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State v. Ott
247 P.3d 344
Utah
2010
Check Treatment

*1 2010 UT 1 Appellee, Utah, Plaintiff

STATE Anthony OTT, Defendant

Mark Appellant.

No. 20040638.

Supreme Court Utah. 5, 2010.

Jan. 11, 2010.

Rehearing Denied June *3 Shurtleff, Gen., Att'y Laura B. L.

Mark DuPaix, Gen., Att'y City, for Asst. Salt Lake plaintiff. Hunt, City, Salt Lake for defen-

Elizabeth dant.

NEHRING, Justice:

INTRODUCTION appeal comes to us on direct 1 This case sentencing aggravated from Mark Ott's charges. On one horrific murder and other night the summer of Mr. Ott broke in Ott, wife, Donna who into the home of his hand, recently in had filed for divoree. Knife boyfriend, Allen Mr. Ott attacked Mrs. Ott's stepdaugh- Lawrence. He also stabbed ter, Mr. then set Sarah Gooch. Ott on fire. All of the residents of the house Lawrence, escaped except Lacey Mr. house six-year-old daughter, who died Lawrence's eventually in entered an the fire. Mr. Ott in plea guilty aggravated murder Alford Lacey's pled connection with death and guilty charges. He sentenced to other was possi- by a to life without the bility parole. appeal, direct plea argues legality he over the of his as well as various instances of ineffective assistance. provided hold that Ott's counsel inef- We Mr. failed to fective assistance because counsel portions of the victim evi- dence.

BACKGROUND married Donna Ott in 1996. Mr. Ott previous three children from a Mrs. Ott had (Daniel, Sarah, Lucy), marriage and and had marriage her to Mr. Ott two more after William). (Carissa years, mari- and Over increased, family problems and Mrs. tal and eventually separated from Mr. Ott and Ott sepa- A month after their filed for divorcee. ration, Allen Lawrence and Mrs. Ott met disapproved of they began to date. Mr. Ott relationship with Mr. Lawrence Mrs. Ott's verbally physically safely and threatened the that her children were out of the house count, by conducting a forgot two of them on several occasions. head but she Lacey.1 Lacey confirm the whereabouts ¶ fire, night 3 On the Mrs. Ott was six-year-old was Mr. daughter, Lawrence’s dogs barking. awakened her She went to spending night and she was in Carissa’s check on them and the window to saw room main on the floor of the house. Mrs. backyard. ran Ott She then to Mr. leaving Ott then observed Mr. Ott the scene Lawrence, bed, asleep who her in her vehicle. Meanwhile, attempted to wake him. Mr. Ott ¶ away, 6 Just as Mr. Ott drove Mrs. Ott house, broke into the entered Mrs. Ott’s bed- remembered that was still in the room, began to stab Mr. Lawrence. house. She ran back burning house Sarah, daughter, attempted Mrs. Ott’s *4 it, attempted prevented and to enter but was stop stabbing by Mr. Ott from Mr. Lawrence doing by police from a Firefight- so officer. jumping on Mr. hitting Ott’s back and his bedroom, Lacey ers found inside a dead from with a can head of mace. Mr. Ott then poisoning. carbon monoxide in During stabbed Sarah her abdomen. the attack, ¶ attempted police call Mrs. Ott to the charged aggravated Mr. Ott was with phone but was unsuccessful because the line capital felony. murder as a The State also had been cut. charged arson, him aggravated with aggra- burglary, aggravated assault, theft, vated at- ¶ wounds, Despite his Mr. Lawrence was murder, tempted aggravated and violation of escape able to the bedroom and make his protective order. Mr. Ott maintained that way to the front door. Mr. Ott followed Mr. Lacey house, he never knew inwas the Lawrence and continued to stab him. At though he starting admitted the fire that point, some the knife broke and Mr. Ott was killed her. Mr. quash Ott moved to his by distracted Mrs. Ott who had been watch- charge bindover aggravated on the of mur- ing hallway. the attack from the Mr. Ott argued der. He that he could not have in- Ott, you’ve said to Mrs. “Now look what tentionally knowingly and killed be- you happy made me do. Are now?” He cause did he not know she was in the house. approached then Mrs. Ott and embraced her argued Mr. Ott further that his intent to kill Lucy from point, up- behind. At that came Mr. Lawrence with a knife was different basement, stairs from her bedroom in the from his intent to burn the house down. Ott, screamed, saw Mr. and ran back down- ¶ argued 8 The State Then, that transferred in- stairs. either while Mr. Ott held Mrs. intent, tent and concurrent also as after, known the shortly Ott or Sarah came from the theory, “kill zone” charges sufficed to sustain helped bedroom and Mr. Lawrence out the aggravated of murder. The district court front door. Sarah and Mr. Lawrence ran rejected as too tenuous the theory State’s down the street and hid behind a fence. that Mr. Ott’s intent to kill Mr. Lawrence ¶ Meanwhile, Mr. Ott went out the back could be transferred and treated as the in- door. Mr. Ott re-entered the home and Nevertheless, Lacey. tent to kill the district poured gasoline, which he had obtained from court magistrate, held that the in ordering garage, the on Mrs. Ott’s bed. Mr. Ott then bindover, implicitly the had found that Mr. downstairs, went lit a sofa and a loveseat on Ott harbored an intent to kill Mrs. Ott in the fire, and get everyone told Mrs. Ott to out of fire and that this Lacey. intent transferred to fire, Seeing yelled the house. the Mrs. Ott ¶ daughter, Lucy, friend, for her Lucy’s and petitioned 9 Mr. unsuccessfully Ott Hillary, spending night. who was the interlocutory She for review of the district court’s basement, girls found the in they and A plea bargain order. arranged, safely exited the house. Mrs. Ott confirmed Mr. Ott entered an plea2 ag Alford house, 1. By entering Daniel had moved out plea, and Wil- 2. a defendant does Alford Rather, guilt. spending night liam and Carissa not admit guilty plea were defendant enters a Mr. recognizes prosecu- because he Ott's home. enough guilty has tor evidence to obtain a ver- Alford, dict. In North Carolina v. Mr. Alford failing to objectively deficient charge guilty pleas murder gravated intro impact evidence portions of the victim exchange for the State's charges in the other this fail prosecution, and that duced in penalty pursue the death agreement not Ott, we do not address prejudiced ure drop hearing and to sentencing capital assistance Mr. Ott's ineffective the rest of charges. several Carter, claims. See State sentencing hearing, capital At the (Utah 1989) (overruled grounds) on other various individ- from jurors heard ability expeditiously focus (noting "to court's jurors voted to twelve Ten uals. those criti energy judicial resources without to life Mr. Ott sentence issues which cal or outcome-determinative then The district court parole. possibility which any given case raised be and/or for each statutory prison terms imposed urged previously been have not substance run them to charges and ordered the other rejected"). We have upon Court and this to the life other and consecutively to each pursuant jurisdiction appeal over sentence. parole without (2008). 78A-8-102(8)() section Utah Code {11 next came to us on case was Mr. the central issue where appeal direct REVIEW OF STANDARD attorneys were ineffec- that his claim Ott's *5 following two T14 will address We tempo- the case be ordered tive. We (1) appeal: whether Mr. Ott's issues on court for dis- to the district rarily remanded (2) plea proper was whether guilty the Utah to rule 23B of covery pursuant was ineffective. Ott's counsel At the con- Procedure. Appellate of Rules hearings, the district court clusion First, a attempts to withdraw 115 interest findings that no conflict of entered of re plea multiple invite standards guilty Ott's counsel was and that Mr. existed Beckstead, 2006 UT view. State v. to us was returned The record ineffective. matter, we As an initial note 140 P.3d 1288. appeal. direct Mr. Ott's final action on for guilty plea on attempt to withdraw a "an preceded by a motion before appeal must be arguments and re- hearing oral 12 After Rhinehart, the district court." State record, and the we viewing parties' briefs ¶2, 61, 167P.3d 1046. UT briefing on the issue supplemental for asked aggravat- plea to Mr. Ott's of whether Alford Second, Mr. Ott's claims some of satisfy the elements of could ed murder are raised of counsel of ineffective assistance (2008). We section 76-5-202 Utah Code appeal on and some have for the first time plea that Mr. Ott's concerned were Alford in the 23B addressed the trial court been law because of as a matter of was defective categories bearing different hearing, both guilty to be statutory requirement ineffective of review. Mr. Ott's standards murder a defendant must aggravated of failure relating claim to counsels' assistance intentionally kill victim. knowingly and was to the victim (1) {13 hearing. Because we part not a of his 28B appeal address whether This will ineffective case on a claim of as a matter of decide this plea was defective (2) presented for the of counsel that is representation assistance law and whether Mr. Ott's only need describe appeal, first time on we assistance of counsel. constitutes ineffective "An review. appropriate standard of counsel was one hold that Mr. Ott's Because we may voluntarily, accused of crime argued the murder individual was innocent of that he degree pled guilty knowingly, understandingly murder charge to second consent but attempt of a sentence of to avoid the threat imposition in an even if he is of a sentence degree participation 25, 28, murder. 400 U.S. unwilling death first or unable to admit his for 160, (1970). The United 27 LEd.2d 91 S.Ct. constituting Id. The Court the crime." acts most Supreme Court stated "while States appro- type plea of would be concluded that this guilty a waiver of trial pleas consist of both of intelligently concludes priate when "a defendant guilt, express of the latter admission and an entry guilty plea require aof that his interests requisite to the a element is not constitutional strong judge contains and the record before penalty." at imposition Id. of criminal guilt." actual Id. evidence of hold that [aln The Court went on to S.Ci. 160. tinguishes right ineffective assistance of counsel claim raised a challenge defendant's appeal presents ques- validity for the time on a guilty plea appeal"" first 25, 16, Grimmett, 11, ¶8 Clark, 2007 UT 152 P.3d 306 law." tion of State v. (internal quotation 89 P.3d 162. marks and citations omit ¶¶

ted); Merrill, 13-20, State v. ANALYSIS (addressing jurisdictional na 77-18-6(2)(b) prior ture of section signifi I. THIS COURT LACKS JURISDICTION amendment). Rhinehart, cant 2003 TO MR. ADDRESS OTTS GUILTY further held that may a defendant not over PLEA FAILED BECAUSE MR. OTT timely come a failure guilty withdraw his THE TO MOVE COURT TO WITH- plea "styled even if the failure is a claim as PLEA DRAW HIS ineffective assistance of counsel." 2007 UT ¶ Utah Code section 77-18-6 14, 167P.3d 1046. (2008) governs guilty pleas, the withdrawal of 119 Mr. Ott did not move to with including plea in Mr. Ott's case. Alford guilty plea draw his within the time restric Section 77-18-6 states: tions of section argues 77-18-6. He that this (1) plea guilty may A of not be withdrawn disregard court should timely his failure to any prior time to conviction. guilty move to plea withdraw his because his (2)(a) plea guilty A or no contest guilty plea a misplea. constitutes We stated only upon be withdrawn leave of the court Kay that misplea may grant be showing knowingly and a that it ed voluntarily made. where obvious reversible error has been (b) request A plea to withdraw a committed connection with the terms or contest, guilty except plea or no held *6 acceptance the plea agreement of the and abeyance, in by shall be made motion be- prejudice no undue to the defendant is may fore sentence is announced. Sentence apparent[,] .... in situations where some not be announced unless the motion is deception by party fraud or one leads to plea abeyance, denied. For in a held a acceptance the plea agreement{,] of the plea motion to withdraw the shall be made .... other [and] cireumstances where the days

within pleading guilty 80 or no balancing legitimate of the interests and contest. expectations pub- of the defendant and the (c) Any challenge guilty plea to a Tic. period specified made within the in time (Utah 1294, 1986), 717 (2)(b) P.2d 1805 overruled pursued Subsection shall be under 78B, 9, grounds Chapter by Hoff, Title on other v. Post-Convietion State 814 P.2d (Utah 1119, 1991). Act, 65C, Remedies 1123 and Rule Utah Obvious reversible Rules of Civil Procedure. error occurs when necessity pres- manifest is ent. Id. at 1808.

{18 previously We have held that guilty failure to plea withdraw a within the 120 We decline to discuss whether Mr. by time frame dictated section 77-18-6 plea requirements de Ott's met the for a court prives appellate the trial grant court and courts of misplea a because we hold that the jurisdiction validity plea. to review the misplea doctrine in Mr. Ott's case cannot be ¶¶ Rhinehart, 61, 12-14, State v. 2007 UT 167 used to jurisdictional require ciremmvent 1046; State, Furthermore, P.3d see also Grimmett v. 2007 ments. neither the State nor ¶ ("Utah 11, 8, UT Code any section Mr. Ott made motion to the trial court T(-18-6(2)(b) filing occurred, establishes the misplea limitations that a a factor which is govern right a criminal defendant's in granted considered cases that have a mis- guilty plea. 1296-97; withdraw a filing plea. These limita Lopes, See Id. at State v. 496, 2-8, 14-27, 1; App "Section 77-183- 2005 UT jurisdictional.") 128 P.3d tions are 6(2)(b) ¶¶ 'imposes jurisdictional Bernert, 321, 2-5, a bar on late- State v. App 7- 12, Horrocks, guilty pleas, 221; filed motions to withdraw 100 P.3d State v. ¶¶4, 2-7, 12-32, App 1145; comply requirements failure to with its 'ex (Utah Carter, questioned In Moss, Ct.App. State P.2d 1022-27 1996). concerning rec- Appeals impact has victim evidence The Utah Court whether probative blameworthiness was defendant's sponte trial court sua set ognized that a time re- even after the guilty plea impact aside that victim evidence was and held expired. have 77-18-6 of section strictions P.2d capital sentencing. in inadmissible 496, 119, P.3d 1. App Lopez, 2005 UT (Utah 1995), by superseded stat- 652-58 however, 76-8-2070)(a)@i) case, never the trial court ute, § In this Ann. Utah Code Moreover, unlike this discretion. exercised ("This (1995) impact of victim evi- censure here, sentencing had cireumstance the capital applies to evidence of dence cases do not Lopes. We therefore yet occurred character, victim's evidence of the effects the validity the jurisdiction to determine have surviving members of the of the crime on the guilty plea. surviving mem- family, and evidence of crime."). opinions bers' WAS INEF- II. MR. OTTS COUNSEL Legislature amended section 76-3-207 to ex- HE BECAUSE FAILED FECTIVE pertaining to "the vice- pressly allow evidence TO VICTIM IMPACT TO OBJECT impact on the tim and the of the crime EVIDENCE, THEREBY PREJUDIC- family community without com- victim's ING MR. OTT victims," capi- parison persons to other or argues trial counsel was 121 Mr. Ott his Ann. sentencing proceedings. Utah Code tal object to because counsel failed to 76-3-207(2)(a)(ii) (2008). ineffective § impact evi- admission of certain victim sentencing hearing. during capital his dence argues regard 124 Mr. Ott challenge did not Specifically, counsel 76-8-207, less of the amendment to section videotape admissibility of a six-minute fea- argued have that the his trial counsel should turing pictures of Lawrence set presented victim music, family Lacey's from moving sentencing proceeding in his was not State devastating La- effect members about (1) either because section 76-3- admissible them, cey's testimony from death had on 207(@2)(a)@ii)is unconstitutional under Lacey's family opinion on their of Mr. Ott's (2) Constitution, or that under Carter Utah appropriate sentence. character and it is not the evidence is inadmissible because probative. Mr. Ott also contends *7 "An of 122 ineffective assistance provided ineffective assistance for counsel counsel claim raised for the first time failing object portions to of the victim appeal presents question law." v. of State spoke that to Mr. char impact evidence Ott's Clark, 2004 UT 89 P.3d 162. "To rehabilitation, acter, and the chances for his counsel, prove ineffective assistance of defen imposed; all of appropriate penalty to be (1) perform show: that counsel's dant must which he insists violated the United States (2) objectively ance was deficient and a rea Constitution. We do not address Ott's probability sonable exists that but for arguments today because we hold first two deficient conduct defendant would have ob impact of the evidence the portions that at trial." tained a more favorable outcome sentencing at Mr. State introduced Ott's test, satisfy part of the Id. "To first Eighth hearing violated the Amendment of 'strong pre must overcome the defendant Constitution, and that Mr. the United States sumption that trial counsel rendered [his] failure to to this evi (quoting Ott's counsels' adequate assistance."" Id. State v. 1996)) (alter (Utah 638, ineffective assistance of Crosby, 644 dence constitutes 927 P.2d counsel.3 original). ations provisions error. See State v. 3. evidence harmless Mr. Ott has cited various of the Utah constituted ¶123 possibly standing proposi- Constitution as for the Arguelles, 1, 26, 731; 2003 UT n. 63 P.3d 76-3-207(2)(a)(iii) ¶ is tion that Utah Code section 7, 977; 61 n. 57 P.3d Honie, 4, past unconstitutional. In the we have declined 61 P.3d Kell, 106, ¶¶52-54, v. State case, constitutionality Ott's we decline to address of 76-3- 1019. In Mr. to address the section 207(2)(a)(iii) constitutionality section 76-3- of because either the issue had - - - - 207(2)(a)Giii). whether impact We also do not address been briefed or admission of the victim

351 Objectively A. Mr. Ott's Counsel Was 833, (O'Connor, 111 S.Ct. 2597 J. concur Defi- They Object ring) (stating, cient Because Failed to or "we do not reach this issue as Attempt Exclude Por- to Otherwise no evidence of kind this was introduced at Impact tions the Victim Evidence trial"); petitioner's United States v. (10th Cir.1998) 1166, McVeigh, F.3d 158 1217 25 "To establish a claim inef (stating, "Payne prohibi did overrule the oversight on an or misread fectiveness based against tions in Booth the admission of 'infor law, ing of a defendant bears the burden of concerning mation family victim's mem demonstrating why, on the of the law in basis bers' opinions characterization of and about trial, effect at the time of his or her trial crime, defendant, appropriate and the performance counsel's was deficient." State (quoting Payne, sentence."" 501 U.S. at 885 (Utah 1998). Dunn, 1201, v. 1, (Souter, J., n. 111 S.Ct. 2597 concurring))). Tennessee, Payne v. the United States Supreme Eighth Court held Amend large 126 We portions hold that of bar, se, per ment impact does not victim impact victim evidence introduced at Mr. evidence, impact victim but be capital sentencing Ott's hearing featured the prejudicial inadmissible if the evidence is so opinions victims' of the defendant's character sentencing fundamentally it makes un appropriate or the sentence and were there- fair under the Due Process Clause. 501 U.S. clearly fore at odds with United States Su- 808,823,827, 2597, 111S.Ct. 115 L.Ed.2d 720 preme precedent. Court Each victim was (1991); Wainwright, see also Darden v. testify asked about how he or she would 168, 181, 2464, U.S. S.Ct. 91 L.Ed.2d 144 feel if Mr. twenty Ott were to be released (1986) ("The question relevant is whether the years. expressed Each opinion that Mr. prosecutors' comments 'so infected the trial Ott could not be rehabilitated and the notion resulting with unfairness as to make the might that he frightened ever be released process'" (quoting conviction a denial of due them. We recount testimony the relevant Donnelly DeChristoforo, 637, 648, 416 U.S. below. In order to provide context for the 1868, (1974)). 94 S.Ct. 40 L.Ed.2d 431 made, statements quoted large por- we have Payne Maryland, overturned Booth v. 482 tions testimony given at Mr. Ott's U.S. S.Ct. 96 L.Ed.2d 440 sentencing hearing. Although (1987), Eighth which held the Amendment many statements, impermissible contains Payne, barred victim evidence. suggesting every are not statement However, U.S. at 2597. S.Ct. to the quoted constitutionally below is inadmissible. Booth, Payne extent overruled Booth re Lawrence, Lacey's father, 27 Allen testi- viability holding tained for its that victim fied as follows: impact evidence that addresses the defen Q. In giving you opportunity at this expresses dant's character or the victim's point express your thoughts feelings opinion appropriate sentence at the you about they what think penalty phase trial is inadmissible under *8 ought imposing to consider in sentence on Eighth Amendment. at Id. n. Ott, you say? what would (stating, Payne S.Ct. 2597 is limited to hold ing argument Well, "that relating evidence and to A. they I think need to take what impact the victim guy and the of the victim's person kind of is into consider- family mean, death on the victim's are inadmissible ation. I he's shown his hand. He's capital a sentencing hearing"); see also id. is, truly shown what he the kind of man he objectively doing may require Mr. Ott's counsel was deficient for cause so us to find section 76- failing 3-207(2)(a)(iii) Lacey to to the "Meet Avoiding Lawrence" unconstitutional. such primacy approach video. This court adequate stray follows an outcome is an reason to from primacy approach in this case. See and "looks to law, first state constitutional devel ops independent precedent, doctrine and ("[If Briggs, questions only challenged federal decides when state law is state action violates the federal Con dispositive." Newspapers, not West v. Thomson stitution, we need reach question (Utah 1994) (internal quota provides whether the Utah Constitution addition omitted). tion marks We do not address al instead resolve the case protection; by Constitution.") only state constitutional issues briefed Mr. Ott be with reference to the federal Q. given a Assuming that Mr. Ott was crimes are committed types of is ... these just people and he by types of possibility parole, certain life with sentence of you any get- him do have concerns about They them. are one of happens to be ting prison? out of They have no in nature. psychopathic people. They have no other feelings for I I As a matter of A. think should. rights. No re- people's respect for other fact, I do. happi- people's pursuit of spect for other Q. Okay. What is that concern? people's feel- respect for other ness. No very healthy I a 60- A. know lot of they They kill and don't have ings. can things year-old men. I don't see that will killing someone than any feeling for more years. much in 20 I change believe up picked apple off they if reached come out and he will look for us. he'll They don't feel it. That's the of a tree. Exactly right. Knock. Knock. think ever guy this is. I don't he'll kind of Q. you do feel like he'd do this to So change. I don't think he should ever have you again? again perpetrate his opportunity any- any being human Exactly. violent nature on A. Yes. Yes. He doesn't deserve it. again where ever. Q. you him You said that don't see up all his chanees. He's shown He's used changing. What is that based on? he and what he does when he does

who is They A. control freak. don't The get way. us. He He's shown want, they get they know-if don't what he is. showed his hand. That's what they any way don't know other but defining That's is moment of [sic] lifestyle. He doesn't threaten. It's episode five minute de- man's life. That know how to deal-it's how he lives his life. him what he is. That's what Mr. fined as Gooch, daughter, Donna Ott's Sarah is. That's him. Ott responded questioning to a similar line of as Q. upon your personal experi- Based follows: you with Mr. Ott ... and what ob- ences Q. your-your knowledge upon Based perceived served and in the manner and years, having livedwith Mark Ott for those attack fashion in which he carried out the experienced life in the home with Mark Drive, you your it on Hawthorne is Ott, experienced Sep- the attack on perception that if he had known Ott, if ist of 2002 Mark what tember in that house would he have escorted her any you if concerns do have Mark Ott is setting that on fire? out before house prison? ever released from A. I think he would have done a don't enough sleeping A. I have a hard time thing damn different. This man is a ter- long somebody it as is. It's a time for rorist. He deals with anarchist cookbooks. pissed they how off are. stir about are built. He looks at how bombs When he set that house on fire this isn't like Q. ability change in What about his building campfire grocery with a sack. upon you what know of him? based dumped gallons This is a If I bomb. life, A. Mark's been like-his whole gasoline right on this floor here and lit it ever since I've known him. How is he match, you imagine explo- with a can how gonna change? instantly. goes up sive that would be? It Q. you personal- How will that gas campfire I've thrown little bits of on a believe, ly, you if ever do he's released *9 up instantly. to start one. It flares Can from Utah Prison? State you imagine gasoline that much in the I'm A. I don't know. I-I don't know. guy house? ... He didn't care. This does terrified now. I'd hate to see how seared people's feelings. not care about other He actually if I'd be he was out. empathy anybody, has no none. He have it. It's not inside of his char- doesn't Luey 1 30 Gooch testified: to have that. acter Q. night, After the event of that what done, you've gone through you've what 28 Donna Ott testified as follows: since, whoever and whatever inwas that house. you any-are you do have fearful of mean, the defendant? I caught house could have neighbors. fire to the next door Very He A. much so. didn't care who died. He didn't got care who Q. you any if And do have fear he hurt. I know his my intention was to kill prison years would be released from in 20 dad, my but instead he killed little sister. might or what he do? IAnd don't think anything he deserves out, A. I think that if him it we let got. more than what she She can't be be, going doesn't matter how old he's to I today say here to what she I thinks. don't that, know, you think he'll finish what he think any that he rights. deserves He went there to do. I honest to I [sic] God any shouldn't rights. have He took all of way. feel that her, away hers from and I don't believe Lawrence, sister, Lacey's 31 Amber tes- any. that he should have tified as follows: Cook, Terry Lawrence's moth- Amber, Q. knowing happened what in er, testified as follows: September the home on in ist of Home, happened Out and what to [sic] Q. ... you any Do feelings have that sister, your your thoughts little what are you express they would like to as relate to feelings you on how it would make feel the defendant and happen what should to knowing your that the man that did this to the defendant? might father and sister possibility have the A. Yeah. I think he should have to being 20-plus released from in my walk in you shoes. I think should have years. to in my walk my shoes 'cause last two A. Terrifies Ime. don't think that it- years have been horrible You know he change. wouldn't-he wouldn't He They what? going get are not to better. I change wouldn't at all. And I didn't-I my daughter. loved The my love I had for knowing came here not about not even a daughter was strong. so You can't take portion things that have went on in away this, ... and I say hate to I but jail, things that he had I done. But hope you get parole don't out on because mean, just it enough sitting scares me you don't My daughter deserve it. don't this courtroom him knowing with he has no get to come right back to me I now. didn't handcuffs on. enough. That seares me get my to finish with daughter's I life. IAnd don't even want to think about how go have tonight to home my without knowing it would be going get he was to there, daughter and I have to be alone for any out in amount of time. I don't see my the rest of unhappy life and be for the anybody how could do what he did. But my hope rest of life. I you can think about today. he did that IAnd know that if it that for the your rest of life. him, up my to sitting dad wouldn't be 183 It is clear to us that today. My here dad would not be here at offered at Mr. sentencing Ott's squarely falls all ... very But it could have well been me categories within the of evidenceidentified as sister, my instead of little or both of us. inadmissible, capital sentencing hearings, Q. Amber, anything you is there else by Payne and Booth. Mr. Ott's counsel was want Any to know? other objectively failing object deficient for to thoughts you feelings you or have want to the offensive evidence. they make sure are- A. I want them to know that Mark however, argues, The State does not care. hap- He doesn't care what that Mr. deliberately Ott's counsel chose not pened night. He doesn't care if it was part inadmissible evidence as my me or everybody sister or strategy. of trial argument We find this house. He it burned down. He didn't "Proving be without merit. that his counsel's help anybody try out of it. He didn't performance objective fell below an standard requires pick reasonableness [Mr. Ott] to 'rebut person out one out of five. He wanted *10 us, just my dad. strong He was there for presumption the that under the cir- 354 might

cumstances, challenged action be objectively deficient the sel in Bullock was not complained the of Taylor "[wlhile v. because evidence strategy'" trial sound considered 178, inadmissible, 12, (quot- 789 State, 156 P.3d trial counsel have been 2007 UT reasonably under cir- Galetka, 96, 140, could conclude these 44 v. ing Carter little chance of cumstances that there was 626). counsel's "'will not review P.3d We testimony of the children out of keeping the another simply because tactical decisions evidence," necessary allow and that it was to counsel, have appellate would lawyer, e.g., expert testimony of the social worker the v. course'" Parsons a different taken (Utah 1994) challenge defense counsel to the Barnes, (quot- order for 871 P.2d at veracity expert's techniques. Id. (Utah Jones, 1059, 1063 828 P.2d ing v. State into account that defense 159. We also took 1991). 'a Additionally, "whenever there is presentation experts of defense counsels' judgment professional exercise of legitimate good of defendant's character and evidence strategy, the fact that it of trial in the choice consistent reputation for truthfulness was expected result does not produce the did not strategy. at a rational defense Id. 158. with Id. of counsel!" ineffectiveness constitute Bullock, P.2d v. (quoting State object to 87 Mr. Ott's counsels' failure to (Utah 1989)). essence, question is In the impact presented the victim objections the be- failure to raise the component case cannot be construed to be "Iwlas consciously the result of a the trial court fore strategy. any of rational defense The State rather than strategy of trial counsel chosen presents us with what it views as one defense strategic if it was a deci- oversight, and strategy tolerating that would include the sion, making that constitute of choice inflammatory did the prejudicial and admission of Bullock, of counsel?" employed ineffective assistance that as inadmissible evidence: one 791P.2d at 158-59. avoiding perception central features the its "pushing aside" that Mr. Ott was previously analyzed whether have 35 We Mr. presenting while Ott as remorseful object failure to to victim testi- trial counsels' responsibility man took for his actions. who merely strategy. trial Id. at mony trial is objection argues any that made to The State Bullock, case, In a child sexual abuse 155. minimize impact the victim evidence would argued trial was defendant counsel the strategy. the effect of this failing argue videotaped that ineffective in {38 conclude, however, that counsels We testimony alleged child abuse victims and strategy just overall was not to avoid dishon- testimony Id. expert was inadmissible. At death, oring Lacey's present but also to Mr. trial, testimony boys videotaped of four de- who could rehabilitated Ott someone be as alleged presented abuse was scribing the parole. possibility deserved the who jury, and the social worker to whom the Hovater, if we noted "the evidence State questioned boys first disclosed the abuse was value to [the no conceivable beneficial hals] Among things, at 156. other at trial. Id. defendant], object the failure to to it cannot to the admissi- defense counsel did strategy." as trial be excused statements, bility the vid- of the out-of-court (Utah 1996). testimony Victim procedures, expert or the witness's eotaping portrayed that Mr. Ott as a murderer who testimony that the children were victims of motivated a desire to terrorize his Id. at 157-58. sexual abuse. beyond does victims and who is rehabilitation jury allowing found We conceivably support Ott's defense videotaped descriptions hear and the ex- theory any or other under State's cross-examining the pert and then rationally could be constructed. expert credibility attack of the chil- of draw 139 We note avoidance dren's was defense counsels accusations jury's to certain facts or strategy. ing counsel at- attention Id. at 160. Defense aspects the facts is a over-emphasizing tempted quality to "attack the of the State's strategy. See State v. recognized trial persuade evidence in an effort to of well Harter, App support a insufficiency of the evidence to de (finding strategic in failure of that coun- decision conviction." Id. at 158. We held *11 effect, argue jury for curative in determining fense counsel to had an isolated trivial error, the effect of implication flight of defendant's the we 'consider the total struction ity jury!" of the evidence the ... want before defense counsel did not to em because Hales, 14, ¶86, State v. 2007 UT phasize the fact that defendant fled the scene (alterations crime). original) (quoting Strick case, however, In Mr. of the Ott's land, 2052). 695-96, U.S. 104 S.Ct. tactical methods were available to his coun sel, type the which could have limited case, T 41 In this the record discloses that impact For in victim evidence admitted. probability there is a reasonable that but for stance, sought counsel could have Mr. Ott's impact the admission of the victim impact victim exclusion of the evidence about that addressed Mr. Ott's character and the through a motion in li- opinions sentence, Mr. Ott's character appropriate victims' A not to to the victim mine. decision Mr. Ott would have received a more favor- evidence, impact especially when the evi- able sentence. The admission of the evi- existing precedent prohibiting denee violated sufficiently dence undermines our confidence in Mr. Ott's sentence. expressing opinions victims about the sen character, tence or the defendant's falls be Kell, 142 In analyzed State v. we the objective low the line of reason and therefore prejudicial impact effect of victim evidence. amounts ineffective assistance counsel. 106, 1152-54, 2002 UT 61 P.3d 10194 Mr. Kell, already murder, incarcerated for Objectively B. Mr. Ott's Deficient charged aggravated with the murder of Mr. Representation Prejudiced Blackmon, inmate, another and Mr. Kell was Mr. Ott ¶ ¶- convicted and sentenced to death. Id. trial, that guilt phase T40 We also hold 2. At the the victim's objectively family representation preju pain, devastation, deficient testified about the anguish the of the victim prejudiced by diced him. A defendant "is loss had caused them. Id. 152 n. 15. only counsel's We concluded that the actions if the result of the impact evidencein Mr. Kell's case was proceedings would have been different ab victim prejudicial. making that determina deficiency." sent the claimed State v. Greu tion, emphasized family's that the ber, victim 50, ¶9, 2007 UT 165 P.3d 1185. "To impact particularly was "[not] prejudice show in the ineffective assistance of in tone, flammatory," descriptive "moderate in context, counsel the defendant bears the bur family's mourning loss and but not proving 'actually den of that counsel's errors angry," militant or made "no effort an had adverse effect on the defense' and pressure impose penal the death that, that probability 'there is a reasonable ty." Specifically, Id. 19%58-54. a statement errors, but ... counsel's the result of prepared by family the victim's and read to proceeding would have been different!" the court stated: Santana-Ruiz, 34, ¶20, v. State 2007 UT Concerning penalty phase for this indi- (quoting 2007 WL 1095559 Strickland v. vidual, family abiding has conviction 668, 698-94, Washington, 466 U.S. 104 S.Ct. that unjust man's laws were written for the (1984)). 2052, 80 LEd.2d 674 "'A reason and for evildoers. Therefore whatever probability probability able ais sufficient to punishment is meted out this Court or Tay undermine confidence in the outcome."" jury, whether it penalty be the death State, lor 156 P.3d 739 sentence, my family or some other will Strickland, (quoting 466 U.S. at accept ruling. 2052). S.Ct. [slome "Because' errors will Id. I 52 n. 15. pervasive have had a effect on the inferences evidence, to be drawn from altering In concluding the admission of evidentiary picture, entire impact some will have the victim prejudice evidence did not prejudice Parker, 4. The of victim evidence in Kell tance of counsel framework. prejudice prong was addressed under of a ("The prejudice test held, plain analysis. previously error We have for ineffective assistance of counsel claims is however, prejudice analysis equivalent applied is the same to the harmfulness test in as- plain error."). sessing plain under both error and ineffective assis- *12 present not an 146 Mr. Ott's case does not under- defendant, therefore did the outcome, mitigating pre- where the evidence in the we instance confidence mine our prejudicial effect of the negates the that the victims' sented to note important found it single impact evidence. The penal- unlawful victim ask for the death "did statements jury whether Mr. jury question in the was the before up to the decision ty, but left a of life with In receive sentence Id. €158. Ott should terms." remarkably neutral Implicit in a parole. or life without parole inquiry our dicta, suggested that also parole possibility life with the the victim sentence of had been different might have one by jury that Mr. Ott could pen- in the is a belief the been introduced impact evidence ("Absent [the society. Id. 154 the trial. and re-enter alty phase of day be rehabilitated large Underlying jury's decision is the in the impact evidence] the victim presence of addressing Mr. Ott's of evidence possibility that amount see no penalty phase, we the health, including any person- or mood differ- mental would have been jury's verdict © ent."). ality disorders. {47 impact testimo- of victim prison psychiatrist 1 44 The content who Egli, Dr. dramatically more Ott, case is ny in Mr. Ott's Mr. testified that Mr. Ott was treated in admitted inflammatory than the evidence responding positively to medication. tone, of Mr. presented Here, testimony angry in counsel also evidence Ott's was Kell. childhood, experience, tumultuous war mes- inflammatory Ott's in content and contained beyond rehabilitation. was sages hospital stays that Mr. Ott psychiatric lead and numerous impact evidence was Additionally, the victim crime wherein he ing up night of the of the during penalty phase may improperly admitted medicated. While have been large portion a of the comprised not, trial and in evidence does our persuasive, this presented. The existence of any meaningful way total evidence in judgment, neutralize factors, considering that Mr. especially these the characteriza prejudicial effect objecting never uttered a word counsel murdering Ott's a "terrorist" tion of Mr. Ott as evidence, undermines directly to the admission by people who encountered made in the outcome. our confidence night crime. That he Mr. Ott on the did improving medicated was while argues mitigation evidence 1 45 The State mitigate the numerous statements nothing to by counsel ameliorates presented that, released, would once Mr. Ott made inflammatory effect any prejudicial or " considering 'the uncontrollable. become caselaw victim evidence had. Our jury,"" the ... totality of the evidence before sug- under addressing prejudice Strickland Hales, (quot counsel that leads to the gests that deficient Strickland, 695-96, ing 466 U.S. at 104 S.Ct. inflammatory statements is admission 2052), failure we must conclude that counsels mitigating or prejudicial if other statements under to the inadmissible evidence instance, in State presented. evidence is For and there mines confidence the outcome that a defendant was not v. Dumn we held prejudiced fore Mr. Ott. counselg' request prejudiced by his failure to jury concerning a uncorroborated instruction {48 to the trial We therefore remand testimony county attor- because the witness to afford Mr. Ott court with instructions ney had testified the witness's sentencing hearing. new exchange for a reduction in his given on the charge, own the witness admitted CONCLUSION liar, pathological judge and the stand to be a presented jury may disregard 1 49 The facts and issues they instructed the Although we first very complex. they 850 P.2d case are deemed incredible. (Utah 1998). properly could Mr. Ott ameliorating questioned whether 1226-28 The murder, we are without aggravated mitigated any prejudicial plead effect statements guilty plea because jurisdiction to address witness the absence of uncorroborated plea is a to withdraw his failure to move had on the out- instruction have Mr. Ott jurisdictional bar on this court. come of Mr. Dunn's trial. Id. brought several claims addressing his coun- sideration of federal questions."); Jeffs sels' Stubbs, ineffective assistance. Today, (Utah we ad- 1998) only dress argument ("[When that his counsel party asserts claims under both provided ineffective assistance for failing to the Utah and federal Constitutions, this court object to victim impact evidence. Specifical- ordinarily first determines the issue under *13 ly, we hold that counsel was objectively defi- the Utah Constitution only and resorts to the cient for failing object to victim impact federal Constitution if the state constitution evidence that character, addressed Mr. Ott's dispositive."). is not rehabilitation, chances for and deserved sen- tence because such victim impact evidence 1 52 Justice PARRISH concurs in Chief clearly violates Eighth Amendment when Justice DURHAM's concurring opinion. introduced in capital sentencing hearings. Counsels' failure to to this evidence prejudiced

also Mr. Ott such objec- that the

tively deficient counsel constitutes ineffective

assistance of counsel. We remand to the

trial court for a new sentencing hearing con-

sistent with opinion. 4UT [ 50 Associate Chief Justice DURRANT WEISER, Glen C. Plaintiff and Justice WILKINS concur in Justice Appellant, and opinion. NEHRING's DURHAM, Justice, Chief concurring: UNION PACIFIC RAILROAD 151 I concur fully in analysis COMPANY, Defendant

result of the majority opinion on the federal Appellee. issue, but write separately to my note con- cern at the failure to engage first with the No. 20080124. questions state law properly preserved and Supreme Court of Utah. briefed. Structurally, I believe this court should determine first whether state law has Feb. 2010. complied been with before addressing claims Rehearing May 24, that the Denied federal 2010. Constitution has been violat- ed. West v. Thomson Newspapers, 872 P.2d (Utah 1994) 1005-06 (adopting pri-

macy approach wherein the court "looks first

to state law, constitutional develops indepen-

dent precedent, doctrine and and decides questions

federal only when state law is not

dispositive," and provides thus for a "consis-

tent method" that accords "with original

purpose (internal system" federal quo- tation omitted)); marks see also State v.

Briggs, 88, 52, (Dur- 199 P.3d 985

ham, C.J., ("The concurring) failure to under- independent

take analysis state in cases

where state law argued is contributes to a

paucity precedent and the absence of an

independent and adequate ground state our holding."); Tiedemann,

49, 133, ("[Ilt part is logic

inherent of federalism that state law be

interpreted independently prior to con-

Case Details

Case Name: State v. Ott
Court Name: Utah Supreme Court
Date Published: Jan 5, 2010
Citation: 247 P.3d 344
Docket Number: 20040638
Court Abbreviation: Utah
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