I. HISTORY AND GENERAL BACKGROUND
Monterroso was shot and killed one January evening in 2001 while he was walking down the street with his two friends, Muldrew and McCauley.
"[The Rohm], in our position, is exculpatory evidence in this case that [petitioner] is not the perpetrator of this homicide. We expect to put on ballistics evidence of that firearm. We expect to talk about the likelihood that that firearm was the firearm used in the homicide."
At trial, the state called Grover, who testified that he had been with the Oregon State Police for a little more than three years, beginning as an analyst who entered data from firearms into a database.
Grover then thoroughly discussed forensic bullet examination analysis, which he summed up as follows:
"[I]n order for a bullet to be considered a positive identification or a match, the amount of agreement that we see between the test-fired bullet and the bullet in question has to exceed the amount of agreement known to have been observed between two bullets test-fired from different firearms, and at least be consistent with the amount of agreement that we had seen between two bullets that we know were fired from the same firearm."
Grover testified that the bullets from the Rohm shared all discernible class characteristics with the fatal bullet-like caliber and twist direction of the lands and grooves-and agreement on some individual characteristics-like striations. Grover testified that those results, however, were insufficient to say with certainty that the fatal bullet had been fired from the Rohm. Grover testified that there are 30 to 40 different types of firearms that could have produced similar results and, when asked how many of those kinds of firearms are in the Portland area, stated,
"Probably talking millions of guns out there. It's hard to say. With this particular small subset there's probably thousands, hundreds of thousands, of these particular types of guns."
After the state wrapped up its case-in-chief, the defense presented its case. Defense counsel called officer Santos. Santos testified that he had requested and served a search warrant at a residence where Baines resided. Santos explained that the warrant was not related to Monterroso's murder and instead related to a report that Baines, a felon, had been seen with a semi-automatic firearm at the residence. Santos testified that Baines was on a first-floor couch when the warrant was served and that the Rohm was in a black case in an upstairs bedroom belonging to Waller, the owner of the Rohm. On cross-examination, the prosecutor asked about the Rohm's operability. Santos testified that, based on his experience with firearms, it looked as if the Rohm had not been fired "in quite a long time." Santos further testified that Baines had not been charged with being a felon in possession of a firearm and indicated that part of the reason was that the Rohm was not functional when the police seized it. Santos explained that, to prove "the crime of felon in possession of a firearm, you do have to prove that the gun is functional." On re-direct, Santos conceded that he could not say with certainty the last time the Rohm was fired.
The defense then called Grover back to the stand. The purpose of this testimony seemed to be to pave the way for Wong-who was a civil engineer with no specific training in forensic bullet examination-to testify. Defense counsel asked Grover whether he had a background in mechanical engineering or metallurgy, to which he responded that
After Grover testified, the court held a hearing outside the presence of the jury to determine whether Wong was qualified as an expert in forensic bullet examination. Wong, a professional engineer licensed in both California and Oregon, had been working as a forensic mechanical engineer for nine years. He was the vice president of a forensic engineering firm that worked on all types of engineering projects, including auto accident reconstructions, fire investigations, and criminal cases. Wong had testified as an expert in other matters, and he explained how his background in mechanical engineering and metallurgy was relevant to forensic bullet analysis and firearms. Wong said that firearms are mechanical devices that "incorporate any number of mechanical engineering principles, from materials, material selection, heat treating, linkages, pressure, [and] design." He discussed the courses he had taken and explained how they would apply to the manufacture of firearms. Wong explained that his education and experience enabled him to talk about the microscopic changes that
On cross-examination, the state elicited testimony from Wong that he had received no formal training through workshops or seminars regarding bullet comparisons. The trial court then interrupted the prosecutor and informed him that "the likelihood that [the court was] going to prevent [Wong] from testifying is not high" because of "his background and working with metals." The court explained that the jury could weigh Wong's answers to the prosecutor's questions. The prosecutor indicated that he understood and ended his questioning.
At that point, the defense told the court that it would wait until the morning to call Wong to the stand and instead called two witnesses whose testimony was expected to be short. After those witnesses testified, and to make use of the remaining time, the court permitted the state to call Baker, a rebuttal witness. Baker testified that she was the original owner of the Rohm and that it had not fired when she had attempted to shoot it in the air on a prior New Year's Eve. The next morning, the defense presented the remainder of its case, calling a neighborhood store owner who was familiar with both Baines and petitioner. The defense did not, however, call Wong to the stand.
Following the presentation of evidence and the parties' closing arguments, the case went to the jury. The jurors deliberated for 15 hours and, at one point, asked for clarification of the definition of "reasonable doubt" and about when they should tell the court that the jury was hung. Ultimately, the jury returned a verdict of guilty for murder with a firearm.
Petitioner pursued a direct appeal, and his conviction was affirmed. State v. Farmer ,
"The defense attorney has stated that, (1) despite the expert's findings that were very favorable to the defense[,] she did not realize that the defense expert's findings would be that much different than the State's findings when presented at trial. Further, she decided not to call the forensic expert as a witness because the expert did not have the training and experience to withstand cross examination. ***
"Although tactical choices by a trial lawyer do not usually provide grounds for post-conviction relief, relief may be available if [petitioner] shows the decisions of counsel were not based on a reasonable evaluation of costs and benefits, or a reasonableevaluation of the evidence. In a cost versus benefit analysis undertaken by a reasonable attorney, a reasonable attorney would have called Wong to testify as a defense expert. Regardless of the ability of the State to impeach his credentials, even if he were impeached regarding the analysis of the bullet fragment lands and grooves, his testimony when combined with the State expert Grover's testimony would be: one expert who testified that the Rohm revolver could have been the weapon that fired the bullet that killed Monterroso and one expert who testified that the Rohm revolver was likely [the] weapon that fired the bullet that killed Monterroso. Therefore, what was the down side of calling Wong to testify?
"* * * * *
"[T]here is no physical evidence tying [petitioner] to the crime; there is evidence that someone else shot the victim; there is evidence that the other suspect and [petitioner] are close enough alike in looks that one can be easily confused with the other; there is evidence that the potential murder weapon was found at a home where the other suspect had been sleeping; [petitioner's] alleged 'confessions' do not match the forensics, and the jury was out deliberating for 15 hours, this Court finds that the decision to not place Wong's testimony before the jury caused prejudice to [petitioner]."
Accordingly, the post-conviction court ordered that petitioner receive a new trial.
The state
The dissent took a different view. It distinguished between defense counsel's decision to investigate potential expert witnesses and her choice "not to use the fruits of her investigation."
Petitioner filed a petition for review in this court, which we allowed. He renews his argument that defense counsel was constitutionally inadequate in deciding not to present Wong's testimony to the jury. For the reasons that follow, we agree.
Article I, section 11, of the Oregon Constitution guarantees a criminal defendant the right to adequate counsel. A person who seeks post-conviction relief and alleges that she was denied that right must establish by a preponderance of the evidence that counsel failed to exercise reasonable professional skill and judgment, and that she was prejudiced as a result. Gorham v. Thompson ,
In this case, petitioner argues that, assessed in light of the fact that he was a teenager facing a life sentence in a case where there was evidence of his innocence, defense counsel failed to render reasonable skill and judgment in deciding not to call Wong. Petitioner acknowledges that that decision was a tactical decision, and he recognizes that such a decision is, "in the abstract, *** deserving of considerable deference." Lichau v. Baldwin ,
Petitioner contends that, in this case, defense counsel did not conduct a reasonable investigation because she did not accurately assess the benefits of Wong's testimony, rendering her assistance constitutionally inadequate. Specifically, petitioner argues that the post-conviction court made a factual finding that defense counsel mistakenly believed that Wong's testimony essentially would be the
The state's response is two-fold. First, the state contends that the post-conviction court did not make a finding of fact that defense counsel believed that Wong's testimony would be duplicative of Grover's. Read in context, the state asserts, the post-conviction court merely paraphrased defense counsel's reasons for not calling Wong, which she explained in more detail and more correctly in her deposition testimony. The state argues that nothing in the court's ruling indicates that the court disbelieved counsel when she stated in her deposition that she knew that Wong's report used the term "likely," and that testimony to that effect would be stronger than Grover's. Second, the state argues that, even if the post-conviction court found that defense counsel failed to appreciate the difference in the experts' views, that failure does not demonstrate that counsel acted unreasonably.
Our review of the record convinces us that the post-conviction court made a deliberate factual finding that counsel did not understand that Wong's testimony would be significantly different than Grover's. After the post-conviction hearing, the post-conviction court issued a letter opinion that included the following:
"However, when the expert the defense hired found that the bullet fragment was likely fired from the gun found at Baines' home ... the defense chose not to call their expert as a witness. Now facing allegations of ineffective assistance of counsel, the defense attorney states that, despite the expert's findings that were very favorable to the defense, she did not realize that the defense expert's findings would be that much different than the State's findings when presented at trial ."
"The defense knew Wong's findings would be stronger than the State's findings, but as explained in her deposition, the defense attorney felt that Mr. Wong would not withstand cross examination because he didn't have the appropriate training and experience."
(Emphasis in original.)
The post-conviction court held a hearing on the state's motion, during which the state reiterated its request that the court's findings reflect defense counsel's knowledge that Wong's testimony with respect to the Rohm "would be stronger than" Grover's. The post-conviction court rejected that request, however.
"However, when the expert the defense hired found that the bullet fragment was likely fired from the gun found at Baines' home ... the defense chose not to call their expert as a witness. The defense attorney has stated that, (1) despite the expert's findings that were very favorable to the defense[,]
she did not realize that the defense expert's findings would be that much different than the State's findings when presented at trial."
(Emphasis added.)
From that sequence of events, we conclude that the post-conviction court was well-aware that it was making a finding of fact that defense counsel did not fully understand the significance of the distinction between the findings to which the two experts would testify. We are bound by that factual finding if there is evidence in the record that supports it. Ball ,
In examining that issue, we must assess the two facts on which the court based its conclusion that defense counsel was inadequate: (1) that Wong's findings were different and more favorable than Grover's, and (2) that defense counsel "did not realize" that those findings "would be that much different" from Grover's. Both facts are supported by the record. First, there is evidence to support the finding that Wong's anticipated testimony would have been stronger than Grover's. The most the defense could have made of Grover's testimony was to show that the Rohm could not be ruled out as the murder weapon. Considering Grover's testimony about the hundreds of thousands of guns in the Portland area that also could have been used to kill Monterroso, Grover's conclusion was not particularly helpful to petitioner. In effect, Grover's testimony demonstrated that
Although defense counsel's statements during her deposition could support a different interpretation,
As we understand the parties' arguments, they address different issues. The state focuses on the fact that defense counsel weighed the costs and benefits of calling Wong. Petitioner focuses on the fact that, when she did so, defense counsel did not make a reasonably accurate assessment of those costs and benefits. Thus, this case raises
In Lichau , the petitioner, who was in the military, was accused of raping his niece.
Similarly, in Richardson v. Belleque ,
"[A]lthough defense counsel asserted that he had made a calculated strategic decision that this was one of the minority of cases in which it was preferable not to rely on a defense expert, he did so without adequate knowledge of the underlying facts. *** [A]dequate counsel in this situation would have gained further information about petitioner's psychological conditions and juvenile history and consulted with a defense expert in the field of psychology to determine how best to counter Suckow's evidence that petitioner suffered from an antisocial personality disorder."
Id. at 262,
In both Lichau and Richardson , the attorneys made decisions without gathering adequate information, and we determined
A case on which the state relies, Montez v. Czerniak,
Before this court, the petitioner argued that, under both the federal and state constitutions, the Court of Appeals should have focused on "counsel's actual strategic reasoning," and that it was "precluded from focusing on strategies that defense counsel could reasonably have had in mind in deciding to reveal [the] petitioner's prior death sentence."
"[D]efense counsel discussed with the trial court the strategic reasons for disclosing [the] petitioner's previous death sentence, and [the] petitioner himself agreed with their reasoning. Other lawyers might disagree with that strategic choice, but the choice itself was made with appropriate consideration of the risks and benefits, and we cannot say that it was unreasonable."
In this case, the post-conviction court found that defense counsel had two reasons for her decision not to call Wong: her mistaken understanding that Wong's testimony would not be stronger than Grover's, and her concerns about Wong's qualifications. The fact that defense counsel
Not all instances of inadequate assistance of counsel warrant reversal, however. Lichau ,
In this case, petitioner's defense centered on whether petitioner or Baines was the shooter. Petitioner contends that the state's evidence against petitioner was not very strong, and he notes that the jury deliberated for over 15 hours, asking for clarification of "reasonable doubt" and when to inform the court if it was unable to reach a verdict. Petitioner argues that there is more than a mere possibility that competent counsel could have used Wong's testimony in a way that could have tended to affect the jury's verdict.
The state responds that petitioner could not have been prejudiced by defense counsel's failure because there was "overwhelming evidence" at trial that the Rohm was not operable. The state contends that the jury could believe that the Rohm was the murder weapon only if it (1) believed that the witnesses who testified about the gun's operability were lying or mistaken, or (2) believed that the gun did not work before and after the murder but worked during it. The state argues that those scenarios are implausible.
The state may be correct that, in the end, petitioner would not be able to convince a jury that Baines committed the murder or that he did so with the Rohm; however, that does not mean that the fact that the Rohm was "likely" the murder weapon was not evidence that could have tended to affect the jury's verdict. Wong's testimony would have complemented the other evidence that petitioner produced that Baines, not petitioner, committed the murder. It also would have challenged Grover's testimony, which not only undercut the defense's Baines theory but also bolstered the state's theory that a .357 revolver was the murder weapon.
Moreover, the usefulness of Wong's testimony in a case like this could have been significant. As the post-conviction court noted, there was no physical evidence tying petitioner to the murder. The primary evidence against petitioner was that a witness placed him in the area before the murder, that another identified him as the shooter, and that he made several admissions that he had committed the murder. There was evidence that cast doubt on the reliability and credibility of those witnesses, and petitioner's
The decision of the Court of Appeals is reversed. The judgment of the circuit court is affirmed.
Notes
The facts are taken from the post-conviction court's opinion, which quotes the facts as discussed in petitioner's direct appeal, State v. Farmer ,
Thompson was driving down the street when the shooting happened and pulled over to call 9-1-1 on her cell phone, at which point the shooter and his accomplice ran right past her. Thompson was unable to be located during the investigation and trial, but the recording of her 9-1-1 call was played for the jury. In that call, Thompson describes the shooter as Hispanic. After petitioner's trial, the defense was able to locate Thompson. She described the shooter as a black male and, when shown the same photo lineups that other witnesses were shown, stated that petitioner "was definitely not the shooter or the other person who ran by me." She further stated that she was shown two pictures of Baines-the person who the defense asserted had actually committed the murder-and that he "most closely resembles the person I refer to as the 'shooter.' " Petitioner sought a new trial as a result of Thompson's statements, but the trial court denied the motion for reasons explained in greater detail in Farmer ,
Baines split time between that house and his girlfriend's house.
We note that the record contains two spellings of this witness's last name: "Grover" and "Gover." We refer to him as "Grover" because that is how he spelled his name when being sworn in to testify during the prosecution's case-in-chief.
Much of the background information that follows was not discussed in the post-conviction court's letter opinion. However, it is undisputed information that comes from the record. See Montez v. Czerniak ,
Muldrew testified that petitioner used a .357 revolver to commit the murder. No such weapon was ever discovered in this case.
After the defense called its last witness, the prosecution presented the remaining evidence of its rebuttal case, which included testimony from Waller, Baker's daughter and the owner of the Rohm at the time police seized it, and Dan Alessio of the Oregon State Police. Waller testified that the Rohm did not work; Alessio testified that the Rohm had had to be repaired before it could be test-fired.
Reid had more experience in forensic bullet comparison than Wong. The record indicates that counsel also hired Reid to analyze the results of the test-firing but that Reid did not prepare a formal report of his analysis. The record suggests that Reid would not have testified to the same conclusion that Wong reached.
Petitioner raised both state and federal claims of inadequate assistance of counsel. Because we decide in petitioner's favor on his state constitutional claim, we do not address his federal constitutional claim.
For ease of reference, we will refer to the superintendent as "the state." See Richardson v. Belleque ,
The opinion concluded by instructing petitioner to "prepare the appropriate form of order." Petitioner seems to have drafted such an order; however, that order does not appear to have been included in the record.
In the transcript of the proceeding, there is some discussion that could be understood as the court acknowledging that counsel knew that Wong's testimony would be stronger. That understanding of the transcript is not supported by the amended opinion that the post-conviction court later issued.
Much of the evidence that supports this finding also could suggest that defense counsel did not understand that there was any difference at all between the testimony of the two experts.
Defense counsel's deposition statements point in both directions with respect to whether she understood that Wong's testimony would have been stronger than Grover's. On the one hand, defense counsel's deposition statements suggest that she viewed Wong's anticipated testimony as more helpful than Grover's. On the other hand, her statements could be interpreted to suggest that she did not fully understand the difference between Wong's and Grover's findings. For instance, defense counsel stated that she was concerned that the state would just elicit from Wong that he "could not conclusively say that [the Rohm] was the firearm" that killed Monterroso and that that would just be a "rehashing [of] the same testimony of Travis Grover," which defense counsel determined "was the best testimony [the defense] could get regarding [the] gun."
Another case that the state cites, Gorham ,
Wong did not have specific training in firearms forensics, but the trial court indicated that it would qualify him to testify as an expert on that topic. Had he testified, Wong's report demonstrates that his disagreement with Grover was based on his knowledge and experience as a forensic engineer. For example, Wong, like Grover, determined that bullets fired from the Rohm and the fatal bullet had agreement on all class characteristics. Yet Wong noted that the Rohm is a "relatively uncommon model of revolver in the United States" that has class characteristics that are different from more common revolvers. Grover's testimony did not touch on that fact.
In reaching our conclusion, we note that the Court of Appeals was correct that the standard for determining the adequacy of counsel is not whether a given decision, viewed in isolation, had no "downside," or whether a reasonable attorney could come to a different conclusion. Farmer ,
