Lead Opinion
|,We granted this writ application to review whether the trial court erred in granting defendant’s application for post-conviction relief on grounds trial counsel rendered ineffective assistance. Finding defendant, Anthony Thomas, did not satisfy the standard for ineffective assistance of counsel set forth by the United States Supreme Court in Strickland v. Washington,
FACTS AND PROCEDURAL HISTORY
In early 1998, defendant, Anthony Thomas, began dating a young woman whom he met after repairing her car. Shortly thereafter, defendant began exhibiting violent behavior and the relationship began to deteriorate. Defendant had episodes during which he kicked holes in his girlfriend’s walls, ripped holes in her clothes, poured sugar on her carpet, and threw food at her. By mid-year 1998, defendant’s girlfriend had become fearful, telling family members that she was afraid for her safety, and eventually leaving her apartment and taking up residence at her mother’s house. However, despite her efforts to avoid defendant, he continued to stalk her. When his girlfriend returned to her apartment with her son, defendant was waiting there and forced his way into the home. Defendant told his girlfriend that he was going to have sex with her, pushed her to the floor and struck |2her. Out of fear she acquiesced to his demands. Defendant then instructed his girlfriend to remain in place while he went outside to turn his truck off. However, as soon as defendant was out of sight, she ran to a neighbor’s home and called police. When the police arrived, defendant’s girlfriend identified him as the perpetrator and he was arrested.
Following his arrest, defendant was charged with aggravated burglary. A jury found him guilty of the lesser and included offense of attempted aggravated burglary. Defendant was subsequently adjudicated a third felony offender and sentenced to mandatory life imprisonment at hard labor without benefit of parole, probation, or suspension of sentence.
On appeal, the appellate court found that the prosecutor made an indirect reference to defendant’s failure to testify, in violation of La.C.Cr.P. art. 770(3).
In 2002, the State retried defendant on the original charge of aggravated burglary.
Defendant appealed. The court of appeal once more reversed the conviction and remanded the case for a new trial upon finding the State’s prosecution of defendant for aggravated burglary was jeopardy-barred. State v. Thomas,
This Court granted the State’s writ application, reverséd the decision of the court of appeal, and reinstated defendant’s conviction and sentence. State v. Thomas, 05-2373 (La.4/17/06),
[Rjeversal of defendant’s first conviction and sentence did not preclude the state from holding a second trial, only from seeking a conviction for aggravated burglary. ... The court of appeal therefore had no basis for vacating that verdict as unresponsive to the charge that it believed should have been brought, i.e., attempted aggravated burglary, because the verdict was not inherently tainted by virtue of its return in the trial of a jeopardy-barred offense.
Id. at 2,
[ thereafter, defendant filed an application for post-conviction relief, including a claim that his counsel at the second trial was ineffective for failing to file a motion to quash the jeopardy-barred charge of aggravated burglary. The trial court ordered an evidentiary hearing, which was held before a commissioner. An attorney was appointed to represent defendant during the proceeding. At the evidentiary hearing, trial counsel testified he was aware that defendant’s case was being tried a second time for the 1998 offense. Counsel testified generally that, given four months to prepare for trial, he spent very little time on procedural issues, and his objectives were to adequately investigate facts and witnesses, review the testimony of previous witnesses, and prepare for trial. Finally, counsel emphasized that he was responsible for raising the motion to quash on jeopardy grounds and that his failure to do so was an error.
Following the hearing, the commissioner recommended the trial court grant post-conviction relief based on trial counsel’s ineffectiveness. The commissioner, rea
The court of appeal denied the State’s writ application. State v. Thomas,
DISCUSSION
“The Sixth Amendment, applicable to the States by the terms of the Fourteenth Amendment, provides that the accused shall have the assistance of counsel in all criminal prosecutions.” Missouri v. Frye, — U.S. -,
To prevail on such a claim, a defendant must first show that “counsel’s representation fell below an objective standard of reasonableness.” Strickland,
Regarding the “fundamental fairness of the proceeding,” the Supreme Court has held that in some circumstances a mere difference in outcome will not suffice to establish the required prejudice. In Lockhart v. Fretwell, the Court stated:
[A]n analysis focusing solely on mere outcome determination, without attention to whether the result of the proceeding was fundamentally unfair or unreliable, is defective. To set aside a conviction or sentence solely because the outcome would have been different but for counsel’s error may grant the defendant a windfall to which the law does not entitle him.
Lockhart v. Fretwell, 506 U.S. 364, 369-70,
In the present case, the issue raised by the State is whether the trial court erred in granting defendant’s application for post-conviction relief on his claim of ineffective assistance of counsel, that is, was counsel’s performance deficient and was the defendant prejudiced as a result.
|7Performance
First, we consider whether trial counsel’s performance fell below the standard set out by the Supreme Court in Strickland. Applying the relevant precedent to the facts of this case, we find counsel’s performance was below the objective standard of Strickland, thus constituting ineffective assistance of counsel.
The State contends trial counsel’s performance was not so deficient that it fell below an objective standard of reasonableness. The State points out that a motion to quash could have been filed by any of the eight previous attorneys who represented defendant after his first conviction was reversed, or noted by the district attorney, or the trial court itself. Thus, the State argues because everyone missed the issue, failing to raise it was not unreasonable. Further, the State asserts trial counsel correctly prioritized fact investigation over research into procedural issues of this nature.
In contrast, defendant argues trial counsel’s failure to file a motion to quash asserting double jeopardy was unreasonable in light of the obvious merit of the issue. Further, defendant argues the State’s reliance on the failure of others to raise this issue is misplaced because such conduct is irrelevant in determining trial counsel’s duties under an objective standard of reasonableness.
We find no merit in the State’s argument. The Supreme Court has recognized generally that criminal defendants are entitled to expect that their counsel understand applicable constitutional law. See, e.g., Connick v. Thompson, — U.S. -,
There is no doubt the double jeopardy issue had merit. Both the Fifth Amendment to the United States Constitution and Article 1, § 15 of the Louisiana Constitution guarantee that no person shall be twice placed in jeopardy for the same offense.
Although the State attempts to justify counsel’s omission by arguing he made a reasonable choice to prioritize trial preparation, this argument overlooks [ 9the corollary that reasonable trial preparation steps would have led competent counsel to file a motion to quash based on double jeopardy grounds. Trial counsel testified that his failure to file a motion to quash was simply an oversight or omission. No assertion of strategy complicated this analysis. There is no question that failure to raise this defense was due to attorney error.
We also reject the State’s argument that deficient performance was not established in this case because counsel was only one of many who could have raised the double jeopardy issue. Counsel’s duty under the Sixth Amendment to act as advocate is not qualified or lessened by the obligations of others to ensure orderly and fair proceedings. A defendant need only show that his attorney, appointed to satisfy the State’s Sixth Amendment obligation, rendered performance that fell below an objective standard of reasonableness. See, e.g., Kimmelman,
Thus, we find the trial court did not err in concluding that counsel’s performance fell outside the wide range of reasonable professional assistance as set out in Strickland.
Prejudice
Having found that counsel’s representation fell below an objective standard of reasonableness, we must determine if there is a reasonable probability that, but for counsel’s error, the result of the proceeding would have been different. To that end, defendant argues counsel’s error of allowing him to be twice placed in jeopardy for aggravated burglary was itself prejudicial. Defendant asserts he suffered prejudice because there is a reasonable probability he would not have been convicted of unauthorized entry of an inhabited dwelling had counsel pursued a
Conversely, the State argues defendant cannot prove prejudice under Strickland. The State asserts the guilty verdict for unauthorized entry of an inhabited dwelling was a nonjeopardy-barred offense. The State contends it has sole authority in charging decisions, and there is no requirement that the second or subsequent charge must be responsive to the original charge or conviction in order to avoid double jeopardy. Thus, the State explains, it could have rebilled or reindicted defendant for unauthorized entry of an inhabited dwelling and the result would have been the same. Further, the State argues that regardless of which felony the defendant was ultimately convicted, whether it was a responsive verdict to attempted aggravated burglary or a different felony, defendant would have received the same life imprisonment sentence as a third offender under the habitual offender law. Accordingly, the State contends, the trial court erred in concluding defendant suffered prejudice because the outcome of this case would not have been different.
For reasons set out below, we find defendant’s argument unpersuasive given the circumstances of this case. Thus, we hold the trial court erred in finding defendant satisfied the prejudice prong of Strickland.
We previously determined in State v. Thomas that the return of a nonjeopardy-barred responsive verdict of unauthorized entry of an inhabited dwelling cured the double jeopardy implications of retrying defendant for aggravated burglary following his acquittal on that charge when the jury returned a |nresponsive verdict of attempted aggravated burglary, subsequently reversed on appeal for trial error. See La.C.Cr.P. art. 598(A). We noted that the verdict for the lesser offense of unauthorized entry “was not inherently tainted by virtue of its return in the trial of a jeopardy-barred offense.” Thomas, 05-2373 at 2,
While defendant was entitled to be free from the jeopardy-barred prosecution (and also entitled to vindicate that freedom through a pretrial motion to quash), Morris v. Mathews holds that absent some showing that the fact-finder’s factual determinations were skewed by the jeopardy-barred prosecution, conviction on a lesser-included, nonjeopardy-barred offense suffices to remedy any double jeopardy violation inherent in a jeopardy-barred prosecution. Morris,
When courts have recognized claims of ineffective counsel regarding jeopardy issues, they have involved total waiver of a claim that would have barred prosecution altogether for any crime related to the incident because they are uniquely incurable other than by reversal of conviction. See Allah,
The return of a guilty verdict of unauthorized entry of an inhabited dwelling meant that defendant’s retrial on the barred charge of aggravated burglary ultimately did not deprive him of his substantive right not to be prosecuted and convicted twice for the same offense as a matter of the Double Jeopardy Clauses of the federal and state constitutions. Mathews,
Accordingly, we hold that defendant ultimately fails to satisfy the two-part Strickland standard for assessing claims of ineffective assistance of counsel and the district court erred in concluding otherwise. That judgment is accordingly reversed and defendant’s conviction and sentence are reinstated.
REVERSED; CONVICTION AND SENTENCE REINSTATED.
Notes
Retired Judge Robert L. Lobrano, assigned as Justice ad hoc, sitting for Weimer, J., recused.
. La.C.Cr.P. art 770 provides, in pertinent part:
Upon motion of a defendant, a mistrial shall be ordered when a remark or comment, made within the hearing of the jury by the judge, district attorney, or a court official, during the trial or in argument, refers directly or indirectly to: ... (3) The failure of the defendant to testify in his own defense.
. Defendant was not reindicted, nor was a new bill of information filed.
. La.C.Cr.P. art. 814(A)(43) provides:
The only responsive verdicts which may be rendered when the indictment charges [Attempted Aggravated Burglary] are: guilty; guilty of attempted simple burglary; guilty of attempted simple burglary of an inhabited dwelling; guilty of attempted unauthorized entry of an inhabited dwelling; not guilty.
. U.S. Const, amend. V provides, in pertinent part:
nor shall any person be subject for the same offense to be twice put in jeopardy oflife or limb....
Article 1, § 15 of the Louisiana Constitution provides, in pertinent part:
No person shall be twice placed in jeopardy for the same offense, except on his application for a new trial, when a mistrial is declared, or when a motion in arrest of judgment is sustained.
.La.C.Cr.P. art. 591 provides:
No person shall be twice put in jeopardy of life or liberty for the same offense, except, when on his own motion, a new trial has been granted or judgment has been arrested, or where there has been a mistrial legally ordered under the provisions of Article 775 or ordered with the express consent of the defendant.
. La.C.Cr.P. art. 596 provides, in pertinent part:
Double jeopardy exists in a second trial only when the charge in that trial is: (1) Identical with or a different grade of the same offense for which the defendant was in jeopardy in the first trial, whether or not a responsive verdict could have been rendered in the first trial as to the charge in the second trial.
. La.C.Cr.P. art. 598(A) provides:
When a person is found guilty of a lesser degree of the offense charges, the verdict or judgment of the court is an acquittal of all greater offenses charges in the indictment and the defendant cannot thereafter be tried for those offenses on a new trial.
Dissenting Opinion
dissents and assigns reasons.
hi respectfully dissent. In my view, defendant, Anthony Thomas, satisfied the standard for ineffective assistance of counsel set forth by the United States Supreme Court in Strickland v. Washington.
This case involves a clear double jeopardy violation. The majority concedes that defense counsel’s failure to file a motion to quash based on the double jeopardy violation was due to attorney error and constituted deficient performance. The majority then goes on to find that defendant was not prejudiced by counsel’s failure to raise the double jeopardy issue because it concludes the result of the trial would not have been different, absent this error. I disagree.
In making a determination of ineffectiveness of counsel, we are required to apply the straightforward outcome-determinative analysis set forth in Strickland. Citing Lockhart v. Fretwell, the majority states that the ultimate focus of our inquiry must be on the fundamental fairness of the proceeding, and that a mere difference in |2outcome will not suffice to establish the required prejudice in some circumstances. However, the Supreme Court has made clear that cases such as Lock-hart are exceptions to the rule of Strickland. In Lockhart, the defendant was sentenced to death based on an aggravating circumstance that duplicated an element of the underlying felony. Before defendant’s trial, a federal appellate court held that such “double counting” was impermissible, but defendant’s counsel was not aware of the decision and failed to object. However, before defendant’s federal habeas corpus relief claim reached the Supreme Court, that appellate court case was overruled. Because the ineffectiveness of counsel had not deprived defendant of any substantive or procedural right to which the law entitled him, the Court concluded that, given the overriding interest in fundamental fairness, the likelihood of a different outcome attributable to an incorrect interpretation of the law should be regarded as potential windfall to the defendant, rather than the legitimate prejudice contemplated by Strickland.
In Williams v. Taylor,
In this case, defendant seeks relief from counsel’s failure to meet a valid legal standard, not from counsel’s refusal to violate it as in Nix. Nor would counsel’s assertion of the double jeopardy defense have resulted in an undeserved windfall for defendant, as in Lockhart. Thus, I find a straightforward application of Strickland is proper. Applying that standard to the facts of this case, it is clear defendant has satisfied the prejudice prong of Strickland.
Strickland instructs that to prove prejudice, a defendant must show there is a reasonable probability that but for counsel’s errors, the result of the proceeding would have been different. In this case, when the defendant was found guilty after the first trial of attempted aggravated burglary, that verdict served as an acquittal of the 14offense of aggravated burglary. Thus, the state trying defendant again for aggravated burglary unquestionably constituted double jeopardy. Had counsel filed a motion to quash, we must assume the trial court would have granted it since defendant was clearly entitled to relief, and the state could not have tried defendant for aggravated burglary. If defendant had been tried for the next most serious offense of attempted aggravated burglary, he could not have been convicted for unauthorized entry of an inhabited dwelling because it is not a proper responsive verdict for an attempted aggravated burglary charge. Therefore, had defense counsel filed a motion to quash, raising what was clearly a meritorious double jeopardy defense, there is no doubt the
The majority finds defendant’s prejudice argument wanting because of “the almost certain chance” defendant would have received the same habitual offender sentence of life in prison as a third offender, even if a motion to quash had been filed. This is purely speculative. I find it offensive to the criminal justice system to assume that defendant would have been convicted had he been tried on a proper charge under different circumstances, or that the state would have undoubtedly instituted habitual offender proceedings after a third trial. To conclude otherwise would essentially preconvict the defendant and deprive him of a trial on a proper charge. It is inappropriate to engage in such pure conjecture.
I also find prejudice is demonstrated by the unreliability of the outcome of the proceeding. In Price v. Georgia,
The Double Jeopardy Clause, as we have noted, is cast in terms of the risk or hazard of trial and conviction, not of the ultimate legal consequences of the verdict. To be charged and to be subjected to a second trial for first-degree murder is an ordeal not to be viewed lightly. Further, and perhaps of more importance, we cannot determine whether or not the murder charge against petitioner induced the jury to find him guilty of the less serious offense of voluntary manslaughter rather than to continue to debate his innocence.10
Thus, in Pnce, prejudice to the defendant was presumed because of the likelihood that the conviction for manslaughter had been influenced by the trial on the more serious murder charge. The same holds true in this case. Prejudice is presumed because of the likelihood that defendant’s conviction was influenced by trial on the more serious charge.
In previously reinstating defendant’s conviction, this court recognized the state’s error in retrying defendant for aggravated burglary, but considering defendant did not file a motion to quash that proceeding, we found the verdict of unauthorized entry of an inhabited dwelling was not inherently tainted by virtue of its return in the trial of a jeopardy-barred offense. In so doing, we relied in part on Morris v. Mathews.
While the majority relies heavily on Morris, in considering prejudice under Strickland, I find the facts of this case more in line with Price, and thus find its reasoning instructive. Defendant was tried for the jeopardy-barred offense of aggravated burglary, but found guilty of the lesser-included offense of unauthorized entry of an inhabited dwelling. As in Price, the fact that defendant was subjected to trial on a more serious charge inherently influenced the factfinder’s verdict. Counsel’s error also had consequences for defendant in terms of his sentencing exposure. Defendant was placed on trial for the more serious crime of aggravated burglary, which provides a sentence range of one to thirty years.
For these reasons, I would affirm the ruling of the trial court.
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. Id. at 393,
. — U.S.-,
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. Id. at 1387.
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. La. R.S. 14:60.
. La. R.S. 14:27(D)(3).
. La. R.S. 14:62.3(B).
