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Holly
WOOD
Classification: Murderer
Characteristics:
Revenge
Number of victims: 1
Date of murder: September 1, 1993
Date of arrest:
Same day
Date of birth: July 4, 1960
Victim profile:
Ruby Lois Gosha, 34 (his former girlfriend)
Method of murder:
Shooting (12-gauge
shotgun)
Location: Pike County, Alabama, USA
Status:
Executed
by lethal injection in Alabama on September 10, 2010
Summary:
Ruby Lois Gosha was a former girlfriend of Wood and the mother of his
child. She lived in the home of her mother with her children.
On the night of the murder, her mother told Wood to
leave her home and not come back. Wood ignored the command and
returned four hours later, sneaking into Ruby’s bedroom with his 12-gauge
shotgun.
Later that night, Wood told his cousin, Calvin
Salter, “I shot that bitch in the head, and [blew] her brains out and
all she did was wiggle.” At the time Wood killed Ruby, he was already
on parole for a prior violent felony shooting of another former
girlfriend, Barbara Siler, whom he had shot through the window of her
home. Wood had another 18 arrests on his record.
Citations:
Wood v. State, 715 So.2d 812 (Ala.Cr.App. 1996). (Direct
Appeal) Wood v. State, 891 So.2d 398 (Ala.Cr.App. 2003). (Postconviction)
Final/Special Meal:
None.
Final Words:
Declined.
ClarkProsecutor.org
Alabama Department of Corrections
Inmate: WOOD, HOLLY
DOC#: 00Z573
Gender: M
Race: B
DOB: 7/4/1960
Prison Holman
Received: 12/9/1994
Charge: MURDER
County: PIKE
Alabama executes inmate who claimed mental
disability
Al.com
Sept. 9, 2010
ATMORE, Ala. (AP) — Alabama has executed 50-year-old
Holly Wood, accused of shooting his former girlfriend to death as she
slept in 1993. Prison officials say Wood died by lethal injection at
6:21 p.m. Wood had no last words, though two of his sisters witnessing
the execution screamed, cried and prayed loudly as he was executed.
Wood did not respond.
Wood was accused of breaking into the home in Troy
of his former girlfriend, 34-year-old Ruby Gosha, and shooting her in
the head with a shotgun while she was sleeping.
His attorneys claimed he had an IQ of 70 or less
and that his trial lawyers wrongly failed to tell the jury about his
mental limitations. Prosecutors said he was not as mentally disabled
as claimed, and the U.S. Supreme Court rejected his appeal.
He was the fourth inmate executed in Alabama this
year.
Governor rejects plea to stop Wood's execution
By Bob Johnson - MontgomeryAdvertiser.com
September 9, 2010
ATMORE — Death row inmate Holly Wood lost a plea
for clemency from Gov. Bob Riley and looked to the U.S. Supreme Court
for a stay as his execution hour drew near Thursday for the 1993
shooting death of his former girlfriend. Riley turned down Wood's
request Thursday morning, hours before the 50-year-old inmate was
scheduled to die by lethal injection at 6 p.m. at Holman Prison.
A request for a stay of execution was pending
before the U.S. Supreme Court. Wood's attorneys contend he is mentally
disabled with an IQ of 70 or below and that his lawyers wrongly failed
to inform the jury of his mental limitations. The Supreme Court in
January rejected that argument in a 7-2 vote.
Wood was convicted in the shotgun slaying of his
former girlfriend, 34-year-old Ruby Gosha, the mother of his child.
Wood was accused of breaking into her home at Troy and shooting her in
the head with a shotgun while she was sleeping. "For his brutal crime,
he was tried and convicted by a jury and the jury recommended he be
sentenced to death. This conviction and death sentence have been
upheld by higher courts and I see no reason why this office should
overturn the sentence," Riley said in a statement after rejecting the
clemency plea.
The clemency petition said state psychiatrists have
said Wood is mentally disabled and that his reading, spelling and
arithmetic skills are in the second- to fourth-grade range. The
petition said Riley should stop the execution partly because his
attorneys failed to tell jurors that he was mentally disabled in the
sentencing phase of his trial.
The Alabama Attorney General's Office filed a brief
asking the Supreme Court to allow Wood's execution to proceed, arguing
that Wood has been on death row for 16 years and that his claims have
been considered previously by federal and state courts. The attorney
general's office also said that before his arrest, Wood held several
jobs and was able to function in society. It also argued that Wood
showed mental acuity in the way he planned and carried out the killing
of Gosha.
Wood met Thursday with family and friends at the
prison in Atmore. Two sisters and a brother of Gosha, along with a son
and a daughter, have said they plan to attend the execution.
Wood appeals to Supreme Court
TroyMessenger.com
Wednesday, September 8, 2010
A Troy man convicted of a 1993 murder is scheduled
to be executed today, but according to an Associated Press report, has
asked the U.S. Supreme Court to stop his execution. Holly Wood, 50, of
Troy, petitioned the Court for a stay of execution, contending he is
mentally disabled and had insufficient counsel when a jury recommended
he receive the death penalty for the murder of his former 34-year-old
girlfriend Ruby Gosha in 1993.
According to the report, Wood’s petition states,
“it is undisputed” that Wood has an IQ below 70, which would place him
in the range necessary to be classified medically as mentally retarded.
The petition also says that attorneys should have told jurors about
Wood’s mental condition during the sentencing phase of the trial. Wood
has also filed a clemency petition to Alabama Governor Bob Riley.
According to the AP, the Alabama Attorney General’s
Office field a brief late Wednesday asking the Court to allow Wood’s
execution to proceed, arguing all his claims have been heard
previously be federal and state courts. The attorney general said Wood
helped several jobs and was a fully functioning member of society
prior to his murder of Gosha.
Wood, 33 at the time, was convicted of breaking
into Gosha’s home and shooting her in the head with a shotgun as she
was lying in bed on Sept. 1, 1993.
Pike County District Attorney Gary McAliley, who
was a judge at the time, said in a previous article in The Messenger
the case started in the Pike County District Court, leading to a Grand
Jury indictment and a trial in the Pike County Circuit Court. “He
exhausted all his state remedies — the Alabama Court of Criminal
Appeals, Alabama Supreme Court, then Federal Court, arguing his
constitutional rights had been violated,” McAliley said.
It was in federal court, a judge tossed out the
death sentence on the basis Wood’s lawyer failed to tell jurors Wood
had an IQ of less than 70 and had been classified as mentally retarded,
reported the Associated Press.
Then in the 11th U.S. Circuit Court of Appeals in
Atlanta, the death penalty was reinstated, arguing Wood “failed to
show that the lawyer was unconstitutionally ineffective.”
At the time of the incident, Wood was 33. He was
arrested at his father’s home in Luverne, where a 12-gauge shotgun was
found under a pile of leaves. “He was a most dangerous person, and we’re
very fortunate he doesn’t hurt more people,” McAliley said in a former
article.
Holly Wood
ProDeathPenalty.com
On the night of September 1, 1993, Holly Wood
brutally killed Ruby Lois Gosha, who was Wood’s former girlfriend and
the mother of his child. About two weeks prior to murdering Ruby, Wood
had assaulted Ruby, cutting her and causing her to lose the use of two
fingers. In addition to the testimony of Ruby’s mother in that regard,
the autopsy showed recent bruises on Ruby’s palm and the back of her
left hand, two recent trauma-induced scars on her right forearm, and
recent scars on her left forearm and upper arm.
On the night of the murder, around 5:00 p.m., Ruby’s
mother told Wood to leave her home (where Ruby lived) and not come
back. Wood returned to Ruby’s mother’s house around 9:00 p.m., snuck
into Ruby’s bedroom with his 12-gauge shotgun, and shot Ruby in the
head and face, fracturing her skull and injuring her brain. There was
a gunshot wound near her eye and one near her cheek. Ruby was dead by
the time the ambulance got her to the hospital.
After shooting Ruby, Wood that night told his
cousin, Calvin Salter, “I shot that bitch in the head, and [blew] her
brains out and all she did was wiggle.” Wood also told Salter that he
had attempted to stab Ruby in the heart sometime prior to the shooting,
but Ruby had thrown her arm up to protect herself, and he had stabbed
her in the arm instead. Thus, although Ruby had tried to escape Wood’s
domestic violence and although her mother had tried to keep Wood away
from her home, Wood managed to sneak into the home late at night and
kill Ruby at point-blank range in her own bed.
At the time Wood killed Ruby, he was already on
parole for a prior violent felony shooting of another former
girlfriend, Barbara Siler, whom he had shot through the window of her
home. Wood had another 18 arrests on his record. On October 20, 1994,
the jury unanimously convicted Wood of capital murder during a first-degree
burglary. The jury recommended a death sentence by a 10-2 vote. After
a pre-sentencing report and a separate sentencing hearing, the trial
judge sentenced Wood to death.
Wood v. State, 715 So.2d 812 (Ala.Cr.App.
1996). (Direct Appeal)
Defendant was convicted in the Pike Circuit Court,
No. CC-94-7, Robert Barr, J., of murder made capital because it was
committed during the course of a burglary in the first degree and
sentenced to death, and he appealed. The Court of Criminal Appeals,
Long, J., held that: (1) prosecutor had race-neutral reasons for
peremptory strikes; (2) evidence was sufficient to support finding of
first degree burglary; (3) incriminating statement was admissible; and
(4) sentence of death was proper, was not imposed under influence of
passion, prejudice, or any other arbitrary factor, and was not
excessive or disproportionate to the penalty imposed in similar cases,
considering both the crime and the appellant. Affirmed.
LONG, Judge.
The appellant, Holly Wood, was convicted of murder
made capital because it was committed during the course of a burglary
in the first degree, see § 13A-5-40(a)(4), Ala.Code 1975. The jury, by
a vote of 10 to 2, recommended a sentence of death, and the trial
court accepted the jury's recommendation and sentenced the appellant
to death by electrocution.
The state's evidence tended to show the following:
On the evening of September 1, 1993, the appellant entered the Troy
residence of Annie Gosha and shot and killed Mrs. Gosha's daughter,
Ruby Gosha, with whom the appellant had formerly had a relationship
and by whom the appellant had had a child.
Annie Gosha testified that on September 1, 1993,
Ruby Gosha and Ruby's children were living with her at her house in
Troy. Before moving in with her mother, Ruby had lived with the
appellant in Enterprise, until their relationship ended. At around
5:00 p.m. on September 1, the appellant arrived uninvited at Mrs.
Gosha's house, purportedly to bring Ruby some cigarettes and diapers
for his child. Mrs. Gosha testified that the appellant and Ruby began
arguing and that Ruby told the appellant to “go on and leave her alone,
to take his cigarettes and [diapers] and give them to somebody else,
because it was over between them.” (R. 418.) Mrs. Gosha stated that
she also told the appellant to leave her property and to never come
back. According to Mrs. Gosha, when the appellant left her house, he
told Ruby that he would “get” her some day. (R. 420.)
Mrs. Gosha also testified that Ruby had told her
that one night approximately two weeks before September 1, as she sat
in her car, the appellant slipped up behind her and cut her on the arm
or wrist, causing her to lose the function of two fingers.
At about 9:00 p.m. on the night of September 1, Mrs.
Gosha and Ruby retired to separate rooms. Mrs. Gosha testified that as
she was lying in bed watching television, she heard a “pop” or what
sounded like a “firecracker shot.” (R. 424-25.) She then went through
Ruby's bedroom into the kitchen, where she saw that the door to the
outside was open. When she returned to Ruby's bedroom, she found Ruby
lying in bed. Ruby had been shot; there was a gunshot wound near her
eye and one near her cheek. Mrs. Gosha then telephoned the police and
an ambulance. Paramedics transported Ruby to the Edge Regional Medical
Center emergency room in Troy, where Ruby was pronounced dead.
Willie Gosha, Ruby's brother and Annie Gosha's son,
testified that he was also in Mrs. Gosha's house on the evening of
September 1. He stated that as he was sitting on the bed in his room,
he heard a door open and heard someone “creep through” it. (R. 440.)
Shortly thereafter, he heard what sounded like a gunshot and then
heard someone moving quickly back through the door.
Doctor Alfredo Paredes, a medical examiner for the
Alabama Department of Forensic Sciences, performed an autopsy on Ruby
Gosha. He testified that he recovered several lead shot pellets from
the victim's head. He determined that the cause of death was a shotgun
wound to the face that fractured the victim's skull, injuring her
brain. Paredes testified that he also found a recent cut and recent
bruises on the victim's palm and on the back of her left hand, two
recent trauma-induced scars on her right forearm, a recent scar on her
left forearm, and a recent scar on her left upper arm.
Calvin Salter, the appellant's cousin, testified
that a few days before September 1, 1993, he went with the appellant
to Annie Gosha's house to deliver some diapers to Ruby Gosha but that
both Ruby and her mother told the appellant to leave. Salter testified
that later that same day, he and the appellant saw Ruby at a shopping
center. According to Salter, the appellant spoke with Ruby at that
time, but Salter did not know what they talked about. Salter testified
that sometime between 7:00 p.m. and 8:00 p.m. on September 1, the
appellant came by his mother's house in Luverne and picked him up. The
appellant was driving his father's pickup truck. The appellant and
Salter then drove to Troy, with Salter driving. They drove past the
Gosha residence and stopped on a nearby street, where the appellant
left the truck and told Salter to circle the block. Salter circled the
block and parked the truck, and shortly thereafter, the appellant
returned to the truck. An automobile driven by a man named Amp went
by, and the appellant told Salter to follow it. Salter testified that
the appellant told him that if he caught Ruby and Amp together, he
would kill Ruby. The appellant and Salter followed Amp's car until it
passed the Gosha residence. The appellant then directed Salter to
drive slowly toward the Gosha house, and when they neared the house,
the appellant had Salter stop the truck. Salter testified that the
appellant then took a 12-gauge shotgun from the gun rack of the truck,
stuck it down his pants leg, covered it with his shirt, left the truck,
and walked toward the Gosha house.
Salter testified that he parked the truck at a
nearby apartment complex and made a telephone call at a public pay
telephone. After making the call, he said, he began walking back to
the truck, and the appellant, who was standing in the street behind
the Gosha house, called out to him. Salter walked up to him, and the
appellant said that he did not see Ruby at the house but that he was
going back up to the house anyway. The appellant then walked toward
the house again, and Salter went back to the pay phone and made
another call. Salter testified that when he hung up the telephone, he
heard a gunshot and returned to the truck. When he arrived at the
truck, the appellant was sitting in it. The appellant then said to
Salter, “Let's go to Luverne.” (R. 495.)
Salter testified that as he began the drive to
Luverne, the appellant told him that he had shot Ruby while she was
lying in bed asleep. Salter stated that the appellant said: “I shot
that bitch in the head, and [blew] her brains out and all she did was
wiggle.” (R. 495.) He stated that the appellant then began throwing
12-gauge shotgun shells out the window. Salter testified that the
appellant told him that he knew he had killed Ruby and that the police
would be coming after him.
When Salter and the appellant arrived in Luverne,
they went to the appellant's father's house. The appellant took the
shotgun from the truck, and he and Salter walked to a nearby wooded
area, where they buried the gun under some leaves. They then slept in
a shed near the appellant's father's house.
Salter testified that the appellant had told him
that sometime before the shooting he had attempted to stab Ruby in the
heart but that Ruby had thrown her arm up to protect herself, and he
had stabbed her in the arm instead.
Luverne Police Officer Clifton Wells testified that
late on the night of September 1, 1993, he located a vehicle parked at
the appellant's father's house that matched a description he had
received from a “be-on-the-lookout” bulletin from the Troy Police
Department. After the appellant's father told Wells that the appellant
lived in the shed next to his house, Wells arrested the appellant
there. Wells transported the appellant to the Luverne Police
Department and placed him in a cell. Troy Police Officer Donald Brown
entered the cell, informed the appellant of his Miranda rights, and
performed a gunshot residue test on the appellant's hands. After the
test was performed, the appellant was escorted from the department by
Troy Police Officer Lewis Fannin. Wells testified that he was in the
appellant's presence from the time the appellant was arrested until he
was escorted from the department by Fannin, and that neither he nor
any other officer ever told the appellant any details of the crime.
Officer Fannin testified that he transported the
appellant from the Luverne Police Department to the Troy Police
Department and that he engaged in no conversation with the appellant
during the trip, but that the appellant stated the following to him
during the trip: “You motherfuckers must think I am crazy. What do I
look [like] going in somebody's house shooting them in the head while
they are asleep?” (R. 713.) Troy Police Officer Donald Brown testified
that Calvin Salter was in the shed after the appellant was arrested.
According to Brown, later on the night that the appellant was arrested,
Salter led him and other officers to a wooded area near the shed,
where, Brown said, they found a shotgun under some leaves.
Joe Saloom, a forensic scientist for the Alabama
Department of Forensic Sciences, examined the shotgun recovered near
the shed and the shotgun shell wadding and lead shot pellets found in
the victim's head. Saloom testified that he found residue in the
barrel of the shotgun, which indicated that it had not been cleaned
since it was last fired. He determined that it was a 12-gauge single-shot
Herrington and Richardson shotgun. Saloom testified that the wadding
found in the victim's head was a “combination wad and shot column, or
shot protector, ... located inside a shot shell to hold the shot and
cushion it from the detonation,” and that it was expelled upon firing.
(R. 804.) He testified that the wadding was a 12-gauge type and was
consistent with the type of columns and wadding used in Remington
shotgun shells and with the type of ammunition used in the recovered
shotgun. He also determined that the pellets recovered from the
victim's head were consistent in size and weight with “number 6 shot
from a shotgun shell.” (R. 805.)
I
The appellant contends that the state used its
peremptory challenges against prospective jurors in a racially
discriminatory manner, in violation of Batson v. Kentucky, 476 U.S.
79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1986). The appellant specifically
attacks the prosecutor's strikes of black veniremembers A.B. (juror
number 17), J.G. (juror number 46), C.B. (juror number 73), S.N. (juror
number 95), A.R. (juror number 115), S.S. (juror number 118), S.S. (juror
number 119), E.T. (juror number 133), M.T. (juror number 134), and A.U.
(juror number 140).
The appellant alleges that the prosecutor stated he
struck veniremembers A.B., A.R., S.S. (juror number 119), E.T., M.T.,
and A.U. “because they had relatives or friends who had been convicted
of a crime,” appellant's brief at 20, but that the prosecutor failed
to strike two white veniremembers who indicated on the juror
questionnaire that they had relatives who had been prosecuted. The
appellant asserts that this constituted disparate treatment. However,
“[a]s long as one reason given by the prosecutor for the strike of a
potential juror is sufficiently race-neutral, a determination
concerning any other reason given need not be made.” Johnson v. State,
648 So.2d 629, 632 (Ala.Cr.App.1994). The appellant has not attacked
the additional reasons given by the prosecutor for striking these
veniremembers, which are listed below:
1. A.B. indicated that she did not want to serve on
the jury because she had a dental appointment.
2. A.R. indicated that he did not want to serve on
the jury; he stated that he needed to be at work so that he could earn
the money to meet his child support obligations.
3. S.S. (juror number 119) had had contact with the
police department under what was logged by the department as
“suspicious circumstances.”
4. E.T. indicated that she did not want to serve on
the jury; she stated that “she doesn't want to do none of this” and
indicated on her jury questionnaire that she feared for her safety and
the safety of her family if she served. She was also an alcoholic.
5. M.T. did not want to serve on the jury because
he was a college student and was concerned about missing exams.
6. A.U. was a correctional officer who stated that
he was not opposed to parole, did not believe in an “eye for an eye,”
and did not believe the courts were too lenient in sentencing
criminals; the prosecutor was concerned that he had become sympathetic
to the prisoners he was guarding.
“The trial court evaluates an objection to the use
of peremptory challenges under the three-step analysis set forth in
Batson. First, as we have said, a defendant must make a prima facie
showing that the state has exercised a peremptory challenge or
challenges on the basis of race or gender. Second, once a prima facie
showing has been made, the burden shifts to the state to articulate a
race- or gender-neutral explanation for striking the prospective
jurors in question that is related to the case to be tried. Batson,
476 U.S. at 98 [106 S.Ct. at 1723-24]. The United States Supreme Court
recently stated in Purkett v. Elem, 514 U.S. 765, 115 S.Ct. 1769 [131
L.Ed.2d 834] (1995), that the second step does not demand an
explanation that is persuasive or even plausible. It stated that a
legitimate explanation is not necessarily one that must make sense,
but one that does not deny equal protection. At this step of the
inquiry, the issue is facial validity of the prosecutor's explanation,
and unless a discriminatory intent is inherent in the explanation, the
reason offered will be deemed neutral. Id., at 768, 115 S.Ct. at 1771.
When the defendant challenges as pretextual the prosecutor's
explanations as to a particular venireperson, the inquiry becomes
factual in nature and moves to step three. At this step the trial
court must resolve the factual dispute, and whether the prosecutor
intended to discriminate is a question of fact. Hernandez v. New York,
500 U.S. 352, 364-65, 111 S.Ct. 1859 [1868-69, 114 L.Ed.2d 395]
(1991). In the third step, the trial court must determine whether the
defendant has met his burden of proving purposeful discrimination. At
this stage, the trial court must consider the persuasiveness of the
explanations, and it is also at this stage that ‘implausible or
fantastic justifications may (and probably will) be found to be
pretexts for purposeful discrimination.’ Purkett, 514 U.S. at 768, 115
S.Ct. at 1771.” Bush v. State, 695 So.2d 70, 96 (Ala.Cr.App.1995).
“Since the release of Purkett a party's burden of proving that strikes
were not violative of Batson is not as great as it was before the
release of Purkett.” Trawick v. State, 698 So.2d 151, 157 (Ala.Cr.App.1995).
Here, as in Bush, the explanations were not
“implausible or fantastic.” Because the reasons given for striking
veniremembers A.B., A.R., S.S. (juror number 119), E.T., M.T., and A.U.
included race-neutral reasons, we are not required to address the
reasons the appellant challenges as discriminatory.
The appellant alleges that the prosecutor stated
that he struck veniremembers A.B., C.B., S.N., A.R., and S.S. (juror
number 118) “because they were basically opposed to the death penalty
and did not believe in an eye for an eye.” Appellant's brief at 20. He
further alleges that the prosecutor stated that he struck veniremember
J.G. “because he was opposed to the death penalty based on religious
beliefs.” Appellant's brief at 21. The appellant asserts that this
reason is not a race-neutral reason. However, it is well-settled that
opposition to the death penalty is a race-neutral reason. Jackson v.
State, 640 So.2d 1025, 1037 (Ala.Cr.App.1992); Carroll v. State, 599
So.2d 1253, 1258 (Ala.Cr.App.1992), aff'd, 627 So.2d 874 (Ala.1993),
cert. denied, 510 U.S. 1171, 114 S.Ct. 1207, 127 L.Ed.2d 554 (1994);
McGahee v. State, 554 So.2d 454, 461 (Ala.Cr.App.), aff'd, 554 So.2d
473 (Ala.1989). With respect to J.G., the fact that the trial judge
had denied the prosecutor's challenge for cause as to this
veniremember is irrelevant to the present Batson inquiry, because “[a]
prosecutor's explanation for his exercise of a peremptory strike ‘need
not rise to the level of a challenge for cause.’ Ex parte Branch, 526
So.2d [609,] at 623 [ (Ala.1987) ].” Ford v. State, 628 So.2d 1068,
1070 (Ala.Cr.App.1993).
Finally, with respect to veniremember A.B., the
appellant alleges that the prosecutor stated that he struck A.B.
because “[she] touched the appellant as she passed him [as she walked
by him to get her jury questionnaire].” Appellant's brief at 21. The
appellant alleges that this was not a race-neutral reason because when
A.B. “was questioned on voir dire as to whether or not she knew the
appellant, she indicated she did not.” Appellant's brief at 21. We
need not address this reason, however, because we have already
determined that the additional reason given by the prosecutor for
striking A.B.-that she did not want to serve on the jury because she
had a dental appointment-was race-neutral. Johnson, supra. We find no
violation of Batson in this case.
II
The appellant contends that the evidence was
insufficient to support his conviction for capital murder because, he
says, the state failed to prove the elements of burglary in the first
degree. § 13A-7-5, Ala.Code 1975. The appellant specifically argues
that the state failed to prove that he “unlawfully enter[ed] or
remain[ed] unlawfully” in Mrs. Gosha's house because, he argues, “no
evidence [was] presented that the deceased did not ... invite the
Defendant to speak with her again” when they spoke at the shopping
center a few days before the crime, appellant's brief at 25, and
because no evidence was presented that the appellant had broken into
the Gosha house.
“A person ‘enters or remains unlawfully’ in or upon
premises when he is not licensed, invited or privileged to do so.” §
13A-7-1(4), Ala.Code 1975. In determining whether the state has made a
prima facie case, our concern is not with what the evidence does not
show, but with what the evidence does show. Here, the evidence showed
that the victim had told the appellant to leave her alone, that the
victim and her mother had told the appellant to leave their property,
and that her mother told him never to return. Furthermore, Mrs. Gosha,
the victim's mother, specifically testified that if the appellant was
ever on her property after she told him never to return, it was not by
her invitation.
As to whether the appellant broke into the Gosha
house, “[t]he common law requirement for a breaking has been omitted
by the new criminal code.” Hollins v. State, 415 So.2d 1249, 1253 (Ala.Cr.App.1982).
See also Commentary to §§ 13A-7-5 through 13A-7-7, Ala.Code 1975 (“To
establish burglary the prosecution must prove: (1) The intruder
‘entered or remained unlawfully,’ as that term is defined in §
13A-7-1(4). There is no requirement that a technical breaking be
established.”). The evidence presented by the state was sufficient to
prove a prima facie case of burglary in the first degree and there was
therefore sufficient evidence to support the appellant's conviction
for capital murder.
III
The appellant contends that the trial court erred
in allowing the victim's mother to testify that approximately two
weeks before the murder, the victim had told her that the appellant
“slipped up behind her and cut her on the arm.” (R. 422.) Error in the
admission of this testimony, if any, was harmless. “[T]estimony that
may be inadmissible may be rendered harmless by prior or subsequent
lawful testimony to the same effect or from which the same facts can
be inferred.” White v. State, 650 So.2d 538, 541 (Ala.Cr.App.1994).
After the victim's mother testified, Calvin Salter testified, without
objection, that the appellant had told him that before the murder that
he had once attempted to stab the victim in the heart but that she had
thrown her arm up to protect herself and he had stabbed her in the arm
instead.
IV
The appellant complains of error regarding the
admission into evidence of the statement he made to Troy Police
Officer Lewis Fannin while being transported from Luverne, where he
was arrested, to the Troy Police Department. This statement was the
object of the appellant's motion to suppress, which the trial court
denied. On appeal, the appellant styles this issue as a challenge to
the denial of his motion to suppress; however, it appears from the
substance of his argument in his brief to this court that he is
actually challenging the admission of certain testimony at trial
concerning the statement. Officer Fannin testified at trial that the
appellant told him the following when he was being transported to the
police department: “ ‘You motherfuckers must think I am crazy. What do
I look [like] going in somebody's house shooting them in the head
while they are asleep?’ ” (R. 713.) Fannin also testified that no
police officer had supplied the appellant with any details of the
murder before he took the statement quoted above. The appellant
contends that it was error to allow Fannin's testimony that no one had
told the appellant the details of the murder at the time he made the
statement. He argues that Fannin's testimony was a conclusion or an
opinion that had been “rebutted” by other evidence and that it allowed
the jury to infer the appellant's guilt from the statement alone.
The appellant's claim that Fannin's testimony was a
conclusion or an opinion is without merit. “[A] witness cannot testify
to facts that are not within the witness's knowledge.” Sheridan v.
State, 591 So.2d 129, 133 (Ala.Cr.App.1991). See also Charles W.
Gamble, McElroy's Alabama Evidence, § 105.01 (4th ed.1991). The
appellant was arrested in Luverne and was taken to the Luverne Police
Department; he was locked in a cell, and a warrant for his arrest was
read to him and he was given his Miranda warnings. After a gunshot
residue test was performed on his hands, he was transported to the
Troy Police Department. On direct examination by the state, Fannin
testified several times that neither he nor any other officer in his
presence ever told the appellant any details of the crime. On cross-examination,
Fannin testified that officers at the Luverne Police Department
probably discussed the details of the crime while the appellant was
being held there but he stated that he was sure they did not do so in
the appellant's presence. Fannin explained that he instructed Luverne
Police Officer Clifton Wells to stay with the appellant during the
entire arrest proceeding and to see that no one discussed the crime
around him, and that when he arrived at the department after the
arrest, Wells told him that he had carried out his instructions. Any
error in the admission of Fannin's testimony, and we do not conclude
that there was any such error, was harmless because Officer Wells
testified, without objection, at trial that he was in the appellant's
presence from the time the appellant was arrested until he was
escorted from the Luverne Police Department by Fannin and then
transported to Troy, and that neither he nor any other officer ever
told the appellant any details of the crime. White v. State, 650 So.2d
538, 541 (Ala.Cr.App.1994).
The appellant's claim that Fannin's testimony was
“rebutted” is without merit as well. “[T]he fact that a witness has
given inconsistent statements or accounts about an event or occurrence
is not a ground for the exclusion of the witness's testimony.” Bird v.
State, 594 So.2d 644, 662 (Ala.Cr.App.1990), rev'd on other grounds,
594 So.2d 676 (Ala.1991). See also Poole v. State, 650 So.2d 541, 543
(Ala.Cr.App.1994).
Finally, we note that had the appellant argued on
appeal that his statement should have been suppressed, we would find
the claim to be without merit. The testimony, during the suppression
hearing and at trial, of Troy Police Officers Fannin and Donald Brown
and the testimony at trial of Luverne Police Officer Wells established
that the appellant had not yet been questioned when he made the
statement. His statement was spontaneous and voluntary and therefore
admissible. See Turner v. State, 674 So.2d 1371 (Ala.Cr.App.1995).
V
As required by Rule 45A, Ala.R.App.P., we have
searched the entire record for any plain error and have found none.
As required by § 13A-5-53, Ala.Code 1975, we have
also reviewed the propriety of the appellant's death sentence. No
error adversely affecting the rights of the appellant was made in the
sentencing proceedings. The trial court found the following three
aggravating circumstances: that the murder was committed while the
appellant was under a sentence of imprisonment; that the appellant had
previously been convicted of a felony involving the use or threat of
violence to the person; and that the murder was committed during the
course of a burglary. The trial court found no statutory or
nonstatutory mitigating circumstances. These findings are supported by
the evidence. We are convinced that the sentence of death is proper;
it was not imposed under the influence of passion, prejudice, or any
other arbitrary factor. Our independent weighing of the aggravating
and mitigating circumstances leads to this conclusion, and the
sentence is not excessive or disproportionate to the penalty imposed
in similar cases, considering both the crime and the appellant. In
regard to this last inquiry, “[w]e note that similar crimes are being
punished capitally throughout this state. See Stewart v. State, 601
So.2d 491 (Ala.Cr.App.1992), affirmed as to conviction, reversed as to
sentence, with new sentencing proceeding ordered, 659 So.2d 122
(Ala.1993) (murder/burglary and murder/kidnapping). See also Thomas v.
State, 539 So.2d 375 (Ala.Cr.App.), affirmed, 539 So.2d 399
(Ala.1988), cert. denied, 491 U.S. 910, 109 S.Ct. 3201, 105 L.Ed.2d
709 (1989) (murder/burglary); Lynn v. State, 543 So.2d 704 (Ala.Cr.App.1987),
affirmed, 543 So.2d 709 (Ala.1988), cert. denied, 493 U.S. 945, 110
S.Ct. 351, 107 L.Ed.2d 338 (1989) (murder/burglary); Ford v. State,
515 So.2d 34 (Ala.Cr.App.1986), affirmed, 515 So.2d 48 (Ala.1987),
cert. denied, 484 U.S. 1079, 108 S.Ct. 1061, 98 L.Ed.2d 1023 (1988) (murder/burglary).”
Land v. State, 678 So.2d 201, 224 (Ala.Cr.App.1995).
For the foregoing reasons, the judgment of the
trial court convicting the appellant and sentencing him to death is
due to be, and is hereby, affirmed.
Wood v. State, 891 So.2d 398 (Ala.Cr.App.
2003). (Postconviction)
Background: After defendant's conviction and death
sentence were affirmed on appeal, 715 So.2d 812, defendant filed a
petition for postconviction relief. The Circuit Court, Pike County,
No. CC-94-7.60, Thomas E. Head III, J., dismissed some of the claims
and denied the rest of the claims. Defendant appealed.
Holdings: The Court of Criminal Appeals, Baschab,
J., held that: (1) the facts that clinical psychologist was not
licensed to practice psychology in state and that practicing
psychology in state without a license was a misdemeanor did not, by
themselves, prevent psychologist from providing expert testimony
during trial; (2) the trial court's application of a bifurcated
approach to determine whether defendant was allowed to present expert
psychological testimony was an abuse of discretion; and, on return to
remand, held that: (3) counsel's purported inexperience was not
ineffective assistance of counsel per se; (4) counsel's alleged
failure to investigate and present evidence sufficient to avoid death
penalty was not ineffective assistance; and (5) record of proceedings
supported trial court's findings and conclusions of law adopted
verbatim from State's proposed order.
Affirmed. Shaw, J., concurs in the result on
original submission, with opinion, which McMillan, P.J., and Cobb, J.,
joined. On return to remand, Cobb, J., concurs in part in the
rationale and concurs in the result, with opinion.
BASCHAB, Judge.
On October 20, 1994, the appellant, Holly Wood, was
convicted of the capital offense of burglary-murder. See §
13A-5-40(a)(4), Ala.Code 1975. By a vote of 10-2, the jury recommended
that he be sentenced to death. On December 9, 1994, the trial court
sentenced him to death. This court and the Alabama Supreme Court
affirmed the appellant's conviction on direct appeal, see Wood v.
State, 715 So.2d 812 (Ala.Crim.App.1996), aff'd, 715 So.2d 819
(Ala.1998), and the United States Supreme Court denied the appellant's
petition for certiorari review, see Wood v. Alabama, 525 U.S. 1042,
119 S.Ct. 594, 142 L.Ed.2d 536 (1998). The relevant facts of the case
are set forth in this court's opinion on direct appeal. This court
issued a certificate of judgment on June 9, 1998.
On December 1, 1999, the appellant, through counsel,
filed a Rule 32 petition, challenging his conviction and sentence of
death. He filed amended petitions on or about September 15, 2000, and
July 2, 2001. The State responded and moved to dismiss many of the
claims. The circuit court dismissed some of the claims and denied some
of the claims after conducting an evidentiary hearing. This appeal
followed.
After this case was orally argued and submitted,
the United States Supreme Court released its decision in Atkins v.
Virginia, 536 U.S. 304, 122 S.Ct. 2242, 153 L.Ed.2d 335 (2002). In
Atkins, the Supreme Court held: “We are not persuaded that the
execution of mentally retarded criminals will measurably advance the
deterrent or the retributive purpose of the death penalty. Construing
and applying the Eighth Amendment in the light of our ‘evolving
standards of decency,’ we therefore conclude that such punishment is
excessive and that the Constitution ‘places a substantive restriction
on the State's power to take the life’ of a mentally retarded offender.”
536 U.S. at 321, 122 S.Ct. at 2252. In his petitions and in his briefs
to this court, the appellant argues that he is mentally retarded, that
his trial attorneys rendered ineffective assistance because they did
not develop and present evidence that he is mentally retarded, and
that the application of the death penalty to those who are mentally
retarded is unconstitutional. Therefore, we requested that he and the
attorney general brief the applicability of Atkins to this case. The
parties submitted briefs in support of their respective positions, and
we considered those briefs in reviewing this case.
In light of the Supreme Court's decision in Atkins,
we must remand this case to the circuit court to allow that court to
determine whether the appellant is mentally retarded and whether his
trial attorneys rendered ineffective assistance by not developing and
presenting evidence that he is mentally retarded. Because the
appellant raises several arguments that are related to issues that may
arise on remand, we address those arguments in this opinion. FN1. At
this time, we pretermit discussion of the remaining arguments the
appellant raises in his brief.
I.
The appellant argues that the circuit court erred
because, during the evidentiary hearing on his petition, it did not
allow him to present expert psychological testimony to support his
contentions that he is mentally retarded and that his trial attorneys
rendered ineffective assistance during his trial because they did not
develop and present evidence that he is mentally retarded.
A.
First, the appellant contends that the circuit
court improperly refused to allow Dr. Faye E. Sultan, a clinical
psychologist who had examined him, to testify as an expert witness
because she was not licensed to practice in Alabama. On August 9,
2001, the State filed a “Motion in Limine to Exclude the Testimony of
Dr. Faye Sultan.” In that motion, the State argued that Dr. Sultan had
not been licensed by the Alabama Board of Examiners in Psychology to
practice psychology in the State of Alabama; that Dr. Sultan had
practiced as a psychologist in the State of Alabama, as defined in §
34-26-1(b)(1), Ala.Code 1975, because she had conducted testing in the
state and had been named to testify as an expert witness in the case
by the defense; and that a person who is not licensed in this state
and who holds himself or herself out as a psychologist and practices
in this state is guilty of a Class C misdemeanor, as set forth in §
34-26-42, Ala.Code 1975. The next day, the circuit court entered the
following order:
“Having considered the arguments presented by
Respondent, the Court hereby ORDERS that Dr. Faye E. Sultan shall be
required to establish that she is licensed to practice psychology in
the State of Alabama before she will be allowed to testify regarding
any psychological issues in this matter which were derived from the
administering of tests in Alabama or through an interview with
Petitioner, who is detained within the borders of the State of
Alabama.” (C.R. 941.) The appellant filed a motion to reconsider,
which the circuit court summarily denied. Finally, when this issue was
raised at the conclusion of the evidentiary hearing on August 22,
2001, the circuit court explained: “But I'm convinced that if I allow
Dr. Sultan to testify in this court that I would-as stated in The
State's motion, I would be facilitating the commission of a crime
myself. I'm not going to do that.” (R. 142-43.)
Initially, we question whether Dr. Sultan actually
violated §§ 34-26-1(b)(1) and 34-26-42, Ala.Code 1975. Section
34-26-1(b)(1), Ala.Code 1975, provides: “A person practices as a
‘psychologist’ within the meaning of this chapter when he or she holds
himself or herself out to be a psychologist or renders to individuals
or to the public for remuneration any service involving the
application of recognized principles, methods, and procedures of the
science and profession of psychology, such as interviewing or
administering and interpreting tests of mental abilities, aptitudes,
interests, and personality characteristics for such purposes as
psychological evaluation or for such purposes as overall personality
appraisal or classification, or treatment. The practice of
psychologists specifically includes the use of projective assessment
techniques, the diagnosis of mental disorders, and psychotherapy.” (Emphasis
added.) Because Dr. Sultan evaluated the appellant for his attorneys
for use in court proceedings, it is not entirely clear that her
actions constituted practicing as a psychologist as defined in this
section.
Further, § 34-26-42, Ala.Code 1975, provides: “If
any person holds himself or herself out to the public as being engaged
in practice as a psychologist or psychological technician, such as
clinical, counseling, school, or combined professional-scientific
psychology, and does not then possess in full force and virtue a valid
license to practice as a psychologist or psychological technician
under this chapter, he or she shall be deemed guilty of a Class C
misdemeanor and, upon conviction, shall be fined not less than one
hundred dollars ($100) nor more than five hundred dollars ($500).
Nothing in this chapter shall be construed to limit the professional
pursuits of teachers in recognized public and private schools,
clergymen, practitioners of medicine, social workers and guidance
counselors from full performance of their professional duties. However,
in such performance any title shall be in accord with this chapter.
Students of psychology, psychological interns, or other persons
preparing for the profession of psychology may perform as a part of
their training the functions specified in this chapter, but only under
qualified supervision. Use of psychological techniques by business and
industrial organizations for employment placement, evaluation,
promotion, or job adjustment of their own officers or employees or by
employment agencies for the evaluation of their own clients prior to
recommendations for employment is also specifically allowed. However,
no industrial or business firm or corporation may sell or offer to the
public or to other firms or corporations for remuneration any
psychological services as specified in this chapter unless the
services are performed or supervised by individuals duly and
appropriately licensed under this chapter.” (Emphasis added.) Because
it is not entirely clear from the record that Dr. Sultan held “herself
out to the public as being engaged in practice as a psychologist,” we
question whether she violated this section.
Moreover, the Alabama Court of Civil Appeals has
held that the fact that an expert is not licensed to practice his or
her specialty in Alabama does not prevent him or her from testifying
as an expert witness in Alabama. In Mitchell v. Mitchell, 830 So.2d
755, 757-59 (Ala.Civ.App.2002), the court stated: “After reviewing the
scant record in this case, we conclude that the dispositive issue
presented on appeal is whether the trial court improperly denied the
expert testimony of Dr. Sher Schwartz, a psychologist licensed in
Georgia, because she was not licensed to practice in Alabama.... “....
“The question we must answer is whether a psychologist, licensed in
another state, may be prohibited from testifying as an expert witness
solely on the grounds that she is not licensed in Alabama.
“Rule 702, Ala. R. Evid., provides: “ ‘If
scientific, technical, or other specialized knowledge will assist the
trier of fact to understand the evidence or to determine a fact in
issue, a witness qualified as an expert by knowledge, skill,
experience, training, or education, may testify thereto in the form of
an opinion or otherwise.’ “ ‘ “[W]hether a witness is qualified to
testify as an expert on a particular subject is largely within the
discretion of the trial court, and that court's judgment on that
question will not be disturbed absent an abuse of discretion.” ’ Knapp
v. Wilkins, 786 So.2d 457, 461 (Ala.2000), quoting Brown v. Lawrence,
632 So.2d 462, 464 (Ala.1994). The husband argues in his brief that he
objected to Dr. Schwartz's testimony because practicing psychology in
Alabama without a license is a crime, pursuant to § 34-26-42. While he
is correct that practicing psychology without a license is a
misdemeanor offense, there is no evidence that Dr. Schwartz was
practicing psychology in Alabama. She is licensed in Georgia and has
an office in Columbus, Georgia. At the time the child was seeing Dr.
Schwartz, the mother and the child lived in Phenix City, Alabama,
which is located on the Alabama state line, adjacent to Columbus,
Georgia.
“Section 34-26-1(b)(1) provides: “ ‘A person
practices as a “psychologist” within the meaning of this chapter when
he or she holds himself or herself out to be a psychologist or renders
to individuals or to the public for remuneration any service involving
the application of recognized principles, methods, and procedures of
the science and profession of psychology, such as interviewing or
administering and interpreting tests of mental abilities, aptitudes,
interests, and personality characteristics for such purposes as
psychological evaluation or for such purposes as overall personality
appraisal or classification, or treatment. The practice of
psychologists specifically includes the use of projective assessment
techniques, the diagnosis of mental disorders, and psychotherapy.’ We
do not conclude from our reading of § 34-26-1 that the Legislature
intended that psychologists be licensed in Alabama as a prerequisite
to their giving expert testimony. Rather, we believe the intent of the
Legislature in adopting § 34-26-1 and § 34-26-42-punishing those who
practice without a license-is to prevent unqualified persons from
performing the functions of a psychologist within this State. Nothing
in § 34-26-1 would lead one to conclude that testifying is a function
of practicing psychology. Furthermore, if we carried the husband's
argument to the extreme, any expert witness whose field of expertise
is subject to licensing in Alabama would have to obtain an Alabama
license before offering expert testimony. See Goodwin v. Camp, 852 S.W.2d
698 (Tex.App.1993) (out-of-state chiropractor who was not licensed in
Texas could testify, and his testimony did not constitute the practice
of chiropractic medicine, which required a Texas license). Cf. Coe v.
State, 17 S.W.3d 193 (Tenn.2000) (out-of-state psychologist's
performance of forensic evaluation and testimony in connection with
proceeding to determine death-row inmate's competency to be executed
did not constitute the practice of psychology so as to require a
temporary license under Tennessee law).
“The trial court erred in not admitting the
testimony of Dr. Schwartz solely on the ground that she was not
licensed in Alabama.” (Footnote omitted.)
Years before, in Federal Mogul Corp. v. Universal
Construction Co., 376 So.2d 716, 719-22 (Ala.Civ.App.1979), the court
held: “Plaintiff first complains that it was improperly denied the
opportunity to prove its damages. In essence, the experts were unable
to testify as to the extent of damage to the roof and its value in its
damaged condition. They were also prohibited from testifying as to
specifications for reroofing they had prepared. Plaintiff argues this
led to an improper charge to the jury that even if it found Universal
and Pearce, DeMoss liable, it could only assess nominal damages
against these defendants. “Next, plaintiff complains that the experts
were wrongfully denied the opportunity to express opinions as to the
quality of the workmanship in installing the roof and as to the
suitability of the materials used in the roofing system. It is argued
that this led to an erroneous granting of directed verdict in favor of
Interstate, Johns-Manville, and Wiley and Wilson. “....
“Turning first to the excluded testimony itself we
find the following: “The experts in question, Carl Cash and David
Adler, both testified they were employed by Simpson, Gumpertz and
Heger (SG & H), a firm located in Boston, Massachusetts. The Boston
firm provides engineering services, preparing structural designs and
specifications. It also engages in investigations of structural
problems and roofing systems, having investigated numerous cases of
roofing and waterproofing systems' failures throughout the country.
Witness Cash testified he was employed by SG & H as a chemist and has
worked in the area of built-up roofing for more than twenty years. He
has authored articles and manuals on roofing materials and standards
as well as writing on the causes of built-up roofing systems' failures.
“Adler testified he was a senior staff engineer of SG & H with a
degree in engineering from Tufts University. He has supervised the
installation of several hundred built-up roofing systems throughout
his career with various firms. He has been qualified by the National
Roofing Contractors Association for a technical assistance program
which provides roofing consultants for various projects. Cash made
five trips to Federal Mogul's plant and after taking sample cuttings
from the roof for purposes of analysis, determined it needed
replacements. Pursuant to contract with plaintiff he drew up
specifications for this purpose. “The trial judge at first allowed
these into evidence, but upon objection by defendants which led to his
ascertaining that neither Cash as an individual nor SG & H as a firm
were licensed to practice architecture or engineering in the State of
Alabama, ordered them expunged from the record. The apparent basis for
this was his conclusion that the information Cash gained in inspecting
the roof and utilized in preparing the specifications came as a direct
result of his engaging in the illegal activity of practicing in
Alabama as an architect or engineer without a license.
“We hold it was error to exclude the specifications
from the record. At this point we also note that the court further
excluded a contract to reroof between plaintiff and Heritage
Construction Company, based upon these specifications. The grounds for
this were the same, i.e., that the construction firm was not licensed
in Alabama. The court ruled the contract was void and unenforceable
and therefore incompetent as evidence. Thus, plaintiff was unable to
offer any evidence on the cost of replacing the allegedly defective
roof. “As we find the same basic error led to the exclusion of both
the specifications and the contract with Heritage, we address both of
these issues at this time.
“We observe the appellees raised the illegality of
the documents at the trial below and also argue it in brief. Thus,
they refer us to representative cases where unlicensed engineers,
architects, and real estate brokers, suing to recover for their
services rendered, were denied relief due to the unenforceability of
their contracts. See Southern Metal Treating Co. v. Goodner, 271 Ala.
510, 125 So.2d 268 (1960). The rationale behind these decisions is
that such licensing statutes are an exercise of the police power,
enacted for regulatory purposes, and designed to protect the public
against fraud and imposition. Our cases hold that contracts in
contravention of these statutes are void and unenforceable and refuse
to allow recovery on grounds of public policy.
“As plaintiff points out, an analysis of these
cases reveals a common strand running throughout. All cases where the
argument prevailed were litigated between immediate parties to the
contract with the defendants therein raising the illegality of the
agreement as a defense to the action. However, nonparties have not
been so successful. Thus, in Marx v. Lining, 231 Ala. 445, 165 So. 207
(1936), a vendor utilized interpleader when faced with the conflicting
claims of two real estate brokers to the commission on the sale of the
vendor's property. One of the brokers asserted the other had no claim
to the commission as she was not properly licensed. He reasoned this
deficiency rendered the contract between the vendor and the rival
broker void and unenforceable. Our supreme court answered this by
observing that contracts which are void, not because of any intrinsic
immorality, but because they offend a statutory policy, may, in some
instances, be enforced in a court of law because of the inability of
the party affected to plead their invalidity. In applying this
doctrine, the court held that the defense of illegality, although open
to the parties and those claiming under them, cannot as a general rule
be invoked by third persons. “We follow that general rule today and
hold it was error for the trial court to exclude the specifications
and contract on the grounds of illegality. These documents were
crucial to plaintiff's case on damages, and their exclusion was
instrumental in leading the trial court to its erroneous charge taking
the issue of damages away from the jury. Plaintiff further complains
of the ruling below that neither Cash nor Adler could testify as
experts in the field of engineering. However, the trial judge did
indicate he would allow them to testify as experts on roofing
materials and their installation.
“We hold that such a mechanistic application of
labels was inappropriate. In so ruling, the court created a
distinction impossible of consistent enforcement, the record
illustrating that a great deal of testimony within the realm of these
men's expertise was erroneously excluded.
“At the outset, we acknowledge that the question of
whether a witness offered as an expert is shown to be qualified is
within the discretion of the trial court. On review, its decision will
not be reversed unless it clearly appears that it was prejudicially
erroneous and worked an injury to appellant's cause. Gregath v. Bates,
Ala.Civ.App., 359 So.2d 404 (1978).
“In holding that such error did occur here, we note
that the overall effect of the ruling below is to require proof of
proper licensure as a condition precedent to the giving of expert
testimony in the field of engineering. Such a rule does not comport
with the practice followed by Alabama courts. Generally, if by
training, study, observation, practice, experience, or profession the
witness has acquired a knowledge in a particular field beyond that of
ordinary laymen, he has earned the appellation ‘expert’ in that field.
Aetna Life Ins. Co. v. Hare, 47 Ala.App. 478, 256 So.2d 904 (1972).
“Furthermore, our decisions hold that experience
and practical knowledge may qualify one to make technical judgments as
readily as formal education. International Telecommunications Systems
v. State, Ala., 359 So.2d 364 (1978). In International, the purported
expert's qualifications were attacked on the grounds that he had no
engineering degree and little formal training. Our supreme court,
through Justice Beatty, noted his practical experience and affirmed
the admission of his opinion, indicating any other course would have
been improper.
“We also note that the plaintiff did not experience
difficulty in introducing Cash and Adler's testimony until the
licensure problem erupted. This further buttresses our conclusion that
the trial judge improperly equated lack of licensure with lack of
expertise and therefore failed to look to the proper yardsticks as
developed in our decisional law. “In view of the above, the witnesses
Cash and Adler, obviously educated and experienced in the field of
engineering, should have been allowed to state their opinions as to
such matters as the suitability of the roofing materials, the quality
of the workmanship involved, the condition of the roof, and the need
for replacement.”
Similarly, other jurisdictions have concluded that
being licensed in the state in which he or she testifies is not a
prerequisite to testimony by an expert witness. See Hayes v. United
States, 367 F.2d 216, 222 (10th Cir.1966) (noting that “[i]t is well
settled that medical experts may be permitted to testify in matters
concerning which they are qualified even though they may not be
licensed to practice medicine in the jurisdiction involved”); Paradise
Prairie Land Co. v. United States, 212 F.2d 170, 173 (5th Cir.1954)
(holding that “[t]he inquiry by the trial judge as to the
qualifications of such a witness should be whether or not the witness
possesses the special knowledge and experience to qualify him as an
expert, not whether or not he has complied with the state's licensing
requirements to practice that profession”); Teat v. State, 237 Ga.App.
867, 516 S.E.2d 794, 796 (1999) (holding that “[a] witness need not be
licensed to practice psychology in Georgia in order to qualify as an
expert in matters of psychology or mental health” in a case that
involved testimony by an unlicensed psychologist); In re: C.W.D., 232
Ga.App. 200, 501 S.E.2d 232, 239 (1998) (noting that “[t]he possession
of a license in Georgia does not go to qualification as an expert
witness but may go to the weight and credibility that a jury gives to
such expert's opinion” in a case that involved testimony by a
psychologist who was not licensed in Georgia); Kluck v. Kluck, 561 N.W.2d
263, 266 (N.D.1997) (holding that “[e]vidence Rule 702 does not
require licensure in a particular field, or licensure in the court's
jurisdiction, to qualify as an expert” in a case that involved a
custody evaluation by a psychologist who was not licensed in North
Dakota); Fowler v. City of Manassas Dep't of Social Servs., (No.
0878-94-4, January 17, 1995) (Va.Ct.App.1995) (unpublished memorandum)
(stating that “[w]e find neither authority nor need for an additional
requirement that an otherwise qualified professional called as an
expert witness must be licensed to practice in Virginia” in a case
that involved testimony by a psychologist who was not licensed in
Virginia); Reutter v. State, 886 P.2d 1298, 1308 (Alaska Ct.App.1994)
(noting that “[t]here is no requirement that a witness possess a
particular license or academic degree, provided that the factfinder
can receive appreciable help from the witness' testimony”); People v.
Scalera, 118 A.D.2d 670, 500 N.Y.S.2d 19, 20 (1986) (holding that “the
trial court did not abuse its discretion in admitting in evidence the
opinion of a physician who was not licensed to practice medicine in
New York”); State v. Walker, 58 Or.App. 607, 649 P.2d 624, 625 (1982)
(holding that “[t]he trial court properly ruled that the
psychologist's lack of a license went, at most, to the weight of his
testimony, not to its admissibility” in a case that involved testimony
by a clinical psychologist who was not licensed in Oregon). See also
Geophysical Sys. Corp. v. Seismograph Serv. Corp., 738 F.Supp. 348 (C.D.Cal.1990);
State v. Belken, 633 N.W.2d 786 (Iowa 2001); Coe v. State, 17 S.W.3d
193 (Tenn.2000); Commonwealth v. Brown, 544 Pa. 406, 676 A.2d 1178
(1996); Yandell v. State, 262 Ark. 195, 555 S.W.2d 561 (1977); Ducote
v. Allstate Ins. Co., 242 So.2d 103 (La.Ct.App.1970).
We adopt the rationale of the Alabama Court of
Civil Appeals and the other jurisdictions cited and hold that the fact
that an expert is not licensed to practice his or her specialty in
Alabama does not, by itself, prevent him or her from testifying as an
expert witness in a criminal case in Alabama.
Further, we conclude that the fact that practicing
psychology without a license is a misdemeanor does not necessarily
prevent a witness from being qualified to testify as an expert. In
Hagen v. Swenson, 306 Minn. 527, 236 N.W.2d 161, 162 (1975), the
Minnesota Supreme Court addressed a similar situation as follows:
“Plaintiff alleges that the trial court improperly allowed expert
testimony. Dr. Andrew Leemhuis, a neurologist and psychiatrist, was
permitted to interpret plaintiff's Minnesota Multiphasic Personality
Inventory (MMPI). Plaintiff argues that such an interpretation is the
‘practice of psychology’ within the meaning of Minn. St. 148.89, subd.
1. The private practice of psychology without a license is a
misdemeanor under § 148.97, subd. 1. We reject plaintiff's contention
that these statutes act to prohibit the testimony of Dr. Leemhuis, who
is not a licensed psychologist. They are licensing statutes that have
no direct application to the qualifications of expert witnesses.” (Footnote
omitted.)
Finally, with regard to testimony by experts, Rule
702, Ala. R. Evid., provides: “If scientific, technical, or other
specialized knowledge will assist the trier of fact to understand the
evidence or to determine a fact in issue, a witness qualified as an
expert by knowledge, skill, experience, training, or education, may
testify thereto in the form of an opinion or otherwise.”
This Rule focuses on the proffered witness'
knowledge, skill, experience, training, and/or education rather than
any particular licensure by the State. For these reasons, we conclude
that the facts that Dr. Sultan was not licensed to practice psychology
in Alabama and that practicing psychology in Alabama without a license
is a misdemeanor do not, by themselves, operate to disqualify her from
testifying as an expert witness. FN2. A court should evaluate a
proffered expert witness' qualifications based on the standard set
forth in Rule 702, Ala. R. Evid.
“If we were to adopt [the circuit court's position],
we would in effect preclude expert testimony from, for example,
Archimedes himself, the Greek mathematician, physicist, and inventor-credited
with the discovery of the principle of the lever-had he come to
testify in our courts without first obtaining his license to practice
... in Rhode Island. Wernher von Braun, the father of our national
space program, absent a Rhode Island license, would also fall into
that category of ineligibility. We do not believe that our Legislature
intended that persons of great learning ... should be barred from
testifying in our courts, and assisting the triers of fact, merely
because they have not been licensed here in their respective fields of
expertise.” Owens v. Payless Cashways, Inc., 670 A.2d 1240, 1244 (R.I.1996).
Therefore, the circuit court erred when it refused to allow Dr. Sultan
to testify as an expert in this case on the grounds that she was not
licensed to practice psychology in Alabama and that practicing
psychology in Alabama without a license is a misdemeanor.
B.
Second, the appellant contends that the circuit
court abused its discretion when it used a bifurcated approach to
determine whether he should be allowed to present expert psychological
testimony. After the circuit court refused to allow Dr. Sultan to
testify, the appellant asked to be allowed to present psychological
evidence in support of his petition. After some discussion, the
circuit court ordered, at the State's suggestion, that the parties
submit briefs on the issue of whether the appellant had established
that his trial attorneys' performance had been deficient. Subsequently,
it concluded that the appellant had not established that his trial
attorneys' performance had been deficient and denied his request to
obtain and present psychological evidence in support of his petition.
We conclude that, under the facts of this case, the
circuit court erred in using such an approach. The appellant did more
than simply make bare allegations that his attorneys rendered
ineffective assistance by not developing and presenting evidence that
he was mentally retarded. In fact, he supported his contention with
evidence, including an “Outpatient Forensic Evaluation Report” that
showed that, in a 1992 evaluation, “he produced an IQ in the
borderline range of intellectual functioning” and a letter in which
one of his trial attorneys recommended that they request an
independent psychological evaluation for purposes of the sentencing
hearing before the trial court. (C.R. 14-15.) However, he still needed
to be able to present expert psychological testimony to establish that
his attorneys' performance was deficient. Therefore, the bifurcated
approach the circuit court used was not appropriate under the specific
facts of this case. On remand, the circuit court should allow the
appellant to present psychological evidence in support of his argument
that his trial attorneys rendered ineffective assistance because they
did not develop and present evidence that he is mentally retarded.
II.
The appellant also argues that the circuit court
improperly concluded that he is not mentally retarded. In the portion
of its order in which it addressed the appellant's argument that his
trial attorneys rendered ineffective assistance because they did not
develop and present evidence that he is mentally retarded, the circuit
court stated: “The Court finds that, based on the evidence available,
[the appellant] is not mentally retarded.” (Supp.C.R. 65.) For the
reasons set forth herein, the circuit court did not have sufficient
information before it to make such a finding. On remand, the circuit
court shall address this contention only after allowing both parties
to submit evidence in support of their respective positions and in
compliance with this opinion. In determining whether or not the
appellant is mentally retarded, the circuit court should consider the
standard set forth in Ex parte Smith, [Ms. 1010267, March 14, 2003]
--- So.2d ---- (Ala.2003); Ex parte Perkins, 851 So.2d 453 (Ala.2002);
and Stallworth v. State, 868 So.2d 1128, 1177 (Ala.Crim.App.2003) (opinion
on return to second remand).
Accordingly, we remand this case to the circuit
court with instructions that that court conduct an evidentiary hearing
on and make specific, written findings of fact as to the appellant's
contentions that he is mentally retarded and that his trial attorneys
rendered ineffective assistance because they did not develop and
present evidence that he is mentally retarded. On remand, the circuit
court shall take all necessary action to see that the circuit clerk
makes due return to this court at the earliest possible time and
within 70 days after the release of this opinion. The return to remand
shall include the circuit court's specific, written findings of fact
and a transcript of the evidentiary hearing.
REMANDED WITH INSTRUCTIONS. WISE, J., concurs; SHAW,
J., concurs in the result, with opinion, which McMILLAN, P.J., and
COBB, J., join.
SHAW, Judge, concurring in the result.
I concur in the result only.
Although I would rather remand this case for an
Atkins v. Virginia, 536 U.S. 304, 122 S.Ct. 2242, 153 L.Ed.2d 335
(2002), hearing after the Legislature has addressed and determined
this State's policy on this matter and established procedures and
standards for determining whether a capital defendant is mentally
retarded and, therefore, not subject to the death penalty, I
nonetheless concur to do so to allow the circuit court to conduct an
evidentiary hearing and to make additional findings of fact as to
whether the appellant is, in fact, mentally retarded under the
standards recently discussed in Ex parte Smith, [Ms. 1010267, March
14, 2003] --- So.2d ---- (Ala.2003); Ex parte Perkins, 851 So.2d 453
(Ala.2002); and Stallworth v. State, 868 So.2d 1128, 1177 (Ala.Crim.App.2003)(opinion
on return to second remand). I am aware that legislation addressing
this matter has been proposed in the current legislative session, and
I join the Alabama Supreme Court in urging the Legislature to develop
procedures and standards expeditiously for determining whether a
capital defendant is mentally retarded. See Ex parte Perkins, 851
So.2d at 455 n. 1.
McMILLAN, P.J., and COBB, J., concur.
On Return to Remand
BASCHAB, Judge.
On April 25, 2003, we remanded this case to the
circuit court with instructions that that court determine whether the
appellant, Holly Wood, is mentally retarded and whether his trial
attorneys rendered ineffective assistance by not developing and
presenting evidence that he is mentally retarded. On remand, the
circuit court conducted an evidentiary hearing and entered an
extensive order in compliance with our instructions. Afterward, the
appellant submitted a brief in which he raised arguments concerning
the remand proceedings. We now address the remaining arguments he
raised in his brief on original submission and the arguments he raises
in his brief on return to remand.
The appellant raises numerous arguments, including
claims that his attorneys rendered ineffective assistance during the
proceedings. In reviewing the circuit court's rulings on the
appellant's arguments, we apply the following principles: “ ‘ “[T]he
plain error rule does not apply to Rule 32 proceedings, even if the
case involves the death sentence.” Thompson v. State, 615 So.2d 129 (Ala.Cr.App.1992).’
Cade v. State, 629 So.2d 38, 41 (Ala.Crim.App.1993), cert. denied,
[511] U.S. [1046], 114 S.Ct. 1579, 128 L.Ed.2d 221 (1994). “In
addition, ‘[t]he procedural bars of Rule 32 apply with equal force to
all cases, including those in which the death penalty has been imposed.’
State v. Tarver, 629 So.2d 14, 19 (Ala.Crim.App.1993).” Brownlee v.
State, 666 So.2d 91, 93 (Ala.Crim.App.1995).
“To prevail on a claim of ineffective assistance of
counsel, the defendant must show (1) that his counsel's performance
was deficient and (2) that he was prejudiced as a result of the
deficient performance. Strickland v. Washington, 466 U.S. 668, 104
S.Ct. 2052, 80 L.Ed.2d 674 (1984). “ ‘The appellant must show that his
counsel's performance was unreasonable, considering all of the
attendant circumstances.... “[A] court deciding an actual
ineffectiveness claim must judge the reasonableness of counsel's
challenged conduct on the facts of the particular case, viewed as of
the time of counsel's conduct.” Strickland, 466 U.S. at 690, 104 S.Ct.
at 2066.’ “ Duren v. State, 590 So.2d 360, 362 (Ala.Cr.App.1990),
aff'd, 590 So.2d 369 (Ala.1991), cert. denied, [503] U.S. [974], 112
S.Ct. 1594, 118 L.Ed.2d 310 (1992).
“When this court is reviewing a claim of
ineffective assistance of counsel, we indulge a strong presumption
that counsel's conduct was appropriate and reasonable. Luke v. State,
484 So.2d 531, 534 (Ala.Cr.App.1985). The burden is on the appellant
to show that his counsel's conduct was deficient. Luke.
“ ‘Judicial scrutiny of counsel's performance must
be highly deferential. It is all too tempting for a defendant to
second-guess counsel's assistance after conviction or adverse sentence,
and it is all too easy for a court, examining counsel's defense after
it has proved unsuccessful, to conclude that a particular act or
omission of counsel was unreasonable. A fair assessment of attorney
performance requires that every effort be made to eliminate the
distorting effects of hindsight, to reconstruct the circumstances of
counsel's challenged conduct, and to evaluate the conduct from
counsel's perspective at the time. Because of the difficulties
inherent in making the evaluation, a court must indulge a strong
presumption that counsel's conduct falls within the wide range of
reasonable professional assistance; that is, the defendant must
overcome the presumption that, under the circumstances, the challenged
action “might be considered sound trial strategy.” There are countless
ways to provide effective assistance in any given case. Even the best
criminal defense attorneys would not defend a particular client in the
same way.’ “ Strickland, 466 U.S. at 689, 104 S.Ct. at 2065-66. (Citations
omitted.) Ex parte Lawley, 512 So.2d 1370, 1372 (Ala.1987).
“Initially we must determine whether counsel's
performance was deficient. We must evaluate whether the action or
inaction of counsel of which the petitioner complains was a strategic
choice. ‘Strategic choices made after a thorough investigation of
relevant law and facts are virtually unchallengeable....’ Lawley, 512
So.2d at 1372. This court must avoid using ‘hindsight’ to evaluate the
performance of counsel. We must evaluate all the circumstances
surrounding the case at the time of counsel's actions before
determining whether counsel rendered ineffective assistance. Falkner
v. State, 586 So.2d 39 (Ala.Cr.App.1991).” Hallford v. State, 629
So.2d 6, 8-9 (Ala.Crim.App.1992).
“In determining whether a defendant has established
his burden of showing that his counsel was ineffective, we are not
required to address both considerations of the Strickland v.
Washington test if the defendant makes an insufficient showing on one
of the prongs. Id. at 697, 104 S.Ct. at 2069. In fact, the Court
explained that ‘[i]f it is easier to dispose of an ineffectiveness
claim on the ground of lack of sufficient prejudice, which we expect
will often be so, that course should be followed.’ Id. We defer to
this guidance and address the ‘prejudice’ prong, for ‘[w]ith respect
to the prejudice component, the lack of merit of [Thomas's] claim is
even more stark.’ Id. at 699, 104 S.Ct. at 2070.” Thomas v. State, 511
So.2d 248, 255 (Ala.Crim.App.1987) (footnote omitted).
“Furthermore, to render effective assistance, an
attorney is not required to raise every conceivable constitutional
claim available at trial and on appeal. Holladay v. State, 629 So.2d
673 (Ala.Cr.App.1992), cert. denied, 510 U.S. 1171, 114 S.Ct. 1208,
127 L.Ed.2d 555 (1994); McCoy v. Lynaugh, 874 F.2d 954, 965-66 (5th
Cir.1989). Rather, counsel must be given some discretion in
determining which claims possibly have merit, and, thus a better
chance of success, and which claims do not have merit, and thus have
little chance of success. Heath v. State, 536 So.2d 142 (Ala.Cr.App.1988);
Smith v. Murray, 477 U.S. 527, 106 S.Ct. 2661, 91 L.Ed.2d 434 (1986);
Engle v. Isaac, 456 U.S. 107, 102 S.Ct. 1558, 71 L.Ed.2d 783 (1982).”
Davis v. State, 720 So.2d 1006, 1014 (Ala.Crim.App.1998).
I.
The appellant argues that he is mentally retarded,
that his attorneys rendered ineffective assistance by not developing
and presenting evidence that he is mentally retarded, and that his
attorneys rendered ineffective assistance by not requesting a jury
instruction on mental retardation. On remand, in a thorough 57-page
order, the circuit court made extensive findings concerning the
appellant's contentions that he is mentally retarded and that his
attorneys rendered ineffective assistance by not developing and
presenting evidence that he is mentally retarded. In that order, the
circuit court concluded that the appellant did not establish that he
is mentally retarded and therefore did not establish that his
attorneys rendered ineffective assistance by not developing and
presenting evidence that he is mentally retarded. The record supports
those findings, and we adopt them as part of this opinion.FN1
Therefore, we conclude that the appellant's arguments in this regard
are without merit.
FN1. We have taken judicial notice of the record
from the appellant's direct appeal in this case. See Nettles v. State,
731 So.2d 626 (Ala.Crim.App.1998).
In his brief on remand, the appellant argues that
the circuit court did not apply the correct standard in determining
whether he is mentally retarded; improperly required him to establish
that he is mentally retarded by a higher standard than a preponderance
of the evidence; and improperly found that he is not mentally retarded.
He also argues that the Sixth Amendment requires that his sentence be
vacated and that a new sentencing hearing be conducted so a jury can
determine whether he is mentally retarded. However, he did not first
present any of these arguments to the circuit court. Therefore, they
are not properly before this court. See Fincher v. State, 724 So.2d 87
(Ala.Crim.App.1998).
The appellant further argues that, on remand, the
State improperly refused to withdraw its threat to prosecute his
expert if she testified during the evidentiary hearing. However,
before the evidentiary hearing started, the State indicated that it
did not have any intention of prosecuting the expert witness if she
testified. Therefore, the record refutes the appellant's argument.
II.
The appellant also argues that the attorney who
acted as his lead counsel during the penalty phase of his trial “was
per se ineffective by virtue of his inexperience and non-compliance
with governing Alabama law.” (Appellant's brief at p. 31.)
Specifically, he contends that one of his trial counsel had practiced
as an attorney only five months when he was appointed to handle this
case. However, he did not present this argument in any of his
petitions or during the evidentiary hearing. Rather, he raised it only
in his post-hearing brief. Therefore, it is not properly before this
court. See Morrison v. State, 551 So.2d 435 (Ala.Crim.App.1989).
Moreover, the appellant was also represented by two
other attorneys who each had more than five years of experience in the
practice of criminal law. Therefore, the requirements of § 13A-5-54,
Ala.Code 1975, were satisfied in this case, and the appellant's
argument is without merit. See Parker v. State, 587 So.2d 1072 (Ala.Crim.App.1991).
III.
The appellant further argues that his attorneys
rendered ineffective assistance in numerous instances.
A.
First, the appellant contends that his attorneys
rendered ineffective assistance because they allegedly did not
investigate and present sufficient mitigating evidence during the
penalty phase of his trial. In support of his contention, he makes
reference to additional evidence that he contends is mitigating and
that he contends his attorneys could have presented during the penalty
phase of his trial.
In Daniels v. State, 650 So.2d 544, 568-70 (Ala.Crim.App.1994),
we stated the following regarding a claim that trial counsel had
rendered ineffective assistance during the penalty phase of a capital
murder trial: “In determining whether Haas was ineffective at original
sentencing, ... we recognize that the “ ‘two-pronged Strickland
analysis applies whether the ineffectiveness complained of occurred in
the defendant's trial or in a subsequent adversarial sentencing
proceeding. However, in a challenge to the imposition of a death
sentence, the prejudice prong of the Strickland inquiry focuses on
whether “the sentences ... would have concluded that the balance of
aggravating and mitigating circumstances did not warrant death.’ ” “
Stevens v. Zant, 968 F.2d 1076, 1081 (11th Cir.1992) (citation omitted),
cert. denied, [507] U.S. [929], 113 S.Ct. 1306, 122 L.Ed.2d 695
(1993). We also recognize that
“ ‘[w]hile “[i]t should be beyond cavil that an
attorney who fails altogether to make any preparations for the penalty
phase of a capital murder trial deprives his client of reasonably
effective assistance of counsel by any objective standard of
reasonableness,” see Blake v. Kemp, 758 F.2d 523, 533 (11th Cir.1985),
it is unclear how detailed an investigation is necessary to provide a
defendant with the effective assistance of counsel. Strickland only
requires that counsel's actions fall within the wide spectrum of what
can be considered reasonable assistance of counsel.’ White v.
Singletary, 972 F.2d 1218, 1224 (11th Cir.1992). The principles
regarding an attorney's duty to conduct an investigation into
mitigating evidence have been summarized as follows:
“ ‘An attorney has a duty to conduct a reasonable
investigation, including an investigation of the defendant's
background, for possible mitigating evidence. Thompson v. Wainwright,
787 F.2d 1447, 1451 (11th Cir.1986). First, it must be determined
whether a reasonable investigation should have uncovered such
mitigating evidence. If so, then a determination must be made whether
the failure to put this evidence before the jury was a tactical choice
by trial counsel. If so, such a choice must be given a strong
presumption of correctness, and the inquiry is generally at an end.
Funchess v. Wainwright, 772 F.2d 683, 689-90 (11th Cir.1985). If,
however, the failure to present the mitigating evidence was an
oversight, and not a tactical decision, then a harmlessness review
must be made to determine if there is a reasonable probability that,
but for counsel's unprofessional errors, the result of the proceeding
would have been different. Thus, it must be determined that defendant
suffered actual prejudice due to the ineffectiveness of his trial
counsel before relief will be granted.’ “ Middleton v. Dugger, 849
F.2d 491, 493 (11th Cir.1988).
“Applying the foregoing principles to the issue of
whether Haas provided effective assistance of counsel at original
sentencing, we conclude that the appellant's claim is without merit.
Although the defense called only one witness at the sentencing hearing,
that witness was Mrs. Hebert, the appellant's mother, who pleaded for
the appellant's life. Mrs. Hebert had retained Haas, conferred with
him at length, paid all his trial fees, and, by the time of sentencing,
had exhausted her funds. The circuit court's sentencing order stated
that ‘it is apparent to the court that [Mrs. Hebert] was devoted to [the
appellant].’
“Since Haas had spoken with Mrs. Hebert about the
appellant and had observed by her words and actions that she appeared
to be ‘devoted’ to the appellant, we cannot fault Haas for failing to
discover the appellant's ‘traumatic’ childhood, in which, according to
later testimony by Dr. Herlihy, Mrs. Hebert's ‘emotional rejection’ of
her son played a large part. Compare Bertolotti v. Dugger, 883 F.2d
1503, 1520 (11th Cir.1989) (defense counsel held to have provided
effective assistance on claim that counsel overlooked or failed to
investigate evidence of defendant's traumatic childhood, where counsel
interviewed defendant's parents), cert. denied, 497 U.S. 1031 [1032],
110 S.Ct. 3296, 111 L.Ed.2d 804 (1990). See also Beets v. Collins, 986
F.2d 1478, 1488-89 (5th Cir.1993) (although counsel did not ‘conduct a
thorough investigation of [the defendant's] medical, mental, and
psychological history,’ which would have revealed that the defendant
‘was raised in abject poverty, experienced a debilitating hearing loss,
was afflicted with learning disabilities, had received head injuries
as a child, and suffers from battered woman syndrome,’ the court
observed that the defendant never gave her attorney ‘any hint that she
had been abused by previous husbands or boyfriends. Neither [the
defendant] nor any other member of her family ever conveyed to [the
attorney] any information giving him reason to believe that she had a
history of being physically abused.’), rehearing granted, 998 F.2d 253
(5th Cir.1993); Cantu v. Collins, 967 F.2d 1006, 1016 (5th Cir.1992) (despite
fact that counsel failed to present evidence of defendant's ‘low IQ,
emotional immaturity, troubled youth, trauma as a result of his
parents' divorce, and appearance of neglect,’ court found that counsel
had ‘thoroughly investigated these claims, consulting with his client
as well as [client's] father and brother for possible mitigating
evidence,’ and the claims were not supported in fact), cert. denied,
[509] U.S. [926], 113 S.Ct. 3045, 125 L.Ed.2d 730 (1993); Wilkerson v.
Collins, 950 F.2d 1054, 1064-65 (5th Cir.1992) (although attorney
failed to discover or develop mitigating evidence that defendant had a
‘deprived family background,’ and psychological and mental ‘limitations,’
the court observed that ‘trial counsel interviewed [the defendant],
his mother, and other relatives. Neither [the defendant] nor his
relatives were able to supply the names of potential defense witnesses.
Investigation did not reveal reason to suspect that [the defendant's]
mental capacity was in any fashion impaired.’), cert. denied, [509]
U.S. [921], 113 S.Ct. 3035, 125 L.Ed.2d 722 (1993); Thompson v. State,
581 So.2d 1216, 1238 (Ala.Cr.App.1991) (upholding circuit court's
finding that counsel, who presented only the testimony of defendant's
mother at sentencing, was not ineffective for failing to present
evidence of the defendant's violent family background, addiction and
substance abuse), cert. denied, 502 U.S. 1030, 112 S.Ct. 868, 116 L.Ed.2d
774 (1992).
“We hold that Haas was not ineffective at the
original sentencing proceeding.” 650 So.2d at 568-70 (emphasis omitted).
Also, counsel does not necessarily render ineffective assistance
simply because he does not present all possible mitigating evidence.
“Although the failure to conduct a reasonable investigation of
possible mitigating evidence may constitute ineffective assistance of
counsel, ‘counsel may make a reasonable strategic judgment to present
less than all possible available evidence in mitigation.’ Stanley v.
Zant, 697 F.2d 955, 965 (11th Cir.1983), cert. denied, 467 U.S. 1219,
104 S.Ct. 2667, 81 L.Ed.2d 372 (1984).” Lundy v. State, 568 So.2d 399,
403 (Ala.Crim.App.1990).
“When a decision to not put on certain mitigating
evidence is based on a ‘strategic choice,’ courts have always found no
ineffective performance. Moore v. Maggio, 740 F.2d 308 (5th Cir.1984),
cert. denied, 472 U.S. 1032, 105 S.Ct. 3514, 87 L.Ed.2d 643 (1985);
Lowenfield v. Phelps, 817 F.2d 285 (5th Cir.1987), aff'd, 484 U.S.
231, 108 S.Ct. 546, 98 L.Ed.2d 568 (1988). No two lawyers would try a
case exactly the same way.
“We cannot say that counsel's performance is
deficient because he failed to call more witnesses at the sentencing
phase. ‘The decision not to call a particular witness is usually a
tactical decision not constituting ineffective assistance of counsel.’
Oliver v. State, 435 So.2d 207, 208 (Ala.Cr.App.1983). At the hearing
on the Rule 32 petition, the appellant's mother, two of his aunts, an
uncle, and several old friends offered character testimony. Most of
these witnesses did not have contact with the appellant near the time
of the murder. There has never been a case where additional witnesses
could not have been called. The appellant presented relatives and
personal friends who, upon interview, were found to testify on his
behalf. We refuse to set a standard that a court may be reversed
because it did not hear unoffered testimony from still more friends
and relatives. We also refuse to say that a member of the bar is
guilty of ineffectiveness for not calling every witness and friend who
was willing to testify. To hold otherwise would clog an already
overburdened system with repetitious testimony. The appellant has
failed to satisfy either prong of the Strickland test.” State v.
Tarver, 629 So.2d 14, 21 (Ala.Crim.App.1993).
“With regard to McKinnon's representation of
Morrison at the punishment-fixing and sentencing phases of his trial,
we find that the observations of the court in Clark v. Dugger, 834
F.2d 1561, 1568 (11th Cir.1987), are appropriate: “ ‘The failure to
conduct a reasonable investigation of possible mitigating evidence may
render counsel's assistance ineffective. Lightbourne v. Dugger, 829
F.2d 1012, 1025 (11th Cir.1987); Thompson v. Wainwright, 787 F.2d
1447, 1450 (11th Cir.1986), cert. denied, 481 U.S. 1042, 107 S.Ct.
1986, 95 L.Ed.2d 825 (1987). “After a sufficient investigation,
however, ‘counsel may make a reasonable strategic judgment to present
less than all possible available evidence in mitigation.’ ”
Lightbourne, 829 F.2d at 1025 (quoting Mitchell v. Kemp, 762 F.2d 886,
889 (11th Cir.1985), cert. denied, 483 U.S. 1026, 107 S.Ct. 3248, 97
L.Ed.2d 774 (1987) and Stanley v. Zant, 697 F.2d 955, 965 (11th
Cir.1983), cert. denied, sub nom. [ Stanley v. Kemp,] 467 U.S. 1219,
104 S.Ct. 2667, 81 L.Ed.2d 372 (1984)). In essence, “[c]ounsel has no
absolute duty to present mitigating character evidence.” Id. (quoting
Mitchell, 762 F.2d at 889). [Counsel] conducted a reasonable
investigation to determine the availability of appropriate mitigating
evidence and simply made a tactical decision to not present some of
the available mitigating evidence. In this circuit, [counsel's]
decision is “accorded a strong presumption of correctness which is
‘virtually unchallengeable.’ ” Id. (quoting Sinclair v. Wainwright,
814 F.2d 1516, 1519 (11th Cir.1987) and Strickland v. Washington, 466
U.S. 668, 690, 104 S.Ct. 2052, 2066, 80 L.Ed.2d 674 (1984)). Given the
alternatives ... faced, [counsel's] handling of the penalty phase was
not unreasonable. See Stanley, 697 F.2d at 958-70. We therefore
conclude that there has been no showing of ineffective assistance nor
prejudice to defendant in the way trial counsel prepared and tried [this]
case.' ” Morrison v. State, 551 So.2d 435, 445 (Ala.Crim.App.1989) (alterations
in original).
“We find that the holding of Fleming v. Kemp, 748
F.2d 1435, 1452 (11th Cir.1984), cert. denied, 475 U.S. 1058, 106 S.Ct.
1286, 89 L.Ed.2d 593 (1986), is applicable here: “ ‘In summary, we are
not persuaded by petitioner's argument that ... [defense counsel]
rendered him ineffective assistance of counsel. Petitioner's examples
of professional dereliction dissolve away under close scrutiny,
leaving at best a handful of colorable claims. A defense attorney is
not ineffective solely because his client is sentenced to death.
“Intrusive post-trial inquiry into attorney performance,” such as that
which has been required in this case, may “dampen the ardor and impair
the independence of defense counsel, discourage the acceptance of
assigned cases, and undermine the trust between attorney and client.”
Strickland v. Washington, [466] U.S. at [690], 104 S.Ct. at 2066.
Counsel's performance, here, ensured a fundamentally “fair trial”
which “produced a just result.” Id. at [686], 104 S.Ct. at 2064. There
is no reason to set aside petitioner's conviction or his penalty on
account of the representation he received.’ ” Bell v. State, 518 So.2d
840, 847 (Ala.Crim.App.1987). Finally, the appellant bears a heavy
burden of proof when he claims that his counsel rendered ineffective
assistance.
“Further, we cannot say that the appellant suffered
any prejudice based on counsel's performance because he failed to
demonstrate any evidence of mitigation. Prejudice cannot merely be
alleged; it must be affirmatively proved. Duren v. State, 590 So.2d
360 (Ala.Crim.App.1990). Thus, the appellant has not shown that there
is a reasonable probability that the outcome of his trial would have
been different, but for trial counsel's performance. Baldwin [ v.
State, 539 So.2d 1103 (Ala.Crim.App. 1988)] , Thompson v. State, 581
So.2d 1216 (Ala.Crim.App.1991), cert. denied, 502 U.S. 1030, 112 S.Ct.
868, 116 L.Ed.2d 774 (1992).” Brooks v. State, 695 So.2d 176, 182 (Ala.Crim.App.1996),
aff'd, 695 So.2d 184 (Ala.1997).
When it addressed this contention, the circuit
court noted, in part: “Many of the [claims] asserted by Wood allege
that more should have been done. When a claim is raised that trial
counsel should have done something more, the Court first looks at what
counsel did in fact. Chandler, 218 F.3d at 1319. In this case, counsel
employed the services of an investigator. In addition, Attorney
Trotter met with Wood's family in preparing for the penalty phase. At
the penalty phase, trial counsel presented testimony from Wood's
father and two of his siblings. Trial counsel also presented evidence
suggesting that Wood suffered from an emotional disturbance. Further,
the record shows that trial counsel used the services of a private
investigator, who prepared reports for use in preparing Wood's defense.
The record also shows that trial counsel investigated a potential
mental health defense, but decided against presenting it. At the
meetings between Attorney Trotter and Wood's family, Trotter testified
that he attempted to gather information about Wood's upbringing,
background, childhood, what it had been like growing up in Wood's home,
Wood's characteristics, and information that could humanize Wood in
the jury's eyes.
“Counsel also attempted to get information from
Wood's schools. In that regard, counsel contacted individuals at
Luverne High School. The testimony at the evidentiary hearing also
shows that trial counsel sought information from the Alabama
Department of Pardons and Paroles, the Alabama Department of
Corrections, and the Department of Human Resources. In addition, trial
counsel sought guidance from the Capital Resource Center and the
Southern Poverty Law Center.
“Based on the evidence in the record, the Court
finds that Wood failed to establish that what trial counsel did in
preparation and investigation for the penalty phase was unreasonable.
A.R. Cr. P., 32.3. Thus, Wood's claims that more should have been done
are not well-taken. The Court finds that Wood failed to establish
deficient performance of his attorneys during their preparation of the
penalty phase.” (S.C.R. 56-57.) We agree with the circuit court's
findings, conclude that they are supported by the record, and adopt
them as part of this opinion. Although the appellant has made
allegations regarding the performance of his attorneys, he has not
established that their performance was deficient and that he was
prejudiced by their deficient performance. Therefore, because he has
not satisfied his burden of pleading and proof pursuant to Rules 32.3
and 32.6(b), Ala. R.Crim. P., and Strickland as to these claims, he is
not entitled to relief in this regard.
B.
Second, the appellant contends that his attorneys
rendered ineffective assistance because they: 1) did not adequately
prepare for the suppression hearing; 2) did not properly prepare for
and act properly during the voir dire proceedings; 3) did not properly
advise the appellant regarding jury sequestration; 4) did not
adequately argue their Batson motion; 5) did not adequately
investigate and challenge the State's investigation and presentation
of the case; 6) did not present any defense witnesses during the guilt
phase of the trial; 7) did not adequately challenge the evidence the
State relied on to establish the burglary and the murder; 8) did not
procure necessary expert assistance; 9) did not adequately develop
impeachment evidence against the State's leading witness; 10) did not
adequately challenge the testimony of the State's witnesses regarding
the intentional murder; 11) did not adequately investigate and present
evidence regarding his mental state and intoxication at the time of
the offense; 12) did not object to prosecutorial misconduct; 13) did
not request a jury instruction on intoxication; and 14) did not ask
the judge who presided over his trial to recuse himself.
The appellant has made allegations as to these
contentions, but he has not adequately established that his attorneys'
performance was deficient and that that deficient performance
prejudiced him. Therefore, he has not satisfied his burden of pleading
and proof under Rules 32.3 and 32.6(b), Ala. R.Crim. P., and
Strickland. Accordingly, he is not entitled to relief on these claims.
C.
Third, the appellant contends that his attorneys
rendered ineffective assistance, in part, due to allegedly inadequate
compensation. To the extent he challenges the statutory limit on
attorney fees in capital cases, his argument is procedurally barred
because he could have raised it at trial and on appeal, but did not.
See Rule 32.2(a)(3) and (a)(5), Ala. R.Crim. P. To the extent he
raises an ineffective-assistance-of-counsel claim, his argument is
without merit. As set forth above, the circuit court found that the
appellant's attorneys rendered effective assistance at trial and on
direct appeal. The records of the appellant's trial and the Rule 32
proceedings support those findings. Therefore, the appellant has not
satisfied his burden of proof under Strickland or Rule 32.3 and
32.6(b), Ala. R.Crim. P., and he is not entitled to relief on this
claim.
IV.
Additionally, the appellant argues that he is
entitled to postconviction relief because: 1) the judge who presided
over his trial should have recused himself; 2) he was arrested without
a warrant or probable cause; 3) any statements he made should have
been suppressed; 4) the prosecutor engaged in misconduct during the
trial and sentencing proceedings; 5) the capital murder statute
pursuant to which he was convicted is unconstitutional; 6) the State
did not comply with its discovery obligations under Brady v. Maryland,
373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963); 7) the State did
not give adequate notice of the aggravating circumstances upon which
it intended to rely; 8) the trial court improperly refused to remove
prospective jurors for cause; 9) his death sentence was imposed in a
racially discriminatory manner; 10) his human rights were violated in
contravention of the International Convention of Civil and Political
Rights and the International Convention on the Elimination of All
Forms of Racial Discrimination; and 11) his rights were violated
because a juror did not answer a question truthfully during the voir
dire proceedings.
Claims 1-10 are nonjurisdictional claims that are
precluded pursuant to the provisions of Rule 32.2(a), Ala. R.Crim. P.
Also, the appellant has made only bare allegations as to Claim 11 and
has not established that he could not have raised that claim at trial
and on appeal. See Rules 32.1(e), 32.3, and 32.6(b), Ala. R.Crim. P.
Therefore, he is not entitled to relief on any of these claims.
V.
Finally, the appellant argues that the circuit
court improperly adopted verbatim the State's proposed order. “ ‘While
the practice of adopting the State's proposed findings of fact and
conclusions of law is subject to criticism, the general rule is that
even when the court adopts proposed findings and conclusions verbatim,
the findings are those of the court and may be reversed only if
clearly erroneous. Anderson v. City of Bessemer, N.C., 470 U.S. 564,
105 S.Ct. 1504, 84 L.Ed.2d 518 (1985); Hubbard v. State, 584 So.2d 895
(Ala.Cr.App.1991); Weeks v. State, 568 So.2d 864 (Ala.Cr.App.1989),
cert. denied, 498 U.S. 882, 111 S.Ct. 230, 112 L.Ed.2d 184 (1990);
Morrison v. State, 551 So.2d 435 (Ala.Cr.App.1989), cert. denied, 495
U.S. 911, 110 S.Ct. 1938, 109 L.Ed.2d 301 (1990).’ “ Wright v. State,
593 So.2d 111, 117-18 (Ala.Cr.App.1991), cert. denied, [506] U.S.
[844], 113 S.Ct. 132, 121 L.Ed.2d 86 (1992).”
Holladay v. State, 629 So.2d 673, 687-88 (Ala.Crim.App.1992).
The record does not indicate that the circuit court's findings are
clearly erroneous. In fact, it supports those findings. Therefore, the
appellant's argument is without merit.
For the above-stated reasons, we affirm the circuit
court's judgment. AFFIRMED.
McMILLAN, P.J., and SHAW and WISE, JJ., concur;
COBB, J., concurs in part in the rationale and concurs in the result,
with opinion.
COBB, Judge, concurring in part in the rationale
and concurring in the result.
I concur with the majority as to its resolution of
the issues in Parts II-V of the opinion. I agree with the result
reached by the majority in Part I. I write specially to express my
concern regarding the majority's adoption of the trial court's order
on return to remand.
In Wood v. State, 891 So.2d 398 (Ala.Crim.App.2003),
we remanded the cause for the trial court to conduct an evidentiary
hearing to determine whether Wood is mentally retarded and, if so, to
determine whether his trial attorneys rendered ineffective assistance
by failing to develop and present evidence of his retardation. The
trial court conducted the hearing and filed with this Court a
comprehensive, superbly written order on return to remand. The trial
court thoroughly discussed the evidence presented at the hearing and
correctly applied the relevant law to those facts.
I do not disagree with the majority's adoption of
the trial court's order on return to remand. However, I believe that,
in a case involving review of postconviction proceedings in a capital
murder case in which the death penalty was imposed, discussion and
analysis of the trial court's findings of fact and conclusions of law
are necessary. Without any specific discussion or analysis of the
findings in the trial court's order on return to remand, indeed,
without quotation to any of the relevant portions it says the Court
adopts, the decision of this Court as to this issue has virtually no
precedential value and review of this issue by higher courts will be
made unnecessarily difficult.
I would prefer a more comprehensive discussion of
the trial court's findings and conclusions in Part I. Therefore, I
concur in the result as to Part I.
Wood v. Allen, 542 F.3d 1281 (11th Cir.
2008). (Habeas)
Background: Following affirmance of his capital
murder conviction and death sentence on direct appeal, 715 So.2d 819,
and denial of post-conviction relief, 891 So.2d 398, state inmate
filed petition for writ of habeas corpus. The United States District
Court for the Middle District of Alabama, No. 04-00509-CV-WHA, W.
Harold Albritton, III, J., 465 F.Supp.2d 1211, granted petition in
part and denied petition in part.
Holdings: Parties filed cross-appeals. The Court of
Appeals, Hull, Circuit Judge, held that: (1) rejection of petitioner's
claim that he was not eligible for death penalty because of his mental
retardation was reasonable; (2) determination that prosecutor's use of
peremptory strikes was not discriminatory was reasonable; (3)
determination that trial counsel's decision not to call psychologist
was not deficient was reasonable; and (4) determination that counsel
conducted adequate investigation regarding petitioner's intellectual
functioning was reasonable.
Affirmed in part, reversed in part, and remanded.
Barkett, Circuit Judge, concurred in part, dissented in part, and
filed opinion.
HULL, Circuit Judge:
The State of Alabama appeals the district court's
grant of the habeas writ to Holly Wood, which vacated his death
sentence based on counsel's ineffective assistance in failing to
investigate and offer sufficient mitigation evidence. Wood cross-appeals
the denial of his claims that: (1) he is mentally retarded and
ineligible for the death penalty under Atkins v. Virginia, 536 U.S.
304, 122 S.Ct. 2242, 153 L.Ed.2d 335 (2002); and (2) the prosecutor's
peremptory strikes violated Batson v. Kentucky, 476 U.S. 79, 106 S.Ct.
1712, 90 L.Ed.2d 69 (1986). After review and oral argument, we affirm
the district court's denial of Wood's Atkins and Batson claims and
reverse its decision that Wood's counsel rendered ineffective
assistance.
I. The Crime and Procedural History
A. The Crime
On the night of September 1, 1993, Wood brutally
killed Ruby Lois Gosha, who was Wood's former girlfriend and the
mother of his child. See Wood v. State, 715 So.2d 812, 813 (Ala.Crim.App.1996).
About two weeks prior to murdering Ruby, Wood had assaulted Ruby,
cutting her and causing her to lose the use of two fingers. Id. at
814. In addition to the testimony of Ruby's mother in that regard, the
autopsy showed recent bruises on Ruby's palm and the back of her left
hand, two recent trauma-induced scars on her right forearm, and recent
scars on her left forearm and upper arm. Id.
On the night of the murder, around 5:00 p.m.,
Ruby's mother told Wood to leave her home (where Ruby lived) and not
come back. Id. at 813-14. Wood returned to Ruby's mother's house
around 9:00 p.m., snuck into Ruby's bedroom with his 12-gauge shotgun,
and shot Ruby in the head and face, fracturing her skull and injuring
her brain. Id. at 814. There was a gunshot wound near her eye and one
near her cheek. Id. Ruby was dead by the time the ambulance got her to
the hospital. Id.
After shooting Ruby, Wood that night told his
cousin, Calvin Salter, “I shot that bitch in the head, and [blew] her
brains out and all she did was wiggle.” Id. at 815 (alteration in
original). Wood also told Salter that he had attempted to stab Ruby in
the heart sometime prior to the shooting, but Ruby had thrown her arm
up to protect herself, and he had stabbed her in the arm instead. Id.
Thus, although Ruby had tried to escape Wood's domestic violence and
although her mother had tried to keep Wood away from her home, Wood
managed to sneak into the home late at night and kill Ruby at point-blank
range in her own bed.
At the time Wood killed Ruby, he was already on
parole for a prior violent felony shooting of another former
girlfriend. See id. at 819. In short, Ruby was not Wood's first
domestic violence shooting victim, and the State sought the death
penalty for Ruby's murder.
B. Procedural History
On October 20, 1994, the jury unanimously convicted
Wood of capital murder during a first-degree burglary. The jury
recommended a death sentence by a 10-2 vote. After a pre-sentencing
report and a separate sentencing hearing, the trial judge sentenced
Wood to death. On direct appeal, the Alabama Court of Criminal Appeals
(“Alabama Appeals Court”) rejected Wood's Batson claim and affirmed
his conviction and death sentence. See Wood v. State, 715 So.2d at
817, 819. The Alabama Supreme Court also affirmed Wood's conviction
and sentence. Ex parte Wood, 715 So.2d 819 (Ala.1998).
After the United States Supreme Court denied Wood
certiorari, Wood v. Alabama, 525 U.S. 1042, 119 S.Ct. 594, 142 L.Ed.2d
536 (1998), Wood filed a petition for post-conviction relief under
Alabama Rule of Criminal Procedure 32.FN1 Wood's Rule 32 petition
claimed that (1) he is mentally retarded and not eligible for a death
sentence, and (2) his trial counsel were ineffective by failing to
investigate and present evidence of his mental deficiencies during the
penalty phase. After two evidentiary hearings, the Rule 32 court
denied Wood's Rule 32 petition in two separate orders.
FN1. Wood filed a pro se Rule 32 petition in 1999,
a counseled amended Rule 32 petition in 2000, and a counseled second
amended Rule 32 petition in 2001.
After these Rule 32 orders, the United States
Supreme Court decided Atkins, and the Alabama Appeals Court remanded
Wood's Rule 32 case in light of Atkins. Wood v. State, 891 So.2d 398,
402 (Ala.Crim.App.2003). On remand, the Rule 32 court conducted an
extensive evidentiary hearing and issued a third Rule 32 order
thoroughly discussing Wood's claims and denying them. The Rule 32
court found that Wood was not mentally retarded and his counsel were
not ineffective. The Alabama Appeals Court adopted and affirmed the
Rule 32 court's findings and denial of Wood's claims. See Wood v.
State, 891 So.2d 398, 413 (Ala.Crim.App.2004). The Alabama Supreme
Court denied certiorari. Ex parte Wood, No. 1030817 (Ala. May 21,
2004).
Wood then filed his 28 U.S.C. § 2254 petition. The
district court denied Wood's Atkins and Batson claims, but granted
relief on Wood's claim that his counsel were ineffective in the
penalty phase by failing to investigate and present evidence of his
deficient “intellectual functioning.” Wood v. Allen, 465 F.Supp.2d
1211, 1228-29, 1232, 1245 (M.D.Ala.2006). This appeal followed.
II. Standard of Review
We review the district court's grant or denial of
habeas relief de novo. See Stewart v. Sec'y, Dep't of Corr., 476 F.3d
1193, 1208 (11th Cir.2007); McNair v. Campbell, 416 F.3d 1291, 1297
(11th Cir.2005); Sims v. Singletary, 155 F.3d 1297, 1304 (11th
Cir.1998). However, under § 2254, as amended by the Antiterrorism and
Effective Death Penalty Act of 1996 (“AEDPA”), our review of a final
state court habeas decision is “greatly circumscribed and is highly
deferential to the state courts.” Crawford v. Head, 311 F.3d 1288,
1295 (11th Cir.2002).
Section 2254(d) permits federal habeas relief only
where the state courts' decisions were (1) “contrary to, or involved
an unreasonable application of, clearly established Federal law, as
determined by the Supreme Court of the United States,” or (2) “based
on an unreasonable determination of the facts in light of the evidence
presented in the State court proceeding.” 28 U.S.C. § 2254(d)(1)-(2);
Stewart, 476 F.3d at 1208.FN2 “[A] determination of a factual issue
made by a State court shall be presumed to be correct,” and “[t]he
applicant shall have the burden of rebutting the presumption of
correctness by clear and convincing evidence.” 28 U.S.C. § 2254(e)(1);
Henyard v. McDonough, 459 F.3d 1217, 1240 (11th Cir.2006), cert.
denied, 549 U.S. 1284, 127 S.Ct. 1818, 167 L.Ed.2d 328 (2007);
Marquard v. Sec'y for the Dep't of Corr., 429 F.3d 1278, 1303 (11th
Cir.2005). Thus, “[o]ur review of findings of fact by the state court
is even more deferential than under a clearly erroneous standard of
review.” Stephens v. Hall, 407 F.3d 1195, 1201 (11th Cir.2005).
FN2. “The phrase ‘clearly established Federal law,’
as used in § 2254(d)(1), encompasses only the holdings, as opposed to
the dicta, of the United States Supreme Court as of the time of the
relevant state court decision.” Stewart, 476 F.3d at 1208-09. With
these highly deferential standards in mind, we turn to Wood's Atkins,
Batson, and ineffective assistance claims, in that order.
III. Atkins
We agree with the district court that the Alabama
courts' rejection of Wood's mental retardation claim was not contrary
to, or an unreasonable application of, Atkins, or based on an
unreasonable determination of the facts.
The Supreme Court in Atkins held that the Eighth
Amendment prohibits the execution of mentally retarded persons. Atkins,
536 U.S. at 321, 122 S.Ct. at 2252. The Supreme Court left “ ‘to the
States the task of developing appropriate ways to enforce the [ Atkins]
constitutional restriction.’ ” Id. at 317, 122 S.Ct. at 2250 (brackets
and citation omitted). As the Rule 32 court recognized, Alabama law
provides that a defendant making an Atkins claim must establish three
elements to show mental retardation: (1) significantly subaverage
intellectual functioning (defined as an Intelligence Quotient (“IQ”)
of 70 or lower); (2) significant or substantial deficits in adaptive
behavior; and (3) that both of the first two problems manifested
themselves during the defendant's “developmental period” (before the
defendant reached the age of eighteen). See Smith v. State, --- So.2d
----, 2007 WL 1519869, 2007 Ala. LEXIS 91, at *19-21 (Ala. May 25,
2007); Ex parte Perkins, 851 So.2d 453, 456 (Ala.2002).
After three evidentiary hearings, the Rule 32 court
applied this standard and found Wood is not mentally retarded because
he does not have significant or substantial deficits in his adaptive
functioning but instead has a high level of adaptive functioning.FN3
The Rule 32 court found Wood: (1) was able to obtain and maintain
employment and had worked at several jobs for a lengthy amount of
time, such as driving a forklift, driving motor vehicles, working in a
factory, and operating heavy machinery and equipment in a dangerous
work environment; (2) was able to function well independently and did
not need the assistance of others to complete daily tasks; (3) managed
his own money and always had money; (4) did not have problems
communicating or getting his needs met verbally or through written
language; (5) was able to plan and cook meals for himself and others;
(6) could identify and resolve typical problems that might arise in
everyday life (such as checking the fuse box if the lights went out in
his house); (7) was always neat and clean in his appearance; (8) often
drove himself out-of-state to visit relatives and for other reasons,
and in fact was an automobile enthusiast who subscribed to Hot Rod
magazine; (9) could form and maintain interpersonal relationships with
others and had a girlfriend, Barbara Siler, for three years; and (10)
devised and implemented a scheme to lure Siler out of her house to
shoot her after she ended their relationship.
FN3. Although the Rule 32 court concluded Wood
“probably” met the first element of the test-subaverage intellectual
functioning-the Rule 32 court determined it did not need to reach that
issue because the second element of the test-significant or
substantial deficits in adaptive functioning-was not present.
In finding that Wood has a high level of adaptive
functioning, the Rule 32 court credited testimony from psychologists
Dr. Harry McClaren and Dr. Gregory Prichard; Siler; Wood's former
teachers; and Wood's former boss, Melvin Wright. Drs. McClaren and
Prichard evaluated Wood together and concluded Wood was not mentally
retarded because, while his full-scale IQ was 64 and his true IQ was
between 61 and 69, Wood did not have significant or substantial
deficits in his adaptive functioning. They administered the “Vineland”
test for adaptive functioning and the Scales of Independent Behavior
Revised Edition (“SIBR”). They interviewed Wood's “[t]eachers, boss,
correctional officers, a man that had known his family, [and] sisters.”
FN4
FN4. Dr. Prichard administered the SIBR to Wood and
testified “Wood was assessing himself pretty high in terms of adaptive
capacity.” Dr. Prichard administered Vineland tests to Siler, Wood's
former teachers Janet Penn and Hilda Maddox, sisters Johnnie and
Maeola Wood, and correctional officers.
Dr. McClaren testified that: (1) Wood “has been
able to obtain and maintain a variety of jobs involving driving motor
vehicles, working in a factory, [and] working heavy equipment,”
including a forklift and a front-end loader; (2) Wood worked in the
kitchen while in prison; (3) Wood's heavy machinery jobs “required a
degree of skill that is not typically associated with people who ...
are mentally retarded” and he could not “think of another mentally
retarded person [he] examined that did that kind of work”; (4) Wood
was able to explain in detail how to prepare a meal for a large number
of people; (5) Wood had numerous cars in his life and paid cash for
most of them; (6) Wood liked hot rodding and subscribed to Hot Rod
magazine; (7) Wood knew to go to the fuse box if a light went out in
his house; (8) Wood once borrowed money from a bank to buy a car but
quickly repaid the loan so he could do things for the family; and (9)
Wood was a sharp dresser and a “neat freak.” Dr. Prichard's “bottom
line finding” was that Wood's “adaptive skills are not impaired in the
mentally retarded range.” Dr. Prichard added that Wood's skills were
“sufficient for independent functioning.” Dr. Prichard agreed with Dr.
McClaren's findings.
Four teachers testified about Wood's IQ and special
education classes, and their testimony was consistent with that of the
Rule 32 psychologists. Janet Penn-Wood's special education teacher-taught
Wood for two or three years during junior high. Penn could have no
more than fifteen students at a time, and usually she had twelve.
Penn's special education students had an IQ range of 60-80, and Wood
was a “pretty average” student who never failed. Penn did not recall
Wood getting into trouble frequently, but as neat, clean, and on-time,
albeit lazy, sleepy, and a little moody. Penn thought Wood was
probably classified as educable mentally retarded, which meant he was
more productive than the students classified as trainable mentally
retarded. FN5
FN5. Our colleague's separate opinion states that
“Penn would have testified also that all of the special education
students, regardless of age or grade level, were placed in one room in
a basement.” Judge Barkett Opinion, at 1324. However, Penn did not
testify that all special education students were placed in the same
class regardless of age or grade level or that there was only one
classroom in the basement. To the contrary, Penn apparently taught
Wood in seventh, eighth, and ninth grade, and she testified that she
could have no more than fifteen students at a time and usually had
about twelve. Moreover, Penn testified that other special education
teachers existed to teach older students, and Wood later had one of
those teachers (Maddox).
Hilda Maddox-another special education teacher-testified
the range of IQs for special education students was “low 50s to .... [maybe]
80.” According to Maddox, Wood was in the middle range of the educable
mentally retarded group of students, had an IQ in the low to mid 60s,
and got C-range grades. Wood never failed and attended class on a
regular basis, although he was quiet and did not always put forth
maximum effort. Maddox confirmed Wood was very clean and had a very
neat appearance.
Alfreida Griffen attended Luverne High School with
Wood and is now its principal. The special education students were
called “moles.” The special education classroom was in the basement
and called the “mole hole.” Douglas Brown taught Wood in junior high
physical education and found him to be a typical junior high school
kid. Brown testified that “Holly B,” Wood's nickname, was used as an
insult. FN6. Brown also testified Wood was somewhat disheveled and
occasionally had a bad, urine-like smell about him. However, Brown's
testimony about Wood's physical appearance was contradicted by
multiple witnesses who said Wood was very neat and clean. Penn and
Maddox recalled no bad smells.
Wright-Wood's former boss at Sanders Lead Company-testified
Wood was an average person who did not appear unusual and seemed to be
like most other employees. Wood could follow instructions and did the
work assigned to him; cooperated in a civil manner with his fellow
employees; had no discipline problems; and was on-time, hard-working,
and dependable. Once someone in Wood's position learned to do the work
assigned, it was not complicated, but for a beginner, it was
complicated work. The work environment was hazardous, and Wood could
have been seriously injured if he was not alert and paying attention
to detail.
Siler-Wood's former girlfriend-testified about
their relationship. Siler dated Wood from 1981 to 1984. When they
dated long distance for some of that time, Wood drove to see Siler
over “most weekends” and “sometimes through the week.” Wood was nice
to Siler at the beginning; had a nice appearance; cared a lot about
how he dressed, his hair, and his clothes; and did laundry frequently.
When Siler met Wood, he drove a delivery truck and had worked for a
funeral home and Sanders Lead Company. Wood always seemed to have
money. He had three different cars during their relationship, liked
his cars, and kept them well-detailed. When Wood visited Siler, they
stayed at a motel and he would go inside and get the room. Nothing
ever struck Siler as “slow or off” about Wood. Wood seemed like an
average man, and, in fact, was “pretty capable.”
Siler and Wood talked about the possibility of
getting married, but Wood became abusive, and their relationship
deteriorated. The sheriff came to Siler's mother's house because Siler
and Wood were having an argument. The argument and the sheriff's visit
upset Siler's mother, and Siler ended the relationship. This upset
Wood, and he wanted to talk to Siler, but she did not want to talk to
him. Wood then sent his friend to the door of her mother's house “to
tell [her] to come outside” because Siler's mother would not have let
Wood in. When Wood's friend told Siler to come outside to talk to Wood,
Siler told him no, and she stayed inside and sat down on the couch. A
few minutes later, Wood shot Siler through the window and fled. The
Rule 32 court found Wood's ruse to shoot Siler “exhibited regrettable
adaptability” on Wood's part.
Based on this wealth of evidence, the Alabama
courts found Wood was not mentally retarded. Wood has not shown the
Alabama courts' rejection of his mental retardation claim was contrary
to, or an unreasonable application of, Atkins, or based on an
unreasonable determination of the facts. FN7. The Rule 32 court did
not credit the testimony of Dr. Karen Salekin. Wood has not claimed (and
could not show in any event) any error in the Rule 32 court's
exclusion of Dr. Salekin's testimony, and thus we do not discuss it.
IV. Batson
The district court also properly determined the
Alabama courts' denial of Wood's Batson claim was not an unreasonable
application of clearly established federal law or predicated upon
unreasonable findings of fact. The district court determined that
although Wood raised a Batson claim in the state courts, he did not
make any sub-argument comparing black venire members who were struck
with white members who were not struck. We agree with the district
court and affirm its decision pursuant to Hightower v. Terry, 459 F.3d
1067 (11th Cir.2006), cert. denied, 550 U.S. 952, 127 S.Ct. 2254, 167
L.Ed.2d 1123 (2007), and Atwater v. Crosby, 451 F.3d 799 (11th
Cir.2006), without additional discussion.
V. Ineffective Assistance Claims
The trial court appointed three attorneys for Wood:
Cary Dozier and Frank Ralph, experienced trial attorneys, and Kenneth
Trotter, a new attorney who shared office space with Dozier. Wood
claims his counsel were ineffective in the penalty phase because they:
(1) did not present to the jury evidence of Wood's borderline
intellectual functioning and special education classes; and (2) failed
to adequately investigate those issues before deciding against
presenting mental health evidence.
To evaluate Wood's ineffective assistance claims,
we review: (1) what each counsel said about their investigation,
preparation, and trial decisions; (2) what mitigation evidence counsel
discovered and presented to the jury and later to the sentencing judge;
(3) the Rule 32 mitigation evidence that Wood argues his counsel
should have investigated and presented; and (4) the fact findings and
legal conclusions in the Rule 32 orders.
A. Dozier's testimony and Dr. Kirkland's report
Dozier had practiced for more than twenty years,
represented capital defendants before, tried over a thousand felony
cases, and had extensive criminal experience. Dozier had worked in the
Alabama Attorney General's Office, for a judge on the Alabama Court of
Criminal Appeals, for a private law firm, and as the Chief Deputy
District Attorney in Montgomery County. Dozier was Wood's lead counsel,
and, as detailed below, Dozier and Ralph were responsible for and
involved in investigating all phases of the trial, including the
sentencing and guilt phases.
Dozier testified Wood was always nice and
cooperative and gave the trial team information about the case that it
followed up on. Dozier used an experienced investigator, Pete Taylor,
and was “sure” that Taylor met with Wood and “members of [Wood's]
family and other people.” Dozier used Taylor to “look into discovering
mitigating evidence,” and was “sure” the trial team interviewed
“potential witnesses about childhood problems that Mr. Wood may have
had.” Although Dozier did not recall to which of Wood's family members
he personally spoke, Dozier was “sure” he spoke to Wood's father and
that the trial team “talked to several witnesses.”
Investigator Taylor confirmed that all of his
instructions on the Wood case came from Dozier and all of his meetings
were with Dozier. Taylor had thirty years of police experience. He met
with Wood for three hours and interviewed, inter alios, Wood's sisters
Johnnie Wood and Susan Wood Caldwell, and his father, J.P. Wood. FN8.
This testimony from Taylor and Dozier contradicts Wood's assertion
that Taylor and Dozier failed to interview any family members for
mitigation purposes.
Dozier obtained and reviewed a psychological
evaluation of Wood as possible mitigation evidence. Dozier moved the
state trial court to have Wood examined by a psychologist. Dozier
explained that when they sought to have Wood evaluated by a
psychologist, they did so “for both competency and mental state at the
time of the offense,” as well as to “ discover or get a lead on some
possible mitigation evidence.” (Emphasis added.) Thus, Dozier sought a
psychological evaluation for use in both the guilt/innocence and
penalty phases. Dr. Karl Kirkland, Ph.D., examined Wood and reviewed
various documents. Dr. Kirkland evaluated Wood's intellectual
functioning, as well as his emotional and mental health.
Dr. Kirkland administered the Wide Range
Achievement Test-Revised and Minnesota Multiphasic Personality
Inventory tests, and reported that Wood: (1) was “reading on less than
a 3rd grade level”; (2) “could not use abstraction skills much beyond
the low average range of intellect”; and (3) had “an IQ in the
borderline range of intellectual functioning.” Based on the tests and
his clinical interview, Dr. Kirkland reported that Wood was
“functioning, at most, in the borderline range of intellectual
functioning.”FN9
FN9. The dissenting part of our colleague's
separate opinion in this case contends at great length that if counsel
had conducted a more thorough investigation, counsel would have
learned Wood had a low IQ, was reading at a third grade level and
could not use abstraction skills much beyond the low average range of
intellect. The fatal flaw in that dissent as to counsel's
investigation is that counsel did investigate and did know all this
months before the trial began. Wood's mental deficiencies were clearly
outlined in Dr. Kirkland's May 13, 1994 report before the October 1994
trial.
Wood told Dr. Kirkland he had no history of
hospitalization, had never taken any psychoactive medication, and was
not taking any medication at the time of the evaluation. Dr. Kirkland
determined Wood had “problems with impulse control,” “poor anger
control,” and “acting out behavior.” Part of Dr. Kirkland's diagnosis
was Axis II, Antisocial Acts. Wood reported to Dr. Kirkland that he
had “felt injurious toward others in the past,” and referenced having
assaulted a different girlfriend (Siler) by shooting her “through the
window of her apartment after seeing her with another man.” Indeed,
Wood was on parole for his felony assault of Siler when he killed Ruby.
Dr. Kirkland reported that Wood “did not evidence
any memory deficits”; had “a complete memory of his behavior at the
time of the alleged offense”; had a “normal thought process”; and his
“thinking was goal directed and logical.” Dr. Kirkland concluded there
was no mental disorder present that would detract from Wood's ability
to appreciate the criminality of his murder of Ruby. Dr. Kirkland
reported Wood felt he had a good relationship with his attorneys and
had been able to discuss his case in detail with them.
As discussed later, Wood's counsel did not show Dr.
Kirkland's report to the jury. The Rule 32 court found: (1) Wood's
counsel decided that calling Dr. Kirkland was not in Wood's best
interest; and (2) “counsel investigated a potential mental health
defense, but decided against presenting it.” Dozier was responsible
for the decision whether to use Dr. Kirkland's report. Although
Trotter handled the bulk of the courtroom portion of the penalty phase,
Dozier was lead counsel at all times, and Trotter testified he “relied
upon Mr. Dozier's opinion of [Dr. Kirkland's] psychiatry evaluation”
and Dozier was the primary contact with Dr. Kirkland. Trotter
testified Dozier and Ralph essentially “made the decisions and told [him]
what [he] was going to do.” Dozier testified that had there been any
useful information in Dr. Kirkland's report, he would have presented
it, as follows:
[Q.] Had there been information in [Dr. Kirkland's]
report that you found useful for Mr. Wood to present, would you have
presented it? .... A. We would have. Q. Including what was in the
report, if you found it useful? A. If it was useful, we'd have used it.
At the time of Dozier's Rule 32 testimony in 2000, six years had
passed since the 1994 trial, and Dozier had no files from Wood's case
because they were destroyed in a fire. Given the passage of time and
lack of files, Dozier could not specifically recall reading Dr.
Kirkland's report, but did testify, “I'm sure we did,” as follows: Q.
Did [Dr. Kirkland's] report provide anything for you all? A. I think
it indicated that Holly Wood had some problems at a younger age or
something like that. I just don't recall all this. But I think there
was some childhood problems, something in the report. .... Q. Do you
recall reading the Kirkland report before the trial? A. I don't recall.
I'm sure we did, but I don't recall.
Trotter testified that “Dozier had indicated that
he had looked at the report and that he didn't think anything in the
report really merited ... going further.” Trotter emphasized: “And,
again, he [Dozier] looked at the report and thought that wouldn't be
needed.” Dozier testified that he, Ralph, and Trotter had “a lot of
correspondence” with Dr. Kirkland.
As to Wood's alcohol consumption on the day of the
murder, Dozier recalled the trial team “considered presenting evidence
that [Wood] was intoxicated at the time” and in fact “did bring out
some testimony at the sentencing phase that [Wood] was intoxicated.”
The defense in the penalty phase introduced the arrest report for
Ruby's murder, which indicated Wood had been drinking, and Trotter
argued Wood's drinking and emotions about Ruby rejecting him were
mitigating factors.
B. Ralph's testimony
Defense counsel Ralph had practiced law in Alabama
for thirty years: twenty-five in private practice and the other five
as an assistant attorney general. Ralph had handled fifty felony jury
cases, and 25% of his practice was criminal cases. Ralph considered
Dozier to be Wood's lead counsel. The case began before Ralph became
involved, and Dozier had already met with Wood and “made perhaps some
other interviews.” FN10. Ralph admitted that if Dozier testified that
Dozier participated in the penalty phase investigation along with
Trotter, Ralph could not dispute that.
While Ralph “didn't prepare the penalty phase,” he
“was in the penalty phase,” and Ralph clarified that it was not
“entirely correct” to say that he had “no involvement in the
preparation for or investigation of the penalty phase.” Ralph may have
talked to Ruby's mother and Ruby's mother's boyfriend and believed he
“talked to a sister or two” of Wood's “or maybe ... a sister and [Wood's]
father” prior to the penalty phase, in an effort to gain information
for the penalty phase. Although Ralph never met with Dr. Kirkland, he
was “sure” he reviewed Dr. Kirkland's report and “remember[ed] seeing
it.” Ralph recalled he and counsel “sat down and went over [Dr.
Kirkland's report] and reviewed it.”
Ralph explained counsel purchased, from an
organization called “Capital Resources,” a large book entitled
“Handling Capital Cases in Alabama,” which contained a great deal of
information about “motion practice” and “techniques for handling
various aspects of capital trials.” Ralph testified that while he
could not “say that [he] relied on it entirely ... it was helpful.”
C. Trotter's testimony
Trotter was appointed as Wood's third attorney, to
assist Dozier. Admitted to the Alabama Bar in 1993, Trotter had done
“juvenile court work, some criminal defense, small claims, commercial
litigation involving breach of contract issues, [and] some family law.”
Trotter's “understanding” was that he was appointed to assist the two
senior attorneys who were considerably senior to him in experience.
According to Trotter, Dozier was the principal attorney, and Dozier
oversaw “all phases of the trial, including both ... the sentencing
and the guilt or innocence adjudication.” Trotter testified that
“Dozier made the determination that [Trotter] would assist primarily
with the penalty phase-preparation of the penalty phase.” Although
initially Dozier decided “Ralph ... was to be more primarily
responsible for the penalty phase,” it was decided by either Dozier or
Ralph “shortly before the trial ... that [Trotter] would represent Mr.
Wood during the penalty phase in the courtroom.” Although Trotter
testified he initially “didn't think that [they] were actually
prepared to move forward with the penalty phase,” Trotter explained
that “after consultation with Mr. Dozier and Mr. Ralph ... their
concerns about that were alleviated. And at their direction, I went
ahead and proceeded.” Ralph testified that even though Trotter was
relatively inexperienced and nervous about the case, Trotter's
“apprehension was about being in front of a jury. It was not about his
being prepared. I thought that he had done his work.”
Trotter had “two levels of preparation” in
representing Wood. First, he was assisting Dozier and Ralph, and was
thereby able to “rely[ ] on their criminal law expertise and
experience to help ... them.” Trotter explained that if he had issues
or concerns, he would try to raise those issues or concerns with
Dozier and Ralph “as to why I thought we were or were not prepared for
something so they could give me feedback and guidance on how to
proceed from that point.” Trotter “was able to see issues but relied a
lot on [Dozier and Ralph] for guidance as to how to resolve the issues.”
Trotter testified Dozier and Ralph essentially “made the decisions and
told [him] what [he] was going to do.” FN11. Our colleague's separate
opinion suggests Trotter was not given assistance or supervised by
Dozier and Ralph, but Trotter's own testimony contradicts that
contention. Further, Dozier and Ralph were both present and active in
the penalty phase, as recounted in Sections D and E, infra.
Second, Trotter obtained a capital defense book
published by either the Capital Resource Center or the Equal Justice
Initiative, as well as various other resources, to “gain a greater
understanding of capital punishment, a greater understanding of the
procedures that lead up to the trial or the hearing, motions that
might be necessary to preserve any appellate rights, things that we
might ... want to bring out at the trial in either phase.” Trotter,
Dozier, and Ralph all had copies of the capital defense book and a
diskette with the types of motions typically filed in capital cases.
Trotter met with the investigator, Taylor, and
reviewed Taylor's written reports to Dozier. However, Dozier was the
“primary point of contact for Mr. Taylor, and he was the one that
determined what would be investigated.” Likewise, for motions, Trotter
made a contribution, but Dozier was the ultimate decision maker.FN12
FN12. At the time of Wood's trial, Alabama law
provided that an indigent defendant facing the death penalty was to
“be provided with court appointed counsel having no less than five
years' prior experience in the active practice of criminal law.”
Ala.Code § 13A-5-54 (1994). Both Dozier and Ralph had over twenty
years' experience and met the requirements of § 13A-5-54. While
Trotter was a new attorney, Trotter acknowledged that he was appointed
to “assist” Dozier and Ralph. Alabama courts have made clear that as
long as one of a defendant's appointed attorneys satisfies the
requirements of § 13A-5-54, “the requirements of that section have
been satisfied.” Hodges v. State, 856 So.2d 875, 899 (Ala.Crim.App.2001);
see also Parker v. State, 587 So.2d 1072, 1100-01 (Ala.Crim.App.1991),
aff'd, 610 So.2d 1181 (Ala.1992). The concurrence's suggestion that
the Alabama law in § 13A-5-54 was not satisfied is unfounded.
Trotter spoke to “a lot of [Wood's] family” in
preparing for the penalty phase. These family meetings were at the
courthouse; “there were a number of occasions” on which Wood was
brought to the courthouse and his family was present also; and “on
some of those occasions at some point in time,” Trotter interviewed
the family. Trotter explained that through his interviews-in which
Trotter tried to obtain information about Wood's “upbringing, his
background, his childhood, what it had been like growing up in [Wood's]
home, characteristics about [Wood], anything that [might] humanize [Wood]
to make him seem more real to the jury; something that would make him
seem more like a human being, somebody that would be worth saving even
if that would mean he would spend his life in prison”-he identified
the witnesses who were used at the penalty phase. Trotter “tried to
get as much information as possible about [Wood's] background from the
family.”FN13
FN13. Ralph did not think Trotter “brought out
enough of Mr. Wood's background through enough witnesses of the type
of upbringing that he had,” but Ralph could not recall which witnesses
had left certain aspects of Wood's background “unsaid” and admitted
his recollection was “vague.” Further, three family members did
testify in the penalty phase about Wood's upbringing, and Ralph never
identified what specific additional evidence of Wood's upbringing
should have been presented.
In preparing for the penalty phase, Trotter tried
to contact people at the schools Wood attended, including Luverne High
School, to obtain “[b]ackground information about what kind of student
he was, what kind of person he'd been at the school ... anything that
would be able to be used as a mitigating factor.” Trotter spoke to
people at Luverne High, but was unable to obtain Wood's academic
records because Luverne High did not respond to his subpoena and its
staff was generally unhelpful. FN14. No academic or other records from
Wood's high school days were even produced at the Rule 32 hearings.
Instead, Wood's teachers testified at the Rule 32 hearings, without
any records.
As to Dr. Kirkland, Trotter testified Dozier was
the primary contact. Trotter recalled Wood was evaluated by a
psychologist and a report was prepared. Trotter's fee declaration
indicated he had a thirty-minute conversation with Dr. Kirkland in
1994. According to Trotter, Dozier would have initially reviewed Dr.
Kirkland's report, and if “Dozier thought that [there] was something
that [Trotter] should review or have, then he would give [Trotter] a
copy ... to review as well.”
That Dozier made the penalty phase decisions is
particularly shown by what happened in deciding whether to obtain
another psychological evaluation of Wood beyond Dr. Kirkland's. After
the jury trial, Trotter sent Dozier and Ralph a letter suggesting the
possibility of moving for a continuance of the sentencing hearing
before the trial judge in order to request another psychological
evaluation. Trotter's letter noted to Dozier: “We have not had any
independent psychological evaluations done since you said it would not
be needed.” Trotter explained that prior to the penalty phase, Dozier
had determined that they did not need any further evaluations, and
Dozier had determined that nothing in Dr. Kirkland's report merited
going further, as follows:
[O]n or about the time that we would have been
having discussions with [Dr.] Kirkland ... there may have been a
discussion about whether we should do anything further and ... Mr.
Dozier had indicated that he had looked at the report and that ...
there was nothing in the report that merited going further. And so at
that point, he determined that we didn't need any further evaluators
and no further were called because in the course of my preparation for
the penalty phase, I would read things about different psychological
evaluations and had raised that to him. And, again, he [Dozier] looked
at the report and thought that wouldn't be needed. (Emphasis added.)
While Trotter suggested an additional psychological evaluation, Dozier,
as lead counsel, reviewed Dr. Kirkland's report and decided not to
seek another evaluation. Trotter “relied upon Mr. Dozier's opinion of
the psychiatry evaluation” by Dr. Kirkland.FN15
D. Penalty phase before the jury
Although Dozier was lead counsel and made the trial
strategy decisions, Wood bases his ineffective assistance claims
mainly on Trotter's role in the penalty phase. Thus, we detail what
happened in the penalty phase. First, all three attorneys were present
and participated in the penalty phase before the jury. Dozier handled
various arguments, objections, and oral motions to the court on Wood's
behalf, as well as the jury charges. Ralph also argued on Wood's
behalf. Although Dozier and Ralph participated in the courtroom work,
Dozier and Ralph had earlier decided Trotter would present the
mitigation witnesses and argue to the jury. Dozier went over the
penalty phase motions with Trotter.
On the morning the penalty phase began, the trial
court handled three matters before the jury was brought in. The first
matter was the State's notice of aggravating circumstances. Dozier and
Ralph argued the State failed to give proper notice of one of the
aggravating circumstances-that Wood committed the murder after being
convicted of a crime of violence. The trial judge denied Dozier's
motion to exclude that aggravating circumstance.
The second matter was the pre-sentencing report to
be prepared for the trial judge after the jury made its sentencing
recommendation. Trotter reminded the trial judge that in May 1994, Dr.
Kirkland produced his evaluation of Wood and Dr. Kirkland's report
indicated Wood had “a history of antisocial behavior and problems with
anger control.” Trotter told the trial judge: “[W]e don't intend to
introduce [the Kirkland] report today to the jury.” (Emphasis added.)
While all counsel had Dr. Kirkland's report, Dozier had made the
decision not to use the report with the jury and not to seek another
psychological evaluation.
However, Trotter also told the trial judge that
“[n]o further investigation ha[d] been done, psychologically, of those
points” and Trotter asked the judge that, prior to the court's final
sentencing verdict, there be further psychological evaluation done of
Wood. The trial judge stated he would consider Trotter's request after
the jury was released, and pointed out that under the governing
statute, the trial judge sets a date for sentencing after the jury's
recommendation and only then orders the filing of the pre-sentencing
report.
The third matter involved Trotter advising that
Wood's counsel had not received records from the Board of Pardons and
Paroles, the state prisons, and the Department of Human Resources. The
State responded that a Pardons and Paroles clerk was under subpoena to
testify, and the State had no objection to letting Wood's counsel look
through Wood's parole file, which the clerk was bringing to the
hearing. The court ruled Wood's counsel would have access to the
clerk's file during a break in the penalty phase and further ruled
that, if necessary and upon request, Wood's counsel could also have
access to Wood's parole officer's file.
The trial court asked the defense if it was ready
to proceed, and Dozier responded the defense was ready. The jury was
brought in, and each side gave opening statements. Trotter gave the
opening statement for Wood, stressing the option of life without
parole. Trotter advised the jury, inter alia, that the defense would
present evidence to show there were ample reasons to return an
advisory verdict of life imprisonment without parole. The State put on
its case for aggravating factors, introducing a certified copy of
Wood's prior conviction for first-degree assault. The Pardons and
Paroles clerk testified Wood was on parole when he murdered Ruby.
Another witness testified the District Attorney had recommended
against Wood's parole.
The State attempted to call Siler, the victim in
Wood's prior assault conviction, and Trotter objected. Trotter argued
that the details of Wood's crime against Siler were unduly
prejudicial. The court sustained Trotter's objection and refused to
allow the State to present Siler's testimony regarding the specific
details of Wood's assault against her. The State rested.
Trotter's success in keeping out Siler's testimony
was significant. While the jury knew Wood had a prior assault
conviction for shooting his girlfriend, the jury did not know the
circumstances of that shooting and Ruby's murder were the same, which
would have established Wood's killing of Ruby was highly premeditated
and aggravated. The State wanted to show Wood suspected Siler was
seeing another man, snuck around Siler's house, and attempted to kill
her at her own home by shooting her through a window. In both
shootings, Wood suspected his girlfriends were seeing other men, snuck
around their residences, and shot them out of jealousy at their own
homes. This striking similarity would have undermined Wood's
mitigation claim that he shot Ruby only in the heat of passion and due
to alcohol.
After keeping Siler's testimony out, Trotter called
three mitigation witnesses to show the very difficult childhood and
many hardships Wood had suffered, and to illustrate how Wood, despite
these extreme hardships, was a good, responsible brother and son who
worked tirelessly to help support his five sisters and was a leader in
their family life. The defense team portrayed Wood as a responsible
person whose life was worth saving and showed Wood was despondent and
drinking because Ruby rejected him, as opposed to a heartless, cold-blooded
murderer.
The primary mitigation witness was Wood's oldest
sister Johnnie, who portrayed their difficult childhood and how Wood
was, nevertheless, extremely responsible and hardworking. According to
Johnnie, their mother died when Wood was ten years old. Johnnie
explained that after their mother died, they stayed with a cousin for
approximately four years, and after that, she (Johnnie) raised Wood
and their four sisters. Johnnie testified that after their mother died,
but before they moved out of their cousin's house, their brother
Samuel was killed in a car accident.
Johnnie testified that when Wood turned fifteen, he
quit school and got a job at the Pepsi-Cola plant “in order to ...
help provide for the household, because we didn't have any help or
nothing like that.” According to Johnnie, Wood quit school to provide
for the household “because he was the only son that was there and we
needed a lot of things by the other kids growing up.” Wood gave
Johnnie money from his job to buy groceries and cleaning supplies.
Johnnie explained Wood bought a car for the family “in order to
provide for us to have a way to go back and forward to the store in
order to get groceries.” The car cost about $200, and after making a
down payment of approximately $100, Wood paid money on the car every
two weeks.
Johnnie stressed Wood was “a leader” in the family
even though he was younger than Johnnie and other siblings. Johnnie
emphatically told the jury: “if it hadn't been for [Wood] ...
providing for [the family,] I don't know where we would have been at.”
Wood's father, J.P. Wood, and Wood's other older sister, Lillie Jean
Wood, also testified. Lillie Jean explained she was close with her
brother and was scared that he might receive the death penalty. Lillie
Jean stated she “always had [Wood] to look up to” and could “ask him
for something and he wouldn't ever say no.” J.P. Wood testified Wood
was a “good boy” and a “good son.” He also testified that when Wood
was a child, he helped with chores around their farm.
Wood's counsel recalled the Pardons and Paroles
clerk to establish Wood's parole file contained the arrest report and
the report stated Wood was drinking at the time of the arrest. During
the guilt phase, there was also testimony that Wood was drinking
during the day and night of Ruby's murder.
Before closing arguments, the trial court held a
hearing in chambers, in which Dozier argued the State had failed to
prove the alleged aggravating circumstances. Dozier moved to strike
the aggravating circumstances on that ground and also as not being
alleged in the indictment. The trial court denied Dozier's motion. The
court then discussed the jury charges. Dozier, and to some extent
Ralph, handled the arguments about the jury charges.
In its closing statement, the State argued it had
established three aggravating factors: (1) Wood murdered Ruby during a
burglary; (2) Wood had a prior conviction for a violent felony; and
(3) Wood murdered Ruby while on parole.
In reply, Trotter's closing argument emphasized the
jury could consider not only the mitigation evidence from the penalty
phase, but also all the trial evidence about the circumstances of the
crime, including Wood's alcohol consumption on the night of the murder
and that Wood was a good son and brother who dropped out of school to
work and to help support his family. Trotter reviewed Wood's very
difficult childhood, emphasizing Wood was ten when his mother died and
had to move in with his cousin and live in a sixteen-person house for
four years. Trotter stressed how Wood left school to make money to
support his five sisters.
In addition to the hardships in Wood's life,
Trotter argued there were mitigating circumstances surrounding the
crime, and this was not a case of cold-blooded murder. Trotter argued
that Ruby was the mother of Wood's child, and that Wood loved Ruby but
she rejected him. Trotter emphasized that the more Wood drank on the
day of the murder, the more he thought about Ruby and not seeing his
child, and his reasoning was clouded by those emotions and his alcohol
consumption. As Trotter summarized, Wood lost his mother at age ten,
and now his girlfriend and the mother of his child were rejecting him
too. Trotter asked the jury to consider all the childhood difficulties
and the emotional factors that brought Wood to the point where he was
on the night of the murder. Although alcohol was not a defense to
Wood's crime, Trotter argued it was a strong mitigating factor,
especially since Wood had been drinking all day up until the crime.
The State made a rebuttal closing argument to the
jury. Dozier objected to part of the State's rebuttal, but the trial
court overruled Dozier's objection.
The trial court, inter alia, instructed the jury
about mitigating factors and read a list of statutory mitigating
factors that the jury could consider, including: (1) whether the
capital felony was committed while Wood was under extreme emotional
disturbance; and (2) whether Wood's capacity to conform his conduct to
the requirements of law was substantially impaired. The trial court
told the jury the latter mitigating circumstance would exist even if
the defendant appreciated the criminality of his conduct, as long as
his capacity to conform to the law was substantially impaired. The
trial court explained that this was so because “a person may
appreciate his actions [are] wrong and still lack the capacity to
refrain from doing them.”
The trial court's instructions made it clear that
“[e]vidence of a difficult family history and of emotional disturbance
constitutes relevant mitigating evidence.” The trial court instructed
the jury that the list of statutory mitigating factors was non-exhaustive
and that “mitigating circumstances shall include any aspect of [the]
defendant's character, or record or any of the circumstances of the
offense that defendant offers.” The jury recommended a death sentence
by a vote of 10-2.
E. Penalty phase before the state trial judge
Approximately one month later, the trial court held
a sentencing hearing. The court and counsel reviewed the pre-sentencing
report. Dozier made numerous objections to errors and omissions in the
pre-sentencing report, and Trotter lodged objections too. The trial
court sustained most objections. The pre-sentencing report included
two psychological evaluations for consideration by the sentencing
judge:FN16 (1) Dr. Kirkland's May 1994 report; and (2) a June 1992
evaluation by the office of Dr. Harry A. McClaren, Ph.D.FN17
FN16. A week before the judge rendered his final
sentence, Trotter specifically verified before the trial judge that
“the psychological reports ... [were] attached as part of the record”
to Wood's pre-sentencing report. FN17. In June 1992, Wood was
evaluated by Michael T. D'Errico, Ph.D., a Certified Forensic Examiner
in Dr. McClaren's office. The report is on Dr. McClaren's stationery
but signed by Dr. D'Errico. Because the Rule 32 orders tend to refer
to this evaluation as Dr. McClaren's report, we do the same for
clarity. Dr. McClaren's report is consistent with Dr. Kirkland's
report, and as discussed later, both reports are consistent with the
two Rule 32 psychologists' testimony.
After the State argued, Dozier presented the
initial argument for Wood and contended the facts were not sufficient
to support a death sentence. Dozier stressed that Wood and Salter had
been drinking all day on the day of the murder, and that Wood came to
Troy, Alabama to find his girlfriend and shot her only in the heat of
passion. Trotter then emphasized Wood's difficult family history: he
lost his mother when he was ten; he had no father figure in his home;
and he was raised by various members of the family, including his
older sister. Trotter stressed Dr. Kirkland's conclusion that Wood
could not “use abstraction skills much beyond the low average range of
intellect, and that he [was] at most functioning in the borderline
range of intellectual functioning,” and Trotter emphasized Wood's
anger control and antisocial behavior problems.
A week later, the trial judge sentenced Wood to
death. The judge found Wood was not “under the influence of extreme
mental or emotional disturbances” at the time of the murder and had
“the capacity to appreciate the criminality of his conduct and to
conform his conduct to the requirements of law.” The trial court noted
defense counsel had asked the court to consider Dr. Kirkland's report,
and observed that the report showed Wood was functioning in the
borderline range of intellect but did “not have a mental disorder
present that would detract from his ability to appreciate the
criminality of his behavior.”
The trial court observed that the jury was charged
as to the relevant aggravating and mitigating circumstances. The trial
court further noted that both defense counsel and the State were
satisfied with the jury charge as given. As to aggravating
circumstances, the trial court found, inter alia, that: (1) the
capital offense was committed while Wood was under a sentence of
imprisonment; (2) Wood was previously convicted of a violent felony;
and (3) the capital offense was committed while Wood “was engaged in
the commission of or an attempt to commit or flight after committing
... burglary in the first degree.” As to mitigating circumstances, the
trial court found none, and noted Wood was not under the influence of
extreme mental or emotional disturbance during the commission of the
capital offense and Wood had the capacity to appreciate the
criminality of his conduct and to conform his conduct to the law. The
trial court concluded, “beyond a reasonable doubt,” that the
aggravating circumstances “far outweigh[ed]” any evidence of
mitigating circumstances “in all regards” and were “sufficient in both
quantity and quality to more than uphold the jury's verdict
recommending the death penalty.”
F. Rule 32 proceedings between 2000 and 2003
After Wood's death sentence was affirmed on direct
appeal, Wood filed his Rule 32 petition for post-conviction review.
Between 2000 and 2003, there were three evidentiary hearings, and the
Rule 32 court entered three orders denying Wood's claims. The second
order repeated some of the first order's findings and conclusions and
added to them, and the third order did the same. We already recounted
the Rule 32 testimony from Wood's counsel, school teachers, Siler,
Wright, and psychologists McClaren and Prichard. The Rule 32 court
also considered testimony from Wood's sisters, which we now review. We
then summarize the three Rule 32 orders.
In her testimony, Wood's sister Maeola detailed
their strict upbringing and how after their mother died, they lived
with a half-sister, Nellzena, and a cousin. According to Maeola,
Nellzena was very strict and would whip the children with an extension
cord for hours whenever they did something wrong. Maeola testified
that after Nellzena left, Wood and Johnnie fought with some frequency;
Wood did not listen to Johnnie; and Wood was kicked out of school and
did not leave school to support the family.FN18 The Rule 32 court
found Maeola's testimony “less than credible.” FN18. Maeola
acknowledged that Johnnie “would probably know better” if she
testified differently.
Johnnie corroborated Maeola's testimony about their
strict upbringing and agreed Nellzena was strict. However, Johnnie
testified Nellzena did not hit them regularly and would instead
“mostly punish.” Nellzena would punish Wood by making him clean up the
backyard, not allowing him to play after school, grounding him, or
forbidding him to have company. Their mother whipped Wood for wetting
the bed, a problem that he had until he was fourteen or fifteen, but
she “never hurt” them and did not physically abuse them. Johnnie's
testimony at the Rule 32 hearing is consistent with Dr. Kirkland's
statement that Wood “denies any sexual or physical abuse ... [or]
history of criminal victimization.”FN19
FN19. As the district court concluded, Wood has not
shown ineffective assistance as to counsel's investigation of his
childhood. Johnnie testified extensively at trial about Wood's
difficult childhood and poverty, and most of the Rule 32 evidence from
Maeola was cumulative. See Glock v. Moore, 195 F.3d 625, 636 (11th
Cir.1999). To the extent there was any difference between Johnnie's
and Maeola's testimony, the Rule 32 court found Maeola's testimony to
be “less than credible.”
We now turn to the three Rule 32 orders, which
addressed Wood's ineffective assistance claims at length. As to pre-trial
investigation, the Rule 32 court found Dozier and Ralph were “very
experienced attorneys,” and Trotter, although “very inexperienced,”
was to assist Dozier and Ralph and benefitted from their experience.
Trotter “was assistant to Mr. Dozier and Mr. Ralph”; relied on their
criminal law experience to help him assist them; and obtained books
and had discussions to gain a greater understanding of what they might
want to bring out at the trial in either phase.
The Rule 32 court found Wood's trial counsel
requested the psychological evaluation rendered by Dr. Kirkland in May
1994, and Wood's trial team corresponded frequently with Dr. Kirkland.
The Rule 32 court found: (1) counsel employed the services of a
private investigator-Taylor-who prepared reports used in Wood's
defense; (2) Trotter met with Wood's family to prepare for the penalty
phase and attempted to gather information about Wood's upbringing,
background, and childhood, in order to humanize Wood in the jury's
eyes; (3) counsel contacted and attempted to get information from
Wood's schools, the Alabama Department of Pardons and Paroles, the
Alabama Department of Corrections, and the Alabama Department of Human
Resources; (4) counsel sought guidance from the Capital Resource
Center and the Southern Poverty Law Center; (5) Wood's father and two
sisters testified at the penalty phase; and (6) evidence was presented
suggesting Wood suffered from an emotional disturbance. Trotter
investigated Wood's educational background to some extent and “trial
counsel met with Wood's family on several occasions to discuss
possible mitigating evidence.”
As to Dr. Kirkland's pre-trial report, the Rule 32
court observed that it stated Wood: (1) was “cooperative, attentive,
and interested in the evaluation process”; (2) was “neatly dressed”
and had good hygiene; (3) had a “normal thought process”; (4)
exhibited “goal-directed and logical” thinking; (5) “evidenced a
normal affect”; (6) “did not evidence any memory deficits”; (7)
“evidenced concrete reasoning ability” and could use “abstraction
skills” at the “low average range of intellect,” despite “functioning,
at most, in the borderline range of intellectual functioning”; (8) had
“a good relationship with his attorneys” and was “able to discuss his
case in detail with [them]”; and (9) “had a complete memory of his
behavior” at the time of the murder. FN20 Dr. Kirkland's report
concluded: (1) Wood had no “mental disorder present that would detract
from his ability to appreciate the criminality of his behavior with
regard to this specific alleged instant offense” of murder; (2)
“[t]here is no allegation of any mental disorder factors in the
explanation of thought or behavior process variables at all on the day
of the alleged offense”; and (3) “[r]eview of collateral data and
interview data ... do[es] not reveal the presence of a mental disorder
that would bear any causal relationship to [Wood's] alleged behavior
on the day of the offense.”
FN20. Wood told Dr. Kirkland: (1) “I don't need
this evaluation-I've got plenty of sense-I'm not crazy I never have
been”; (2) he had benefitted from reading the Bible and law books in
prison, and (3) he had in fact increased his knowledge of the judicial
process by reading law books.
The Rule 32 court specifically found that counsel
decided calling Dr. Kirkland was not in Wood's best interest, and
“counsel investigated a potential mental health defense, but decided
against presenting it.” The Rule 32 court observed that counsel's
decision “was based on at least one mental health evaluation, and most
probably two,”FN21 and found that as very experienced attorneys,
Dozier's and Ralph's decision not to raise a mental deficiency issue
at Wood's trial was due great deference. Dozier testified he was
“positive that he reviewed Dr. Kirkland's report,” and counsel “would
have used anything in Dr. Kirkland's report that was helpful to them.”
FN21. The Rule 32 court noted Dr. McClaren conducted a forensic
psychological evaluation of Wood in June 1992.
The Rule 32 court concluded Wood had the burden of
proving counsel's decision to not call Dr. Kirkland was unreasonable
and “Wood failed to establish that what trial counsel did in
preparation and investigation for the penalty phase was unreasonable.”
The Rule 32 court noted Wood did not question his trial counsel at the
Rule 32 hearings “as to the reasoning behind the strategy employed, [the]
witnesses called to testify and those who were not asked to give
testimony,” which yielded a silent record and a strong and continuing
presumption of reasonable professional judgment. As to Dr. Kirkland
specifically, the Rule 32 court observed that “[b]ecause Wood did not
ask Attorneys Ralph or Dozier about this matter, the record is silent
as to why they did not call Dr. Kirkland as a witness.” The Rule 32
court found Wood's trial counsel made a decision not to call Dr.
Kirkland and that the silent record created a presumption that
experienced counsel exercised sound judgment in not calling Dr.
Kirkland.
The Rule 32 court also found counsel were not
unreasonable in not obtaining an additional psychological evaluation
beyond Dr. Kirkland's. Counsel “thoroughly reviewed Dr. Kirkland's
report and determined that nothing in that report merited further
investigation”; “Wood's counsel made a reasonable judgment that
another mental evaluation was not necessary”; and, in light of the
fact that Wood's counsel were “very experienced attorneys,”
“reasonable counsel could have decided against seeking another mental
health evaluation, in order to prepare other, more promising, defenses
for trial.” The Rule 32 court specifically found that Trotter
testified Dozier was the primary contact person for Dr. Kirkland and
the trial team “did not request another psychological evaluation of
Wood because Mr. Dozier thoroughly reviewed Dr. Kirkland's report and
decided that nothing in the report merited further inquiry.”
Alternatively, the Rule 32 court concluded Wood had
not established prejudice. The Rule 32 court found “Wood did not
demonstrate a reasonable probability that but for counsel's allegedly
unprofessional errors, the result of the proceeding would have been
different.” Even if Wood's counsel had presented evidence concerning
his impaired intellectual functioning, there was no reasonable
probability that the balance of aggravating and mitigating factors
that led to the imposition of the death penalty would have changed,
and “nothing in the evidence presented during the evidentiary hearing
established that some portion of the defendant's character or record
... served as a basis for a sentence of life imprisonment without
parole rather than death.” In light of the fact that Wood brutally
murdered Ruby while she was asleep in her bed in her own home, there
was no reasonable probability that the presentation of evidence
concerning Wood's mental deficiencies would have changed the jury's
10-2 recommendation of a death sentence or the finding that the
aggravating circumstances outweighed the mitigating circumstances.
G. 2004 Rule 32 appeal
In 2004, the Alabama Appeals Court affirmed the
Rule 32 court's denial of Wood's petition. Wood v. State, 891 So.2d at
420. The Alabama Appeals Court rejected Wood's claim that his trial
counsel were ineffective by failing to “investigate and present
sufficient mitigating evidence during the penalty phase,” and
expressly adopted and agreed with the Rule 32 court's extensive fact
findings and conclusions that Wood failed to establish deficient
performance and prejudice under Strickland v. Washington, 466 U.S.
668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984). Wood v. State, 891 So.2d
at 414, 418-19. The Alabama Appeals Court concluded “counsel does not
necessarily render ineffective assistance simply because he does not
present all possible mitigating evidence” and “counsel may make a
reasonable strategic judgment to present less than all possible
available evidence in mitigation.” Id. at 416 (quotation marks and
citations omitted). The Alabama Appeals Court noted, “[t]here has
never been a case where additional witnesses could not have been
called.” Id. (quotation marks and citation omitted).
H. District court's § 2254 order
Wood then filed a § 2254 petition. The district
court's § 2254 order noted this is “not a case ... in which counsel
failed to investigate, obtain, or present any mitigating evidence to
the sentencing jury. Instead, this is a case in which at least some
evidence was investigated and presented.” Wood v. Allen, 465 F.Supp.2d
at 1239. The district court pointed out that evidence of Wood's
difficult childhood and poverty was presented to the jury, and
concluded there was no ineffective assistance as to those mitigation
issues. Id.
However, the district court granted Wood's § 2254
petition based on trial counsel's failure to investigate and present
evidence of Wood's impaired intellectual functioning. Id. at 1245. The
district court noted “Wood's three trial counsel” actually possessed
Dr. Kirkland's report, which showed that Wood “ ‘is functioning, at
most, in the borderline range of intellectual functioning’ ”; “ ‘could
not use abstraction skills much beyond the low average range of
intellect’ ”; and “reads on a third grade level.” Id. at 1240. The
district court concluded that counsel should have put before the jury
evidence of Wood's “ ‘borderline range of intellectual functioning,’ ”
as identified in Dr. Kirkland's report. Id. at 1243. The district
court also concluded defense counsel failed to investigate further
Wood's intellectual functioning, such as by interviewing Wood's
teachers or seeking an evaluation beyond Dr. Kirkland's. Id. As to
prejudice, the district court found there was a reasonable probability
that evidence of Wood's intellectual functioning, even if not enough
to establish mental retardation, would have established a mitigating
circumstance and was sufficient to undermine confidence in the outcome.
Id. at 1245. This appeal followed.
I. Performance prong: presentation of mental
health evidence
On appeal, the State contends the district court
erred in concluding that the Alabama courts' rejection of Wood's
ineffective assistance claims was an unreasonable application of
clearly established federal law. We review the established federal law
and then explain how the Alabama courts' decision was fully consistent
with that law.
To establish ineffective assistance, Wood must
show: (1) counsel's performance was deficient; and (2) that deficiency
prejudiced him. Strickland, 466 U.S. at 687-92, 104 S.Ct. at 2064-67,
104 S.Ct. 2052. Counsel's performance is deficient when it falls
“below an objective standard of reasonableness.” Id. at 688, 104 S.Ct.
at 2064. The test for reasonableness is not whether counsel could have
done something more or different. Instead, Wood must show counsel's
performance fell “outside the wide range of professionally competent
assistance.” Id. at 690, 104 S.Ct. at 2066. Furthermore, “omissions
are inevitable .... [T]he issue is not what is possible or ‘what is
prudent or appropriate, but only what is constitutionally compelled.’
” Chandler v. United States, 218 F.3d 1305, 1313 (11th Cir.2000) ( en
banc) (quoting Burger v. Kemp, 483 U.S. 776, 794, 107 S.Ct. 3114,
3126, 97 L.Ed.2d 638 (1987)).
Courts conduct a highly deferential review of
counsel's performance and “ ‘indulge [the] strong presumption’ that
counsel's performance was reasonable and that counsel ‘made all
significant decisions in the exercise of reasonable professional
judgment.’ ” Id. at 1314 (alteration in original) (quoting Strickland,
466 U.S. at 689-90, 104 S.Ct. at 2065-66); see also Williams v. Head,
185 F.3d 1223, 1227 (11th Cir.1999) (same). “When courts are examining
the performance of an experienced trial counsel, the presumption that
his conduct was reasonable is even stronger.” Chandler, 218 F.3d at
1316. Because of this strong presumption of competent assistance, the
petitioner's burden of persuasion is a heavy one: “[P]etitioner must
establish that no competent counsel would have taken the action that
his counsel did take.” Id. at 1315.
This is not a case where counsel failed to present
any mitigation evidence. Counsel hired an experienced investigator
(Taylor) to help gather mitigation evidence and presented mitigation
evidence from three family members about Wood's difficult childhood
and poverty. For example, the jury was aware that Wood lost his mother
at age ten, had no father figure in his home, and had to live in a
house of sixteen people. The jury knew Wood quit school at age fifteen
to take a job to provide groceries and essentials for his five sisters.
Despite these hardships, Wood was a good, responsible brother and son;
was the leader of the family; and worked tirelessly to support his
five sisters. Counsel also presented the arrest report showing Wood
was drinking on the day of the murder and argued Wood was distraught
over Ruby leaving him.
This is also not a case where counsel failed to
discover prior physical or sexual abuse or prior mental
hospitalizations, treatment, or medication. In fact, Wood had none of
these things. Nor is this a case where counsel failed to obtain any
mental evaluation or did not know about the mental condition in issue.
Wood's counsel procured a mental evaluation by Dr. Kirkland to
“discover or get a lead on some possible mitigation evidence.” Dr.
Kirkland's May 1994 report expressly stated Wood had “an IQ in the
borderline range of intellectual functioning,” was “reading on a 3rd
grade level,” and “could not use abstraction skills much beyond the
low average range of intellect.” Counsel had read Dr. Kirkland's
report, knew about Wood's intellectual functioning, and decided not to
present that evidence.
Thus, this appeal is about whether not telling the
jury about Wood's low intellectual functioning-shown clearly in Dr.
Kirkland's pre-trial report-was ineffective assistance. The state
courts expressly found: (1) “counsel decided that calling Dr. Kirkland
would not be in Wood's best interest”; and (2) “counsel investigated a
potential mental health defense, but decided against presenting it.”
Applying Strickland, the state courts concluded that counsel's
decision-not to call Dr. Kirkland and not to present Wood's mental
deficiencies to the jury-was not deficient performance.
For several reasons, Wood has not established that
the state courts' decision was contrary to, or an unreasonable
application of, established Supreme Court precedent or based on an
unreasonable determination of the facts. First, the Rule 32 evidence
amply supports the state courts' fact findings.FN22 Very experienced
counsel Dozier and Ralph had Dr. Kirkland's report revealing Wood's
mental deficiencies but did not give it to the jury or have Trotter
give it to the jury. Dozier was the primary contact with Dr. Kirkland
and had a lot of correspondence with him, and even Trotter
specifically testified that Dozier had reviewed Dr. Kirkland's report.
While Dozier had no files left and could not recall the details of Dr.
Kirkland's report six years later, he was sure they would have used
anything useful in the report. Moreover, at the start of the penalty
phase, Dozier and Ralph were present in court when Trotter expressly
told the trial judge, on the record and on behalf of the trial team,
that Dr. Kirkland had evaluated Wood and counsel did not intend to
introduce Dr. Kirkland's report to the jury. Trotter testified that
Dozier reviewed Dr. Kirkland's report and decided nothing merited
going further. And Dozier and Ralph, as experienced counsel, were
present in court during the entire penalty phase. The evidence amply
supports the state courts' fact findings that experienced counsel (1)
decided calling Dr. Kirkland would not be in Wood's best interest, and
(2) decided against presenting mental health evidence. Wood has wholly
failed to show the state courts made an unreasonable determination of
the facts.FN23
FN22. Whether counsel made a decision “regarding
what evidence to put forth at sentencing is a question of fact.”
Jackson v. Herring, 42 F.3d 1350, 1366 (11th Cir.1995); see also
Gaskin v. Sec'y, Dep't of Corr., 494 F.3d 997, 1003 (11th Cir.2007).
FN23. At a minimum, Wood has not presented evidence, much less clear
and convincing evidence, that counsel did not make such decisions
about Dr. Kirkland's report and a mental health defense. See Bolender
v. Singletary, 16 F.3d 1547, 1558 & n. 12 (11th Cir.1994) (holding
that “state court findings of historical facts made in the course of
evaluating an ineffectiveness claim,” such as the state court's
finding that defense counsel was aware of defendant's general
background, were entitled to presumption of correctness). Our
colleague's separate opinion basically conducts de novo review and
cherry picks certain statements to support its conclusions, rather
than examining whether there is evidence to support the state courts'
findings. The main difference between the opinions is that the
majority applies the required AEDPA deference but the separate opinion
does not.
Second, Wood has not shown counsel's decision-not
to call Dr. Kirkland to testify about Wood's mental deficiencies-fell
below an objective standard of reasonableness. Chandler, 218 F.3d at
1312. After finding counsel decided calling Dr. Kirkland would not be
in Wood's best interest, the Rule 32 court pointed out the record was
silent as to counsel's particular reasoning behind that best-interest
decision. The state courts concluded: (1) Dozier and Ralph were very
experienced attorneys; (2) “a silent record creates a presumption that
trial counsel exercised sound professional judgment” in not presenting
Dr. Kirkland's evidence of Wood's mental deficiencies; and (3) Wood
did not ask Dozier or Ralph about the matter, and thus Wood failed to
carry his burden of showing counsel's decision-not to call Dr.
Kirkland and present evidence of Wood's mental deficiencies-was
objectively unreasonable.
The state courts correctly followed Chandler, which
instructs: (1) “Courts must indulge the strong presumption that
counsel's performance was reasonable and that counsel made all
significant decisions in the exercise of reasonable professional
judgment”; and (2) “an ambiguous or silent record is not sufficient to
disprove the strong and continuing presumption,” such that “where the
record is incomplete or unclear about counsel's actions, we will
presume that he did what he should have done, and that he exercised
reasonable professional judgment.” Chandler, 218 F.3d at 1314 & n. 15
(quotation marks, brackets, and citations omitted). Dozier and Ralph
were very experienced counsel and their professional judgment is
entitled to a presumption of reasonableness under Strickland and
Chandler.
Wood has not presented any evidence to rebut the
presumption that experienced trial counsel's decision-not to call Dr.
Kirkland and not to present mental health evidence-was reasonable. It
was not the State's burden to elicit from Dozier, Ralph, or Trotter
the reason why Dr. Kirkland's report of Wood's mental deficiencies was
not presented to the jury in the penalty phase. Instead, it was Wood's
burden to rebut the presumption of reasonableness with evidence, which
he wholly failed to do.FN24
FN24. In Callahan v. Campbell, 427 F.3d 897, 922,
934 (11th Cir.2005), this Court applied Chandler's ruling-that a
silent record will not rebut the strong presumption that counsel
exercised professional judgment-in denying § 2254 relief for claims
based in part on counsel's failure to procure and present expert
mitigation evidence of the defendant's “mild cognitive deficit” and
“paranoid personality disorder.” The attorney had died, and there was
no testimony from him. Callahan, 427 F.3d at 933. In denying relief,
this Court presumed “the attorney ‘did what he should have done’ ” and
“ ‘exercised reasonable professional judgment,’ ” and held the burden
is on the defendant to prove his trial counsel did not take the
necessary steps in the penalty phase. Id. (citation omitted).
This case is stronger than Callahan for triggering
the presumption of reasonable professional judgment, because Dozier
testified he would have used what was in Dr. Kirkland's report if
Dozier had found it useful, and Trotter testified Dozier reviewed Dr.
Kirkland's report and decided nothing merited going further. Even
ignoring this strong presumption that experienced trial counsel
exercised reasonable professional judgment, counsel's decision to
present less than all available potential mitigation evidence was
still not deficient performance. As the State points out, Dr.
Kirkland's report contained information harmful to Wood, such as: (1)
Wood's statement to Dr. Kirkland denying he drank alcohol on the day
of Ruby's murder, which would have undercut Wood's defense that he was
distraught and drinking heavily that day; (2) Dr. Kirkland's
description of how Wood shot his prior girlfriend Siler through the
window of her own residence after seeing her with another man, which
Trotter had kept from the jury by successfully objecting to Siler
testifying in the penalty phase; and (3) Wood's nineteen prior arrests
between 1981 and 1984. FN25 If Dr. Kirkland had testified about Wood's
mental deficiencies, this damaging information likely would have been
brought out on cross-examination or in rebuttal.FN26 Further, if Dr.
Kirkland had testified, the jury would have learned that Wood-despite
his borderline intellectual functioning-had a high level of adaptive
functioning; Wood had a complete memory of his behavior at the time of
the murder; there was no causal relationship between Wood's mental
condition and his behavior on the day of the murder; and Wood had no
mental problem that detracted from his appreciation of the criminality
of his behavior when he snuck into Ruby's house with a loaded shotgun
and killed her in her bed. Additionally, presenting evidence of Wood's
mental deficiencies, special education classes, and third-grade
reading level might have suggested Wood left school for those reasons
and not only because he had to work and support his five sisters
financially.
FN25. While many of these offenses were traffic
violations (including arrests for reckless driving, reckless
endangerment, driving without a license, and four arrests for speeding),
Dr. Kirkland's report also reflected that Wood had more serious prior
arrests, including an arrest for harassment, three separate arrests
for theft of property, and an arrest for criminal possession of a
forged instrument. See also infra note 34. FN26. As discussed in the
prejudice section infra, if Wood's counsel had presented mental health
evidence through the Rule 32 witnesses, Dr. Kirkland's report (and the
harmful information therein) would have been introduced by the State.
“[C]ounsel is not required to present all
mitigation evidence, even if the additional mitigation evidence would
not have been incompatible with counsel's strategy. Counsel must be
permitted to weed out some arguments to stress others and advocate
effectively.” Haliburton v. Sec'y for the Dep't of Corr., 342 F.3d
1233, 1243-44 (11th Cir.2003) (quotation marks and citations omitted);
see Herring v. Sec'y, Dep't of Corr., 397 F.3d 1338, 1348-50 (11th
Cir.2005) (rejecting ineffective assistance claim where defendant's
mother was only mitigation witness and counsel did not introduce
evidence from hospital records in counsel's possession showing
defendant's brain damage and mental retardation or call psychologist
who evaluated defendant pre-trial as having dull normal intelligence);
Hubbard v. Haley, 317 F.3d 1245, 1254 n. 16, 1260 (11th Cir.2003) (stating
this Court has “consistently held that there is ‘no absolute duty ...
to introduce mitigating or character evidence’ ” and rejecting claim
that counsel were ineffective in failing to present hospital records
showing defendant was in “borderline mentally retarded range”) (brackets
omitted) (quoting Chandler, 218 F.3d at 1319).
Our decision in Hubbard is particularly instructive
as to why it was not deficient performance for counsel not to present
evidence of Wood's low IQ. Hubbard claimed his trial counsel were
ineffective for failing to introduce, as mitigation evidence, hospital
records that showed his “verbal I.Q. of 77 and a full scale I.Q. of
80-both in the borderline mentally retarded range”-and his history of
alcoholism. 317 F.3d at 1254 n. 16, 1260.FN27 The post-conviction
state court concluded any evidence of Hubbard's mental state would
have been more than offset by reports that determined Hubbard had not
suffered from any mental disease or defect at the time of the murder.
Id. at 1260. Similarly, Dr. Kirkland's report concluded Wood had
borderline intellectual functioning but still had a complete memory of
his behavior at the time of the murder and fully appreciated the
criminality of his conduct.
FN27. Like Wood's case, Hubbard's attorneys did not
present reports showing Hubbard's IQ in the borderline mentally
retarded range, but instead relied “at sentencing on previously
admitted evidence regarding Hubbard's habit of drinking and his
intoxication on the morning of the murder, arguing to the jury that
these factors mitigated the crime.” Hubbard, 317 F.3d at 1260 & n. 25.
For all these reasons, Wood has not shown the state
courts' conclusion-that his counsel were not ineffective in not
calling Dr. Kirkland and presenting mental health evidence-was
contrary to, or an unreasonable application of, clearly established
federal law or based on an unreasonable determination of the facts.
J. Performance prong: additional investigation
Wood also claims: (1) his counsel did not conduct a
thorough investigation and were ineffective on this basis alone; and
(2) Dozier's decision-not to call Dr. Kirkland about Wood's mental
deficiencies-was not based on a thorough enough investigation and
cannot be considered reasonable.
The Supreme Court has instructed that (1) strategic
choices made after “ ‘thorough investigation[s]’ ” are “ ‘virtually
unchallengeable,’ ” and (2) counsel has a separate duty under
Strickland “ ‘to make reasonable investigations.’ ” Wiggins v. Smith,
539 U.S. 510, 521-23, 123 S.Ct. 2527, 2535-36, 156 L.Ed.2d 471 (2003)
(quoting Strickland, 466 U.S. at 690-91, 104 S.Ct. at 2066). The
Supreme Court has explained counsel's investigatory duty as follows:
“Strategic choices made after thorough investigation of law and facts
relevant to plausible options are virtually unchallengeable; and
strategic choices made after less than complete investigation are
reasonable precisely to the extent that reasonable professional
judgments support the limitations on investigation. In other words,
counsel has a duty to make reasonable investigations or to make a
reasonable decision that makes particular investigations unnecessary.
In any ineffectiveness case, a particular decision not to investigate
must be directly assessed for reasonableness in all the circumstances,
applying a heavy measure of deference to counsel's judgments.” Id. at
521-22, 123 S.Ct. at 2535 (emphasis added) (brackets omitted) (quoting
Strickland, 466 U.S. at 690-91, 104 S.Ct. at 2066). Here, the issue
becomes: Did counsel, before deciding not to present evidence of
Wood's borderline intellectual functioning, make “reasonable
investigations” or “a reasonable decision that ma[de] particular
investigations unnecessary?” Id.
As to counsel's investigation, the state courts
found that while Wood claimed “more should have been done,” the record
belied that conclusion. The Rule 32 court found: (1) counsel employed
investigator Taylor, who met with Wood's family members to seek out
mitigation evidence; (2) counsel met with Wood's family on multiple
occasions to discuss possible mitigation evidence; (3) counsel moved
for and obtained a psychological evaluation from Dr. Kirkland prior to
trial; (4) Trotter met with Wood's family and gathered information
about Wood's childhood, upbringing, background, and characteristics in
order to humanize Wood before the jury; (5) counsel attempted to get
information from Wood's schools and various Alabama institutions where
Wood might have spent time; (6) counsel sought guidance from capital
defense organizations; (7) Wood's father and two sisters testified at
the penalty phase; and (8) counsel presented evidence of an emotional
disturbance. These findings are amply supported by the record, as
discussed.
Indeed, it is undisputed that counsel knew about
Wood's low IQ, borderline intellectual functioning, and third-grade
reading level, because it was included in Dr. Kirkland's report. The
Rule 32 psychologists' evaluations essentially agreed with Dr.
Kirkland's assessment as to Wood's intellectual functioning and did
not reveal any new mental diseases or disorders. The state courts
specifically found counsel investigated a potential mental health
defense, but decided against presenting it. The Rule 32 court
concluded “that Wood failed to establish that what trial counsel did
in preparation and investigation for the penalty phase was
unreasonable.” FN28. To the extent Wood relies upon Wiggins, that case
is materially distinguishable in numerous respects. Wiggins's counsel
failed to investigate personal or social history, despite Wiggins's
own description of his childhood as “disgusting,” and thereby never
discovered that Wiggins had suffered severe sexual and physical abuse
throughout a horrific childhood in foster homes and on the street. Id.
at 516-17, 523-25, 123 S.Ct. at 2533, 2536-37. The penalty phase
defense focused solely on Wiggins's claim he had not actually killed
the victim; counsel presented no evidence of Wiggins's life history or
family background. 539 U.S. at 515, 123 S.Ct. at 2532. The Supreme
Court emphasized that the new post-conviction evidence of Wiggins's
prolonged sexual and physical abuse was “powerful.” Id. at 537, 123
S.Ct. at 2543.
Here, in stark contrast to Wiggins, Wood's counsel
had investigated and knew about his borderline intellectual
functioning before deciding not to present mental health evidence to
the jury. Moreover, the post-conviction evidence was consistent with
Dr. Kirkland's report and the other evidence already in counsel's
possession, and there was certainly no new post-conviction evidence of
prolonged and serious sexual or physical abuse. And Wood's counsel
actually pursued a mitigation strategy-focusing on Wood's difficult
upbringing and childhood, his role as a family leader, and his sadness
over Ruby-instead of simply re-trying the guilt issue. This case is
nothing like Wiggins. As to obtaining additional psychological
evaluations beyond Dr. Kirkland's, Trotter testified that “Dozier had
indicated that he had looked at the report,” “there was nothing in the
report that merited going further,” and “at that point, he [Dozier]
determined that we didn't need any further evaluators.” Thus Dozier
decided no further psychological evaluations were needed. The state
courts concluded Wood did not show that no reasonable attorney would
have failed to ask for an additional mental health evaluation beyond
Dr. Kirkland's; emphasized that Dozier was a “very experienced
attorney [ ]”; and concluded that Wood had not shown Dozier's decision
about further evaluations was unreasonable. The fact that no different
mental health information was revealed further shows that Dozier's
investigation was reasonable. In other words, Wood has not even shown
that there was more Dozier needed to know from a further mental
evaluation.FN29
FN29. Further, Wood interacted and communicated
well with his attorneys. Evidence of a defendant's interactions with
counsel and his appreciation of the criminality of his conduct are
highly relevant to claims that counsel was ineffective in failing to
investigate further or obtain an additional mental health report. See
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.”); Callahan, 427 F.3d at 933 (same);
Chandler, 218 F.3d at 1318-19 (same); Francis v. Dugger, 908 F.2d 696,
703 (11th Cir.1990).
Simply put, the Alabama courts' decision-that Wood
failed to establish his counsel's investigation was unreasonable-is
amply supported by federal law. See Williams, 185 F.3d at 1242 (stating
generally that counsel's decisions not to request additional mental
evaluations are “virtually unassailable, especially when they are made
by experienced criminal defense attorneys”); Mills v. Singletary, 161
F.3d 1273, 1286 (11th Cir.1998) (concluding counsel did not provide
ineffective assistance by not obtaining any mental health evaluation
and by failing to “pursue mental health issues as mitigating evidence”);
Bush v. Singletary, 988 F.2d 1082, 1089-92 (11th Cir.1993) (determining
counsel who made strategic decision not to undertake a formal
investigation of psychological and mental health information did not
provide ineffective assistance); see also Holladay v. Haley, 209 F.3d
1243, 1250 (11th Cir.2000) (observing that counsel are “not
necessarily required to seek independent mental evaluations in order
to render effective assistance”); Mills v. Singletary, 63 F.3d 999,
1024 (11th Cir.1995) (“The question is whether ... ending an
investigation short of exhaustion[ ] was a reasonable tactical
decision. If so, such a choice must be given a strong presumption of
correctness, and the inquiry is generally at an end.”) (quotation
marks and citation omitted).FN30
FN30. Wood relies on Stephens v. Kemp, 846 F.2d 642
(11th Cir.1988), and Brownlee v. Haley, 306 F.3d 1043 (11th Cir.2002),
but neither case is on point. Stephens was a pre-AEDPA decision, and
in 1988 we were not restricted by AEDPA's requirement of deference to
state court judgments. Additionally, Stephens's trial counsel knew he
was in a mental hospital for two weeks, but failed to investigate why.
846 F.2d at 653. Here, Wood has never been in a mental hospital, and
counsel investigated and knew from Dr. Kirkland's report that Wood had
borderline intellectual functioning, a low IQ, and a third-grade
reading level. Further, there was no harmful information about
Stephens lurking in the pre-trial report or that might have been
revealed through further investigation, while Dr. Kirkland's report
contained a great deal of harmful information.
In Brownlee, counsel conducted no investigation and
presented no mitigating evidence at all, and the State did not even
contest Brownlee's claim that his counsel's performance was deficient.
306 F.3d at 1068-69. Moreover, the post-conviction evidence in
Brownlee revealed a wealth of evidence of which counsel was not aware,
such as the defendant's schizotypal personality disorder, seizure
disorder, prior visit to a psychiatric hospital, episode in which he
jumped out of a second-story window, earlier head injury from being
shot, history of drug abuse, and borderline mental retardation. Id. at
1053, 1055-56. In Williams, this Court stressed that “[t]he Supreme
Court has told us that ‘a particular decision not to investigate must
be directly assessed for reasonableness in all the circumstances,
applying a heavy measure of deference to counsel's judgments' ”; that
“the ‘correct approach toward investigation reflects the reality that
lawyers do not enjoy the benefit of endless time, energy or financial
resources' ”; and that “to be effective a lawyer is not required to
‘pursue every path until it bears fruit or until all hope withers.’ ”
Williams, 185 F.3d at 1236-37 (citations omitted). As we said in
Williams, “[o]ther attorneys might have done more or less ... or they
might have made the strategic calls differently, but we cannot say
that no reasonable attorney would have done as [they] did.” Id. at
1244. Here, Wood has not shown that the state court decisions on his
failure-to-investigate claim are contrary to, or an unreasonable
application of, clearly established federal law.
K. Prejudice prong
The state courts concluded that even if evidence of
Wood's mental deficiencies had been presented (through Dr. Kirkland or
the Rule 32 witnesses), Wood failed to show a reasonable probability
that the outcome would have changed. Under Strickland, it is not
enough for Wood to show that any “errors had some conceivable effect
on the outcome of the proceeding.” 466 U.S. at 693, 104 S.Ct. at 2067.
Instead, Wood must establish “a reasonable probability that, but for
counsel's unprofessional errors, the result of the proceeding would
have been different.” Id. at 694, 104 S.Ct. at 2068. To establish that,
Wood must show that “absent the errors, the sentencer ... would have
concluded that the balance of aggravating and mitigating circumstances
did not warrant death.” Id. at 695, 104 S.Ct. at 2069. “A reasonable
probability is a probability sufficient to undermine confidence in the
outcome.” Id. at 694, 104 S.Ct. at 2068. “A petitioner's burden of
establishing that his lawyer's deficient performance prejudiced his
case is ... high.” Van Poyck v. Fla. Dep't of Corr., 290 F.3d 1318,
1322 (11th Cir.2002). A petitioner must “affirmatively prove prejudice.”
Strickland, 466 U.S. at 693, 104 S.Ct. at 2067.
To evaluate prejudice, we must consider the total
available mitigation evidence as adduced pre-trial, at trial, and at
the Rule 32 hearings. See Williams v. Taylor, 529 U.S. 362, 397-98,
120 S.Ct. 1495, 1515, 146 L.Ed.2d 389 (2000). Here, the Rule 32
witnesses essentially agreed with Dr. Kirkland's 1994 evaluation that
Wood (1) had a low IQ in the borderline range of intellectual
functioning and read on a third-grade level, but (2) had a normal
thought process, engaged in goal directed and logical thinking,
evidenced no memory deficits, could appreciate the criminality of his
conduct, and evidenced concrete reasoning ability.
Specifically, Dr. McClaren described Dr. Ron
Cavanaugh's 1995 evaluation of Wood, which determined Wood's full-scale
IQ to be 69. Dr. McClaren pointed out that Dr. Cavanaugh had the
impression that Wood functioned higher than mild mental retardation
and “probably in the borderline range.” Dr. McClaren described his own
IQ test of Wood in 2003-which also showed that Wood's true IQ was
between 61 and 69-as “consistent” with Dr. Cavanaugh's. Dr. Prichard
agreed with Dr. McClaren's testimony about Wood's IQ scores and that
the data showed “consistently over time [Wood had] functioned right
about the same intellectually.” Drs. McClaren and Prichard testified
Wood “functions at a higher level than a ... mildly mentally retarded
person,” and Wood's “adaptive skills are not impaired in the mentally
retarded range.”
The teachers' testimony about Wood's intellectual
functioning was consistent with the findings of Drs. Kirkland,
McClaren, and Prichard. Penn testified her special education students
had IQs in the 60 to 80 range, and Wood was a “pretty average” student.
Maddox testified the range of IQs for her special education students
was from the low 50s to the upper 70s or even 80, and Wood probably
had an IQ in the low to mid 60s. Penn and Maddox indicated Wood was
neat, clean, attended school regularly, and did not fail his classes.
The psychologists, Siler, Wright, and the teachers all provided
extensive testimony about Wood's high level of adaptive functioning.
Thus, the Rule 32 evidence was essentially identical to the
information in counsel's possession at the time of trial:FN31 Wood had
a low IQ in the borderline range of intellectual functioning, but
relatively high adaptive functioning. FN32
FN31. Dr. Kirkland reported Wood had “problems with
anger and impulse control” and diagnosed Wood with “Antisocial Acts,”
just as Dr. McClaren diagnosed Wood with antisocial personality
disorder. FN32. This is principally why Wood is not mentally retarded
under Atkins. The Rule 32 witnesses were in agreement that Wood
functions at a higher level than a mildly mentally retarded person.
Our colleague's separate opinion repeatedly refers to Wood's “mental
retardation,” but it is important to note that even the Rule 32
evidence supported the state courts' finding that Wood is not mentally
retarded.
Wood contends that his counsel should have
introduced evidence of his limited intellectual functioning and
special education classes to suggest to the jury that, though legally
culpable, he was less morally culpable because of a diminished ability
to understand and process information, engage in logical reasoning,
and learn from experience. See Atkins, 536 U.S. at 319, 122 S.Ct. at
2251; see also Williams, 529 U.S. at 398, 120 S.Ct. at 1515.
However, if counsel had introduced evidence of
Wood's limited intellectual functioning and special education classes
and attempted to paint Wood as not having sufficient intelligence to
be morally culpable, the State in rebuttal could have introduced a
wealth of harmful evidence that would have tipped the scales even more
toward a death sentence. Presenting the Rule 32 evidence from the
psychologists and teachers and/or Dr. Kirkland's findings about Wood's
limited intellectual functioning would have had four adverse
consequences for Wood.
First, presenting mental health evidence would have
allowed the State to introduce Dr. Kirkland's report about Wood's
intellectual functioning, which contained harmful information,
including: (1) Wood's statement to Dr. Kirkland denying that he drank
alcohol on the day of Ruby's murder, which would have undercut Wood's
defense that he was distraught and intoxicated at the time of the
murder;FN33 (2) Wood had problems with anger and impulse control and
felt injurious to others in the past; and (3) Wood had nineteen prior
arrests between 1981 and 1984,FN34 including three arrests for theft
of property, one for harassment, one for reckless endangerment, and
one for criminal possession of a forged instrument. See Gaskin v.
Sec'y, Dep't of Corr., 494 F.3d 997, 1004 (11th Cir.2007) (denying
ineffective assistance claim and stating “the fact remains that
further investigation and further evidence would have opened the door
to damaging personal history evidence”); Parker v. Sec'y for the Dep't
of Corr., 331 F.3d 764, 788 (11th Cir.2003) (concluding counsel was
not ineffective for failing to introduce evidence of mental defects
and personality disorder because, inter alia, “counsel feared that
evidence of mental defects and personality disorder would undermine [the
defendant's] credibility and be inconsistent with his alibi defense”);
Robinson v. Moore, 300 F.3d 1320, 1348 (11th Cir.2002) (denying
ineffective assistance claim and noting “some potential mitigation
witnesses might have harmed [the defendant's] case”).FN35
FN33. According to Dr. Kirkland's report, Wood was
“quite willing to discuss the lack of drugs or alcohol on the day of
the offense.” FN34. In January 1985, Wood received a fifteen-year
sentence for his shooting of Siler. Wood was paroled on the Siler
sentence in February 1990 and reincarcerated at some point before he
was paroled again on the Siler sentence in June 1993. Wood murdered
Ruby in September 1993. The nineteen prior arrests would have shown
that Wood was consistently in trouble with the law and only his Siler
incarceration stopped his arrests. FN35. Our colleague's separate
opinion in footnote 15 suggests these arrests may not have been
admitted, but relies on decisions about prior arrests without
convictions not being admitted to show a defendant's guilt of a
separate crime. None of the cited cases involves a penalty phase trial
after a defendant's guilt has been established. In any event, if
counsel had tried to show Wood's mental status, the State clearly
would have introduced Dr. Kirkland's report, which included these
arrests, to paint a fuller picture of Wood's mental functioning. See
Gaskin, 494 F.3d at 1004 (noting that “further investigation and
further evidence would have opened the door to damaging personal
history evidence”); Chandler v. Moore, 240 F.3d 907, 918 (11th
Cir.2001) (stating that “hearsay evidence is admissible at a capital
sentencing”); Ex Parte McGahee, 632 So.2d 981, 982-83 (Ala.1993) (“The
trial court may properly consider hearsay at the penalty phase of the
trial if the defendant has an opportunity to rebut the evidence.”).
Second, any potential effectiveness of evidence of
Wood's mental deficiencies from the psychologists or teachers would
have been eradicated by the State's overwhelming evidence of Wood's
high level of adaptive functioning (at work and personally); his
ability to engage in logical thinking, goal directed and intentional
conduct, and concrete reasoning; his complete memory of his behavior
at the time of the murder; the fact that he had no mental problem that
detracted from his ability to appreciate the criminality of his
conduct; and the lack of any causal relationship between his mental
condition and the murder. Wood has not explained how the overall Rule
32 evidence would have mitigated his criminal responsibility or moral
culpability. If anything, the Rule 32 evidence, along with Dr.
Kirkland's report, showed that Wood was highly functional, had full
appreciation for the criminality of his conduct, and was indeed
morally culpable.
Third, Dr. Kirkland's report contained important
details about Wood's prior shooting of Siler and how Wood shot her
through the window of her own residence after seeing her with another
man, which Trotter had kept from the jury by successfully objecting to
Siler's testimony in the penalty phase. The jury would have learned
that Wood had previously committed a crime frighteningly similar to
his murder of Ruby, which would have demonstrated Wood calculated his
killing of Ruby and had a pattern of attempting to kill his ex-girlfriends
at their own homes. See Clisby v. State, 26 F.3d 1054, 1057 (11th
Cir.1994) (finding no prejudice where Clisby committed brutal murder
and had killed before). Indeed, the jury might well have concluded
that Wood, after shooting Siler, “learned his lesson” and realized
that in order to be sure he killed an ex-girlfriend who had the
audacity to date another man, he needed to do more than merely shoot
through a window-he had to sneak into the house and shoot her from
point-blank range in her bed. The Siler evidence in Dr. Kirkland's
report would have completely undermined counsel's efforts to paint
Wood as heartbroken and someone who killed in the heat of passion, and
it also would have been contrary to the defense's successful effort to
keep Siler from testifying.
Fourth, presenting evidence of Wood's borderline
intellectual functioning and need for special education classes might
have suggested that Wood was not in regular school classes but was a
special education student with a low IQ reading at a third-grade level
who left school for that reason. Such evidence might have weakened
trial counsel's mitigation picture of Wood leaving high school only to
help feed and support his five sisters.
Even if Wood's counsel could have somehow presented
the potentially favorable evidence from Dr. Kirkland's report and the
Rule 32 hearings without presenting its unfavorable aspects, Wood has
still failed to show that the potentially favorable evidence would
have outweighed the aggravating factors here and thus changed the
outcome of his sentence. In this case, after trying to kill Ruby-the
mother of his child-two weeks earlier and being told to stay away,
Wood snuck into Ruby's home at night, entered her bedroom, and
brutally murdered her by shooting her in the face with a shotgun at
point-blank range. Wood then bragged to his cousin, “I shot that bitch
in the head, and [blew] her brains out and all she did was wiggle.”
Given the brutal, calculated nature of the murder, it is not
reasonably probable that evidence of Wood's borderline intellectual
functioning and special education classes would have swayed the jury,
especially given Wood's high level of adaptive functioning. See Clisby,
26 F.3d at 1057.
Here, there were not one or two, but three
statutory aggravating circumstances-(1) Wood murdered Ruby during a
burglary; (2) Wood had a prior violent felony conviction; and (3) Wood
murdered Ruby while on parole. The sentencing judge, who did have Dr.
Kirkland's and another psychological report, even observed that Wood's
aggravating circumstances “far outweigh[ed] the mitigating
circumstances ... in all regards.” Thus, even when evidence of Wood's
mental deficiencies was introduced, it was significantly undercut by
Wood's high level of adaptive functioning, and the three aggravating
factors still far outweighed such mitigation evidence.
In prior cases with three aggravating factors or a
brutal murder, this Court concluded the defendant failed to show a
reasonable probability that additional mitigation evidence would have
changed the death sentence. See Callahan, 427 F.3d at 938; Clisby, 26
F.3d at 1057. Moreover, we have rejected prejudice arguments where
mitigation evidence was a “two-edged sword” or would have opened the
door to damaging evidence. Grayson v. Thompson, 257 F.3d 1194, 1227
(11th Cir.2001); see Gaskin, 494 F.3d at 1004 (affirming death
sentence where jury recommended death by a vote of eight to four, and
noting further mitigation evidence “would have opened the door to
damaging personal history evidence”).
The prejudice outcome in Callahan is instructive
here. In Callahan, the district court granted the writ and found
prejudice where counsel failed to present (1) evidence of Callahan's
dysfunctional upbringing and (2) psychological evidence, such as Dr.
Goff's evaluation that Callahan had a “mild cognitive deficit, which
caused poor memory skills, and a paranoid personality disorder.”
Callahan, 427 F.3d at 922, 926.FN36 Reversing and reinstating the
death sentence, this Court noted that the state court found three
aggravating factors, and that particularly planned or brutal murders
make it difficult for even the best lawyers to convince a sentencer to
forgo a death sentence. Id. at 938. In Callahan, the three aggravating
factors similarly were: (1) the crime was committed while the
defendant was on probation; (2) the defendant was convicted previously
of a crime of violence; and (3) the murder was committed during a
felony (kidnapping). Id.; see also Hubbard, 317 F.3d at 1260-61 (in
light of three aggravating factors found by sentencing court,
defendant failed to establish prejudice from counsel's failure to
introduce hospital records indicating “mental retardation, and
deprived upbringing”).
FN36. “[O]f all the psychiatrists and psychologists
to examine Callahan, only one came close to diagnosing Callahan in the
same way [Dr. Goff] did.” Callahan, 427 F.3d at 922. As discussed, in
Wood's case, there was no material difference of opinion between the
Rule 32 mental health experts and the pre-trial mental health expert
(Dr. Kirkland), which is another reason why Wood failed to show that
the Rule 32 evidence would have changed the outcome here.
Likewise, in Clisby, this Court concluded the
defendant had not shown prejudice where counsel failed to introduce
evidence of “borderline intellectual functioning” and “chronic drug
and alcohol abuse.” Clisby, 26 F.3d at 1055, 1057 (quotation marks
omitted).FN37 We concluded Clisby did not suffer prejudice, in light
of the brutal nature of the murder-Clisby broke into the victim's
house and killed him with an axe-and the fact that Clisby had killed
before. Id. We concluded, “[g]iven the aggravating and mitigating
factors, nothing Clisby has put forth undermines our confidence in the
outcome of his sentencing proceeding.” Clisby, 26 F.3d at 1057.
FN37. Clisby's trial counsel presented an expert
who told the sentencer that he was unable to locate any disorder
beyond “possibly anti-social personality disorder.” Clisby, 26 F.3d at
1055 (quotation marks omitted). The post-conviction mental health
expert testified Clisby suffered from three problems: (1) antisocial
personality disorder; (2) borderline intellectual functioning; and (3)
chronic drug and alcohol abuse. Id.
Given Wood's high level of adaptive functioning,
nothing in Wood's Rule 32 evidence establishes a reasonable
probability that evidence of his intellectual functioning and special
education classes would have outweighed the strong aggravating factors
here. At a minimum, Wood has not carried his burden of showing that
the state courts' prejudice determination was objectively unreasonable.
In summary, our AEDPA role is not to determine de
novo whether Wood's counsel were ineffective or whether Wood was
prejudiced. We are concerned only with whether the state courts'
findings and conclusions-that Wood did not carry his burden to show
deficient performance or prejudice-were contrary to, or an
unreasonable application of, clearly established federal law, or were
based on an unreasonable determination of the facts. Again, AEDPA
“limits our review of the decisions of the state courts and
establishes a ‘general framework of substantial deference’ for
reviewing ‘every issue that the state courts have decided.’ ” Crowe v.
Hall, 490 F.3d 840, 844 (11th Cir.2007) (citation omitted), cert.
denied, 553 U.S. 1007, 128 S.Ct. 2053, 170 L.Ed.2d 798 (2008). Based
on the record before us, Wood has not satisfied AEDPA's requirements
as to his ineffective assistance claim.
VI. Conclusion
We affirm the district court's November 20, 2006
order denying Wood's Atkins and Batson claims but reverse the order's
grant of the writ based on ineffective assistance of counsel and
remand with instructions to deny Wood's § 2254 petition.
AFFIRMED IN PART; REVERSED IN PART; REMANDED.
BARKETT, Circuit Judge, concurring in part,
dissenting in part:
I concur with the majority opinion's disposition of
Wood's claims based on Atkins v. Virginia, 536 U.S. 304, 122 S.Ct.
2242, 153 L.Ed.2d 335 (2002), and Batson v. Kentucky, 476 U.S. 79, 106
S.Ct. 1712, 90 L.Ed.2d 69 (1986). I must respectfully dissent, however,
from the majority's holding that Wood is not entitled to habeas relief
on his claim of ineffective assistance during the penalty phase of his
trial, because I believe that conclusion ignores specific and direct
evidence of ineffectiveness of counsel in favor of nothing but pure
speculation that the failure to investigate and present mitigating
evidence was a “strategic decision.”
No evidence of Wood's mental retardation was ever
presented to the jury. In considering the death penalty, the jury
never had the opportunity to weigh his actions in light of his
undisputed diminished mental capacity. The majority claims that the
record supports the state court's finding that Wood's counsel decided
against pursuing or presenting evidence of Wood's mental impairments.
The record “evidence” upon which the majority relies, however,
consists of the vague and speculative references of one attorney,
Dozier, that he was “sure” the trial team “would have” adequately
prepared for the penalty phase, despite his own testimony that he
could not recall doing anything specific given the passage of time.FN1
On the other hand, the majority altogether disregards direct and
specific evidence to the contrary.
FN1. (See Maj. Op. at 1289.) (discussing Dozier's
testimony that he was “ sure” that the “trial team” interviewed
potential witnesses); ( Id. at 1291, 1300.) (reprinting Dozier's
testimony that “we [the trial team] would have” presented useful
information from Dr. Kirkland's report and that though he could not
recall if he personally read it, he was “ sure we [the trial team] did”);
( Id. at 1304.) (paraphrasing Dozier's testimony that if the trial
team had identified helpful information in Dr. Kirkland's report, he
was “ sure” they “ would have” used it) (emphasis added throughout). A
fair reading of the entire record compels the conclusion that Wood's
lawyers, in fact, did not adequately prepare for the penalty phase and
their direct testimony concedes as much. Wood's counsel were aware
that Wood suffered from mental impairments from the very beginning of
their trial preparation. Despite their knowledge, counsel did not look
into, follow up on, or further pursue this critical source of
potentially mitigating evidence. The egregious failures of Wood's
defense counsel to investigate and develop available mitigating
evidence for the penalty phase of Wood's capital case, as delineated
below, epitomizes the sort of deficient performance that an
ineffective assistance claim exists to guard against. Thus, I must
dissent.
I. Counsel must make an informed decision
regarding the investigation and presentation of mitigating evidence
To succeed on a claim of ineffective assistance of
counsel, a petitioner “must show that counsel's representation fell
below an objective standard of reasonableness” and must demonstrate
that “any deficiencies in counsel's performance [were] prejudicial
....” Strickland, 466 U.S. 668, 688, 692, 104 S.Ct. 2052, 80 L.Ed.2d
674 (1984). That is, a petitioner must demonstrate that “there is a
reasonable probability that, but for counsel's unprofessional errors,
the result of the proceeding would have been different.” Id. at 694,
104 S.Ct. 2052.
With reference specifically to a lawyer's duty to
investigate, the Supreme Court held in Strickland that: [C]ounsel has
a duty to make reasonable investigations or to make a reasonable
decision that makes particular investigations unnecessary. In any
ineffectiveness case, a particular decision not to investigate must be
directly assessed for reasonableness in all the circumstances,
applying a heavy measure of deference to counsel's judgments. Id. at
691. The Supreme Court has made clear that the obligation to present
specific mitigating evidence is separate and distinct from a lawyer's
obligation to adequately investigate the background of the defendant
in order to make an informed judgment about whether certain evidence
should be presented. See Wiggins v. Smith, 539 U.S. 510, 522-23, 123
S.Ct. 2527, 156 L.Ed.2d 471 (2003) (“[O]ur principal concern in
deciding whether [Wiggins' lawyers] exercised ‘reasonable professional
judgmen[t]’ is not whether counsel should have presented a mitigation
case. Rather, we focus on whether the investigation supporting
counsel's decision not to introduce mitigating evidence of Wiggins'
background was itself reasonable.” (emphasis in original) (citation
omitted)).
This circuit has repeatedly held that “in preparing
for a death penalty case, ‘a[n] attorney has a duty to conduct a
reasonable investigation, including an investigation of the
defendant's background, for possible mitigating evidence,’ ” Dobbs v.
Turpin, 142 F.3d 1383, 1387 (11th Cir.1998) (quoting Porter v.
Singletary, 14 F.3d 554, 557 (11th Cir.1994)) (brackets in original),
and that “[t]he failure to do so may render counsel's assistance
ineffective.” Id. (quoting Baxter v. Thomas, 45 F.3d 1501, 1513 (11th
Cir.1995)). We have also “reject[ed] the notion that a ‘strategic’
decision can be reasonable when the attorney has failed to investigate
his options and [to] make a reasonable choice between them.” Dobbs,
142 F.3d at 1388 (quoting Baxter, 45 F.3d at 1514; citing Horton v.
Zant, 941 F.2d 1449, 1462 (11th Cir.1991)). Simply put, “strategic
decisions ... ‘must flow from an informed decision.’ ” Dobbs, 142 F.3d
at 1388 ( quoting Harris v. Dugger, 874 F.2d 756, 763 (11th
Cir.1989)). No such strategic decisions could possibly have been made
in this case because counsel had failed to adequately investigate the
available mitigating evidence.
II. The record reflects totally inadequate
penalty phase preparation
A careful review of the record clearly demonstrates
the appalling lack of preparation that went into the penalty phase of
Wood's trial. Cary Dozier, Frank Ralph and Ken Trotter were court-appointed
attorneys representing Wood. At the time, Trotter had been practicing
law for only about five months. FN2 Ralph testified that Trotter “was
very inexperienced. He was very nervous about this whole case. And it
was quite evident just talking with him how troubled he was by it.”
FN2. Although Alabama law required attorneys
appointed in capital cases to have at least five years of experience
in criminal law, only Ralph and Dozier had the requisite experience.
See Ala.Code § 13A-5-54 (1994) (“Each person indicted for an offense
punishable under the provisions of this article who is not able to
afford legal counsel must be provided with court appointed counsel
having no less than five years' prior experience in the active
practice of criminal law.”). While I do not address-as the issue was
not raised-whether designating an entire portion of the trial to an
attorney who lacks the requisite five years of experience comports
with the requirements of Alabama Code § 13A-5-54, the statute
highlights the legitimate concerns that accompany the appointment of
an inexperienced attorney as counsel in a capital case. Despite
Trotter's lack of experience, it is undisputed by the direct evidence
in the record that he was given primary responsibility for the penalty
phase of Wood's trial by the two more experienced attorneys.FN3 Ralph
testified that though it was “not entirely correct” that he and Dozier
had “no involvement in the preparation for or investigation of the
penalty phase,” he added simply, “I remember that we met and talked
about it.” Other than this vague reference to having “talked about”
the penalty phase, Ralph's overwhelming testimony is that Trotter
alone handled the penalty phase of Wood's trial, and that Ralph had
nothing to do with it. Ralph was clear that counsel “decided Ken
Trotter would handle [the penalty phase] ... that that was going to be
his responsibility.” According to Ralph, “Ken Trotter ... handl [ed]
the entire matter.”
FN3. In footnote 11 of its opinion, the majority
claims that Dozier and Ralph were both present and active in the
penalty phase. But merely being present and active-by raising an
occasional objection during the proceedings-is insufficient to
demonstrate that Dozier and Ralph adequately supervised or assisted
Trotter. Moreover, the assertion does not address counsel's collective
failure to adequately investigate Wood's mental health status and
background or to otherwise prepare for the penalty phase. Similarly,
although Dozier claimed that all three lawyers “participated” in the
various aspects of Wood's case, he could not specify any particular
matter that he handled with respect to the penalty phase. Moreover,
Dozier's statements pertaining to any “participation” by all three
lawyers appear to be primarily directed to the guilt phase, and not
the penalty phase. Dozier testified that “[Trotter] did basically most
of the motions ... [Dozier] and Frank [Ralph] and Trotter put them all
together, and we basically let Trotter handle the sentencing part of
it.” The record reflects, however, that there were no written motions
filed during the penalty phase of the trial.FN4 Dozier did not recall
whether he handled any of the witnesses for the penalty phase or
whether he read Dr. Kirkland's report before trial or met with Dr.
Kirkland, but he was “sure Frank [Ralph] or Trotter or some of us did.”
Dozier could not remember counsel's penalty phase strategy, noting
that the “[o]nly thing [he] remember[ed] was something about [Wood's]
childhood, and [he did not] recall what it was all about.” Moreover,
Dozier did not recall even having considered introducing evidence at
the penalty phase based on Dr. Kirkland's findings. Dozier reiterated
that it was “Trotter [who] handled the aggravating circumstances as
far as the sentencing process went [and that] [b]asically [he (Dozier)]
and Mr. Ralph were basically the trial lawyers.” Dozier again stated
that he and Ralph “basically designated Trotter to do the sentencing
aspect of it.”
FN4. Trotter prepared written motions only for the
guilt/innocence phase of trial. Indeed, according to Ralph: “It seems
like prior to the actual trial preparation we had a series of motions
that I think Mr. Trotter prepared. We had a hearing on that. We all
participated in that.” Trotter likewise specifically verified that he
had been in charge of the penalty phase.FN5 According to Trotter's
testimony at the Rule 32 hearing, originally Dozier was supposed to be
the principal attorney who was to “oversee all phases of the trial,
including both the penalty ... and the guilt or innocence adjudication,”
but Dozier ultimately focused on the guilt/innocence phase, and, at
the last minute, turned over to Trotter all of the responsibility for
preparing and presenting the penalty phase. It was Trotter's
understanding “that Mr. Ralph was going to conduct the penalty phase,”
however, “shortly before the trial ... a decision was made ... that [Trotter]
would represent Mr. Wood during the penalty phase in the courtroom”
instead. Trotter also testified that as the penalty phase approached,
he “felt like [he] was working a lot of it independently and trying to
call as much as [he] could to Mr. Ralph and Mr. Dozier to get their
feedback on stuff. But to a certain extent, [he] was having to do a
lot of work independently, more so than [he] thought when [he]
initially accepted the appointment ....” A couple of months before
trial, Trotter expressed his frustration at the lack of supervision
and guidance he was receiving in a letter to Kevin Doyle, a capital
defense attorney from the Southern Poverty Law Center, stating, “I
have been stressed out over this case and don't have anyone with whom
to discuss the case, including the two other attorneys.” (emphasis
added). Thus, there is little indication in the record that either
Ralph or Dozier offered any guidance to Trotter-a lawyer with only a
few months of legal experience-on how to proceed in the penalty phase
of a capital case.
FN5. In footnote 11 of its opinion, the majority
mistakenly suggests that Trotter's testimony conclusively demonstrates
that he was given sufficient assistance or supervision; however,
excerpts from the record-which follow the accompanying text above-show
otherwise. Although the majority attempts to portray Dozier as “lead
counsel” throughout both the guilt and penalty phase, this is merely
the majority's characterization of his role. (Maj. Op. at 1289, 1290,
1291, 1294.) None of Wood's counsel specifically testified that Dozier
was “lead counsel,” and in fact testified directly to the contrary as
to the penalty phase. Trotter specifically testified that Dozier
decided that Trotter was to “assist primarily with the penalty phase-preparation
of the penalty phase” but that ultimately Trotter was to replace Ralph
as the person “primarily responsible for the penalty phase.”
As soon as the guilt/innocence phase ended and Wood
was convicted, the trial judge announced that the penalty phase would
begin the following day. Trotter later testified that, at the time, he
“didn't think [they] were actually prepared to move forward with the
penalty phase of the trial when [they did].” FN6 Nonetheless, neither
Trotter nor the other two attorneys moved for a continuance in order
to afford them time to prepare adequately for the penalty phase. The
next day, when the penalty phase before the jury was about to begin,
Trotter, for the first time, asked the trial court for a psychological
evaluation of Wood.
FN6. The majority argues that while Trotter did not
initially think that they were prepared to proceed with the penalty
phase, he consulted with Ralph and Dozier, and their concerns were
alleviated. (Maj. Op. at 1292.) While Ralph and Dozier's concerns may
have been alleviated, Trotter never testified that he was comfortable
proceeding. Further, the majority's contention that Dozier made the
decision that no further evaluation was needed based on Dr. Kirkland's
report is directly undercut by Trotter's request for additional
psychological evaluation prior to sentencing. If Dozier did make such
a decision, it then only follows that Trotter must have been extremely
uncomfortable with the decision, in order to disregard it in making
the request. Although Dr. Kirkland had prepared a psychological report
four months earlier, primarily to assess Wood's competency for trial,
Trotter explained to the court that there had been no follow-up.FN7
Dr. Kirkland had found that Wood was competent to stand trial and was
able to appreciate the criminality of his acts at the time of the
offense. However, his report also noted that Wood was “reading on less
than a 3rd grade level,” “could not use abstraction skills much beyond
the low average range of intellect,” and was “functioning, at most, in
the borderline range of intellectual functioning.” Despite this
information, counsel conducted no further investigation regarding
Wood's mental impairments with Dr. Kirkland or anyone else.FN8
FN7. The majority claims that this psychological
evaluation was sufficient to investigate any mitigating evidence based
on Wood's mental health. However, “[o]btaining competency evaluations
from mental health experts for guilt phase purposes does not discharge
counsel's duty to consult such experts for the penalty phase because
the considerations involved are very different in the two phases.”
Belmontes v. Ayers, 529 F.3d 834, 859 (9th Cir.2008). FN8. Contrary to
the majority's characterization in footnote 9, my position does not
rely on a belief that Wood's counsel were completely ignorant of his
mental status. Instead, it focuses on the failure of Wood's counsel to
further investigate and develop mitigating evidence having seen Dr.
Kirkland's report that made reference to Wood's “borderline range of
intellectual functioning.” In requesting further psychological testing
of Wood immediately before sentencing, Trotter told the court what
should have been obvious to any reasonable lawyer upon initially
reading the report: that Dr. Kirkland “indicates that the defendant
may have psychological problems that need further assessment.” Indeed,
Trotter conceded that even though the report had been completed months
earlier, “[n]o further investigation ha[d] been done, psychologically,
of those points.” Knowing that there had been a failure to pursue
available mitigating evidence, and that it was too late to present it
to the jury, Trotter had to ask, at that late date, that “prior to any
final sentencing by the Court ... there be further psychological
evaluation done of the defendant, although that won't be admissible to
this jury, prior to the judge rendering his final verdict.”FN9 The
judge indicated that he would “consider that [request] after we finish
today.” Remarkably, however, neither Trotter nor Ralph nor Dozier
followed up with the request. The record reflects that the jury
returned the verdict recommending the death penalty that same day, and
that neither the judge nor defense counsel raised the issue of the
psychological evaluation again.
FN9. Even had Trotter acquired and presented this
evidence to the judge, his failure to investigate and present this
evidence to the jury would have still rendered him ineffective for the
penalty phase. We have held that the “jury is too important, and the
right to introduce all mitigating evidence is too essential, to permit
a judge to correct so egregious a failure by counsel to investigate,
obtain, or present powerful mitigating evidence to the sentencing jury.”
Brownlee v. Haley, 306 F.3d 1043, 1079 (11th Cir.2002). Moreover,
despite counsel's knowledge that Wood was mentally impaired, Trotter
never asked any of the family witnesses questions regarding Wood's
mental impairments when he called them to testify, nor did Trotter
ever try to directly contact Wood's former teachers. In addition,
though Trotter had issued a subpoena for Wood's school records, no
records were ever produced, and, amazingly again, counsel never
followed up or sought legal action to enforce the subpoena.
Discovering at the last minute that no records had ever been produced,
Trotter once again had to make an untimely request to the judge. Just
before the jury was seated for the penalty phase, Trotter, for the
first time, brought to the judge's attention that he had not received
the records to which he was entitled from the “Board of Pardons and
Paroles and the various state prisons in which Mr. Wood may have been
incarcerated,” as well as records from the “Department of Human
Resources.” Though the request for these documents had been granted
some two months earlier, it was not until the morning the penalty
phase was to begin that Trotter finally brought this to the court's
attention. None of Wood's lawyers ever saw these documents or ever
considered the mitigating evidence they contained.
Had Trotter adequately investigated the references
in Dr. Kirkland's report, or followed up on the school records, or
even talked to Wood's family and teachers about his mental retardation,
this important aspect of Wood's life could have been presented to the
jury. None of this, or any other, evidence of Wood's mental
impairments was ever presented to the jury. Moreover, none of this
evidence could possibly have had any adverse effect on the jury's
consideration of Wood's appropriate penalty.
Shortly before the sentencing hearing in front of
the judge was to begin, Trotter wrote to his co-counsel reiterating
that an independent psychological evaluation should be conducted,
“even if that means asking for a postponement of the sentencing
hearing [before the judge].” Notwithstanding his last-minute concerns,
however, Trotter did not seek a continuance after his co-counsel
expressed a belief that the judge would not likely grant one. Moreover,
Trotter again failed to follow up on his request for a psychological
evaluation to be, at least, presented to the judge.
In a last-ditch attempt, and having not pursued the
psychological evaluation he believed to be necessary, Trotter argued
to the judge at the sentencing hearing that the court should consider
Dr. Kirkland's report as evidence of Wood's mental impairments for
mitigation purposes-even though the report had been prepared primarily
to evaluate Wood's mental state at the time of the crime and his
competency to stand trial. He stated: “[A]s reported in the
psychological report by Dr. Kirkland, [Wood] cannot use abstraction
skills much beyond the low average range of intellect, and that he is
at most functioning in the borderline range of intellectual
functioning ... would mitigate any aggravating circumstances in this
case ....” He presented no other evidence to support Dr. Kirkland's
statements.
Simply put, the weight of the evidence in the
record demonstrates that Trotter, an inexperienced and overwhelmed
attorney, was given primary responsibility for investigating and
preparing for the penalty phase of Wood's trial, and he was not given
any significant assistance from the rest of the trial team. He
realized too late what any reasonably prepared attorney would have
known: that evidence of Wood's mental impairments could have served as
mitigating evidence and deserved investigation so that it could
properly be presented before sentencing. Due to Trotter's inexperience,
and to Ralph and Dozier's lack of participation in preparation for the
penalty phase, no investigation of Wood's mental retardation was
conducted at all, and that alone is the reason it was never presented
to the jury in mitigation. There can be no other reasonable reading of
this record.
Counsel's failure to investigate and present the
critical evidence of Wood's mental impairments to the jury certainly
“fell short of the standards for capital defense work articulated by
the American Bar Association,” Wiggins, 539 U.S. at 524, 123 S.Ct.
2527, that prevailed at the time of Wood's trial. See generally ABA
Guidelines for the Appointment and Performance of Counsel in Death
Penalty Cases at 11.4.1(C), 8.1 (commentary) (1989) (requiring counsel
to engage in sufficient “efforts to discover all reasonably available
mitigating evidence,” and to “conduct a thorough investigation of the
defendant's life history and background.” (emphasis added)). Their
deficient representation violated Wood's Sixth Amendment right to
counsel.FN10 See Stephens v. Kemp, 846 F.2d 642, 653 (11th Cir.1988) (finding
ineffective assistance where, despite being put on notice of a
possible mental illness, counsel “elected to pursue his investigation
into [the defendant's] mental condition no further” and “conducted no
inquiry whatsoever into the possibility of presenting evidence of [the
defendant's] mental history and condition in mitigation of punishment”).
Given this record, I agree with the district court's finding that the
state court's denial of Wood's claim of ineffective assistance of
counsel involved an unreasonable application of Strickland.
FN10. The majority opinion finds our decision in
Hubbard v. Haley, 317 F.3d 1245 (11th Cir.2003), to be particularly
instructive as to “why it was not deficient performance for counsel
not to present evidence of Wood's low IQ.” (Maj. Op. at 1306-07.) That
case is completely inapplicable. The performance of Hubbard's counsel
is distinguishable from the performance of counsel here because
Hubbard's defense strategy, even at sentencing, was to maintain that
he was actually innocent of the crime. Hubbard, 317 F.3d at 1260. Here,
defense counsel's strategy during sentencing was to put on some
evidence of mitigation; counsel simply failed to sufficiently
investigate the sources that may have provided them with evidence of
Wood's mental impairments. Moreover, Hubbard was unable to identify
any witnesses who may have been able to testify on his behalf at
sentencing. Id. Wood, on the other hand, was able to identify both
teachers and family members who would have been able to testify as to
his mental impairments. Finally, Hubbard's attorneys still managed to
argue mitigation evidence to the jury based on what was in the Bryce
Hospital records. Id. at 1260 n. 25. Wood's jury never even knew a
psychological evaluation existed. III. No informed strategic decision
was ever made to exclude evidence of mental retardation Given the
totally inadequate penalty phase preparation that the record reveals,
as delineated above, it is clear that Wood's counsel's failure to
investigate or present mitigating evidence of Wood's mental
impairments resulted from their sheer neglect. The majority's attempt
to characterize their failure as a strategic decision “resembles more
a post hoc rationalization of counsel's conduct than an accurate
description of their deliberations prior to sentencing.” Wiggins, 539
U.S. at 526-27, 123 S.Ct. 2527. There is no basis in this record to
conclude that the failure to investigate was, or could have been, a
reasonable strategic decision made by Wood's counsel.FN11
FN11. The majority cites to Trotter's testimony
that Dozier reviewed Dr. Kirkland's report and that Dozier determined
that no further evaluators were necessary. (Maj. Op. at 1290-91, 1294,
1308.) Even if it were true that Dozier decided that it was
unnecessary to further investigate Wood's mental health, such a
decision would have been inherently unreasonable because Dozier failed
to adequately investigate Wood's mental retardation before making that
determination, especially in light of Trotter's repeated concerns
regarding his readings that psychological evaluations were a source of
mitigating evidence in death penalty cases. See Dobbs, 142 F.3d at
1388. First, the majority portrays Dozier as the primary decision-maker
throughout trial, including during the penalty phase preparations. The
majority claims that as “lead counsel,” Dozier was responsible for
deciding against presenting any mitigating evidence of Wood's mental
impairments. However, as more fully explained above, Dozier confirmed
that he and Ralph “basically designated Trotter to do the sentencing
aspect of [the trial].” The record is clear that Dozier was not the
“lead counsel” in charge of penalty phase preparations.
Second, the record demonstrates that none of Wood's
counsel, including Dozier, made a reasonable strategic decision not to
investigate or present evidence of his mental impairments. To the
contrary, as also explained above, Trotter tried to obtain and present
such testimony but could not because he tried too late. Trotter
entreated the trial judge to, “prior to any final sentencing by the
Court[,] ... [allow] further psychological evaluation of the defendant,
although that won't be admissible to this jury, prior to the judge
rendering his final verdict.” Further, Trotter specifically stressed
to the judge, as mitigating evidence, Dr. Kirkland's conclusion that
Wood could not “use abstraction skills much beyond the low average
range of intellect, and that he [was] at most functioning in the
borderline range of intellectual functioning.” Trotter's belated
attempts to argue that Wood's mental impairments should be considered
as mitigating evidence directly contradict the finding that Wood's
counsel made a decision not to present mental impairment evidence
during the penalty phase. Rather, Trotter's efforts prove that counsel
hoped to do just that.FN12
FN12. While state court findings that are supported
by the record are due deference under AEDPA, we may not defer to them
where there is clear and convincing evidence which indicates that the
state court's findings amount to “an unreasonable determination of the
facts in light of the evidence presented in the state court proceeding.”
28 U.S.C. § 2254(d)(2). An unwillingness to turn a blind eye to
evidence in this case that demonstrates the state court's findings
were unreasonable is not the same as conducting a de novo review.
Finally, even if Wood's counsel had decided not to pursue evidence of
his mental impairments, such a decision would have been unreasonable
given their absolute lack of investigation. See Dobbs, 142 F.3d at
1388 (“[We] reject [ ] the notion that a ‘strategic’ decision can be
reasonable when the attorney has failed to investigate his options and
[to] make a reasonable choice between them.”); Belmontes, 529 F.3d at
857 (“[A] decision not to present a particular defense or not to offer
particular mitigating evidence is unreasonable unless counsel has
explored the issue sufficiently to discover the facts that might be
relevant to his making an informed decision.”). Defense counsel's
failure to investigate and/or introduce mitigating evidence of Wood's
mental impairments “resulted from inattention, not reasoned strategic
judgment.” Wiggins, 539 U.S. at 526, 123 S.Ct. 2527.
IV. The failure to investigate and present
mental mitigating evidence was prejudicial
I agree with the district court that Wood was
prejudiced by counsel's ineffectiveness. In assessing the prejudice
caused by counsel's ineffective assistance at the penalty phase of a
capital trial, we reweigh the evidence in aggravation against the
totality of available mitigating evidence, which includes both the
evidence introduced at trial and the evidence introduced in the habeas
proceedings. Williams v. Taylor, 529 U.S. 362, 397-98, 120 S.Ct. 1495,
146 L.Ed.2d 389 (2000); Wiggins, 539 U.S. at 534, 123 S.Ct. 2527.
Given the nature of the State's evidence in
aggravation of Wood's offense, as described in the majority opinion,
evidence of Wood's mental deficiencies was essential to mitigation
because it would have offered the necessary context for the jury to
have properly evaluated Wood's aberrant behavior before recommending a
sentence. Indeed, Wood's “cognitive and behavioral impairments” could
have suggested to the jury that, though legally culpable, he was “less
morally culpable” in terms of the death penalty, because of his
“diminished ability to understand and process information, to learn
from experience, to engage in logical reasoning, or to control
impulses.” Atkins, 536 U.S. at 320, 122 S.Ct. 2242. As in Williams,
“the reality that [Wood] was borderline mentally retarded, might well
have influenced the jury's appraisal of his moral culpability.” 529
U.S. at 398, 120 S.Ct. 1495 (citations and internal quotations omitted).
Indeed, evidence of mental impairments “is relevant because of the
belief, long held by this society, that defendants who commit criminal
acts that are attributable to a disadvantaged background, or to
emotional and mental problems, may be less culpable than defendants
who have no such excuse.” California v. Brown, 479 U.S. 538, 545, 107
S.Ct. 837, 93 L.Ed.2d 934 (1987) (O'Connor, J., concurring). We have
also recognized that “[o]ne can be competent to stand trial and yet
suffer from mental health problems that the sentencing jury and judge
should have had an opportunity to consider.” Blanco v. Singletary, 943
F.2d 1477, 1503 (11th Cir.1991).FN13
FN13. In footnote 32, the majority suggests that I
fail to recognize that the state court found that Wood is not mentally
retarded. This is incorrect. Rather, I recognize that Wood was found
to not be mentally retarded for the purposes of Atkins. The majority
apparently labors under the misapprehension that the state court's
finding that Wood is not mentally retarded for the purposes of Atkins
means that evidence of Wood's mental impairments, which were not
disputed by anyone, could not have served as mitigating evidence.
However, instead of presenting such evidence, Trotter's penalty phase
case consisted of testimony from three of Wood's family members-Wood's
father and two of his sisters-whose testimony made no mention of
Wood's mental impairments and amounted to little more than a plea for
juror sympathy. At the end of the one-day penalty phase, the jury
recommended the death penalty by a vote of ten to two. In the
subsequent sentencing hearing, the judge found that the State had
proven three aggravating circumstances and that there were no
mitigating circumstances, and sentenced Wood to death by electrocution.
At the Rule 32 hearing, Trotter admitted candidly,
“I would like to have done more. I wished I could have done more. And
I recall that at the penalty phase the verdict was ten to two. And I
felt like if I could have just done a little more that maybe it could
have been nine to three and that that would have been enough. And I
regret that whatever it was to require that little more wasn't there.”
Moreover, Ralph testified, “I don't think that Trotter ... brought out
enough of Wood's background through enough witnesses of the type of
upbringing that he had had .... I felt like there were more
circumstances in his background that were potentially mitigating that
were not explored ....” Ralph further testified that the evidence
presented at the penalty phase “seemed inadequate given the
circumstances.” Despite these observations, neither Ralph nor Dozier
sought to introduce any evidence in addition to what Trotter presented.
On this record, I agree with the district court
that there is a reasonable probability that the outcome of Wood's
penalty phase would have been different had Wood's lawyers rendered
effective assistance of counsel. In addition to any mental health
experts that Wood's counsel might have presented, counsel could have
called Wood's teachers, who testified at the Rule 32 hearing freely
and without subpoena.FN14 Janet Penn would have testified, as she did
at the Rule 32 hearing, that Wood was a student in her special
education class for two years, that all of her students had low IQ
scores, and that Wood's IQ was in the “middle to low” range in
comparison to the other students in her class. Penn would have
testified also that all of the special education students, regardless
of age or grade level, were placed in one room in a basement; the
lighting was barely adequate; the room would flood when it rained a
lot; and the students were known around school as the “moles” that
“lived in a mole hole.” Hilda Maddox, another of Wood's teachers who
testified at the Rule 32 hearing, would have explained that Wood's IQ
was probably “low to mid 60s,” that Wood was “educable mentally
retarded or trainable mentally retarded,” and that among the students
so classified, Wood ranked in the “middle range.” The jury would have
been presented with testimony that Wood-even today-can read only at
the third grade level and can “not use abstraction skills much beyond
the low average range of intellect.” Though this information was all
readily available, Trotter failed to investigate any of it in
preparation for the penalty phase or to present it to the jury.
FN14. Wood's teachers confirmed at the Rule 32
hearing that had they been contacted, they would have agreed to speak
with Wood's counsel and to testify regarding Wood's mental retardation
and the conditions at Wood's school. The majority claims that Wood was
not prejudiced by his counsel's failure to call Dr. Kirkland as a
witness or introduce Dr. Kirkland's report because doing so would have
opened the door to the admission of potentially damaging content in
the report, namely Wood's denial that he had been drinking on the day
of the offense, a list of Wood's prior arrests, and the details of
Wood's prior violent felony conviction. (Maj. Op. at 1305-06,
1310-13.) This argument is purely speculative, and it is inapposite
because it does not address Wood's claim that his counsel failed to
even investigate his mental deficiencies once those deficiencies had
been discovered. The discharge of that duty could have led counsel to
evidence which would not have had any detrimental effect, such as the
testimony of his teachers. Moreover, had counsel properly investigated,
they would have been able to assess the admissibility of Dr.
Kirkland's testimony in light of the testimony of other witnesses or
existing law pertaining to the admission of evidence at that time.FN15
The likelihood that counsel could have put on the mitigating evidence
without introducing the damaging aspects of Dr. Kirkland's potential
testimony undermines the validity of any decision not to even
investigate the critical portions of his report on this basis.
FN15. Specifically, evidence of Wood's past felony
may have been viewed as cumulative evidence since the State introduced
a certified copy of Wood's prior conviction for first-degree assault
and the Pardons and Parole clerk testified that Wood was on parole
when he committed the murder. Alternatively, the trial court may have
ruled to exclude Dr. Kirkland's testimony about Wood's past offenses
on the basis that it would be unduly prejudicial, just as it did when
the State attempted to call Barbara Siler, the victim in Wood's prior
felony assault conviction, to testify at sentencing. The majority also
references nineteen prior arrests between 1981 and 1984 which Dr.
Kirkland mentions in his report as potentially damaging evidence.
However, many of these arrests never resulted in convictions and the
existing law pertaining to admission of such evidence was favorable to
Wood. For example, see United States v. Eubanks, 876 F.2d 1514,
1516-17 (11th Cir.1989) (inappropriate for prosecutor to question
defendant about prior arrests that did not result in convictions);
United States v. Lay, 644 F.2d 1087, 1091 (5th Cir.1981) (improper for
prosecutor to question defendant about prior arrest without conviction);
United States v. Labarbera, 581 F.2d 107, 108-09 (5th Cir.1978) (mere
arrest without conviction for any offense inadmissible to show general
lack of credibility); United States v. Hodnett, 537 F.2d 828, 829 (5th
Cir.1976) (same); United States v. Garcia, 531 F.2d 1303, 1306-07 (5th
Cir.1976) (same). The majority opinion also suggests that because Wood
was in special education and mentally impaired, the jury would have
been less likely to believe that he dropped out of school to support
his family. (Maj. Op. at 1306, 1312-13.) Assuming that a jury would
have used evidence of Wood's mental impairments against him directly
contravenes the Supreme Court and Eleventh Circuit cases that have
consistently held that diminished mental capacity may suggest to a
jury that a defendant is in fact “less morally culpable,” and that
evidence of even mild retardation is mitigating evidence that should
be investigated and presented to the jury. See Atkins, 536 U.S. at
306-07, 317-18, 122 S.Ct. 2242; Cunningham v. Zant, 928 F.2d 1006,
1017-19 (11th Cir.1991).
The trial court in Wood's case found that there
were no mitigating factors to balance against the aggravating factors.
In a case such as this, where evidence of Wood's mental impairments
could have mitigated his sentence, counsel's failure to present it was
a fatal “breakdown in the adversarial process,” Collier v Turpin, 177
F.3d 1184, 1204 (11th Cir.1999), which must undermine our confidence
in the application of the death penalty in this case. Although the
nature of the crime was serious, it was not so heinous as to foreclose
the possibility that a reasonable jury might have returned a different
sentence had they been presented with the substantial mitigating
evidence of Wood's mental status, which is discussed above. See, e.g.,
Rompilla v. Beard, 545 U.S. 374, 393, 125 S.Ct. 2456, 162 L.Ed.2d 360
(2005) (finding prejudice where defense counsel failed to present
mitigating evidence of the defendant's abusive childhood and mental
health issues in case where the defendant repeatedly stabbed the
victim and set him on fire). Any other suggestion not only
impermissibly abrogates the critical role of defense counsel by
relieving them altogether of any responsibility to present mitigating
evidence, but it also usurps the role of the jury by condemning to
death all those charged with particular crimes, regardless of their
individual circumstances, in direct contravention of both Supreme
Court and Eleventh Circuit precedent. See, e.g., Kansas v. Marsh, 548
U.S. 163, 175, 126 S.Ct. 2516, 165 L.Ed.2d 429 (2006) (“[O]ur
precedents ... oblige sentencers to consider [mitigating evidence] in
determining the appropriate sentence.” (emphasis added)); Horton v.
Zant, 941 F.2d 1449, 1462 (11th Cir.1991) ( “Mitigating evidence, when
available, is appropriate in every case where the defendant is placed
in jeopardy of receiving the death penalty.” (emphasis added)).
Finally, I note that even in the absence of any
mitigating evidence of mental impairments, the jury vote recommending
the death penalty was ten to two, which is the minimum required to
recommend a sentence of death under Alabama law. See Ala.Code §
13A-5-46(f).FN16 Thus, in light of the compelling available mitigating
evidence in this case, coupled with the narrow margin by which the
jury rendered its recommendation of death, “there is a reasonable
probability that the result of the proceeding would have been
different,” Brownlee, 306 F.3d at 1069 (internal quotations and
citations omitted), had counsel performed effectively.
FN16. Alabama Code § 13A-5-46(f) provides: “The
decision of the jury to return an advisory verdict recommending a
sentence of life imprisonment without parole must be based on a vote
of a majority of the jurors. The decision of the jury to recommend a
sentence of death must be based on a vote of at least 10 jurors. The
verdict of the jury must be in writing and must specify the vote.”
V. Conclusion
In sum, I agree with the district court that there
was clear evidence available that Wood “suffers some of the same
limitations of reasoning, understanding, and impulse control as those
described by the Supreme Court in Atkins. [Thus, c]ounsel's failure to
investigate this issue at all or to present any of this evidence
seriously undermines our confidence in the application of the death
sentence.” Brownlee, 306 F.3d at 1073. As in Wiggins, Wood was
undoubtedly prejudiced by Trotter's “halfhearted mitigation case.” 539
U.S. at 526, 123 S.Ct. 2527. For the foregoing reasons, I agree with
the district court's finding that the state court's application of
Strickland to the facts of this case involved an unreasonable
application of clearly established federal law.
Holly Wood, 50.
Alabama's lethal injection chamber at Holman Correctional Facility in
Atmore, Al.
(AP Photo)