LLOYD CHASE ALLEN, Petitioner-Appellant, versus SECRETARY, FLORIDA DEPARTMENT OF CORRECTIONS, Walter A. McNeil, Respondent-Appellee.
No. 09-13217
United States Court of Appeals, Eleventh Circuit
July 14, 2010
D. C. Docket No. 03-10077-CV-JIC
[PUBLISH]
FILED U.S. COURT OF APPEALS ELEVENTH CIRCUIT JULY 14, 2010 JOHN LEY CLERK
(July 14, 2010)
Before CARNES, HULL and WILSON, Circuit Judges.
In November of 1991 Dortha Cribbs left her home in Ohio to drive to Florida to sell a trailer and get her vacation home down there ready to sell. Allen v. State, 662 So. 2d 323, 325 (Fla. 1995) (“Allen I”). The year before, Lloyd Allen Chase had escaped from a prison work release program in Kansas and headed east. Id. at 327, 331. Unfortunately for Cribbs, their paths crossed at a truck stop in Atlanta, where they struck up a relationship. Id. at 325–26. Their relationship ended when Allen stabbed Cribbs to death and stole her car in Summerland Key, Florida on November 13, 1991. Id. at 325–27.
Allen was arrested in California three months later and brought back to Florida. During his first meeting with his appointed attorney, Allen set out the terms of their relationship. He said it was going to be “a Frank Sinatra case,” by which he meant they were going to conduct the case the way he wanted. Cf. Frank Sinatra, My Way (Reprise Records 1969). He told the attorney that “from start to finish on my case we [are] going to do it my way; not the way [you] thought or the way [the prosecutors] thought, we will do it my way because it is my case.” In the words of the song that served as his inspiration, Allen “planned each charted course, each careful step along the byway” of the defense, and when done he could
After Allen was sentenced to death, however, he changed his tune. He no longer wants to boast about doing things his way. Instead, he wants to shift the blame for his death sentence to his trial counsel on several grounds, including the fact that counsel followed Allen’s orders not to investigate mitigating circumstances or attempt to put on any evidence of them during the sentence proceedings.
The convictions and sentences occurred in 1993. Over the course of the next fourteen years, they were affirmed, state collateral relief was denied, and the denial of it was affirmed in the Florida courts. See Allen v. State, 957 So. 2d 635 (Fla. 2007) (“Allen III”); Allen v. State, 854 So. 2d 1255 (Fla. 2003) (“Allen II”); Allen I, 662 So. 2d 323; Florida v. Allen, No. 92-30056-CF (Fla. Cir. Ct. Dec. 18, 2001). A recounting of the facts, evidence, and procedural history of the case is contained in those opinions and in the order of the United States District Court for the Southern District of Florida, denying Allen’s petition for a writ of habeas corpus. Allen v. McNeil, No. 03-10077, 2009 WL 856017 (S.D. Fla. Mar. 31, 2009).
After denying Allen’s habeas petition, the district court granted a certificate of appealability as to the Brady and ineffective assistance of counsel issues that Allen had raised in that court.
I. THE LEGAL FRAMEWORK
Under the
“A state court decision is contrary to clearly established federal law if it applies a rule that contradicts the governing law set forth in Supreme Court cases or confronts facts that are materially indistinguishable from a relevant Supreme Court precedent and arrives at a result opposite to the Court’s.” Windom v. Sec’y, Dep’t of Corr., 578 F.3d 1227, 1247 (11th Cir. 2009) (per curiam) (quotation and other marks omitted). A state court decision involves an unreasonable application of clearly established federal law when “it identifies the correct legal rule from Supreme Court case law but unreasonably applies that rule to the facts of the petitioner’s case.” Putman v. Head, 268 F.3d 1223, 1241 (11th Cir. 2001) (citation omitted).
“In cases where an applicant for federal habeas relief is not barred from obtaining an evidentiary hearing by
A district court is not required to hold an evidentiary hearing if the claims “are merely conclusory allegations unsupported by specifics,” Boyd, 592 F.3d at 1305 (quotation marks omitted), or “if the record refutes the applicant’s factual allegations or otherwise precludes habeas relief,” Schriro, 550 U.S. at 474, 127 S.Ct. at 1940. As the Supreme Court has explained, “[b]ecause the deferential standards prescribed by
II. ALLEN’S BRADY CLAIMS
In Brady v. Maryland the Supreme Court held that “the suppression by the prosecution of evidence favorable to an accused . . . violates due process where the evidence is material either to guilt or to punishment.” 373 U.S. 83, 87, 83 S.Ct. 1194, 1196–97 (1963). A Brady violation has three components: “[1] The evidence at issue must be favorable to the accused, either because it is exculpatory, or because it is impeaching; [2] that evidence must have been
Allen’s Brady claims are based on allegations that the State withheld Florida Department of Law Enforcement laboratory reports indicating that: (1) two hairs found in or on Cribbs’ hand did not match Allen’s hair; (2) hair samples taken from Cribbs for comparison purposes were contaminated and could not be tested; and (3) none of the latent fingerprints recovered from Cribbs’ car matched Allen’s prints. The Florida Supreme Court denied Allen’s Brady claims, determining that he was not prejudiced by the withholding of those reports. See Allen II, 854 So. 2d at 1258–60.
Allen nonetheless contends that the Florida Supreme Court’s Brady analysis deserves no deference under AEDPA because it was contrary to, or an unreasonable application of, federal law. Specifically, he asserts that the Florida Supreme Court failed to analyze the cumulative effect of the multiple non-disclosures. Allen emphasizes that in Kyles the United States Supreme Court reversed a decision whose “repeated references dismissing particular items of evidence as immaterial . . . suggest[ed] that cumulative materiality was not the touchstone.” 514 U.S. at 440, 115 S.Ct. at 1569.
The threshold problem with Allen’s contention is that he has not convinced us that any of the undisclosed reports were favorable to the defense at all. If they are not favorable, then there was no suppression of favorable evidence to begin with, and that is the end of the Brady inquiry. Even assuming, however, that one of the reports was favorable to the defense in some useful way, cumulative materiality consideration would still be beside the point unless another report was favorable as well. Adding nothing to any weight does not increase that weight.
In any event, even if we assume that the undisclosed reports somehow would have found their way into evidence at trial and would have helped the
In the motion for post-conviction relief he filed in the state trial court, Allen repeatedly asserted that the touchstone of that court’s analysis should be cumulative materiality. He explained that the proper test is whether the court “can be confident that the jury’s verdict would have been the same,” Kyles, 514 U.S. at 453, 115 S.Ct. at 1575, and argued that he could meet that standard, “particularly in light of the cumulative effect of the other errors described in this pleading.” Later in his motion, Allen told the court that it “must consider the cumulative effect of all the evidence not presented to the jury whether due to trial counsel’s ineffectiveness, the State’s misconduct, or because the evidence is newly discovered.” He cited Kyles again, as well as two cases in which the Florida Supreme Court had assessed prejudice cumulatively. See Swafford v. State, 679 So. 2d 736, 739 (Fla. 1996) (per curiam) (granting an evidentiary hearing to determine the materiality of a new affidavit “when viewed in conjunction” with other evidence); State v. Gunsby, 670 So. 2d 920, 924 (Fla. 1996) (holding that cumulative effect of Brady violations and ineffective assistance undermined confidence in the verdict, and that a new trial was required because there was a reasonable probability of a different outcome).
When the Brady issues reached the Florida Supreme Court, Allen again emphasized that cumulative materiality is the touchstone. He summarized the
The Florida Supreme Court affirmed the state collateral trial court’s denial of Allen’s Brady claims. Allen II, 854 So. 2d at 1258–60. Although the court did not specifically refer to a “cumulative” analysis of materiality, or to the United States Supreme Court’s discussion of that issue in Kyles, our deference to state court decisions does not depend on the use of keywords. The usual “presumption that state courts know and follow the law” is even stronger in the AEDPA context because
With that presumption in mind, we have no problem finding that the Florida Supreme Court followed the applicable rule of law. For starters, the court did not disagree with the parties’ joint understanding, as indicated in their briefs, that Brady prejudice or materiality, where there are multiple instances of favorable evidence being suppressed, must be assessed cumulatively. See Cone, 543 U.S. at 457 n.7, 125 S.Ct. at 854 n.7 (interpreting a state supreme court decision in light of the cases cited and discussed by the parties in their state court briefs).
The Florida Supreme Court also stated the correct, overall standard for assessing Brady prejudice. Allen II, 854 So. 2d at 1260 (“Evidence is material ‘if there is a reasonable probability that, had the evidence been disclosed to the
We see no “affirmative indication,” Cone, 543 U.S. at 456, 125 S.Ct. at 853, that the Florida Supreme Court declined to follow its own decisions that recognize Brady materiality analysis must be conducted in a cumulative fashion. Allen argues that an affirmative indication of the court’s failure to follow its own precedent can be found in its item-by-item analysis of materiality. The existence of item-by-item analysis, however, is not inconsistent with a cumulative analysis. “Indeed, the only way to evaluate the cumulative effect is to first examine each piece standing alone.” Maharaj v. Sec’y, Dep’t of Corr., 432 F.3d 1292, 1310 (11th Cir. 2005); see also Kyles, 514 U.S. at 437 n.10, 115 S.Ct. at 1567 n.10 (“We evaluate the tendency and force of the undisclosed evidence item by item; there is no other way. We evaluate its cumulative effect . . . separately.”); Hammond, 586 F.3d at 1313 (“[W]e size up each piece of evidence before aggregating it and considering the cumulative impact. We then weigh that
For all of these reasons, we conclude that the Florida courts’ rejection of the Brady claims that Allen presented is not contrary to or an unreasonable application of federal law as established by the Supreme Court. See
Allen has one Brady-related contention that the Florida courts did not decide because he failed to present it to them. He argues that the Florida Supreme Court should not have limited its Brady materiality analysis to the potential effect of the suppressed reports on the guilt phase of his trial. See Cone v. Bell, 129 S.Ct. 1769, 1784 (2009) (“Evidence that is material to guilt will often be material for sentencing purposes as well . . . .”). Allen theorizes that the suppressed reports might have helped him pursue a residual doubt strategy at sentencing. There are two reasons he cannot win with this issue. First, he did not raise it in the state courts and instead limited his Brady claims and arguments there to the effect of the suppressed reports on the guilt phase of his trial. The first time Allen mentioned any potential effect on the penalty phase was in his brief to this Court. That is too late. The claim regarding a spill-over effect on the sentence stage is procedurally
The second independently adequate reason that this new claim fails is that under Florida law residual doubt is not considered mitigation. Zeigler v. Crosby, 345 F.3d 1300, 1310 (11th Cir. 2003) (per curiam) (“Florida does not recognize residual or lingering doubt as a valid non-statutory mitigating circumstance.”); Darling v. State, 808 So. 2d 145, 162 (Fla. 2002) (“We have repeatedly observed that residual doubt is not an appropriate mitigating circumstance.”). And there is no constitutional right to have residual doubt considered as mitigation. Oregon v. Guzek, 546 U.S. 517, 526–27, 126 S.Ct. 1226, 1232–33 (2006) (holding that the Constitution does not prohibit a state from limiting the innocence-related evidence a capital defendant can introduce at a sentencing proceeding); Franklin v. Lynaugh, 487 U.S. 164, 174, 108 S.Ct. 2320, 2327 (1988) (plurality opinion) (“This Court’s prior decisions, as we understand them, fail to recognize a constitutional right to have such doubts considered as a mitigating factor.”). Thus, in these circumstances evidence favorable to Allen on the issue of guilt could not have been material in the Brady sense at the sentencing phase.
III. ALLEN’S GUILT PHASE INEFFECTIVE ASSISTANCE CLAIMS
Allen claims that his Sixth Amendment right to counsel was violated at the guilt phase by his counsel’s constitutionally ineffective performance as measured under Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052 (1984). He contends that his counsel was ineffective for: (1) failing to investigate and discover evidence of innocence; (2) failing to challenge DNA evidence; (3) arguing that the victim may have committed suicide; (4) failing to impeach a witness who testified that Allen was at Cribbs’ house on the morning of the crime; and (5) failing to discover and present a witness who arguably could have rebutted the State’s case.
Under Strickland Allen must make two showings. First, he must show that his counsel’s performance was deficient, which means that it “fell below an objective standard of reasonableness” and was “outside the wide range of professionally competent assistance.” Id. at 688, 690, 104 S.Ct. at 2064, 2066; see also Smith, 572 F.3d at 1349. In deciding whether counsel performed deficiently, courts are to review his actions in a “highly deferential” manner and “must indulge a strong presumption that counsel’s conduct falls within the wide range of reasonable professional assistance.” Strickland, 466 U.S. at 689, 104 S.Ct. at 2065. To overcome Strickland’s presumption of reasonableness, Allen must show
Second, under Strickland Allen must also show that, but for his counsel’s deficient performance, there is a reasonable probability that the result of the proceeding would have been different—that is, our confidence in the outcome must be undermined by counsel’s deficient performance. Strickland, 466 U.S. at 694, 104 S.Ct. at 2068. “[A] court need not determine whether counsel’s performance was deficient before examining the prejudice suffered by the defendant as a result of the alleged deficiencies.” Id. at 697, 104 S.Ct. at 2069.
Under AEDPA, however, Allen must do more than convince a federal court that he can satisfy the Strickland standard. See
A. Failure to Investigate and Discover Evidence of Innocence
Allen claims that his counsel was ineffective at the guilt phase for failing to discover and present evidence that on the day Cribbs body was discovered, Allen and another man were registered together as guests at the motel where Cribbs vehicle was later recovered. Allen argues that evidence would have supported a defense that another man killed Cribbs, especially when viewed in light of the other evidence that the jury never heard due to alleged Brady violations and counsel s ineffectiveness.1
The state collateral trial court denied this claim based on Strickland s performance element and did not mention the prejudice element. See Strickland, 466 U.S. at 697, 104 S.Ct. at 2069 (“[T]here is no reason for a court deciding an
As for the deficient performance element of this ineffective assistance claim, the state collateral trial court s determination that the failure of Allen s counsel to investigate motel records was not “outside the wide range of professionally competent assistance,” Strickland, 466 U.S. at 690, 104 S.Ct. at 2066, is not contrary to or an unreasonable application of Strickland. We have recognized that: “no absolute duty exists to investigate particular facts or a certain line of defense. Under Strickland, counsel s conducting or not conducting an
Most importantly for the circumstances of this case, “[i]n evaluating the reasonableness of a defense attorney s investigation, we weigh heavily the information provided by the defendant.” Newland v. Hall, 527 F.3d 1162, 1202 (11th Cir. 2008); see also Strickland, 466 U.S. at 691, 104 S.Ct. at 2066 (“The reasonableness of counsel s actions may be determined or substantially influenced by the defendant s own statements or actions. Counsel s actions are usually based, quite properly, on informed strategic choices made by the defendant and on information supplied by the defendant. In particular, what investigation decisions are reasonable depends critically on such information.“); Chandler, 218 F.3d at 1318 (same); McClain v. Hall, 552 F.3d 1245, 1251–52 (11th Cir. 2008) (noting that whether defendant informed his trial counsel about defendant s abusive childhood is “extremely important” to determining reasonableness of counsel s performance); Blankenship v. Hall, 542 F.3d 1253, 1276 (11th Cir. 2008) (noting that “the petitioner is often in the best position to inform his counsel of salient facts relevant to his defense“).
Allen has not established, or alleged, that at any time before the guilt stage was over he provided his counsel with any evidence, or even suggested to him,
Alternatively, even if no deference were due the state collateral trial court s decision on the performance element, we would conclude on de novo review that Allen had failed to establish it. See Berghuis v. Thompkins, — U.S. —, 130 S.Ct. 2250, 2265 (2010) (“Courts can . . . deny writs of habeas corpus under
B. Failure to Challenge DNA Evidence
Allen claims that his counsel was ineffective for failing to request a Frye hearing before the State s DNA evidence was admitted. See Stokes v. State, 548 So. 2d 188, 195 (Fla. 1989) (adopting the standard from Frye v. United States, 293 F. 1013 (D.C. Cir. 1923), that “scientific evidence is not admissible unless the thing from which the deduction is made is sufficiently established to have gained general acceptance in the particular field in which it belongs” (quotation marks omitted)). Allen argues that the polymerase chain reaction (PCR) methodology for testing DNA was not generally accepted at the time of his trial, although it is now.
The Florida state courts denied this claim based on Strickland s prejudice element. See Allen II, 854 So. 2d at 1258 n.5 (deciding that this claim “lack[s] merit because Allen was not prejudiced by the alleged error[ ]“); Florida v. Allen, No. 92-30056-CF, slip op. at 42 (“The DNA evidence did not prove the culpability of the Defendant with respect to the Victim s murder. The semen, blood and DNA evidence simply went to confirm the Defendant s presence in Summerland Key with the Victim, a fact that was not in dispute. The failure to conduct a Frye hearing or, alternatively, the exclusion of the DNA evidence would not have affected the outcome of the trial.“).
The Fretwell decision requires that Allen must show not only that he could have successfully challenged PCR DNA testing in 1993, but also that the basis of the challenge would be recognized as valid under current law. He cannot do that. While PCR DNA testing was novel at the time of Allen s trial, see Murray v. State, 692 So. 2d 157, 163–64 (Fla. 1997), the Florida Supreme Court has since determined that it clears the Frye hurdle. See Zack v. State, 911 So. 2d 1190, 1198 n.3 (Fla. 2005) (“[T]he PCR method of DNA testing is now generally accepted by the scientific community and is not subjected to Frye testing.“); see also Wilson v. Sirmons, 536 F.3d 1064, 1102 (10th Cir. 2008) (collecting cases in support of the proposition that “[n]umerous federal and state courts as well as scientific investigators have found that PCR DNA analysis is reliable“). Because of those legal developments, Allen cannot establish Strickland-type prejudice from his counsel s failure to request a Frye hearing.
C. The Suicide Theory of Defense
Allen claims that his counsel was ineffective for adopting what Allen describes as the “desperate trial strategy” of arguing to the jury that Cribbs may have committed suicide. That strategy was objectively unreasonable, Allen says, because the evidence showed that Cribbs had been bound and stabbed: she had superficial stab wounds on her face, her carotid artery was cut, and she had abrasions and ligature marks on her wrists and ankles. The Florida Supreme Court denied this claim based on Strickland s prejudice element. The court explained:
Although trial counsel did question the medical examiner about the possibility of suicide, such questioning was only a small part of an overall defense that Allen did not commit the murder. Consistent with this defense, counsel attempted to establish reasonable doubt by demonstrating that the State conducted a cursory and error-prone investigation. Counsel showed that (1) the crime scene technician did not send the medical examiner the knife found at the scene for comparison with the victim s wounds; (2) the knife was not examined for rag or fiber traces; (3) blood found in the sink was never tested; and (4) the medical examiner initially overlooked the fact that the victim may have been tied. Counsel also exposed that, in a previous case, the medical examiner ruled that a stab-victim had died of drowning. Counsel further established that the medical examiner summarily ruled out suicide as a cause of death even though it would have been medically possible for the victim to have stabbed herself. Counsel used the suicide theory merely to illustrate his argument about the superficial nature of the State s investigation. Although this particular illustration may not have helped Allen s cause, it did not undermine it either. Therefore, there is no reasonable probability that but for counsel s suggestion that the victim committed suicide, the result of the proceeding would have been different.
Allen argues that the Florida Supreme Court s decision deserves no deference under AEDPA because it was “based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding.”
Based on our review of the record, we find that the Florida Supreme Court s fact findings about this issue are reasonable. See
Counsel primarily used the theoretical possibility of suicide, and how quickly the medical examiner had dismissed it, to argue that the examiner s work was shoddy and biased toward the prosecution. He accused the medical examiner of “blundering” by failing to compare the knife to the wound and of rushing through the autopsy. Id.Id. at 566–67. Counsel said that the jury should “expect a little more of a scientific response” than what the examiner had given. Id. at 567.
Counsel also mentioned suicide later in his closing argument. Again, his point was that the investigation was unreliable and had failed to consider all the
To the extent that Allen s counsel said the possibility of suicide was itself grounds for reasonable doubt, he did not advance that argument to the exclusion of other defense theories. See Allen II, 854 So. 2d at 1261 (determining that the suicide theory “was only a small part of an overall defense that Allen did not commit the murder“); see also Tr. at 610 (“All I am saying is that we don t know who did it. There are different possibilities. [Allen] is a possibility; the realtor is a possibility; a third party is a possibility; suicide is a possibility. There are all
Allen argues that we should “imagine the visceral response of the jury to a defense closing argument that the victim was responsible for her own death.” On these facts, however, the Florida Supreme Court determined that imagined prejudice is no prejudice at all. Based on our review of the record and the context in which the suicide theory was mentioned, that determination was reasonable. See Strickland, 466 U.S. at 695, 104 S.Ct. at 2068 (“The assessment of prejudice should proceed on the assumption that the decisionmaker is reasonably, conscientiously, and impartially applying the standards that govern the decision.“).
D. Failure to Impeach Larry Woods
Allen claims that his trial counsel was ineffective for failing to adequately cross-examine Larry Woods, a witness who testified that he saw Allen at Cribbs house about two hours before her body was discovered there. Woods, a siding contractor, said that he had an unobstructed view of Cribbs home while he was working in the driveway of the house across the street. About 20 to 25 minutes before Woods went to lunch, a man left Cribbs house, walked down the stairs, and looked at Woods twice before going back inside. When Woods returned from lunch he saw that Cribbs car, which had been parked under her house in the morning, was no longer there. Soon thereafter Cribbs body was discovered. The car would later be found at a motel from which Allen hailed a taxi on the day of the murder.
Woods testified that he was interviewed by the police on the afternoon of the murder and that he assisted in making a composite drawing of the person he
Allen argues that counsel was ineffective for failing to ask Woods whether he saw anyone else near Cribbs house on the morning of the murder. The premise of this argument is false. The state collateral trial court determined that counsel did establish during cross-examination “that Woods had not seen anyone else go near the house while he was there, and that he had no knowledge of what transpired during his lunch period.” Florida v. Allen, No. 92-30056-CF, slip op. at 38. It also found that “[t]o the extent that [Allen] claims that some unknown third person committed the crime, Counsel established the window of opportunity to support [Allen s] theory.” Id. Those factual determinations are more than reasonable; the record confirms they are entirely correct. See
Allen s claim of prejudice is especially weak given that it is undisputed that the photograph of Allen recovered from the camera at the scene (and thus a contemporaneous one) compared favorably to the composite drawing that Woods had helped create. Not only did Woods testify to that effect, but so did Detective
For all of those reasons, Allen has failed to establish that the Florida courts determination that there is no reasonable probability of a different result if his counsel had cross-examined Woods based on his earlier statements about the person he saw at Cribbs house was unreasonable within the meaning of
E. Failure to Investigate or Present Tonia McClain
Allen claims that his counsel was ineffective for failing to investigate or present Tonia McClain as a witness at the guilt stage. She allegedly would have testified that she saw two cars parked at Cribbs house on both the evening before and the morning of the murder and that she saw a young, thin man with dirty blond hair on Cribbs porch on the morning of the murder.
The “failure to investigate” part of this claim is procedurally barred. Allen never presented this part of the claim or made this argument to the Florida courts.
The “failure to present” part of the claim concerning McClain does not fare much better. Trial counsel did not call her as a witness because he decided based on her deposition that she would not make a good witness. The Florida courts denied this claim based on Strickland s performance element, Florida v. Allen, No. 92-30056-CF, slip op. at 38–39, as well as its prejudice element, Allen II, 854 So. 2d at 1258 n.5. As to the performance element, the state collateral trial court determined that, “[g]iven the nature of the testimony [McClain] had to offer, Counsel can hardly be deemed ineffective for failure to call her.” Florida v. Allen, No. 92-30056-CF, slip op. at 39.
Allen argues that conclusion deserves no deference because “[n]o one knows what the court meant by the nature of the testimony. ” To the contrary, the state collateral trial court explained what it meant:
[U]nder oath at her deposition, [McClain] testified that she lived across the canal from the Victim; that she saw two persons on the Victim s porch when she went out to check on her fishing pole; that she didn t wear her glasses when she went out to check her fishing pole; that without her glasses she “see[s] people but I don t see“; that she could
not identify the Victim if she saw her; that she would not recognize the Defendant if she saw him; and that perhaps the second car she saw was a neighbor s car.
Id. (third alteration in original) (internal citations omitted). At her deposition, McClain also testified that she was nervous and in shock when she first spoke with the police. Post-conviction Record at 1211. She admitted that she would not be able to recognize the man from Cribbs porch if she saw him again. She said that “[t]he only thing I remember is tall and skinny,” id. at 1210, which is not inconsistent with Allen s appearance at the time of the murder.
This Court has emphasized that “[w]hich witnesses, if any, to call, and when to call them, is the epitome of a strategic decision, and it is one that we will seldom, if ever, second guess.” Waters v. Thomas, 46 F.3d 1506, 1512 (11th Cir. 1995) (en banc); see also Rhode v. Hall, 582 F.3d 1273, 1284 (11th Cir. 2009) (per curiam). Given the obvious problems with McClain s potential testimony that were revealed at her deposition, Allen cannot show that “no competent counsel would have taken the action that his counsel did take.” Chandler, 218 F.3d at 1315; Stewart, 476 F.3d at 1209; see also Dorsey v. Chapman, 262 F.3d 1181, 1186 (11th Cir. 2001) (“[T]rial counsel s decision to not call the [ ] witness was not so patently unreasonable a strategic decision that no competent attorney would
IV. ALLEN’S SENTENCE PHASE INEFFECTIVE ASSISTANCE CLAIM
Allen contends that his Sixth Amendment right to counsel was violated in the sentencing phase because counsel conducted no mitigation investigation and failed to present any mitigating evidence to the sentencing court. Trial counsel did not present any mitigating circumstance evidence, and we take it as true that he did not conduct an investigation into mitigating circumstances either. See Allen I, 662 So. 2d at 329 (“[T]here was no indication that counsel had investigated Allen’s background or history to determine whether particular mitigating evidence was available. Counsel also made no proffer of mitigating evidence that could be presented to the court.”).
Counsel, however, was following Allen’s explicit instructions. Eight weeks before trial, Allen told his attorney not to investigate or present any mitigation
Allen’s sworn statement said: “With full understanding that should I change my mind at a later date my attorney will not have sufficient time to prepare . . . I nonetheless refuse to provide any information or assistance relating to mitigation of the death sentence.” Allen also said that while counsel would represent him during the guilt phase, if he was convicted he wished to represent himself during the sentence phase “so that I may offer no mitigation.” He acknowledged that counsel had advised him not to waive mitigation and that, by representing himself in the penalty phase, he would be “precluded from an appeal based upon ineffective assistance of counsel as to that phase.”
As he had insisted, after Allen was convicted of first-degree murder, he did represent himself before the advisory jury, and he did not present mitigating evidence there. See, e.g., Tr. at 740 (“So there is not going to be any excuses today and there will not be any mitigating factors here.”). Allen urged the jury to give him a death sentence, see, e.g., id. at 733 (“I am also going to ask you for the death penalty but a little differently than [the prosecutor] did. . . . This is my trial
The trial judge then questioned counsel regarding Allen’s decision not to present mitigation evidence.
THE COURT: Mr. Hooper, you indicated that Mr. Allen refused to present you with any mitigating factors. Is your client aware of the statutory mitigating factors available to him?
MR. HOOPER: Yes sir, that was discussed with Mr. Allen and myself. As an extra measure, I brought up Mr. Mark Jones, an attorney in my office, and he independently discussed it with Mr. Allen to cover
anything that I may have missed. It was discussed by two attorneys from the office. I also have the document signed by Mr. Allen. . . . [H]e can explain [that] he would be entitled to present mitigation. He does not wish any presented. As a matter of fact, he made it clear over and over again that while I was free to try the evidentiary phase as best I could, he did not want mitigating factors entered. . . . THE COURT: Is your client aware he is not limited to those statutory mitigating factors, and the court would consider virtually anything in mitigation of the sentence to be imposed?
MR. HOOPER: Yes, I have discussed all mitigating factors with him. I have also presented him with a copy of the Public Defender’s Annual Seminar called “Life Over Death.” That is a seminar we go to annually that updates us as to aggravating and mitigating factors and keeps us abreast of all of these. I gave him his own copy and discussed it with him. He is probably one of the most intelligent clients I have ever had. That is why I respect his opinion the way that I do. . . . . I don’t want it to be interpreted that he is not cooperative[;] he is just clear on his reasons.
Tr. 803–04.
Removing any doubt that he might have changed his mind, Allen then told the judge: “I hope that I am intelligent today and speak forcibly enough to you that we don’t get into technicalities. . . . [W]e have eleven people here and these eleven people said let’s give him the death penalty. I would hope we would do that.” Id. at 807–08.
The district court denied habeas relief on this claim because Allen “chose to represent himself at [the] sentencing proceedings.” Allen v. McNeil, 2009 WL 856017, at *26; see also Faretta v. California, 422 U.S. 806, 834 n.46, 95 S.Ct. 2525, 2541 n.46 (1975) (“[A] defendant who elects to represent himself cannot thereafter complain that the quality of his own defense amounted to a denial of ‘effective assistance of counsel.’”). The district court’s reasoning, however, is based on an incorrect factual premise. Allen represented himself in the sentence proceeding before the jury, but he did not represent himself in the sentencing proceeding before the judge. See Allen I, 662 So. 2d at 329 (distinguishing between the “penalty proceeding” before the advisory jury and the “sentencing proceeding” before the judge). Allen’s ineffective assistance of counsel claim
Although the district court’s rationale was incorrect,11 we agree with its judgment dismissing Allen’s federal habeas claim of ineffective assistance at the sentence phase. The Florida Supreme Court’s decision rejecting this claim was not an unreasonable application of federal law as determined by the United States
As we recently explained, the Schriro rule “follows naturally from Strickland’s formulation of the prejudice prong, for there cannot be a reasonable probability of a different result if the defendant would have refused to permit the introduction of mitigation evidence in any event.” Cummings v. Sec’y, Dep’t of Corr., 588 F.3d 1331, 1360 (11th Cir. 2009) (citing Strickland, 466 U.S. at 694, 104 S.Ct. at 2068). Allen therefore must show “that—but for his counsel’s supposedly unreasonable conduct—helpful [mitigation] evidence actually would
The Florida courts reasonably determined that Allen had waived the presentation of any and all mitigating circumstances, that he “was entitled to control the overall objectives of his defense, including the decision to disavow mitigation,” and that he had in fact “decided not to present mitigating evidence.” Allen I, 662 So. 2d at 329–30. That determination of the facts was entirely reasonable. See
Not once has Allen even alleged that he would have allowed trial counsel to present (or that he himself would have presented) mitigation evidence if only he
Allen argues that his waiver should be deemed invalid because counsel, having conducted no pre-waiver investigation, failed to inform Allen of the mitigating evidence that he was giving up. The United States Supreme Court’s
Allen also refers us to Ferrell v. State, 29 So. 3d 959 (Fla. 2010), in which the Florida Supreme Court held that counsel’s failure to adequately prepare for mitigation rendered the defendant’s waiver of mitigating evidence invalid. See id. at 981–85. However, a state supreme court decision does not clearly establish federal law for
Moreover, it is apparent from the record that Allen knowingly and intelligently refused to present mitigating evidence. See id. at 479, 127 S.Ct. at 1943. We have already mentioned a number of statements—including Allen’s pre-trial instructions to his counsel and his statements to the advisory jury—that indicate his understanding of the consequences of waiving mitigation. In addition, when counsel advised the trial court that Allen wanted to represent himself before the jury at the sentencing phase, the court conducted a Faretta inquiry in order to be sure that Allen “fully understand[s] the possible consequences” of his request. See Allen I, 662 So. 2d at 329; see also Schriro, 550 U.S. at 479, 127 S.Ct. at 1943 (“[W]e have never required a specific colloquy to ensure that a defendant knowingly and intelligently refused to present mitigating evidence.”); Faretta, 422 U.S. 806, 95 S.Ct. 2525. Although the court did not doubt Allen’s mental competence, it decided “out of an abundance of caution” to have Allen examined by two mental health experts, who testified that Allen was competent to represent himself.15 See Allen I, 662 So. 2d at 326–27. When it concluded that Allen’s
Allen, a mentally competent, intelligent defendant, having been convicted of a brutal murder, faced life imprisonment or death. Insisting on doing things his way, he chose death and prevented his counsel from attempting to secure a life sentence through the development and presentation of mitigating circumstances evidence. That is not a choice that most people would have made, but it is one that he had the right to make, and he made it voluntarily and with full awareness of the consequences. Cf. Sanchez-Velasco v. Sec’y, Dep’t of Corr., 287 F.3d 1015, 1033 (11th Cir. 2002) (“As a death row inmate, Sanchez-Velasco does not have many choices left. One choice the law does give him is whether to fight the death sentence he is under or accede to it. Sanchez-Velasco, who is mentally competent to make that choice, has decided not to contest his death sentence any further. He has the right to make that choice.”). What Allen does not have is the right to escape the consequences of his own decision not to present any mitigating circumstances evidence by shifting the blame for it to someone else.
V. CONCLUSION
The denial of Allen’s petition for a writ of habeas corpus is AFFIRMED.
Notes
Post-conviction Record at 827 (emphasis added).Mr. Allen’s history also is marked by severe bouts with depression, a major mental illness. However, because trial counsel failed to investigate and obtain the services of a mental health expert, this issue was not explored. At an evidentiary hearing, Mr. Allen is prepared to demonstrate through the testimony of a qualified mental health expert that Mr. Allen suffers and suffered from severe depression, which alone and in conjunction with the above-described background, would establish the presence of statutory and nonstatutory mitigation.
Tr. at 694–95 (emphasis added).THE COURT: Did he seem to understand the nature of the penalty phase of the capital trial procedure?
THE WITNESS: He impressed me as very knowledgeable and well-informed relative to this phase.
THE COURT: In your opinion is Mr. Allen competent to make a decision not to present mitigating factors if he so chooses?
THE WITNESS: I think he has the mental and emotional capacity to meet that competency criteria.
