Jed R. MIDDLETON v. STATE of Maine
Docket No. Sag-14-260
Supreme Judicial Court of Maine
Dec. 24, 2015
2015 ME 164
[¶13] We review the court‘s best interest finding “for an abuse of discretion, viewing the facts, and the weight to be given them, through the trial court‘s lens.” In re L.D., 2015 ME 123, ¶ 14, 123 A.3d 990 (quotation marks omitted). The court did not abuse its discretion here given its supported findings concerning J.V.‘s need for permanency after a total of three years in foster care, the opportunity for adoption, the child‘s wishes, and the GAL‘s recommendation. See In re A.H., 2013 ME 85, ¶ 16, 77 A.3d 1012; In re Thomas H., 2005 ME 123, ¶ 33, 889 A.2d 297 (“In the lives of pre-adolescent children ... more than two years[] is an eternity.“).
The entry is:
Judgment affirmed.
Geoffrey A. Rushlau, District Attorney, and Patricia A. Mador, Asst. Dist. Atty. (orally), Office of the District Attorney, Bath, for appellee State of Maine.
Panel: SAUFLEY, C.J., and ALEXANDER, MEAD, GORMAN, JABAR, and HJELM, JJ.
HJELM, J.
[¶1] In 2010, after a jury trial, Jed R. Middleton was convicted in the Superior Court (Sagadahoc County, Horton, J.) of one count of gross sexual assault and fifteen counts of unlawful sexual contact. He later filed a petition for post-conviction review alleging that he was deprived of his constitutional right to effective assistance of counsel. Middleton claimed in part that trial counsel was ineffective by failing to seek a continuance of the sentencing hearing when Middleton was allegedly incompetent or, if he was competent, unable to exercise his right of allocution due to his emotional state. After a hearing, the court (Horton, J.) concluded that Middleton had not proved a constitutional deprivation and denied his petition. On this appeal, we affirm the judgment.
I. BACKGROUND
[¶2] In its judgment, the post-conviction court made the following findings of fact, which are based on competent evidence in the record. See Heon v. State, 2007 ME 131, ¶ 5, 931 A.2d 1068.
[¶3] In January 2010 Middleton was indicted for one count of gross sexual assault (Class A),
[¶4] Following trial, the court continued sentencing pending a psychological evaluation conducted by the State Forensic Service. The resulting report was filed, and in September 2010 the court held a sentencing hearing. At the hearing, Attorney Lawson-Stopps told the court that Middleton was “not in any emotional condition ... to even be able to address the [c]ourt.” Attorney Lawson-Stopps did not
[¶5] The court then sentenced Middleton on the charge of gross sexual assault to a prison term of twenty years, with all but eleven years suspended, and six years of probation. On each of the charges of unlawful sexual contact, the court imposed concurrent sentences of five years to be served concurrently with the twenty-year sentence. After pronouncing sentence, the court asked Middleton if he understood, and Middleton responded, “No, ... I don‘t understand a thing.” Expressing appropriate concern about this response, the court recessed the hearing to allow Attorney Lawson-Stopps to consult with Middleton. Immediately after the recess, Attorney Lawson-Stopps assured the court that Middleton understood the sentence.3 Middleton, who was present with Attorney Lawson-Stopps, did not express disagreement with that statement. The court then concluded the hearing.
[¶6] After the judgment of conviction was entered, Middleton filed a motion for new trial, see
[¶7] Soon before the statutory deadline, in October 2012, Middleton filed a petition for post-conviction review, see
[¶8] After holding a hearing in December 2013, the court issued a written decision denying Middleton‘s petition. Addressing the claims that focused on the sentencing hearing, the court credited Attorney Lawson-Stopps‘s testimony that although Middleton was emotional and anxious, he never believed at any time during the course of his representation that Middleton was incompetent. The court rejected contrary views expressed by Mid-
[¶9] Pursuant to
II. DISCUSSION
[¶10] The sole question presented for review is whether the post-conviction court erred by concluding that Middleton was not deprived of effective assistance of counsel when Attorney Lawson-Stopps did not seek a continuance of the sentencing hearing, at which Middleton was so “overwhelmed emotionally and confused” that he could not address the court on his own behalf. Although Middleton‘s arguments implicate issues of competence and allocution, his ultimate claim is ineffective assistance of counsel. We must therefore consider the former issues through the lens of Middleton‘s ineffectiveness claim and focus on Lawson-Stopps‘s decisions rather than the issues of competence and allocution in isolation.
[¶11] “In appeals from judgments issued in post-conviction proceedings, we review questions of law de novo and apply a deferential standard of review to factual findings.” Theriault v. State, 2015 ME 137, ¶ 12, 125 A.3d 1163. Because Middleton had the burden of proof on his ineffectiveness claim, he must demonstrate on this appeal that the evidence compels a contrary conclusion. See Heon, 2007 ME 131, ¶ 8, 931 A.2d 1068.
[¶12] A criminal defendant is constitutionally “entitled to effective assistance of counsel during the sentencing process.” Francis v. State, 2007 ME 148, ¶ 4, 938 A.2d 10 (quotation marks omitted); see
[¶13] Judicial inquiry into the effectiveness of representation is “highly deferential.” Id. at 689, 104 S.Ct. 2052. The post-conviction court must make every effort ... to eliminate the distorting effects of hindsight, to reconstruct the circumstances of counsel‘s challenged conduct, and to evaluate the conduct from counsel‘s perspective at the time. Because of the difficulties inherent in making the evaluation, a court must indulge a strong presumption that counsel‘s conduct falls within the wide range of reasonable professional assistance; that is, the defendant must overcome the presumption that, under the circumstances, the challenged action might be considered sound trial strategy. Id. (quotation marks omitted). Applying this deferential standard, we consider in turn Middleton‘s arguments that Attorney Lawson-Stopps unreasonably infringed on Middleton‘s right to (1) be free from prosecution while legally incompetent, and (2) speak on his own behalf before the court imposed sentence.
A. Competency at Sentencing
[¶14] Middleton first argues that the evidence compelled the post-conviction court to find that Attorney Lawson-Stopps acted unreasonably by failing to request a continuance of sentencing to allow for a competency evaluation.
[¶15] To sentence a criminal defendant while he is incompetent is a deprivation of his right to be heard and therefore is a violation of his constitutional right to due process. Haraden v. State, 2011 ME 113, ¶ 7, 32 A.3d 448. A defense attorney has the initial responsibility to alert a court to a defendant‘s possible incompetence. State v. Dyer, 371 A.2d 1079, 1086 (Me.1977). A defendant is competent to be sentenced if he is “capable of understanding the nature and object of the charges against him, comprehending his own condition in reference thereto, and cooperating with counsel to conduct a defense in a rational and reasonable manner.” Haraden, 2011 ME 113, ¶ 7, 32 A.3d 448 (quotation marks omitted). A defendant who is emotional during sentencing may still be legally competent. Cf. State v. Nickerson, 2013 ME 45, ¶ 9, 66 A.3d 568.
[¶16] Here, the evidence supports the court‘s affirmative finding that Attorney Lawson-Stopps—who the court described as having considerable criminal defense experience—never noticed behavior at any time during the course of the representation, including at sentencing, that caused him to believe that Middleton was incompetent. The court further found that although Middleton was “overwhelmed emotionally and confused” at the sentencing hearing, this condition did not constitute a lack of competence. These findings are supported by the court‘s direct observations of Middleton, the presentence psychological report, Attorney Lawson-Stopps‘s testimony, and, inferentially, the testimony of Middleton‘s character witnesses, none of whom questioned Middleton‘s competence.
[¶17] Accordingly, the court did not err by rejecting Middleton‘s ineffectiveness claim based on his failure to prove that he was in fact incompetent or that Attorney Lawson-Stopps was on notice of any suggestion of incompetency.
B. Right of Allocution
[¶18] We next consider Middleton‘s alternate contention that Attorney Lawson-Stopps‘s failure to seek a continuance at sentencing unreasonably deprived Middle-
[¶19] “The right of allocution allows a defendant to personally address the court before sentencing in an attempt to mitigate punishment.” United States v. Barnes, 948 F.2d 325, 328 (7th Cir.1991); see also Allocution, Black‘s Law Dictionary (10th ed. 2014) (defining allocution as a defendant‘s “unsworn statement ... to the sentencing judge or jury in which the defendant can ask for mercy, explain his or her conduct, apologize for the crime, or say anything else in an effort to lessen the impending sentence“); Kimberly A. Thomas, Beyond Mitigation: Towards a Theory of Allocution, 75 Fordham L. Rev. 2641, 2643-44 (2007) (arguing that the purposes of allocution include sentence mitigation and humanization of the defendant).
[¶20] Here, in concluding that Attorney Lawson-Stopps made a reasonable strategic decision to proceed with sentencing notwithstanding Middleton‘s emotional and confused state, the post-conviction court explained,
What [Middleton] would have said at sentencing is not of record. Defense counsel usually and appropriately recommend that defendants not speak when being sentenced unless what they intend to say will benefit them. If [Middleton] was indeed too overwhelmed with emotion to speak before being sentenced, that may have been a good thing.
[¶21] Although this reasoning suggests a finding that Middleton was not prejudiced by Attorney Lawson-Stopps‘s decision to proceed with sentencing, it also is tantamount to a determination that Attorney Lawson-Stopps‘s conduct fell within the “wide range” of practice and decisions that are within the scope of “reasonable professional assistance.” Strickland, 466 U.S. at 689, 104 S.Ct. 2052. Because Middleton did not move for further findings of fact, we infer that the court found the facts necessary to support this conclusion. See State v. Dodd, 503 A.2d 1302, 1307 (Me.1986) (stating that if there is no request for findings of fact pursuant to
[¶22] A defendant‘s protestation of innocence can signify an affirmative refusal to accept responsibility or express remorse, which the court is entitled to treat as an aggravating factor at sentencing. See
[¶24] Middleton further argues that irrespective of whether his allocution statement might have prompted the court to impose greater sentences, Attorney Lawson-Stopps‘s failure to ensure Middleton‘s opportunity to address the court was inherently unreasonable because the right of allocution is constitutional in magnitude and “personal” to him. This argument fails for two reasons.
[¶25] First, it is not at all clear that the opportunity to allocute has constitutional roots. In Hill v. United States, 368 U.S. 424, 425-28, 82 S.Ct. 468, 7 L.Ed.2d 417 (1962), the United States Supreme Court held that a sentencing court‘s failure to provide a criminal defendant with the opportunity to address the court personally at sentencing, though a violation of the Federal Rules of Criminal Procedure, see
[¶26] We have been more explicit in our discussion of Maine constitutional jurisprudence, stating in dictum that “no provision in the constitution ... in this state ... creates” a right of allocution. Brine v. State, 160 Me. 401, 403, 205 A.2d 12, 13 (1964).9 In a more recent case, we discussed allocution as it relates to
[¶27] Second, even if Middleton‘s right of allocution is constitutional, representation by counsel that results in the forfeiture of a constitutional right does not inevitably lead to the conclusion that the representation was ineffective. Ayotte v. State, 2015 ME 158, ¶ 25, 129 A.3d 285 (“In some circumstances, the decisions of counsel that result in a forfeiture of an accused‘s constitutional rights are not tantamount to ineffectiveness.“);11 see also Roberts, 2014 ME 125, ¶ 27, 103 A.3d 1031. In Roberts, for example, we affirmed the trial court‘s finding of effective representation even though counsel requested that portions of jury selection be conducted in chambers, thereby intruding into the accused‘s Sixth Amendment right to a public trial, because that process promoted the goal of obtaining a fair and impartial jury and therefore was in the accused‘s best interests. 2014 ME 125, ¶ 27, 103 A.3d 1031. We reasoned that although “criminal defendants are entitled to competent representation, the Constitution does not ensure that defense counsel will recognize and raise every conceivable constitutional claim ... particularly [when] ... pressing a constitutional claim is unlikely to further the interests of the accused.” Id. (alteration omitted) (emphasis added) (quotation marks omitted). Here, even though Middleton was unable to personally address the court in allocution, the court did not err by finding that Attorney Lawson-Stopps‘s decision to proceed with sentencing was objectively reasonable, because a continuance might have allowed Middleton at a later date to make a statement harmful to his liberty interests.
[¶28] Therefore, we conclude that the evidence did not compel the court to find that Middleton was deprived of constitutionally effective assistance when Attorney Lawson-Stopps proceeded with, rather than seeking to continue, the sentencing hearing notwithstanding Middleton‘s confused and emotional state.12
The entry is:
Judgment affirmed.
Notes
Before imposing sentence on a Class C or higher crime, the court shall address the defendant personally and inquire if the defendant desires to be heard prior to the imposition of a sentence.... The defendant may be heard personally or by counsel or both. Failure of the court to so address the defendant shall not affect the legality of the sentence unless the defendant shows that he or she has been prejudiced thereby.
