Case Information
*3
CALLAHAN, Circuit Judge:
Petitioner Daniel Wayne Cook appeals the denial of his 28 U.S.C. § 2254 petition. Cook waived counsel and represented himself at trial through sentencing. A jury convicted him of two counts of first-degree murder and the court sentenced him to death under Arizona Revised Statutes §§ 13-503 and 13- 703. Cook now claims that his decision to waive counsel was involuntary because his original appointed trial counsel was ineffective; that his co-defendant, John Eugene Matzke’s plea agreement violated Cook’s right to a fair trial; and that the prosecutor improperly commented on Cook’s failure to testify and his post- Miranda silence. In addition, Cook claims that the trial court erred by failing to instruct the jury on second- degree murder. Cook also argues that the ineffectiveness of his appellate counsel excuses his procedural default of some of his remaining claims. Finally, Cook argues that the sen- tencing court failed to consider evidence of intoxication and his prior mental health history as mitigating factors before imposing the death penalty. We affirm the district court’s denial of Cook’s petition for a writ of habeas corpus.
FACTS
On July 19, 1987, Cook and Matzke were living together
in a two bedroom apartment in Lake Havasu City, Arizona.
Carlos Cruz-Ramos, a co-worker at a local restaurant, who
recently had moved in with Cook and Matzke, slept on the
floor. After Matzke returned from work that afternoon, Cook
told Matzke that he knew Ramos had a lot of money and that
[1]
We recite the facts as found by the Arizona state court. Although Cook
disputes some of these facts, under AEDPA we must presume that the
state court’s findings are correct unless Cook rеbuts the presumption with
clear and convincing evidence. 28 U.S.C. § 2254(c)(1);
Davis v. Wood-
ford
,
Cook and Matzke began beating Ramos with a metal pipe and a stick. Cook and Matzke also burned Ramos’s chest, stomach, and genitals with cigarettes. Cook cut Ramos’s chest with a knife, and Matzke put a bandage on the cut to stop the bleeding. At around 9:45 p.m., Matzke went to the Acoma Stop and Shop to buy beer. When Matzke returned to the apartment, he saw Cook sodomize Ramos. Cook also used a mini-stapler on Ramos’s foreskin. Matzke asked Cook why he was torturing Ramos, and Cook replied, “I’m having fun.”
At around 11:00 p.m., Matzke told Cook that they could not let Ramos go, and Cook responded, “Well, you can kill him at midnight; the witching hour.” Cook and Matzke con- tinued torturing Ramos until midnight, then Matzke attempted to strangle Ramos with a sheet and the pipe. Matzke eventu- ally placed Ramos on the floor, placed the pipe across Ramos’s neck, and stood on the pipe until Ramos’s heart stopped beating at around 12:15 a.m. After throwing Ramos’s body down the stairs, Cook and Matzke placed the body in Matzke’s closet.
At around 2:30 or 3:00 a.m., Kevin Swaney arrived at Cook’s apartment. At first, Cook told Swaney to leave but then Cook asked Swaney to come into the apartment. Cook told Swaney that they had some drugs they wanted to get rid of, and pushed a couch in front of the door so nobody would come into the apartment. Then Cook and Matzke told Swaney about the dead body. Cook took Swaney upstairs to show him the body and, when they returned downstairs, Cook told Matzke to get bindings and a gag. Cook forced Swaney to take off his clothes, and Matzke and Cook tied Swaney to a chair. Matzke asked Cook what Cook was planning to do, and Cook said he was going to talk to Swaney. Matzke told Cook that if he was going to torture Swaney, Matzke did not want any part of it. Matzke went to the living room and fell asleep.
At around 4:30 or 5:00 a.m., Cook woke Matzke. Swaney was still tied up and crying. Cook told Matzke that he sodo- mized Swaney so now they had to kill him. Cook took a sheet from around his neck and wrapped it around Swaney’s neck. Matzke and Cook each took one end of the sheet and pulled, but Matzke’s end kept slipping out of his hand. At that point, Cook said “This one’s mine,” put Swaney on the floor, and strangled him. Matzke and Cook took Swaney’s body up to Matzke’s room and placed the body in the closet. Matzke and Cook went back downstairs and slept.
That afternoon, Matzke went to work for two and a half hours before quitting because he was concerned about what Cook would do if he was not there. Whеn Matzke got home, he and Cook went to a bar and drank for several hours. At 10:30 p.m., they returned to the apartment and met Byron Watkins and other friends by the pool of their apartment com- plex. Cook and Matzke invited their friends into the apart- ment. The next morning, Matzke showed Watkins the bodies. Watkins convinced Matzke to go to the police. Matzke and Watkins went to the police department, and Matzke gave a videotaped confession.
Officers responded to the apartment and arrested Cook at around 4:50 a.m. After Detective David Eaton gave Cook Miranda warnings, Cook said, “we got to partying; things got out of hand; now two people are dead.” Cook then said that “my roommate killed one and I killed the other.” He admitted to choking Swaney to death. After making those admissions, Cook refused to make any further statements.
PROCEDURAL HISTORY — TRIAL On July 21, 1987, Cook and Matzke were charged with two counts of first-degree murder, including a death penalty alle- gation under Arizona Revised Statute § 13-703. Claude Keller was appointed to represent Cook. A grand jury returned an indictment on two counts of first-degree murder against Cook and Matzke.
Cook was given psychological evaluations on October 23, and November 17, 1987. The court held a hearing on January 4, 1988, and concluded that Cook was competent to stand trial. Cook’s counsel filed a motion for an additional mental examination on January 14, 1988, and a neurological exami- nation was performed on or about February 13, 1988. The results of the February 13, 1988, examination were filed with the court.
On April 11, 1988, Cook filed a pro se motion to waive counsel and have his counsel appointed as advisory counsel. During thе April 21, 1988, hearing on Cook’s motion to waive counsel, Cook asked for a different advisory counsel, stating, “If you’re amenable to my waiver of counsel, I would ask that you not appoint Mr. Keller as my legal advisor.” Cook explained, “Mr. Keller has worked hard for my defense; cares about the outcome of my trial. My personal beliefs is that he cannot advise me according to my defense.” Cook then asked for Mr. O’Brien to be his advisory counsel, but the court indicated that Mr. Forrester was the only other contract counsel available. Cook rejected Mr. Forrester. Judge Steven F. Conn of the Mohave County Superior Court gave Cook a lengthy explanation of the perils of self-representation. Cook still wanted to represent himself. After conducting extensive questioning pursuant to Faretta v. California , 422 U.S. 806, 835 (1975), the court found that Cook voluntarily, knowingly, and intelligently gave up his right to counsel. The court granted Cook’s motion and appointed Mr. Keller as Cook’s advisory counsel.
Matzke entered into a stipulated guilty plea and executed an agreement to testify truthfully in a manner consistent with his videotaped confession on October 30, 1987. The trial judge sentenced Matzke to twenty years in prison. Cook’s investigators and his advisory counsel attended Matzke’s sen- tencing hearing. Matzke testified at Cook’s trial on June 28, 1988, and again on July 5, 1988.
On December 16, 1987, the State filed a motion of potential election and motion to preclude evidence of intoxication. At a hearing on June 24, 1988, Cook did not oppose the motion, stating: “What [the prosecutor] brings up in his motion basi- cally does not even apply to my defense, your Honor.” [2] At [2] The exchange went, in relevаnt part, as follows: The Court: Mr. Cook, is there anything that you want to say concerning the motion? Of course, I don’t have any idea whether it is your intent to try to present evidence that you were intoxi- cated but is there anything you want to say concerning [the prose- cutor’s] motion?
The Defendant: What [the prosecutor] brings up in his motion basically does not even apply to my defense, your Honor. The Court: Well, let me ask you this, Mr. Cook, then. Do you have any objection if I were to preclude any evidence concerning whether you were intoxicated or not? This would cover — and I don’t know that much whether either of these would apply. I think I recall there was testimony of alcohol consumption. This would include evidence as to whether you had consumed alcohol. If you had consumed any drugs or taken any drugs of any sort, this would preclude evidence that you had taken any drugs. If I were to grant [the prosecutor’s] motion that would mean that he would not be asking people whether you were intoxicated on drugs or alcohol and you also would not be able to ask people on cross-examination or establish through questioning of witnesses trial, Cook elected general denial and alibi theories as his affirmative defenses. Cook reiterated that he did not want to present evidence of drinking or drug use by him or Matzke during a pre-trial conference.
Cook also claimed in his opening statement that he “merely repeated the detective’s statement and I asked for an attorney and I have nothing further to say,” and denied confessing. During the trial, Cook questioned Detective Eaton extensively about his contact with Cook on July 21. Cook attempted to discredit Detective Eaton’s testimony that Cook confessed to killing Swaney by asking about the circumstances of the state- ment and why the statement was not videotaped. Detective Eaton eventually responded that Cook’s confession was not taped because Cook invoked his right to remain silent. Cook asked to approach the bench and later moved for a mistrial. The trial judge denied the motion for a mistrial, finding that Detective Eaton’s testimony was in response to Cook’s line of questioning and a proper explanation for why Cook’s confes- sion was not taped.
In Cook’s closing argument, he attempted to argue that he was not at the apartment, and blamed Matzke and Watkins for the murders. He argued that he could not tell the jury about any party in his apartment, stating, “Mr. Matzke stated in his testimony there was a party that night at the apartment. I couldn’t tell you. I don’t know.” Later, Cook claimed that, “[a]t no time did any of the officers ever state that I confessed to killing someone.” Cook argued extensively about Matzke’s possible motive to lie.
whether you had been intoxicated as a result of drugs or alcohol. In other words, are you telling me you didn’t intend to do that any way?
The Defendant: That’s exactly what I was stating, your Honor. I have no objection.
In the prosecutor’s rebuttal argument, he argued that Cook failed to tell defense witness and fellow jail inmate, Terry Holt, where he had been to establish an alibi, and that Cook had something to hide because Cook had covered up his dag- ger tattoo with a large bandage. In addition, when arguing that Matzke’s videotaped statement was reliable, the prosecutor referred to Cook’s cross-examination of Detective Eaton about why Cook’s statement was not on tape. The prosecutor argued:
John Matzke made [a videotaped statement] and we heard continuous cross-examination of the detective about why the Defendant didn’t make one. He didn’t make one because he, the Defendant, was the one that cut off the interview. If he had made one, you would have had the statements we got to partying a little bit and things got out of hand. My roommate killed one and I killed the other. I killed Kevin. You would have heard the exact same statements.
In addition, the prosecutor commented on the potential wit- nesses to the crime, stating: “There were only four people there at that time of the deaths; two of them are dead; one is in prison; one is the Defendant.” The prosecutor followed this comment by discrediting Cook’s alibi defense — noting that Cook’s alibi witness was in jail at the time and that a rebuttal witness testified that Cook was present in the apartment on July 19th and 20th. Cook did not object at the time these com- ments were made, but moved for a mistrial during jury delib- erations. The court denied the motion for a mistrial on the same grounds that it denied Cook’s earlier motion after Detective Eaton’s testimony.
After the conclusion of the testimony, the court distributed its proposed jury instructions to Cook and the prosecutor. The judge specifically informed Cook that he did not include any lesser-included instructions or alternative jury verdicts. Cook did not object to a first-degree murder instruction using “knowingly” as the required mental state. Cook requested the second-degree murder instruction because Matzke had pleaded guilty to second-degree murder under the terms of his plea bargain. After hearing argument, the judge concluded that there was no evidence to show a lack of premeditation and denied Cook’s request to give a second-degree murder instruction.
The court gave its instructions, and the jury began delibera- tions at 2:07 p.m. on July 6, 1988. The jury returned with a guilty verdict on both counts later that afternoon at 3:23 p.m.
Cook filed a motion for further mental health evaluation on July 29, 1988. At oral argument on the motion, Cook argued that a post-trial examination under Arizona Rule of Criminal Procedure 26.5 would serve a different purpose from his pre- trial examinations under Arizona Rule of Criminal Procedure 11.2. The trial judge heard argument on the motion on August 4, 1988, and denied the motion, concluding that, unless Cook could articulate a reason that the Rule 11 examinations were insufficient, there was no reason for further examination. The judge informed Cook that, if he wanted the judge to consider the prior mental health evaluations, the judge would consider them when deciding whether or not there were mitigating cir- cumstances.
At sentencing, Cook declined to present any evidence to the court. Cook complained that he was not given proper access to the Mohave County law library, and then said that the “[o]nly sentence I will accept from this Court at this time is the penalty of death, your Honor. I have nothing further.” The court reviewed the pre-sentence report, the Rule 11 mental health evaluations, the State’s sentencing memorandum, a let- ter from Cook, the trial evidence, and matters from hearings in the case. The trial judge found the following aggravating factors: 1) that Ramos was killed for pecuniary gain under Arizona Revised Statutes § 13-703(F)(4); 2) that the murders of Ramos and Swaney were done in an especially heinous, cruel, or depraved manner under Arizona Revised Statutes § 13-703(F)(6); and 3) that multiple murders were committed under Arizona Revised Statutes § 13-703(F)(8). When consid- ering Cook’s capacity to appreciate the wrongfulness of his conduct under Arizona Revised Statutes § 13-703(G), the court found that there was insufficient evidence that Cook’s intoxication affected his ability to appreciate the wrongfulness of his conduct. In addition, the judge considered Cook’s prior history of mental illness, suicide attempts, and other mental problems and found that there was no connection between Cook’s prior mental problems and the murders. The court found no mitigating factors to offset the aggravating factors, and sentenced Cook to the death penalty.
PROCEDURAL HISTORY — POST-TRIAL
On direct appeal, Cook raised the following issues: 1) error
in denying his Sixth Amendment right to counsel because the
trial court allowed him to waive appointed counsel and failed
to permit hybrid representation; 2) error in allowing the prose-
cution to proceed under a “knowingly” rather than “intention-
ally” theory and in precluding evidence of intoxication; 3)
error in refusing to grant a mistrial over the prosecutor’s com-
ments on Cook’s invocation of his Fifth Amendment rights;
4) error in dismissing a juror during trial; 5) error in refusing
to continue the trial to allow Cook to secure additional wit-
nesses; 6) error in admitting Cook’s statements at his arraign-
ment; 7) error in admitting of Matzke’s testimony pursuant to
a coercive plea agreement; 8) error in refusing to instruct the
jury on second-degree murder; 9) finding the multiple homi-
cide aggravating circumstance; 10) finding that Ramos’s mur-
der was especially “cruel, heinous and depraved”; 11) finding
Ramos’s murder was for pecuniary gain; 12) finding
Swaney’s murder “cruel, heinous and depraved”; 13) preclud-
ing of evidence of voluntary intoxication for the purposes of
mitigation; 14) failing to consider Cook’s mental health his-
tory as a mitigating factor; 15) failing to consider the disparity
between Matzke’s and Cook’s sentences; and 16) error in fail-
ing to conclude that the Arizona death penalty statute was uncon-
stitutional.
[3]
State v. Cook
,
While his direct appeal was pending, Cook asked to have
his counsel relieved for failing to communicate with him or
explain the issues to him. Cook also filed a petition for post-
conviction relief (“PCR”) asserting ineffective assistance of
appellate counsel. Cook’s counsel on direct appeal filed an
explanation of his position, and moved to withdraw or, in the
alternative, to have the Arizona Supreme Court clarify his sta-
tus. The Arizona Supreme Court denied the motion to with-
draw on December 19, 1990. On February 25, 1991, the
Arizona Supreme Court issued a minute order finding Cook’s
post-conviction petition was premature, appointing a different
attorney as counsel for post-conviction proceedings under
Arizona Rule of Criminal Procedure 32, and granting addi-
tional time to file an amended petition for post-conviction
relief if necessary. On December 5, 1991, the Arizona
Supreme Court affirmed Cook’s conviction and sentence.
Cook
, 821 P.2d at 756. The United States Supreme Court
denied Cook’s petition for a writ of certiorari.
Cook v. Ari-
zona
,
On September 1, 1993, Cook’s PCR counsel filed a Supple-
ment tо Petition for Post-Conviction Relief. The supplemental
petition raised nine issues: 1) Cook was forced to choose
between ineffective counsel and self-representation, denying
him of his Sixth Amendment right to counsel; 2) Cook’s
counsel was ineffective prior to Cook’s motion to represent
himself, therefore the entire trial was tainted; 3) Matzke’s tes-
[3]
The Arizona Supreme Court noted that the United States Supreme
Court rejected Cook’s challenges to Arizona’s death penalty statute in
Walton v. Arizona
,
10564
timony was coerced by an unconstitutional plea agreement; 4) Cook made an unrecorded objection to the testimony of
Matzke; 5) Cook was denied access to a law library to prepare
his case; 6) the trial court did not conduct the required hearing
under
State v. Tison
,
On October 5, 1994, the court issued an order finding that issues 5, 6, and 7 were precluded under Arizona Rule of Criminal Procedure 32.2 because Cook failed to preserve them on direct appeal. The court also ruled that issue 9 failed to raise a colorable claim for relief because any failure by appellate counsel to preserve the issue wаs caused by Cook. The court then scheduled evidentiary hearings on the remain- ing claims to hear any newly discovered evidence. The court heard evidence on the PCR petition on August 23, 1994, and December 2, 1994, and denied the petition for post-conviction relief on February 3, 1995.
On April 3, 1995, Cook filed a motion for rehearing under
the applicable version of Arizona Rule of Criminal Procedure
32.9, requesting rehearing on: the voluntariness of his deci-
sion to represent himself (PCR supp. issue 1); the testimony
of Matzke and his plea agreement (PCR supp. issue 3); newly
discovered evidence of Matzke’s intoxication (a new issue);
violation of Cook’s due process rights by the trial judge’s
refusal to recuse himself (a new issue); the denial of access
to a law library (PCR supp. issue 5); the trial court’s finding
[4]
Cook filed a supplement providing additional arguments concerning
claim 3 in light of the Arizona Supreme Court’s holding in
State v. Fisher
,
that Cook had a reckless disregard for human life (PCR supp. issue 6); and the trial court’s failure to appoint counsel at sen- tencing to put on a mitigation defense (PCR supp. issue 7). The trial court denied the motion for rehearing on April 13, 1995. Cook filed a timely petition for review pursuant to Ari- zona Rule of Criminal Procedure 32.9 that relied on the state- ment of issues in his motion for rehearing. The Arizona Supreme Court denied the petition for review on July 5, 1996. The United States Supreme Court denied a petition for writ of certiorari.
Cook filed his federal habeas petition on January 24, 1997. On February 28, 1997, the district court appointed habeas counsel and granted Cook’s motiоn to proceed in forma pauperis. Cook advanced twenty-one claims for relief: 1) Cook’s request to represent himself was not knowing, volun- tary, and informed because he was forced to choose between ineffective counsel and self-representation; 2) Cook was not competent to represent himself; 3) pre-trial counsel’s ineffec- tiveness, the refusal to grant a continuance, and the lack of access to the law library denied Cook his Sixth Amendment rights; 4) allowing Cook to exercise his right to represent him- self violated the Sixth, Eighth and Fourteenth Amendments; 5) admission of Cook’s statement at arraignment violated his Fifth Amendment right to remain silent and his right to coun- sel; 6) Matzke’s testimony was coerced by an unconstitutional plea agreement; 7) proceeding under a “knowingly” theory of premeditation and precluding evidence of voluntary intoxica- tion violated Cook’s Sixth Amendment right to call witnesses on his behalf; 8) the prosecutor’s investigation into the excused juror’s activity violated Cook’s right to a trial by jury; 9) refusal to give a second-degree murder instruction violated due process under Beck v. Alabama , 447 U.S. 625, 638 (1980); 10) the prosecutor’s comments on Cook’s failure to explain his whereabouts and Cook’s silence violated his Fifth Amendment right to remain silent; 11) the trial court’s determination that Cook had a reckless indifference to human life when committing the murders was unconstitutional; 12) the trial court’s refusal to grant an additional mental health evaluation at sentencing violated Ake v. Oklahoma , 470 U.S. 68 (1985); 13) the failure to appoint counsel for Cook during the penalty phase violated his Eighth Amendment rights and due process; 14) the failure of the trial court to receive evi- dence of intoxication as mitigating evidence violated Cook’s Eighth Amendment rights; 15) Arizona’s death penalty statute was unconstitutional because it allowed judge-imposed sen- tences, created a presumption in favor of the death penalty, and shifted the burden of proof concerning aggravating and mitigating factors; 16) the trial court’s failure to consider Cook’s history of neurological trauma, mental dysfunction, and suicide attempts violated his Eighth Amendment rights; 17) the failure of the trial judge to recuse himself after know- ingly appointing an incompetent lawyer, accepting Matzke’s coercive plea agreement, and making rulings at trial violated Cook’s right to due process; 18) the trial court erred in finding the murder of Ramos was “cruel, heinous or depraved”; 19) the trial court’s finding that Ramos’s murder was for “pecuni- ary gain”; 20) the trial court’s finding that Swaney’s murder was “cruel, heinous or depraved”; and 21) the trial court’s finding of multiple homicides as an aggravating factor.
On September 17, 1999, the district court issued an order ruling that claims 7, 11, 12, 13, 17, 18, 19, and 20 were proce- durally barred because Cook failed to present them to the Ari- zona Supreme Court. The district court also ruled that claim 3, except the portion claiming that the denial of continuances deprived Cook of due process, and claim 21, except the por- tion claiming that the State did not give notice of its intent to seek a multiple homicide aggravating factor, were procedur- ally barred. The district court then considered the remaining claims on the merits, ruled that Cook was not entitled to relief, and denied Cook’s petition on March 28, 2006. The district court simultaneously issued a certificate of аppeala- bility under Federal Rule of Appellate Procedure 22(b) on claims 1, 2, 6, 10, and the procedural default rulings on claims 17 through 20. [5] This appeal followed. On October 30, 2007, we issued an order granting a certificate of appealability as to claims 3, 7, 9, 12, and 16.
STANDARDS OF REVIEW
Under the Antiterrorism and Effective Death Penalty Act of
1996 (“AEDPA”),
[6]
we may grant habeas relief from a state
conviction only if it is contrary to, or an unreasonable applica-
tion of, clearly established law as determined by the United
States Supreme Court, or it was based on an unreasonable
determination of the facts in light of the evidence presented
in the state courts.
See Mitchell v. Esparza
, 540 U.S. 12, 15
(2003) (per curiam) (discussing AEDPA standards). We
review de novo the district court’s decision to grant or deny
a petition for a writ of habeas corpus.
Clark v. Murphy
, 331
F.3d 1062, 1067 (9th Cir. 2003). We review the last reasoned
state-court judgment to determine whether that decision was
contrary to, or unreasonably applied federal law.
Ylst v. Nun-
nemaker
,
A state court’s factual determination may not be overturned
unless we cannot “reasonably conclude that the finding is sup-
ported by the record.”
Taylor v. Maddox
,
[6]
AEDPA applies because Cook filed his federal habeas petition after
April 24, 1996.
See Lindh v. Murphy
,
DISCUSSION
I. Ineffective assistance of pre-trial counsel.
Cook argues that his pre-trial counsel’s ineffectiveness forced him to choose to represent himself; therefore, his waiver of counsel was not voluntary. Cook also argues that the trial court had a duty to inquire into his reasons for want- ing to represent himself, and that the trial court should have discovered pre-trial counsel’s ineffectiveness. The state trial court for Cook’s post-conviction relief petition rejected this argument and found that counsel’s pre-waiver representation was not ineffective. The district court found that there is no Supreme Court case law that requires a trial court, faced with a defendant who wants to represent himself, to inquire why he wants to exercise his right to self-representation.
[1]
Under AEDPA, we defer to the state court’s finding that
Cook’s waiver of the right to counsel was knowing, intelli-
gent, and voluntary unless it is contrary to or an unreasonable
application of
Faretta
, 422 US. 806.
See Weaver v. Pal-
mateer
, 455 F.3d 958, 963 n.6 (9th Cir. 2006) (noting stan-
dard of review for mixed questions of law and fact),
cert.
denied
,
[2] Those factual determinations are supported by the record. Cook’s claimed prejudice was the lost opportunity to have a stronger presentation on a reasonable doubt defense, to impeach Matzke with Matzke’s intoxication, or to challenge Matzke’s plea agreement. The record is clear, however, that Cook was aware of Matzke’s intoxication, and Cook’s own choice of cross-examination questions cannot be imputed to his former counsel. [7] Cook failed to point to any evidence that his original appointed counsel should have uncovered that would create “a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different.” Strickland , 466 U.S. at 694. Therefore, the trial court’s rulings on Cook’s ineffective assistance of coun- sel claims were not contrary to or unreasonable applications of Strickland .
Finally, the trial court noted that the federal case law cited by Cook involved clearly-expressed dissatisfaction with appointed counsel and that none of the case law created an obligation for trial courts to inquire into the reasons why a defendant wants to represent himself. The Supreme Court has never held that a defendant who does not inform the court that he wants to represent himself because he believes that his counsel is ineffective was coerced into representing himself; [7] The Supreme Court has stated that “a defendant who elects to represent himself cannot thereafter complain that the quality of his own defense amounted to a denial of ‘effective assistance of counsel.’ ” Faretta , 422 U.S. at 834 n.46.
therefore, the trial court’s rejection of that argument was not contrary to, or an unreasonable application of Faretta . As noted by the district court, we rejected Cook’s argument that the trial court has a duty to inquire into a defendant’s relation- ship with counsel when he invokes the right of self- representation in United States v. Robinson , 913 F.2d 712, 716 (9th Cir. 1990). In that case, we concluded that a district court only has a duty to inquire into the relationship between defendant and counsel “once a defendant has made a motion or request for substitute counsel .” Id . In addition, we noted that a defendant’s disagreement with counsel over the defenses to pursue does not create the need for further inquiry into the attorney-client relationship or to offer new counsel sua sponte. Id . We held that “a criminal defendant may be asked to choose between waiver and another course of action, so long as the course of action offered is not constitutionally offensive.” Id . at 717.
In this case, like in Robinson , Cook never made a motion for substitute counsel. Although Cook stated that he did not want pre-triаl counsel appointed as advisory counsel, he indi- cated that it was because of the defenses he wanted to advance at trial. When the trial court noted that it could not appoint the attorney Cook requested as his advisory counsel, and offered a local alternative, Cook rejected that option and accepted his previously appointed counsel as advisory coun- sel.
[3]
The trial court then conducted a “probing and thorough”
colloquy before finding Cook’s waiver of his right to counsel
was knowing, intelligent, and voluntary, satisfying its obliga-
tions under
Faretta
.
See Moran v. Godinez
,
II. Matzke’s plea agreement and the truthfulness of Matzke’s testimony.
Cook contends that his right to a fair trial under the Due Process Clause was violated because Matzke’s testimony was coerced by Matzke’s plea agreement. The agreement required that Matzke “agree to be interviewed without the presence of defense counsel” and that he “agree to testify, if requested, at any criminal procеedings brought by the State of Arizona against Daniel Wayne Cook.” The agreement also required that
Matzke will, during such interviews and during such testimony, provide truthful responses to any ques- tions put to him and will not knowingly make any false or misleading statements. The making by John Eugene Matzke of two or more statements during such testimony or interviews which are inconsistent, so that at least one of them must be false, will be considered a violation of th[e] Agreement without the State[’s] being required to establish which state- ment was false.
(Emphasis added.) Matzke testified at the PCR hearing that he believed the agreement required him to testify consistently with his initial videotaped confession.
10572
Matzke also testified at the PCR hearing that his testimony at trial was truthful. The trial court found that Matzke testified truthfully, and there was no evidence of perjured testimony as a result of the plea agreement. The district court agreed with the state trial court’s analysis of the case law and found that there is no Supreme Court case law establishing that consis- tency clauses in plea agreements violate due process. In addi- tion, the district court also found that there was no evidence that Matzke’s testimony was false.
[4] We agree that there is no Supreme Court case law establishing that consistency clauses violate due process or any other constitutional provision. Because it is an open ques- tion in the Supreme Court’s jurisprudence, we cannot say “that the state court ‘unreasonably applied clearly established Federal law’ ” by rejecting Cook’s claim based on the consis- tency agreement. Carey v. Musladin , ___ U.S. ___, 127 S. Ct. 649, 654 (2006).
Although the Supreme Court has held that the knowing use of perjured testimony violates the duе process clause, there is no real evidence that Matzke’s testimony was false in this case. [8] In Mooney v. Holohan , 294 U.S. 103, 112 (1935) (per curiam), the Supreme Court stated:
[W]e are unable to approve a narrow view of the requirement of due process. That requirement, in safeguarding the liberty of the citizen against deprivation through the action of the State, embodies the fundamental conceptions of justice which lie at the base of our civil and political institutions. Hebert v. Louisiana ,272 U.S. 312 , 316[-17 (1926)]. It is a requirement that cannot be deemed to be satisfied by mere notice and hearing if a State has contrived a conviction through the pretense of a trial which in truth is but used as a means of depriving a defendant of liberty through a deliberate deception of court and jury by the presenta- tion of testimony known to be perjured. Such a contrivance by a State to procure the conviction and imprisonment of a defendant is as inconsistent with the rudimentary demands of justice as is the obtaining of a like result by intimidation.
Matzke reaffirmed the truthfulness of his testimony at the PCR hearing. Although Matzke felt he was still bound by the terms of his agreement to testify consistently, Cook did not produce any witnesses or other evidence that the state know- ingly used perjured testimony from Matzke or that Matzke’s account was false. Giving due deference to the state trial court’s factual findings, there was simply no perjured testi- mony or deliberate deception to support Cook’s claimed due process violation. See Allen v. Woodford , 395 F.3d 979, 995 (9th Cir. 2005) (rejecting due process claim where petitioner failed to establish that testimony was false). As a result, Cook is not entitled to relief on his claim that Matzke’s testimony was false because hе has not shown falsity, and therefore prej- udice from the testimony. See Morris v. Ylst , 447 F.3d 735, 745-46 (9th Cir. 2006) (discussing need to show false testi- mony was prejudicial to obtain habeas relief).
III. The prosecutor’s rebuttal argument.
Cook argues that the prosecutor violated his right to remain
silent and right to not testify against himself by referring to
Cook’s
Miranda
invocation and his failure to testify. Cook
challenges four types of statements made by the prosecutor:
The Supreme Court held in
Pyle v. Kansas
,
1. Never once was Terry Holt told by this man where he was. Never once does Dan Cook, ladies and gen- tlemen say I wasn’t there because I was at McDon- ald’s in Kingman or out of state or somewhere. Why was he never told where Dan Cook was? Was Dan Cook afraid of getting beaten again when Holt con- firmed that he raped a sixteen-year old rather than just reading it out of a newspaper report?
2. And I’ll tell you, ladies and gentlemen, John Matzke doesn’t have anything to hide. This man does.
How do we know that? Remember voir dire when we were selecting everybody? His left forearm has a tattoo of a dagger on it. He has covered that tattoo from the first day of the trial until today. He has had a large Band-Aid over that dagger. He covered that up. I suppose he didn’t want you to think that he does have violent tendencies. If you saw that dagger on his forearm you could suppose that he did have such so he covered it up.
We wonder what else he covered up. But we don’t have to wonder long. We don’t have to wonder hard because he’s done a poor job of covering everything else up.
3. When he says John Matzke is a liar, he is not. No man would underrated [sic] himself to the degree that he did not just with the murders but his lifestyle. He’s not a liar. He was there. He is one of the remaining people who are alive who were there. The other one sits at that table.
There were only four people there at that time of the deaths; two of them are dead; one is in prison; one is the Defendant.
4. And what about the videotape. John Matzke made one and we heard continuous cross- examination of the detective about why the Defen- dant didn’t make one. He didn’t make one because he, the Defendant, was the one that cut off the inter- view. If he had made one, you would have had the statements we got to partying a little bit and things got out of hand. My roommate killed one and I killed the other. I killed Kevin. You would have heard the exact same statements.
The Arizona Supreme Court rejected Cook’s claim of error on direct appeal, finding that the prosecutor’s comments were not directed at Cook’s decision not to testify, and that the comment about the videotape was invited by Cook’s cross- examination and argument. Cook , 821 P.2d at 741-43. The district court agreed that the comments were either comments on the state of the evidence or invited by Cook’s arguments and cross-examination. In addition, the district court found that, if there was error, it was harmless under Brecht v. Abrahamson , 507 U.S. 619, 631 (1993).
Comment on the refusal to testify at trial violates a defen-
dant’s Fifth Amendment right against self-incrimination.
See
Griffin v. California
,
The Supreme Court concluded in
United States v. Robin-
son
,
A.
The comment about Cook’s conversations with Holt.
The Arizona Supreme Court and the district court charac-
terized the first argument about Cook’s conversations with
Holt as commentary on the evidence.
Cook
,
[5]
Prosecutors may comment on the failure of the defense
to produce evidence to support an affirmative defense so long
as it does not directly comment on the defendant’s failure to
testify.
See Lockett v. Ohio
,
B. The comments concerning Cook’s tattoos. [6] In addition, the Arizona Supreme Court considered the prosecutor’s comment on Cook’s bandage covering a dagger tattoo to be a rhetorical device rather than a comment “calcu- lated to draw the jury’s attention” to the fact that Cook did not testify. State v. Cook , 821 P.2d at 742. Cook implied during his closing argument that Matzke and Watkins tried to cover up the murders, arguing that Watkins quit his job, disap- [9] See also United States v. Mares , 940 F.2d 455, 461 (9th Cir. 1991) (“The prosecutor may comment on the defendant’s failure to present exculpatory evidence, provided that the comments do not call attention to the defendant’s own failure to testify.”); United States v. Savarese , 649 F.2d 83, 87 (1st Cir. 1981) (“However, defendant chose to call witnesses and put forth an alibi. Having done so, he had no right to expect the gov- ernment to refrain from commenting on the quality of his alibi witnesses or from attacking the weak evidentiary foundation on which the alibi rest- ed.”).
peared, and helped Matzke dispose of the bodies. The prose-
cutor’s comment was a response to Cook’s argument that
Matzke had a motive to lie and a comment on readily observ-
able facts in the courtroom that did not deprive Cook of a fair
trial.
See Darden v. Wainwright
, 477 U.S. 168, 181 (1986)
(argument that did not manipulate or misstate evidence or
implicate other specific rights and was invited by or respon-
sive to the opening summation of the defense of the defendant
did not deprive defendant of a fair trial). Read objectively, the
prosecutor’s comment was not “manifestly intended to call
attention to the defendant’s failure to testify, or is of such a
character that the jury would naturally and necessarily takе it
to be a comment on the failure to testify.”
Lincoln v. Sunn
,
C. The prosecutor’s comments about Cook’s presence at the crime scene.
When evaluating the third group of comments, the district court ruled that the comment arguing that Matzke’s eyewit- ness testimony was accurate was not intended to call attention to Cook’s failure to testify, and if there was error, it was harmless. Because neither the Arizona Supreme Court nor the state trial court addressed these comments, we review the dis- trict court’s decision de novo. See Himes v. Thompson , 336 F.3d 848, 852-53 (9th Cir. 2003) (noting this court conducts an “independent review of the record” where there is no rea- soned state court decision on an issue). Assuming, without deciding, that the comment was Griffin error, we agree with the district court that any error was harmless.
[7]
The Supreme Court held that
Griffin
error is subject to
harmless error analysis in
Chapman
,
[8]
In addition, the evidence of Cook’s guilt was over-
whelming. Although Cook introduced Holt’s testimony that
Matzke had confessed to both murders, the jury found Matzke
more credible, and there was no physical or other evidence to
impeach Matzke. Matzke testified, and the prosecution played
Matzke’s videotaped statement before the jury. The physical
and forensic evidence largely corroborated Matzke’s story,
and there was no physical or forensic evidence showing that
Matzke tortured or killed Swaney. In addition, Detective
Eaton testified that Cook had admitted to killing Swaney. The
jury deliberated for just over an hour before returning a guilty
verdict on both counts. Given the strong evidence of Cook’s
guilt, and the relatively minor effect of the two references in
the context of the prosecutor’s rebuttal argument, it is “clear
beyond a reasonable doubt that the jury would have returned
a verdict of guilty” even if the prosecution had not referred to
his failure to testify.
Hasting
,
D. The comment about the lack of a videotaped statement from Cook.
The Arizona Supreme Court and the district court both
found that the prosecutor’s reference to the lack of a video-
taped statement from Cook was a fair comment on the evi-
dence and a proper rebuttal to Cook’s denial that he confessed
to Detective Eaton.
Cook
,
Cook: Sir, is it true that everybody else that was interviewed by you was recorded in some way other than myself?
Eaton: We recorded Mr. Matzke. At the conclusion of my interview with you, you requested not to be recorded because you didn’t want to make a state- ment. We had the tape playing so we recorded Mr. Watkins.
Cook: But you didn’t record me; is that correct? Eaton: That’s correct. You invoked your right to remain silent and I terminated the interview.
The trial court refused to declare a mistrial based on this exchange, finding that Cook had invited error. After the court denied Cook’s motion for a mistrial, Cook continued ques- tioning Detective Eaton about his failure to videotape Cook’s side of the story. During Cook’s closing statement, Cook returned to this evidence, arguing:
I was — I was arrested on the morning of July 21, 1987 at my apartment. I had been contacted by sev- eral police officers prior to my interview with Mr. Eaton. At no time did any of the officers ever state that I confessed to killing someonе. They did, how- ever, state Mr. Matzke confessed to them about kill- ing two people.
The prosecutor responded in his rebuttal closing by arguing that, if there had been a videotaped statement, the jury would have seen the statements Detective Eaton testified that Cook made. After Cook objected and moved for a mistrial based on the prosecutor’s statements, the trial court denied the motion, finding that Cook had invited the error by his questioning.
[9]
We have interpreted
Doyle
to allow prosecutors to com-
ment on post-
Miranda
silence in response to defense argu-
ments.
See Bradford v. Stone
,
[10] In this case, the state trial court’s interpretation of the comment as a fair comment on the evidence was a reasonable one because Cook attempted to show that he had not made any incriminating statements when he cross-examined Detec- tive Eaton by asking why Cook’s alleged confession was not videotaped. Furthermore, the state trial court’s decision that the prosecutor’s comments were fair rebuttal was reasonable because Cook argued again in his closing that the officers never stated that Cook confessed. The district court properly denied Cook’s habeas petition on his Doyle claim. IV. Withdrawal of a second-degree murder instruction .
Cook objected to the trial court’s withdrawal of a second- degree murder instruction, however, stating he wanted the instruction because Matzke was given a second-degree mur- der conviction under the terms of his plea bargain. The trial court concluded that there was no evidence that the murder was not premeditated and denied Cook’s request to give a second-degree murder instruction. On direct appeal, the Ari- zona Supreme Court affirmed the trial court’s finding that “there was no basis for a jury to find that the murders were committed without premeditation.” Cook , 821 P.2d at 750. The district court agreed with the Arizona Supreme Court that there was no evidence that would permit a rational trier of fact to find that the murders were not premeditated.
In Beck v. Alabama , 447 U.S. at 638, the Supreme Court held that “if the unavailability of a lesser included offense instruction enhances the risk of an unwarranted conviction, Alabama is constitutionally prohibited from withdrawing that option from the jury in a capital case.” The Supreme Court found that an all-or-nothing approach to capital cases was unfair if the evidence supported a lesser crime; stating that:
[W]hen the evidence unquestionably establishes that the defendant is guilty of a serious, violent offense — but leaves some doubt with respect to an element that would justify conviction of a capital offense — the failure to give the jury the “third option” of con- victing on a lesser included offense would seem inevitably to enhance the risk of an unwarranted con- viction.
Id . at 637.
[11] In Hopper v. Evans , 456 U.S. 605, 611 (1982), the Court stated that “due process requires that a lesser included offense instruction be given only when the evidence warrants such an instruction.” The defendant in Hopper “made it crys- tal clear that he had killed the victim, that he intended to kill him, and that he would do the same thing again in similar cir- cumstances.” Id . at 612. As a result, “[t]he evidence not only supported the claim that [he] intended to kill the victim, but affirmatively negated any claim that he did not intend to kill the victim. An instruction on the offense of unintentional kill- ing during this robbery was therefore not warranted.” Id . at 613.
[12] At trial, Cook denied the murders and claimed that he had an alibi. Cook affirmatively disclaimed intoxication as a defense prior to trial. Now, Cook argues that his statement “we got to partying, things got out of hand, now two people are dead” was evidence of heat of passion. There was no other evidence introduced at trial, however, that the murders were accidental or were committed in the heat of passion, nor did Cook’s defenses suggest as much. Rather, the evidence dem- onstrated that Cook planned to rob Ramos, tortured him, and wanted Ramos killed at midnight, and then participated in strangling Ramos. With Swaney, Cook barred Swaney’s exit, took Swaney to see Ramos’s body, tortured and sodomized Swaney, and then said, “this one’s mine” to Matzke before strangling Swaney to death.
[13] At the time the crimes were committed, Arizona defined premeditation to mean:
that the defendant acts with either the intention or
the knowledge that he will kill another human being,
when such intention or knowledge precedes the kill-
ing by a length of time to permit reflection. [A]n act
is not done with premeditation if it is the instant
effect of a sudden quarrel or heat of passion.
Ariz. Rev. Stat. § 13-1101(1) (1997). In
Clabourne v. Lewis
,
A. Procedural background.
Cook argues that he did not procedurally default the fol- lowing substantive claims: 1) that Cook’s pre-trial counsel was ineffective for failing to investigate mitigating evidence (claim 3); 2) that the trial court erred in precluding evidence of Cook’s intoxication during the guilt phase of his trial (claim 7); 3) that the trial court erred in denying Cook’s request for further mental health examination (claim 12); and 4) that the failure of the trial judge to recuse himself violated Cook’s right to a fair trial (claim 17). The state trial court found during the PCR proceedings that Cook failed to raise a colorable claim that his appellate counsel was ineffective (PCR claim 9). After the denial of Cook’s post-conviction relief petition, Cook moved for rehearing on the following issues: 1) Cook’s decisiоn to proceed pro se was not volun- tary; 2) Matzke’s plea agreement tainted the fact-finding func- tion of the court; 3) newly discovered evidence of Matzke’s intoxication impeached his credibility; 4) the trial judge’s refusal to recuse himself was unfair; 5) Cook’s entitlement to a hearing on a felony murder theory; and 6) the court’s failure to appoint counsel for sentencing. [10] Cook’s petition for review after the denial of the motion for reconsideration simply stated: “Daniel Wayne Cook, through counsel and pursuant to Rule 32.9 of the Arizona Rules of Criminal Procedure, peti- tions the Arizona Supreme Court for review.”
The district court ruled in its order dated September 17, 1999, that most of Cook’s claims were procedurally barred. Regarding Cook’s ineffective assistance of counsel claim (claim 3), [11] the district court found that Cook failed to fairly present it because he failed to preserve it in his motion for rehearing. The district court found that Cook failed to present the intoxication evidence at trial (claim 7) as a federal claim on direct appeal, and therefore failed to alert the Arizona Supreme Court that he was raising a federal claim. See Cook , 821 P.2d at 740-41 (relying on Arizona state cases exclu- sively). The district court concluded that claim 12 — concern- ing the trial court’s refusal to grant Cook’s motion for a mental health evaluation prior to sentencing — was procedur- [10] Cook also moved for rehearing on the issue of access to the law library. Cook did not pursue that claim in his federal habeas petition, how- ever.
[11] Cook does not appeal the district court’s conclusion that the trial court’s refusal to grant continuances did not violate his right to due pro- cess (claim 3(b)). Therefore, we deem that claim waived. Martinez , 951 F.2d at 1157.
ally defaulted because Cook never raised the claim on direct appeal or in his post-conviction relief petition. Finally, the district court concluded that Cook failed to present his judicial bias allegations (claim 17) as a federal claim; therefore it was procedurally barred. The district court further found that Cook failed to establish any cause and prejudice for the defaults.
B. Applicable law.
[14]
“Before a federal court may grant habeas relief to a
state prisoner, the prisoner must exhaust his remedies in state
court.”
O’Sullivan v. Boerckel
,
Federal courts “will not review a question of federal law
decided by a state court if the decision of that court rests on
a state law ground that is independent of the federal question
and adequate to support the judgment.”
Coleman v. Thomp-
son
,
In all cases in which a state prisoner has defaulted his federal claims in state court pursuant to an inde- pendent and adequate state procedural rule, federal habeas review of the claims is barred unless the pris- oner can demonstrate cause for the default and actual prejudice as a result of the alleged violation of fed- eral law, or demonstrate that failure to consider the claims will result in a fundamental miscarriage of justice.
Id
. at 750. Where a state prisoner’s federal claim is waived or
precluded by violation of a state procedural rule, it is proce-
durally defaulted unless the prisoner can demonstrate cause
and prejudice.
See id
. at 732 (noting that “a habeas petitioner
who has failed to meet the State’s procedural requirements for
presenting his federal claims has deprived the state courts of
an opportunity to address those claims in the first instance”);
Wainwright v. Sykes
,
C. Cook procedurally defaulted his ineffective assistance of trial counsel claim (claim 3).
[15] Cook’s claim that the amendment of Rule 32.9(c) somehow excuses the failure of his post-conviction relief counsel to preserve general ineffective assistance of trial [12] Prior to December 1, 1992, Arizona Rule of Criminal Procedure 32.2(a)(3) stated:
(a). Preclusion. A petitioner will not be given relief under this rule based upon any ground:
(3) Knowingly, voluntarily, and intelligently not raised at trial, on appeal, or in any previous collateral proceeding.
Arizona Rule of Criminal Procedure 32.2(a)(3) (1989) (amended 1992). counsel claims lacks merit because he failed to preserve any ineffective assistance of trial counsel claim under the applica- ble rule. Furthermore, he cannot demonstrate cause to excuse the procedural default. Cook failed to raise ineffective assis- tance of counsel on direct appeal. Cook plainly failed to pre- serve a general ineffective assistance of trial counsel claim in his motion for rehearing. Furthermore, Cook’s petition for review failed to preserve any claims in addition to those pre- served by the motion for rehearing.
Prior to 1992, the Arizona Rule of Criminal Procedure 32.9 provided, in relevant part:
a. Motion for Rehearing; Response; Reply. Any party aggrieved by a final decision of the trial court in these proceedings may, within 10 days after the ruling of the court, move the court for a rehearing setting forth in detail the grounds wherein it is believed the court erred. There shall be a response filed within 10 days.
c. Petition for Review. Upon denial of a motion for rehearing, any party aggrieved may petition the appropriate Appellate Court for review of the actions of the trial court. The petition shall be filed with the clerk of the trial court and within 10 days after the denial of the motion for rehearing.
The changes ordered by the Arizona Supreme Court elimi- nated the requirеment of a detailed motion for rehearing — making it optional. Instead, the amended rule made the peti- tion for review into a detailed statement of the case and the issues presented and added an explicit statement that “[f]ailure to raise an issue in the petition or cross-petition for review shall constitute a waiver of appellate review of that issue.” The Arizona Supreme Court explicitly made the new rule applicable to those defendants sentenced after December 1, 1992 .
Prior to the amendments to Rule 32.9, the failure of the
petitioner to file a motion for rehearing setting forth in detail
the grounds for rehearing waived further review.
See State v.
Gause
, 541 P.2d 396, 397 (Ariz. 1975) (dismissing appeal
from denial of post-conviction relief under Rule 32.9(a),
where petitioner failed to file a petition for rehearing or a peti-
tion for review). When amending Rule 32.9(a) in 1992, the
Arizona Supreme Court explicitly stated that “[t]he attached
amendments shall be applicable to defendants sentenced after
December 1, 1992.” June 2, 1999, Ariz. Supreme Court Order
Amending Rule 32, Ariz. R. Crim. P. Furthermore, Cook’s
post-conviction relief counsel realized that the former Rule
32.9 governed the case and filed an unopposed motion for
rehearing to conform to the old rule. Accordingly, preclusion
for failure to preserve the issue on the motion for rehearing
was proper under Arizona Rule of Criminal Procedure
32.2(a)(3) and Arizona Rule of Criminal Procedure 32.9(c).
As a result, Cook must demonstrate cause and prejudice in
order to excuse his procedural default.
Coleman
,
Ordinarily, “cause” to excuse a default exists if the peti-
tioner “can show that some objective factor external to the
defense impeded counsel’s efforts to comply with the State’s
procedural rule.”
Murray v. Carrier
, 477 U.S. 478, 488
(1986). Examples of sufficient causes include “a showing that
the factual or legal basis for a claim was not reasonably avail-
able to counsel,” or “that ‘some interference by officials’
made compliance impracticable.”
Id
. (citations omitted)
(quoting
Brown v. Allen
,
[16]
In this case, Cook’s post-conviction relief counsel
failed to preserve his ineffective assistance of trial counsel
claims in the motion for rehearing or in the subsequent peti-
tion for review. Thus, post-conviction petition counsel failed
to “fairly present” the ineffective assistance of pre-trial coun-
sel claim to the Arizona Supreme Court.
Castille v. Peoples
,
489 U.S. 346, 351 (1989). Cook attempts to argue that inef-
fective assistance of appellate counsel excuses the procedural
default. There is no constitutional right to counsel, however,
in state collateral proceedings after exhaustion of direct
review.
Pennsylvania v. Finley
, 481 U.S. 551, 556 (1987)
(“[I]t is the source of that right to a lawyer’s assistance, com-
binеd with the nature of the proceedings, that controls the
constitutional question. In this case, respondent’s access to a
lawyer is the result of the State’s decision, not the command
of the United States Constitution.”). Under Arizona law, a
defendant is only entitled to counsel through the disposition
of his or her first post-conviction petition.
State v. Smith
, 910
P.2d 1, 4 (Ariz. 1996) (“After counsel or the pro per defen-
dant submits the post-conviction petition to the court and the
trial court makes its required review and disposition, coun-
sel’s obligations are at an end.”). Because Cook had no con-
stitutional right to counsel at the motion for rehearing stage,
any errors by his counsel could not constitute cause to excuse
the default.
See Coleman
,
Cook may also qualify for relief from his procedural
default if he can show that the procedural default would result
in a “fundamental miscarriage of justice.”
Schlup v. Delo
, 513
U.S. 298, 321 (1995). To qualify for the “fundamental miscar-
riage of justice” exception to the procedural default rule, how-
ever, Cook must show that a constitutional violation has
“probably resulted” in the conviction when he was “actually
innocent” of the offense.
Murray
, 477 U.S. at 496. “To be
credible, such a claim requires petitioner to support his allega-
tions of constitutional error with new reliable evidence —
whether it be exculpatory scientific evidence, trustworthy eye-
witness accounts, or critical physical evidence — that was not
presented at trial.”
Schlup
,
[17] In this case, although Cook presented evidence con- cerning his pre-trial counsel’s reputation in the community, he did not present any evidence that there were actual indepen- dent witnesses to support an alibi defense, or that shows that he did not participate in the murders of Ramos and Swaney. As a result, Cook has not shown that pre-trial counsel’s inef- fective assistance of counsel, if any, resulted in a fundamental miscarriage of justice because he is actually innocent. There- fore, Cook cannot excuse his procedural default and the dis- trict court properly found that his ineffective assistance of trial counsel claim was barred from review.
[13] Because Cook cannot show cause, we need not consider whether he suffered actual prejudice. Engle v. Isaac , 456 U.S. 107, 134 n.43 (1982) (“Since we conclude that these respondents lacked cause for their default, we do not consider whether they also suffered actual prejudice.”). D. Cook procedurally defaulted his claim that precluding evidence of intoxication violated his constitutional rights (claim 7).
On direct appeal, Cook relied exclusively on state law in
arguing his claim that voluntary intoxication negated his pre-
meditation for the murder of Ramos. First, the Arizona
Supreme Court found that Cook waived this claim by failing
to object at trial.
Cook
, 821 P.2d at 741. Then, the Arizona
Supreme Court ruled that Cook failеd to establish fundamen-
tal error, relying entirely on state law.
Id.
at 740-41. Under
Arizona law, evidence of intoxication alone cannot negate
knowledge for the purposes of finding premeditation for first-
degree murder.
See State v. Schurz
, 859 P.2d 156, 164-65
(Ariz. 1993) (collecting cases approving of refusal to consider
voluntary intoxication under a knowing or knowingly first-
degree murder theory);
Neal
,
“A litigant wishing to raise a federal issue can easily indi- cate the federal law basis for his claim in a state-court petition or brief . . . by citing in conjunction with the claim the federal source of law on which he relies or a case deciding such a claim on federal grounds, or by simply labeling the claim ‘federal.’ ” Baldwin v. Reese , 541 U.S. 27, 32 (2004). If a petitioner fails to properly present a federal claim to the state supreme court, and the state supreme court decides the issue on “adequate and independent” state law grounds, federal courts are barred from reviewing the claim. Howell , 543 U.S. at 442-43 (dismissing writ of certiorari as improvidently granted because petitioner’s failure to present a federal claim to the state supreme court “prevents us from reaching peti- tioner’s constitutional claim.”).
Here, Cook waived this claim by failing to object at trial
and then procedurally defaulted the claim by failing to fairly
present it as a federal claim on direct appeal.
See Coleman
,
[18]
As noted above, evidence of voluntary intoxication
alone cannot negate premeditation under Arizona law.
See
State v. Lavers
,
E. Cook procedurally defaulted his claim that the trial court erred by failing to order an additional mental health examination prior to sentencing (claim 12).
[19] Cook failed to present the issue of an additional mental health examination prior to sentencing on direct appeal or in his post-conviction relief proceedings. Like his other proce- durally defaulted claims, Cook cannot establish cause to excuse the default by showing a non-defaulted claim of inef- fective assistance of appellate counsel. Murray , 477 U.S. at 488. In addition, Cook did not introduce any new evidence to support a finding that there would be a fundamental miscar- riage of justice because he was legally insane at the time of the murders, or that his mental state was sufficient to over- come the aggravating factors in his case. See Sawyer v. Whit- ley , 505 U.S. 333, 350 (1992) (requiring petitioner “to show by clear and convincing evidence that but for constitutional error at his sentencing hearing, no reasonable juror would have found him eligible for the death penalty under [state] law”). Therefore, the district court properly found that Cook procedurally defaulted this claim.
F. Cook’s claim that the trial judge should have recused himself is barred (claim 17).
On his claim that the trial judge was biased and should have recused himself, Cook argues that he fairly presented the claim to the Arizona Supreme Court through his petition for special action. The district court found that Cook relied exclu- sively on Arizona law when arguing that the trial judge should have recused himself. The district court found that the federal claim was technically exhausted, but that the state courts would find that the claim was precluded under Arizona Rule of Criminal Procedure 32.2(a)(3).
In Cook’s recusal motion during the PCR proceedings, he only cited Arizona state cases and Arizona Rule of Criminal Procedure 10.1 [14] and 32.4(e). [15] After an independent judge denied the recusal motion, Cook sought special relief, citing the same rules and Rule 81, Canon 3(c) of the Arizona Rules of Judicial Conduct, which states that a judge should disqual- ify himself if his impartiality may be reasonably questioned or where the judge has a personal knowledge of disputed evi- [14] Arizona Rule of Criminal Procedure 10.1 states: “In any criminal case prior to the commencement of a hearing or trial the state or any defendant shall be entitled to a change of judge if a fair and impartial hearing or trial cannot be had by reason of the interest or prejudice of the assigned judge.”
[15] Arizona Rule of Criminal Procedure 32.4(e) provides: “Assignment of Judge. The proceeding shall be assigned to the sentencing judge where possible. If it appears that his testimony will be relevant, he shall transfer the case to another judge.”
dentiary facts concerning the proceeding. In his motion for rehearing, Cook once again relied exclusively on Arizona state law in arguing that the trial judge was biased and should be recused.
Cook failed to “indicate a federal law basis for his claim in
a state-court petition or brief” as required by
Baldwin
, 541
U.S. 32.
See Peterson
,
[20] As with Cook’s other claims, he has not shown cause to excuse his procedural default. Nor has Cook established that the default results in any fundamental miscarriage of jus- tice. Therefore, the district court properly found that Cook’s claim concerning the bias of the trial judge was procedurally defaulted.
VI. Sentencing consideration claims.
The Arizona Supreme Court examined the record and con- cluded that:
Moreover, after conducting our independent review of the record, we do not believe that Cook’s mental history demands or even justifies leniency, espe- cially when balanced against the aggravating factors found to be present in this case.
Cook
,
[21] The Arizona Supreme Court’s analysis is precisely what the Supreme Court requires — consideration of the char- acter and record of the individual and the circumstances of the offense. See Woodson v. N. Carolina , 428 U.S. 280, 304 (1989) (requiring “consideration of the character and record of the individual offender and the circumstances of the partic- ular offense as a constitutionally indispensable part of the pro- cess of inflicting the penalty of death”). The record contains extensive testimony concerning intoxication at the post- conviction relief hearing and that supports the rejection of Cook’s argument.
[22] The record also contains psychological reports dis- cussing Cook’s prior history of mental illness that show that Cook was able to appreсiate the wrongfulness of his actions at the time of the murders. None of the psychiatric or psycho- logical reports state that Cook did not understand what he was doing or could not conform his activity to the confines of the law at the time of the murders. The Arizona Supreme Court’s conclusion that the mitigating factors did not outweigh the aggravating factors after considering both intoxication and Cook’s psychological history as mitigation was not objec- tively unreasonable on this record. See Lopez , 491 F.3d at 1037-38 (concluding that where the state court clearly consid- ered proper mitigating factors, this court could not reverse under AEDPA). Therefore, the district court properly denied Cook’s claim based on failure to consider mitigating factors.
CONCLUSION
Cook’s decision to represent himself was knowing, intelli- gent, and voluntary as required by Faretta . Matzke’s plea agreement did not taint Cook’s trial with perjured or untruth- ful testimony; therefore it did not violate Cook’s due process right to a fair trial as clearly established by Supreme Court precedent. The prosecutor’s comments in rebuttal were not comments on Cook’s silence: they were fair comments on the evidence or fair rebuttals to Cook’s arguments and defenses, and in the context of this trial were harmless.
There was no evidence to warrant a second-degree murder instruction, so the trial court properly refused to give a lesser included offense instruction. The sentencing court properly considered Cook’s intoxication and mental history and con- cluded that they did not outweigh the aggravating factors in this case. Finally, the district court properly found Cook’s remaining claims to be procedurally defaulted.
AFFIRMED .
