Lead Opinion
Opinion by Judge N.R. SMITH; Partial Concurrence and Partial Dissent by Judge WARDLAW.
OPINION
Petitioner James Erin McKinney, an Arizona state prisoner, appeals the district court’s denial of his 28 U.S.C. § 2254 habe-as corpus petition. The Arizona state court sentenced McKinney to death on each of two counts of first-degree murder for the 1991 killings of Christene Mertens and Jim McClain. We affirm the district court.
In this opinion we address three claims raised in McKinney’s petition: (1) the trial court’s use of dual juries at trial; (2) the trial court’s use of a leg brace as a security measure during trial; and (3) whether the sentencing judge properly considered all mitigating evidence under Lockett v. Ohio,
FACTS AND PROCEDURAL HISTORY
A. Background
On February 28, 1991, McKinney and his half brother, co-defendant Michael
At the time, Defendants had learned from Morris and Lemon that Christene Mertens supposedly kept thousands of dollars in an orange juice container in her refrigerator. Therefore, Defendants and Morris and Lemon intended to burglarize Mertens’s home on the first night of the burglary spree. However, Mertens came home and scared the would-be burglars away. As a result, the four of them chose a different house to burglarize, but obtained nothing of value from the burglary.
The next night, McKinney, Hedlund, and Morris committed two more burglaries. Lemon was not involved. McKinney and Morris stole a .22 revolver, twelve dollars, some wheat pennies, a tool apron, and a Rolex watch—splitting the “proceeds” with Hedlund after the crimes. When the homeowner returned home during the third burglary, McKinney and Morris ran away, leaving the homeowner unharmed. However, after the burglary, McKinney remarked that he and Morris “should have stayed and [McKinney] would have shot [the homeowner].”
On March 9, 1991, McKinney and Hed-lund returned to the Mertens home for the fourth burglary. When they entered the residence, Defendants found Mertens home alone and attacked her. After the attack Mertens had both gunshot and stab wounds. However, the medical examiner certified the cause of death as “a penetrating contact gunshot wound to the head.” Defendants ransacked the house and stole $120 in cash.
Defendants committed the fifth burglary and second murder at the home of Jim McClain on March 22, 1991. Defendants knew McClain, because Hedlund had bought a car from him about six months before the murder. McClain’s house was ransacked during the course of the burglary, and he was shot in the back of the head while sleeping. Defendants stole a pocket watch, three handguns, and McClain’s car. Defendants later tried to sell the stolen guns.
McKinney was tried on two counts of first degree murder, two counts of burglary, one count of theft, and one count of attempted theft. The trial court tried Defendants together, but empaneled separate juries to decide the guilt of each Defendant. The trial court required both Defendants to wear a leg brace as a security measure throughout the trial. McKinney’s jury found him guilty of all charges, except the attempted theft charge. The trial judge sentenced McKinney to death on each first degree murder conviction. State v. McKinney,
B. Post-conviction proceedings
The Arizona Supreme Court upheld McKinney’s convictions and sentence on direct appeal. McKinney,
McKinney thereafter challenged his convictions and sentence in post-conviction
Thereafter, McKinney raised 26 claims in his petition for writ of habeas corpus to the U.S. District Court for the District of Arizona. The district court denied relief on a number of these claims in 2006 and on the remaining claims in 2009. In its order denying relief, the district court granted a certificate of appealability (“COA”) on the issues of whether the trial court’s use of dual juries or a leg brace violated McKinney’s rights. The district court denied a COA on the remaining issues.
STANDARD OF REVIEW
“We review de novo the district court’s decision to grant or deny a petition for a writ of habeas corpus.” Rhoades v. Henry,
The Antiterrorism and Effective Death Penalty Act of 1996 (“AEDPA”) governs this case. See Lindh v. Murphy,
Federal habeas relief may not be granted for claims subject to § 2254(d) unless it is shown that the earlier state court’s decision was contrary to federal law then clearly established in the holdings of [the Supreme] Court, § 2254(d)(1); or that it involved an unreasonable application of such law, § 2254(d)(1); or that it was based on an unreasonable determination of the facts in light of the record before the state court, § 2254(d)(2).
Harrington v. Richter, — U.S.-,
The “only definitive source of clearly established federal law under AEDPA is the holdings (as opposed to the dicta) of the Supreme Court as of the time of the state court decision.” Clark v. Murphy,
In cases where a petitioner identifies clearly established federal law and challenges the state court’s application of that law, our task under AEDPA is not to decide whether a state court decision applied the law correctly. See id. at 785. Rather, we must decide whether the state court decision applied the law reasonably. See id. (“ ‘[A]n unreasonable application of federal law is different from an incorrect application of federal law.’ ” (quoting Williams v. Taylor,
DISCUSSION
I. Dual Juries Claims
McKinney raises a number of claims based on the trial court’s use of dual juries. However, McKinney exhausted
A. Background and procedural history
Before trial, Hedlund moved to sever his case from McKinney’s, and the State did not oppose the motion. The trial court initially granted the motion to sever. The trial court later asked the parties for briefing on the idea of using dual juries.
Thereafter, the trial court held a hearing on the use of dual juries. The State opposed the practice based on a perceived state procedural obstacle set forth in State v. Lambright,
The trial court concluded that the use of the dual juries would not impede Defendants’ right to fair trial, and found no inherent prejudice in the use of dual juries. At trial, both Defendants’ juries were present in the courtroom, except during “the reading of charges, opening statements, closing arguments, and testimony related to a particular defendant’s inculpa-tory statements.” Both before and during trial, the trial court reminded counsel to preserve the integrity of the dual jury procedure and to avoid eliciting testimony non-admissible against the other codefen-dant under Bruton.
Before trial, McKinney challenged the use of dual juries in a special action to the Arizona Court of Appeals. See Hedlund,
On direct appeal of his conviction and sentence, McKinney claimed that the dual juries caused the courtroom layout “with Defendants facing the jurors, [to be] intimidating and resulted in fundamental error requiring reversal.” McKinney,
McKinney raised the “courtroom layout” issue again in his PCR Petition. The State PCR Court rejected McKinney’s argument that the courtroom layout “tainted” the proceedings. McKinney also argued in the PCR Petition that the use of the dual juries violated his “right to a fundamentally fair trial” for a number of other reasons. However, McKinney did not invoke the U.S. Constitution, nor did he cite to any state or federal cases.
McKinney raised the same “courtroom layout” claim in his federal habeas petition. McKinney also made a number of other arguments that the use of the dual juries prejudiced his right to a fair trial. The federal district court addressed each sub-part of McKinney’s dual juries claim. Of those, the district court concluded that only McKinney’s “courtroom layout” claim was even “arguably exhausted in state court.” Despite this conclusion, however, the district court rejected all of McKinney’s arguments on the merits.
B. “Courtroom layout” claim
McKinney exhausted his “courtroom layout” claim. “To exhaust his Arizona remedies, [a petitioner must] give the Arizona courts a fair opportunity to act on his federal due process claim before presenting it to the federal courts.” Castillo v. McFadden,
McKinney set forth the “federal legal theory” underlying his prejudicial courtroom layout claim in his opening brief to the Arizona Supreme Court. McKinney claimed: “The bizarre and prejudicial seating arrangement deprived the appellant of due process under the Arizona and Federal Constitutions.” The briefs table of contents also cites the page containing that sentence under its entry for the “Fifth Amendment.” Taken together, the argu
Turning to the merits of McKinney’s “courtroom layout” claim, we must determine whether the Arizona Supreme Court’s decision rejecting this claim was contrary to, or an unreasonable application of, clearly established federal law. We conclude that it was not. McKinney cites no Supreme Court case, and our search reveals no case, that would provide the basis for relief under § 2254(d)(1). Accordingly, we echo the Arizona Supreme Court’s McKinney opinion, which held: “McKinney has not demonstrated any prejudice and provides no authority for his argument that there is a constitutional right to a standard American courtroom arrangement, and we decline to invent such a right.”
C. McKinney’s “other” dual juries claims
In addition to the “courtroom layout” claim, McKinney makes several arguments in federal court that the use of the dual juries denied him his right to a fair trial. McKinney claims the dual juries prejudiced him, because: (1) Defendants presented antagonistic defenses, which led to prejudicial leading questions, limited cross-examination, and Bruton violations; and (2) the procedure necessitated increased security and the use of a leg brace during trial. The State argues that McKinney procedurally defaulted these claims by failing to fairly present them to the state court. We agree.
1. McKinney failed to exhaust his “other” courtroom layout claims.
McKinney’s Arizona Supreme Court briefing did not set forth the operative facts or federal legal theory for any dual juries claim apart from the “courtroom layout” claim. The same is true of the PCR Petition. While the PCR Petition makes a general appeal to McKinney’s right to “due process” and a “fair trial,” this is insufficient to exhaust. See Castillo,
McKinney argues that his claims were exhausted, because Hedlund raised the claims to the Arizona Supreme Court. However, “[t]he questions raised by [McKinney] involve constitutional privileges which are personal to him, and therefore an appeal by his co-defendant can not exhaust [his] remedies in the state courts.” Williams v. Nelson,
“A claim is procedurally defaulted ‘if the petitioner failed to exhaust state remedies and the court to which the petitioner would be required to present his claims in order to meet the exhaustion requirement would now find the claims procedurally barred.’ ” Beaty,
“Nonetheless, we will review the merits if [McKinney] can show cause and prejudice or, alternatively, a fundamental miscarriage of justice.” Beaty,
II. “Shackling” Claim
McKinney failed to exhaust his “shackling” claim. Because McKinney would now be barred from bringing the claim in state court, Beaty,
A. Background and procedural history
The trial court required both McKinney and Hedlund to wear a leg brace during trial. The trial court rejected Defendants’ numerous objections to the use of the leg braces. The trial court reasoned that the Defendants’ close proximity to jurors and court staff, the violent nature of the crimes, and evidence of McKinney’s previous escape attempt and a subsequent escape plot warranted the extra security measures. The trial court later asked the State to make a specific record of the security concerns. Although McKinney’s motion for a new trial is silent on this issue, Hedlund raised the “shackling” issue at the post-trial phase. Similarly, McKinney did not raise the “shackling” issue to the Arizona Supreme Court on direct appeal. However, Hedlund did raise the claim, which was rejected. See McKinney,
The district court noted that McKinney did not raise the “shackling” issue on di
B. McKinney’s “shackling” claim is proeedurally defaulted.
McKinney’s “shackling” claim is not exhausted, because he failed to raise it to the Arizona Supreme Court or in his PCR Petition. As with the dual jury claims, we reject McKinney’s argument that the claim was exhausted by virtue of Hedlund raising it on direct appeal. See Williams,
This unexhausted claim is now proeedurally barred, because McKinney would be barred from raising it to the state court. Beaty,
III. Lockett!Eddings Claim.
McKinney claims that the trial court did not adequately consider mitigating factors in imposing the death penalty, thereby violating McKinney’s rights under Lockett, Eddings, and their progeny. McKinney argues that the trial court failed to consider mitigation evidence,
A. Background and procedural history
McKinney had a traumatic childhood. At sentencing, the trial court heard evidence from McKinney’s aunt and half-sister of various abuses against McKinney by his father and step-mother. McKinney’s would-be care givers neglected him by forcing him to live in appalling conditions. McKinney did not have adequate clothing or food. McKinney was also frequently beaten and locked out of the house in extreme weather.
The trial court also heard evidence that these abuses led McKinney to develop Post-Traumatic Stress Disorder (“PTSD”). After administering a number of tests, McKinney’s expert, Dr. McMahon, testified that McKinney could be “emotionally overwhelmed by environmental stress and act in poorly-judged ways.” Dr. McMahon concluded that McKinney had “learning disabilities” but tested negative for “significant neuropsychological dysfunction.” Dr. McMahon testified that McKinney began abusing drugs and alcohol to distract him from his environmental stressors. Finally, Dr. McMahon opined that a sudden confrontation by Mertens during the course of the burglary could trigger a violent response from McKinney and that McKinney would have a “high likelihood” of diminished capacity in such an instance.
The trial court credited the testimony establishing McKinney’s “traumatic childhood.” The trial court also accepted, for the purpose of sentencing, Dr. McMahon’s PTSD diagnosis. Nevertheless, the trial concluded:
[AJfter considering all of the mitigating circumstances, the mitigating evidence that was presented by the defense in this ease as against the aggravating circumstances, and other matters which clearly are not set forth in the statute which should be considered by a court, I have determined that given ... the aggravating circumstances which have been proven beyond a reasonable doubt by the State with respect to each of these homicides in Counts I and III have concluded that the mitigating circumstances simply are not sufficiently substantial to call for a leniency under all the facts of this case.
The Arizona Supreme Court rejected McKinney’s argument that the trial court did not adequately take into account McKinney’s abusive childhood and its effects. McKinney,
The federal district court concluded that the Arizona Supreme Court’s decision to uphold the sentence was not contrary to, nor an unreasonable application of, Lock-ett/Eddings.
In Lockett, the Supreme Court held:
[T]he Eighth and Fourteenth Amendments require that the sentencer ... 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....
Given that the imposition of death by public authority is ... profoundly different from all other penalties, ... [the sentencer must be free to give] independent mitigating weight to aspects of the defendant’s character and record and to circumstances of the offense proffered in mitigation....
Later, in Eddings, the Supreme Court applied Lockett in a case where the trial judge found he could not consider in mitigation evidence of the defendant’s family history.
In Tennard v. Dretke, the Supreme Court rejected a “nexus test” that would find mitigating evidence relevant only where it bears a causal nexus to the crime.
In Smith v. Texas, the Court again considered the use of a nexus test to determine whether mitigating evidence is relevant.
We have held that Tennard and Smith are retroactively applicable to decisions such as the Arizona Supreme Court’s 1996 decision in this case. See Schad v. Ryan,
In this case, the Arizona courts did not improperly exclude any of McKinney’s mitigating evidence. Further, the Arizona courts did not employ an unconstitutional nexus test. Thus, the Arizona Supreme Court’s decision to affirm McKinney’s sentence was not contrary to, nor an unreasonable application of, clearly established federal law.
1. All mitigating evidence was considered as required by Eddings.
The Arizona Supreme Court did not violate Eddings when it concluded that the trial court considered all the mitigation evidence before it. The Arizona Supreme Court clearly understood and applied the controlling Supreme Court precedent. See McKinney,
We reject McKinney’s and the dissent’s implication that the Arizona Supreme Court’s decision merely paid lip service to Eddings, and the trial judge did not actually consider the evidence. As an initial matter, the trial court’s certification that it considered all the mitigation evidence is entitled to some weight. See Lopez,
I found it interesting Dr. McMahon also indicated that one of the techniques—or the manifestations of Post-traumatic Stress Syndrome that might be expected were that the individual be depressed, would be withdrawn. It appears to me that defense attempted to demonstrate that in their presentation of mitigating circumstances and that such an individual would expect to avoid contacts which would either exacerbate or recreate the trauma that would bring on this type of stress from childhood. And yet, rather than continue to avoid any of these circumstances after the Mertens homicide, it appears that the same thoughtful, reflective planning went into, then, theburglary of a known target to both the defendant and the co-defendant, Mr. McClain.
Other portions of the sentencing transcript similarly demonstrate the judge’s deliberative process as he considered the PTSD evidence and weighed it against the other evidence presented. This careful analysis of Dr. McMahon’s testimony contradicts McKinney’s and the dissent’s claim that the sentencing judge excluded the evidence, or refused to consider it, as a matter of law.
The dissent selectively quotes passages from the sentencing transcript to argue that the Arizona state courts did not properly consider evidence of PTSD. There are two problems with the dissent’s approach. First, it reads too much into certain passages, notably the sentencing judge’s discussion of the psychological study submitted as Exhibit 3. Contrary to the dissent’s view, nothing in the sentencing judge’s discussion of PTSD shows that he believed it was “irrelevant” as a matter of law. At most, the discussion of PTSD shows that the sentencing judge was equivocal about what effect in mitigation the PTSD diagnosis should have. This strengthens the conclusion that the sentencing judge considered the evidence and did not simply exclude it. However, even if the sentencing judge created some ambiguity in the record by “thinking out loud” as he considered the PTSD evidence, that ambiguity should be cast in favor of the state. See Poyson v. Ryan,
Similarly, the dissent overlooks passages where the sentencing judge clearly stated that he considered “all of the mitigating circumstances.” Contrary to the dissent’s view, we do not fail to take into account the difference between the sentencing judge’s treatment of the PTSD and other mitigation evidence. There is no difference in treatment. The record clearly shows the sentencing judge’s deliberation as he considered each piece of mitigation evidence. Thus, the record as a whole contradicts the dissent’s view that the Arizona state courts rejected the PTSD evidence as a matter of law.
Because the record shows that the sentencing judge considered all the potential mitigation evidence, we reject McKinney’s and the dissent’s reliance on a number of our past cases granting relief. See, e.g., Williams v. Ryan,
The record in this case does not contain the same clear statement of exclusion that appears in those cases, rendering them inapposite. See Schad,
2. The Arizona Supreme Court did not apply an unconstitutional nexus test to McKinney’s mitigating evidence.
As we have previously recognized, state courts are free to consider a nexus to determine the weight to give mitigation evidence. See Schad,
Here, like in Towery, the Arizona Supreme Court concluded that “a difficult family background, including childhood abuse, does not necessarily have substantial mitigating weight absent a showing that it significantly affected or impacted the defendant’s ability to perceive, comprehend, or control his actions.” McKinney,
We reject the dissent’s argument that other Arizona Supreme Court cases applying an unconstitutional nexus test demonstrate that the Arizona Supreme Court “followed suit” in this case. We have formerly rejected the argument that “the Arizona Supreme Court’s historical use of an unconstitutional causal nexus test” creates a presumption of error. See Poyson,
McKinney makes much of the Arizona Supreme Court’s citation to State v. Ross,
We reject this argument, just as we rejected a similar argument in Towery, where the Arizona Supreme Court supported its decision with a citation to Wallace. See Towery,
CONCLUSION
The district court properly denied relief on McKinney’s “courtroom layout” and Lockett/Eddings claims, because the Arizona Supreme Court’s decision denying relief was not contrary to, nor an unreasonable application of, clearly established federal law or based on an unreasonable determination of the facts. The district court also properly denied relief on McKinney’s remaining dual juries and “shackling” claims, because the claims are procedurally defaulted.
AFFIRMED.
Notes
. McKinney raises other uncertified claims on appeal. Because McKinney has not shown that the district court's resolution of the other claims is "debatable amongst jurists of reason,” Miller-El v. Cockrell,
. These facts are drawn substantially from the Arizona Supreme Court's opinion in State v. McKinney,
. The exhaustion doctrine requires a petitioner to provide the state courts with the opportunity to rule on his federal constitutional claims before presenting these claims to a federal habeas court. See King v. Ryan,
. A state prisoner procedurally defaults federal claims if he fails to raise them as federal claims in state court or if, in raising the claims, he fails to comply with applicable state procedural rules. Coleman v. Thompson,
. Contrary to McKinney's argument, the subsequent case, Harris v. Superior Court of the St. of Cal., Los Angeles Cnty.,
. Arizona Rules of Criminal Procedure 32.2(a) and 32.4(a) provide alternate bases for our conclusion that McKinney’s claims would now be barred. Rule 32.2(a)(3) precludes "any claim that could have been brought on direct appeal or in a prior PCR petition.” Henry v. Ryan,
. The only evidence offered to the state court on prejudice were statements from members of Hedlund’s jury. Even if this evidence were probative of the McKinney jury's prejudice, it actually cuts against a prejudice finding. While jurors clearly saw the leg brace, the only jurors interviewed stated that the leg brace had no bearing on their verdict. While not “dispositive” of the prejudice issue, see Holbrook v. Flynn,
. The district court declined to grant a COA on this issue. However, because McKinney exhausted this claim and because we conclude that the district court's resolution of the issue is "debatable amongst jurists of reason,” Miller-El v. Cockrell,
.In addition to evidence of childhood abuse and psychology, McKinney argues that the trial court failed to consider McKinney’s level of participation in the murders. He develops this argument, without citation, in a single sentence: "The trial judge noted there is no proof McKinney killed Ms. Mertens at the Hedlund sentencing but not at Mr. McKinney's sentencing.” Even assuming this properly characterizes the record, the record elsewhere reveals that the judge specifically considered McKinney's level of participation in the crimes at sentencing. The trial court specifically found "substantial participation in the McClain homicide by Mr. McKinney.”
. In Eddings, the sentencing judge made clear, on the record, that he could not consider certain evidence as a matter of law. He stated: "[T]he Court cannot be persuaded entirely by the ... fact that the youth was sixteen years old when this heinous crime was committed. Nor can the Court in following the law, in my opinion, consider the fact of this young man's violent background."
. Other cases pre-dating or contemporaneous with McKinney also demonstrate that the Arizona Supreme Court was well-aware of the Lockett/Eddings line of cases and the requirement that the sentencing court fully consider all mitigating evidence. See, e.g., State v. Towery,
. This obvious deliberation is in sharp contrast to the sentencing court record in Towery. In that case, we upheld the Arizona Supreme Court’s decision to deny relief under Eddings despite some language in the sentencing transcript indicating that mitigating evidence was excluded, or not considered. See
. The dissent argues that the Arizona Supreme Court’s conclusion that the sentencing judge “gave full consideration to” McKinney's PTSD evidence, see McKinney,
As demonstrated above, the record contradicts both arguments. As the dissent acknowledges, "the sentencing judge did quite a bit of talking about PTSD.... ” This discussion demonstrates the sentencing judge’s deliberative process—his weighing of the evidence. There would have been little need to do so much "talking” about the PTSD diagnosis if he planned to exclude it as a matter of law. Further, the record demonstrates that the sentencing judge assumed that the PTSD diagnosis was true. Nothing required the sentencing judge to make a particular finding that the diagnosis was accurate, because the record shows that he was able to adequately weigh the evidence by assuming that it was true.
. We also reject the dissent’s view that the sentencing court (as distinct from the Arizona Supreme Court) impermissibly applied a causal nexus test. As discussed above, the record makes clear that the sentencing court did not exclude any evidence due to a lack of causal nexus to the crime, or for any other reason.
. At least one Arizona Supreme Court case decided after McKinney recognizes that McKinney discussed "weighing” the mitigating evidence, notwithstanding McKinney's citation to Ross. See State v. Greene,
. On December 3, 2012, McKinney filed a "Motion to File Late Supplemental Authorities.” While we see no reason that these authorities could not have been presented in a 28(j) letter, we nevertheless "grant” the motion. However, none of the authorities referenced provide any basis for relief under AED-PA.
Concurrence Opinion
concurring in part and dissenting in part:
Because McKinney failed to exhaust the dual juries and shackling claims, I agree with the majority’s conclusion that denial of relief on these claims must be upheld. However, I disagree with its analysis of McKinney’s Eddings claim
I.
It was well established in 1993, when McKinney was sentenced, that “[j]ust as the State may not by statute preclude the sentencer from considering any mitigating factor, neither may the sentencer refuse to consider, as a matter of law, any relevant mitigating evidence.” Eddings v. Oklahoma,
There is no disputing that this Court’s decision in Eddings requires that in capital cases the sentencer ... not be pre-eluded 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. Equally clear is the corollary rule that the sentencer may not refuse to consider or be precluded from considering any relevant mitigating evidence. These rules are now well established ....
Skipper v. South Carolina,
It was also well established when McKinney was sentenced that Eddings and its progeny require that the sentencer give “independent mitigating weight” to all relevant mitigating evidence. See Eddings,
[A] statute that prevents the sentencer in all capital cases from giving independent mitigating weight to aspects of the defendant’s character and record and to circumstances of the offense proffered in mitigation creates the risk that the death penalty will be imposed in spite of factors which may call for a less severe penalty. When the choice is between life and death, that risk is unacceptable and incompatible with the commands of the Eighth and Fourteenth Amendments.
Lockett v. Ohio,
Finally, the rule announced in Eddings requires that the sentencer actually consider each independent piece of relevant mitigating evidence. See Eddings,
II.
McKinney argued at sentencing that he should not be sentenced to death due to his difficult childhood, alcohol addiction, good behavior while incarcerated, and residual doubt concerning his role in the offenses. In addition, McKinney specifically raised his PTSD diagnosis as a mitigating factor independent of the underlying childhood trauma he suffered and as a factor to be given separate weight at sentencing.
As support for imposition of a noncapital sentence, McKinney presented evidence at sentencing as to what even the sentencing judge found to be an “extraordinary” and “traumatic childhood,” which would be “beyond the comprehension and understanding of most people____” Sentencing Hr’g Tr. at 26, July 23, 1993. McKinney’s sister, Diana McKinney, and aunt, Susan Ses-tate, both testified at length concerning McKinney’s horrific childhood. They testified that McKinney grew up in extreme poverty, living in filth, lacking adequate clothing, and suffering constant physical and emotional abuse, largely at the hands of his stepmother. He and his three siblings shared a single bedroom and were expected to do all of the cleaning and cooking in the home. McKinney consistently arrived at school poorly dressed, dirty, and covered in welts and bruises from beatings he received at home. Unsurprisingly, McKinney ran away repeatedly, appearing at the homes of relatives and friends bearing signs that he had been beaten. The sentencing judge found this testimony credible, determining that as a child McKinney was “abused, beaten, and deprived of the necessary care, clothing, and parental love and affection.”
In addition to enduring a horrific childhood, as an adult McKinney suffered serious psychological problems. At sentencing, Dr. Mickey McMahon, a clinical psychologist, testified to his opinion that McKinney suffered from PTSD, writing in his expert report that McKinney “underwent a massive amount of neglect and abuse during his developmental years which in my opinion was sufficient to create a case of Post-Traumatic Stress Disorder.” Dr. McMahon also described numerous ways in which this disorder could have affected McKinney and impaired his ability to control his behavior on the nights of the murders. Specifically, Dr. McMahon testified that McKinney’s PTSD may have caused him to have a “reflexive” and “emotional” response to any confrontation during the burglary, which could have led to his having “diminished capacity” at the time of the murders. Dr. McMahon concluded by testifying that he had no doubt that McKinney suffered from PTSD. In addition to Dr. McMahon’s testimony that McKinney suffered from PTSD, another doctor testified on McKinney’s behalf concerning his below-average intelligence.
Despite this evidence, the sentencing judge refused to give McKinney’s PTSD diagnosis any weight in mitigation because McKinney failed to show that the PTSD had any direct effect on his crimes. In fact, the sentencing judge declined even to make a finding as to whether McKinney actually suffered from PTSD because he concluded that this was irrelevant to his sentencing decision. The sentencing judge initially discussed McKinney’s PTSD in two sentences, which, although nearly incoherent, express the view that the expert’s PTSD diagnosis was, at a minimum, suspect:
However, in viewing Exhibit 3, which defense introduced and Dr. McMahon acknowledged either reviewing or relying upon, it appeared that in reviewing that exhibit that even those experts who agree that Post-traumatic Stress Syndrome can result from childhood abuse and be a lingering problem of individuals who have been abused, beaten and deprived of the necessary care, clothing, and parental love and affection that Mr. McKinney was—obviously, through the testimony, was deprived of in this case— nevertheless have concluded as Dr. McMahon indicated, there was a cognitive impairment of the defendant. There was no evidence presented of any organic brain damage or disease of the defendant; that in Exhibit 3, it appears at least in the sample of individuals in that case and comparing those individuals with cognitive impairment, with abuse, where there was not psychotic episodes or neurological damage to a defendant, where at least two or three of those things were present, that if only cognitive impairment and abuse were present, if there was nothing significantly significant in the violent offenses expected to be committed by those individuals, the experts found that there was no significant difference between an individual with cognitive impairment who suffered with child abuse with no history of cognitive abuse or those who had only been abused or only had a cognitive deficit.
Sentencing Hr’g Tr. at 27-28, July 23, 1993.
Exhibit 3, to which the sentencing judge refers, is a paper prepared in 1989 by researchers at the New York University School of Medicine, Department of Psychiatry, which attempts to predict which violent delinquents will go on to commit adult aggressive offenses. Dorothy Otnow Lewis, M.D. et al., Toward a Theory of the Genesis of Violence: A Follow-up Study of Delinquents, 28 J. Am. Acad. Child & Adolescent Psychiatry 431 (1989). The paper concludes that “a constellation of interacting clinical and environmental variables is a far better predictor of future violent behavior than is early aggression alone.” Id. at 436. In this passage of the sentencing transcript, the sentencing judge is stating that because there was no evidence that McKinney suffered certain of the clinical variables identified in the paper, i.e. a psychotic episode or neurological damage, there was no correlation between his diagnosis of PTSD and the commission of his crimes. And because the sentencing judge so concluded, he unconstitutionally screened out PTSD as a matter of law, before it could be weighed along with the other mitigating and aggravating factors. Of course, doing so was nonsensical as well, because the study only purports to predict which abused adolescents will become violent adults who commit murder. At this point, McKinney had been convicted of two murders, so he had already committed what the paper describes as “the most serious of crimes.” Id. at 435. The issue for the sentencing judge was not whether McKinney’s crimes were predictable; it was whether the fact that McKinney suffered from PTSD reduced his culpability for the murders—an issue the judge declined to address because his reading of the study caused him to conclude that the PTSD diagnosis was not causally related to McKinney’s crimes.
Having done so, the sentencing judge explicitly declined to make a finding as to whether McKinney actually suffered from PTSD, because he viewed this as irrelevant given the lack of a nexus between the PTSD and McKinney’s crimes:
But, I think more importantly than that, certainly not trying to dispute him as an expert on what all that meant, it appeared to me that Dr. McMahon did not at any time suggest in his testimony nor did I find any credible evidence to suggest that, even if the diagnoses of Post-traumatic Stress Syndrome were accurate in Mr. McKinney’s case, that in any way significantly impaired Mr. McKinney’s conduct.
Sentencing Hr’g Tr. at 28 (emphasis added). If this articulation of an impermissible nexus test were not clear enough, the sentencing judge next confirmed that he excluded the PTSD evidence from his mitigation analysis because there was no evidence linking the PTSD to McKinney’s criminal conduct:
[I]t appeared to me that based upon all these circumstances that there simply was no substantial reason to believe that even if the trauma that Mr. McKinney had suffered in childhood had contributed to an appropriate diagnosis of Post-traumatic Stress Syndrome that it in any way affected his conduct in this case.
Id. at 29. The sentencing judge reaffirmed for a third time that he excluded the PTSD diagnosis from his consideration of whether to sentence McKinney to life or death because he did not believe this evidence had a causal relationship with McKinney’s crimes under Arizona’s death penalty statute:
I’ve determined that even though there may be some evidence by Dr. McMahon that would demonstrate under [Ariz. Rev.Stat. Ann. § 13-751](G)(1) a capacity by the defendant to appreciate the wrongfulness of conduct, it was not significantly impaired, either by the use of drugs, alcohol or the possibility of a diagnosis of Post-traumatic Stress Syndrome.
Id. at 30. There can be no doubt that the sentencing judge disposed of McKinney’s PTSD diagnosis by concluding that its validity was irrelevant because the lack of a nexus between the PTSD and McKinney’s criminal conduct made it nonmitigating as a matter of law. As discussed more fully below, McKinney presented this evidence for two reasons: to suggest that he had diminished capacity on the night of the murders and to demonstrate that he was less culpable for his crimes than someone who did not suffer from PTSD. The sentencing judge addressed the first argument, finding that McKinney’s capacity was not diminished. However, he failed to address whether the PTSD diagnosis had any impact on McKinney’s culpability for his crimes. This serious Eddings/Lockett error violated the Eighth and Fourteenth Amendments.
III.
On direct appeal, the Arizona Supreme Court
First, the Arizona Supreme Court’s opinion repeats the sentencing judge’s un
[T]he record shows that the judge gave full consideration to McKinney’s childhood and the expert testimony regarding the effects of that childhood, specifically the diagnosis of post-traumatic stress disorder (PTSD).
Assuming the diagnoses were correct, the judge found that none of the experts testified to, and none of the evidence showed, that such conditions in any way significantly impaired McKinney’s ability to conform his conduct to the law.
State v. McKinney,
Second, the Arizona Supreme Court’s decision was based on two independent “unreasonable determination[s] of the facts in light of the evidence presented in the State court proceeding.” 28 U.S.C. § 2254(d)(2). Contrary to the court’s bald statements, the sentencing judge never “gave full consideration to” McKinney’s PTSD diagnosis as a possible mitigating factor favoring a life sentence over death. McKinney,
The Arizona Supreme Court’s second unreasonable factual determination concerns the sentencing judge’s refusal to accept McKinney’s PTSD diagnosis for sentencing purposes. While the sentencing judge expressly declined to determine whether McKinney suffered from PTSD on the basis that the question was irrelevant to his sentencing determination, the
While unconstitutional, the Arizona courts’ inconsistent treatment of McKinney’s childhood and PTSD mitigation evidence is explicable as consistent with then-operative Arizona state law. Section 13-751 of the Arizona Revised Statutes sets forth the factors which permissibly may be considered as mitigating under state law. Ariz.Rev.Stat. § 13—751(G)(1). At the time, § 13-751(G)(1) permitted sentencers to give mitigating effect to mental impairments, such as PTSD, only when “[t]he defendant’s capacity to appreciate the wrongfulness of his conduct or to conform his conduct to the requirements of the law was significantly impaired but not so impaired as to constitute a defense to prosecution.” Given the language of this statute, -it is not surprising that both Arizona courts’ decisions track that language when discussing McKinney’s PTSD evidence. Just compare the sentencing judge’s statement that “even if the diagnoses of Post-traumatic Stress Syndrome were accurate in Mr. McKinney’s case, [I do not believe] that in any way significantly impaired Mr. McKinney’s conduct,” and the Arizona Supreme Court’s statement that “none of the evidence showed ... that such conditions in any way significantly impaired McKinney’s ability to conform his conduct to the law,” McKinney,
It was not until 2006, over a decade after McKinney was sentenced, that the Arizona Supreme Court acknowledged that the United States Constitution required it to construe § 13-751(G)(l)’s nexus requirement as useful to only the determination of how much weight to give mitigating evidence—as opposed to excluding it from consideration. See Schad v. Ryan,
IV.
There is no question that McKinney’s PTSD evidence is “relevant mitigating evidence” for constitutional purposes. Eddings,
[Ejvidence about the defendant’s background and character is relevant because of the belief, long held by this society, that defendants who commit criminal acts that are attributable to a disadvantaged background, or to emotional and mental problems, may be less culpable than defendants who have no such excuse.
Penry v. Lynaugh,
We have also specifically held that PTSD evidence is relevant mitigation evidence. See Styers, 547 F.3d at 1035. In Styers, we granted a habeas petition when the Arizona courts refused to consider PTSD mitigation evidence under circumstances virtually identical to those presented here. Styers, convicted of murder, had produced evidence at sentencing that he suffered from PTSD. Id. The Styers sentencing judge refused to consider the evidence on the basis that “two doctors who examined defendant could not connect defendant’s condition to his behavior at the time of the conspiracy and the murder.” Id. (citing State v. Styers, 177 Ariz. 104,
V.
Whether McKinney must also demonstrate actual prejudice for the writ to issue is an unsettled question in the Ninth Circuit. Historically, we have treated Ed-dings errors as structural, granting the writ without inquiring as to the likelihood of a different sentencing result. See, e.g., Williams,
However, even assuming that Ed-dings/Lockett violations are reviewed for “actual prejudice,” I would conclude that the Eddings/Lockett error in this case had a “substantial and injurious effect or influence” upon the sentencer’s decision. Brecht,
[I]f one cannot say, with fair assurance, after pondering all that happened without stripping the erroneous action from the whole, that the judgment was not substantially swayed by the error, it is impossible to conclude that substantial rights were not affected. The inquiry cannot be merely whether there was enough to support the result, apart from the phase affected by the error. It is rather, even so, whether the error itself had substantial influence.
McKinney has argued that he is entitled to a new sentencing proceeding because the sentencing judge’s failure to appropriately consider his PTSD diagnosis resulted in a death sentence when a life sentence was called for based on his lessened culpability. Here, McKinney’s sentence was “substantially swayed” by the sentencing judge’s error. Merolillo,
. The panel majority agrees that we should address McKinney’s uncertified Lockett/Ed-dings claim because the resolution of this issue is “debatable amongst jurists of reason.” Miller-El v. Cockrell,
. As Judge Thomas makes eminently clear in his dissent in Poyson v. Ryan,
. In concluding that the "Arizona Supreme Court did not apply an unconstitutional nexus test to McKinney’s mitigating evidence,” the majority fails to distinguish between Arizona’s unconstitutional treatment of McKinney’s PTSD diagnosis and its permissible treatment of other mitigation evidence. However, we have never held that a state’s permissible treatment of some mitigation evidence can somehow "cure” the unconstitutional treatment of other mitigating evidence. Nor could we have, as Eddings and Lockett make clear that the Eighth and Fourteenth Amendments require that all relevant evidence must be given "independent mitigating weight.” Eddings,
