Lead Opinion
James Hitchcock, a Florida inmate sentenced to death for the strangulation murder of a thirteen-year-old girl, appeals the denial of his petition for a writ of habeas corpus under 28 U.S.C. § 2254. He contends that his Eighth and Fourteenth Amendment rights were violated at his latest resentencing proceeding when the state trial court refused to admit and consider, as relevant mitigating evidence, the prosecution’s offer to recommend a life sentence in exchange for a guilty plea to first-degree murder, an offer that Hitchcock rejected. He also contends that counsel at the resentencing hearing was ineffective for failing to elicit testimony from the defense’s mental health expert about the applicability of two statutory mitigating factors and for failing to seek a neuropsychological evaluation for the presence of possible brain damаge.
I.
The lengthy and complicated history of this case dates back thirty-seven years. In the summer of 1976, Hitchcock raped his brother’s thirteen-year-old stepdaughter and then strangled her to death after she threatened to report the sexual assault. He was indicted on a single count of first-degree murder and, after rejecting the prosecution’s offer to recommend a life sentence in exchange for a guilty plea, was convicted at trial and sentenced to death. The Florida Supreme Court affirmed his conviction and capital sentence on direct appeal, see Hitchcock v. State,
In May of 1983, Hitchcock filed a federal habeas petition under § 2254, which the district court denied and that denial was affirmed on appeal. See Hitchcock v. Wainwright,
Hitchcock nevertheless managed to obtain two more penalty phase proceedings, еach in its turn resulting in death sentences. After the third death sentence was vacated, see Hitchcock v. State,
In the 1996 resentencing proceeding, the jury recommended the death penalty by a vote of ten to two and the trial court followed that recommendation, finding that the aggravating circumstances of Hitchcock’s crime outweighed the mitigating ones. The court found four statutory aggravating circumstances: (1) the crime was committed while Hitchcock was under a sentence of imprisonment; (2) he committed the crime while engaged in the felony of sexual battery; (3) the crime was committed for the purpose of avoiding arrest; and (4) the crime was especially heinous, atrocious, or cruel. The trial court found only one statutory mitigating circumstance, that Hitchcock was 20 years old at the time of the murder, and several non-statutory mitigating circumstances, which it gave comparatively little weight. The non-statutory mitigating circumstances found by the trial court included that Hitchcock was under the influence of lifelong personality difficulties at the time of the offense, that he suffered from borderline personality disorder, and that the offense resulted from an unplanned, impulsive act. The Florida Supreme Court affirmed the death sentence on appeal and, in doing so, again rejected Hitchcock’s contention that the sentencing judge erred in excluding evidence of the prosecution’s rejected plea offer. See Hitchcock v. State, 755 So.2d 638, 645 (Fla.2000). The court explained that the claim was barred because it had been considered and rejected on the merits during Hitchcock’s appeal from his first resentencing proceeding. Id.
In 2001 Hitchcock filed a state motion for post-conviction relief from his latest death sentence, contending, among other things, that counsel at his sentencing proceeding was ineffective for failing to (1) specifically elicit testimony from Dr. Toomer about the presence of the two statutory mental health mitigators and (2) have him evaluated by a neuropsychologist for indications of organic brain damage. After holding an evidentiary hearing, which was marked by conflicting expert testimony about the presence, extent, and influence of possible brain damage, the state trial court rejected the claims of ineffective assistance of counsel on the merits.
The Florida Supreme Court affirmed the denial of post-conviction relief, concluding that Hitchcock was not prejudiced by his counsel’s failure to ask Dr. Toomer for his ultimate opinion about the applicability of the statutory mental health miti-gators in light of “the extensive mitigation that was presented” at resentencing, including Dr. Toomer’s testimony that Hitchcock was experiencing the effects of borderline personality disorder at the time of the offense, and “the extremely weighty
Hitchcock filed his current federal habe-as petition in October 2008, reiterating his claims challenging his 1996 death sentence. The district court denied the § 2254 petition but granted Hitchcock a certificate of appealability (COA) on his claim that evidence of the prosecution’s plea offer was improperly excluded during his last resen-tencing proceeding. We later expanded the COA to include Hitchcock’s two claims of ineffective assistance of resentencing counsel.
II.
We review de novo the denial of a federal habeas petition. Jamerson v. Sec’y for Dep’t of Corr.,
A.
Hitchcock contends that he was deprived of his constitutional right to present relevant mitigating evidence at his 1996 resentencing when the state trial court excluded from evidence and refused to consider the State’s pretrial offer to recommend a life sentence in return for a guilty plea. Hitchcock insists that the plea offer, which he rejected, is relevant because it shows that the prosecution believed that a death sentence was not warranted in his case.
The Supreme Court has held that “the Eighth and Fourteenth Amendments require that the sentencer, in all but the rarest kind of capital cases, not be precluded from considering, as a mitigating factor, any aspect of a defendant’s character or record and any of the circumstances of the offense that the defendant proffers as a basis for a sentence less than death.” Lockett,
This constitutional rule, and its associated limitation, reflects “the principle that punishment should be directly related to the personal culpability of the criminal defendant.” Penry v. Lynaugh,
Although the mitigating circumstances standard is a broad one, it is not without boundaries. As Justice O’Connor pointed out in Franklin v. Lynaugh, “[n]othing in Lockett or Eddings requires that the sentencing authority be permitted to give effect to evidence beyond the extent to which it is relevant to the defendant’s character or background or the circumstances of the offense.”
The Sixth Circuit’s recent en banc decision in United States v. Gabrion provides a helpful analogy. See
By contrast, the Supreme Court has held that a defendant has no constitutional right to present evidence of his innocence at sentencing because it sheds no light on his character, record, or the “manner in which he committed the crime for which he has been convicted.” Oregon v. Guzek,
The fact that Hitchcock would not have received a death sentence if only he had accepted the plea offer has as little or nothing to do with his character, record, or the circumstances of the offense, and is as devoid of any moral significance as the fact that Gabrion would not have faced a death sentence if only he had murdered the victim in a different location. Just as “mitigation under the Eighth Amendment is not a matter of geographic coordinates,” Gabrion,
The Supreme Court has never held that a prosecutor’s offer to take the death penalty off the table in return for a guilty plea is a mitigating circumstance. And all but one of the courts to have decided the issue have held that failed plea negotiations and rejected plea offers are not mitigating circumstances because they have no bearing on a defendant’s character or record or the circumstances of the offense. See Owens v. Guido,
We agree with the seven courts (we make it eight) on the majority side of this issue and not with the Ninth Circuit, which is a minority of one. Evidence of a rejected plea offer for a lesser sentence, like evidence of innocence or evidence of the geographical location of the crime, is not a mitigating circumstance because it sheds no light on a defendant’s character, background, or the circumstances of his crime. Such a plea offer does not by itself show that the prosecutor believed the defendant did not deserve the death penalty.
Even if one could somehow infer from a plea offer that a particular prosecutor’s personal views were that the defendant did not deserve a death sentence as much as other murderers did, or even at all, that personal belief would not be admissible or relevant evidence. We have held that it is misconduct for a prosecutor to tell the jury that he personally believes the defendant deserves a death sentence. See Brooks v. Kemp,
To the extent Hitchcock’s argument is that his rejection of the plea offer is relevant to the question of whether he is innocent of the crime because it shows that he was willing to face death rather than admit guilt, the Supreme Court has expressly rejected the notion that evidence of a defendant’s innocence, or of residual doubt about his guilt, is constitutionally relevant at sentencing. See Guzek,
For what it is worth, we also note that a constitutional rule requiring the admission of rejected plea offers as mitigating evidence in capital cases could have the pernicious effect of discouraging prosecutors from extending plea offers in the first place, lest those offers come back to haunt them at sentencing. See Wright v. Bell,
For these reasons, we hold that the Constitution does not mandate the admission of rejected plea offers as relevant mitigating evidence at sentencing. As a result, whether the issue is reviewed de novo or under AEDPA’s deferential standards, Hitchcock is not entitled to federal habeas relief on his Eighth Amendment claim. This is the same type of dual holding that the Supreme Court reached in Knowles v. Mirzayance,
Hitchcock also contends that his lawyer during his latest resentencing proceeding was ineffective for failing to elicit testimony from defense expert Dr. Toomer about the applicability of the two statutory mental health mitigating factors, and for failing to seek a neuropsychological evaluation and present evidence of possible brain damage. A petitioner asserting a claim of ineffective assistance of counsel must demonstrate both deficient performance аnd prejudice — that counsel’s performance “fell below an objective standard of reasonableness” and that “there is a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different.” Strickland v. Washington,
The Florida Supreme Court held that, even assuming deficient performance in counsel’s failure to specifically ask Dr. Toomer whether either of the two statutory mental health mitigators applied, Hitchcock was not prejudiced “in fight of the extensive mitigation that was presented [at resentencing] and the extremely weighty aggravators proven in this case.” Hitchcock,
As to the second of Hitchcock’s ineffective assistance claims, the Florida Supreme Court found that he had failed to establish either deficient performance or prejudice in regard to counsel’s failure to have Hitchcock examined by a neuropsy-chologist for indications of brain damage. Hitchcock,
III.
For these reasons, we affirm the district court’s denial of Hitchcock’s § 2254 petition for a writ of habeas corpus.
AFFIRMED.
Notes
. The concurring opinion cautions against adopting a per se rule that prior plea negotiations are irrelevant for sentencing purposes for fear of "sending a signal to state courts that consideration of the evidence is prohibited.” We wholeheartedly agree that we have no authority to decree what evidence state courts may or may not consider at the sentencing phase of a capital trial. But, contrary to the conсurrence’s suggestion, we neither hold nor imply that the Constitution forbids states from allowing defendants to introduce evidence of plea offers at sentencing. We hold only that the Constitution does not require states to do so.
The concurrence also proclaims that our holding "turns the traditional concepts of relevance and admissibility on their heads by assuming that if we have not deemed a specific type of evidence relevant and admissible, it is not.” Our conclusion that the Eighth Amendment does not mandate the admission and consideration of rejected plea offers as relevant mitigating circumstances is not based on the fact that neither we nor the Supreme Court has ever deemed them relevant and admissible. It is based on the fact that rejected plea offers have no bearing on a defendant’s character, background, or the circumstances of the offense, which means that the Constitution does not compel their admission at sentencing.
. We are not, as the concurrence implies, deciding the question of constitutional relevance based on the potentially adverse consequences of permitting evidence of rejected plea offers in the penalty phase of a capital trial. Instead, having concluded that rejected plea offers are not constitutionally relevant under the standards crafted by the Supreme Court,-we are simply noting (as we say “For what it is worth ...”) that the admission of rejected plea offers could discourage prosecutors from extending plea offers in the first place.
. The concurring opinion insists that our holding on the merits of this issue is dicta insofar as it goes beyond the question of what the result should be applying AEDPA deference. That opinion's theory, with which we
Concurrence Opinion
concurring in judgment:
With respect to Hitchcock’s Eighth Amendment claim, I agree that the trial court did not violate clearly established federal law when it rejected this evidence as irrelevant to mitigation in these circumstances. However, I write separately to emphasize that under current Supreme Court precedent, contrary to the Majority’s implication, such evidence is not per se irrelevant, and the Florida Supreme Court would not necessarily have erred had it found the evidence relevant under that precedent. Our holding today should not be taken to suggest that state courts may forego either a standard state-law relevance analysis or an analysis under Lock-
Hitchcock’s strongest argument is that the plea negotiations are relevant mitigation evidence because the fact that an offer was made implies that the prosecutor did not initially believe Hitchcock deserved to die, from which a jury could draw a variety of inferences about Hitchcock, the circumstances of his offense, and whether he deserves a penalty less than death. Hitchcock insists that the state cannot bar relevant mitigating evidence from being considered during the penalty phase as a matter of federal law. The Supreme Court has emphasized, including in precedent from this case, the need to admit relevant mitigating evidence into penalty proceеdings in capital cases. See Lockett v. Ohio,
The Supreme Court’s emphasis on considering all relevant evidence as a matter of federal, constitutional law is an additional protection requiring states to be at least as generous in admitting mitigation evidence relating to a defendant’s character, the record, and any of the circumstances of the offense as they would be in admitting mitigation evidence under their own rules. A rule that something is per se irrelevant — based in part on the fact that we have never deemed it relevant before— risks sending a signal to state courts that consideration of the evidence is prohibited.
Therefore, while prior plea negotiations may not bear directly on а defendant’s character, criminal record, or the circumstances of his offense, they may support inferences about one or more of those factors. Indeed, the Ninth Circuit held, in a capital case, that a “plea offer’s mitigatory effect is clear: the prosecution thought this was not a clear-cut death penalty case.” Scott v. Schriro,
Further, the Majority’s concern that allowing evidence of plea bargain offers at sentencing would discourage plea offers is outside the scope of our analysis. Given that a negotiated plea bargain saves a state from preparing for and trying a case entirely, it stretches logic to worry that prosecutors would stop offering plea bargains because, when such offers are denied, they may be admissible еvidence in a subsequent sentencing. At worst, the evi
Our decision is necessarily limited to whether or not the Florida Supreme Court’s decision “was contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court.”
The Majority suggests that we have the authority to announce a dual holding — one under the applicable standard of review, and one under a clearly inapplicable standard of review. As a logical matter, it is of course true that “a habeas petitioner will not be entitled to a writ of habeas corpus if his or her claim is rejected on de novo review.” Berghuis v. Thompkins,
Where a dual holding does not obviate the need to answer an otherwise essential question to the case, however, the de novo
Of course, even where it is clear that AEDPA deference applies, we may add dicta suggesting how we would decide the case were we to address it de novo. So, the fact that “we have employed this approach even when it was clear that the deference afforded by [AEDPA] applied,” Reese v. Sec’y, Fla. Dep’t of Corr.,
Accordingly, the Majority’s elaboration about how it would have treated this evidence were it to have de novo review is dicta, to which I would add that plea negotiations may be relevant under clearly established precedent in two ways — either if state rules deem them relevant or if, in a different situation, such evidence bears more clearly on a relevant mitigation factor. See, e.g., Guida,
. In analyzing Hitchcock's claim the second time, the Florida Supreme Court concluded that testimony about the plea offer was irrelevant because it had no bearing on Hitchcock’s "chаracter or prior record or to the circumstances of the crime.” Hitchcock v. State,
. While the Majority emphasizes that it is "on the majority side of this issue and not with the Ninth Circuit,” we have not avoided deciding cases contrary to the majority of our sister circuits that have decided an issue. See, e.g., Powell v. Barrett,
. For example, the district court noted the case of Owens v. Guida,
. In Wright v. Bell, cited by the Majority, the Sixth Circuit reaffirmed its holding in Owens that the United States Constitution does not require the admission of failed plea negotiations as relevant mitigation evidence.
. It appears that the first time the Florida Supreme Court was presented with Hitchcock’s claim, it construed it as a vindictive prosecution claim and concluded that there was no evidence that the judge imposed the death penalty because Hitchcock did not agree to take a guilty plea. Hitchcock,
. The Majority claims that calling its alternative holding dicta ignores well-established law that an alternative holding is binding precedent. But, we have said that “judicial decisions cannot make law beyond the facts of the cases in which those decisions are announced.” Pretka v. Kolter City Plaza II, Inc.,
