensic Dr. Richard Tepper, Dr. Allan trial ex- expert neurology; Appellant’s counsel; Moore, Thomas trial At- pert; Attorney counsel; Stein, Thel- torney appeal Gerald direct Appellant’s supplemental petition asserted he is amended PCRA exempt "[intellectually and is from execution in disabled]” thus accor widely dance with Atkins. The term "mental retardation” had been High accepted by community The the medical and was used Atkins. approved replacement "mental retardation” with Court has since diagnosis. phrase disability” "intellectual to describe the identical *20 — Florida, U.S. -, 1986, 1990, Hall S.Ct. L.Ed.2d Association, (2014) Diagnostic (citing Psychiatric and American Statisti (5th 2013) (DSM-5)); cal Mental Disorders 33 American Manual of ed. Disabilities, Developmental on Intellectual and Intellectual Association (11th Definition, Classification, Systems Support Disability: and 2010) (AAIDDManual). litigated ed. While we note that this case was decided, parties experts both before Hall was and the and their use "intellectually phrases, opt we to use the more recent nomenclature integral quotation reproduced disabled” the former term is to a unless herein. mother; ma Mason, Appellant’s Lawhorn, Larry Appellant’s uncle; Mason, Brian and brother. The Common- wealth, turn, elicited testimony Gordon, of Dr. Barry an expert in neurology behavioral special expertise neu- ropsychology.
At testimony, the close of parties were directed file post-hearing submissions addressing penalty phase issues subject had evidentiary been the hearing. N.T. at 52. At that it time became clear that Appellant guilt was concerned he had phase claims that out- remained standing, as expressed as uncertainty claims which had disposed been Judge Jones and which claims were unresolved. Id. at 50-51. Appellant’s counsel indicated Judge provide Sarmina he would court with the status issues, of Appellant’s Judge that, Sarmina requested addressing addition to the penalty mitigation issues, phase parties’ post-hearing submissions also indicate the issues upon Judge which Jones definitively ruled and what issues were open.” “still Id. at Judge 51-52. Sarmina then set aside 13, 2012, February “for on argument case, this whole we will just to see everything be able where is at. And what issues might left....” still Id. at 54-55. parties
The filed the requested post-hearing submissions 6, 2012. February Appellant initially argued to the court that trial to fully investigate counsel failed background such provide background information expert. Ap to his pellant’s Post-Hearing Memorandum at 3.10Citing the affida Appellant specifically failing faulted trial counsel for to obtain the following records: (1) Records,” Philadelphia "Complete Appellant School which asserted learning disability. revealed the extent (citing Id. at 7 PCRAexh. 62, 69, 72, 91); C-56, 60, (2) Records,” Einstein "Albert Medical Center which assert- drug teenager ed he was revealed that treated for a as overdose C-166); history (citing had of cocaine abuse. Id. at PCRA exh. (3) Records,” "Philadelphia System Prison which asserted data,” "important background possible revealed attempts, head suicide
trauma, 226, 230, C-218, heavy drug use. PCRA exh. 257, 263, 269, 276, 282, 287, 288); Diagnostic Report, The Glen Mills [March 1981] Schools which IQ Appellant asserted revealed that he had taken tests which revealed *21 of testimony vit Thelma Mason and the affidavits of Brian and Mason, argued also trial MaryAnn Appellant Mason and penalty hearing-focused failed conduct interviews Appellant’s family, Appellant suggested which would (1) early revealed Appellant’s developmental problems have (2) standards, to meet expected Appellant’s hy and his failure (3) nature, corporal and the use of peractivity prone accident (4) household, difficulty punishment Appellant’s Appellant’s adjusting predominantly in a white neighbor school and white (5) hood, drug use as a teen and Appellant’s subsequent (6) hallucinations, paranoid addiction that and Appel caused Id. at 9-13. drug night lant’s use on the the murder. before Appellant further maintained that trial counsel to inves failed deficiencies, and, Dr. tigate despite mental health request, failed to school Tepper’s pre-trial provide additional records, past of alcohol psychiatric records treatment and and treatment, records, which, and drag Appellant criminal abuse asserted, prompted Tepper would have Dr. to recommended testing that neuropsychological Appellant would have revealed Dr. organic damage Tepper suffered from brain and enabled presence statutory on the of opine non-statutory and men In mitigation. health of this support argument, Appellant tal Cooke, Restak, testimony cited to the Doctors and Sadoff who, according had the benefit full Appellant, opinions and from Appellant records offered suffered variety cognitive conditions that affected behavior and jury’s have altered the determination to the mitigat would as (3). 9711(e)(2) Id. at 15-2 ing factors set forth in Sections and 1.11 performing grade scores of and that he was well below his level math, reading daydreamed excessively and that he and been had C-329, 331, 333, 334); (citing "spacey,” PCRA described as exh. Reports "Pre-sentence and Mental Health [dated Evaluations 12/3/85, 12/10/90, 6/29/94], Appellant which re asserted adjustment problems, self-reported history impul pattern
vealed stress, sivity personality diagnosis, schizoid under disorder Id. at 9 C-337, 338, 367, 368, 390, 391). (citing PCRAexh. raising alleged 11. In these instances of addition trial counsel's ineffectiveness, argued appellate Appellant failing counsel erred in In raising ineffectiveness, addition to claims of counsels’ argued also to the court guilt that the prosecutor’s phase closing arguments improperly urged jury to convict no Appellant because he had or sympathy remorse for the victim. Id. at 40 99-100).12 N.T. 2/14/96 *22 acknowledged that his trial objected counsel to the prosecu- tor’s objection comment and the sustained, was Appellant but contended that trial counsel rendered for ineffective assistance failing additionally request jury a curative instruction and appellate that counsel rendered ineffective assistance fail- Id. ing to raise trial error. counsel’s 41.
The Commonwealth countered that trial properly counsel hired and on opinions relied the Tepper, Dr. who reviewed majority of the records that allegedly counsel pres- failed to ent, and, following review, that did not any recommend addi- tional testing. post Commonwealth’s hearing at 2-3. brief The perceived Commonwealth further that the information in the contained “additional” records nothing more than cumulative of presented information the jury from other Id. at 6. The sources. if Commonwealth insisted that even jury the presented had been opinions experts the the retained by Appellant at PCRA stage, the impair- “mild” ment from they Appellant which suffer believed would not have compelled a different mitigation/aggravation conclusion. Id. Similarly, 7-13. disputed Commonwealth the con- tention that ineffectiveness could on be found based counsel’s Id. at 14-16. regard family tactics with testimony.
Oral argument occurred Judge February before Sarmina on 2012. immediately complained to the court that his counsel had not addressed the outstanding guilt phase issues, to which counsel Appellant’s responded he that didn’t include post-hearing them the memorandum submitted penalty phase behalf because the issues addressed argue performance appeal. trial counsel's deficient on direct Post- Law, Hearing Memorandum of filed at 36-39. 2/6/12 explained 12. counsel later he chose not take evi- closing argument improper during evidentiary dence on the issue hearing, believing unnecessary legal argu- because it the issue involved only. ment N.T. at 7. 2/13/12 “it certainly did seem hearing were extensive so.” N.T. at 4-5. Appel- time do appropriate “have not counsel the issues been
lant’s maintained “at waived,” his intention to address them and indicated argu- proceeding time.” Id. at Before hear appropriate issues, Judge again re- penalty phase Sarmina ment on indicate what issues were before the quested parties that the at 8.13 Id. court. 22, 2012, argument Judge oral on June
Following additional record that had not met the Sarmina stated on the on Appellant’s to achieve relief claim prejudice prong required at the penalty trial counsel ineffective rendered assistance In finding, Judge of trial. at 19. so phase N.T. 6/22/12 testimony she of Dr. indicated that had credited Sarmina prong had “on the prejudice concluded balance Gordon determination, Following Appel- has not met.” this been again expressed uncertainty regarding what lant’s outstanding op- further requested issues remained other *23 Acknowledging to brief the court. portunity Id. 22-23. necessity ruling of a formal on whatever claims remained undecided, Judge permitted briefing. additional Id. Sarmina at 23-24. 28, a “Motion for August 2012, Appellant
On filed Reconsid- of Post-Hearing eration Memorandum Supplemental Law,” “thoroughly reviewing the rec- indicating despite ord, Judge it is clear which claims Jones had entirely not on.” Motion for previously Supple- ruled Reconsideration and of filed Post-Hearing mental Memorandum Law of sought Judge The motion reconsideration Sarmina’s then proven has not trial counsel’s determination regard penalty phase to the claims and ineffectiveness (1) that: the trial argued guilt phase two claims additional that “life jury imprisonment” court instruct failed of possibility parole means life without the counsel was submissions, post-hearing they ap parties but 13. The filed additional pear response request they to the court’s address how the evidence, reweigh aggravating mitigating and do court should outstanding. Post-hearing sub what other issue remained address filed missions 6/19/12.
387 for failing (2) ineffective seek such an instruction, and trial ineffective for failing present expert testimony and additional in support evidence of heat of passion voluntary intoxication 10,14. defenses. Id. at Judge Sarmina heard final oral argument 3, 2013, on January and denied Appellant post-conviction relief. a timely filed ap- peal of the PCRA court’s denial of relief.14 of
“Our review a PCRA court’s decision is limited to examining whether the PCRA court’s of fact findings are supported record, by the and whether its conclusions of law Hanible, are free from legal error.” Commonwealth v. 612 Pa. 183, 204, 30 A.3d (citing Commonwealth v. Colavita, 1, 21, (2010)). 993 A.2d We view the of findings the PCRA and the evidence of court record a light most favorable the prevailing party. Id. With respect to the PCRA court’s decision to for deny request an eviden- tiary or to hearing, evidentiary hold limited hearing, such a decision is of within discretion the PCRA court and will not be overturned an absent discretion. See Com abuse Reid, (2014). monwealth v. Pa. 99 A.3d “The PCRA court’s determinations, credibility supported by when record, Court; binding however, are on this apply a de we novo standard review to the PCRA court’s legal conclu sions.” 1, 16, Roney, Commonwealth v. Pa. (2013). The denial of an appellant’s request discovery
is reviewed for abuse discretion.
To relief, a petitioner be entitled PCRA bears the burden evidence, establishing, preponderance that his conviction or sentence resulted from one or more of the § 9543(a)(2), circumstances enumerated 42 Pa.C.S. which *24 include a violation of or Pennsylvania United States Con- or counsel, stitution of any ineffectiveness one which “so truth-determining process undermined the that no reliable Appellant complied with the court’s directive to file a Pa.R.A.P. 1925(b) complained alerting concise statement of appeal, matters of on 1925(b) twenty allegations the court to four of error. Pa.R.A.P. State- 1925(a) Judge ment filed responsive filed a Sarmina Rule 2/20/13. opinion. 388 42 taken guilt place.” or innocence could have
adjudication 9543(a)(2)(i) (ii). Further, petitioner must § and Pa.C.S. previously has not allegation of error been show 9543(a)(3); § See or litigated pursuant Pa.C.S. waived Baumhammers, 364, 354, 625 92 A.3d v. Pa. Commonwealth (2014). 708, 714 if highest appel- “the previously litigated
An issue has been had review as a petitioner in which the could have late court of the A ruled on the merits issue.” right matter of has it “if have petitioner is waived could raised claim PCRA trial, unitary trial, during do so before failed to but prior postconviction proceed- or in a state review, on appeal ing.” Martin, 165, 177, 176, 5 A.3d 183 Pa. 607
Commonwealth v. (b)). 9544(a)(2), § (2010) (citing 42 Pa.C.S. that his claims assert majority
The ineffective provided assistance. trial appellate and effective, in order to overcome that and presumed Counsel prove must that: petitioner plead PCRA presumption claim (1) the ineffectiveness has underlying claim legal (2) any or merit; counsel’s action inaction lacked arguable interest; petitioner’s designed to effectuate reasonable basis (3) prejudice resulted in action inaction counsel’s Fletcher, 493, 515, 986 v. 604 Pa. petitioner. Commonwealth Natividad, (2009); 595 Pa. 759, Commonwealth v. A.2d 772 310, (2007).15 to ‘reason 188, 207, regard 321 A.2d “With 938 there basis,’ question ‘does not whether the PCRA court able counsel could action which logical were other more courses rather, must examine whether pursued; [the court] have ” Common any decisions had reasonable basis.’ counsel’s Bardo, 352, 678, 629 105 A.3d 684 wealth v. Pa. 604). 17, matters of 79 A.3d “Where
Roney, Pa. concerned, finding a chosen strategy ‘[a] tactics are Pennsylvania approach derives from our 15. "The three-factor utilized in Pierce, Pa. application in v. Commonwealth (1987), prejudice' the United ‘performance test articulated Washington, 466 U.S. Supreme Court in States Strickland v. Dennis, (1984).” S.Ct. L.Ed.2d 674 Commonwealth (2008). 159, 174, 950 A.2d *25 strategy lacked a reasonable basis is not warranted unless it can be concluded that an alternative not chosen offered a for potential success substantially greater than the course ” actually pursued.’ 4, 33, Commonwealth 624 Spotz, v. Pa. 84 294, Colavita, A.3d 311-12 21, 606 Pa. 993 887). A.2d at To prejudice, demonstrate a petitioner must show there is a that, reasonable probability but inactions, counsel’s actions or the result of the proceeding Strickland, would have been different. See 466 694, U.S. at 2052; 104 Laird, S.Ct. 332, Commonwealth v. 632 Pa. 119 972, (2015); A.3d 978 Tedford, 639, Commonwealth v. 598 Pa. (2008). 659, 1, 960 A.2d 12 Failure to any establish prong test will defeat an ineffectiveness claim. Strickland/Pierce Walker, 601, Commonwealth v. 612, 1, 613 Pa. 36 A.3d 7 (2011).
Because Appellant
represented by
was
new counsel
on direct appeal
that appeal predated
v.
Commonwealth
Grant,
48,
(2002),
572 Pa.
813 A.2d
required
726
allegations
raise
of trial counsel’s ineffectiveness at that
time, on pain
9544(b);
Fletcher,
§
waiver. See 42 Pa.C.S.
515,
To the prior extent that counsel failed properly investi- gate objections make the arguments raised throughout trial, this petition, post-trial motions and on direct appeal, ineffective, were violation of Peti- rights Fifth, Sixth, tioner’s under the Eighth Four- 16. Grant held generally that claims counsel's ineffectiveness should review, overruling prior procedural wait until collateral rule an- Hubbard, required nounced in which ineffectiveness claims be appellant raised as soon as an had new counsel. See Commonwealth v. 589, 597, (2005); Bridges, 584 Pa. Commonwealth Edmiston, 284, 294-95, (2004). A.2d to the United Constitution and
teenth Amendments States Pennsylvania of the Constitu- corresponding provisions tion. Additionally, Appel-
Amended PCRA Petition filed 1/25/02. claims of trial lant’s to this Court attaches each brief *26 layered appellate a claim that counsel’s ineffectiveness counsel assistance for those failing i-endered ineffective include appeal. claims on direct already claims of trial counsel ineffectiveness have
Where been, been, only have previously litigated could ... challenge a can mount a to the way petitioner successfully “layered” effectiveness counsel is assert claim ineffectiveness, that establishing appellate first counsel challenge in of trial failing ineffective effectiveness counsel, as a threshold trial requires which matter in the first instance. counsel was ineffective Dennis, 159, 175, v. 597 Pa. 950 A.2d Commonwealth (2008) (citation omitted). prevail upon layered To ineffec argument on the petitioner present tiveness claim must three of the test as to each relevant prongs Strickland/'Pierce Reaves, v. 592 Pa. layer representation. Commonwealth (2007). 1119, 1127-28 134, 147-48, 923 A.2d Thus, may still be entitled to PCRA relief if he can demonstrate ineffectiveness as trial counsel and both contends appellate Appel- counsel. The Commonwealth accomplished only lant has not this his brief offers because of appellate assertions counsel’s ineffectiveness which fail bald adequately address all three criteria toas Strickland/Pierce layered (citing those claims. Commonwealth’s brief 13-15 Steele, 341, 361, 599 Pa. Commonwealth (2008) for an proposition appellant that “where fails to all of the meaningfully prongs discuss three ineffectiveness test, for this Court is ‘constrained to find such claims waived ”).17 lack of development.’ failing any
17. The Commonwealth also faults
to cite to
counsel,
appellate
disputes Appel-
affidavit or certification from
obligatory upon appellate
it
lant’s claim that
is
raise merito-
claims, asserting
“appellate
rious
instead that it is well established that
however,
The
acknowledges,
Commonwealth
that this Court
may
has
that it
appropriate
held
be
to remand the
rather
case
deny
than
relief where
in
deficiencies
claims of
developing
appellate counsel ineffectiveness “mirror
those
the PCRA
Walker,
Id. at
n. 2
pleadings.”
This cases where the arguable merit of the claim of underlying trial counsel’s has ineffectiveness established, remand may been be warranted for opportuni ty to correct a pleading remaining deficient two prongs of the regarding appellate test inef counsel’s Stickland/Pierce Moore, 279, 290, fectiveness. Commonwealth v. (2004) (italics added). concluded, A.2d We have also *27 however, that is no there need remand a PCRA petition petitioner when the has not carried his bur Stickland/Pierce in relation underlying den to the claim of trial counsel’s ineffectiveness, if petitioner “since even the were to craft able in perfectly layered argument claim, support Id., petitioner’s claim him to (citing would entitle relief.” Rush, 3, 14, Commonwealth v. 657-58 (2003)). Thus, we need not remand if has not met of proving his burden trial counsel’s ineffectiveness. See also Reid, (where 171-72, 627 Pa. at A.3d the Common objection solely wealth’s waiver inadequacy based Appellant’s presentation his claim of appellate counsel’s merits, ineffectiveness, we will address the claims on the appropriate). where mind,
With these standards we turn the claims raised by Appellant. may reasonably forego arguable issues of merit order likely claims believes are
focus on
he
more
to succeed.” Common
Robbins,
259, 288,
wealth’s brief at 13-14
v.
Smith
U.S.
746, 765-766,
(2000));
Murray,
S.Ct.
Before portion that a of it has been the Commonwealth’s assertion so, recognize path parties To the circuitous waived. do we Although Court. have traveled reach this now developed each argues that trial counsel should have passion, capacity, heat of diminished three defenses intoxication, request post- he did not voluntary originally ground. on that Janu- particular relief conviction as petition amended PCRA instead asserted ary grounds for relief that: TO RELIEF FROM
PETITIONER IS ENTITLED HIS TRIAL AND SENTENCE BECAUSE CONVICTION RENDERED ASSISTANCE COUNSEL INEFFECTIVE AT PETITION- OF THE OF COUNSEL GUILT STAGE BY TRIAL TO PROPERLY CONSULT ER’S FAILING TRIAL, TO TO PETITIONER PRIOR WITH FAILING ADEQUATE PERFORM AN PRE-TRIAL INVESTIGA- INVESTIGATE, TION, TO PROCURE AND FAILING THE IN OF AND PRESENT EVIDENCE SUPPORT TO DEFENSE OFFERED THE OF ONLY CHARGE MURDER—VOLUNTARY INTOXI- FIRST DEGREE RESULT, A CATION. PETITIONER’S RIGHTS UN- AS FIFTH, SIXTH, FOUR- DER THE EIGHTH AND TO THE UNITED TEENTH AMENDMENTS STATES 9, 13 AND ARTICLE CONSTITUTION SECTIONS *28 THE AND 14 OF CONSTITUTION PENNSYLVANIA WERE VIOLATED. i-ii, 1/25/02, Claim II petition
Amended PCRA filed in original). (capitalization part, petition supported the amended PCRA pertinent
In that, in of trial coun- argument light this with detailed claim voluntary a intoxication pursue sel’s decision diminished capacity defense, counsel was in ineffective failing lay obtain and expert testimony to support defense. only that The mention trial counsel’s failure a develop mental deficit diminished capacity defense was a allegation bald that “in addition to his present failure to to the jury overwhelming evidence of [Appellant’s] diminished capacity due to his PCP offense, use at the time of the trial counsel also failed investigate and to the present jury readily evi- available dence of deficiencies,” id. [Appellant’s] mental and the PCRA petition amended not assert or argue did that trial for failing was ineffective to develop passion a heat defense.
The matter pending was Judge before Jones for nearly years three more before any made reference to trial to develop counsel’s failure defense, heat of passion and that reference came not in a court approved supplement petition, PCRA “Response but in Opposi tion to the Commonwealth’s Supplemental Motion to Dismiss Discovery Requests.” Response filed 9.18 12/23/04 There is no that Appellant indication requested that PCRA court consider this be an document to amendment to Appellant’s PCRA petition, there is no indication court explicitly granted leave to amend.19
By
the time
raised the
of passion
heat
issue in the
“Response in
Opposition
the Commonwealth’s Supplemental
Motion to
and Discovery Requests”
December,
Dismiss
2004, the PCRA court
Atkins
in Appellant’s
was embroiled
claim, which
by argument
was followed
in 2005 on
applica-
Therein, Appellant
18.
asserted that "there
available
evidence
passion
this
investigate
was a crime of
that trial counsel failed to
"Response
Opposition
Supple-
introduce.”
to the Commonwealth's
Discovery Requests”
mental Motion to Dismiss and
filed
at 9.
The Rules
contemplate
of Criminal Procedure
that amendments to
pending
petitions
"freely
PCRA
are
allowed
achieve substantial
905(A),
justice,” Pa.R.Crim.P.
but Rule 905 amendments are not "self-
authorizing”
petitioner may simply
pending
such
"amend” a
Porter,
petition
supplemental pleading.
with a
See Commonwealth v.
510, 523-24,
(2012). "Rather,
explicitly
the Rule
only
permitted
states
that amendment
direction or leave of the
Id.,
PCRA court.”
bility of notes) the Common Lecture” “Sagel the disclosure 79, 106 Kentucky, violated 476 U.S. S.Ct. wealth had Batson (1986) (determining per that race-based 1712, L.Ed.2d 69 protection); and a claim equal strikes emptory violated must vacated because he that his conviction by Appellant competency hearing. Although a pre-trial not receive did issues,20 Appellant’s on the bulk these Judge Jones ruled for relief remained out underlying request post-conviction in Jones moved to the Federal standing Judge when took his Judge place. and Sarmina bench evidentiary hear- Only Judge after Sarmina conducted claim turn ing Appellant’s penalty phase mitigation did she guilt phase unresolved claims. N.T. Appellant’s 10/24/11— 10/28/11; time, By more than ten N.T. 22-23.21 6/22/12 passed petition since Amended PCRA had years filed, nearly eight years passed had since had been allegations regarding inserted counsel’s failure Appellant into his “Response Opposi- raise a heat of defense passion to Dismiss Supplemental tion to the Commonwealth’s Motion matters, Further Discovery Requests.” complicating his “Motion for when filed Reconsideration and Law,” Post-Hearing Memorandum he Supplemental as a “claim that passion couched the heat of issue had been adjudicated,” submitted but not without acknowl- previously granted permission Jones never edging Judge had petition the PCRA add the claim. Motion supplement Supplemental Post-Hearing Reconsideration and Memoran- added). at 1 (emphasis dum of Law filed 8/28/12 claim, Judge Jones allowed to withdraw the denied Atkins 20. competency denied relief on the relief on the Batson claim claim in 2008. Sarmina, During hearing Judge Appel- before an October Judge to the court that Jones had limited the lant’s counsel indicated evidentiary hearing penalty phase Appellant's issues. N.T. 10/15/10 proceedings of the October at 11. At the commencement Sarmina, Judge to the court that before counsel indicated hearing question been limited to the of whether trial counsel had failing present adequate mental health evidence as was ineffective mitigating pertained factors set forth in 42 it to the Pa.C.S. 9711(e)(2) (e)(3). §§ N.T. at 6-7. On January 2013, Judge Sarmina heard argument on the reconsideration of Appellant’s penalty phase mitigation claim and additional guilt phase claims. Appellant briefly argued trial counsel’s failure to present evidence in support volun- tary intoxication and mental deficit capacity diminished de- *30 fenses not but did address counsel’s failure to present a heat passion of defense. The Commonwealth not did comment on to properly failure raise the passion heat of claim grounds relief, as for post-conviction neither itwas addressed by Judge Sarmina, who decided the conclusion of the hearing that trial counsel was not ineffective. N.T. 1/3/13 In 29-30. so determining, Judge Sarmina first addressed trial counsel’s failure assail to form ability the specif- ic kill, intent to noting did, that “the evidence as whole in fact, show that [Appellant] of capable was the forming specific intent to kill very clearly and showed that in [Appellant] acted a deliberate manner.” Id. Additionally, Judge Sarmina deter- mined that trial counsel not obligated was to seek additional expert Dr. opinions after Tepper findings indicated his would not Id. at 30.22 helpful be of guilt phase Thus, the trial. Judge Sarmina not separately did address mental deficit diminished capacity generally but found the that evidence demonstrated that Appellant capable forming of spe- the cific intent to kill trial and that counsel reasonably had re- tained and Tepper, relied on Dr. thus supporting finding trial, During penalty phase Appellant complained 22. of he believed psychologist that his from brought "records should been have forth trial,” before the end of this and asserted that trial counsel rendered failing ineffective assistance for to do so. N.T. at 3. Trial 2/17/96 explained response although Tepper that he had retained Dr. defenses, potential guilt phases to build he decided not to call Dr. Tepper testify during guilt phase Tepper after "Dr. indicated that on opinion based he not examination could render an sufficient to further, guilt phase,” assist the defendant at the "[h]e that indicat- specifically ed to me he probably that could not and it would be testify phase....”. harmful if he were called defendant at that N.T. responded Appel- at 12-13. The Commonwealth also complaint, pointing lant’s out that the thrust of the defense at trial was Appellant overwhelmingly powerful had acted under an first-time PCP, testimony Tepper’s use of and that Dr. contradicted that. Id. at for failing ineffective not found that trial counsel should develop that defense. passion de- a heat presentation regard to
With counsel was not fense, concluded that trial Judge Sarmina testimony sup- present psychiatric failing for ineffective could make of such a defense because port showing legal provocation sufficient requisite objective were not victim; thus, elements the defense all the Judge Sarmina further noted 30-31. present. Id. at legal provocation, sufficient he prove could if even killing happened suddenly so as that the to establish failed Judge also acknowl- cooling period. Id. Sarmina preclude a appeal this Court had determined direct edged that Mason, 559 provocation. no there was evidence 714).23 setting forth her After reasons Pa. at 741 A.2d at record, Judge denied reconsidera- doing for so on Sarmina Appellant’s request post-conviction tion and dismissed court, indicating that the would receive parties relief open *31 at 32. of the dismissal. N.T. no notice additional 1/3/13 of Judge timely appeal Sarmina’s denial Following 1925(b) Adding to relief, a Rule statement. Appellant filed however, despite arguing developing procedural quagmire, for Reconsideration to in his “Motion and Judge Sarmina of Law” that trial Post-Hearing Memorandum Supplemental three defenses of develop each discrete failed volun- capacity mental deficit diminished passion, heat 1925(b) Rule tary capacity, intoxication diminished Judge only Appellant that intended statement Sarmina alerted to ... and elicit claim on “counsel failed obtain appeal petition- testimony that would demonstrate expert witness and than murder.” Pa. guilty third-degree of no more er was supra, appeal on As this Court determined direct 23. noted passion support a defense since record did not heat of stabbing of the that he could he was so at the time claimed intoxicated exchanged give rise to whether words were which would not remember defense, passion was no evidence that the victim did a heat of there stabbing provoke Appellant, and anything immediately before just lying on when his mother was the bed victim’s son testified that Mason, began stabbing room and her. 559 Pa. Appellant came into A.2d at at 714. 1925(b) R.A.P. at 2, statement 5. result, Matter As a response 1925(a) contained in Judge Sarmina’s Rule opinion harkens back to Appellant’s original claim that trial counsel failed “investigate, procure present evidence” in sup- port of the defense of voluntary intoxication, Amended PCRA petition and addresses the reasons trial counsel should not be found ineffective for failing to develop that defense.
In doing so, Judge initially that, Sarmina opined to the extent Appellant asserts trial counsel erred in failing call lay witnesses Larry Lawhorn and Brian Mason in support of a voluntary intoxication defense,24 such an allegation was previously litigated by this Court on appeal, direct Pa.R.A.P. 1925(a) Opinion Mason, filed at 19-20 (citing 6). n. Turning A.2d 716 n. whether trial counsel was ineffective for call failing to a mental health expert to explain the effects PCP opine that the drug prevented Appellant from forming kill,25 the specific intent to Judge Sarmina reiterates her conclusion that trial counsel was not (1) ineffective for failing to do so because counsel acted appropriately by retaining Dr. Tepper, experienced an expert in forensic and clinical psychology, evaluate purposes (2) building potential guilt defenses; phase coun- sel reasonably Tepper’s relied Dr. indication counsel that on his based examination of Appellant he not an could render opinion to during assist the guilt phase and to might do so defense; instead be harmful to the counsel was obligated to search for additional, different, expert opinions receiving after Dr. Tepper’s opinion. Id. at 21-22 (citing Bracey, 264, 278, Commonwealth v. Pa. 942- petition argued despite PCRA amended trial coun- pursue guilt defense, phase sel’s decision to voluntary intoxication *32 investigation prevented trial counsel’s lack of pre- trial counsel from senting lay witnesses provide corroborating Lawhorn Mason to testimony Appellant drug morning was in a induced state on the of 20-21, petition the murder. Amended PCRA filed at 23-24. 1/25/02 Appellant's 25. petition argued amended PCRA that trial counsel failed present PCP, expert testimony to explain put effects of context, Appellant's day PCP use on the of the offense into and to offer opinion drug prevented an Appellant forming specific that the from 24, petition intent to kill. PCRA Amended filed 26. at for (2001)) (“An not attorney will be deemed ineffective of a expert testimony support choosing present not to conducting if an after reasonable expert, particular defense that he could not aid evaluation, attorney informed the defense(s) issue.”).26 at Rule as of a discussion
Additionally, part 1925(b) by limiting the the PCRA Court erred claim not evidentiary hearing by permitting additional scope guilty of no more Appellant illustrate that evidence to murder, Judge opined that with third-degree Sarmina than of a mental deficit diminished regard presentation to the defense, Tepper Dr. an trial counsel retained capacity testimony guilt phase attempt expert to secure including support any defense first-degree, to murder Dr. Tepper examined capacity. mental deficit diminished defenses, for such potential guilt-phase evaluated defense, capacity mental diminished but including the deficit testify could not Tepper Dr. informed trial counsel that he defenses; thus, trial counsel cannot be any guilt-phase support on reasonably relying Tepper’s for Dr. deemed ineffective evaluation. Id. 22, n. 19.27 learned 1925(b) language from the of his Rule state
Veering of his specific language to the more “Motion ment back Post-Hearing Memoran- Supplemental Reconsideration and regard Judge conclusion in this was not Sarmina notes that her by Tepper Appellant's criticism that Dr. had not been able altered light provide Appellant in of trial counsel’s failure to properly evaluate indicating Appellant’s Appellant's low the doctor with school records IQ, Judge such information irrelevant because Sarmina deemed opinion concerning the Tepper Dr. could have formed an whether 18, voluntary defense of intoxication. n. claim, by addressing way Judge this Sarmina determined 27. Also hearing genuine necessitating no issue of material fact there was failing present was ineffective for a heat of whether trial counsel since, appeal, passion Court on defense as determined this direct objective showing requisite of sufficient to make the failed victim, legal provocation by was not ineffective for thus counsel passion failing psychiatric testimony support a present heat present. of the Rule defense where all elements defense were Watson, 1925(a) Pa. Opinion at n. 19 v. Commonwealth (1989); Sheppard, 436 Pa.Su- 565 A.2d 137 563, Commonwealth (1994)). per.
399
Law,”
Appellant currently
dum
asserts
this Court
trial counsel was
for
failing
ineffective
develop
defenses
passion,
heat of
mental deficit
voluntary
intoxication
capacity. Appellant’s
diminished
at
brief
10.28The Common
wealth asks that we find waived the portion of this claim
pertaining
the heat
passion
because was not
defense
it
Appellant’s
raised in
petition
amended PCRA
failed to
obtain leave
court to supplement
petition
Reid,
include it.29 Commonwealth’s
at 25 (citing
brief
627 Pa.
Baumhammers,
173-74,
484;
at
Id.,
Noting
petitioner
not
A.3d
did
625 Pa. at
at 730.
claim;
petition
PCRA
the claim
seek
to amend his
to include the
leave
claim;
prior
within the
the PCRA
could not be construed as subsumed
Appellant’s responsive pleading
request
for
as
court did not treat
amend;
request;
no discussion of such a
leave to
the record contained
in its
did
address the new substantive contention
and
opinion disposing
waived,
court
not
claims,
Appellant’s
we found the claim
PCRA
solely
recognized
cannot be
further
that "waiver
avoided
by
Complained of
to
Concise Statement of Matters
reference
statement,
provided
Appeal,
which is
notice of
as such a
after the
filed,
already
operate
add
appeal has
been
cannot
to
new substantive
Id.,
petition
itself.”
claims
were not included
the PCRA
Pa.
391-392,
The bears through claims an to add amended court that she seeks he and, leave to freely grant the court shall petition, response, justice consistent so achieves doing substantial amend where 905(A). above, As of Pa.R.C.P. described with the dictates *36 permission to seek the PCRA court’s properly failed include, time, for the first petition PCRA amend that trial theory claim founded on layered ineffectiveness “heat of capacity a diminished presented should have trial. entertained the Judge defense at Sarmina passion” during evidentiary merits hear newly-raised theory on its not ing part as of a policy to authorize and address all new claims at had, fact, that time—she no adopted such policy33 in apparent —but upon reliance the parties’ taking up argu of ment the claim if it as had been properly pleaded at some point Judge We, before therefore, Jones. find that Appellant has waived heat of passion claim for failure to raise it in an authorized petition. amended PCRA if,
Even under the particular case, of circumstances this we willing were Judge view Sarmina’s opening statement at the 3, 2013, January evidentiary as hearing implicitly authorizing all claims, new including Appellant’s passion claim, heat of so as to preclude application of waiver doctrine herein, we would no still find error Judge Sarmina’s determination trial not counsel did render for assistance ineffective failing to present lay and expert testimony support of a “heat of passion” defense. engage We merits of review this ineffective assistance claim first.
Applying the governing standard ineffectiveness PCRA, claims begin by under the we reviewing Appellant’s assertion that this underlying claim is of arguable merit because there was that Appellant evidence acted out heat passion, presentation evidence, and the of such coupled with expert testimony, would have raised a reasonable doubt as first-degree murder. at A Appellant’s brief 14. heat passion defense is a partial defense that addresses the element and, intent if argued, successfully mitigates first-degree mur der to third-degree Hutchinson, murder. See Com. v. (2011). It seeks show that guilty murder,
defendant is of voluntary manslaughter, by not proving that at killing the time he or she acting under sudden and passion resulting intense from serious 3, 2013, January hearing, Judge 33. At the outset of the PCRA Sarmina clearly purpose: stated its "We here [are] for reconsideration as well as any might Judge additional claims have been addressed you thought Judge Jones but which should be addressed.” Id. at 2. As Jones could neither nor have "addressed” "failed to address” a "claim” place, that was never before him in raised the first Justice Sarmina’s contemplating statement only must be understood as those claims already raised before PCRA court. *37 404 2503(a) (“[a] § 18 victim. See Pa.C.S. by the
provocation justification lawful individual without kills an person who killing of he if at the time the manslaughter voluntary commits from resulting intense passion acting is a sudden under killed.”). the by ... individual provocation serious passion, heat of successfully argue In order victim, (1) of the part on the provocation prove defendant must with the (2) man confronted who was a reasonable to the extent “impassioned become would provoking events (3) that reflection,” cool the incapable of his mind was off time cooling sufficient between not have did defendant Busanet, See Commonwealth v. killing. and the provocation (2012) no 34-35, 35, (holding evidence of 54 55 Pa. A.3d 618 against Appellant threats the victim’s were provocation where affording Appellant shooting, thereby to the prior made weeks Martin, reflection); Pa. in cool 607 engage time sufficient (“In there determining whether was 186, 5 A.3d 189 in a passion to create uncontrollable provocation sufficient killer actually whether the we determine person, reasonable provocation lead passion, of whether acted the heat responsible slaying person to the directly off cooling killer had sufficient whether the provocation, and Williams, 391 n. time.”); Pa. Commonwealth (2009) (a occur n. violent confrontation the murder would serve reduce ring days before two not occur manslaughter, killings since do degree guilt time for there sufficient passion the heat of under where might have existed provocation between cooling whatever Further, missing, any element killings). “[i]f the actual Martin, also Com supra. fails.” See provocation defense Sanchez, 253, 314, A.3d monwealth v. (2013) (“If provocation there wanting—if be be any these provo cause of or without sufficient passion, passion without cation, cool, has resumed its time to and reason there be murder.”). killing will sway, Here, arguable merit declaring that there was required defense, posits that passion heat provocation came in the form of the cumulative effect “stormy relationship” with the victim and her revelations of infidelity. Appellant’s brief 14-15. Appellant asserts that such revelations are shown through the declaration of Appellant’s Uncle, Lawhorn, Larry that Appellant told Law- horn that the victim to Appellant *38 boasted of her infidelity they (2) while dating; were and Appellant’s statement to Dr. Robert that Sadoff the victim Appellant told about her sexual exploits with other men during her relationship with Appel- lant. Id. at (citing Lawhorn; Declaration of Larry N.T. 10/24/11, Sadoff). 31-32, Declaration of Dr. Robert Appellant does not specifically that, assert at the time of killing, victim’s provocation act, him to nor caused he does address the implications of a off cooling period.
In response, the disputes Commonwealth arguable merit pursuit defense, of a of passion reflecting heat that Appellant made no claim the anything victim did immediately prior to killing him, to provoke let alone hypo- that such provocation thetical Appellant incited to a sudden and intense passion, noting instead, and that Appellant testified that he no had recollection of the or killing his state of mind when committing it. Commonwealth’s at 26. In arguing, brief so the Commonwealth hearsay as inadmissible assails Uncle’s rendition him Appellant allegedly what told victim allegedly Appellant, told further posits regard- and that less, of infidelity revelations are not provocation sufficient support a heat of passion defense. Id. at 27 Common- Miller, 1, 20-21, wealth v. Pa. A.2d 649-51 (allegations of past victim’s in- infidelities and flirtatiousness Watson, provocation); sufficient 523 Pa. at A.2d (awareness victim, appellant’s former long-time girlfriend, had a boyfriend new not legal sufficient provocation)). The Commonwealth additionally asserts that expert testimony regarding Appellant’s state mind would have become rele- vant only Appellant had been legal able show sufficient provocation, not, further, which he could trial counsel cannot be failing investigate Appellant’s faulted recollec- crime, told Appellant of the because
tions the circumstances at 28. that he had no such recollections. trial arguable to show there was has failed Appellant We find defense, presented has not passion to a heat of merit found to have acted may trial counsel be upon which basis suggests a heat of unreasonably. To the extent provoking actions may purely defense be based passion resulting not to the contemporaneous statements that are mistaken, is clearly intense passion,” “sudden provocation “passion” and the passage time between as killings will be cooling period, must viewed as be of passion the heat where to have occurred under deemed for cooling provo time between whatever there was sufficient killings. the actual See have existed and might cation Williams, supra.34 argument may construed as
To the extent
was a
event
statement
suggesting
provoking
there
and/or
killing,
suggestion
to the
immediately prior
specious
such
*39
testimony that he
not
light
of
own
does
recall
Appellant’s
night
his actions from the
before the murder until after it was
committed,
provoked
act
much less remember what
those
ions,35
testimony of the victim’s son that she did
and the
v, McCusker,
regard Appellant’s reliance on Commonwealth
34. With
making
proposition
that "in
448 Pa.
his wife argument and their sometime prior to the incident “clearly insufficient” to of passion,” establish “heat appellant prove arguable pursuit did merit aof heat defense). of passion
For Appellant these reasons has to prove argu failed able merit to of a pursuit passion heat of if defense. Even presume merit, we were to such a has arguable defense Appellant must also show that trial counsel’s course of action basis, lacked a reasonable and he has simply not done so alleged. on the omissions based faults trial counsel for failing to develop accounts in “long-term, tense and relationship victim, contentious” specif ically argues that counsel presented should have obtained letters from victim to Appellant expressing her love for him. Appellant’s brief at It 16-17. unclear how such any letters would be of to proving benefit the victim provoked attack, Appellant prior causing him to act out Also, passion. sudden and intense because testi fied that he did not recall the killing, events he could point to no supporting evidence his claim that he in the acted Further, heat of passion. there was no of provoca evidence tion on attack, of the part immediately prior victim to the *40 Appellant the letters faults trial counsel for to failing provide such, obtain do not such it evidence. As was not unreasonable for counsel to forgo to attempting persuade jury that Appellant passion. acted the heat findings suggesting Sadoff’s cannot be viewed as that a such statement
was made.
408 that trial counsel turn claim now
We capacity for a diminished failing develop was ineffective defense, that has failed show Appellant and we conclude regard to trial counsel rendered ineffective assistance with capacity a diminished defense of such defense. A presentation intent to Mil and specific on the element negating is focused or intoxication. voluntary in mental defect may grounded be 312; Hutchinson, 340-41, 611 25 A.3d at Common Pa. See (2012). 63, “To Pa. 47 A.3d Spots, wealth v. defense, a capacity a defendant must establish diminished premedita cognitive that his abilities deliberation prove voluntary or compromised, by tion mental defect so were intoxication, specific he was unable formulate 90-91. A 616 Pa. at Spotz, intent to kill.” A.3d voluntary intoxication cannot be capacity diminished based intoxication, requires mere evidence but rather by made out the defendant was that demonstrates intoxicated evidence requisite to form intent. such an extent he was unable 1, 47, Spotz, v. Commonwealth Pa.
(2006). proves capacity a “For defendant who diminished third-degree mur defense, first-degree mitigated murder Hutchinson, supra Commonwealth Saranc der.” (2005)). hak, 292, 299 A.2d The factual intoxication voluntary which a diminished circumstances under obviously could mounted are different capacity defense deficit diminished than those which would warrant mental Nonetheless, Appellant addresses de capacity defense. has met together purposes establishing he fenses factors and trial showing the three Strickland/Pierce rendered ineffective assistance. counsel initially arguable there merit Appellant exists asserts investigated presented that trial should have claim capacity defense involun- diminished support evidence respect to involun- tary intoxication mental deficit. With intoxication, argues, counsel knew tary with low-functioning mentally struggled substance This years. Appellant’s his teen brief abuse since by family coupled testimony when offered mem- profile, *41 who appear bers viewed to “highly intoxicated” and “paranoid” evening question, should prompted have counsel further investigate into Appellant’s medical and which, history, asserts, corrections pro- would have vided additional of his evidence violent reactions to heavy drug use. Appellant concludes reasonable counsel in trial counsel’s position would then have consulted an as expert to the intoxi- cating of marijuana effects and PCP on Appellant’s mental state.
Contrary however, to Appellant’s position, it is clear trial counsel did undertake such a defense by presenting extensive testimony Appellant, mother, from his and his broth- er, Kevin, regarding Appellant’s highly intoxicated state be- (fueled fore the murder part by first-time use PCP to the point where out he completely appeared blacked to be hallucinating), dazed and appearance unusual Moreover, after the crime occurred. pursued he the expert neuropsychological opinion of Doctor as to the Tepper likely effects intoxication on Appellant, but he reasonably opted against using opinion the unfavorable Tepper Dr. offered. Therefore, though supports the record position that there arguable merit to investigating presenting a diminish- defense, ed capacity-involuntary intoxication it also shows that did, fact, trial investigate counsel present the claim. trial took a Whether counsel tack respect reasonable advancing this defense implicates prong reasonable basis claim, this up ineffectiveness which we take infra.
As for arguable merit to assertion trial pursued have capacity- should a diminished mental defense, Appellant deficit fails to establish that record supported Although would have such a defense. capacity diminished doctrine is as a well-recognized permissi ble defense to first-degree murder in appropriate situa tion, recognized this Court has is an the defense extreme ly Taylor, limited one. See Commonwealth v. Travag Commonwealth v.
lia, 108, 128, (1995)). Pa. n. A.2d 359 n. 10 Because the exclusively defense is directed at the negation it must intent, necessari be admissible evidence
specific
very ability
the criminal defendant’s
question
into
ly put
“[ejvidence
Thus,
that the defen
kill.
form the intent
actions or
to control his
her
acted
ability
lacked the
dant
kill,
and thus is
specific
intent
is irrelevant
impulsively
Fur
capacity
defense.
diminished
support
not admissible
*42
not suf
thermore,
personality
with a
disorder does
diagnosis
Hutchinson,
611 Pa.
capacity.”
fice to establish diminished
omitted).
(citations
Addition
341,
and footnote
Appellant specifically trial for failing faults to obtain from records the Albert Einstein Medical showing Center that occasions, Tepper Appellant 36. Dr. testified he met with on two for a hours, during total of Tepper four five which time Dr. collected background Appellant performed information from and intellectual and personality tests on him. N.T. at 72-73. The tests revealed a 2/16/96 73, Dr, IQ IQ verbal scale Tepper and a non-verbal scale also records, police reports, drug reviewed school and and alcohol treat- records, Appellant's ment interviewed Appel- and mother. at Id. reported Tepper lant and Appellant his mother to Dr. that suffered difficulties, learning problems, behavioral which were confirmed the Tepper Tepper records Dr. reviewed. Id. at 75-76. testified Dr. at the hearing light Appellant’s PCRA crime, that actions near the time of the Tepper opine Appellant Dr. could not that was unable to form kill, specific Appellant intent to instead he but believed was "able to intents, killing getting form certain it's whether to locations.” N.T. at 190-91. 10/25/11 Philadelphia teenager, on a and drugs overdosed as Appellant use Appellant’s heavy drug confirming System Prison records and head trauma. attempts” revealing “possible suicide that trial counsel counters Id. at 12. The Commonwealth by pre- intoxication defense voluntary reasonably pursued for the first time used PCP testimony Appellant that senting early morning stabbing, during that night before mumbling and hallu- stabbing Appellant was hours before (behavior from how he markedly different which was cinating stabbing that after high), and normally reacted when nothing and remembered extremely was disoriented Appellant at Commonwealth’s brief 16-17 events. previous of the hours’ 30-36). 156-167; 25-26, The at (citing N.T. 2/13/96 relied properly that trial counsel Commonwealth asserts background family provide accurate his Appellant and they information, and, supply the extent did attempts” “head purported “suicide information about for failing trauma,” incompetent be found counsel cannot 20, Further, Id. the Common- such uncover information. being out, specifically himself denied points, wealth Appellant 58; 6/22/12, 10/24/11, N.T. 17- suicidal. at 20 n. 18). present failing trial counsel also faults
Appellant Appellant longstand- had Brian that testimony brother He high stabbing. appeared before ing drug problem Appellant that Brian have testified specifically asserts would teenager, he from the time drug was a addict high, he was hallucinated when high night on the of the murder. brief looked 190; 10/26/11, Brian Mason (citing N.T. Declaration 4]), The Com- petition, PCRA tab [Appendix Amended only mother and counters that monwealth because *44 counsel, never trial and counsel was cooperated uncle information that any Mason would informed that Brian had defense, cannot deemed have counsel be supported have testify. to call Mason to unreasonably failing Brian acted 18; at N.T. (citing at 19 brief N.T. Commonwealth’s 10/25/11 202). further asserts that The Commonwealth at 10/26/11
418 Brian Mason’s testimony would have been cumulative. Id. at 20.
Appellant
lastly
that
posits
“[pjrofessionally reasonable
counsel who was in possession of this evidence would have
consulted an expert with
respect
diminished capacity/vol-
untary intoxication
provided
the relevant information to
the expert.” Appellant’s
at
Appellant
brief
13.
observes
his current counsel was
an opinion
able to
from Dr.
obtain
Mash,
expert
Barbara
an
in neuropharmacology, that
in-
toxicating
marijuana
effects of
PCP,
Ap-
combined with
pellant’s
organic
underlying
syndrome
brain
history
cocaine dependence, prevented Appellant from
forming
spe-
cific intent
Id. at 13-14
to kill.
(citing
of Dr.
Declaration
brief).
Barbara Mash
as
attached
“Exhibit C” to Appellant’s
To the extent that the
Commonwealth construes
as faulting trial
for failing
counsel
an
call Dr. Mash as
expert witness, the Commonwealth insists
a claim has
such
been
by Appellant’s
waived
failure
include it
a PCRA
Reid,
petition.
at 21 (citing
Commonwealth’s brief
Neither we find that Appellant proven has that trial counsel unreasonably retaining acted in Tepper, Dr. but de- him as clining call a in guilt-phase witness of a support defense, capacity light diminished Tepper’s Dr. conclu- was, Appellant indeed, sion that capable of forming the intent to kill. Whitney, 618, 632-33, See Commonwealth v. (1998) (trial reasonably counsel decided not guilt phase to elicit from testimony expert he had retained defendant, evaluate the the expert because determined that the defendant failed to meet the criteria for capaci- diminished defense). ty and would have weakened that Appellant also asserts that he suffered as prejudice the result of trial counsel’s regard, course of action in this alleging that had trial counsel conducted reasonable investi gation and provided the results to an appropriate that expert, expert have Appellant’s cogni could testified that “underlying tive dependence, together cocaine impairments intoxicated state the time of the Appel offense” rendered kill, lant incapable forming specific intent to prompting jury to acquit Appellant first-degree murder. Appellant’s brief 18-19. The disagrees, arguing Commonwealth that prove Appellant’s pur- that attempting additional evidence him from prevented and intoxication ported mental deficit to kill not forming specific intent would overcome jury introduced minds of the the evidence as before, which during stabbing, and after the actual demeanor fact, commit the crime in a did, that he deliberate showed at 24. purposeful manner. Commonwealth’s brief arguable In our that no merit conclusion there was light defense, capacity to the of mental deficit diminished pursuit investigated trial appropriately our that conclusion defense, voluntary intoxication and the evi- presented concerning before, of record demeanor dur- dence commission of the crime that ing, and after the contradicted form required specific unable to the assertion was he intent, trial find has but for we shown action, the outcome of this matter counsel’s course would different, thus has not that he have been established prejudiced. that we should an evi- Appellant asserts remand *47 on of trial hearing the issue counsels’ failure dentiary In develop capacity a mental deficit diminished defense. suggesting hearing necessary, Appellant per that a is first Judge it for Sarmina to credit ceives that was unreasonable 1, January hearing, trial statement at counsel’s Dr. supra, Tepper support was unable such discussed that defense, because, asserts, the guilt Appellant statement phase in proceeding. not made the context of an adversarial was 20-21, Appellant not of complain brief did explanation on trial counsel’s Judge reliance Sarmina’s occurred, however, Appellant the time it nor did raise 1925(b) such, As it allegation of error his Rule statement. 302(a) for cannot now relief. See Pa.R.A.P. provide a basis (“Issues cannot not raised the lower court are waived and first on appeal.”); raised for time Pa.R.A.P. 1925(b)(4)(vii) (“Issues not in the included Statement and/or of this provisions paragraph not raised in accordance with Hairston, 143, (b)(4) waived.”); 624 Pa. are Commonwealth (2014) Castillo, 170, 657, Commonwealth v. 84 A.3d (2005) 585 Pa. 888 A.2d (“Any issues not raised 1925(b) waived.”)); Pa.R.A.P. statement will be Common wealth v. Murray,
(Allegation that the trial court violated notions process due by partaking in an parte ex communication waived under 302(a) Pa.R.A.P. objection to failure to lodge due an at the revealed). time the communication was Appellant additionally asserts remand an evidentiary hearing necessary he because raised material issues fact as to trial provide counsel’s failure to Tepper Dr. with Appellant’s school records and psychiatric family records, and the counseling ignored PCRA court trial coun sel’s failure obtain evidence independently support mental deficit diminished capacity defense. Appellant’s brief 12-13). at 21 (citing N.T. 10/25/11, has proven necessity for an evidentiary remand hearing this issue, however. Judge Sarmina did not find credible Dr. Tepper’s testimony that he had received the records he would persuaded petitioner have been to send for neuropsychological testing, and she not persuaded Tepper had Dr. been provided additional he changed records would have his opinion at trial that “not petitioner did exhibit any signs symptoms or major indicative an underlying mental illness or disorder.” conjunction In assertion that trial counsel rendered ineffective for failing assistance to raise prop- and/or erly support capacity defenses, diminished heat passion argues also appellate counsel’s as ineffectiveness follows:
Appellate counsel no failing had reasonable basis for raise counsel’s to investigate [trial failure and present evi- dence supporting a diminished capacity/voluntary intoxi- cation heat of passion/voluntary manslaughter defense] *48 on direct appeal. He could have made this claim as one sounding in trial counsel’s for failing ineffectiveness investigate and raise a meritorious defense. rea- For the above, sons out set the claim would have been meritorious. Moreover, counsel could have had no strategic reason on failing appeal, this claim as the raising raise has also estab- obligatory. Appellant meritorious claim was claim on direct counsel raised this prejudice. lished Had outcome of probability that the is a reasonable appeal, there different. have been appeal would 20. Because has demon- Appellant’s brief on claim of underlying to relief entitlement strated ineffectiveness, however, his of appellate claim trial counsel’s necessarily defeated as well. See counsel’s ineffectiveness Moore, 289, n. n. 3. 580 Pa. at A.2d a New Trial Mason is Entitled to Mr. Claim Whether Improper, Elicited Commonwealth Because Hearsay In- Prejudicial Counsel were Whether Object They Did or Raise the effective When Not Appeal. Issue on Direct witness Terry Brown testified as prosecution Officer above, arrested As Officer Brown Appellant’s trial. noted as victim. The assaulting on 1994 for March at trial: following occurred exchange [the victim’s] What observations about PROSECUTION: you any particular make that led you demeanor did state of mind? conclusion about her Well, frightened like a look she was—she had WITNESS: stop or she did really face like she didn’t want us her tell, I it but knew stop, really want us to was hard as something they approached at which time wrong, I I wagon jumped wagon of the out driver’s side female, Miss, say started to you alright. are said She yes. Honor, objection. Your
DEFENSE COUNSEL: Overruled. COURT: defendant, yes and then the say She started
WITNESS: forehead, had bruises on her she I the female noticed neck, mouth, one on her had one on her she had of girls that a bunch had time the defendant said which her, from the away at which time she snatched jumped it. defendant said he did Objection, Your Honor. DEFENSE COUNSEL: *49 THE COURT: Just a moment. Overruled.
PROSECUTION: And she said what? At pointed WITNESS: which time she to the defendant and she state to me I he did it. automatically placed the defendant under arrest.... I spoke female, with the asked okay her was she I if asked her she press wanted to charges, at which very said, time she was I well, unsure and he’s under arrest for I anyway what see from you what stated, he’s under arrest. She— Whai>-go PROSECUTION: ahead. At
WITNESS: which time if says you she him place under arrest going he’s kill me. 2/9/96,
NT Appellant’s 63-64.41 trial object counsel did not this final nor response, was the by issue raised appellate counsel via post-verdict motion or on appeal direct
Appellant now asserts to this Court: As evident from prosecutor’s question preceding the impermissible hearsay, mid-sentence, which was changed prosecutor hearsay knew that the improper. The prosecutor asked, “What—go Evidently, ahead.” his ques- tion was going But, say]?” [did be “What she prosecutor presumably question feared such a would objection to, draw an changed and so he it go “... ahead.” at 22. Appellant prosecu- brief asserts that the tor’s question called for “highly improper prejudicial hearsay, the statement not fit any hearsay excep- did tions, and trial in failing counsel erred to it.” object 22-23.42 Judge
41. jury "tending Jones later instructed the evidence it heard prove that the defendant was arrested for an offense for which he is not on trial” purpose "tending was before it for the limited to show motive, intent and NT malice.” at 122. hearsay. does not address what constitutes As this Court explained: has "Hearsay, by which ais statement made someone other than the testifying prove declarant while at trial and is offered into evidence to asserted, normally truth of matter inadmissible at trial.” Carson, (2006); Commonwealth v. See 801(c) course, Pa.R.E. & 802. Of out-of-court statements an of this claim we note addressing the merits
Before it has waived asserted that been the Commonwealth has init his amended PCRA failure to include approved amendment/supple or any subsequent court petition Commonwealth’s 30-31 petition. to that brief ment 484; Baumhammers, Reid, 173-74, A.3d Pa. A.3d 430). 729-30; Elliott, 80 *50 A.3d not the claim was A of the record confirms review 25, PCRA 2002 amended Appellant’s January in included in Instead, Supplement it is raised “Petitioner’s petition. to the Commonwealth’s Motion Opposition in Response for pursu- in of his Motion Relief Reply Support Dismiss and 10, 2003. The Virginia,” filed November ant to Atkins v. response specifically asserted: supplement Petitioner, through investigation, counsel and Upon further (“Amendment 905(A) a post- [of to Pa.R.Crim.P. pursuant to achieve freely shall allowed sub- petition] conviction claims: following supplemental justice”), avers stantial A ENTITLED TO NEW MR. MASON IS Claim XVII. THE IMPROP- COMMONWEALTH TRIAL BECAUSE IMPROPER, HEAR- PREJUDICIAL ERLY ELICITED WHEN COUNSEL INEFFECTIVE SAY AND WERE they may if fit one of be admissible declarant within unavailable testimony, hearsay exceptions, recognized such as former several death, against impending inter- a statement belief statement under est, history. family personal or a statement alternative, may be In the out-of-court statements See Pa.R.E. they they non-hearsay, in which case are are admissible because prove purpose other the truth of for some than admissible relevant Johnson, [Raymond] See v. Commonwealth matter asserted. 663, (defendant's (2003) 23, threatening statements 838 A.2d Pa. acts, non-hearsay, a form of family as verbal admissible witness's asserted, establish truth of but matter because evidence offered witness); rather, influencing attempted fact of to demonstrate Puksar, Pa. 740 A.2d v. Commonwealth (statements (the and his brother by witness who overheard defendant victim) non-hearsay offered arguing admissible because not were as asserted, prove but rather of matter to establish motive to killings). truth 126-27, (2010). Ali, 315-316 Commonwealth v. THEY DID NOT OBJECT THE OR RAISE ISSUE ON POST-VERDICT MOTIONS OR DIRECT APPEAL. “Petitioner’s Supplement Response Opposition Commonwealth’s Motion to Reply Dismiss and Support to Atkins Virginia,” his Motion for Relief pursuant filed (capitalization original).43 does not point the location in the record where permission add this supplemental granted claim by court, PCRA and our review the docket sheet and record nothing suggest reveal permis- received such Although sion.44 Judge Jones dealt with of Appellant’s several claims, he not specifically did this allegation, address nor was it by addressed Judge Sarmina when she took up the case. above, As we noted following the transition from one judge other, obviously there was confusion over what issues had been Judge addressed Jones and what remained for issues Judge It Sarmina’s determination. is clear from the briefs arguments presented by the parties, as well as the *51 transcripts proceedings Sarmina, the that Judge before the question of Judge whether Jones granted Appellant per- had to mission amend his PCRA petition to include this issue did not arise once the matter was to Judge transferred Sarmina. It is also clear that the underlying ineffectiveness claim was not one the “remaining” Appellant sought permission issues to argue Judge to following evidentiary Sarmina the hearing penalty issue, the phase mitigating evidence and it is similarly Judge clear Sarmina not did address the issue.45 Court, Appellant’s Like supplement 43. brief current to this response question hearsay, asserted that the statement in was and did any hearsay exceptions. not fit Supplement "Petitioner’s Response Opposition in Commonwealth’s Motion to Dismiss and Reply Support pursuant Virgi- of his for Motion Relief Atkins nia,” filed at 79. 11/10/03 accompanying 44. The docket record in sheet the certified this case titles Opposition the November 2003 document a "Brief in to Motion for Dismissal.” issue, passion Appellant 45. Unlike the heat of did not this claim address Judge during arguments Sarmina the oral that followed the eviden- hearing. tiary Thus, peti- PCRA Judge when Sarmina dismissed tion, way. this claim not any was mentioned not the Commonwealth’s assertion dispute does Appellant permission request he failed to secure to amend his for claim, but, relief to this he com- post-conviction include now to provide the PCRA court’s failure Rule plains proper curing him from certain prevented notice deficiencies Commonwealth, alleged by including the failure secure his PCRA permission supplement petition additional not error alleged claims. did raise this before PCRA court at the time his request post-conviction relief 1925(b) denied, it in nor he include his Rule state- was did Instead, February (nearly ment.46 he waited until denied) to years petition after his PCRA was it two include Commonwealth’s Court. reply brief brief this at 9. Reply brief filed 2/2/15
Because
not
include the claim in a court-
Appellant did
approved
petition,
amendment
PCRA
it
never
Further,
by
decided
court.
not alert
PCRA
did
passed
the PCRA court that the issue had been
over until it
to remedy
by
was too late for the court to act
the situation
claim
allowing
preserved
amendment.47 This
has
been
Reid,
173-74,
by
for determination
this Court.
423 Claim 3. Whether Mr. Mason Entitled to a New Trial Peremp-
Because the Commonwealth Exercised its tory Challenges Gender-Discriminatory in a Man- ner and Whether Prior Counsel were Ineffective for Failing Litigate This Issue. to this brief Court asserts that because
the Commonwealth “used its peremptory gender strikes a discriminatory manner to exclude jury,” women from the and no gender-neutral “had for striking reason these pro female spective jurors,” Appellant’s equal protection was violated and he is entitled a new trial. Appellant’s brief at 25 (citing Alabama, J.E.B. v. 1419, 114 U.S. S.Ct. L.Ed.2d (1994)).48 Since trial and direct appeal counsel did not complain allegedly this discriminatory per use strikes, emptory his allegation couches as an ineffec Id.49 claim. tiveness Batson, holding supra,
48.
which extended the
determined that
gender by
"[i]ntentional discrimination on the basis of
state actors
Clause,
Equal
particularly
violates the
Protection
where ...
the dis-
invidious, archaic,
ratify
perpetuate
crimination serves to
and
stereotypes
overbroad
about the relative abilities of
men
women.”
J.E.B.,
130-31,
Appellant
allegation
raise
did
Supplement
it in his “Petitioner’s
and
but
petition,
included
to
Motion to
Opposition
the Commonwealth’s
Response
of Motion for Relief
Reply
Support
pursu
and
his
Dismiss
Virginia,” filed on
ant to Atkins
2003. As
v.
November
issue,
again
the Commonwealth
Appellant’s previous
with
for
allegation
this
has been waived
failure
asserts
approved supplement/amendment.
in a court
Com
include it
Reid,
173-74, 99
Pa. at
monwealth’s brief at 36
627
Elliott,
430).
484;
Appellant raised amended asserted trial counsel’s ineffectiveness petition, PCRA which present mitigating failing investigate, develop evi- history impairments mental health dence showing, petitioner absence of such a cannot meet the Strickland standard. 262, 301-02, Sepulveda, Commonwealth (footnote omitted). abuse at penalty phase trial,
substance correspond- ingly asserted that appellate counsel was for failing ineffective argue trial counsel’s ineffectiveness. peti- Amended PCRA ii-iii, 36, tion filed xi, 108.
A review the records reveals that at the penalty phase hearing, Appellant’s pursued trial counsel circum- mitigating 9711(e)(2)—(4) § stances under (8), Pa.C.S. urging *54 jury to find that Appellant was under the influence of extreme mental or emotional disturbance and his to capacity that appreciate criminality the of his conduct or conform to requirements conduct to the of law was substantially impaired, as as asking well them consider his at age the time the any crime and other evidence mitigation concerning Appel- lant’s character and record and the circumstances of the 31-36, offense. at N.T. 40.50 Trial counsel called in witnesses support mitigating circumstances, and incorporated presented all the evidence on Appellant’s behalf of trial. Id. during guilt phase Lawhorn,
Larry uncle, Appellant’s explained jury to the that Appellant from suffered difficulties young age, from a prompting Appellant’s mother to seek psychi- educational and atric help for him. Id. at 43-45. explained Mr. Lawhorn that although Appellant a respectful person was clearly who was crying help, out failed him.” Id. at 46. systems “the Mason, mother, Thelma Appellant’s Appellant testified that had problems concentrating learning and suffered from dis- abilities that him to repeat grade. caused first Mrs. Mason told jury that Appellant, along with rest of the family, counseling was, underwent determine problem what the but Appellant through continued have trouble elementary into junior high Id. at 55-56. school school. Appellant was eventually enrolled school for with learning children disabil- ities problems, and which behavior caused other children Id. at neighborhood in his him for being tease different. reading portion penalty A phase transcript this of the reveals that Appellant’s statutory did ‘‘[c]ounsel not know the miti- accusation gating prior sentencing phase,” Appel- factors commencement 30, blatantly specious. lant’s brief explained eventual- Mason further 56-67. Mrs. law, and doing drugs getting and trouble ly started ordered treatment. even while court drugs to do continued she told drug problems persisted, Appellant’s Id. 57-58. but when he even jury, he overdosed Id. 58-59. battle addiction. afterward he continued had no self-esteem. Mason confirmed Mrs. at 58-60. jury to the calling lay explain witnesses
In addition depth of his capacity mental and the limited addiction, trial also elicited the drug struggles with testified that he met with testimony Tepper, of Dr. who occasions, lasting meeting with each between Appellant on two hours, time he inter- during two and a half which two and information, per- background Appellant, viewed collected Id. at Dr. intellectual and tests. 72-73. personality formed of Appellant, of his evaluation Tepper explained part that as mother, police he interviewed reviewed Appellant’ crime, records, school and some for the reports Tepper alcohol records. Id. at 73. Dr. treatment drug *55 a IQ that scale Appellant’s full is verbal indicated at of scale of 73. Id. 74. score 71 and nonverbal score scale Dr. that Tepper Appellant and his mother informed Appellant rec- learning from and school problems, suffered had academic and behavioral Appellant ords confirmed that personal- The problems beginning kindergarten. Id. 75. interviews, Dr. suggested Tepper ity testing, along with inadequacy of and Appellant long standing feeling that has self-esteem, difficulty and himself. inferiority, expressing low that such Tepper explained jury prob- Dr. to the Id. at 76. alcohol, drugs and and lems can cause the sufferer turn of long standing report history for the and record may account Tepper Dr. and alcohol issues. Id. at Appellant drug 76-77. his emo- that cannot deal with explained Appellant because himself, may drugs he effectively express or resort tions alcohol, or he does have gets upset angry and when he and fashion. anger in a controlled to deal with other resources of explained Dr. further because Tepper Id. at 77. Appellant’s limited intellectual abilities and Ms low self-es- teem, Appellant’s ability deal with problems and interact already with other is people reduced, him causing to react impulsively more angrily. Id. at 79. When upset, agitated or intoxicated, Dr. Tepper told the jury, Appel- lant is even less able to maintain control. Id. at 80. Dr. Tepper was of Appellant’s aware long standing problems with drugs alcohol, as Appellant reported to Tepper Dr. that he began marijuana experimenting with anti-anxiety pills as a teenager, and later began using cocaine and POP.
In order to the jury convince that it aggravating should find circumstances, the Commonwealth asserted that Appellant committed killing of perpetration felony, that he a significant had of history felony involving convictions the use violence, threat of and that he knowingly grave created a of risk death to person another addition to the victim when committing (9). § (d)(6)—(7), the offense. 42 Pa.C.S. The incorporated pertinent guilt Commonwealth phase testimony, including the testimony the victim’s mother to Appel- as entry lant’s into her home and presence the victim’s son, and the testimony the victim’s son as to where he was observed, and what he incorporated and also the stipulation as to Appellant’s felony convictions. N.T. at 41. At the 2/16/96 close of trial, penalty phase jury found two aggrava- (that ting circumstances killed the victim while committing a felony, significant he had history felony violence), involving convictions the use or threat of but no mitigating circumstances. petition specifically amended PCRA fault
ed trial counsel for failing investigate evidence of Appel lant’s childhood dysfunction and abuse and his mental health deficiencies, and for failing prepare penalty phase testify. witnesses to petition Amended PCRA filed *56 37, 41, 42. Although not Judge originally grant Jones did an evidentiary issue, 1/19/05, in this hearing See filed he Order later hearing encompass indicated that the trial would whether failing rendered ineffective assistance for to investi gate, develop, present and evidence of Appellant’s mental of N.T. history substance abuse.
health treatments above, 3; Judge As 10. noted N.T. 11/27/07 11/16/07 he was able to to the Federal bench before Jones was moved however, hearing, Judge Sarmina evidentiary conduct hearing eventually evidentiary place. took his When 2011, Judge on indicated Appellant October commenced by Judge subject its matter had limited been Sarmina of whether trial counsel was ineffective question “to the Jones testimony adequate mental health failing present in ... mitigators to the E2 and E3 background pertains [that as it the influence extreme mental was under Appellant capacity appreciate and that his disturbance emotional or to conform his to the his conduct conduct criminality substantially impaired].” N.T. requirements law at 6-7.51 10/24/11 hearing, Appellant presented expert
During evidentiary Sadoff, in expert L. an forensic testimony from Robert Dr. Cooke, expert an Dr. forensic and neu- Gerald psychiatry, Restak, expert neurology; an Dr. Richard ropsychology, Attorney trial Thomas Tepper, Appellant’s expert. and Dr. testified, Attorney also Moore, trial counsel as did Stein, appeal Appellant direct counsel. Gerald mother, uncle, testimony Larry from his his lay presented Lawhorn, brother, Brian and his Mason. evidentiary hearing, parties submitted
Following the briefs, oral on argument February occurred post-hearing represented Judge Although Appellant’s Sarmina PCRA counsel evidentiary hearing regard, Judge Jones this N.T. limited 6-7, Appellant now asserts to this Court that we should 10/24/11 evidence, mitigating remand the matter for consideration of all uncon- limitation, Judge relying by such because Sarmina erred in strained representation. Appellant's Reply brief filed at 3. counsel’s Judge February Sarmina in his did this issue before raise law, supple- post-hearing in his June memorandum law, during post-hearing memorandum of the June mental argument, August or in his 2012 motion reconsideration. oral 1925(b) allegation Rule Neither did include this in his state- complained appeal, ment matters of on thus it has not been ad- Judge Appellant did not raise the issue in Sarmina. Further dressed reply original he his brief on brief but instead waited until filed February to relief on this 2015 to seek remand. He not entitled 302(a); 1925(b). allegation. Pa.R.A.P. Pa.R.A.P. *57 13, 2012, at the conclusion of which Judge Sarmina determined that Appellant had not proven that trial counsel was ineffec- tive failing adequately present mitigating evidence. supplemental then filed a post-hearing memoran- law, of finally, dum a motion for reconsideration of Judge Sarmina’s February of Judge denial relief. Sarmina denied reconsideration on January 2013. Appellant appeal- ed, 1925(b) and his Appellant’s Rule statement of matters complained of on appeal alerted the court that Appellant intended assert that trial counsel rendered ineffective assis- tance at the of penalty phase trial for failing investigate, develop present mitigating evidence “dys- functional upbringing and mental health impairments and history of abuse, substance including evidence of intellectual disability, brain damage, dysfunction, childhood Dysthymia, attention-deficit/hyperactive disorder, and the psychiatric/psy- chological abuse,” impact of drug that appellate counsel was ineffective for failing pursue these claims. Pa.R.A.P. 1925(b) statement, issue
In addressing allegations, these Judge Sarmina acknowl- edged Appellant’s insistence that trial counsel’s failure investigate Appellant’s background from prevented counsel presenting to jury the full significance extent and history drug mitigating abuse and his mental 1925(a) impairments. Pa.R.A.P. at 55 Opinion (citing Appel- Brief, 3). lant’s Post-Hearing addressing filed In whether Appellant has proven trial counsel in this ineffective regard, Judge Sarmina imposed upon considered the burden counsel with respect presentation mitigation evi- dence, examined the evidence actually that trial pre- during sented the evidentiary hearing, assessed whether counsel’s course of action was unreasonable. regard
With conduct, Judge counsel’s course Sarmina Supreme cited United States Court’s indication that “[cjounsel for a capital duty defendant a has ‘conduct ” thorough investigation of the background.’ defendant’s Id. at 56 (citing 362, 396, Taylor, Williams U.S. 120 S.Ct. (2000)). 1495, 146 Turning pronounce- L.Ed.2d to the following Court, Judge quoted Sarmina of this ments from Carson: discussion is not investigation of counsel’s to our evaluation key
The mitiga- presented have counsel should focused on whether evidence, questions rather whether specific but tion case not to pres- investigation supporting counsel’s decision case or evidence was reasonable. particular mitigation ent *58 investigation, of counsel’s evaluating In the reasonableness may that decisions must remember counsel’s this Court that his client provides on the information heavily depend him. Carson, 1925(a) 590 Pa. at (citing at 56 opinion
Rule (citations omitted)). A.2d at 266 here, performance to trial counsel’s regard
With has not shown that Appellant concluded that Judge Sarmina unreasonable, Judge thus action trial counsel’s course was not that trial counsel did render ineffective opines Sarmina to relief on this issue. is not entitled Appellant and assistance conclusion, that Judge initially noted To reach this Sarmina purposes guilt Dr. both the Tepper trial counsel hired testi acknowledges Tepper’s and she Dr. penalty phases, and of his hearing part at that as evaluation mony evidentiary background informa Appellant gathered he first with met gathered met and back January from him then tion in February from mother information ground 95). Judge ac (citing N.T. at Sarmina 1995. Id. 10/25/11 Appel knowledges following Tepper’s that Dr. interview mother, Tepper requested provide Dr. trial lant’s records, records, mental health additional school him with 100). Dr. at drug (citing treatment records. Id. N.T. 10/25/11 for a second time and Appellant then interviewed Tepper (citing 1995. Id. testing March, psychological administered 95). Dr. although notes that Judge N.T. at Sarmina 10/25/11 all he based requested, not receive the records Tepper did receive, performed, he and the testing the records he did mother, Dr. by Appellant Tepper information provided testify penalty phase hearing at the was able disabled, intellectually long-stand- that he had borderline ing feelings inferiority and problems addiction, with drug and that the cumulative effect of compromised these issues Appellant’s ability to exercise control over his own behavior. 74-80). Id. (citing N.T. 2/16/1996 Judge Sarmina notes Appellant’s current allegation that had trial counsel uncovered the requested records Dr. Tepper, Dr. Tepper would have neurological “recommended testing, testing which ultimately revealed Mr. organic Mason’s brain damage.” (citing Brief, Post-Hearing filed 13). She further acknowledges Dr. Tepper’s state- 2/6/2012 during “(1) ment the evidentiary hearing that had he received records relevant to [Appellant’s] (2) intellectual functioning, prison records from which indicated [Appellant] trauma, suffered head Eagleville Hospital records from regarding abuse[,]” [Appellant’s] drug he would have referred to a neuropsychologist for a neurop- sychological evaluation to look into potential or possible brain dysfunction. 125-45). Id. at 56-57 N.T.
Judge explains, however, Sarmina that she did credit Dr. testimony that Tepper’s receipt of such records would *59 persuaded have him to Appellant refer to neuropsychologist. a Id. at 57. Specifically, Judge Sarmina reiterates that based on Dr. Tepper’s Appellant, evaluation of and the information he received from the provided records interviews conducted, Tepper Dr. did not it necessary deem to order neuropsychological testing and opinion his that Appel- offered lant did not any signs exhibit or symptoms indicative of an major underlying or mental illness disorder. Id. at 147); N.T. at see also from Letter Dr. Tepper trial 10/25/11 counsel dated at Judge opines Sarmina that none of 3/28/95 presented additional records evidentiary hearing information, represented new i.e. information unknown to Dr. Tepper that would have altered the already conclusion 1925(a) Rule Opinion reached. 57. Records which merely confirmed Dr. Tepper already knew, not, Judge what could opinion, provide persuasive Sarmina’s reason for Dr. Tepper to change opinion that Appellant any did not exhibit signs or symptoms of an underlying major indicative mental illness not have had the “[Although Tepper may Dr. Id. disorder. already he had reached possession, in his
physical records by this he would have been directed to which conclusions data.” Id. he Tepper’s to Dr. assertion that regard
Specifically possible neuropsychological alerted to a have would been intellec- if records relevant he had had problem con- intelligence testing, Judge Sarmina functioning tual school public in the that the data included additional cluded Dr. to a that he only Tepper have led conclusion would records severely had been [Appellant] “that already had reached: Id. at 58. intellectually young since he child.” was limited found that Judge specifically Sarmina determining, In so that from the Dr. indication he learned despite Tepper’s Appellant extremely school that had public records additional years that test scores over a number low standardized attention concentration difficulties evidenced constant Attention Deficit Disorder might now be considered which based, already Dr. was aware Tepper brain have been and/or that fell testing Appellant original from his interviews disability, and that of borderline intellectual range within grade in school he first repeated so poorly did learning in a school those with placed and was disabilities. 156-158).52 148-149, 181-132, Be- (citing N.T. Id. func- pertaining the records intellectual cause provide Tepper provid- trial to Dr. tion counsel failed which to that which he was only already information ed cumulative aware, sup- such information does not provide the failure to trial counsel ineffective assistance finding rendered port regard. in this that trial counsel Judge persuaded Sarmina
Neither failing prison assistance for obtain ineffective rendered indicating suffered some head kind records part that as Judge points Sarmina out trauma. Id. at 59. *60 additionally during evidentiary Judge Sarmina notes that hear- specify Appel- Tepper which records indicative of ing, Dr. could trial, intelligence possession his at time of were lant’s low (citing received Id. at N.T. which records thereafter. were 10/25/11 150). at Dr. Tepper’s 1995 evaluation he had asked Appellant whether he had any injuries, suffered head Appellant but did not report any. Id. (citing 111, 177). N.T. at Judge 10/25/11 posits Sarmina that Appellant’s failure to include the 1992 history incidents he relayed to Dr. Tepper suggests that Appellant did not consider significant. them be Dr. Id. opines Sarmina further it that was reasonable Dr. Tepper and trial counsel rely on Appellant’s representations of his history, thus Dr. Tepper did not ask trial search for records pertaining to unreported injuries, head and trial coun- cannot sel for failing be faulted to initiate such a search on his own. Id. regard
With to trial counsel’s to provide failure Tepper Dr. with records pertaining drug Appellant treatment received at Eagleville Hospital and Dr. Tepper’s subsequent claim that had he reviewed such reports he would have recommended neuropsychological testing, Judge ac- Sarmina knowledges Dr. Tepper’s indication that the records reflected suffered from year at least a ten history of use, extensive drug (citing N.T. 141-142), at but 10/25/11 Judge points Sarmina further out that this information already known to Dr. Tepper as result the information provided by Appellant and his mother began that using cocaine and drugs other as a teenager, at (citing id. 165), N.T. and that Appellant POP, abused 10/25/11 used pills, nerve and got high every day from December 1993 through 165-166). March id. N.T. As such, Judge Sarmina finds incredible the notion Dr. Tepper changed opinion would have if he had reviewed this additional but information regarding Appellant’s cumulative history drug abuse. Id.
Judge Sarmina thus concludes that had Dr. been Tepper privy the records evidentiary introduced hearing, Dr. Tepper would have been confronted with nearly the same information already that he had. Id. None the information elicited during evidentiary hearing revealed a previously aspect unknown of Appellant’s merely life—it confirmed Dr. Tepper’s prior findings substantially accurate com- *61 intellectually disabled awas borderline Appellant
píete—that his life and academically throughout offender, struggled who teenage years. Id. dating back his drugs serious abused on Dr. accurate Tepper’s that based observes Judge Sarmina addictions, Tepper Dr. condition and assessment no to refer that was need concluded there reasonably had Judge Sarmina testing. Id. for neuropsychological Appellant was based analysis Appellant Tepper’s that as Dr. concludes for trial information, entirely it was reasonable on sufficient that neuropsy- determination rely Tepper’s on Dr. counsel to (citing Bracey, testing unnecessary. Id. at chological was (“[C]ounsel disregard required was not at 942-43 A.2d at experts, continue to consult findings expert of his the resources, until he found judicial one limited expense damaged brain testify organically willing Appellant prove failed to finding Appellant In addition to analysis, Judge of the prong the second Strickland/Pierce arguendo, assuming, that even further determines Sarmina for a not to neu- send that trial counsels’ decision unreasonable, entirely Appel evaluation was ropsychological prejudiced that he was still lant failed demonstrate organic from brain that he suffered testimony absence directive that to Acknowledging 61 n. Id. damage. repre of a claim of ineffective context prejudice assess investigation, the mitigation phase as to a penalty sentation “ mitigation totality of the ‘consider the available court must trial, evidence ad and the that adduced evidence—both it reweigh against the proceeding—and in the duced habeas ” here, Judge Sarmina notes aggravation,’ evidence available to mitigation evidence strongest, persuasive most was, fact, phase presented during penalty of Ap combination testimony that the through Tepper’s Dr. significantly impact use of drugs intelligence low pellant’s impulses. Sears to control ability ed his 3266-67, 955-56, 130 S.Ct. 661 U.S. Upton, 78-79). (2010); Judge Sarmi- N.T. L.Ed.2d na suggests that fact that the jury did not find Appellant’s lack of impulse control, borne out of drug use and low intelli- gence, to rise to the level of a mitigating circumstance indi- other, cates that less convincing evidence would not have persuaded jurors to find a mitigating circumstance, and she reiterates that she had Barry credited Dr. Gordon’s opinion that: Appellant’s ability to appreciate the criminali- *62 ty of his conduct or to conform his conduct to require- ments of law substantially impaired by his neuropsy- chological (2) condition or abuse, substance that Appellant did not suffer from a mental or emotional disturbance so extreme that he could not control his behavior. Id. (citing 38-39). N.T. at Judge Sarmina observes 10/27/2011 that Dr. Gordon based his evaluation on the of totality actions at the of murder, time and that she specifically found Dr. Gordon’s reasoning to be sound. Id. N.T. 45-46).
Judge Sarmina thus concludes that the original evidence of mitigation presented during the penalty phase, and the addi- tional evidence of mitigation presented during post-convic- tion evidentiary hearing, would not have persuaded a jury circumstance, find mitigating petitioner preju- thus was not diced the failure to present such evidence. Id.
Our relevant standard of is review well-settled: In evaluating an alleging ineffectiveness claim counsel’s failure investigate present mitigation evidence case, capital factors, “we consider including number investigation, reasonableness mitigation counsel’s evi- dence was actually presented, and the additional or different mitigation evidence that have could been present- Lesko, ed.” 128, 187, [Commonwealth v. 609 Pa. 15 A.3d 345, ]; Collins, 380 45, Commonwealth v. 585 Pa. 888 (2005). A.2d 580 is, None the aforementioned factors by itself, dispositive, if because even counsel’s investigation unreasonable, deemed the defendant is not entitled to prejudice demonstrates the defendant unless
relief conduct. Id. from counsel’s resulted (2014). Furthermore: 720, 101 at 764 A.3d Tharp, 627 Pa. inves complete a less than following choices made Strategic that reason to the extent precisely are tigation reasonable of the the limitation supports judgment professional able [596], 886 A.2d [at] 584 Pa. at []Bridges, investigation. Fears, Pa. v. (citing Commonwealth 1132[] perform (2003)). of counsel’s Our evaluation A.2d deferential, and the reasonableness is, however, highly ance distorting upon cannot based counsel’s decisions Furthermore, “reasonableness hindsight. effects information part, upon in critical depends, this context A.2d at 1132 Bridges, 886 the defendant.” supplied by Peterkin, Pa. v. (citing, Commonwealth (1986)). 373, 383 997, 1025- 708, 933 A.2d Rega,
Commonwealth
(2007). Finally:
“to
determination,
PCRA court is
devel-
making
In
this
case offered
mitigation
of the
comparison
aop
specific
*63
post-conviction
on
evidence offered
trial
the credited
458,
Pa.
Beasley, 600
967
v.
Commonwealth
review....”
Gibson,
402,
597 Pa.
(2009);
v.
376, 391
Commonwealth
A.2d
(“Gibson I”) (same).
(2008)
In review-
1110, 1123
951 A.2d
determination,
reweigh
“we
evi-
court’s
ing the PORA
of
miti-
against
totality
available
aggravation
dence
presented
evidence
evidence,
includes the
gating
which
have been
hearing
the evidence
would
penalty
investigation.”
proper
counsel conducted
had
presented
332],
Pa.
19 A.3d [512]
II [610
v.
Gibson
]
Gibson
[Com.
Lesko,
(2011)
(emphasiz-
];
Commonwealth v. curiam). (2014) (per
The reasonableness of investigation counsel’s into potentially mitigating evidence may depend upon the informa defendant, tion provided by “and counsel cannot be deemed ineffective for not introducing uniquely information within the knowledge of the defendant and his family which is Williams, to counsel.” supplied See Commonwealth v. 577 Pa. 473, 485, (2004) 846 A.2d (citing Commonwealth v. Bond, 588, 609-610, (2002)). 45-46 Nor may a determination of ineffective assistance of counsel be founded upon counsel’s failure to present mitigating evidence that would have presented been cumulative of evidence at the penalty Mitchell, phase. Commonwealth Pa.
A.3d (refuting merit to argument that even more details defendant’s alcoholism would have persuaded defense). jury accept his capacity diminished In addition to denying relief on the grounds stated footnote supra, comprehensive our review of both governing jurisprudence record and to adopt leads us probing, opinion well-reasoned of Judge Sarmina discerning no merit to any Appellant’s ineffectiveness claims. Accord- ingly, Appellant’s claim fails. Mr.
Claim Whether Mason Entitled to a New Sen- tencing Hearing Imper- Because the Trial Court missibly Questioning Psy- Curtailed the of Defense chologist Tepper Allan and Whether Counsel were Failing Properly Litigate Ineffective for this Issue.
During penalty trial, phase Tepper Dr. testified that Appellant from personality suffered and intellectual defi cits, and was explain jury asked the effect those deficits, use, Appellant’s long drug combined with term would ability *64 have to Appellant’s control his behavior. N.T. Following at 79. Tepper’s response, Dr. which indicat 2/16/96 Appellant’s ed that to control ability his behavior was limited by factors, these inquired: possible trial counsel “Is it that the in might defendant form specific situation be able to the conduct?” Id. his being kill to control intent to while able sus- objected, Judge Jones at 80. The Commonwealth this Id. objection. Appellant now asserts before tained the objec- it to sustain the Commonwealth’s that was error Court following objection, further that the question, tion to this to court that argued have his trial counsel should it would properly jury be before the because answer would statutory in permissible support have evidence been (Section substantially mitigating impaired capacity factor 9711(e)(3)).53 claims, appellate Additionally, Appellant for to trial failing ineffective assistance raise counsel rendered Id. at 57. error. counsel’s raised
As with the second and third issues in Court, allegation not raise this Appellant to this did brief it his but included in his petition, amended PCRA instead Response Opposition Supplement “Petitioner’s Reply to Dismiss and Support Commonwealth’s Motion Virginia,” Atkins v. his Motion for Relief filed pursuant issues, previous Also with those November 2003. as that this has allegation Commonwealth asserts been waived in a court approved supplement/amend- for failure to include it Reid, at (citing ment. Commonwealth’s brief 484; Elliott, 430). 173-74, 622 Pa. at A.3d at A.3d point does not the location the record where him granted permission supplement/amend the PCRA court claim, relief to include this request post-conviction prior dispute he does not he did not as with issues his PCRA permission petition, obtain amend but instead 2, 2015 February reply via his that he asserts brief curing deficiency by from this the PCRA court’s prevented Rule 909 notice. For reasons provide proper failure issues, to the we that this expressed regard previous find issue has not for our review. preserved been question, Tepper that if to answer the Dr. asserts allowed killing, [Appellant] responded that “at the time of the would would have requirements his conduct of the have "been unable conform 80). law.” brief at 56 NT
439 6. the Claim Whether Trial Court’s Failure to Instruct Jury Imprisonment”
the that “Life Means Life Possibility Without of Parole Violated Rights Sixth, Eighth Under the and Fourteenth Amendments the United States Constitution and Failing Trial Whether Counsel was Ineffective for Request Appellate the Instruction Counsel Failing was Ineffective for Raise the Issue and Prior Counsel’s Ineffectiveness.
Appellant presented this issue in his amended
peti-
PCRA
tion, which
argued
pertinent part that such a penalty phase
Carolina,
under Simmons v. South
required
instruction was
154,
2187,
(1994),
512 U.S.
114
129
S.Ct.
L.Ed.2d 133
because
(1)
dangerousness
future
had been
at
put
issue
the
during
introduction
the
of
guilt phase
trial evidence
Appellant’s prior assault on the victim and his criminal histo-
(2)
ry,
prosecutor’s
during
guilt phase
statement
his
closing argument that the evidence
that Appellant
showed
had
violence,”
“occasions of
in the prosecu-
statement
penalty
tor’s
phase closing argument
Appellant
that
had a
“history of
at
petition
violence.” Amended PCRA
filed 1/25/02
59,
92-99;
97,
59-66,
N.T.
at
N.T.
2/9/96
2/14/96
112).54
110,
N.T.
claims
Appellant reiterated these
2/16/96
in his “Motion for
Supplemental
Reconsideration and
Post-
Simmons,
plurality
In
Supreme
of the United States
Court held
issue,
dangerousness
that "where the defendant’s future
is at
and state
prohibits
parole,
process requires
law
the defendant's release on
due
sentencing jury
parole
be informed that the defendant is
Simmons,
156,
ineligible.”
Commonwealth v. Law,” additionally argued Memorandum of which Hearing Tepper, prosecution on cross-examination Dr. “someone, testimony who when elicited violence,” if and asked might respond can and angry, with very “respond “might become violent” Supplemental violence.” “Motion Reconsideration at 10-11. Memorandum Law” filed Post-Hearing *66 Judge on this issue conducted argument was before Oral 3, January Judge 2013. Sarmina denied Sarmina in on this Court’s determination relief on the issue based Fisher, (1999). 558, Commonwealth v. 559 Pa. A.2d 1234 28.55 N.T. at 1/3/13 1925(a) the three
Judge
opinion
Rule
addresses
Sarmina’s
Appellant’s
dangerousness”
“future
at
alleged
put
instances
1925(a)
97;
issue,
N.T.
at
opinion
(citing
Rule
at 36
2/14/96
110, 112),
explains
Appel
at
and
that at the time
trial,
then-controlling
required
law
that
trial courts
lant’s
a Simmons
instruction only
the defendant’s
provide
when
Id.56
implicated.”
was
dangerousness”
“expressly
“future
refusing
appellant
55. The
in
that the trial court erred in
Fisher asserted
argue, pursuant
permit
counsel to
"that
defense
Simmons
imprisonment’
Pennsylvania
of 'life
in
means that
sentence
possibility
prison
spend
rest of his life in
without the
would
parole”
(1)
prosecutor’s closing argument
quoted from a
after the
psychological
report
prison
"[s]adistic
evaluation
that indicated that
rigid
impulses
suspected
personality
hostile
are
features and a
action,”
potential
explosive
queried "I
if after
wonder
for
good guy
prison
longer
remain a
when no
Fisher,
tomorrow he’ll
it
matters?
577-578,
any good
It
do him
tomorrow.”
Pa. at
won’t
after
appellant argued
"the
most
Appellant’s argument to this Court reiterates claims raised in his petition PCRA Amended and the claim Dr. regarding Tepper’s cross-examination first in his asserted “Motion for and Supplemental Reconsideration Post-Hearing Memorandum of Law.” brief at 58-62.58
The trial transcript shows that the
testimony of
contested
Dr. Tepper
part
larger
of a
prosecution’s
line
cross-
sought
examination
to impeach
which
Dr. Tepper’s medical
*67
that
impression
Appellant’s difficulty
expressing
with
his emo-
tions played a role in his past difficulties
controlling
with
tendency”
prove dangerousness
bore "a
in the future raised the
specter
1925(a)
dangerousness.”
of a defendant’s "future
opinion
Rule
253-254,
726).
Kelly,
n. 23
predict developments changes future or in the law.” 1925(a) Judge opinion Appellant's 57. Sarmina’s Rule does not address regarding assertion Tepper the cross-examination of that was Dr. raised for the first time in his for Supplemental “Motion Reconsideration and Post-Hearing Memorandum Law.” above, argues 58. As discussed to the extent an issue that that was petition, not in his PCRA included and which he was not amend, granted permission to issue has been waived. prosecutor impulses. Specifically, violent thoughts opinion report containing Dr. the doctor’s from Tepper’s read attempt of an part abuse that substance emotions, he never- thoughts but unpleasant control his theless, attempts, “possesses somewhat brittle despite these under more psychological ineffectual defenses and thus im- underlying thoughts his anxiety provoking situations through into a less modulat- may come consciousness pulses following The testimo- or controlled N.T. ed fashion.” ny was then elicited: if makes him say Is that to that someone
PROSECUTION: very become violent? angry might he I yes. trying mean it’s also Simplistically, WITNESS: you of the—the last sentence that that he because say might with, underlying of some of the that did not finish because may angry either more feelings certainly he become if pushed. violent he’s simple person, I am somewhat of a so
PROSECUTION: saying going you, way I’m to ask another angry, respond he can with violence? when he becomes Yes. WITNESS: Now, he had you
PROSECUTION: then indicated trouble your testimony, time in point himself one expressing your now, that he had trouble going report I’m expressing himself. skills I the lower verbal stated because
WITNESS: talking working through prob- about difficulty he has more feelings. lems or writing Do verbal skills also include
PROSECUTION: skills, out? writing feelings one’s Dr. Tepper then asked prosecution N.T. at 86-87. The to Iona several letters had sent Jeffries and read difficulty opinion they offer as whether reflected *68 that feelings. opined The doctor the expressing personal feelings and were articulate thoughts letters contained “get they a sense of what are enough allow reader 87-88, at 94-95. trying convey.” N.T.
Neither Dr. nor Tepper’s report the line of questioning upon suggested based it that Appellant posed danger. future Though present written tense and related to the jury verbatim, Dr. Tepper’s report represented an assessment based on Appellant’s history case no made reference to Moreover, future behavior. context which the report was the past well, discussed involved as for prosecution’s focus Appellant’s was state mind around the time he killed Jeffries, Iona as is by prosecution’s evidenced attempt through show Appellant’s letters written to Jeffries that he possessed ability to control his express emotions and at feelings the critical time. Appellant’s Where future danger- implicated ousness was not cross-examination Dr. Tepper, the PCRA correctly rejected court Appellant’s lay- claim of prior ered ineffective assistance of failing counsel for to request a Simmons instruction. See Spotz, Pa. at 299-300 (rejecting failing ineffectiveness claim to request a instruction to Simmons which client not was entitled). also prosecution contends the in its implied penal-
ty phase summation Appellant possessed that the propensity to commit violent acts and would continue to such have propensity in argument the future. This on refer- based to Appellant’s “history violence,” ences N.T. 2/16/96 argument person [Appellant] “this violence acts with and ... killing this further manifestation of how he responds to acts and stimuli and his and when he environment gets angry something.” he when wants N.T.
Both challenged however, excerpts, implicate past conduct violence”) (the generally (“history and specifically killing awas manifestation of how acts with violence and responds gets how he angry), stimuli when he and did refer to dangerousness. above, future As noted pre-dated trial in Kelly, prospectively our decision which expanded the scope commentary implicates future dangerousness. Our law danger- decisional relative to future of ousness claims at the time trial stated instructions as to what term “life sentence” means “are *69 not expressly is dangerousness future required where 331, See, King, 554 Pa. Commonwealth v. e.g.,
implicated.”
(1998).
763,
attorney
As
cannot
363,
“[a]n
721 A.2d
change
devel-
failing
anticipate
for
ineffective
deemed
274,
Carson,
593,
at
law,”
590 Pa. at
in the
opment
claim fails.
present
Appellant’s
ineffectiveness
Virginia,
Appellant
Under Atkins
7.
Claim Whether
Penalty;
Ineligible
for
Death
Whether
the
Permitting Appellant, Over
Erred in
PCRA Court
Objection,
this Claim.
Counsel’s
to “Waive”
petition
PCRA
January
amended
While
Jones,
Supreme
the United States
Judge
pending
was
before
8, 2002,
on
2002.59 On October
Court
Atkins
June
decided
re-sentencing
to life
immediate
Appellant filed a motion
Atkins,
Tepper’s
on Dr.
based
imprisonment pursuant
neither con-
trial,
Appellant
which
asserts was
testimony at
Commonwealth,
nor
which established
refuted
tested
IQ
test is
70 and 79
IQ
that an
between
Wechsler
disabled,
intellectually
as
classified
borderline
filed
range.
him that
Motion
placing
overall score was
Simultaneously, Appellant sought permission
“sup-
10/8/02.
January 25, 2002
PCRA
amended
plement and amend”
post-
he
entitled to
a claim that
was
petition
include
he had adduced
relief
to Atkins because
pursuant
conviction
mental
regarding
capacity”
his limited
“considerable evidence
trial,
including
Tepper’s
Dr.
during
penalty phase
[intellectually dis-
testimony
was “borderline
2.60Judge
PCRA II.
n.
Amended
Supplemental
abled].”
prohibi-
Eighth
Broadly speaking,
held that the
Amendment’s
59.
Atkins
punishment
unusual
bars the execution
intellectual-
on cruel and
tion
ly
Atkins,
On March the Commonwealth a response filed Appellant’s motion and request supplement and amended his PCRA petition, asserting that the issue legisla- raised was tive in nature and legislative action was currently pending; that Appellant’s assertion that the Commonwealth must affir- matively prove lack of frivolous; intellectual disability is *70 that Appellant’s claim of intellectual disability failed because his own expert testified that he is not intellectually disabled. Appellant replied, and the Commonwealth then filed a supple- mental 19, motion to on August 2004, dismiss to which Appel- lant responded 23, on December January 19, 2005,
On
the PCRA court scheduled a
February 17, 2005 evidentiary hearing
issues,
on
in
several
cluding whether Atkins applied to the instant matter. Shortly
thereafter, however,
the court
indicated that
February
the
hearing would encompass only
argument
oral
on
applica
the
Grant
bility
present
the
matter.
PCRA court orders
1/19/05,
26, 2005,
filed
On October
the Common
1/25/05.
wealth
a supplemental
filed
to Appellant’s
brief
opposition
Atkins,
claim for relief under
Atkins issue was
but
before
case,
9545(b)(1)(iii)
this were the
Section
would
operate
to confer
however,
jurisdiction,
supplemental
petition
because the
amended
decided,
clearly
days
filed more
60
than
after Atkins was
and would
9545(b)(2) (“Any
thus run afoul of
petition invoking
excep
Section
an
provided
paragraph
tion
days
shall be
date
filed within 60
of the
presented.”) Perhaps
the claim could have
been
because
decision to withdraw the Atkins claim removed the issue from the
focus,
Judge
court’s
neither
Jones nor the Commonwealth commented
9545(b)(1)(iii)
necessity
on
citation to Section
or the
meeting
exception
Regardless,
an
to the time bar.
has
this Court
previously
pending, timely
indicated that an amendment
to a
filed
petition,
independently subject
PCRA
is not
to the PCRA’stime limita
587, 604-605,
Flanagan,
tions.
v.
Commonwealth
489,
(2004). Flanagan
opined
499
also
that "PCRA courts
invested
are
permit
pending,
with discretion to
timely-filed
the amendment of a
post-conviction petition, and this Court has not
the Common
endorsed
position
substantively
wealth's
that the content of amendments must
Rather,
align
pleading.
prevailing
initial
rule remains
simply
freely
that amendment is to be
allowed to achieve substantial
605,
justice.” Flanagan,
On
requesting
disregard
the court to
Judge
se letter
Jones
In
claim
counsel. Pro
letter filed
by
Atkins
filed
se
9/29/06.
testing
doing so, the letter
referenced the
that had been
61. Atkins
responsibility
setting proce-
left to the individual states the
Atkins,
disability.
claim of intellectual
dures to assess a defendant’s
Commonwealth v. Pa. (2014). performed by Dr. Gerald Cooke that indicating Appellant had an IQ expressed understanding that “[intel- lectual is disability] IQ 70,” an than characterized less “for that reason the Atkins petition doesn’t suggested apply me.” se Appellant’s pro acknowledging Without Jones, letter to Judge PCRA filed motion the Atkins claim on December jury for a trial on
Appellant appeared the court January before and he prepared read statement he was “absolutely not retarded” and reiterated that he did not an pursue wish Atkins Though Appellant claim. was sworn in prior to mak- ing statement, the court subject directed he was not side, either questioning by which prompted following objection before completed prepared statement:
[COMMONWEALTH]: objection My is, if the defendant letter, wrote a is it for him inappropriate to sit here and it to Nobody mean, read the Court. has a of it. I if copy to testify, testify he wants he should and be cross-examined. I don’t know of a procedure just where he writes a letter only going he knows about to sit it here read to the Court.
THE I your COURT: concern and understand the basis your objection. juncture, At this I’m Mr. simply inviting Mason to the Court as to apprise whether or not he wishes pursue Virginia. Mason, issue Atkins versus Mr. you can cut to the chase?
[APPELLANT]: I from Should start the beginning? Why THE you COURT: answer that question? don’t * * * Now,
THE Mason, you COURT: Mr. do understand the question?
[APPELLANT]: Yes. *72 you answer, THE give yes COURT: Can me an or no? [APPELLANT]: I wish not the pursue [sic] Atkins. Now,
THE you why? COURT: can tell me my I finish letter? reading [APPELLANT]: I—can Should letter, a Your Honor. It’s brief Yes, sir, go ahead. THE COURT: “I to thank me you giving [APPELLANT]: would like I’m not into words I opportunity put this to how feel. Since communicator, myself I to express decided great a verbal paper. I begin myself two to
“During past years, apply [sic] inmate, with John tutoring classes twice a an Mr. week approved by prison Lesko has been admin- Lesko. Mr. not At this I pay. point, to me with wish istration educate any my to waive of issues. disregard
“I the Atkins only my wish claim due a I potential Although learn. encountered ability information, very I’m aware that wouldn’t great deal complication from some exempt having me difficulties years. my drug life excessive abuse over due “However, I as that I man acknowledge do well am a unlearned, retarded, I pray I’m not absolutely but that’s disregarded,” this be misrepresentation Egan THE [PCRA counsel]? COURT: Mr. Honor, inviting
[PCRA COUNSEL]: Your is the Court at this questioning of Mr. Mason time? response
THE I think more COURT: I wanted rather than Mr. Mason. questioning full Id. represented Appellant’s This extent 17-21. competency colloquy. involvement argued have did pro se waive Atkins claim as this right strategy was appointed decision that instead made counsel. 8-10, 21. The parties court to brief directed fall articulates that he does not whether defendant who disability right intellectual has the within the definition an objection pursue over the counsel whether decide claim, PCRA Atkins and the Commonwealth March, argument on the counsel submitted issue written *73 Meanwhile, PCRA counsel had received an Affida from trial counsel 18, 2007, January dated vit/Declaration which trial opined Appellant that “slow,” counsel was had “very limited” to ability defense, assist his and did not the “make connection” that the admission into evidence of pictures of Appellant and certain the victim would reflect on character, just own that the victim. Affida dated Believing that the Affida vit/Declaration 1/18/07. forth set “indicia of incompetence,” counsel vit/Declaration supplemental filed a petition PCRA on Appellant’s behalf, asserting Appellant (1) is entitled to a trial new because trial sua sponte the court failing erred pre-trial order a competency hearing, despite indicia that was Appellant incom (2) petent; trial counsel failing was ineffective for to request a competency hearing; tried while incom petent. Supplemental petition PCRA filed Howev 5/11/07.62 er, the supplemental PCRA petition did not appellate raise counsel’s for failing ineffectiveness this present instance trial counsel’s on ineffectiveness direct appeal. parties
The reappeared before on the court June on the issue whether right had the to waive his Atkins claim objection over outset, the At counsel. the PCRA reported counsel trial had provided an affidavit expressing his Appellant’s ability doubts about comprehend during representation, matters the which obser- vation, believed, PCRA counsel was also “relevant Atkins claim” Judge raised before Jones. N.T. at 4. 6/12/07 After a momentary exchange confirmed that there had been no competency evaluation conducted prior Appellant’s Janu- ary, 2007, appearance court, before the PCRA Judge Jones granted Appellant’s pro se request to withdraw the Atkins claim, on judge’s based determination that “Appellant of competency exhibited level sufficient demonstrate that has ability ability he had day he testified trial, presumed 62. A competent defendant is prove to stand and to incompetence, he establish he must was either unable under- stand the proceedings nature of the participate in own unable his Smith, 605, 650-651, defense. Commonwealth 899-900(2011). Atkins claim, to an right waive knowingly intelligently moreover, Thus, so.” N.T. 5-6.63 he did Atkins the merits of the issue court did not reach PCRA counsel, on to the remain- but instead went address raised claims.64 post-conviction of Appellant’s der request Following eventual denial 1925(b) relief, indi- Appellant’s Rule statement post-conviction two raising following questions that he cated would *74 regard to Atkins issue: with for constitutionally ineligible
12. Is the death Petitioner Virgi- under Atkins v. disability due to penalty intellectual nia in violation Fifth, Sixth, rights of under the Petitioner’s to the Eight, Fourteenth Amendments United and States I, 9, 14 of Sections 13 and Constitution and Article Pennsylvania Constitution? by err that the constitu- ruling
19. Did the PCRA court to penalty tional from the death due intellectual exemption by can and the court further err disability be waived did in- permitting conducting accepting the without waiver into, on, holding hearing competen- a Petitioner’s quiry cy important to waive and was Petition- capacity rights, not knowing, er’s because the waiver was waiver invalid intelligent voluntary capacity and because he lacked the Judge eventually hearing 63. Jones addressed the failure hold a on petition compe- supplemental addressing Appellant’s PCRA counsel’s trial, responded tence to stand after the Commonwealth to the issue citing portions purportedly a motion to of the record dismiss various demonstrating Appellant’s competence to filed stand trial. Motion [Appellant’s testimony]; N.T. at 55-121 trial 12/14/07 2/13/96 case]; resting [colloquy Appellant prior at 9-11 of his N.T. 2/14/96 [colloquy Appellant prior imposition N.T. sentence]; at 6-7 to formal 2/20/96 Tepper's testimony [Dr. N.T. at 854-85 on cross- 2/16/96 Thereafter, Appellant incompetent]). examination that was not 28, 2008, February Judge Jones ruled that trial counsel was not ineffec- failing pre-trial hearing. request competency tive 64, Sarmina, up Judge this case was taken When later disposed by Judge indicated to her that the Atkins issue had been Jones, position apply reiterated his that Atkins did not expressed agreement Judge ruling permitting him and Jones’ him to waive the N.T. at 12-13. Atkins claim. 2/13/12 important waive rights, violation of rights Petitioner’s Fifth, Sixth, under the Eight, and Fourteenth Amendments to the I, Unites Constitution 9, States and Article Sections 13 and 14 of Pennsylvania Constitution? 1925(b)
Pa.R.A.P. Statement filed Responding position to the forth in set Appellant’s Rule 1925(b) statement Judge Jones erred concluding Atkins claim an may waived, Judge opines Sarmina while the requires United States Constitution that our Com- provide monwealth capital defendants the ability advance a defense of disability, intellectual may defendant choose to Atkins claim so waive an long as that choice is knowing, intelligent and voluntary. She observes that capital defen- may dants pursue elect courses action which could potentially mitigate a sentence of death sentence life imprisonment possibility without of parole. Pa.R.A.P. 1925(a) opinion Puksar, Com. v. at 52-53 (citing Pa. (holding A.2d capital that a defendant may knowingly, intelligently and waive voluntarily presen- Sam, evidence); tation of mitigation Commonwealthv.
350, 368, (1993) (“A 611-12 A.2d criminal defendant *75 has right the to decide mitigating whether evidence will be presented on his behalf. not right We will remove that evidence.”)). compel “|j]ust admission of such She finds that as a capital may choose not to present mitigating defendant circumstances at a penalty-phase proceeding, a defen- capital an Atkins claim.” Id. at 53. dant may present choose not to Judge that: quotes explanation Sarmina this Court’s Atkins although recognizes the decision a constitutional right, provides once a state the access to proce- accused evaluation, dures for an making [intellectual there disability] is no due that process requirement the Commonwealth prove negative, a of vindicating and assume the burden the right the of by persuading defendant’s constitutional trier [intellectually fact that the is not is disabled] defendant eligible execution. Sanchez,
Id. (citing Commonwealth v. 1, 71, 36 A.3d (2011)). 24, 66 Judge opines: Sarmina thus provide our requires that Commonwealth
The Constitution
of
a defense
ability
[intel-
the
to advance
capital defendants
may
pursue
A
elect to
disability].
capital defendant
lectual
not to
not to do
The decision
defense, may elect
so.
that
or
of an Atkins
claim, like other claims rooted
oneself
avail
the
the
for which
defendant
protections
constitutional
bears
evidence, may
of the
be
by preponderance
a
proof
of
burden
himself.
by the accused
made
Guzek,
(citing Oregon
Id.
S.Ct.
U.S.
(2006); Puksar,
275-76,
Pa. at
1232-33,
Responding position the set 1925(b) was invalid because waiver statement he knowing, intelligent voluntary not and because it was ac- right, Judge Sarmina capacity waive lacked of a consequences of the decision knowledges light Atkins claim, must made such choice an pursue intelligently voluntarily, suggests and she knowingly, permitted waive a defendant should be only competent Puksar, Id. constitutional defense. 10). competency, Regarding determination
288 n. concludes: Judge Sarmina waiving standard the same whether competency
The evidence, counsel, right mitigating right present an Atkins claim: the defendant must present right a reasonable ability consult with have the understanding and have a degree understanding rational “The focus proceedings. the nature inquiry capacity; is the defendant’s mental competency ability he has the to understand the whether question is *76 proceedings.” Starr, 564, 589-90, Pa.
Id. Commonwealth (citing (1995)) (italics in original). 1326, 1339 A.2d regard hand, With to the Judge circumstances Sarmina acknowledges Appellant’s initial request counseled to amend to include the Atkins petition claim, his PCRA subsequent pro se indication longer that he no wished claim, pursue the and Judge Jones’ eventual colloquy Appel- grant lant and of permission to waive the Id. claim. appearing
Prior to in open court, petitioner recognized that great communicator,” he is “not a verbal so he wrote a short for statement the court. Petitioner exerted time and effort to ensure that his desire to waive Atkins claim would be understood. As soon Judge permitted as Jones him an opportunity, petitioner began reading his prepared state- ment. N.T. at 16. Judge interrupt- Jones When 6/12/2007 ed in an effort to chase,” “cut to the petitioner stated that Judge answered, he understood question Jones “I wish not to pursue the Atkins.” Id. at 18-19. By promptly responding Judge questions fashion, Jones’ in a succinct waiving the Atkins claim and then his reasons for explaining thereafter, more elaborately petitioner evidenced an aware- purpose ness in court ability and the understand proceedings. Id. Judge circumstances, Sarmina on opines based it Judge well within Jones’ discretion determine that Appellant “possessed the ‘level of competency sufficient [to] demonstrate that he has the ability ability and had the he day knowingly testified and intelligently right waive his ” Atkins claim and, to an Id. at 54-55 moreover, he did so.’ 6). (citing N.T. 1925(b)
Judge acknowledges Sarmina that Appellant’s Rule statement Judge colloquy also asserted that Jones’ failed petitioner knowingly, establish that intelligently and voluntari- ly Id. right pursue claim, waived his an n. Atkins but she discerns that this issue has been waived because not raise sufficiency colloquy did before court, PCRA and “claims cannot be raised for the first time on 302(a) (“Issues appeal.” Pa.R.A.P. raised lower court are waived and cannot be raised the first time on appeal.”)). Pertinent Judge conclusion this Sarmina’s
454 given parties that she had the the she observed
regard, 12, to Jones’ June 2007 decision Judge address opportunity Atkins claim during to waive the Febru- Appellant allow the 13, following conducted the October argument 2012 oral ary mitigation on the evidentiary hearing penalty phase 2011 68).65 52, 24 Id. n. N.T. issue. 2/13/12 this Court on behalf The brief filed before ineligible penalty is for the death under argues Appellant that Atkins and permitted he not have been the should “waive” (A) Atkins created categorical claim non-waivable because: (B) disabled; intellectually to the of the execution bar Atkins pursue solely whether an claim lies decision with (C) (D) counsel; colloquy inadequate; the “waiver” was waiver; have to the competency hearing prior should been held (E) permitting court its discretion in Appel- PCRA abused eighth against lant amendment prohibition “waive” (F) disabled; intellectually Appellant of the execution disability. Additionally, suffers from intellectual it raises sev- allegations regard Judge of error with Rule eral Sarmina’s 1925(a) opinion.66 initially prohibition that the constitutional on
Counsel assert intellectually is persons analogous the execution disabled 13, 2012, February Appellant proceedings When the on 65. commenced accurately Judge Judge disposed indicated to Sarmina that Jones of the issue, position Appellant reiterated his not Atkins Atkins did agreement Judge ruling apply expressed to him Jones’ permitting N.T. him waive the Atkins claim. at 12-13. issue, argument mitigation Following penalty phase Judge on oral inquired you "Do either of want to Sarmina counsel: comment Mr. comment that he is not at 68. In re- Mason’s retarded?” expressed sponse, Appellant’s his belief that whether legally intellectually not been disabled had determined because hearing, my permitted Appellant was to waive an Atkins stated “It’s something actually view not we can waive and some- that that’s that’s thing may may appeal, certainly but not not an issue it’s at issue before this Court.” Id. advocate, “Although generally argu- it counsel who we attribute Sam, represent.” parties they whom ments to the Commonwealth v. 571, 565, (2008). 523, regard 594 To do so with inaccurate, however, issue would be as from the Atkins time Jones, Judge September, pro 2006 se letter to delivered his 13, through Judge during February his comments to Sarmina consistently argument, Appellant expressed has his belief oral prohibition on the persons, execution insane those who of 18 age committed, were under at the time the crime was or those who an recklessly have committed intentional or murder, indifferent and is thus absolute and cannot be volun tarily at 63 (citing Kennedy waived. v. brief Louisiana, 2641, 554 U.S. 128 S.Ct. L.Ed.2d Simmons, (2008); Roper 543 U.S. 125 S.Ct. Arizona, Tison v. (2005);
L.Ed.2d
481 U.S.
107 S.Ct.
(1987);
Wainwright,
Ford v.
finding [intellectually that the is defendant defendant imprison- cannot be executed but must instead be sentenced to life ment. Hall, supra, asserting May decision preme Court’s the contention that Atkins claims non- Hall supports are The supple Brief filed 1.68 Supplemental waivable. that Commonwealth v. Rob additionally mental asserted brief inson, 345, 381, 998, 1019 demonstrates Atkins as “interpreted presenting a cate that this has Court to the execution of gorical, intellectually bar non-waivable Id. at 2.69 disabled.” that an Atkins
In
claim
not be
contending
may
addition
waived,
propose that the decision whether
voluntarily
omitted).
68-69,
(footnote
Rogers
Rogers,
457
Atkins defense “lies
pursue
an
solely
with counsel.” Id. 64. They acknowledge that a
may decide,
defendant
against
advice,
counsel’s
to plead guilty,
“whether
waive a jury, testify
behalf,
in his or
or
her
take an appeal,”
own
but
suggest
capital defense
permitted
counsel should be
to choose to
Atkins claim without obtaining the defendant’s
an
pursue
Nixon,
consent. Id. at 64
v.
Florida
175, 187,
543 U.S.
(2004))
125
551,
S.Ct.
(quoting Taylor v.
L.Ed.2d
Illinois,
400,
657,
417-18, 108
U.S.
S.Ct. at
Couching Appellant’s efforts to end
pursuit
Atkins claim as “an effort to control and dictate the course of
broadly
questions relating
This Court
stated
legality
has
sentencing
Aponte,
are not waivable. Commonwealth v.
(2004). Additionally,
1n.
the Atkins Court
explained
‘places
[United States]
that "the
Constitution
a substantive
power
restriction on the
to take the
[intellectually
State’s
life’ of a[n]
offender,”
2242, leaving
disabled]
litigation of his
mental disabilities
Appellant’s
that
determined
should have
prevented him
himself and
representing
him from
precluded
judgment” as to the
reasoned
“overrul[ing] counsel’s
from
Edwards,
(citing Indiana
554
Id. at 70
U.S.
Atkins
claim.
2879, 2386-87,
164, 175-176,
Counsel
disability.” Id. at 70
range of “intellectual
of 71 within the
Gibson,
411,
Commonwealth v.
2/16/96;
(citing N.T.
(2007)).72
Gibson
416,
167,
They
indicate
A.2d
who “obtained Atkins relief with
capital
a
involved
defendant
[Edwards],
Supreme
whether
“In
the United States
Court considered
meaningful
competency
legally
to stand
distinction between
there was
Spotz,
represent
Pa.
competency
oneself at trial.”
trial and
56,
Although noting that
issue in Indiana v.
"[t]he
at 266.
A.3d
El,
appeal,”
explained in
this Court
Edwards is not relevant
this
supra, that:
applied
standard as
to criminal defen-
clarified the Faretta
[Edwards ]
illness, but
nonethe-
dants who
from some form of mental
are
suffer
Edwards,
competent
554 U.S.
less
to stand trial. Indiana v.
(2008).
question
The
was whether the
S.Ct.
459 74.” Id.73 an of IQ Here, score citing to the testimony of Larry Lawhorn, 2/16/1996, 43-52; NT the testimony Thel Mason, 2/16/1996, ma 54-64; NT the testimony Dr. Allan 2/16/96, 72-104; NT Tepper, testimony the of Dr. Gerald 10/26/11, 14-143; Cooke NT testimony the of Dr. Robert Sadoff, 10/24/2011,13-85; the testimony Gordon, of Dr. Barry 10/27/11, 11-155; NT and the of Dr. testimony Richard Restak 10/28/11,3-48, NT counsel assert that Appellant from suffered adaptive deficits in at least five of the eleven skill areas set (functional forth in academics, the DSM-IV social and inter skills, self-direction, personal self-care, and safety), and that Appellant also meets the American Association on Intellectual and Developmental standards, Disabilities which that require deficits in be demonstrated one of three broad areas—concep tual, social, Id. at 71. practical. and (1) relatedly
Counsel assert that the PCRA court erred likening the waiver of an Atkins claim to the waiver of the presentation of mitigating evidence because Atkins “imposes a categorical, substantive to the mentally bar execution the (no disabled, nonwaivable,” Id. and is thus authority citation to (2) provided), that it finding Judge was within Jones’ discre- tion to Id. 71-72, “find the waiver to adequate,” be failing controlling apply Supreme United States Court law on the requirements adequacy of waiver of important (not Id. rights. authority 72 citation to provided). an Atkins claim may be
Counsel that if next assert even waived, Id. at 65. colloquy the waiver here inadequate. was Specifically, they complain that was advised standards, legal burdens, applicable consequences “waiver,” of his nor permitted question Appel- was lant, thus nothing there is the record from which review- IQ Gibson, appellant’s range, In was within the 70 to 75 but parties agreed depending upon degree Court noted that both that IQ adaptive possible person ranging deficits it with an from 70 disability, appellant’s suffer from intellectual and that in the testimony expert case the of his was PCRA witnesses consistent understanding supporting court’s such deficits were on a scale finding disability, of intellectual thus the Court the PCRA affirmed appellant intellectually court’s determination that the disabled. 417-418, Gibson, 592 Pa. at at 171. decision was know-
ing court could conclude
Id. at 66.
intelligent.
ing, voluntary,
competency hearing
insist
additionally
“[a]
Counsel
waiver,” Appellant’s
to the
brief
prior
held
should have been
has a
that a defendant
support
thereof
argues
but
incompetent
corresponding
not to
tried while
right
(citing Cooper
hearing
competence.
to a
right
4, 1377,
n.
Oklahoma,
n.
The urges Commonwealth precedent that such applies equally here. Although recognizing that Atkins created a new defense to the imposition sentence, a death the Common- emphasizes wealth that the still carries the defendant burden of proof, such that the defense must litigated only be if the defendant first proffers evidence to it. support Sanchez, Commonwealth v. Pa. 65 n. 62- A.3d (2011)). 63 & n. 19 Thus, declares, Commonwealth PCRA court correctly that, here concluded with the presen- as tation of mitigation evidence, may “counsel their override client’s decision proceed defense.” Id.
Noting counsels’ reliance on
support
Nixon to
the conten-
tion that counsel must
permitted to
override
defendant’s
directions, the
argues
Commonwealth
that Nixon is factually
dissimilar, and disputes that its
holding
helpful
counsels’
(unlike
position, arguing that it instead involved a defendant
*83
here)
who
approved
rejected
neither
nor
counsel’s
tactic, and that it
only
held
that
counsel informs the
“[w]hen
defendant of
strategy
the
counsel
to
in
believes
the defen-
unresponsive,
and the
defendant
is
dant’s
best
interest
strategic
counsel’s
choice is not impeded by any blanket rule
demanding the defendant’s explicit
(citing
consent.” Id. at 73
Nixon,
brief)).
192,
The disputes suggestion Commonwealth also counsels’ that Appellant was from precluded directing the counsel eschew objectives Atkins claim did not disagree because he with of litigation not and had waived To altogether. counsel asserts, contrary, may Commonwealth a defendant direct counsel not to proceed specific lines defense waiving declining without counsel or challenge imposition a capital Rega, 710-11, sentence. Id. at 73 593 (citing Pa. at 1026-28; 602, 933 at Birdsong, A.2d at 650 538 Pa. A.2d at 33- 462
34). this is a disputes the Commonwealth Likewise request as did hybrid representation, matter of briefs, witnesses, or present argue portions to file his own not to simply representatives directed his case, but instead name, objectiona- he deemed a course action pursue, his ble. Id. acknowledges counsels’ assertion Commonwealth
The categorical voluntarily that “cannot be Atkins adopted bar that this waived,” argument discerns the Commonwealth but here is not one of waiver question misguided is because may say have the instead “whether defendant ultimate but is line of defense.” Id. at particular pursue whether “[pjlainly, emphasizes In the Commonwealth arguing, so an Eighth Amendment to execute offender it would violate given opportunity an to consider jury unless a had been Guzek, 526, Id. evidence,” 546 at 126 (citing U.S. mitigating 1232) however, Court, has that a held “[t]his but S.Ct. present not to such evi- may defendant instruct Thus, opines, Appellant here dence.” the Commonwealth was to the present whether evidence lower entitled decide Id. intellectually that he court to establish was disabled. “waiver,” op if as Even decision considered withdrawal, voluntary the Commonwealth maintains posed including Eighth Amend rights, that constitutional under LaGrand, Id. at 74 Stewart v. ment, (citing may be waived. (1999) (defen 1018, 196 526 U.S. 119 143 L.Ed.2d S.Ct. execution); challenge waived constitutional method dant Patterson, 104, 144, Commonwealth v. (defendant claim that uncon penalty waived death him)). points as The Commonwealth out applied
stitutional jurisdictions—has fact that this Court—like courts other Steele, held Atkins an claim waived. Pa. Frazier, State v. 808-09; 115 Ohio St.3d A.2d Commonwealth, (2007); Bowling N.E.2d *84 Commonwealth, Winston v. (Ky.2005); 371-72 S.W.3d (2004)). Indeed, 51 268 604 the Common Va. S.E.2d Atkins claim unwaivable an would “deeming opines, wealth procedures eviscerate the this Court has adopted present ).74 Sanchez, ing such claims. Id. (citing supra The Commonwealth to dispute continues counsels’ conten- tion “waived,” that an Atkins claim cannot discerning be that: claims are fundamentally
Atkins
different than the other
“categorical bars” counsel baldly assert cannot be “volun
(Initial
63).
tarily waived.”
of Appellant,
Brief
As this
observed,
Court has
“[t]he fundamental
query
Atkins
differs in kind from
in a
case such as Roper v. Sim
mons,
(2005),
U.S.
S.Ct.
[125
Id. at 75. distinguishes The also claims of Commonwealth incompetency to procedures be and the applicable executed those claims:
Unlike intellectual a claim of disability, incompetency to be “presumably ripens only executed after a death warrant has 56], issued.” Commonwealth v. Banks Pa. [612 A.3d (Pa.2011). Moreover, claimants, unlike Atkins any offender with incompetency meritorious claim would presumably forego also it. incompetent See Common 177], 1016, 1020 wealth re Heidnik [In ] [554 Pa. (Pa.1998) (“it makes to inquire no sense” con whether a prisoner demned competent forego raising a claim of incompetency). Given the differences nature additionally 74. The Commonwealth counsels’ reliance on dismisses Hall, observing that Hall "concerned definition intellectual disability. may It did not address whether a defendant decline to claim he has that condition.” Commonwealth’s brief at 75. *85 464 brought, in must this
claims, timing they which be and adjudicating competency procedures held that for Court has for “inapposite” are Atkins claims. Sanchez executed 1], 56 n. 15. 36 A.3d at Pa. [614 Id. at 75-76. colloquy Appellant that to counsel’s claim
Turning
Judge
inadequate,
the Commonwealth echoes
Sarmina’s
was
first
counsel raises this issue for the
conclusion that because
challenge
ground
that
as a
counsel has waived
appeal,
time
1925(a)
26);
at
n.
(citing
opinion
at
Rule
relief.
Id.
76
Fletcher,
778;
302(a);
Even meritless, surrounding as the circumstances Appellant’s tion is the Atkins claim and court’s request withdraw decision request support Appellant’s that a determination that grant knowing intelligent. (citing Id. at 76-77 decision was N.T. 6). ef acknowledges at The Commonwealth counsels’ involving guilty circumstances to analogize fort to these cases counsel, of trial and the waiver but Commonwealth pleas closely is more that here akin contends decision mitigating evidence, from presenting to refrain the decision no of or requirement it that is “constitutional *86 ings, which not east did doubt Appellant’s competence. Id. at 78-79.
Also for waived present court, failure it before the PCRA according to Commonwealth, is counsels’ claim under Edwards, supra, that an otherwise competent may defendant nonetheless found to lack be sufficient capacity mental represent 302(a)). himself. Id. at 80 (citing Even if Pa.R.A.P. allegation of error had preserved, been the Commonwealth contends that Edwards permits that held the Constitution to impose greater states limits on self-representation but did require not apply courts to a heightened of compe- standard for tency self-representation.
The lastly Commonwealth challenges suggestion counsels’ that an evidentiary hearing is necessary prove Appellant’s Atkins, ineligibility under emphasizing that the Common- expert wealth’s opined merely “low normal intelligence,” any and counsel to present expert have failed opinion Appellant is intellectually disabled. Id. 80-81 (noting that Tepper Dr. did not so opine, and Dr. Cooke suggested that Appellant had borderline intellectual function- ing but not disability). intellectual
A PCRA Court “is not obliged to hold a an hearing [on Atkins adequate unless an proffer claim] has been made concerning disability], [intellectual an issue material Porter, fact is present.” determined be A.3d at 25. not proffer Since counsel did any expert opinions identifying intellectually disabled, defendant as the PCRA court would had their claim even defen- denying justified have been not it. withdrawn dant
Id, herein, claims we among numerous raised address
From permitted Appellant when it PCRA court erred whether the an Atkins hearing, as we pursue override counsels’ decision specifically determine doing, In so we dispositive. it find authority whether raise decision-making over allocation sought has counsel’s an Atkins claim where defendant his or her sentence death. vacating assistance that Atkins did “speak of a has recognized This Court determining [intellec- constitutionally-mandated procedure Sanchez, cases.” Commonwealth disability] capital tual (2011). Rather, Atkins 1, 48, specifically 36 A.3d at “ ways developing appropriate ‘to task of left the States the upon their execution of the constitutional restriction enforce ” Atkins, 536 U.S. S.Ct. (quoting sentences.’ 2242). forthcoming, this Court response no legislative With which an process over a series cases out laid doing, In so may brought. disability challenge intellectual that, to determinations of analogous in one matter held we Atkins seeking a defendant competency sanity, criminal *87 disability under intellectual prove the relief bears burden a of the by preponderance definitions evidence. accepted Mitchell, 202, 210 258, A.2d nn. v. 576 Pa. 839 Commonwealth (2003). It a defendant bears the burden 7 8 follows that & may in or Atkins-based place claim the first bringing an Atkins claim altogether. forego bringing instead elect context, a defen- recognized capital a we have In similar mitigation evidence right forego presentation dant’s with a complying to hold counsel ineffective and declined insis- knowing intelligent apparently defendant’s capital Puksar, 282, A.2d at 292.75 to that 597 Pa. 951 end. tence Sam, 368-69, 611-12 See also (holding 635 A.2d Puksar, challenge had to the suffi we that there been no 75. In noted although colloquy appeared ciency colloquy, on its face of the presume thorough, enabling the waiver was been this Court have intelligent. knowing, voluntary, and Puksar at
467
capital defendant
right
has a
to present mitigating evidence at
sentencing,
9711(a)(2),
§
42 Pa.C.S.
and he can waive that
right;
duty
counsel has no
to introduce mitigating evidence
where a
specifically
otherwise.);
defendant
directed
Tedford,
(where
The United Supreme States Court has four identified deci- sions that are to a case, fundamental criminal such that may choose a course of action respect to them until obtaining first express consent of the defendant:
It is recognized [ ] that the accused has the ultimate author- ity make certain fundamental regarding decisions case, as to plead guilty, whether to jury, testify waive a or behalf, her own take an appeal, Wainwright see Sykes, 1, 93 n. U.S. 97 S.Ct. n. (BURGER, C.J., L.Ed.2d concurring); ABA (2d ed.1980). 4-5.2, for Criminal Standards Justice 21-2.2 addition, In that, limitations, have held we with some may advocate, defendant elect to act as his or her own Faretta v. California, U.S. 95 S.Ct. (1975).
L.Ed.2d 562 nor any Neither Anders other decision however, of this Court suggests, indigent defendant right has a constitutional to compel appointed counsel to press client, points requested by counsel, nonfrivolous if as a matter of professional judgment, to present decides not those points.
[**] [*] Anders, This Court’s far from giving support decision per the new se Appeals rule announced the Court may [that client dictate all claims to nonfrivolous be raised *88 in an appeal] .recognized ... that the role of the advocate “requires that he client’s to support appeal his the best 744, S.Ct., his ability.” U.S., 386 at 1400. 87 Here the 468 declining just [by defendant’s
appointed counsel did appellate claims]. request to add nonfrivolous 3308, Barnes, 751, 103 745, 753-54 S.Ct. 463 U.S. v. Jones (1983). 3314, 3312, 987 77 L.Ed.2d Jones, Supreme in since its decision years In thirty over rights of fundamental this narrow list not to Court has added defendant, for ulti- of which are or the exercise waiver on the decide, it has issue though elaborated mately, somewhat: duty has a to consult with the undoubtedly attorney
An
decisions,” including questions
“important
regarding
client
Strickland,
U.S.,
strategy.
overarching
defense
however,
obligation,
That
does
688,
The remains as whether decision Atkins rights was, nevertheless, over comparable to the subject fundamental decisions to a defendant’s choice as de- Jones. The by the United in Supreme scribed States Court United in Supreme Eighth States Court has identified fundamental, Amendment a personal right intellectually here, from capital punishment. Yet, disabled insulated is, fact, there has no been determination that provides pertinent part: 76. Rule 1.2 (a) lawyer by concerning objec- A abide shall a client’s decisions representation, ... and tives shall consult with the client as to the case, by they pursued.... means which are to be In a criminal decision, lawyer shall abide the client's after consultation with the entered, lawyer, plea jury as to a to be whether to waive trial and testify. whether the client will
Pa.R.P.C. 1.2. disabled, constitutional right and so the avoid intellectually in his yet on this has not attached basis capital punishment from fact, alone, situation distinguishes case. This Jones, the four fundamental contemplated those under where in a clearly therein are vested defendant at rights recognized to waive or exercise or she must decide whether the time he Here, cannot be said to waive or exercise them. satisfy has the condition right yet conditional where he upon right which the rests. *90 to or a deciding than on whether waive exercise
Rather right, Appellant and counsel were con- fundamental vested Atkins hearing of an only prospect seeking fronted with the if a possessed a court could determine indeed where capital Though surely important to vacate his sentence. right to pursue the decision the hear- potentially consequential, in itself, principles not the inherent the ing, implicate did basic rights of a with a set of concept volitional defendant furnished him government’s against to confront the case or with which Jones. recognized her that were of not to example, plead guilty For the decision whether or Nixon, indeed, defining is “of moment” as described in a such defendant, assert his or moment for the who must either her or of charges guilt of the make an admission on the innocence instance, In the defendant’s act a charges. represents either basic, statement, rejection accep- be it one of or fundamental tance, on the In government’s charge against defendant.77 contrast, to an claim Atkins forego decision re- judicially recog- High illustrates the 77. The Court’s decision Nixon nized, right plead guilty by differentiating fundamental to it from the conceding guilt during capital Specifically, High of a case. act obliged express was not obtain from Court held that counsel to consent consistently non-responsive employing a aloof and defendant before a guilt during guilt phase strategy capital trial. that conceded a conceding holding Central to this was the distinction made between guilt during pleading guilty, ultimately trial and the latter of which is a always requires express the defendant and a decision for defendant’s Conceding guilt during capital important trial was an consent. already very high though prospect of a conviction was decision-even it a of the case-for the obvious reason that made verdict under the facts phase proceeding certainty. guilt subsequent all but and a death a However, prosecution relieve the of its because the concession did not fleeted no statement on his respect with to the position sentence he faces. It certainly did an represent accep- or tance his sentence an it appropriate, admission that is consistently challenged he capital has his sentence.
Similarly, counseled has the right fundamental defendant filed, filed, to demand that an appeal be but once it is our has jurisprudence recognized right never in the appellant command that counsel either raise withhold a challenge legality appellant’s sentence. The autonomy ultimate ends with the decision over If appeal. whether take an appeal taken, may decide which nonfrivolous issues raise, including those pertaining appellant’s sentence. An appellant’s impasse recourse is to upon either to self- seek represent or wait to raise an ineffective claim on assistance appeal. collateral
Where, here, as capital expressed convict has desire death, live his challenge sentence of and counsel has raised an Atkins claim accordingly, the defendant’s volitional interest claim withdrawing the would seem to implicate only his to avoid a categorization “intellectually desire disabled” which not identify he does and which he to find appears embarrassing.78 such, As right decision waive the *91 prove every first-degree charge
burden to element of the murder be- doubt, trial, yond kept rights jury a reasonable to intact defendant’s to a him, against evidentiary objections, confront witnesses and to make possibility jury rejection allowed for least theoretical of the case, prosecution’s severely grounds appel- and would not limit the review, core, late the chosen defense did not involve the loss of such, rights guilty plea. fundamental that occurs with a As counsel was implement overarching strategy gaining free to this defense without consent, express High defendant’s and the Court reviewed counsel’s Strickland, strategy chosen under the rubric for ineffective assistance of counsel. clear, have, To be Nixon was silent on whether the defendant could as it, law, strategy objected openly a matter of blocked counsel's had he to However, today. which is the we issue address the Nixon discussion is highly important insofar as it consider instructive did not and consequential conceding guilt capital act of in a case to be the function- equivalent right guilty plead al of the fundamental to so as to condition authority receipt express counsel’s on of the defendant's consent. 78. Where PCRA counsel seeks to an done advance Atkins claim as was here, potentially any consequence we cannot discern harmful to it “of to his case when does not
cannot such moment” be a vis position vis capital a sentence. mean We manifest in of the defendant’s interest importance not to diminish the respectfully disagree that such an interest regard, we this but contemplated case as that term is in is “fundamental” one’s and Nixon. Jones note, on simply the decision additionally,
We because Atkins to a hearing potential relates pursue whether an in not right necessarily the defendant constitutional does of a within it to the rank fundamental decision elevate See, Wainwright, e.g., Jones rubric who should decide. in supra (holding authority defense has ultimate counsel de or not to advance Fifth Amend ciding defendant’s whether through seeking motion of defen rights suppression ment a violation Miranda v. allegedly obtained dant’s statement Arizona, (1966)). 1602, 16 86 S.Ct. L.Ed.2d U.S. importance that a has and Nor does the fact decision carries implicates rights judi that it significant consequences mean personal so that counsel cially recognized as fundamental Indeed, subject power. implements it defendant’s veto to lie decisions have been held within numerous defense clearly great importance ultimate discretion are counsel’s See, e.g., United case. consequence defendant’s (4th Cir.2010) (“[d]ecid Chapman, States F.3d (or reject or ing accept to seek mistrial whether whether court)” the trial a mistrial offered falls counsel defendant). circuit court of left Chapman, appeals
In the federal to seek or an offer of accept over whether mistrial decision many large part because technical consider- bring such a matter ations identified and evaluated vacation, right— objective any of sentence waiver or forfeit of a defense otherwise, any incurring punish or risk of an enhanced fundamental ment, Mashburn, Slobogin Lawyer’s See The Criminal Defense Disability, Fiduciary Duty to Clients Mental 68 Fordham L.Rev. (2000), 158] argue regarding in which the that a client’s wishes authors abnormality *92 or present evidence of mental as a defense whether generally competent, mitigating control where he is but factor should available, likely position only very prevail, one is where the is good do than harm. and its success would more the decision within the realm of the strategic tactical. Deciding whether defendant pursue Eighth should capital punishment Amendment bar to under Atkins likewise requires of complex an assessment legal and highly technical diagnostic considerations. fact This further distinguishes the Atkins hearing decision from the fundamental enu- decisions Jones. merated in of Again, part what qualifies the decisions regarding whether to or plead guilty, trial, testify attend or one’s defense as fundamental ones resting with the defendant the recognition that the defendant has an knowl- intimate edge and of understanding the facts and of circumstances his underlying her case that is making crucial to such decisions. The same cannot for the be said defendant with potentially Atkins claim, the very question colorable where asking wheth- er a defendant meets the psychological criteria of “intellectual- ly for purposes disabled” of the Eighth on Amendment turns complex, diagnostic inquiry into whether the experi- defendant enced of sub-average onset both functioning intellectual as revealed by IQ adaptive tests and functioning deficits on based standards definitions adopted the DSM AAIDD age eighteen. short, before the In the intricacies and categorical technical nature assessment at issue it takes scope basic, outside the subject fundamental decisions to a defendant’s control.
In light foregoing, that, of the we find where con basic, fronted with neither a fundamental concerning decision Appellant’s PCRA nor challenge disagreement between coun sel and respect objectives overarching challenge, court in ruling PCRA erred that counsels’ Atkins authority subject to seek an hearing to Appellant’s Furthermore, veto. Appellant’s pro se by acting directly moving letter court to accept of the coun waiver seled Atkins claim, court impermissibly PCRA invited hybridized representation. What our has jurisprudence con sistently prohibited appellate both trial and levels when strategic disagreements arise between and counsel defendant option hybrid representation, is the where an otherwise de represented acts as exercising defendant co-counsel facto *93 Ellis, (holding there swpra of the defense. control over parts appeal); on Common hybrid representation no to right is cf (2011) 994, 1000 437, 446-47, Cooper, 611 Pa. wealth v. give to a acknowledge to force (upholding court’s decision a it dovetailed from counseled defendant where pro filing se adopted ultimately and where counsel strategy with counsel’s it). of Appellate Rule Procedure 3304. “Pennsylvania See also the is purpose policy The behind Hybrid Representation.”79 to efficiency representation conflicting avoid promote to In a represented the event strategies in defense. motion, or pleading, filing a se to the presents pro defendant shall, therefore, court shall not entertain it but court, instead, to may it to counsel who then decide whether forward Ellis, supra. act on concern. the defendant’s taken, to for the PCRA court have proper The course acting therefore, upon Appel- have been to refrain from would instead, By, it and to forward to counsel. pro lant’s letter se unilaterally inviting Appellant prepared deliver a statement representation, opposition chosen course counsel’s during one another against court defendant and pitted hearing. the PCRA
We, therefore,
this
PCRA court for
remand
matter
claim
consideration of
counseled Atkins-based
and deter-
evidentiary hearing
mination as to
it merits a full
whether
Miller,
Pa.
consistent with Commonwealth
(2005) (setting
appellant
A.2d 624
forth elements that
must
of the
in order to
by a
evidence
receive
prove
preponderance
relief).
If,
remand, Appellant
continues to
Atkins-based
choice,
disagreement
strategic
may
with counsels’
he
express
provides:
Hybrid Representation,
79. Rule 3304.
litigant
attorney
represented
Where
an
before
Court and
motion,
filing
petition,
any
litigant
brief or
other
submits for
matter,
but forwarded
type
pleading
in the
it shall not be docketed
counsel of record.
Ellis,
premised
present
Note: The
rule is
on Commonwealth v.
(1993)
distinguished
and is to be
from
Pa.
Pa.R.A.P. 3304.
Grazier,
seek a
Commonwealth v.
hearing pursuant
9,
As with the
fifth
and
issues
raised
Court,
Appellant
brief
this
did not raise this
allegation in his amended PCRA petition, but instead included
it in his
Supplement
“Petitioner’s
and
in
Response Opposition
to the Commonwealth’s Motion to Dismiss and
in
Reply
Support
his
for
to Atkins v. Virgi
pursuant
Motion
Relief
nia,”
filed on
Also,
November
2003.
previ
as with those
issues,
ous
the Commonwealth asserts that
allegation
this
has
been
for
waived
failure to
it in
include
a court approved
supplement/amendment.
Commonwealth’s brief at 82
Reid,
484; Elliott,
173-74,
627 Pa. at
A.3d at
Appellant point does not to the location the record where the PCRA court him granted permission to supplement/amend his for request post-conviction and, relief to claim, include this issues, as with the prior he does not dispute that he did not permission obtain his petition amend PCRA but instead 2, 2015, asserts via his February reply brief he was prevented from curing this deficiency by the PCRA court’s failure to provide proper Rule 909 For notice. the reasons course, alternative, may, Of 80. in the decide that it would be Appellant post-conviction best for and his if interests counsel were to personal request adhere to his to discontinue the claim. Such Atkins Appellant adherence would not constitute ineffective assistance unless incompetent is to make such a decision claim and the is colorable. any incompetence, Confronted with indicia counsel would be re- full, quired request comprehensive, probing competency and hear- ing may in which the court ascertain whether understands withdrawing the consequences nature of the claim he is and the of its withdrawal. that this issues, we find regard previous expressed for review. not our preserved issue has been is Belief Because Petitioner Entitled Claim Whether Penalty Improper Guilt of the Prosecutor’s Arguments Inef- Counsel were Whether Phase Litigate Failing these Issues. fective prosecution sought asserts that by “urging jury passions prejudices inflame jury’s including prior on irrelevant its verdict factors” base and, future, to commit crimes in the and proclivity bad acts for to a call ven hearing, by resorting blatant penalty addressing standard at 74. Our geance. Appellant’s brief misconduct is as follows: allegations prosecutorial that, phase, where the during penalty is It well settled prosecutor no longer applies, of innocence presumption comment on may properly afforded latitude reasonable aby prosecu- flair. Comments with oratorical the evidence their reversible error unless unavoid- tor constitute do forming their minds jury, to prejudice effect was able such hostility toward defendant fixed bias and objectively and render a weigh could not the evidence they *95 penalty trae determination.
[**] [*] in must evaluated by prosecutor made
[R]emarks they closing argu- occur. [in context in Furthermore which ment], may fairly respond points made prosecutor closing. the defense
[Wjithin court, the trial bounds enforced reasonable impassioned license and employ oratorical prosecutor may penalty. for the death reference argument arguing While avoided, note that mur- should be we irrelevant matters or irrelevancies in a simply props der victims are not prosecution, and innocuous references victims murder necessarily prejudicial. and their are families Freeman, Commonwealth v. Pa. 408-09, 827 A.2d (2003) (internal 413, 415 citations quotation marks omit- ted).
Specifically, during guilt summation, its trial the prosecution the following: offered
PROSECUTION: how many prior of nasty, [A]nd incidents malicious, violent against acts this daughter you woman’s do about, PCP, have hear non angel dust, quote, unquote, induced you recognize before this what case is all about? Objection. DEFENSE:
COURT: Overruled. N.T. guilt at 84. phase challenge, however, This 2/14/96 waived, as PCRA petition directed the present 302(A) challenge only (Issues to his sentence. See Pa.R.A.P. not raised in the court lower are waived cannot be raised Lambert, the first time on appeal); Commonwealth (2001). 346, 361, Pa.
Appellant also prosecution’s asserts summation in Appellant’s penalty trial improperly jury directed the to show him no mercy in its deliberations:
PROSECUTION: there is no really your [I]f doubt mind that the aggravating circumstances in this all right case are here mitigation brutal, senseless, and there is no in this horrible killing, then follow the give Mr. Mason the law same mercy gave he Iona Jeffries. at 114. Chmiel,
In 333, 458, Commonwealth v. Pa. 1111, 1184-85 (2011), A.3d this upheld virtually Court identi cal penalty-phase as appropriate appeal summation an for the death if penalty jury aggravating determines that circum outweigh circumstances, mitigating stances that is the because only here, jury penalty Moreover, issue before the in a phase. Chmiel, in as the trial court expressly otherwise cautioned in its jury instructions that nor passion neither prejudice *96 should influence its or way decision one the other. N.T. presumed 140. Juries are to follow such instruc Clvmiel, discern no for Accordingly, we basis supra.
tions. on this claim. relief Discovery. Appellant is Entitled
Claim Whether Pennsylva- next that he is entitled under Appellant submits 902(E)(2)81 of discovery nia of Criminal Procedure Rule case, as, contends, he the. 911 calls this tapes actual of the of the portions tape indicated that transcript provided he was Discovery Appellant’s brief at 80. were “unreadable.” accuracy is needed to tapes, argues, he substantiate also that he is transcription. contends entitled Appellant autopsy a forensic discovery copies photographs show given whether a “can make determinations about expert, who or at 81. rage killing not[.]” homicide is a brief request autopsy to the for Initially, respect fails to so much as indicate whether photographs, critical evidence—let purportedly trial counsel such requested find may us to where the record we alone direct ap address whether counsel on direct request—nor does he ruling a trial asserting raised a claim error with court peal such, request. trial As we know wheth denying counsel’s or, instead, previously preserved er the issue was waived true, If sake of litigated. assuming the former asserts, was, that the evidence as now argument then it was sentencing, critical to a fair trial and incumbent present to couch the claim within an ineffec upon Appellant this, prior Having tive assistance of counsel claim. failed do McGill, 574 we find the issue waived. See Commonwealth v. (holding layered ineffectiveness Pa. claim); 42 preserve claim is an waived required otherwise 9544(b) § that an issue is under the (providing Pa.C.S. waived “if have raised it but failed to do so petitioner PCRA the could review, trial, trial, during unitary appeal before proceeding.”) See also Common- postconviction state prior 902(E)(2) provides petition counseled in a 81. Rule the first "[o]n case, discovery any stage penalty permitted at of the no shall be death showing good proceedings, except upon cause.” leave of court after a 902(E)(2). Pa.R.Crim.P.
479 Ragan, 106, (1999). wealth 560 116, 390, v. Pa. 743 A.2d 395 If, alternative, in the the claim as raised herein previously was it litigated, cognizable then is under the PCRA. See 42 9543(a)(3) §§ 9544(a)(2); Pa.C.S. v. Spotz, Commonwealth 45, 18 610 Pa. at A.3d
Notwithstanding the claim preservation problem, we find that Appellant fails demonstrate that showing he made a of good cause for the court grant PCRA discovery re- In quests. argument, his provides he neither a contextual nor a specific that explanation offered the PCRA court as to what purpose may be by discovery served the actual 911 tapes, say other than to they may “provide him with informa- tion this case.” Appellant’s about brief at 80. As for his request for autopsy photos, he fails to develop cursory claim that experts “[forensic can make determinations [from autopsy photographs] given about whether a homicide rage or not” in killing any meaningful way. Appellant’s brief at 81. No discussion regarding authority may ensues exist on this pronouncement, broad nor is any attempt there prospective relate such evidence to the balance evidence admitted at trial on the of specific intent to We element kill. find this claim undeveloped waived. See Commonwealth v. Walter, 392, 600 Pa. (holding A.2d claims them). to develop waived failure Claim 11. Whether is Entitled to Relief From His Conviction and Sentence Because of the Cumu- lative Effect of the Errors. contends, issue, this cumulative effect errors committed the trial court and trial counsel’s prevented jury hearing
ineffectiveness from important evidence to making guilt phase relevant its sentencing determinations. The Commonwealth responds this Court has stated that “no previously may number of claims failed if collectively they attain merit not do individually.” could so Tedford, at 56. “multiple [trial counsel] instances deficient
Where prejudice found, properly the assessment performance are upon Commonwealth John may premised cumulation.” (2009). son, 345, 966 A.2d Because we all of claims meritless have deemed ineffectiveness effect thus, no cumulative and, prejudice, prejudicial without Thomas, Pa. See Commonwealth v. could have attained. (2012). This claim fails. 500, 44 A.3d six, through Accordingly, respect issues one *98 eleven, of PCRA court. we affirm the order the eight through court for seven, we the PCRA respect issue remand With this decision. Jurisdiction further consistent with proceedings is relinquished. of this not in the
Justice EAKIN did decision participate case. join TODD the opinion. BAER and
Justices concurring dissenting files a Chief Justice SAYLOR opinion. SAYLOR, concurring dissenting.
Chief Justice guilt phase dissenting I in the result to the while concur as to penalty. as case, I this to close sentencing aspect,
As to the
find
be a
in
of
the
light
precedent establishing
parame
the
particularly
in
On
representation
penalty
a
trial.
ters
sufficient
hand,
evi
Appellant’s
presenting
one
did succeed
of
type
of
disability,
dence
borderline intellectual
of
Supreme
Court
the United
has
States
evidence which
very
impact capital penalty
may
observed
well
deliberations.
302, 319, 109
2934, 2947,
492
Penry
Lynaugh,
See
v.
U.S.
S.Ct.
(1989)
(explaining
that “evidence about
L.Ed.2d
of
background
defendant’s
and character
relevant because
belief,
this
who
long
by
society,
held
defendants
disadvantaged
that are
to a
commit criminal acts
attributable
may
less
problems,
or to
and mental
background,
emotional
(quoting
no such
than
who have
culpable
defendants
excuse”
Brown,
538, 545,
U.S.
107 S.Ct.
California
(1987)
J.,
L.Ed.2d 934
(O’Connor,
concurring)));
accord
Taylor,
362, 398,
Williams v.
1495, 1515,
U.S.
120 S.Ct.
For example, remarks, his closing rather than focusing closely upon impact disability intellectual upon culpability, his moral personal counsel ruminated on his see, role in defending against sentence, N.T., a death e.g., Feb. 114-16; lengthy portrayal offered his own experience boy childhood as depicted impaired, with a who he 116-118; see id. transitioned discordantly somewhat to a theme of “living hell” he first abstractly which ascribed to his life, jury client’s then relegate entreated his client imposing death, 118-121; a life sentence than rather see id. death-qualified and stood in front of a jury draw attempting to *99 comparison modern-day capital proceedings between trials, Salem witch see Only id. 122. few short and disjointed somewhat from passages closing upon touched mitigation the actual developed evidence on the record. See 118-19, 125-26. shortcomings, such in light id. Given case, of the of availability developed a more I mitigation find the representation to have sufficiently been that a deficient penalty proceeding new implicated. is Commonwealth v. Cf. Collins, 45, 75-78, 564, (2005).1 888 A.2d 582-84 Finally, I with respectfully differ the majority’s continued approval prosecutorial entreaties sentencing ju- to capital ries to show mercy the same as shown to defendants their victims. Daniels, Accord Commonwealth v. Pa. Obviously, 1. the final resolution of the Atkins matter on remand would necessity on proceeding. bear for such a J., (Saylor, concurring and practice “such is the concern that
dissenting) (expressing plain govern- terms fundamentally inconsistent scheme, designed permit punish- which ing statutory moral rendering reasoned only upon of death ment same lawless terms made judgments, decisions committed”). are which murders
130A.3d Pennsylvania, Appellee COMMONWEALTH VANDIVNER, Appellant. James Pennsylvania. Supreme Court Feb. 2015. Submitted Dec. Decided The Commonwealth notes N.T. testified, in completely incompatible a manner Tepper himself defense, that actions capacity awith diminished form crime that he was to near the of the revealed able time 190-191).39 10/25/11, at (citing an intent to kill. Id. N.T. nothing to to Appellant observes cites The Commonwealth regard in this would Tepper’s opinion that Dr. have indicate additional information any had he reviewed of the changed Thus, counsel for Id.40 the failing provide. faults Appellant asserts, appropriately upon trial counsel relied Commonwealth obligated not out Tepper’s opinion Dr. and was seek addi they provide in the that would more experts hope tional supra; at 22 Common opinion. (citing Bracey, favorable Lewis, (2000)). 240, 244, 907, 909 743 A.2d wealth information conclude that because the contained We have by Appellant in the additional records cited would been Appellant’s lifelong of the merely cumulative evidence at trial testi struggle drugs, presented through own brother, Kevin, mony and that his mother and trial has failed to that counsel’s failure obtain show Hanible, 612 Pa. at was unreasonable. See additional records (Trial at 449 counsel cannot be deemed ineffective of that failing for additional evidence cumulative present from already presented). Similarly, proposed testimony trial, above, during penalty explained phase 38. As noted provide helpful guilt phase Tepper Dr. had indicated he could not that during hearing, testimony. then this the PCRA Counsel reiterated help during Tepper him he could not when he testified that Dr. told that 12-13; guilt at phase of trial. N.T. N.T. 50. 2/17/96 10/25/11 hearing Tepper light Appellant’s 39. Dr. testified at the PCRA that crime, Tepper opine near the time of the Dr. could not actions specific unable form to kill and instead was intent intents, agreed Appellant was "able to form whether it’s certain killing getting locations.” N.T. 190-91. 10/25/11 response Appellant’s suggestion In unreasonable for that it was explanation why Tepper the PCRAcourt to credit trial counsel’s Dr. testify guilt phase, not at the as it was not made in an called to proceeding, Appellant’s brief at the Commonwealth adversarial challenge accuracy Appellant does of trial coun- counters that testimony explanation PCRA sel’s and cites to trial counsel’s at the hearing confirming during penalty phase. made statement 50, 190-191). at 23 N.T. Commonwealth’s brief Brian would Mason have been cumulative the evidence already presented. Additionally, prevail on a claim that trial counsel was for failing witness, ineffective to present a (in the defendant must demonstrate addition to the existence of the witness) witness and counsel’s awareness of that willing the witness was and able to cooperate behalf of the
Notes
notes
there
colloquy
waiving mitigating
to”
before
evidence. Id. at
right
11).
Puksar,
n.
n.
951
(citing
A.2d
maintains that even
circumstances
The Commonwealth
not,
colloquy required,
colloquy
where a
does
defective
itself,
involuntary.
or
unknowing
that the waiver was
establish
172, 189, 941
Mallory, 596 Pa.
(citing
Id.
Commonwealth v.
50-51,
(2008));
at 263.
Spotz,
Pa.
A.3d
A.2d
reasons,
Thus,
assuming counsel had
the Commonwealth
even
objection
an
to the manner which
was
preserved
claim,
contention
any
that
permitted
withdraw
Atkins
involuntary
Appellant’s withdrawal
rendered
unknow
was
of a more detailed
is meritless.
ing by
colloquy
the lack
com-
also assails as waived counsel’s
The Commonwealth
competency hearing
required, observing
that a
plaint
requested
counsel never
such
hearing.
Id. at
77-78
Fletcher,
(defendant
