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Darrick Leonard GERLAUGH, Petitioner-Appellant, v.
Terry STEWART, Director of Arizona Department of
Corrections, Respondent-Appellee.
No. 95-99018.
United States Court of Appeals, Ninth Circuit.
Argued and Submitted May 23, 1997.
Decided Nov. 4, 1997.
Appeal from the United States
District Court for the District of Arizona; Roger G. Strand,
District Judge, Presiding. D.C. No. CV-85-01647-PHX-RGS.
Before: REINHARDT, THOMPSON and
TROTT, Circuit Judges.
Opinion by Judge TROTT; Partial
Concurrence and Partial Dissent by Judge REINHARDT.
TROTT, Circuit Judge:
As they rode together in Mr.
Schwartz's car, petitioner Gerlaugh, who was already on
probation for robbery, suddenly pointed a firearm at his host
and forced him to drive to a deserted area near Mesa, Arizona.
We borrow from the third opinion of the Arizona Supreme Court to
relate what petitioner and his confederates then did to rob Mr.
Schwartz not only of $37.00, but also of his life:
There, the three men forced the victim out of
his car. Petitioner pointed the gun at Schwartz and demanded
money. Schwartz grabbed the gun from petitioner. While
attempting to escape, the victim pointed the gun at Leisure and
pulled the trigger. The gun did not fire. "You fucked up"
petitioner exclaimed, "There's no bullets in the gun." The three
men knocked Schwartz to the ground, where they beat and kicked
him for ten to fifteen minutes. Petitioner then announced that
they would have to kill Schwartz to prevent him from identifying
them. Petitioner ordered Encinas and Leisure to hold Schwartz on
the road so he could run the victim over with the car. The
victim succeeded in dodging the car several times by diving into
an adjoining canal.
Petitioner finally ran over Schwartz with the
victim's Lincoln Continental and felt the impact of the victim's
body with the car. Petitioner ran over the victim two more times
and struck the victim's head with the car bumper at least one
time. At one point, petitioner positioned the car's left rear
wheel on top of Schwartz and floored the accelerator. Although
badly hurt, the victim was still alive and was writhing in pain
on the roadside. He began to plead with his assailants to tell
him the reason for their attack. Petitioner took a screwdriver
from the rear of the car and stabbed the victim in the head,
neck and shoulders at least twenty times. Leisure also stabbed
the victim ten to twenty times.
A pathologist testified that
these various assaults caused several injuries, any of which
would have been fatal. The victim suffered numerous fractures,
puncture wounds and internal injuries from his head to his
midsection. His entire body was covered with bruises and
abrasions. The three men dragged Schwartz's body off the road to
an adjoining field and covered it with alfalfa. Petitioner kept
all of the money taken from the victim.
The three men returned to the
road and drove away in Schwartz's car. When the car broke down,
they resumed hitchhiking. They were picked up by Harry Roche in
his pickup truck at about 2:00 a.m. Petitioner leveled the gun
at Roche and forced him to make an apparently random series of
turns. Finally, petitioner ordered Roche to pull off to the side
of the road. Roche at first refused and complained that the
roadside was too muddy at that particular point to stop. When
petitioner pointed the gun at his head, however, Roche stopped
the truck. Roche quickly put the truck in gear and sped away.
Petitioner later admitted that he intended to rob Roche.
State v. Gerlaugh, 144 Ariz.
449, 454, 698 P.2d 694, 699 (1985).
The police interrogated
petitioner Gerlaugh after his arrest, and he confessed to his
participation in these crimes. When asked how he felt after he
killed Mr. Schwartz, his chilling answer was, "How do you feel
when you kill game?" Id. He added that he did not feel bad at
all about killing the victim.
In a joint trial with Encinas,
a jury convicted Gerlaugh of armed robbery, kidnapping, and
first degree murder.1
In addition to receiving sentences of twenty-one years on the
armed robbery and kidnapping offenses to run consecutively with
a sentence of thirty-five years to life for violation of his
robbery probation, Gerlaugh was sentenced by the trial judge to
death for the murder.
Petitioner Gerlaugh's case
comes to us on appeal from a denial in the district court of his
petition for habeas corpus. His presentation to the district
court contained fifty claims, but here he advances only ten. We
have examined these claims and the voluminous record in this
case, and we find them to be without merit.2
Accordingly, we affirm the district court.
I
* Guilt-Phase Claims
Gerlaugh advances three claims
related to the guilt phase of his trial. The district court
examined each in detail and concluded that they lack merit. We
agree. Accordingly, we limit our discussion of them to a brief
explanation of why they fail in the context of federal
collateral review.
A.
Gerlaugh claims that the state
trial court committed "fundamental error by refusing to instruct
on lesser included offenses reasonably supported by the evidence,"
namely (1) second degree murder, and (2) theft. His theory of
defense, which was presented to the jury and covered adequately
by an instruction, was that his use of intoxicants negated the
specific intents required for the crimes with which he was
charged. As legal support for his argument, he refers us to Beck
v. Alabama, 447 U.S. 625, 100 S.Ct. 2382, 65 L.Ed.2d 392 (1980),
and Vickers v. Ricketts, 798 F.2d 369 (9th Cir.1986), which hold
generally that in a capital case, a court must instruct on every
lesser included offense for which there is in the evidence a
substantial factual basis. See also Hopper v. Evans, 456 U.S.
605, 611, 102 S.Ct. 2049, 2053, 72 L.Ed.2d 367 (1982) ("[D]ue
process requires that a lesser included offense instruction be
given only when the evidence warrants such an instruction.");
Spaziano v. Florida, 468 U.S. 447, 456-57, 104 S.Ct. 3154,
3160-61, 82 L.Ed.2d 340 (1984) (holding that court need not give
lesser included offense instruction where statute of limitations
had run on those offenses).
We note first that "[u]nder
Arizona law ... there is no lesser included homicide offense of
the crime of felony murder since the mens rea necessary to
supply the premeditation element of first degree murder is
supplied by the specific intent required for the felony." State
v. Arias, 131 Ariz. 441, 443-44, 641 P.2d 1285, 1287-88 (1982).
But more fundamentally, even if we were to assume that such
instructions as requested by the defendant should have been
given to the jury, we can discern no "substantial or injurious
effect or influence" from the failure to do so. Brecht v.
Abrahamson, 507 U.S. 619, 623, 113 S.Ct. 1710, 1714, 123 L.Ed.2d
353 (1993). Notwithstanding his use of intoxicants, the evidence
of Gerlaugh's actual intoxication was extremely weak, and the
evidence of his intent to kill, to rob, and to kidnap was
overwhelming-especially that coming from his own detailed
confession. In it, Gerlaugh acknowledged to Detective Weiss that
(1) his intent in hitchhiking was to commit robbery; (2) he
consciously made a decision "to kill Mr. Schwartz so as not to
be identified by him for the robbery;" (3) his intent in causing
the left rear wheel to spin on Mr. Schwartz's body was to kill
him; and (4) when the tire strategy failed, "[h]e exited the car
to go over and finish killing Mr. Schwartz." Gerlaugh also
acknowledged ending up with Mr. Schwartz's money and refusing to
share it with his partners. Thus, the critical elements of the
offenses with which Gerlaugh was charged were proved by
overwhelming evidence. Accordingly, this claim must fail.
B.
Gerlaugh's next claim, citing
Bruton v. United States, 391 U.S. 123, 88 S.Ct. 1620, 20 L.Ed.2d
476 (1968), and Cruz v. New York, 481 U.S. 186, 107 S.Ct. 1714,
95 L.Ed.2d 162 (1987), is that his Sixth Amendment right to
confrontation of witnesses was violated by the admission into
evidence of the confession of his nontestifying codefendant,
Encinas. We note first that Encinas's and Gerlaugh's confessions
were nearly identical. At the time Gerlaugh's conviction and
sentence became final, Parker v. Randolph, 442 U.S. 62, 75, 99
S.Ct. 2132, 2140-41, 60 L.Ed.2d 713 (1979), did not bar the
statements of codefendants from evidence so long as they were "interlocking."
Cruz altered this rule in 1987. Second, Gerlaugh has never
challenged the accuracy of his confession; in fact, he admitted
to the probation officer writing a pre-sentencing report for the
trial judge that it was correct. Accordingly, and assuming that
Encinas was unavailable to testify, under Cruz and Lee v.
Illinois, 476 U.S. 530, 545, 106 S.Ct. 2056, 2064, 90 L.Ed.2d
514 (1986), his confession was properly introduced as admissible
hearsay. But even if we assume that its admission was error, we
conclude that the error was harmless by any standard because the
codefendant's confession was thoroughly reliable and consistent
with Gerlaugh's own description of the homicide. Indeed,
portions of it were even helpful to him.
C.
Gerlaugh's third claim has to
do with the admission into evidence of (1) the admittedly
gruesome photos of the decedent, and (2) the testimony of Mr.
Roche, who evidently had been hypnotized prior to trial. On
examination of these issues, we conclude as did the district
court that they are not cognizable in this proceeding. Neither
allegation raises the spectre of fundamental unfairness such as
to violate federal due process of law. See Estelle v. McGuire,
502 U.S. 62, 67-68, 112 S.Ct. 475, 479-80, 116 L.Ed.2d 385
(1991) (federal habeas relief does not lie for state-law errors
but is limited to violations of federal constitutional rights).
Mr. Roche was unable notwithstanding the hypnosis to identify
Gerlaugh at trial, and the remainder of his testimony, which was
not about the murder of Schwartz, was virtually unchallenged.
II
Penalty-Phase Claims
A.
Gerlaugh's most vigorous claim,
one that divides this panel and requires our heightened
attention, is that the representation he received from his
appointed counsel in connection with the sentencing aspect of
his case was not only ineffective, citing Strickland v.
Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984),
but so defective that it was as though he had no counsel at all.
For the latter proposition, Gerlaugh directs our attention to
United States v. Cronic, 466 U.S. 648, 104 S.Ct. 2039, 80 L.Ed.2d
657 (1984). Cronic holds that if counsel fails to subject the
state's case to "meaningful adversarial testing," then prejudice
to the client will be presumed. Id. at 659, 104 S.Ct. at 2047.
These Sixth Amendment claims Gerlaugh brings against his lawyer
rest not only on what he says his counsel should have done but
did not, but also on what counsel did do but allegedly did very
badly. We note in passing that counsel for Gerlaugh was
certified in Arizona as a specialist in the practice of criminal
law. Gerlaugh's was his eighth death penalty case.
1.
The Failure to Call Witnesses
The first aspect of Gerlaugh's
ineffective assistance claim is that his counsel knew of but
failed to call as witnesses during the sentencing hearing three
people who could have related relevant mitigating sentencing
evidence to the court: Bertha Parkhurst, Helen Sanders, and
Ramona Button. This same claim was first examined in detail in a
post-conviction proceeding in State court. The post-conviction
proceeding included an evidentiary hearing and was conducted by
the same trial judge who had sentenced Gerlaugh to death.3
At the hearing, the three character witnesses in question
testified as to what they could have said had they been called
at the original presentencing hearing. In the main, the picture
they presented of the petitioner was of a boy who had taken care
of their children and pets without incident and who had
displayed to them at least no violent or unpleasant tendencies.
One of the witnesses buttressed her testimony with a vignette
about Gerlaugh avoiding and showing concern for a snail on which
he might have stepped, which suggests in context only that he
had more respect for mollusca than people. The witnesses had no
explanation for petitioner's recent brutal conduct which was the
subject of his trial. Gerlaugh's father was also called to
testify that, although he believed he was a good father, he was
a very strict disciplinarian.
The judge at the conclusion of
the post-conviction hearing found that this evidence was
insufficient to establish good character as a mitigating
circumstance. Moreover, Gerlaugh's trial counsel was aware
during the original trial of these cumulative witnesses and what
they had to offer, but he made a tactical decision not to bring
them into the case because of the questionable probative value
of their testimony. He believed the testimony could backfire
because it could indicate that although Gerlaugh was capable of
compassion, he reserved it for animals, not human beings.
Instead, trial counsel painted at sentencing a more direct and
sympathetic picture of his client by calling his parents to the
stand, and by interviewing six of petitioner's friends from
school and then causing brief summaries of the information
gleaned from them to be incorporated into petitioner's
presentence report as mitigating evidence. In fact, the parents'
testimony drew upon and incorporated in large measure what the
three witnesses would have said about their son.
Under the circumstances, we
believe that counsel's performance during this critical aspect
of the sentencing phase was not deficient. He did what he could
with what he had to work with, which was not much. Furthermore,
this particular allegation does not involve potentially
favorable evidence about which counsel was oblivious. Counsel
knew about the evidence and looked into it, but chose as a
tactical matter not to use it. A reasonable tactical choice
based on an adequate inquiry is immune from attack under
Strickland. 466 U.S. at 689-91, 104 S.Ct. at 2065-67.
In any event, even if we were
to assume to the contrary, we agree with the Arizona Supreme
Court and the district court that no prejudice can be shown
based on counsel's choice not to call these witnesses and to
proceed as he did. See Bonin v. Calderon, 59 F.3d 815, 823 (9th
Cir.1995), cert. denied, --- U.S. ----, 116 S.Ct. 718, 133 L.Ed.2d
671 (1996) ("[w]here the aggravating circumstances are
overwhelming, it is particularly difficult to show prejudice at
sentencing due to the alleged failure to present mitigating
evidence.").
2.
The Failure to Use Psychological Evidence
The second aspect of
petitioner's ineffective assistance claim is that counsel failed
as part of the sentencing process to develop and to use
psychological evidence on his client's behalf. In support of
this allegation, petitioner presented the testimony of Dr.
Thomas O'Brien, a psychiatrist, at the post-conviction
evidentiary hearing. On Gerlaugh's behalf, Dr. O'Brien testified
that petitioner suffered from a character or personality
disorder called sociopathy to the extent that petitioner's
capacity to conform to the requirements of the law was grossly
impaired. On the other hand, as the Arizona Supreme Court
remarked,
The unsavory portrait of petitioner that
emerges from Dr. O'Brien's testimony is that of a remorseless,
bullying sociopath who victimizes others merely for the macho
thrill of proving his "superiority" to his victims and his
contempt for society's laws. According to Dr. O'Brien,
petitioner killed for the status he received by being able to
escape the consequences of his actions. Thus, petitioner bragged
about stealing money from his own family because he was able to
get away with the theft.
144 Ariz. at 459, 698 P.2d at
704.
For four reasons, we discount
the effect of counsel's failure to develop "Dr. O'Brien's
testimony" (or its equivalent) prior to petitioner's sentencing.
First, as held by the Arizona
Supreme Court, the evidence of petitioner's "mere character or
personality disorder like sociopathy is not alone sufficient to
constitute a mitigating circumstance." Id. (citing State v.
Richmond, 114 Ariz. 186, 197-98, 560 P.2d 41, 52-53 (1976)).
Second, although such
psychiatric evidence is normally relevant and admissible because
it may suggest some reason other than the disorder itself why
the defendant should be treated with leniency, the trial judge
hearing this evidence at the post-conviction hearing held that
it did not establish a mitigating circumstance. The Arizona
Supreme Court on review agreed with this conclusion.
Parenthetically, the trial judge remarked during the post-conviction
hearing that the picture painted by Dr. O'Brien of Gerlaugh
conflicted dramatically with the evidence presented by
Gerlaugh's three character witnesses referred to earlier in this
opinion:
THE COURT: (To counsel for Gerlaugh) You
really think it is ineffective assistance of counsel not to put
on the psychiatric testimony and then to put on the lay
witnesses who directly contradict everything the psychiatric
testimony stood for? You find that to be ineffective when you
have to make that choice? See, because this Court is absolutely
convinced that those lay witnesses absolutely have contradicted
everything Dr. O'Brien testified to. They said he was a
perfectly law-abiding citizen. He was nonviolent. He was not
sociopathic. He was kind to animals. He followed the rules. He
did everything he was-he followed through. He didn't need
instant gratification. He took care of the dogs. He did all the
things that Dr. O'Brien said his personality precluded him from
doing.
Now, what do I do with that?
Mr. Foreman, why don't you help me?
MR. FOREMAN: Respectfully, I would disagree
completely that their testimony is in any way inconsistent with
Dr. O'Brien's testimony. As you heard from Dr. O'Brien-
THE COURT: He's either a nice, loving,
dedicated, conscientious young man who follows through, or he's
a sociopathic personality. The two are absolutely inconsistent.
And at the same period in his life, Mr. Foreman. That's why I
raise the question, so you could help me understand where I'm
missing something.
MR. FOREMAN: The problem here is one
primarily of time. If you will look at the testimony you will
find that the opinions that were expressed by Miss Parkhurst and
by the other witness that we presented at the earlier hearing-
THE COURT: Miss Sanders.
MR. FOREMAN: Yes, Inez Sanders. Were based
upon an extended period of time; years of involvement with the
defendant.
Dr. O'Brien's testimony is
based upon an evaluation conducted within the last year. And-
THE COURT: But his opinion relates back to
the date of the offense.
MR. FOREMAN: Relates back to the offense. And
he spoke about how Darick developed. Darick developed-
THE COURT: Did I misunderstand Miss Parkhurst
saying that six months prior to this arrest, he was still
handling the dogs? Or did I not hear the tape correctly?
MR. FOREMAN: You heard the tape correctly.
THE COURT: Okay.
(Emphasis added).
Third, petitioner specifically
had informed counsel before trial and with the full knowledge
that his life was in the balance that he "did not want to
undergo a psychological examination because he did not want
someone prying into his mind. Petitioner never indicated to
defense counsel any time thereafter that he changed his mind
about this decision." 144 Ariz. at 459, 698 P.2d at 704. Here is
what counsel had to say about this issue during the State post-conviction
hearing:
Q. But prior to trial did you
discuss with them (sic) the probability of his seeing a
psychiatrist?
A. Yes.
Q. And, are you saying that he
refused to see a psychiatrist?
A. Yes. He did not want
psychiatric involvement in the case.
We note that Gerlaugh has
never challenged this testimony. Petitioner's personal wishes in
this regard are entitled to respect. See Jeffries v. Blodgett, 5
F.3d 1180, 1197-98 (9th Cir.1993) (counsel not ineffective for
acquiescing in defendant's wishes regarding the nature of his
defense); Bonin v. Calderon, 59 F.3d at 834 ("[T]he presentation
of expert [psychiatric] testimony is not necessarily an
essential ingredient of a reasonably competent defense."). In
addition, the trial judge in the post-conviction proceeding
entered a finding of fact that "Petitioner had failed to
establish that he was willing to have psychiatric testimony
presented at the sentencing hearing." About this issue, the
Arizona Supreme Court said:
The Supreme Court has indicated that an
attorney's decisions concerning representation can properly be
influenced by his client's wishes. See Strickland v. Washington,
supra, 466 U.S. at 690-93, 104 S.Ct. at 2066-67, 80 L.Ed.2d at
695-96. A defense attorney's deference to his client is
especially appropriate where the defendant has a privacy
interest at stake. Cf. 17 A.R.S. Rules of Criminal Procedure,
rule 15.2(a)(8) (defendant cannot be forced to submit to a
psychiatric or psychological examination). Defense counsel is
obligated to insure that his client is aware of the consequences
of such a decision. Petitioner has not, however, shown that
trial counsel failed to render adequate advice regarding this
decision.
Additionally, the record reveals that trial
counsel suggested to the trial court at sentencing that a
psychiatric examination of petitioner would be helpful in
deciding punishment. Trial counsel conceded, however, that
failure to order such an examination would likely not constitute
reversible error. The trial judge rejected this suggestion.
144 Ariz. at 459, 698 P.2d at
704. We agree.
Appellate counsel for Gerlaugh
and our respected colleague in dissent fault trial counsel-in
what sounds like a new rule precluded by Teague v. Lane, 489
U.S. 288, 109 S.Ct. 1060, 103 L.Ed.2d 334 (1989)-for not
revisiting with his client the issue of such an examination
after conviction and during the preparation for sentencing. The
argument is that trial counsel should have pressed his client on
this issue and tried to get him to change his mind. Trial
counsel has no recollection of having made such an attempt. But
even if we were to regard such a lapse as a mistake, it would be
of no consequence in this case because we know what counsel
would have found, and, on balance, we judge it to be potentially
more harmful to petitioner than it could have been of
substantial assistance in avoiding the death penalty. As the
trial/post-conviction hearing judge and then the Arizona Supreme
Court remarked, Dr. O'Brien's testimony revealed petitioner to
be a person who associated with "wild companions" and who "sought
out the company of lawbreakers for the thrill of hurting others
and then escaping the consequences of his actions." 144 Ariz. at
461, 698 P.2d at 706. We agree with the Arizona Supreme Court
that this evidence has "obvious countervailing tactical dangers
for petitioner." Id. at 459, 698 P.2d at 704. In its best
possible light, it is a basket of cobras. Accordingly, we can
identify no prejudice flowing from counsel's failure to develop
Dr. O'Brien's testimony. Had counsel pressed his client and
discovered this information, it is highly likely that the
damning report would have remained confidential. See Bonin, 59
F.3d at 834-36 (the use of expert psychiatric testimony opens
the door to powerful cross-examination and rebuttal).
Parenthetically, given this
court's approach to a lawyer's introduction of potentially
damaging evidence against his own client, one would certainly
understand the reluctance of counsel to introduce any two-edged
swords into a case. See Wade v. Calderon, 29 F.3d 1312, 1323
(9th Cir.1994) (the introduction by counsel of damaging
testimony against a client suggests ineffective assistance of
counsel). Had trial counsel introduced Dr. O'Brien's testimony
into this case, no doubt we would be hearing now a claim based
on Wade that it was a serious mistake for counsel to have
informed the sentencing court that his client was a remorseless
predatory bully who victimized innocent people for thrills and
who killed for status. Only in an appellate context can a lawyer
safely reveal such unflattering evidence about his client
without immediately damaging him, and this is because on this
issue, the lawyer is on trial, not the client.
Fourth and finally, to send
this case back to the state trial court to hear the evidence
counsel failed to develop or to introduce-including the three
witnesses as well as the doctor-would be a looking-glass
exercise in folly. The trial and sentencing judge has already
considered all of this information in the post-conviction
hearing and has held that none of it would have altered his
judgment as to the proper penalty for Gerlaugh. And, the Arizona
Supreme Court looked at the substance and results of the post-conviction
proceeding and affirmed the trial judge in all respects. In
effect, petitioner has already had what he is asking for-consideration
in a formal hearing of this evidence. We respectfully decline to
order the State courts to do again what has already been done.
Petitioner does argue that
because the trial judge was being asked at the post-conviction
hearing to change his final judgment, he should have been
disqualified. This argument is facially unsound. "It has long
been regarded as normal and proper for a judge to sit in the
same case upon its remand, and to sit in successive trials
involving the same defendant." Liteky v. United States, 510 U.S.
540, 551, 114 S.Ct. 1147, 1155, 127 L.Ed.2d 474 (1994). If
fashioned into a rule, Gerlaugh's argument would result in
unnecessarily dislodging trial judges from post-conviction
proceedings on the false assumption that trial judges are not
capable of doing what the law requires. In our court, we have on
rare occasion remanded cases to different trial judges, but
never in circumstances as benign as presented in this case. Such
a new rule of constitutional command not only makes no sense,
but could not in any event apply to Gerlaugh. See Teague v.
Lane, 489 U.S. 288, 109 S.Ct. 1060, 103 L.Ed.2d 334 (1989) (a
new constitutional rule of criminal procedure may not normally
be applied to cases on collateral review). We cannot identify
any fault with Arizona's rule that assigns post-conviction
review matters to the original trial judge. See State ex rel.
Corbin v. Superior Court, 138 Ariz. 500, 503, 675 P.2d 1319,
1322 (1984) (enforcing rule).
3.
The Failure to Plead for Leniency
We move now to a
nonevidentiary aspect of counsel's sentencing phase performance,
the claim framed in Cronic terms that counsel's oral argument to
the sentencing judge was so weak and deficient that, in effect,
Gerlaugh was left without the Sixth Amendment representation to
which he was entitled. Appellate counsel argues that this
alleged failure to beg for leniency is presumptively prejudicial
and requires a reversal, regardless of an absence of
demonstrable prejudice. The argument is tantamount to a claim
that such a discrete deficiency, although a trial error, is
structural and thus evades harmless error analysis.
At the outset, although we
have discussed each aspect of Gerlaugh's claims against his
lawyer separately, we do not believe it to be appropriate to
segregate counsel's oral presentation on behalf of his client at
the sentencing stage of the proceeding from the other measures
taken on his behalf. Under the Cronic test, it is the totality
of his efforts that we must examine, not just part of them in
isolation. "[S]pecified errors made by counsel ... should be
evaluated under the standards enunciated in Strickland." Cronic,
466 U.S. at 666 n. 41, 104 S.Ct. at 2051 n. 41. Accordingly, we
examine the steps taken by counsel on Gerlaugh's behalf to try
to protect his client from the death penalty; and we begin with
counsel's explanation of his approach and strategy as he
testified during the post-conviction hearing:
Q. Okay. Now, after Darick was
found guilty of the first-degree murder, obviously the next step
was to prepare for the aggravation/mitigation hearing; is that
correct?
A. Yes.
Q. Did you ask either Darick
Gerlaugh or any of his family members about possible sources of
mitigating evidence?A. Yes.
Q. And what did you do to try
to develop mitigating evidence?
A. As I recall, I asked Darick
and his family, that being his father and mother, for the names
of people that I might contact or interview who would be
available to testify in his behalf. This was a case of a great
deal of concern to me because I was of the opinion that Darick
being convicted of the crime would, without doubt, be sentenced
to death.
So in order to make an attempt
to save Darick's life, so to speak, and not have him sentenced
to death, I was actually looking for mitigating witnesses who
would find something unique about Darick. By that I mean that
they knew something personal about him that was either a
physical ailment or a mental problem that had gone untended to
that may have created some problems with Darick that then
created the situation that he got himself into in the murder of
Scott Schwartz.
So I wasn't real pleased with
the information I got back, because it all surrounded the--what
I just termed the good guy syndrome. In other words, people had
good things to say about Darick. You know, he was an enjoyable
person. I believe someone said that he--I hope this is correct--that
he babysat for their child and they had no problems leaving him
with the child, that type of thing.
But I found no one who could
come up with something unique that would help me fit him into a
mitigating circumstance, a legal mitigating circumstance by law.
Q. In your criminal law
practice, how many death penalty cases do you think you've
handled, or potential death penalty cases?
A. Eight, I believe.
Q. And how many of those
defendants actually received the death penalty?
A. Including Darick, there is
John Adamson, and Robert Cruz received the death penalty, but
his case has been reversed and he is now off of death row.
Q. And you said that you
thought that this was a definite death penalty case. What made
you arrive at that conclusion?
A. The manner in which the
evidence came out at trial was basically establishing all of the--or
a good many of aggravating circumstances that the statute
covers. That my client had a prior conviction, which was a
robbery, for which he could have been sentenced to life. That
the killing was done with the expectation of some gain. That the
killing was done in an especially cruel and heinous manner.
Those things came out, not
only from the basic evidence in the trial, for example, the
medical examiner, but also from the confession that Darick had
given. Based on knowing what the statute called for and how
Darick fit into that particular situation, I had no doubt that
unless I could come up with something substantial that he would
be given the death penalty.
Q. Prior to the trial itself,
did you give any thought to--or did you explore or think about
possibly an insanity defense?
A. In looking at that
situation, I do recall talking with Darick about a psychiatrist,
about psychiatric testimony. But I found--Darick was a very
cooperative client. In my estimation he was a good client,
someone that would help me and not just hinder me and give me
problems as we went through the case.
But this one point I didn't
find unusual, and that point is that Darick did not want a
psychiatrist involved in the case. The reason I didn't find that
unusual, I had represented other people who were Indian, that
didn't want people prying into their minds. And I understood
what Darick was saying about that.
It was obviously important to
me because, very frankly, this case had no factual defense. It
was a case of a legal defense, trying to get the confession
suppressed. And if I--in my opinion, if I had been successful in
getting the confession suppressed, there was not sufficient
evidence to convict Darick.
Q. Was there anything that you
saw prior to trial that would have led you to believe that an
insanity defense might be a viable defense?
A. No.
At the presentencing hearing
conducted on February 4, 1981, counsel began on his client's
behalf by attacking the applicability of two of the aggravating
circumstances. He argued that because Mr. Schwartz's money was
taken after the killing, no robbery had occurred. Counsel also
argued that notwithstanding the gruesome evidence adduced at the
trial, the killing of Mr. Schwartz was not cruel or heinous as
compared to other murders because no evidence was offered that
Gerlaugh and his companions intended Mr. Schwartz to suffer, or
that he was tortured. Counsel argued that although the evidence
taken in the light most favorable to the prosecution
demonstrated "an intent to kill this person[,] ... [t]here was
no attempt to try to torture this person. Any of the acts that
you may find to be atrocious was simply meant to murder the
victim and not to actually make him suffer prior to then making
the decision to simply kill him." Strongly implied in this
argument, of course, is counsel's position that the death
penalty was not appropriate for his client.
Counsel then called to the
stand Gerlaugh's parents, both of whom testified in mitigation
that their son had been while growing up a model baby-sitter; a
companion to an elderly woman; a Cub Scout; a squad leader in
the Boy Scouts "moving to an Eagle Scout"; especially kind to
animals, dogs, and guinea pigs; a normal family member; good to
his sister; a worker; but also someone who seemed to fall under
the bad influence of his codefendant, Matt Leisure, and then
marijuana.
We reiterate here that prior
to the presentencing hearing, counsel asked his client and his
client's family for a list of witnesses who would be willing to
testify on Gerlaugh's behalf. The record shows that he tracked
down these leads, caused them to be interviewed, and then called
to testify the witnesses he believed would be most helpful. He
submitted materials regarding the others to Mr. Ed Delci of the
Adult Probation Department so that Mr. Delci could include their
statements in a supplemental presentence report.
Moreover, counsel vigorously
took exception to the conclusions in Mr. Delci's written work to
the effect that Gerlaugh showed no remorse for his criminal
behavior. Counsel argued directly to the court on behalf of
Gerlaugh that Mr. Delci's report was defective, that his client
did accept responsibility for what he had done, and that he did
demonstrate remorse in his own way. Furthermore, counsel
emphasized his client's age as "one large mitigating factor" in
connection with court's decision as to his sentence and
assaulted Mr. Delci for not doing a thorough job. Here is what
counsel had to say in this connection on behalf of his client.
MR. FELDHACKER: Thank you. One
of the basic reasons I wanted to make some comments today as
opposed to waiting is because I have had an opportunity to talk
to Ed Delci who is doing the presentence report or who did the
presentence report.
THE COURT: The record may show
he is present, I believe.
MR. FELDHACKER: Fine. It was
my impression that an additional or supplemental report was
going to be prepared or, at least, additional information was
going to be given to the Court. I forwarded just a brief
synopsis of some interviews of some people who had contact with
Darrick and was concerned that they be made available to the
Court through the Probation Department. Mr. Delci did ask me if
I had a written-type recommendation to give as [the prosecutor]
Mr. Imbordino did, but I advised him that I did not and that I
would simply make my remarks to the Court. So, I am hoping--I
only have one copy of that with me. It has some notes on the
back so I can't provide the Court with it today, but, perhaps,
if he has received it and is able to provide the Court with it,
fine. If not, I will get another copy to the Court.
THE COURT: I will only state
that the Probation Officer does not have it. I will have my
bailiff make a copy of it before you leave today so I will have
it.
MR. DELCI: I don't have it
with me. The preparation of the supplemental report is in
progress. It will be available, including the materials that
have been received.
MR. FELDHACKER: Fine. Thank
you. I thought there was one forthcoming.
I am not sure, of course, what
all is going to be in the supplemental report, but there is a
couple of things that struck me as I read through the report and
it concerned not only the report that's before the Court at this
time, but also the presentence report that was written as to my
client on his previous conviction of the robbery charge.
And, that was that in both
cases the presentence officers have indicated that they saw no
particular remorse in my client for either of the acts, for
example, this homicide that occurred or for the robbery that
occurred in the past.
I think in the reports, in
reading them, they show, obviously, that my client is accepting
the responsibility of what occurred and what his acts were. But,
again, they simply relate in their opinions a lack of remorse.
The thing that concerned me
about that is just to tell this Court that there is no remorse.
I thought, surely, someone might want to go a little deeper in
that or into that or are we just saying, everyone must show
remorse in the same way that, perhaps, you and I might expect
someone to, by either expressing outwardly the sorrow or by, you
know, outwardly showing physical appearances of remorse; crying,
whatever.
And, it seems to me a little
superficial just to say that I see the facts of this case. It is
a brutal killing. It is a atrocious killing and, therefore, he
must receive the death penalty. I don't know if the Court had
any further questions about, you know, who is Darrick Gerlaugh,
what brought him to this point to let me decide whether or not
he should live or die. We know, obviously, one large mitigating
circumstance to Mr. Gerlaugh has is his age. The Court can take
that into consideration, but I think that is the only obvious
one, that I have a young client. And, he was young at the time
of the commission of this act. But, I really found nothing and,
again, I don't know if the Court wanted any more, but it
disturbed me to the point to where I wanted to address myself to
it. That I think there should be something more before this
Court. Whether it is incumbent upon people who find my client
has no remorse to say, I think, perhaps, he should be looked at
so we can get, possibly, a psychiatric evaluation to determine
whether or not, you know, what his makeup is, whether or not
there is a remorseful situation involved here and what brought
him to commit the acts that occurred. There just doesn't seem to
be anything, at all, about that.
I didn't feel and I still
don't, that I am in a position to tell this Court that my client
needs psychiatric evaluation for understanding what is going on
during his trial, understanding what is going on today or what
will go on at his sentencing, because I know he does understand.
He knows by his communications with me what these proceedings
are and why they are occurring. And, yet, I just wanted to
address myself to that as to whether or not the Court is going
to consider that it wants or desires that further information--I
am not telling you that I think there is a legal ground for it,
I am not saying that I think that it is error for this Court to
sentence him without that type of further information, but I was
also disturbed on the fact that there was no contact with my
client's family, no attempts to go out and see something more.
Is there something more to give to this Court as far as
mitigating circumstances of my client?
That is my job. I have done as
best as I can. It is a decision. Many people are aware of the
facts of this killing and are concerned about giving the Court
further information.
THE COURT: I was going to
inquire. Isn't that one of the purposes of this hearing, to
enable the defendant to bring forth to the Court any of the
information that he feels has not been presented?
MR. FELDHACKER: Absolutely,
without a doubt, that is why I am saying, that is my
responsibility here today, as well. But, again, I think we all
have in the Probation Department as well as defense counsel to
give this Court as much information as they can about the person.
And, really, those are the
only comments I have at this time as far as just making the
Court aware of my feelings as to whether or not the Court might
want further information on this particular case based on the
fact that I think that, you know, reading the probation report,
it seems to be a terrible crime in that I have never seen
anything this bad before. Everyone recommends death, therefore,
obviously, there is nothing good to say. That's the end of it.
I just believe that as an
officer of the Court, which I am, which the Probation Officers
are, there is a little greater obligation there as opposed to
simply saying, my client has no remorse.
I can stand here and tell you,
Your Honor, about any remorse my client may have, but, again,
Mr. Imbordino can stand up and say, he has never shown any, so,
he doesn't have any. Those are just words that are coming from
people that are deeply involved in this and I, really, believe
that if this Court thinks that it's decision may tip, at all, on
whether or not my client is simply so cold-blooded and committed
a cold-blooded murder or had a remorseful situation, whether it
be right afterwards or at this point in time, then I think the
Court might consider asking for a psychiatric evaluation and
testing.
THE COURT: Certainly, I would
be happy to listen to anything you have to say regarding your
opinions or expressions on remorse you, certainly want to inform
the Court of.
MR. FELDHACKER: A lot of times
there are real problems when we address the Court in an attorney-client
relationship-
THE COURT: I understand.
MR. FELDHACKER: It makes it
difficult. Today I don't have anything that I am going to say to
the Court about that, and -
THE COURT: If what you are
telling me is that not all people show remorse in the same ways
-
MR. FELDHACKER: I sincerely
believe that.
THE COURT: I, certainly, might
be inclined to agree with that statement.
MR. FELDHACKER: That is all I
have, Your Honor.
THE COURT: Mr. Imbordino.
MR. IMBORDINO: Your Honor, the
only thing I would address myself to at this time would be the
comment that Mr. Feldhacker on his client's remorse stated.
I think that is apparent, the
lack of remorse, is apparent from the statements that he made to
the Probation Officer in preparation of the report. The report
refers to the statements made by the defendant at the time he
was arrested, when he was asked the question by the police
officers, how he felt about killing Mr. Schwartz. And, Mr.
Gerlaugh said, "It was just like killing an animal." He showed
no remorse at that time to those police officers.
He was questioned by the
Probation Officer on the same thing and, apparently, showed the
same lack of reaction, the same lack of remorse.
All I can say is that if he
felt it, I don't know whether it is important to this Court,
whether or not he feels remorse, but he, certainly, has had an
opportunity to express it and he didn't do so.
I, specifically, during the
trial did not bring out those very statements of the defendant
because I felt since I was trying two defendants at the same
time I didn't want to unduly prejudice Mr. Encinas with the
remarks of Mr. Gerlaugh, but I think it is evident from the
report that they were made and Mr. Gerlaugh has admitted to
making them.
THE COURT: Mr. Imbordino, I
will only say this, that in matters of this nature I cannot
conceive of anything more serious. Every factor is important to
this Court and the Court is going to make its determinations
based on all the information I have available to me and in
accordance with the statutes.
On the judgment day, counsel
made another attempt to derail the death penalty by waiting
until sentence had been imposed on the non-death charges and
then interrupting with a claim of double jeopardy.
THE COURT: No legal cause appearing, as to
Count One [armed robbery], it is ordered that you be committed
to the Department of Corrections for a period of 21 years. As to
Court Two [kidnapping], it is ordered that you be committed to
the Department of Corrections for a period of 21 years. The
sentencing on each count shall run concurrently; however, for
the reasons that I have just stated as to aggravating
circumstances, the sentences as to Counts One and Two shall run
consecutively to the sentences imposed in cause number 103047,
and as to Counts One and Two in cause number 110814, you shall
be given credit for 377 days that you have served in
incarceration prior to sentencing.
As to Count Three, no legal
cause appearing-
MR. FELDHACKER: Judge Brown, as to Count
Three, I think I would like to state something as to legal cause
on that.
THE COURT: Proceed, please
MR. FELDHACKER: For the record, I believe
that now that the Court has entered judgment of guilt and
sentence as to Counts One and Two, the Court is now prohibited
from sentencing my client on Court Three, Harris v. Oklahoma,
which is 433 U.S. 682, 97 S.Ct. 2912, 53 L.Ed.2d 1054, a 1977
case wherein the case clearly shows that a conviction for a
felony murder bars a trial even for underlying felonies. What
they are talking about of course is that where you have a case
where someone is charged with armed robbery and then also
charged with a murder felony that you cannot try and convict
them on all of those counts.
This court might be well aware
of the fact that I made a record many times on the fact that
this Court should consider demanding prosecution elect which
theory he was going to the jury under, whether it was
premeditated murder or murder felony. This Court did not do that.
I then later asked the Court
to give the jury separate forms of verdict so that we would know
what kind of verdict they came back with, whether it was
premeditated murder or whether it was murder felony.
This Court did not do that,
therefore, again I think we are left in a dilemma that I think
must be resolved in favor of my client wherein the Court by
virtue of double jeopardy cannot now sentence my client on
murder first degree since the Court has sentenced him on the two
lesser underlying cases of armed robbery and kidnapping, all
arising out of the same circumstance.
That's all I have as far as
the record is concerned, Your Honor.
THE COURT: Mr. Imbordino.
MR. IMBORDINO: I have no reply on it, Your
Honor.
THE COURT: I take it this amounts not only as
objection to the legal cause from proceeding with sentencing,
but in effect a motion to dismiss at this point the finding of
guilt and judgment of guilt entered by the Court and to that
extent, your request and motion is denied.
The Court will proceed with
sentencing as to Court Three.
Although this attempt failed,
it conclusively demonstrates that counsel had neither deserted
nor forsaken his client, and that as an adversary he was
reaching for everything he could think of, even straws. We note
that a similar claim of double jeopardy was filed as Claim 7 in
the district court as part of this petition, but abandoned on
appeal. We are not satisfied in Cronic terms that counsel "entirely
fail[ed] to subject the prosecution's case to meaningful
adversarial testing." 466 U.S. at 659, 104 S.Ct. at 2047.
Gerlaugh argues that his trial
counsel was required by the Sixth Amendment to ask the
sentencing court for leniency. This claim has no merit. When we
examine as we must this alleged nonstructural deficiency for
prejudice, we see clearly that no amount of theatrics could have
made any difference in this case. Darrick Gerlaugh sentenced
himself to death when, while on probation for robbery, he
mounted and led a savage and relentless attack on Scott Schwartz
designed to kill his victim and to save himself from prison.
Gerlaugh knew full well from previous experiences with the law
what awaited him if he left a live victim behind. When a vicious
beating couldn't accomplish his merciless objective, Gerlaugh
used Mr. Schwartz's own car to run him down, over and over. One
can only imagine the terror Gerlaugh's helpless and outnumbered
target must have felt as he scrambled for his life on that
lonely road. But ramming Mr. Schwartz with a moving vehicle was
not enough either, so Gerlaugh decided to shred him to death by
placing the car's tire and its weight on him, while Mr. Schwartz
was still alive, and then popping the clutch. How Mr. Schwartz
managed to survive this brutality is hard to comprehend, but he
did. A single-minded Gerlaugh, however, was not finished. As Mr.
Schwartz pleaded for his life, Gerlaugh located a screwdriver
and repeatedly plunged it into Mr. Schwartz's face and neck
until he drained him of his courageous hold on life and his
tenacious will to survive. One need not ponder at length to
realize what fate awaited Mr. Roche had he not escaped. Live
robbery victims were not on Gerlaugh's agenda, especially those
who could place him in the vicinity of the Schwartz murder.
Against this barbaric behavior,
Gerlaugh could muster no substantial mitigating circumstances,
and he has been unable to do so to this date notwithstanding the
dogged efforts of his able attorneys. The best his parents could
do was suggest that in his younger days, he had been kind to his
elders, to dogs, and to rodents. To review this scenario and to
examine the photographs of the screwdriver wounds on Mr.
Schwartz's battered and mutilated corpse, all for $37.00, leaves
us with a thorough understanding of why the trial court said, "The
crime and particularly the manner of its commission was
shockingly evil and grossly bad as well as being marked by
debasement and precision.... This offense absolutely
demonstrates the defendant's total lack of regard for human life
or human suffering." In turn, the Arizona Supreme Court said in
its independent review of the evidence regarding aggravating and
mitigating circumstances:
It is obvious that the
evidence in this case takes it far beyond the norm in homicides.
The imposition of the death penalty here cannot be characterized
as an arbitrary and capricious imposition of that penalty. As
this case appears to be an example of the most extreme factual
situations with virtually no mitigation, no useful purpose would
be served in comparing, discussing or citing other homicide
cases.
We affirm the imposition of
the death penalty.
State v. Gerlaugh, 135 Ariz.
89, 90, 659 P.2d 642, 643 (1983).
Given all of this, we are
confident that no plea for mercy or leniency on Mr. Gerlaugh's
behalf, indeed no oral argument on his behalf, could have
altered what Mr. Gerlaugh himself set in motion. Even Gerlaugh's
age does not help him because he was adjudged mature by the
trial court. Under Arizona law, the implications of the age of a
defendant are considered in the light of his prior criminal
history. In discussing whether Gerlaugh's age was a substantial
mitigating factor, the Arizona Supreme Court noted that
Petitioner had previously been convicted of
armed robbery at the age of 17. Four days before the murder in
this case, petitioner participated in a similar armed robbery,
kidnapping, and attempted murder with codefendant Matthew
Leisure. See State v. Gerlaugh [Memorandum Decision, No. 1 CA-CR
5309, filed June 10, 1982]. Petitioner and Leisure forcibly
entered the car of Tobin Gentry at gunpoint. After driving to an
isolated desert location, the victim was forced to lie on his
stomach. Petitioner told Leisure to "do a good job, make sure"
and Leisure then pumped four bullets into the victim's back.
144 Ariz. at 461, 698 P.2d at
706 (brackets in original). Parenthetically, this incident gives
considerable substance to Gerlaugh's analogy of killing game to
killing people.
Accordingly, Gerlaugh can show
no prejudice from his attorney's sentencing performance, and "no
substantial and injurious effect or influence" from anything
counsel did or did not do. Brecht v. Abrahamson, 507 U.S. at
623, 113 S.Ct. at 1713-14. Even without the deference or the
presumption of adequate assistance mandated by Strickland, 466
U.S. at 690, 104 S.Ct. at 2065, we cannot identify any aspect of
counsel's performance that "so undermine[s] the proper
functioning of the adversarial process that the trial cannot be
relied on as having produced a just result." Id. at 686, 104
S.Ct. at 2064. Faulting counsel for failing to plead for his
client's life would inject a mandatory element requirement into
final argument, which is not evidence, and would "narrow the
boundaries of acceptable argument style too much." Hendricks v.
Calderon, 70 F.3d 1032, 1045 (9th Cir.1995), cert. denied, ---
U.S. ----, 116 S.Ct. 1335, 134 L.Ed.2d 485 (1996). As the
Supreme Court said in Cronic, "If there is no bona fide defense
to the charge, counsel cannot create one and may disserve the
interests of his client by attempting a useless charade." 466
U.S. at 656 n. 19, 104 S.Ct. at 2045 n. 19.
4.
Summary
In conclusion, regarding the
evidentiary aspect of counsel's performance in connection with
his client's presentencing hearing, we find no separate or
cumulative deficiencies, but even assuming the worst, no
prejudice. Moreover, given the facts and circumstances of this
case, counsel's overall performance at the sentencing proceeding
was not deficient either. Compare Cooper v. Fitzharris, 586 F.2d
1325, 1333 (9th Cir.1978) (observing that "prejudice may result
from the cumulative impact of multiple deficiencies"). But again,
even if we look at it in the worst possible light, we are unable
to discover any prejudice to Gerlaugh. See Strickland, 466 U.S.
at 687, 104 S.Ct. at 2064. He is unable to show that absent the
"errors" of which he complains, "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. The hard record had been made, the die had been cast, and
we cannot conceive of any rhetorical flourish that could have
made a difference. As we see the record, counsel's task was
virtually impossible. He did not abandon the defense of his
client, and he did the best he could with a horrific case. His
performance during the guilt phase was vigorous and intelligent.
If the mouthpiece has no trumpet, blowing with all one's might
will not tear down any walls.
B.
Petitioner contends next that
the statutory aggravating factor of an "especially heinous,
cruel, or depraved" homicide, used to support Gerlaugh's
sentence of death, see A.R.S. § 13-703(F)(6), is too vague to
survive scrutiny under the Constitution, and that it had not
been given an adequately narrow construction by the Arizona
Supreme Court prior to this case which would enable it to escape
this defect. In the vernacular of the profession, this issue has
come to be known as the (F)(6) issue. See Walton v. Arizona, 497
U.S. 639, 690, 110 S.Ct. 3047, 3076-77, 111 L.Ed.2d 511 (1990) (Blackmun,
J., dissenting). However, it is no longer novel and has been
authoritatively settled not only by the Supreme Court in Walton,
but recently by this circuit in Woratzeck v. Stewart, 97 F.3d
329, 333 (9th Cir.1996): the Arizona Supreme Court adequately
narrowed the (F)(6) factor not in 1983 in State v. Gretzler, 135
Ariz. 42, 659 P.2d 1 (1983), but in earlier cases decided prior
to 1978. See State v. Mata, 185 Ariz. 319, 324, 322-327, 916
P.2d 1035, 1040, 1039-43 (1996) ("Gretzler did not present a new,
narrower interpretation of the (F)(6) factor, but simply a
digest of the previously legitimate applications of the
factor."). Thus, because Gerlaugh's final sentencing occurred
after Gretzler, we are satisfied that he received the benefit of
the properly narrowed construction of the (F)(6) factor as
approved by the Supreme Court in Walton. Finally, the record
demonstrates that petitioner's assertion that there was no
adequate finding of the (F)(6) aggravating factor is plainly
without merit. Both the trial court and the Arizona Supreme
Court adequately addressed this requirement.
C.
As to a second aggravating
factor that the offense was committed for pecuniary gain, see
A.R.S. § 13-703(F)(5), petitioner complains (1) that the
evidence adduced at the trial did not support the finding, (2)
that the facts relevant to this factor were inappropriately
considered as to both the (F)(5) and the (F)(6) factors, and (3)
that the Arizona Supreme Court "wholly dispensed with conducting
an independent review" of this factor. The record does not
support these allegations. We note as did the district court
that the sentencing court said the following in a special
verdict:
5. Based upon the recent decisions of the
Supreme Court of Arizona interpreting this aggravating
circumstance and the fact that the evidence at trial clearly
shows that you intended to obtain and did obtain money from the
victim as well as the victim's automobile, the Court finds that
the defendant did commit the offense as consideration for the
receipt or in the expectation of the receipt of something of
pecuniary value.
This finding is clearly
supported by the petitioner's confession and was adequately
reviewed and affirmed on appeal. Moreover, the question of
double counting not only is not supported by the record, as
observed by the district court, but is a matter of state law and
not cognizable in this forum.
D.
A third aggravating factor
rendering Gerlaugh eligible for the death penalty is his prior
robbery conviction for which "a sentence of life imprisonment or
death was imposable." See A.R.S. § 13-703(F)(1). Gerlaugh's
complaint is that three months after his conviction in 1978 for
robbery, the Arizona legislature reduced the penalty for robbery
to a maximum of five years.
There is no doubt that Arizona
law permits the use of Gerlaugh's prior robbery conviction in
connection with the (F)(1) factor, see State v. Tittle, 147 Ariz.
339, 343, 710 P.2d 449, 453 (1985); and that ends our inquiry.
There is nothing about the change in the maximum sentence for
robbery after Gerlaugh's conviction that makes the use of the
life sentence he was actually given offensive or arbitrary under
the Constitution.
E.
Petitioner claims that neither
the trial court nor the Arizona Supreme Court properly
considered the statutory mitigating circumstances advanced on
his behalf. The district court parsed out this assertion and the
evidence to which Gerlaugh points, and found the claim to be
wanting. So do we. We find in the record adequate consideration
of his age, use of intoxicants, cooperation with the police,
intent, good character evidence, and the life sentence of his
unequally-culpable codefendant. Guided by our holding in Clark
v. Ricketts, 958 F.2d 851, 858 (9th Cir.1992), that "[t]he due
process clause does not require that the sentencing court
exhaustively document its analysis of each mitigating factor as
long as a reviewing federal court can discern from the record
that the state court did indeed consider all the mitigating
evidence offered by the defendant," we conclude that due process
is satisfied. See also Parker v. Dugger, 498 U.S. 308, 314, 318,
111 S.Ct. 731, 735-36, 112 L.Ed.2d 812 (1991) (statement by
sentencing court that it considered all mitigating evidence
adequate); Jeffers v. Lewis, 38 F.3d 411, 418 (9th Cir.1994) (en
banc) (no due process violation where it was evident that the
trial court considered all mitigating evidence), cert. denied,
514 U.S. 1071, 115 S.Ct. 1709, 131 L.Ed.2d 570 (1995).
F.
Gerlaugh's complaint that he
was denied a "meaningful proportionality review" is belied by
the record. The Arizona Supreme Court held that Gerlaugh's
sentence was proportional to the sentences imposed in other
cases, see State v. Gerlaugh, 135 Ariz. at 90, 659 P.2d at 643;
and the Supreme Court has held that we have no warrant to "look
behind that conclusion." Walton, 497 U.S. at 656, 110 S.Ct. at
3058; Martinez-Villareal v. Lewis, 80 F.3d 1301, 1309 (9th
Cir.), cert. denied, --- U.S. ----, 117 S.Ct. 588, 136 L.Ed.2d
517 (1996).
G.
Petitioner next attempts to
elevate alleged errors in Arizona's post-conviction relief
proceedings to federal constitutional status. This attempt fails
under Franzen v. Brinkman, 877 F.2d 26, 26 (9th Cir.1989), where
we held that errors concerning such a process are not cognizable
in federal habeas proceedings.
III
Counsel's Performance on Appeal
Gerlaugh's counsel made a
deliberate tactical decision on appeal to address only those
issues that related to the conviction that rendered his client
eligible for the death penalty. Counsel's objective was to
render his client's confession inadmissible and thereby to win a
new trial. His best professional assessment of the case was that
if his client suffered a conviction as charged, a sentence of
death was almost inevitable. We find no fault with this
assessment. With this diagnosis in mind, he did not address any
issues pertaining to sentencing. He did so with the
understanding that Arizona statutory law required the Arizona
Supreme Court to make an independent examination of the
propriety and legality of the death penalty. The district court
correctly viewed counsel's decision as a valid tactical choice
not to dilute strong arguments with weak ones. See Jones v.
Barnes, 463 U.S. 745, 751, 103 S.Ct. 3308, 3312, 77 L.Ed.2d 987
(1983) (recognizing the importance of "winnowing out weaker
arguments on appeal"); Hendricks, 70 F.3d at 1042 ("The choice
to pursue a bad strategy makes no comment on an attorney's
judgment where no better choice exists."); Miller v. Keeney, 882
F.2d 1428, 1434 n. 10 (9th Cir.1989)(defense counsel does not
have a constitutional duty to raise all nonfrivolous issues).
Moreover, we agree also with the district court's view that the
Supreme Court's thorough independent review, see 135 Ariz. 89,
659 P.2d 642, erases any probability that the fate of Gerlaugh's
appeal would have been different had counsel raised in that
forum the penalty-phase issues that are raised here.
AFFIRMED.
*****
REINHARDT, Circuit Judge,
concurring and dissenting:
While I agree with the
majority that we should affirm Darrick Gerlaugh's conviction, I
do not agree that we can ignore his counsel's failure to make
any argument as to why the death penalty should not be imposed--indeed
to make any closing argument at all during the penalty phase of
Gerlaugh's capital proceeding. Gerlaugh simply did not receive
the constitutionally required effective assistance of counsel at
the most critical stage of the proceeding--at a time when he
most needed that assistance. Under United States v. Cronic, 466
U.S. 648, 104 S.Ct. 2039, 80 L.Ed.2d 657 (1984), reversal is
required. Accordingly, I dissent from the majority's decision
affirming the death sentence.
In its opinion, the majority
makes two fundamental mistakes. First, the majority erroneously
characterizes counsel's comments to the court during the
presentencing hearing as an argument on Gerlaugh's behalf--an
argument regarding whether Gerlaugh ought to live or die. In
fact, counsel was merely addressing a procedural question; he
was simply trying to call the court's attention to inadequacies
in the presentence report and to request that the probation
office conduct a further investigation before it submitted its
final report. Thus, the majority erroneously concludes that
Gerlaugh's counsel made a closing argument when in plain fact he
did not. Second, the majority incorrectly asserts that we cannot
consider the closing argument at the penalty phase as a separate
stage of the proceeding for purposes of Cronic, when it is clear
that we must. As a result, the majority fails to recognize that
Gerlaugh did not receive effective assistance of counsel at "a
critical stage of the proceeding," and that under Cronic,
reversal of his sentence is mandated.
I. Counsel Failed to Make a Closing
Argumen
There can be no doubt that,
although counsel may have performed his functions in some manner
or other during the first part of the presentencing hearing--whether
effectively or ineffectively--when the time came to make a
closing argument he simply abandoned his responsibility to his
client and remained silent.1
Gerlaugh was thus left alone and unaided during the final and,
as is frequently the case, the most critical stage of his
capital proceeding. No one challenged on Gerlaugh's behalf the
government's position that he ought to be executed. No one urged
the court to take into account his youth or intoxication or lack
of prior criminal history or other extenuating circumstances. No
one asked the court to impose a lifetime sentence. No one argued
that Gerlaugh did not deserve to die for his crime.2
Apparently because they
believe strongly that Gerlaugh deserves to be executed, my
colleagues in the majority advance the peculiar argument that
requiring counsel to argue against the imposition of a capital
sentence is equivalent to requiring him to plead for leniency.
Whether or not one may properly so characterize the requirement
that a capital defendant's counsel present whatever argument can
be made to counter the state's request that he be sentenced to
death, that requirement simply reflects a basic tenet of the
adversarial process--that the defendant's interests be
represented before the court. That is precisely the obligation
of defense counsel, particularly when the issue is his client's
right to live.
By its half-hearted efforts to
defend counsel's comments during the presentencing hearing and
portray them as a closing argument, and in its ultimate
conclusion that the Constitution does not require counsel to
plead for his client's life, the majority reveals a fundamental
misunderstanding of counsel's role in the adversarial process.
What Gerlaugh was clearly entitled to, and what he did not have,
was a lawyer who took a position opposite to the government's--a
position favorable to Gerlaugh's interests--an advocate for his
right to live.
When the state argued for
death, defense counsel was supposed to argue for life. Yet at no
point in his confused and maundering dialogue with the court at
the presentencing hearing did counsel make any attempt (even an
ineffective one) to challenge the government's position that
Gerlaugh deserved to die. That was neither counsel's purpose nor
his intent during that hearing. Because, as it turned out, the
presentencing colloquy was the only colloquy that counsel ever
engaged in that related in any way to what sentence should be
imposed,3
Gerlaugh was worse off than if counsel had not been present at
all. Had there been an actual absence of counsel at the
presentencing hearing (and at the sentencing hearing), Gerlaugh
would at least have recognized that he needed to plead for
himself.
The transcript of the
presentencing hearing makes clear that counsel never intended to
present a closing argument at that hearing; that he never
intended to explain at that hearing why his client did not
deserve the death penalty. One need only read counsel's rambling
colloquy with the court, which is quoted almost in full by the
majority, to understand that the only point counsel ever
intended to make at that hearing, and the only subject he
actually discussed at that time, was his contention that the
presentence report was inadequate and that further investigation
was necessary before the final report was submitted. At no point
did Gerlaugh's counsel challenge the government's desire to have
Gerlaugh executed, nor did he purport to discuss how the factors
the court was required to consider should be weighed or what
concerns should influence the court in reaching its ultimate
decision. He made no effort to influence the court with respect
to its task of weighing the aggravating factors against the
mitigating circumstances and of making a life-or-death judgment
in the exercise of its discretion. He sought only to complain
about the presentence report and to obtain a more thorough and
more helpful supplemental report for use in connection with the
ultimate sentencing process.
Notwithstanding the clear
record to the contrary, the majority represents that counsel
made several arguments in an effort to save his client's life.
My colleagues are not correct: there's simply no there there.
The statements to which the majority refers did not constitute
and were not intended to constitute an argument regarding
whether or not Gerlaugh should die, and none of them constituted
or was intended to constitute any sort of argument for the
imposition of a lifetime sentence. Although counsel spoke of
mitigating factors that were absent from the presentence report,
the clearly expressed purpose of his entire presentation was not
to convince the court that the mitigating factors outweighed the
aggravating factors, but rather that the presentence report
inadequately treated those subjects and that the probation
department needed to do more work before the sentence could be
determined properly.
From the very beginning of
counsel's comments to the court, he made it clear that he did
not conceive of the presentencing hearing as the time for
closing argument. Immediately after the conclusion of witness
testimony, counsel expressed his intent to comment specifically
on the report's shortcomings. He stated to the court: "At this
time, Your Honor, I have no further witnesses to present to the
Court. I have some comments that I would make." The court
reminded counsel that he would have the opportunity to make
comments during the sentencing hearing. However, counsel then
explained the purpose of the remarks he intended to make,
stating: "One of the basic reasons I wanted to make some
comments today as opposed to waiting is because I have had an
opportunity to talk with Ed Delci who is doing the presentence
report." After the court observed that Mr. Delci was present in
the courtroom, counsel stated: "I'm not sure what all is going
to be in the supplemental report, but there [are] a couple of
things that struck me as I read through the report." Counsel
then proceeded to present his analysis and criticism of the
report that had been submitted and to voice his concerns about
the sort of information that should be included in the
supplemental report Mr. Delci was in the process of preparing.
Counsel questioned, for
example, whether the initial report was as thorough as it should
be with respect to his client's apparent lack of remorse. While
the majority would have us believe that "counsel vigorously took
exception to the conclusions" in the presentence report, even if
he had that would not change the fact that he was simply
addressing the quality of the report and what remained to be
done in the supplemental report. The fact is, however, that the
only exception counsel took to the report's conclusions was that
they were premature--counsel did not, as the majority asserts,
"argue directly ... that his client did accept responsibility
for what he had done, and that [Gerlaugh] did demonstrate
remorse in his own way." Counsel never even told the court that
the presentence report was inaccurate; instead, he made clear in
his bumbling way that his purpose in commenting was limited to
persuading the court that obtaining further information was
desirable:
[T]hose are the only comments I have at this
time as far as just making the Court aware of my feelings as to
whether or not the Court might want further information on this
particular case based on the fact that I think that, you know,
reading the probation report, it seems to be a terrible crime in
that I have never seen anything this bad before.
Counsel's admission that he,
an experienced capital trial lawyer, had never seen anything
this bad before could not have been part of an attempt to
convince the court to impose a life sentence. Moreover, although
he mentioned possible mitigating factors that were absent from
the report, counsel did not ask the court to consider these
factors in determining the sentence to be imposed. What he was
interested in was a different subject entirely--what further
information might be brought before the court.
The majority, in arguing that
counsel did not abandon his client, clings to counsel's
reference to Gerlaugh's age and argues that he raised youth as a
mitigating factor. Indeed, the majority would have us believe
that counsel "emphasized his client's age." Op. at ----. There
can be no doubt that if Gerlaugh's attorney had made a closing
argument, he would have relied in significant part on his
client's age--it is an important mitigating factor. But that's
not what happened here.
Instead, counsel simply
pointed to his client's age, and he did so for an entirely
different purpose. Counsel did not argue that Gerlaugh's youth
was a mitigating factor; rather he pointed out that age was the
only obvious mitigating factor in order to demonstrate the
report's inadequacy--because age was the only factor the report
identified. As counsel noted in discussing the presentence
report:
And, it seems to me a little
superficial just to say that I see the facts of this case.... We
know, obviously, one large mitigating circumstance that Mr.
Gerlaugh has is his age. The Court can take that into
consideration, but I think that is the only obvious one, that I
have a young client. And, he was young at the time of the
commission of this act. But, I really found nothing [in the
report], and, again, I don't know if the Court wanted more, but
it disturbed me to the point to where I wanted to address myself
to it. That I think there should be something more before this
Court.
Counsel was clearly referring
to the report and what should be, but was not, in it. He was not
trying to persuade the court that Gerlaugh's youth should
preclude a death sentence, nor was he urging the court to take
his client's youth into account in the sentencing decision. He
was simply saying that there should be more than that about the
mitigating factors in the report.
When counsel suggested that
the "something more" in the report should be a psychiatric
evaluation, the court explained to him that "I would be happy to
listen to anything you have to say regarding your opinions or
expressions on remorse you[ ] certainly want to inform the Court
of." Counsel made a stuttering attempt to respond to the court's
invitation to argue about his client's remorse, but quickly
begged off: "Today I don't have anything that I am going to say
to the Court about that." The natural implication of counsel's
refusal to speak on the subject of remorse, like the natural
implication of the rest of his remarks, was that he was saving
his arguments for another day, that he was saving them for the
sentencing hearing when the supplemental report would have been
prepared and submitted to the parties and the court.
The entire colloquy between
Gerlaugh's counsel and the trial court during the presentencing
hearing makes it abundantly clear that counsel did not intend to
present his closing argument to the court until he had the
supplemental report in hand. It is therefore astonishing that at
the sentencing hearing, after the supplemental report had
finally been completed and filed, counsel still failed to
present any closing argument on his client's behalf. The
following reflects the entirety of defense counsel's comments
preceding Gerlaugh's sentencing:
COURT: [Counsel], do you have anything to say?
COUNSEL: Your Honor, I have reviewed both
presentence report and the supplemental report, and I think they
contain all the matters this Court should consider at this time,
and I have nothing further to say.
Incredibly, counsel made no
attempt whatsoever to challenge the apparent presumption on
everyone's part (possibly even his own) that Gerlaugh deserved a
death sentence; nor did he explain what the mitigating
circumstances were (and there were several). Rather, at the
crucial point in the proceeding, counsel said absolutely nothing
on his client's behalf.
In sum, at the presentencing
hearing, counsel chose to discuss only what further work needed
to be done on the supplemental presentence report, and that's
all. At the sentencing hearing, he said nothing whatsoever. As a
result, no closing argument was ever made on behalf of Gerlaugh
during the penalty phase of the proceeding.4
The majority's conclusion that
counsel did not abandon Gerlaugh during closing argument is
obviously influenced by its view that any effort at a closing
statement would have been useless. In effect, the majority
argues that counsel did not desert his client because there was
no argument to be made on the client's behalf. I strongly
disagree, both practically and legally. In any case there are
arguments to be made on both sides. In this case there were
several significant mitigating factors that counsel could have
urged upon the court as reasons for deciding not to impose the
ultimate punishment. He could have explained why these factors
warranted the exercise of judicial discretion in favor of
sparing Gerlaugh's life. Instead, he said nothing. See also
Herring v. New York, 422 U.S. 853, 860, 95 S.Ct. 2550, 2554, 45
L.Ed.2d 593 (1975) (discussed infra at Part II.A.).
Balancing the factors--mitigating
and aggravating--involves the exercise of judicial discretion
and judgment. When such balancing is required, it is the duty of
defense counsel to argue why the balance should be struck in his
client's favor. No matter how great the odds may seem to be
against winning the argument, counsel must make the best case he
can. It is not counsel's role to act as judge as well as
advocate, any more than it is the district court's or this
court's role to say, "Oh well, his client would have lost anyway.
He had a bad argument, so there's no need for him to make any
argument at all--no need to advocate--no need for representation
by counsel." That kind of reasoning is squarely contrary to the
elementary precepts of the adversary system.
That counsel misunderstood the
nature and importance of his role in the adversarial process and
the extreme consequences that flow from abandoning one's client
at a critical stage of the proceeding is further demonstrated by
his actions after the death sentence was imposed. On appeal,
counsel once again failed to make any argument that Gerlaugh
should not have been sentenced to death. This could not have
been a strategic decision by counsel. He could not reasonably
have decided to focus exclusively on the obviously losing issues
related to Gerlaugh's underlying conviction, particularly as the
appellate court was required to reweigh the mitigating and
aggravating circumstances irrespective of whether Gerlaugh
actually raised the issue. Thus, unlike most deficient counsel,
Gerlaugh's counsel had a second clear chance.
Indeed, on appeal, the
validity of the sentence was the only issue that the law
specifically required the court to consider. Nevertheless,
counsel continued to remain silent--to refrain from making any
argument. As in the trial court, counsel did not act as an
advocate for his client on the sentencing issue, but instead
persisted in the belief that he had no responsibility to
question the sentencing judge's determination to impose the
ultimate punishment on Gerlaugh. By doing so, he again accepted
a death sentence for his client without engaging in the
adversarial process and again assured that his client would be
put to death--unless, of course, a later court was careful
enough in its analysis and committed enough to applying the law
properly to recognize that he had abandoned his obligations as
counsel.
II. Counsel's Silence Constitutes a Cronic
Violation
A.
Counsel's failure to make a
closing argument during the penalty phase of the trial denied
Gerlaugh representation by counsel at a critical stage of the
sentencing proceeding in violation of the basic constitutional
principles set forth in United States v. Cronic, 466 U.S. 648,
104 S.Ct. 2039, 80 L.Ed.2d 657 (1984). Such a violation
necessarily calls into question the reliability of the
proceeding; under Cronic we must presume that Gerlaugh suffered
prejudice as a result and are required to reverse his death
sentence. According to the majority, however, counsel's
abandonment of his client by failing to make a closing argument
at the penalty phase cannot by itself establish a Cronic
violation because it is not "appropriate to segregate counsel's
oral presentation on behalf of his client at the sentencing
stage of the proceeding from the other measures taken on his
behalf." Op. at 1036.
My colleagues' position is
directly contrary both to established law and to basic Sixth
Amendment requirements. Instead of viewing the second half of
Gerlaugh's bifurcated trial as an inseparable whole for the
purposes of Cronic, as the majority insists upon doing, the law
requires us to treat closing argument as a critical stage of the
proceeding in and of itself. It does not matter that the absence
of closing argument occurred at the penalty phase of the
proceeding as opposed to the guilt/innocence phase. Both phases
provide the opportunity for closing argument, and closing
argument is essential both times; counsel's abandonment of his
client during that critical stage of either phase constitutes a
violation of Cronic.
As we plainly stated in United
States v. Swanson, 943 F.2d 1070, 1074 (9th Cir.1991), counsel's
abandonment of his client during closing argument causes "a
breakdown in our adversarial system of justice ... that compels
an application of the Cronic exception to the Strickland [prejudice]
requirement." If a defendant is effectively without the benefit
of counsel during closing argument, a fundamental breakdown in
the adversarial process has occurred and it simply does not
matter what counsel may have done prior to that point or what
effect or lack of effect the reviewing court thinks that a
closing argument might have had on the outcome of the proceeding.
Swanson 's conclusion that an
attorney's abandonment of his client during closing argument
constitutes a fundamental error that in and of itself requires
reversal is in keeping with the fact that the requirement of
adversarial advocacy extends not only to counsel's presentation
of exculpatory evidence, but also to his presentation of a
closing argument. Herring v. New York, 422 U.S. 853, 858, 95
S.Ct. 2550, 2553-54, 45 L.Ed.2d 593 (1975). As the Swanson court
concluded, there is a constitutional obligation on defense
counsel "to function as the Government's adversary" at the time
of that argument. Swanson, 943 F.2d at 1074.
In Herring, the Supreme Court
made clear that the Sixth Amendment right to counsel encompasses
the right to have defense counsel present a closing summation,
thus recognizing the extraordinary significance of counsel's
closing argument in the adversarial process. If a defendant has
been denied the opportunity to make a closing argument, his
criminal conviction cannot stand, regardless of whether such an
argument would have succeeded in persuading the factfinder of
the defendant's position. Id. " 'The constitutional right of a
defendant to be heard through counsel necessarily includes his
right to have his counsel make a proper argument on the evidence
and the applicable law in his favor, however simple, clear,
unimpeached, and conclusive the evidence may seem.' " Id. at
860, 95 S.Ct. at 2554 (quoting Yopps v. Maryland, 228 Md. 204,
178 A.2d 879, 881 (1962)) (emphasis added).
The Swanson decision is
likewise consistent with the heightened need for reliable
proceedings in capital cases. Not every person who has been
convicted of murder deserves to be executed. One of the
principal purposes of a capital trial is to identify those who
should be sentenced to death for their crimes, and those who
should not. See Woodson v. North Carolina, 428 U.S. 280, 305, 96
S.Ct. 2978, 2991-92, 49 L.Ed.2d 944 (1976) (plurality opinion).
There is no more important hearing in law or equity than the
penalty phase of a capital trial. In a process already plagued
by arbitrariness, the right to counsel ensures that the results
of penalty-phase proceedings are as reliable as possible. The
determination of who should live and who should die is arrived
at by means of an adversarial hearing in which the government's
position that the defendant should be sentenced to death is put
to the test by defense counsel.
Closing argument is an
essential part of that proceeding, a part at which vigorous
advocacy is the sine qua non. "The very premise of our adversary
system of criminal justice is that partisan advocacy on both
sides of a case will best promote the ultimate objective.... In
a criminal trial, which is in the end basically a factfinding
process, no aspect of such advocacy could be more important than
the opportunity finally to marshal the evidence for each side
before submission of the case to judgment." Herring, 422 U.S. at
862, 95 S.Ct. at 2555.
Herring makes clear that
regardless of the fact that counsel presented evidence or made
legal objections during a proceeding, the absence of a closing
argument in itself requires reversal. The majority's attempt to
rely on the presentation of witnesses or the advancement of
legal objections is thus simply irrelevant. The flaw that
renders Gerlaugh's sentencing unconstitutional is the failure of
counsel to provide representation at a critical stage of the
proceeding--closing argument. That failure alone requires
reversal under Cronic, regardless of what else may have
transpired.
The adversarial process is
simple, and it works when it has two sides. But when there is
only one side to the argument, the truthfinding purpose of the
trial breaks down and the results are presumptively unreliable.
B.
The majority carries its
inability to distinguish Cronic from Strickland error to its
logical conclusion. It applies a harmless error test to
counsel's performance. Not only is this harmless error analysis
in conflict with Cronic and Swanson, but it is also at odds with
the more basic proposition that certain kinds of error are so
fundamental that we must presume prejudice. It is apparent that
an attorney's abandonment of his client at a critical stage in
the proceeding constitutes a structural error as defined in
Arizona v. Fulminante, 499 U.S. 279, 310, 111 S.Ct. 1246, 1265,
113 L.Ed.2d 302 (1991). Such an error not only alters the basic
framework of a criminal trial, it also undermines values that
are fundamental to our system of justice. See United States v.
Olano, 62 F.3d 1180, 1207-10 (9th Cir.1995) (Reinhardt, J.,
dissenting) (elaborating on the nature of structural errors),
cert. denied, --- U.S. ----, 117 S.Ct. 303, 136 L.Ed.2d 221
(1996). Thus, the majority has seriously erred in subjecting to
harmless error analysis counsel's abandonment of Gerlaugh at a
critical stage of his capital trial.5
Closing argument is one of the
most important stages in a criminal trial. It is the moment at
which the parties tie all of the evidence together, illuminate
the significance of the evidence to the factfinder, and argue
why the evidence supports their respective positions. It is the
time at which the parties emphasize certain facts and explain
away others. It is an opportunity for the parties to remind the
factfinder of things that might have been forgotten along the
way. For a defendant in a capital trial, it is "the last clear
chance to persuade the trier of fact" that he should not be
executed. Herring, 422 U.S. at 862, 95 S.Ct. at 2555. And it is
no less a part of a trial's basic framework if the evidence is
presented in the context of a bench trial instead of a jury
trial. See id. at 863 n. 15, 95 S.Ct. at 2556 n. 15 (flatly
rejecting the contention that "there is insufficient
justification" for the right to make a closing argument in bench
trials, and suggesting that summations may be even more
important if there is only one factfinder).
Additionally, final arguments
further one of the most significant values in a criminal trial,
the adversarial process itself. Without question, the
adversarial process is the hallmark of our system of justice. An
attorney's desertion of his client at a critical stage of the
proceeding undermines the very premise of this process--that the
issues and the evidence will be clarified and sharpened by
vigorous presentations from both sides. When a defendant is
abandoned at this moment, as Gerlaugh was, there has not been
simply an error in the presentation of evidence: there has been
an alteration in the very framework of the trial. When that
alteration occurs in a capital trial, the unacceptable and
unconstitutional consequences are at their most egregious.
* * *
Because Gerlaugh was denied
the benefit of counsel at a critical stage in his capital trial
and because we are required to presume resulting prejudice, I do
not reach the other sentencing issues. I simply dissent from the
imposition of the death penalty on the ground that Gerlaugh
lacked effective assistance of counsel at a critical stage of
the proceeding.
Because Gerlaugh's petition was pending
in federal court prior to the enactment on April 24, 1996 of
the Antiterrorism and Effective Death Penalty Act of 1996,
we use the "old law" to decide this case. See Lindh v.
Murphy, --- U.S. ----, 117 S.Ct. 2059, 138 L.Ed.2d 481
(1997)
Originally, the evidence was developed in
front of another judge, but the matter was than transferred
to Judge Brown who considered the transcript of the previous
hearings
I do not consider here whether counsel
provided effective assistance of counsel under Strickland v.
Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674
(1984), when he conducted his investigation and questioned
the witnesses he called during the penalty phase. That
question is wholly irrelevant to the issue on which I base
my dissent
While the closing argument could have
been made either at the presentencing hearing or at the
following hearing, the actual sentencing, counsel did not
make an argument on either occasion
During the sentencing hearing, after the
court began to impose Gerlaugh's sentence, counsel
interrupted and raised a weak, indeed frivolous, double
jeopardy argument, which the sentencing judge immediately
and correctly brushed off
The majority makes this error because it
mistakenly treats counsel's performance as Strickland rather
than Cronic error. Wisely, my colleagues do not suggest that
Cronic error may be subjected to a harmless error test