GLENN WILLIAM HOLLADAY v. MICHAEL W. HALEY, Commissioner, Alabama Department of Corrections, ATTORNEY GENERAL OF THE STATE OF ALABAMA
No. 98-6937
United States Court of Appeals, Eleventh Circuit
April 19, 2000
D. C. Docket No. CV95-PT-2929-M
Appeal from the United States District Court for the Northern District of Alabama
Before ANDERSON, Chief Judge, and TJOFLAT and MARCUS, Circuit Judges.
I. FACTS AND PROCEDURAL HISTORY
In August 1986, Rebecca Ledbetter Holladay was living in a mobile home in Gadsden, Alabama. On the night of the 24th, her son Shea Ledbetter, her sister Katrina Ledbetter, her boyfriend David Robinson, and her son‘s friend Larry Thomas, Jr., were all at the mobile home. Thomas left to get something to eat at his own home. As he walked outside, he was shot and his body was later discovered outside of the trailer. Immediately after Thomas was shot, Glenn Holladay burst into the trailer, shoving aside Katrina Ledbetter as she yelled a warning to her sister, who was back in the bedroom. Holladay proceeded down the hallway, stopрing at Shea‘s bedroom and attempting to turn on the light. After Holladay left Shea‘s bedroom, Shea and Katrina left the trailer and ran to Thomas‘s parents’ home. Holladay found his ex-wife and her boyfriend in the back bedroom; he shot Robinson in the arm and chest and shot Rebecca in the back of the head. All three shooting victims died of their injuries.
Glenn Holladay had told an acquaintance in Nashville that his ex-wife had a new boyfriend and that if she did not stop seeing him, he would kill her. After the shootings, Holladay called a neighbor of his father and told her that he had done a bad thing. He told her that he had not intended to kill Larry Thomas; he thought that
At trial Holladay testified that he was in Nashville at the time of the killings and denied killing any of the victims. He was convicted of capital murder and sentenced to death on July 27, 1987. The Alabama Court of Criminal Appeals and the Alabama Supreme Court affirmed both his conviction and death sentence on direct appeal. Holladay v. State, 549 So.2d 122 (Ala. Crim. App. 1988) aff‘d, Ex parte Holladay, 549 So.2d 135 (Ala. 1989). The United States Supreme Court denied Holladay‘s petition for writ of certiorari, Holladay v. Alabama, 493 U.S. 1012 (1989), and his petition for rehearing, Holladay v. Alabama, 493 U.S. 1095 (1990).
Next, Holladay filed for post-conviction relief under Temporary Rule 201 of the Alabama Rules of Criminal Procedure on September 10, 1990, and amended his petition on April 24, 1991. An evidentiary hearing was held on April 25-27, 1991 and on December 5, 1991, the Rule 20 court denied the petition, finding some of the claims procedurally barred and determining that the others were meritless. The Alabama Court of Criminal Appeals affirmed the denial and the Alabama Supreme Court denied his petition for writ of certiorari. Holladay v. State, 629 So.2d 673 (Ala. Crim. App. 1992), cert. denied, 629 So.2d 673 (Ala. 1993). The United States
In November 1995, Holladay filed the present petition for a writ of habeas corpus. The magistrate judge recommended that the writ be denied on May 29, 1998, and Holladay filed a motion for withdrawal of the recommendation in June 1998. The magistrate judge amended his recommendation but retained the substance of the recommendation. The District Court adopted the recommendation and denied the habeas petition in July 1998. Holladay filed to alter or amend the judgment, which the district court denied in October 1998. On November 18, 1998, Holladay filed a notice of appeal.
Holladay argues оn appeal that his attorneys provided ineffective assistance of counsel with respect to his sentence. In this regard, he charges his former counsel with (a) failing to present in a meaningful way records in their possession at trial, (b) failing to provide those records to the State‘s evaluating psychiatrists and psychologists, (c) failing to procure independent mental health examinations, and (d) failing to discover prior mental health difficulties. Next, he claims ineffective assistance of counsel with respect to guilt and sentence because (e) his former attorneys elicited prejudicial information on direct examination. Finally, Holladay
II. STANDARD OF REVIEW
In assessing each of Holladay‘s claims, we review the district court‘s findings of fact for clear error, while we review all questions of law de novo. See Byrd v. Hasty, 142 F.3d 1395, 1396 (11th Cir. 1998). Because the issue of whether petitioner‘s counsel were ineffective is a mixed question of law and fact, it is subject to de novo review. See Mills v. Singletary, 161 F.3d 1273, 1285 (11th Cir. 1998).2 Factual determinations made by the state court are presumed to be correct with exceptions not relevant here. See
III. DISCUSSION
A. Ineffective Assistance of Counsel
In order to succeed with a challenge based on ineffective assistance of counsel, a petitioner has to satisfy a two part test. First, the petitioner must show that counsel‘s
1. Ineffective Assistance of Counsel at Sentencing for Failure to Present Records in a Meaningful Way
Holladay claims that his trial counsel, Kathleen and Howard Warren, did not use the records that they uncovered in a meaningful way at the penalty phase. The Warrens obtained records from the Department of Pensions and Securities from 1957
Citing Stephens v. Kemp, 846 F.2d 642 (11th Cir. 1992), and Turpin v. Lipham, 270 Ga. 208, 510 S.E.2d 3962 (1998), Holladay maintains that the Warrens were as deficient in their representation as counsel were in those cases. In Stephens, this Court found that an attorney who made no use in the penalty phase of the trial of records of the defendant‘s mental illness, did not procure an independent expert analysis of the defendant, and did not comment in сlosing argument upon the records or the defendant‘s mother‘s testimony regarding the manifestations of the defendant‘s mental illness, was not within “the wide range of professionally competent assistance.” Stephens, 846 F.2d at 653. In Turpin, the Georgia Supreme Court found counsel to be ineffective in the penalty phase because they introduced 2,500 pages of records from the defendant‘s stays at various psychiatric institutions and children‘s homes, without any testimony commenting on the contents, and merely urged the jury to use the records in their deliberations.
The conduct of the counsel in this case was markedly different. Unlike the
Holladay‘s attack on the efficacy of Mrs. Warren‘s use of the records is misplaced. Mrs. Warren discussed the contents of the records that she exhorted the jury to read and stated that the reason for giving them the 142 pages of records was that they provided a chronological record of the trаumatic events in Holladay‘s childhood. Although Holladay is correct that Mrs. Warren stated that she did not expect the jury to read all of the records, the emphasis was clearly upon all. Indeed,
Counsel did present Holladay‘s mental retardation to the jury. In his testimony, Holladay‘s father stated that Holladay had been in a special school for slow learners. The records presented to the jurors were replete with references to Holladay‘s mild retardation and many of these references are in the first few pages. Counsel also mentioned Holladay‘s retardation in her closing argument at the penalty phase, and discussed how well he can mask it. Even the prosecutor, in his closing, acknowledged that Holladay was slightly mentally retarded. Finally, the court instructed the jury that they may consider Holladay‘s mental retardation as a mitigating factor.
Our careful review of the transcript of the sentencing phase, including Mrs. Warren‘s closing argument, persuades us that counsel‘s performance was not constitutionally deficient with regard to her presentation of the mitigating evidence, including the family history records. Rather, we conclude that Mrs. Warren presented the evidence in a concise and effective way, explaining how “those prоblems have contributed to the place that he is in right now.” [Trial Transcript at 1740].
2. Ineffective Assistance of Counsel for Failure to Provide Those Records to the Evaluating Psychiatrists and Psychologist
Next Holladay claims that his trial counsel were ineffective because they did
Counsel did not unreasonably withhold the records from the commission; she simply did not have the records in question at that time.4 In her testimony at the Rule 20 hearing, Mrs. Warren stated that she provided the lunacy commission with all of the information that she had at the time of their evaluation: “As far as I know what Taylor Hardin requested I give them[,] I provided them all of the information I had at that time.” [Rule 20 Transcript at 719]. Indeed, in her cover letter accompanying the completed lunacy commission‘s questionnaire, Mrs. Warren stated that at that point she had only had minimal contact with Holladay. In her questionnaire, Mrs. Warren did relay information that she obtained from Holladay‘s father: that Holladay had a low IQ or was retarded, had trouble in school, and was illiterate. Mrs. Warren‘s
Furthermore, Holladay is unable to prove that the provision of these records would have changed the evaluation of the commission in any way. The records later obtained included IQ tests taken when Holladay was a child and notations that he might be retarded. However, the commission tested Holladay and found him to be in the Borderline Intellectual Functioning range. Thus the commission would likely have discounted the earlier tests because the test it administered would be considered more accurate since it was more recent. Additionally, contrary to Holladay‘s assertions, the commission examined him for more than competency and sanity; the report also discusses his intelligence and rejects the idea that he was retarded. Holladay spent more than a month in residence at Taylor Hardin, giving the mental health experts ample opportunity to complete a thorough evaluation. Holladay has not proved that there is a reasonable probability that the commission would have decided differently and therefore cannot show he was prejudiced by this omission.
3. Ineffective Assistance of Counsel at Sentencing for Failure to Procure Independent Mental Health Examinations
Holladay charges that the Warrens were ineffective when they did not seek an independent mental evaluation of him after the examination at Taylor Hardin. Holladay asserts that counsel unreasonably accepted the commission‘s determination
At the Rule 20 hearing, Holladay presented two expert witnesses who testified with respect to his mental retardation. The two witnesses, Dr. Michael Norko, a psychiatrist, and Dr. Brad Fisher, a clinical psychologist, testified that Holladay is mildly mentally retarded. Dr. Norko also testified that Holladay suffered from organic personality syndrome, explosive type. The Rule 20 court credited the testimony of the state‘s expert witness, Dr. Joe Dixon, over that of Holladay‘s two experts. The court‘s decision was based on Holladay‘s experts’ relative inexperience with retardation, and based in part on their inability to explain why they reached drastically different results than the seven other mental health practitioners who had examined him. The court also discounted Dr. Norko‘s diagnosis because his only source was Holladay‘s self-reporting and affidavits of friends and family.
Counsel is not necessarily required to seek independent mental evaluations in order to render effective assistance. In Bertolotti v. Dugger, 883 F.2d 1503, 1511 (11th Cir. 1989), we held that counsel is not required to seek an independent evaluation when the defendant does not display strong evidence of mental problems. Additionally, the choice not to seek out such an evaluation is a tactical decision, which “must be directly assessed for reasonableness in all the circumstances, applying a
The Rule 20 court found that Mrs. Warren made a tactical decision not to seek additional expert opinion, after receiving the report from the several mental health experts at Taylor Hardin. Holladay does not challenge the fact that such a tactical decision was made; he argues only that it was not a reasonable decision. Reviewing the decision for reasonableness, we find that counsel was justified in her decision not to seek an additional mental evaluation after she received the report from the lunacy commission. Holladay spent over a month at the Taylor Hardin facility, during which time he was seen by four mental health specialists. During his stay, Holladay‘s IQ was tested and found to be 71, in the borderline range. The report also stated that his “speech and history of autonomous living suggest that he is a rather streetwise individual and, apart from well documented criminal tendencies, not the kind of person who would require extensive supervision on the basis of intellectual dysfunction.” [R2-7-1279]. One of the psychiatrists stated that Holladay was of normal intelligence. [R2-7-1298]. Each of the psychiatrists and the psychologist found Holladay to be lucid about the criminal activity with which he was charged. At the Rule 20 hearing, Mrs. Warren testified that she found Holladay to be “articulate, аffable, he is one of the kind of people that seems to want to be friendly towards
Given the content of the lunacy commission report and her own contacts with the petitioner, it was reasonable for counsel to rely on the records alone for evidence of mental problems and not seek another evaluation. The report prepared by the four specialists suggested that Holladаy was not retarded and thus counsel could have reasonably assumed that the same result would be reached by a fifth specialist. Furthermore, her own impression of Holladay was that he was normal and indeed, as she testified at the Rule 20 hearing, more competent than some of her other clients. It reasonably appeared that the only evidence that she would be able to elicit of retardation would be found in the records. Finally, the determination of the Rule 20 judge that Holladay‘s mental health experts were not credible lends credence to her decision; it is likely that any experts introduced at trial would likewise have been less credible than those of the state. For the foregoing reasons, we cannot conclude that this tactical decision was unreasonable and thus Holladay cannot satisfy the performance prong of the ineffective assistance of counsel analysis. Moreover, in light of the findings of the Rule 20 court discrediting the opinions of the two experts
4. Ineffective Assistance of Counsel at Sentencing for Failure to Discover Evidence of Prior Mental Health Difficulties
Although the Warrens talked to Holladay‘s brother and father, they did not talk to anyone else in the family. They did not uncover the fact that Holladay had been treated at a mental hospital in Georgia and so did not find those records. Holladay argues that had they interviewed other members of his family or other friends, they would have found a wealth of mitigating evidence, including evidence of his stay in the psychiatric ward in Georgia, stories that corroborated the information in the records introduced by counsel, and friends’ recollections of his unpredictable behavior.
Counsel have a duty to investigate but this duty is confined to reasonable investigation. See Strickland, 466 U.S. at 691, 104 S. Ct. at 2066. In Funchess v. Wainwright, 772 F.2d 683, 689 (11th Cir. 1985), this Court found counsel reasonably investigated despite the fact that he had not investigated his client‘s psychological problems because the client never told him of any problems and the competency evaluation did not suggest any problems existed. The client also acted competеntly while assisting counsel in preparing his case. See id. Thus the court held that counsel was not put on notice of any problems and could not be faulted for not pursuing the
Reliance upon some family members‘s statements that other mitigation witnesses did not exist was considered permissible in Singleton v. Thigpen, 847 F.2d 668, 670 (11th Cir. 1988). Rejecting a per se rule of ineffective assistance where counsel does not consult family members, we held in Williams v. Head, 185 F.3d 1223, 1237 (11th Cir. 1999), that counsel‘s investigation was reasonable when he did not interview the defendant‘s sister or father, the latter because the defendant had not lived with him for very long. “[S]trategic choices made after less than completе investigation are reasonable precisely to the extent that reasonable professional judgments support the limitations on investigation. In other words, counsel has a duty to make a reasonable investigation or to make a reasonable decision that makes particular investigations unnecessary.” Strickland, 466 U.S. at 690-91, 104 S. Ct. at 2066.
The conduct of the counsel here did not fall below the professionally competent standard. While the Warrens did not discover the records from Holladay‘s stay at Central State Hospital in Milledgeville, Georgia or records from other psychiatrists who treated Holladay, there is no evidence in the record, nor does Holladay allege,
Similarly, counsel reasonably did not interview other family members after Holladay‘s father and brother told them that no one else was interested in assisting Holladay. Mrs. Warren interviewed and presented as witnesses the two family members who reasonably appeared to be the most knowledgeable and helpful, the father and the brother David, who was a minister. Counsel are not required to interview all family members, and it is reasonable that Mrs. Warren, after interviewing two helpful relatives, would limit her investigation in accordance with their advice. Additionally, Holladay cannot meet the prejudice prong on this claim of ineffective assistance because he has not offered any evidence of the substance of the testimony which other family members would have provided. At the Rule 20 hearing, psychiatrist Dr. Michael Norko discussed how some family members’ affidavits substantiated Holladay‘s self-reporting of rages, but this is the only indication of their
5. Ineffective Assistance of Counsel with regard to Guilt and Sentencing Because Counsel Elicited Prejudicial Information on Direct Examination
Finally, Holladay alleges that his counsel were constitutionally inadequate because they elicited information on direct examination that he had escaped, which, he argues, was highly prejudicial. Although counsel had moved, in limine, for an order prohibiting the District Attorney from making any reference to Holladay‘s escape from the Cherokee County Jail, Holladay maintains that during direct examination of him, the fact that he had escaped was revealed as a result of inept questioning.
After reviewing the testimony, we cannot conclude that the district court was clearly erroneous in finding that counsel did not intend for this information to be revealed, but rather that Holladay volunteered it himself. In thе first instance, counsel was attempting to elicit Holladay‘s criminal history on direct examination6 and then
Holladay argues that these errors would not have been made had his counsel adequately prepared him to testify. The record reveals that Holladay‘s counsel did not learn until voir dire that he intended to testify. At that time, she discussed his testimony with him and again counseled against testifying. Given the severe time constraints that she was under, as a result of Holladay‘s last minute decision, counsel cannot be faulted for failing to prepare her client fully. Thus we cannot find that counsel rendered ineffective assistance in this instance.
B. Excessive Security
Holladay asserts a substantive claim that his trial was rendered fundamentally
Holladay‘s counsel did not raise this issue on direct appeal and thus it is procedurally barred9 unless he can show cause for the default and actual prejudice, see Wainwright v. Sykes, 433 U.S. 72, 97 S. Ct. 2497 (1977), or a fundamental miscarriage of justice, see Engle v. Isaac, 456 U.S. 107, 102 S.Ct. 1558 (1982). Constitutionally ineffective assistance of counsel can constitute cause. See Hollis v. Davis, 941 F.2d 1471, 1476 (11th Cir. 1991)(citing Murray v. Carrier, 477 U.S. 478, 488, 106 S.Ct. 2639, 2645, 91 L.Ed.2d 397 (1986)). In an effort to demonstrate cause, Holladay argues that counsel deficiently failed to object adequately at trial and
Holladay argues that it was constitutionally ineffective assistance of counsel not to object to at trial and raise on appeal the excessive security and shackling. While he concedеs that his trial counsel did object to the shackling at trial, he maintains that counsel should have sought an evidentiary hearing on the issue. He also asserts that the law was clear enough on excessive security and shackling that he would have prevailed on direct appeal, had counsel raised these issues.
Starting with the shackling aspect of the claim, we address Holladay‘s contention that his counsel rendered ineffective assistance at trial when she did not request a hearing on the issue, propose alternatives to the shackles or allow her client to address the court on the issue. Holladay cites Elledge v. Dugger, 823 F.2d 1439 (11th Cir. 1987), for the premise that he was entitled to a hearing on whether shackles could be employed during trial. Howevеr, the facts in Elledge are quite different; there the court announced that the defendant would be placed in shackles, allowed only an objection from the defense counsel, and told the defendant that he could not
Holladay also argues that counsel was ineffeсtive at trial when they did not object to the heavy security. The Supreme Court has held that an essential element of a fair trial is the “principle that one accused of a crime is entitled to have his guilt
It was not unreasonable or deficient for Holladay‘s counsel not to object to the
Next, Holladay alleges that his counsel were ineffective when they did not raise either the shackling or security on direct appeal. Thе crux of his argument is that the law was so clearly established that he would have prevailed on these issues.
Because Holladay cannot establish that it was constitutionally ineffective assistance of counsel not to raise the excessive security and shackling issues on direct appeal, he cannot show cause needed to overcome procedural default. As a result, we need not address whether he can show the required prejudice to overcomе the
IV. CONCLUSION
For the foregoing reasons, the judgment of the district court denying relief is AFFIRMED.
Notes
Q: You have been in a lot trouble during your life, haven‘t you Glenn?
A: Yes, ma‘am.
Q: Okay, You have been a convicted felonist, haven‘t you?
A: Yes, ma‘am.
Q: Do you remember how many?
A: Approximately ten - ten to twelve felonies.
Q: Okay. Do you recall what those were for?
A: Most of them were burglaries, buying and reсeiving, and buying, receiving and selling -
Q: Buying and concealing stolen property -
A: Concealing - yeah, uh-huh. And I had one rape.
Q: Okay, weren‘t you also convicted of assault?
A: Yes, ma‘am, I had one assault.
Q: Now, at the time you were arrested in January of 1986, what charge was that on?
A: Buying and receiving.
Q: Were you confined to Cherokee County on that -
A: Yes, ma‘am.
Q: - jail?
A: Yes, ma‘am.
Q: Let me ask you this. I know you started seeing Becky Holladay again in 1986.
A: Yes, ma‘am.
Q: After January, after being arrested -
A: Yes, ma‘am, sure did.
Q: When you next see her?
A: Well, I escaped from the Cherokee County Jail March the 18th, 1986, and I started seeing Becky somewhere around the end of March.
[Trial Transcript at 1569-70].
Q: Did you consider Becky Holladay to be your wife?
A: Yes, Ma‘am.
Q: Where were you in August of 1986?
A: August, 1986, I was in Nashville.
Q: Do you remember when you got there?
A: Well, I had been up there three or four separate times. I was on the run from, you know, Ft. Payne‘s County Jail. And -
Q: So you were in and out of Nashville in August -
A: Yes Ma‘am, just kind of in and out of it.
[Trial Transcript at 1570].
