561 U.S. 945 | SCOTUS | 2010
Lead Opinion
According to an expert who testified during state posteonvietion relief, petitioner Demareus A. Sears performs at or
After finding constitutionally deficient attorney performance under the framework we set forth in Strickland v. Washington, 466 U. S. 668 (1984), the state postconviction court found itself unable to assess whether counsel’s inadequate investigation might have prejudiced Sears. App. to Pet. for Cert. 29B-30B. Because Sears’ counsel did present some mitigation evidence during Sears’ penalty phase — but not the significant mitigation evidence a constitutionally adequate investigation would have uncovered — the state court determined it could not speculate as to what the effect of additional evidence would have been. Id., at 30B. Accordingly, it denied Sears postconviction relief. Id., at 34B. Thereafter, the Supreme Court of Georgia summarily denied review of his claims. Id., at 1A.
For the reasons that follow, it is plain from the face of the state court’s opinion that it failed to apply the correct prejudice inquiry we have established for evaluating Sears’ Sixth Amendment claim. We therefore grant the petition for writ of certiorari, vacate the judgment, and remand for further proceedings not inconsistent with this opinion.
In 1993, a Georgia jury convicted Sears of armed robbery and kidnaping with bodily injury (which also resulted in death), a capital crime under state law. See Ga. Code Ann. § 16-5-40(d)(4) (2006).
The mitigation evidence that emerged during the state postconviction evidentiary hearing, however, demonstrates that Sears was far from “privileged in every way.” Sears’ home life, while filled with material comfort, was anything but tranquil: His parents had a physically abusive relationship, Exh. 26, 6 Record 1676 (Affidavit of Demetrius A. Sears), and divorced when Sears was young, Exh. 22, id., at 1654 (Affidavit of Virginia Sears Graves); he suffered sexual abuse at the hands of an adolescent male cousin, Exh. 26, id., at 1681-1682; his mother’s “favorite word for referring to her sons was ‘little mother fuckers,’ ” Exh. 3, 2 id., at 265 (Affidavit of Richard G. Dudley, Jr., M. D.); and his father was “verbally abusive,” Exh. 37, 6 id., at 1746-1747 (Affidavit of Carol Becci-Youngs),
Whatever concern the dissent has about some of the sources relied upon by Sears’ experts — informal personal accounts, see post, at 960-963 (opinion of SCALIA, J.) — it does not undermine the well-credentialed expert’s assessment,
Further, the fact that Sears’ brother is a convicted dr^g dealer and user, and introduced Sears to a life of crime, 6 id., at 1683-1686, actually would have been consistent with a mitigation theory portraying Sears as an individual with diminished judgment and reasoning skills, who may have desired to follow in the footsteps of an older brother who had shut him out of his life, post, at 962. And the fact that some of such evidence may have been “hearsay” does not necessarily undermine its value — or its admissibility — for penalty phase purposes.
Because they failed to conduct an adequate mitigation investigation, none of this evidence was known to Sears’ trial counsel. It emerged only during state postconviction relief.
II
Unsurprisingly, the state postconviction trial court concluded that Sears had demonstrated his counsel’s penalty phase investigation was constitutionally deficient. See Strickland, 466 U. S., at 688-(explaining that first inquiry
What is surprising, however, is the court’s analysis regarding whether counsel’s facially inadequate mitigation investigation prejudiced Sears. See Strickland, supra, at 694. Although the court appears to have stated the proper prejudice standard,
Justice Scalia chides the Court for concluding that the trial court assumed, rather than found, that counsel’s mitigation theory was a reasonable one. Post, at 957. But our point is that any finding with respect to the reasonableness of the mitigation theory counsel utilized — in this case, family impact — is in tension with the trial court’s unambiguous find
Second, and more fundamentally, the court failed to apply the proper prejudice inquiry. We have never limited the prejudice inquiry under Strickland to cases in which there was only “little or no mitigation evidence” presented, App. to Pet. for Cert. 30B. True, we have considered cases involving such circumstances,
We certainly have never held that counsel’s effort to present some mitigation evidence should foreclose an inquiry into whether a facially deficient mitigation investigátion might have prejudiced the defendant. To the contrary, we have consistently explained that the Strickland inquiry requires precisely the type of probing and fact-specific analysis that the state trial court failed to undertake below.
“To assess [the] probability [of a different outcome under Strickland], we consider the totality of the available*956 mitigation evidence — both that adduced at trial, and the evidence adduced in the habeas proceeding — and reweig[h] it against the evidence in aggravation.” 558 U. S., at 41 (internal quotation marks omitted; third alteration in original).
That same standard applies — and will necessarily require a court to “speculate” as to the effect of the new evidence— regardless of how much or how little mitigation evidence was presented during the initial penalty phase. Indeed, it is exactly this kind of probing inquiry that Justice Scalia now undertakes, post, at 960-964, and that the trial court failed to do. In all circumstances, this is the proper prejudice standard for evaluating a claim of ineffective representation in the context of a penalty phase mitigation investigation.
Ill
A proper analysis of prejudice under Strickland would have taken into account the newly uncovered evidence of Sears’ “significant” mental and psychological impairments, along with the mitigation evidence introduced during Sears’ penalty phase trial, to assess whether there is a reasonable probability that Sears would have received a different sentence after a constitutionally sufficient mitigation investigation. See Porter, supra, at 40; Williams, supra, at 397-398; Strickland, supra, at 694. It is for the state court — and not for either this Court or even Justice Scalia — to undertake this reweighing in the first instance.
Accordingly, the petition for certiorari and the motion for leave to proceed informa pauperis are granted. The judgment below is vacated, and the case is remanded for further proceedings not inconsistent with this opinion.
It is so ordered.
Although this is a state-court decision, it resolved a federal issue on exclusively federal-law grounds. We therefore have jurisdiction. 28 U. S. C. § 1257; see also Padilla v. Kentucky, 559 U. S. 356 (2010) (reviewing state posteonvietion decision raising Sixth Amendment question).
Seaxs was sentenced to death for the Kentucky murder of a woman whom he and an accomplice kidnaped in Georgia. Under Georgia law, a jury may “impose a death sentence for the offense of kidnapping with bodily injury on the ground that the offense of kidnapping with bodily injury was committed while the offender was engaged in the commission of the capital felon[y] of murder . . . .” Potts v. State, 261 Ga. 716, 720, 410 S. E. 2d 89, 93 (1991). So long as “the murder . . . [is] sufficiently a part of the same criminal transaction,” it may count as a “statutory aggravating circumstanc[e] of the offense of kidnapping with bodily injury.” Ibid., 410 S. E. 2d, at 94. Sears has raised a categorical Eighth Amendment challenge to the constitutionality of his death sentence for a kidnaping offense, which we decline to reach. And any jurisdictional or constitutional issue with respect to Georgia’s ability to execute Sears for a murder occurring in Kentucky is not before us.
In the particular instance recounted in this affidavit, Sears’ art teacher stated that his father “berate[d] [him] in front of” the school principal and her during a parent-teacher conference. Exh. 37, 6 Record 1746. The event was significant: “I’ll never forget the way he bullied him,” the art teacher explained, “Mr. Sears was so verbally abusive and made such a scene, that it made everyone in the room uncomfortable.” Ibid. The art teacher had “never been in a conference where a parent severely criticized a child in the presence of his teachers and meant it, as Mr. Sears did.” Id., at 1747.
Dr. Strickland, a psychologist, is the director of a mild head injury clinic and the Sports Concussion Institute at Centinella Freeman Medical Center in Los Angeles. 1 id., at 30. He is an associate professor of psychiatry in residence at the University of California at Los Angeles and directs a memory disorder and cerebral palsy clinic for that university’s department of neuroscience. Id., at 30-31. The State had no objection to his being tendered as an expert in neuropsychology. Id., at 31.
During a colloquy with the court, Dr. Strickland further explained:
“THE COURT: But by taking some history of head injuries, coupled with the results of the tests that you’ve given, you can comfortably conclude that the results of the tests that you’ve given were a consequence of frontal lobe head injuries?
“THE WITNESS: Absolutely. And, moreover, Your Honor, the patient has a lesion on the front of his head, which is something I can observe.” Id., at 78.
Like Georgia’s “necessity exception” to its hearsay rules, see Ga. Code Ann. § 24-3-l(b) (2006), we have also recognized that reliable hearsay evidence that is relevant to a capital defendant’s mitigation defense should not be excluded by rote application of a state hearsay rule. See Green v. Georgia, 442 U. S. 95, 97 (1979) (per curiam) (“Regardless of whether the
Dr. Dudley, a psychiatrist, completed his internship and residency at Northwestern University Medical Center, and has been board certified in psychiatry by the American Board of Psychiatry and Neurology for more than 35 years. 1 Record 91-92. The State also had no objection to his being tendered as an expert in psychiatry. Id., at 93.
The court asked whether “there is a reasonable likelihood that the outcome of his trial would have been different if his counsel had done more investigation.” App. to Pet. for Cert. 29B-30B; see Strickland, 466 U. S., at 694 (“The defendant must show that there is a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different. A reasonable probability is a probability sufficient to undermine confidence in the outcome”).
Channeling powers of telepathy, Justice Scalia asserts that what the trial court actually decided in this ease is that “Sears’ trial counsel presented a reasonable mitigation theory and offered evidence sufficient to
Moreover, the reasonableness of the theory is not relevant when evaluating the impact of evidence that would have been available and likely-introduced, had counsel completed a constitutionally adequate investigation before settling on a particular mitigation theory. This point was also plain in Williams: “Whether or not . . . omissions [in the investigation] were sufficiently prejudicial to have affected the outcome of sentencing,” they may nevertheless demonstrate deficiency. 529 U. S., at 396. The one inquiry, deficient mitigation investigation, is distinct from the second, whether there was prejudice as a result.
See, e. g., Wiggins v. Smith, 539 U. S. 510, 515-516 (2003); Strickland v. Washington, 466 U. S. 668, 700 (1984).
Whether it did so implicitly is far from apparent, notwithstanding Justice Scaua’s suggestion to the contrary. See post, at 959-960. The trial court stated that the record was “largely silent” on “what [evidence] would have been shown if [additional mitigating evidence] had been sought.” App. to Pet. for Cert. 28B. This is a curious assertion in light of the 22 volumes of evidentiary hearing transcripts and submissions in the record, which spell out the findings discussed above. It also undermines any suggestion that the court did, in fact, do the reweighing Justice Scalia believes it undertook; it is plain the record is not “largely silent.” And it also undermines any suggestion that the court simply discounted the value of the testimony; had it made any such finding, the court could have easily stated, instead, that the record evidence was unpersuasive.
Dissenting Opinion
with whom
The Court concludes, ante, at 951-956, that the Superior Court of Butts County, Georgia, made errors of law in applying the prejudice inquiry for ineffective-assistance-of-counsel claims under Strickland v. Washington, 466 U. S. 668 (1984). In my view there was no error of law, and the Court today remands for the state court to do what it has already done: find no reasonable likelihood that the mitigation evidence the Court details in its opinion would have persuaded a jury to change its mind about the death sentence for this brutal rape-murder.
The state habeas court responsibly executed the first step in the Strickland analysis, finding that the investigation of mitigation evidence by Sears’ trial counsel was deficient performance. The issue here is the second step: whether Sears was prejudiced by that deficiency. As the Court acknowledges, ante, at 952, the state habeas court correctly stated the prejudice standard under Strickland: The defendant has the burden to establish “a reasonable probability that, but for counsel’s deficient performance, the result of the proceeding would have been different.” App. to Pet. for Cert. 24B-25B (citing 466 U. S., at 688, 694). “When applied to the sentencing phase of death penalty trials,” that means “a reasonable probability that, absent [counsel’s] errors, the sentencer would have concluded that the balance of the aggravating and mitigating circumstances did not warrant death.” App. to Pet. for Cert. 25B-26B.
The Court today concludes that there were two errors in the application of that proper standard. First, it reasons that the court erroneously “curtailed a more probing prejudice inquiry because it placed undue reliance on the assumed reasonableness of counsel’s mitigation theory” at trial. Ante, at 953. That argument is flawed on several levels. To begin with, the state habeas court did not assume trial counsel’s mitigation theory was reasonable; it found that it was.
The Court’s argument is also flawed because the habeas court’s reasonableness finding did not cause it to “curtai[lj” its prejudice inquiry, or lead to the conclusion that it could “obviate the need to analyze” whether pursuing a different mitigation theory would have made a difference. Ante, at 953. The reasonableness finding merely meant that the prejudice determination had to be made by asking, not whether the jury’s mind would probably have been changed by hearing Sears’ new mitigation theory instead of hearing no mitigation theory at all; but rather whether it would probably have been changed by substituting Sears’ new mitigation theory for the reasonable mitigation theory that was presented and rejected.
The second, “and more fundamental!],” legal error the Court alleges, ante, at 954, is really encased within the first. The Court claims that the state habeas court “limited the prejudice inquiry under Strickland to cases in which there was only 'little or no mitigation evidence’ presented.” Ibid. (quoting App. to Pet. for Cert. 30B). The court erred, we are told, by determining that “present[ation of] some mitigation evidence should foreclose an inquiry into whether” Sears was prejudiced. Ante, at 955. That is not a fair reading of the opinion. The state court did not hold that a defendant could never suffer prejudice whenever his counsel provided any mitigation evidence. Rather, it stated that “[t]his case cannot be fairly compared with those where little or no mitigation evidence is presented and where a reasonable prediction of outcome can be made.” App. to Pet. for Cert. 30B (emphasis added). That is absolutely correct. This case is not like the prejudice cases on which the Court relies, where it could readily be said that the overlooked mitigation theory would have made a much deeper impression on the jury than the utterly unsupported theory (or absence of any theory) offered at trial. See Porter v. McCollum, 558 U. S. 30, 41 (2009) (per curiam); Rompilla v. Beard, 545 U. S. 374, 378, 393 (2005); Wiggins v. Smith, 539 U. S. 510,
“Although here, the Petitioner can argue that a prior appeal shows the difficulty one juror was having reaching the same verdict as the others, it is just not possible to know what effect a different mitigation theory would have had on her, just as it is impossible to know what effect it would have had on other jurors.” App. to Pet. for Cert. 30B.
Since the habeas court made no legal error en route to its Strickland conclusion, the only basis for reversing the judgment here would be disagreement with the conclusion itself: that Sears had not established that his new mitigation theory would probably have caused the jury to impose a life sentence instead of death.
The Court makes no attempt to contradict that conclusion. Doing so would require a fact-intensive inquiry into the 22-volume record to measure the persuasiveness of the evidence supporting Sears’ new mitigation theory — an inquiry the Court purports to disavow, ante, at 956, but nonetheless tendentiously undertakes, ante, at 948-950. The reader might think the state habeas court’s conclusion highly questionable from the Court’s account, which recites as solid all the evidence supporting Sears’ new mitigation theory, see ante, at 948-951. It is far from solid. Some is likely inadmissible as unreliable hearsay under Georgia law, see Gissendaner v. State, 272 Ga. 704, 714, 532 S. E. 2d 677, 688-689 (2000); Gulley v. State, 271 Ga. 337, 347, 519 S. E. 2d 655, 664 (1999)— such as much of the evidence for the uncorroborated secondhand claim that Sears “suffered sexual abuse at the hands of
Some of the evidence is incredible, such as the psychiatrist’s assertion that Sears had “substantial deficits in mental cognition and reasoning ... as a result of several serious head injuries he suffered as a child, ” ante, at 949. The serious head injuries consisted of Sears’ hitting his head at a rollerskating rink sometime early in elementary school, 1 Record 76; 2 id., at 225, running into an end table as a child, 6 id., at 1651, and getting hit with a golf club sometime later in elementary school, 1 id., at 79; 2 id., at 225.
A jury also would have discredited the psychiatric testimony of Dr. Strickland that “[f]rom an etiological standpoint ... Sears’ ‘history is replete with multiple head trauma, substance abuse and traumatic experiences of the type expected’ to lead to these significant [mental] impairments,” ante, at 949 (quoting 2 Record 150). As already noted, the evidence of brain-damaging trauma is nonexistent. The psychiatric testimony of Dr. Dudley relied upon the self-interested reporting of Sears himself and the testimony of his less-than-trustworthy brother, Demetrius, see, e. g., 1 id., at 122, 133. And then there are the unfavorable parts of Dr. Dudley’s testimony: Sears is a “narcissist,” id., at 135, with a “grandiose” opinion of himself, id., at 98-99; 2 id., at 246. Dr. Dudley’s affidavit portrays Sears as arrogant and self-centered, id., at 246, 247, and notes what he termed Sears’ “fantastical” boasting of his first sexual experience with a woman at the age of six and his other “innumerable sexual experiences,” 1 id., at 98-99, 100; 2 id., at 246-247. It is hard to see how it could be thought probable that Sears’ so-called “magical thinking,” 1 id., at 84, would have helped his plea for leniency, see ante, at 951. It seems to me more likely the jury would conclude that Sears’ “profoun[d] per
And some of the evidence the Court recounts is so utterly unlikely to affect a jury’s determination that this brutal murder deserved death that its recitation is just plain hilarious. For example, the claim that Sears’ father “was ‘verbally abusive,’” ante, at 948, resting on nothing more than an art teacher’s recollection that Sears’ father “severely criticized” him — “and meant it”! — at a conference with the principal concerning his son’s poor academic performance, 6 Record 1747; the claim that his father “disciplined Sears with age-inappropriate military-style drills,” ante, at 948, which consisted of positively VonSteubenesque acts such as dousing the kid with cold water when he refused to get up for school, and making him run extra laps after sports practices, 6 Record 1622; and the claim that his mother’s “‘favorite word’ ” — actually three words — to refer to her sons was scatological, ante, at 948 (quoting 2 Record 265).
While the Court takes pains to describe all the elements of Sears’ new mitigation theory, down to the silliest, it does not trouble to describe the brutal circumstances of the crime— which are at least just as relevant to assessing whether the different mitigation theory would probably have altered the sentence. But the jury heard all about them. See Sears v. State, 268 Ga. 759, 759-760, 493 S. E. 2d 180, 182 (1997). They heard Sears’ confession that he kidnaped, raped, and murdered Gloria Wilbur, a 59-year-old wife and mother. Sears, carrying a briefcase containing various instruments of mayhem — brass knuckles, knives, and handcuffs — and his accomplice, Phillip Williams, were surveying a supermarket parking lot on a Sunday evening in October 1990, looking for a car to steal to drive back home to Ohio from Georgia. As the victim was putting her groceries in the trunk of her car, Sears approached, punched her in the face with his brass knuckles, shoved her into the car, and drove to pick up Williams. Sears then handcuffed her and pulled her into the
I do not know how anyone could disagree with the habeas court’s conclusion that it is impossible to say that substituting the “deprived-childhood-CMTO-brain-damage” defense for the “good-middle-class-kid-who-made-a-mistake” defense would probably have produced a different verdict. I respectfully dissent.
The Court contends, ante, at 953, that there was a “tension” between the state court’s conclusion that the investigation was deficient and its conclu
On the fair reading we owe the state court, its opinion provides no basis for inferring that it failed to “engag[e] with the evidence” and “did not even conduct any real analysis.” Ante, at 953, n. 9.
The Court’s reliance on Green v. Georgia, 442 U. S. 95, 97 (1979) (per curiam), ante, at 950-951, n. 6, to suggest that this unreliable hearsay would be admissible for sentencing purposes is entirely misplaced. In Green, we held it violated constitutional due process to exclude testimony regarding a co-conspirator’s confession that he alone committed the capital murder with which the defendant was charged. Our holding depended on “th[e] unique circumstances” of the ease: The testimony to be used at sentencing was “highly relevant” and “substantial[ly]” reliable as a statement against penal interest made to a close friend; it was corroborated by “ample” evidence and was used by the State to obtain a conviction in a separate trial against the co-conspirator. 442 U. S., at 97. Here there are no such circumstances. The testimony is uncorroborated secondhand reporting from self-interested witnesses that is unreliable and therefore likely inadmissible.
There is an unsubstantiated claim from Sears himself, 8 Record 2195, that when he was a teenager he was hit with a “hatchet” above his right eye. Of course, that is the same place where he collided with an end table, 6 id., at 1651, leaving the “lesion” — better known as a sear — on his head that Dr. Strickland noted, ante, at 950, n. 5 (quoting 1 Record 78). There is no corroborating evidence for this event: no medical records, 1
The jury also heard from several corrections officers who testified that while Sears was incarcerated awaiting trial and sentencing, he racked up dozens of disciplinary infractions, including assaults on other inmates. “‘Predatory,’” ‘“[ijneorrigible,’” and incapable of reform was how they described him. 10 id., at 2951-2957; 19 id., at 4868.