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Fautenberry pleaded no contest on July 23, 1992, to
two counts each of aggravated murder and grand theft and one count of
aggravated robbery. Fautenberry confessed to killing a total of five
people in four states — Alaska, Oregon, Ohio and New Jersey — during a
five-month period in late 1990 and early 1991. After his arrest in
Alaska, Fautenberry confessed to the Cincinnati murder.
Citations:
State v. Fautenberry, 72 Ohio St.3d 435, 650 N.E.2d 878 (Ohio
1995). (Direct Appeal) State v. Fautenberry, 78 Ohio St.3d 320, 677 N.E.2d 1194 (Ohio
1997) (PCR)
Final/Special Meal:
Two eggs sunny-side up, fried potatoes, two pieces of fried bologna,
four pieces of wheat bread, two pieces of wheat toast with butter, four
slices of tomato, a side of lettuce and mayonnaise, two Three Musketeers
candy bars and two packages of Reese's peanut butter cups.
Final Words:
None.
Summary of Crime:
Between November 1990 and March 1991, Fautenberry
committed five brutal murders in four different states.
After killing one man in Oregon in November 1990 and
stealing about $10,000 in cash, he went to New Jersey where he shot a
man in the head at a truck stop, stealing his wallet.
On 2/17/91, he was hitchhiking on I-275 near Ohio 125
when he was picked up by a 45-year-old man, Joseph William Daron, the
father of two young children. The victim took him to the intersection of
I-275 and I-71 where Fautenberry shot him twice in the right side of his
chest. Fautenberry dumped the victim's body along the north bank of the
Ohio river, in Anderson Township. He took the victim's car, credit cards,
cash, watch and bible.
Fautenberry drove back to Oregon where he shot a
woman twice in the back of the head.
He then traveled to Juneau, Alaska where he stabbed
an acquaintance 17 times. He was arrested in Alaska and then confessed
to the murder there and the others.
Case Notes:
On 7/5/95, the Ohio Supreme Court affirmed
Fautenberry's conviction and death sentence on direct appeal. On
4/11/05, the federal district court denied Fautenberry's petition for a
writ of habeas corpus. On 5/11/05, Fautenberry filed a notice of appeal
to the 6th Circuit. On 1/5/06, the district court granted Fautenberry's
motion for a certificate of appealability. On 5/16/06, the 6th Circuit
issued a briefing schedule. On 8/18/06, the 6th Circuit granted
Fautenberry's motion to extend briefing and issued a revised briefing
schedule. On 12/13/06, the State filed its final brief. On 12/26/06,
Fautenberry filed his final brief and final reply brief.
Ohio Department of Rehabilitation and Correction
Inmate#: OSP #A279-989
Inmate: JOHN FAUTENBERRY
DOB: July 4, 1963
County of Conviction: Hamilton County
Date of Offense: 02-17-91
Guilty Plea: 07-23-92 (no contest)
Date of Sentencing: 09-16-92
Presiding Judge: William J. Morrissey Jr., William S. Matthews, Gilbert
Bettman
Prosecuting Attorney: Arthur M. Ney Jr.
Gender: Male
Race: White
Institution: Southern Ohio Correctional Facility
Convictions: Count 1: Aggravated Murder (Death), Count 3: Aggravated
Robbery (10-25 yrs), Count 4: Grand Theft (2-10 yrs), Count 5: Grand
Theft (1 1/2 - 5 yrs)
Ohio executes trucker who went on killing spree
By Meghan Barr - Associated Press
Jul 14, 2009
LUCASVILLE, Ohio (AP) — A former truck driver who
went on a multistate killing spree has been executed in Ohio for the
murder of a Cincinnati-area man who gave him a ride in 1991. Forty-five-year-old
John Fautenberry of Oregon was pronounced dead at 10:37 a.m. Tuesday at
the Southern Ohio Correctional Facility in Lucasville.
Fautenberry was sentenced to death for the slaying of
Joseph Daron Jr., who picked him up while he was hitchhiking on Feb. 17,
1991. Fautenberry also confessed to killing a four people in three other
states — Alaska, Oregon and New Jersey — during a five-month period in
late 1990 and early 1991.
Fautenberry is the first inmate executed in Ohio
since June 3. Ohio has put 30 men to death since it reinstated the death
penalty in 1999.
LUCASVILLE, Ohio (AP) — A man who confessed to
slayings in four states spent his final hours watching television and
meeting with a priest as he awaited execution Tuesday for murdering a
man who gave him a ride near Cincinnati. John Fautenberry is scheduled
to die by lethal injection at 10 a.m. at the state prison in Lucasville.
Fautenberry, a former Oregon truck driver, was sentenced to death for
murdering Joseph Daron Jr., 46, of Milford, in February 1991.
Fautenberry gave up his right to a trial by jury in
Cincinnati and pleaded no contest on July 23, 1992, to two counts each
of aggravated murder and grand theft and one count of aggravated robbery.
Fautenberry confessed to killing a total of five people in four states —
Alaska, Oregon, Ohio and New Jersey — during a five-month period in late
1990 and early 1991.
His attorney, Dennis Sipe, has argued that the state
should pay a neuropsychologist to examine Fautenberry, whose last mental
exam was 13 years ago. Sipe contends that Fautenberry should not be
executed because he has brain damage from a childhood accident and from
an injury while serving in the U.S. Navy. "We make the argument that
with a stale psychological survey done in 1996, we thought we needed an
updated report to give the clemency process," Sipe said Monday. "The
Supreme Court said a defendant facing the death penalty was entitled to
an attorney; that generally is taken to mean that you should be entitled
to one that can effectively defend you, and that includes access to
experts where needed."
The U.S. Supreme Court denied Fautenberry's request
to delay his execution about an hour before the injection was to take
place.
On Monday afternoon, Fautenberry was subdued, prisons
spokeswoman Andrea Carson said. He ate eggs, toast and some of the fried
potatoes he requested for his special meal, she said. "He hasn't really
been engaged in a lot of conversation," Carson said. "But he has been
compliant."
Fautenberry, 45, was offered several opportunities to
phone his sister Monday evening but refused, Carson said. He fell asleep
around 11:30 p.m. and slept until he was awakened by prison staff at 6
a.m. Tuesday. His only visitors were his attorney and a Catholic priest
with whom he spent several hours, Carson said.
The Ohio Board of Parole had voted unanimously to
recommend that Gov. Ted Strickland deny clemency, which the governor did
last week.
The Cincinnati-based 6th U.S. Circuit Court of
Appeals refused Friday to overturn a U.S. district court's ruling
denying a state-paid expert. Sipe immediately asked the district court
to reconsider, and Judge James Graham in Columbus, Ohio, again rejected
the argument on Saturday. The appeals court affirmed the district
court's decision Monday. The U.S. Supreme Court denied a stay Tuesday
without comment.
Fautenberry was transferred Monday from the Ohio
State Penitentiary in Youngstown to the Southern Ohio Correctional
Facility in Lucasville, where state officials were preparing for his
execution.
His special meal request was two eggs sunny-side up,
fried potatoes, two pieces of fried bologna, four pieces of wheat bread,
two pieces of wheat toast with butter, four slices of tomato, a side of
lettuce and mayonnaise, two Three Musketeers candy bars and two packages
of Reese's peanut butter cups.
Ohio executes killer in 1991 death
By Jon Craig - NewsConcinnati.com
July 14, 2009
LUCASVILLE, Ohio – Outside the cramped, dimly lit
Death House on Tuesday, an undertaker sat in a black hearse, parked
inside the barbed wire fence at Southern Ohio Correctional Facility.
Less than an hour later, the 46-year-old body of serial killer John
Fautenberry was wheeled out – executed by the state of Ohio.
The former truck driver-turned-drifter confessed to
killing five people including Joseph Daron Jr., 46, of Milford. Daron’s
23-year-old daughter decided not to witness the execution, but said she
was happy to see her father’s murderer loaded into the hearse. Rachel
Daron and her mother, Sandy Bronner, both of Amelia, watched from a
prison visitors’ room. “I’m just glad this is finally over,” said Rachel,
who was 4 when her father was fatally shot twice in the chest by the
hitchhiker on
In the 10 years since executions resumed in Ohio,
Fautenberry was just the third of 30 killers who chose not to make a
final statement.
Rachel Daron said she wasn’t disappointed that
Fautenberry didn’t make a statement “because I know he’s not sorry. He
didn’t care. Even if he did (make a statement) it’s not going to bring
my dad back or any of the other victims back. I just saw him go to the
hearse and that was good enough for me.” Rachel said she doesn’t
remember much about her father. “He liked to drink coffee. I never
really got to know him. He was stolen from me.”
It took about 31 minutes from the time prison staff
began hooking Fautenberry to intravenous tubes to when he was pronounced
dead at 10:37 a.m. Three IV drugs knocked him out, stopped his breathing
and his heart. The injection of lethal fluids took about 13 minutes.
Fautenberry wore navy blue pants with orange stripes.
His head was shaved and he wore black eyeglasses, black boots and a
white T-shirt. Twenty eyewitnesses, including family of victims, defense
attorneys, a prosecutor, pastor, news reporters and prison workers,
witnesses the execution. Seven prison officers who volunteered for the
duty, and the warden, oversaw his execution. Fautenberry died silently
without looking up. Andrea Carson, a prison spokeswoman, said
Fautenberry asked for and got some sedatives Monday night and Tuesday.
He appeared very calm before the injection.
Fautenberry arrived at Southern Ohio Correctional
Facility shortly before 10 a.m. Monday. His last “special meal” included
two sunny side-up eggs, fried bologna, toast with butter and jelly, four
slices of tomato, fried potatoes, two Three Musketeer bars and two packs
of Reese’s Cups.
Fautenberry was hitchhiking near I-275 and I-71 when
Daron picked him up on his way to work. After shooting Daron,
Fautenberry stole his car, cash and credit cards before tossing the body
into the Ohio River. Carson said Fautenberry was offered a chance to
telephone his sister in Oregon on Monday afternoon, but turned it down.
Defense Attorney Dennis Sipe of Marietta lost a last-minute
appeal to the U.S. Supreme Court on Monday that Fautenberry suffered
brain injuries as a child and in the Navy. Sipe said two life sentences
for Fautenberry was more than enough punishment. Revenge was provided to
the families of victims, he said after witnessing the execution with two
public defenders. “No, I don’t think justice has been served.”
Over a five-month period in late 1990 and early 1991,
the former trucker killed five people in four states. Fautenberry was
convicted of the stabbing death of an Alaska miner and the slaying of a
New Jersey truck driver, and confessed to the deaths of two people in
Oregon. He received a 99-year-sentence in the Alaska case and a life
sentence in the New Jersey murder.
Oregon did not charge him in the Portland-area
killings because authorities there decided to let Ohio prosecutors take
the lead. He fatally shot a retired truck driver who went target
shooting with him in Oregon. He shot a former girlfriend in the head in
Portland, Ore., after luring her into the woods.
Serial killer executed at Lucasville; Fautenberry
says nothing; had murdered 5 people in 4 states
By Alan Johnson - Dispatch.com
July 14, 2009
LUCASVILLE, Ohio -- Multistate serial killer John
Fautenberry was executed this morning for the 1991 murder of a 46-year-old
father of two who picked him up while hitchhiking near Cincinnati.
Fautenberry, 45, was lethally injected at the
Southern Ohio Correctional Facility near Lucasville. The time of death
was 10:37 a.m. He had no final statement, and did not look to either the
victims' families or his spiritual adviser as the deadly drugs began
flowing into his system. After a few minutes, he closed his eyes and
silently died.
Rachel Daron, 23, the Ohio victim's daughter, came to
the prison but did not witness the execution. She told reporters later
she came "to get closure, to know it's real, it really happened, and
it's over. "I just saw him in the hearse. That's good enough for me."
Charlene Farmer of Springfield, Tenn., mother of a
New Jersey victim, did witness the execution. She said later, "His pain
has ended -- mine has not. I think he got off pretty easy considering
what I've gone through for 18 years." She said she hopes today's
execution will deter potential killers: "You don't just kill that person.
You need to think about you're killing a whole family."
Fautenberry requested an unusual combination for his
last meal: two eggs sunny side up, two pieces of fried bologna, two
pieces of toast with butter and jelly, four slices of tomato, lettuce
and mayonnaise, fried potatoes, four pieces of white bread, two Three
Musketeers candy bars and two packs of Reese's Cup candy.
Over a six-month period in late 1990 and early 1991,
Fautenberry, a former over-the-road truck driver, killed five people in
four states. His ultimate undoing was the murder of Joseph Daron Jr.,
46, on Feb. 17, 1991.
While hitchhiking on I-275, Fautenberry was picked up
by Daron, who drove 20 miles out of his way to drop him off at a
restaurant along I-71. Fautenberry shot Daron twice, dumped his body on
the north bank of the Ohio River, and used the dead man's vehicle, cash
and credit cards to head to Oregon. Before arriving in Ohio, records
show that Fautenberry killed Donald Nutley in Oregon and Gary Farmer in
New Jersey. Later, he murdered Christine Guthrie in Oregon and Jefferson
Difee in Alaska.
Fautenberry did not submit a clemency request; the
Ohio Parole Board and Gov. Ted Strickland denied clemency. The killer's
11th-hour request for a neuro-psychological examination was rebuffed by
two federal courts and the U.S. Supreme Court.
He was the second person executed in Ohio this year
-- Daniel Wilson of Lorain was put to death on June 3 -- and the 30th to
die since the state resumed capital punishment in 1999.
ProDeathPenalty.com
In November 1990, John Fautenberry, who had recently
quit his job as a cross-country truck driver, met Donald Nutley at a
truck stop outside Portland, Oregon, and the two men went target
shooting together. After they had finished and were leaving the range,
Fautenberry shot Nutley in the head and stole $10,000 from him.
Fautenberry then drove to Cincinnati, Ohio, where he stayed with his
sister for a short time before traveling to Connecticut to visit an old
friend.
In February 1991, while en route back to Cincinnati,
Fautenberry — out of money and in need of gasoline to continue his
travels — stopped at a truck stop in New Jersey. There he met Gary
Farmer, who, after learning of Fautenberry’s need for money, offered to
buy Fautenberry breakfast and give him money. Fautenberry got into the
cab of Farmer’s truck, shot Farmer in the head, and took his wallet.
Fautenberry then returned to his sister’s residence in Cincinnati.
On February 17, 1991, after another brief stay in
Cincinnati, Fautenberry again left his sister’s residence, this time on
foot, in search of money. Fautenberry walked down Highway 125, in the
eastern suburbs of Cincinnati, stopped at the on-ramp to Interstate 275,
and began hitchhiking. Joseph Daron offered to give Fautenberry a ride.
Daron intended to travel only ten miles north to his home in Milford,
Ohio, but, upon learning that Fautenberry wanted to go north to Columbus,
Ohio, he drove Fautenberry an extra ten miles and dropped him near the
intersection of Interstate 275 and Interstate 71, which goes directly to
Columbus. As he exited Daron’s vehicle, Fautenberry reached back into
the car and shot Daron twice in the chest. Fautenberry then drove
Daron’s car south to Cincinnati, and threw Daron’s body into a wooded
area on the north bank of the Ohio River, where it was eventually found
more than a month later by the local authorities. Fautenberry took
Daron’s car, wallet, briefcase, wristwatch, and Bible, and returned to
Oregon.
Fautenberry arrived in Portland on February 24, 1991,
and spent the next few days at the Oregon coast with some old friends
and acquaintances, including a woman named Christine Guthrie. Guthrie
accompanied Fautenberry back to Portland from the coast, and along the
way, they stopped on an old logging road. Fautenberry escorted Guthrie
to a secluded portion of the woods, shot her three times in the back of
the head, and stole her bank card. A few days later, after withdrawing
cash from her bank account, Fautenberry traveled to Juneau, Alaska,
where he began working aboard a fishing boat.
On March 13, 1991, Fautenberry met Jefferson Diffee
at a local bar, and the two men went to Diffee’s apartment. While there,
Fautenberry beat Diffee, handcuffed him, and stabbed him seventeen
times, which resulted in his death. The local police discovered
Fautenberry’s fingerprints at the scene of the crime, and on March 16,
1991, they arrested him for the murder of Diffee. The police then
searched Fautenberry’s storage locker and hotel room, where they found
Daron’s briefcase, wristwatch, and Bible.
On March 17, 1991, while in police custody,
Fautenberry called Federal Bureau of Investigation (FBI) Agent Larry Ott
and left a message indicating that he wanted to talk. Agent Ott went to
the jail, informed Fautenberry of his Miranda rights (which Fautenberry
subsequently waived), and recorded Fautenberry’s confession to the
murders of Nutley, Farmer, Daron, and Guthrie. Fautenberry accurately
described the wounds inflicted upon each victim, and indicated that
robbery was the motive for each killing. A few days later, Fautenberry
called his old girlfriend, Olivia Priest-Herndon, and told her that he
was “only after . . . money” and that he “did it so he gotta pay the
price now.” Fautenberry also confessed to Tom Nelson of the Portland
Police Department, informing Nelson where the bodies of Nutley and
Guthrie were located.
In August 1991, Fautenberry pleaded guilty in an
Alaskan state court to the murder of Jefferson Diffee, and the court
sentenced him to 99 years’ imprisonment. In September 1991, the Alaskan
authorities transferred Fautenberry to Hamilton County, Ohio, the county
in which Cincinnati is located, where a grand jury had returned a five-count
indictment charging Fautenberry with two counts of aggravated murder (both
pertaining to the death of Daron), aggravated robbery, theft of a motor
vehicle, and theft of a credit card. The aggravated murder charges
included two specifications, either of which would render Fautenberry
eligible for the death penalty under Ohio law: (1) killing Daron while
committing aggravated robbery; and (2) killing Daron as part of a course
of conduct involving the purposeful killing of two or more persons.
Fautenberry waived his right to a trial by jury and
later proffered a no-contest plea to all counts and specifications in
the indictment. Under Ohio law, a capital defendant who waives his right
to trial by jury and elects to be tried by the court, is actually tried
by a three-judge panel. Furthermore, even on a no-contest plea, the
prosecution must produce evidence to prove aggravated murder with the
specified aggravating circumstances. The prosecution presented the three-judge
panel with evidence, including the murder weapon, various other pieces
of physical evidence, and transcripts of Fautenberry’s confessions to
Agent Ott, Officer Nelson, and Ms. Priest-Herndon. After reviewing this
evidence, the court concluded beyond a reasonable doubt that Fautenberry
was guilty of all counts and specifications in the indictment, and
accepted his plea.
In September 1992, the three-judge panel held a
sentencing hearing. The defense presented its mitigating evidence, which
included testimony from Fautenberry, Dr. Nancy Schmidtgoessling, and
friends who knew Fautenberry well. Those friends included Louise
Corcoran (a long-time friend of Fautenberry’s family), Ms. Priest-Herndon
(Fautenberry’s former girlfriend with whom he had lived), and Mary
Theresa Slayback (a friend with whom Fautenberry lived during his early
twenties). After hearing all of this evidence, as well as the testimony
of the six law-enforcement officers presented during the mitigation
hearing by the prosecution, the three-judge panel imposed the death
penalty, finding that, despite the defense’s “thorough job in presenting
the mitigating factors,” it was beyond a reasonable doubt that the
aggravating factors sufficiently outweighed the mitigating factors.
UPDATE: On July 8, 2009, Ohio governor Ted
Strickland denied a clemency request from Fautenberry. Strickland said
he thoroughly reviewed the case of 45-year-old John Fautenberry before
making his decision. The Ohio Parole Board unanimously recommended last
month that Strickland reject mercy for Fautenberry.
UPDATE: Fautenberry declined to make a final
statement before he was executed. John Fautenberry, 45, shook his head
Tuesday and said no when technicians asked him whether he wanted to say
any final words. Joseph Daron's daughter Rachel, who was 4 when her
father was murdered, attended the execution with her mother, but they
remained in a waiting room and did not watch. The 22-year-old said she
wished the execution had come sooner, but she did not expect to hear any
last words from Fautenberry. "I knew he's not sorry," she said. "He
didn't care. And even if he did, it's not going to bring my dad back or
any of the other victims back." Fautenberry died by lethal injection at
the Southern Ohio Correctional Facility, hours after the U.S. Supreme
Court denied a request to delay his execution on a claim that he had
brain damage. Six people watched the execution on behalf of victims'
families. Fautenberry had no family members or friends present. One of
the witnesses was Charlene Farmer, the mother of Gary Farmer, a fellow
trucker whom Fautenberry was convicted of killing. Afterward, she said
she had traveled to Ohio from Tennessee for the execution with the hope
that Fautenberry would finally apologize to her for killing her son. She
said she believed Fautenberry died an easy death. "My son laid in the
truck for they don't know how long with a bullet in his brain," she said.
[Cite as State v. Fautenberry
(1995), Ohio St.3d .]
(No. 94-722 -- Submitted March
22, 1995 -- Decided July 5, 1995.)
Appeal from the Court of Appeals
for Hamilton County, No. C-920734.
On March 27, 1991, the Grand Jury
of Hamilton County, Ohio, returned a five-count
indictment against appellant, John Fautenberry.
Count One charged Fautenberry with the aggravated
murder of Joseph Daron pursuant to R.C. 2903.01, and
included two specifications: first, that the murder
of Daron was committed while Fautenberry was
committing, attempting to commit, or fleeing
immediately after committing or attempting to commit
the offense of aggravated robbery; and second that
Fautenberry possessed a firearm when he committed
the murder.
Count Two contained a second
charge of aggravated murder involving the same
victim and included two specifications, namely, that
the murder was part of a course of conduct involving
the purposeful killing of or attempt to kill two or
more persons, and that Fautenberry possessed a
firearm while committing the offense. The remaining
counts charged Fautenberry with aggravated robbery,
theft of a motor vehicle, and theft of a credit card.
On July 23, 1992, a three-judge
panel accepted appellant's pleas of no contest to
each of the five charges. The panel then considered
the admitted facts and evidence, and found appellant
guilty as to all counts. The evidence, including the
transcripts of several confessions appellant made to
the police, established the following.
During 1990, appellant worked as
a cross-country truck driver for a company based in
Portland, Oregon. In the early part of November
1990, appellant informed one of his supervisors that
he was quitting his job because of the long hours
that were required of him as a truck driver.
Thereafter, appellant spent a few days at the Flying
J Truck Stop in Portland loading and unloading
trucks for money. It was at that time that appellant
met Donald Nutley. On one occasion, Nutley, who
possessed several firearms, invited appellant to go
target shooting with him. The two drove to an area
near Mt.
Hood, Oregon where they proceeded
to fire at bottles until approximately sunset. As
they walked back to Nutley's vehicle, appellant
fired a single, fatal .38 caliber round into the
right side of Nutley's head. Appellant then stole
approximately $10,000 in cash from his victim and
dumped the body somewhere in the Mt. Hood area.
Nutley's body was not located until April 1991.
In early February 1991, appellant
was traveling from Rhode Island to Ohio when he
arrived at the Pilot Truck Plaza in Hunterdon County,
New Jersey. Appellant, out of money and in need of
gasoline in order to continue his trip, met Gary
Farmer, who allegedly offered to provide appellant
with food and money in exchange for sex. Upon
entering Farmer's truck, appellant fatally shot
Farmer once in the head with a .22 caliber handgun.
Appellant left the body in the truck, stole the
victim's wallet, and completed his trip to
Cincinnati, Ohio.
After spending some time in
Cincinnati, appellant left his sister's home on
February 17, 1991, with no money, no transportation,
and, it appears, a desire to travel to Oregon.
Appellant began hitchhiking on
Interstate 275 when Joseph William Daron, a father
of two young children, stopped his vehicle and
offered appellant a ride. Appellant explained that
he was trying to reach Columbus. Daron offered to
drive appellant approximately twenty miles out of
his way to a restaurant near the junction of
Interstate 71, where appellant believed he might
better be able to find a ride to Columbus.
Upon reaching the restaurant,
appellant exited Daron's vehicle, reached back into
the car and shot Daron twice in the right side of
his chest with the same .22 caliber handgun that he
had used to kill Farmer. After the shooting,
appellant drove to a wooded area on the north bank
of the Ohio River, where he threw Daron's body.
Appellant then used Daron's vehicle, credit cards,
and cash to return to Oregon.
Appellant arrived in Portland,
Oregon, on February 24, 1991, and went to a local
bar to meet a friend, Wes Halbrook.
Several people, including
Christine Guthrie, were invited to join the two men
at Halbrook's apartment for a private party.
The following day, appellant and
Guthrie traveled to Rockaway, Oregon where they
spent a few days at the Silver Sands Motel.
On the return trip to Portland,
appellant drove Guthrie to a wooded area, where
appellant claimed they would find something of
interest. The two walked into the woods on foot and
appellant fired three shots from his Jennings J 22
pistol into the back of Christine Guthrie's head.
Appellant then took the victim's bank credit card
and address book containing the personal
identification number for the credit card, left the
body in the woods, and returned to Portland, where
he used the credit card to make cash withdrawals.
Guthrie's body was not discovered until April 1991.
In early March 1991, appellant
traveled to Juneau, Alaska. While there he spent his
time working on a fishing boat and consuming large
quantities of alcohol. Appellant met Jefferson
Diffee at some point during this period. On March
13, 1991, appellant accompanied Diffee to the
latter's apartment, where appellant beat, handcuffed
and fatally stabbed Diffee seventeen times. Shortly
thereafter, appellant was arrested by the Alaska
police. He ultimately pled guilty to the charge of
first-degree murder in connection with Diffee's
death, and received the maximum sentence available
under Alaska state law: ninety-nine years'
confinement without parole eligibility.
Shortly after his arrest by the
Alaska police, appellant made four separate
statements to various law enforcement officers
concerning his involvement with the five murders.
Appellant spoke to the police in
detail concerning the sites of the murders, the
manner in which he had carried out the killings, and
the locations where the police could find the
victims' bodies.
After finding appellant guilty of
all counts and specifications in connection with
Daron's murder, the Hamilton County three-judge
panel conducted a mitigation hearing on September
14, 1992. The panel unanimously sentenced
Fautenberry to death. Consecutive sentences were
imposed for the other offenses, except those which
were merged. The court of appeals affirmed
appellant's convictions and sentence of death.
This cause is before the court
upon an appeal as of right.
Joseph T. Deters, Hamilton County
Prosecuting Attorney, and Christian J. Schaefer,
Assistant Prosecuting Attorney, for appellee.
H. Fred Hoefle and Peter
Pandilidis, for appellant.
Alice Robie Resnick, J. In
accordance with R.C. 2929.05(A), we are required to
undertake a three-part review of appellant's
convictions and sentence of death. First, we must
review the judgment and consider the issues raised
on appeal as we do in all cases. Second, we must
independently weigh the evidence disclosed in the
record and determine whether the aggravating
circumstances the appellant was found guilty of
committing outweigh the mitigating factors beyond a
reasonable doubt. Finally, we must decide whether
the sentence of death is appropriate after
considering whether the sentence is excessive or
disproportionate to the penalty imposed in similar
cases. For the reasons which follow, we affirm the
judgments of conviction and uphold the sentence of
death.
A
I
Appellant alleges in his first
proposition of law that the three-judge panel
committed reversible error by considering victim-impact
statements during the penalty phase of the
proceedings. The statements included expressions
from the victim's family, the victim's employer and
the arresting officer concerning the impact of
Daron's death on his survivors and the appropriate
sentence that should be imposed.
Specifically, the victim-impact
evidence indicated that each individual who was
interviewed wanted appellant to receive "the maximum
sentence" available under the law. Appellant argues
that these statements make the sentence of death "the
product, not of law and reason, but of passion and
bias," as prohibited by State v. Huertas (1990), 51
Ohio St.3d 22, 553 N.E.2d 1058.
In Huertas, this court concluded
that "[e]xpressions of opinion by a witness as to
the appropriateness of a particular sentence in a
capital case violate the defendant's constitutional
right to have the sentencing decision made by the
jury and judge." Id. at syllabus. The conclusion in
Huertas hinged upon the holdings of two United
States Supreme Court decisions which prohibited the
introduction of victim-impact evidence not directly
related to the circumstances of the crime. Booth v.
Maryland (1987), 482 U.S. 496, 107 S.C. 2529, 96
L.Ed.2d 440, and South Carolina v. Gathers (1989),
490 U.S. 805, 109 S.Ct. 2207, 104 L.Ed.2d 876.
Booth and Gathers were eventually
overruled in Payne v. Tennessee (1991), 501 U.S.
808, 111 S.Ct. 2597, 115 L.Ed. 2d 720, where the
Supreme Court determined, "if a State chooses to
permit the admission of victim impact evidence and
prosecutorial argument on that subject, the Eighth
Amendment erects no per se bar. A State may
legitimately conclude that evidence about the victim
and about the impact of the murder on the victim's
family is relevant to the jury's decision as to
whether or not the death penalty should be imposed."
Id. at 827, 115 L.Ed.2d at 736, 111 S.Ct. at 2609.
Those statements which describe
the tragic impact of Daron's murder on his family
and friends clearly fall within the scope of victim
evidence contemplated by Payne. The expressions of
opinion relating to the appropriate sentence to be
imposed against appellant, however, reach beyond
Payne.1 As a result, we find error in the admission
of that part of the victim-impact statements which
relate to sentencing recommendations. Nevertheless,
we are not persuaded that such error warrants
reversal.
A review of the three-judge
panel's decision in the instant action fails to
demonstrate that the judges contemplated or relied
upon the victim-impact evidence which was available
to them. "Absent an indication that the panel was
influenced by or considered victim impact evidence
in arriving at its sentencing decision," the
admission of such is not reversible error. State v.
Post (1987), 32 Ohio St.3d 380, 384, 513 N.E.2d 754,
759; see also, State v. Cooey (1989), 46 Ohio St.3d
20, 33, 544 N.E.2d 895, 912. Furthermore, because we
presume that "'*** in a bench trial in a criminal
case the court considered only the relevant,
material, and competent evidence in arriving at its
judgment unless it affirmatively appears to the
contrary[,]'" we reject appellant's first
proposition of law. Post, 32 Ohio St.3d at 384, 513
N.E.2d at 759, quoting State v. White (1968), 15
Ohio St.2d 146, 151, 44 O.O.2d 132, 136, 239 N.E.2d
65, 70.
At this juncture, we note that
our decision in State v. Loza (1994), 71 Ohio St.3d
61, 641 N.E.2d 1082, included a limited discussion
of victim-impact evidence which, upon further
reflection and review, requires some clarification.
The appellant's twenty-fifth
proposition of law in Loza in part challenged
statements made by the prosecutor concerning the
fact that one of the four murdered victims was a
pregnant woman, and that the killing of the four
people represented a loss of "many years" of
combined potential life expectancy.
Loza argued that these statements,
made during the penalty phase of the trial,
constituted impermissible victim-impact evidence
which denied him a fair penalty determination. We
rejected this argument, but now offer some
additional discussion for doing so.
While the prosecutor's comments
in Loza fit within the fairly broad definition of
victim-impact evidence contemplated by Payne, supra,
they also represent a recitation of the facts and
circumstances surrounding the offense that were
introduced during the guilt phase of the trial. True
victim-impact evidence, pursuant to the terms of R.C.
2930.13, 2930.14 and 2947.051, shall be considered
by the trial court prior to imposing sentence upon a
defendant, not during the guilt phase of the
proceedings. Evidence relating to the facts
attendant to the offense, however, is clearly
admissible during the guilt phase. As a result, we
find that evidence which depicts both the
circumstances surrounding the commission of the
murder and also the impact of the murder on the
victim's family, may be admissible during both the
guilt and the sentencing phases.
For that reason, we decided that
the statements made by the prosecutor in Loza were
properly admitted.
II
In his second proposition of law,
appellant asserts that the trial court relied upon
nonstatutory aggravating circumstances to justify
the death sentence. Appellant focuses upon the
portion of the panel's opinion titled "WEIGHING
AGGRAVATING CIRCUMSTANCE [sic] AGAINST MITIGATING
FACTORS," where the panel, following a discussion of
the mitigating factors, stated:
"However, these mitigating
factors pale before the simple fact that defendant's
actions were plotted, vicious, persistent and
utterly callous. Joseph Daron was shot not once, but
twice. His belongings including money[,] credit
cards, [B]ible and even his vehicle were stolen by
the defendant. Then his body was thrown into a
wooded area near the Ohio River.
"The actions of the defendant
were contemplated and calculating as he asked Joseph
Daron to drive twenty miles out of his way, all the
time knowing he would kill Daron and steal his
belongings. John Fautenberry's calculation[s]
continued after the shooting as he drove to the Ohio
River looking for a place to hide Joseph Daron's
body."
Appellant contends that this
portion of the trial court's sentencing opinion
represents an impermissible conversion of the nature
of the crime into nonstatutory aggravating
circumstances. We disagree. In its opinion, the
panel specifically set forth the statutory
aggravating circumstances that had been proven
beyond a reasonable doubt: first, that the murder of
Joseph Daron was part of a course of conduct
involving the purposeful killing of two or more
people (R.C. 2929.04[A][5]), and second, that the
murder occurred while appellant committed the
offense of aggravated robbery (R.C. 2929.04[A][7]).
Only then did the trial court turn to a discussion
of the facts surrounding the commission of the
murder.
It is well settled that, "[u]nder
R.C. 2929.03(F), a trial court or three-judge panel
may rely upon and cite the nature and circumstances
of the offense as reasons supporting its finding
that the aggravating circumstances were sufficient
to outweigh the mitigating factors." State v. Stumpf
(1987), 32 Ohio St.3d 95, 512 N.E.2d 598, paragraph
one of the syllabus.
See, also, State v. Smith (1991),
61 Ohio St.3d 284, 293, 574 N.E.2d 510, 518; State
v. Lott (1990), 51 Ohio St.3d 160, 171, 555 N.E.2d
293, 305. The trial court in the case at bar clearly
understood the difference between statutory
aggravating circumstances and additional facts which
depicted the nature and circumstances of the murder.
Furthermore, it is only by considering both the
facts surrounding the crime and also the statutory
aggravating circumstances that judges and juries can
prevent the implementation of a rigid and
mechanistic sentencing scheme. State v. Jester
(1987), 32 Ohio St.3d 147, 153, 512 N.E.2d 962, 969.
Upon thorough review and
consideration of the trial court's opinion, we find
that the nature and circumstances of the offense
were simply utilized to support the trial court's
finding that the aggravating circumstances
outweighed the mitigating factors. Appellant's
second proposition is accordingly overruled.
III
Appellant alleges in his third
proposition of law that the three-judge panel failed
to consider several offered mitigating factors. R.C.
2929.04(B) requires the trial court to consider and
weigh against the proven aggravating circumstances
the nature and circumstances of the offense, the
history, character and background of the offender,
and seven mitigating factors, including "[a]ny other
factors that are relevant to the issue of whether
the offender should be sentenced to death."
Appellant specifically challenges the trial court's
conclusion that age (R.C. 2929.04[B][4]), lack of
prior criminal record (R.C. 2929.04[B][5]), and
cooperation with police (R.C. 2929.04[B][7]) were
not mitigating factors in this case.
Appellant focuses his challenge
in part on the claimed difference between the trial
court giving little or no weight to a mitigation
factor and the trial court finding that a mitigating
factor does not exist. In the case at bar, the three-judge
panel determined that neither youth nor lack of a
prior criminal record existed as a mitigating
factor, since appellant was twenty-seven-years old
at the time of the murder and had one prior felony
conviction for carrying a concealed weapon, in
addition to at least one misdemeanor conviction.
The trial court's conclusions are
consistent with previous decisions of this court.
See, e.g., State v. Campbell (1994), 69 Ohio St.3d
38, 54, 630 N.E.2d 339, 353 (youth mitigation factor
does not apply where defendant is twenty-seven years
of age at time of offense); State v. Brewer (1990),
48 Ohio St.3d 50, 64, 549 N.E.2d 491, 505 (youth
mitigation factor not established when defendant is
twenty-five-years old at time of offense); State v.
Lott, supra, 51 Ohio St.3d 160, 173, 555 N.E.2d 293,
306 (two previous felonies make R.C. 2929.04[B][5] "inapplicable"
as a mitigating factor). Clearly both age and prior
criminal record were considered in the mitigation
process, but they were simply negated by the facts
at hand.
Appellant further claims that the
trial court did not properly consider his
cooperation with police or his history, character
and background. This argument is also without merit.
The sentencing opinion specifically mentions the
fact that appellant confessed to each of the murders
and cooperated with the law enforcement officers. "While
R.C. 2929.04(B)(evinces the legislature's intent
that a defendant in a capital case be given wide
latitude to introduce any evidence the defendant
considers to be mitigating, this does not mean that
the court is necessarily required to accept as
mitigating everything offered by the defendant and
admitted. The fact that an item of evidence is
admissible under R.C. 2929.04(B)(7) does not
automatically mean that it must be given any weight."
State v. Steffen (1987), 31 Ohio St.3d 111, 31 OBR
273, 509 N.E.2d 383, paragraph two of the syllabus.
See, also, State v. Davis (1991), 62 Ohio St.3d 326,
346, 581 N.E.2d 1362, 1379.
Moreover, this court
independently weighs the aggravating circumstances
against the mitigating factors of the crime.
That review can negate any claim
of error in previous reviews.
State v. Lott, 51 Ohio St.3d at
170, 555 N.E.2d at 304.
Appellant's proposition of law is
therefore without merit.
IV
In his fourth proposition of law,
appellant argues prejudicial error because the
sentencing opinion written by the trial court listed
all statutory mitigating factors, including those
not raised by defense counsel.
In State v. DePew (1988), 38 Ohio
St.3d 275, 289, 528 N.E.2d 542, 557-558, this court
determined that if a defendant chooses to refrain
from raising some or all of the mitigating factors
available to him under R.C. 2929.04(B), those
factors not raised may not be referred to or
commented upon by the trial court or prosecution.
The trial court's reference to factors not
introduced by the defendant, however, does not
constitute reversible error. Id. at 290, 528 N.E.2d
at 558.
See, also, State v. Lorraine
(1993), 66 Ohio St.3d 414, 425, 613 N.E.2d 212, 221.
We also presume, unless clearly demonstrated
otherwise, that the panel based its decision on only
relevant, material, and competent evidence. State v.
Post, 32 Ohio St.3d at 384, 513 N.E.2d at 759; State
v. White, supra, 15 Ohio St.2d at 151, 44 O.O.2d at
136, 239 N.E.2d at 70.
Furthermore, our independent
review of the sentence can rectify any sentencing
errors that may have occurred. State v. Lott, supra.
Appellant's fourth proposition of law is overruled.
V
In his fifth proposition of law,
appellant asserts that the state failed to prove
beyond a reasonable doubt that the aggravating
circumstances outweigh the mitigating factors. As we
discussed in State v. Sowell (1988), 39 Ohio St.3d
322, 334, 530 N.E.2d 1294, 1307, "[t]he 'weighing'
procedure *** is not a mere counting process of the
number of aggravating circumstances and the number
of mitigating factors. It is a reasoned judgment as
to which situations require the death sentence and
which situations require life imprisonment, based
upon the totality of the evidence presented by both
parties."
A review of the instant record
reveals that the evidence presented was sufficient
for the three-judge panel to determine that the
aggravating circumstances outweigh the mitigating
factors beyond a reasonable doubt. We address this
issue further in Part B of our opinion, infra,
pursuant to our duty to independently weigh the
aggravating circumstances against the mitigating
factors. See R.C. 2929.05(A).
VI
In his sixth proposition of law,
appellant challenges the constitutionality of Ohio's
death-penalty statute on several grounds. These
arguments have all been previously addressed and
rejected by this court. State v. Poindexter (1988),
36 Ohio St.3d 1, 520 N.E.2d 568; State v. Henderson
(1988), 39 Ohio St.3d 24, 528 N.E.2d 1237; State v.
Zuern (1987), 32 Ohio St.3d 56, 512 N.E.2d 585;
State v. Jenkins (1984), 15 Ohio St.3d 164, 15 OBR
311, 473 N.E.2d 264. Appellant's proposition of law
is therefore overruled.
VII
In his final proposition of law,
appellant argues that the trial court erred in
sentencing him to death because his death sentence
is disproportionately severe because no fewer than
ten other defendants in the same county were
convicted of aggravated murder during the commission
of aggravated robbery, but were not capitally
prosecuted. This argument has been repeatedly
rejected by this court. State v. Sowell, supra , at
335, 530 N.E.2d at 1308; State v. Jenkins, supra, at
209, 15 OBR at 350, 473 N.E.2d at 304; State v.
Steffen, supra, at 123-124, 31 OBR at 283-284, 509
N.E.2d at 394-395. For the reasons set forth in
those decisions, we adhere to that position today.
B
Having completed our examination
of the issues raised upon appeal, we must now turn
to an independent review of the record as required
by R.C. 2929.05, for the purpose of determining
whether the mitigating factors present in this case
are outweighed by the aggravating circumstances
appellant was found guilty of committing.
Turning first to the aggravating
circumstances, the evidence established beyond a
reasonable doubt that the murder of Daron was part
of a course of conduct involving the purposeful
killing of five people (R.C. 2929.04[A][5]), and
that the murder occurred while appellant committed
the offense of aggravated robbery (R.C.
2929.04[A][7]).
With respect to the nature and
circumstances of the crime, the facts demonstrate
that during the five-month period between November
1990 and March 1991, appellant committed five
brutal, calculated murders in four different states.
Appellant perpetrated each murder simply as a means
to facilitate his trip across the country. Daron, a
devoted father and religious man, lost his life
because he stopped to offer appellant some
assistance. After being driven to his chosen
destination more than twenty miles out of Daron's
way, appellant fired two shots into Daron's chest,
stole his wallet and personal belongings, and
ultimately disposed of the body in a secluded area
near the Ohio River. Appellant thereafter used the
stolen money, credit cards and vehicle to make his
way to Oregon, where he continued his killing spree.
The defense presented the
videotaped testimony of three witnesses during the
mitigation hearing concerning appellant's history,
character, and background. Louise M. Corcoran, a
long-time family friend, testified to the difficult
childhood appellant experienced as a result of the
repeated abuse and rejection inflicted on him by his
father and later by two stepfathers. Olivia Priest,
who was once appellant's stepmother and later his
girlfriend, testified that she knew appellant as a
kind, caring and sometimes overly protective
individual. She also acknowledged alcohol and drug
abuse by appellant on numerous occasions. Finally,
Margaret Berck of the Juneau office of the Alaska
Public Defender Agency testified that an Alaska
judge had sentenced appellant to ninety-nine years'
confinement for the murder of Jefferson Diffee. She
further stated that appellant would be required to
serve a minimum of sixty-six years before being
considered for any type of early release.
Mary Slayback, appellant's
maternal aunt, testified during the mitigation
hearing concerning the abusive environment in which
appellant was raised. She also reported that
appellant had lived with her in her home for a
period of time during his early twenties. Slayback
described appellant as cooperative, thoughtful and
kind.
The defense psychologist, Dr.
Nancy Schmidtgoessling, testified that appellant's
performance on a number of psychological tests
indicated an average range of intelligence with no
signs of organic impairment. She confirmed that
appellant spent his childhood in an environment of
dysfunctional, abusive relationships where he was
frequently abused, humiliated, rejected and
ultimately abandoned by his father and stepfathers.
As a result of his background, appellant carries
extreme feelings of worthlessness, distrust and
suppressed rage. Dr. Schmidtgoessling further
determined that while appellant exhibits a mixed
personality disorder with narcissistic and
antisocial tendencies, he does not suffer from a
"mental disease or defect," as that phrase is used
in R.C. 2929.04(B)(3). The effects of appellant's
personality disorder have been further compounded by
his abuse of alcohol and other substances. Finally,
Dr. Schmidtgoessling testified that appellant's
killing spree would likely have continued but for
his arrest in Alaska.
Appellant chose to make an
unsworn statement to the court during the mitigation
hearing in which he described various childhood
memories, both positive and negative. He recounted
instances of physical and emotional abuse that he
and his mother suffered because of his father and
stepfathers. He spoke of his abuse of alcohol and
drugs, which began in high school, led to his
discharge from the military, and contributed to
everything "falling apart" in November 1990 just
before he killed Donald Nutley. Appellant concluded
his statement with expressions of sorrow for the
person he has become and a request for a life
sentence so that he could have an opportunity to
work with other children of abuse.
The prosecution presented six
witnesses during the mitigation phase, each a law
enforcement officer. Five of the six were police
officers from the states in which appellant had
committed the murders. Those officers identified the
victims that had been found in their respective
jurisdictions and related details of the subsequent
investigations which led them to appellant. The
sixth witness was Larry Ott, a special agent with
the Federal Bureau of Investigation. Agent Ott and
two of the state police officers, Detective Thomas
Nelson and Investigator Walter Bowman, testified
that appellant cooperated with the police by
confessing to the murders and providing information
as to where the bodies and various evidentiary items
could be located.
Upon review of all the evidence
offered as mitigation, we find that little or no
weight should be given to any of the statutory
mitigating factors. The facts in this case fail to
demonstrate that Daron in any way "induced or
facilitated" the offense within the meaning of R.C.
2929.04(B)(1). Nor do the facts indicate that
appellant acted under "duress, coercion, or strong
provocation," as set forth in R.C. 2929.04(B)(2).
The defense psychologist's testimony indicates that
while appellant exhibits a personality disorder, he
does not suffer from a mental disease or defect
contemplated by R.C. 2929.04(B)(3).
Appellant's age of twenty-seven
at the time of the murder negates R.C.
2929.04(B)(4). Given appellant's previous felony and
misdemeanor convictions, we assign no weight to
appellant's claim that he lacks a significant
criminal history under R.C. 2929.04(B)(5). No other
offenders were involved in the murder, thereby
rendering R.C. 2929.04(B)(6) inapplicable.
Mitigating factors which fall under R.C.
2929.04(B)(7) include appellant's abusive childhood,
his cooperation with law enforcement officers, and
his alcohol and substance abuse, but each warrants
little weight. We therefore find that the
substantial aggravating circumstances established by
competent evidence outweigh the mitigating factors
beyond a reasonable doubt.
C
Finally, we are required,
pursuant to R.C. 2929.05(A), to consider whether the
sentence imposed in this case was excessive or
disproportionate. We have upheld death penalties in
other cases involving aggravated murders which
involved the purposeful killing of or attempt to
kill two or more persons, e.g., State v. Lorraine,
supra, 66 Ohio St.3d 414, 613 N.E.2d 212 ; State v.
Frazier (1991), 61 Ohio St.3d 247, 574 N.E.2d 483;
State v. Coleman (1989), 45 Ohio St.3d 298, 544 N.E.2d
622; State v. Sowell, supra, 39 Ohio St.3d 322, 530
N.E.2d 1294; State v. Brown (1988), 38 Ohio St.3d
305, 538 N.E.2d 523; and cases where the aggravated
murder was committed in the course of an aggravated
robbery, e.g., State v. Green (1993), 66 Ohio St.3d
141, 609 N.E.2d 1253; State v. Cook (1992), 65 Ohio
St.3d 516, 605 N.E.2d 70; State v. Brown, supra;
State v. Byrd (1987), 32 Ohio St.3d 79, 512 N.E.2d
611. Therefore, we find that the sentence of death
in this case is neither excessive nor
disproportionate.
Accordingly, we affirm
appellant's convictions and death sentence. The
judgment of the court of appeals is affirmed.
Judgment affirmed.
Moyer, C.J., Douglas, F.E.
Sweeney, Pfeifer and Cook, JJ., concur.
Wright, J., concurs in judgment
only.
FOOTNOTES
1We further recognize that while
R.C. 2930.13(C)(4), which became effective in
October 1994, authorizes a trial court to consider a
written or oral statement by the victim as to the
victim's recommended sanction for the defendant,
similar recommendations by family and friends are
not statutorily authorized.
Fautenberry v. Mitchell, 515 F.3d 614 (6th
Cir. 2008) (Habeas)
Background: Following affirmance, 72 Ohio St.3d 435,
650 N.E.2d 878, of state conviction for aggravated murder and sentence
of death, and exhaustion of state postconviction remedies, state prison
inmate sought federal habeas relief. The United States District Court
for the Southern District of Ohio, James L. Graham, J., denied petition,
and inmate appealed.
Holdings: The Court of Appeals, Alice M. Batchelder,
Circuit Judge, held that: (1) defense counsel did not render ineffective
assistance during penalty phase; (2) any deficiency in presentation of
mitigation evidence at penalty phase did not prejudice defendant; (3) no
actual conflict of interest was shown as to defense attorney who also
was township trustee; (4) inmate failed to show prejudice as to
procedurally defaulted claims of Brady violation; (5) ineffective
assistance of trial counsel claim was procedurally barred; (6) there had
been knowing and intelligent waiver of right to be sentenced by jury;
(7) no-contest plea had been knowing and intelligent; (8) state court's
determination of harmless error as to Eighth Amendment violation at
trial was not contrary to or unreasonable application of clearly
established federal law; (9) ineffective assistance of appellate counsel
claim was procedurally barred; and (10) appellate counsel did not
perform deficiently. Affirmed.
ALICE M. BATCHELDER, Circuit Judge.
Petitioner John Fautenberry (“Fautenberry”), a
prisoner in the state of Ohio awaiting execution, appeals the district
court's denial of his petition for writ of habeas corpus. Fautenberry
raises eight issues on appeal. Finding no merit in any of them, we
AFFIRM the judgment of the district court.
I.
In November 1990, Fautenberry, who had recently quit
his job as a cross-country truck driver, met Donald Nutley at a truck
stop outside Portland, Oregon, and the two men went target shooting
together. After they had finished and were leaving the range,
Fautenberry shot Nutley in the head and stole $10,000 from him.
Fautenberry then drove to Cincinnati, Ohio, where he stayed with his
sister for a short time before traveling to Connecticut to visit an old
friend. In February 1991, while en route back to Cincinnati, Fautenberry-out
of money and in need of gasoline to continue his travels-stopped at a
truck stop in New Jersey. There he met Gary Farmer, who, after learning
of Fautenberry's need for money, offered to buy Fautenberry breakfast
and give him money in exchange for sex. Fautenberry got into the cab of
Farmer's truck, shot Farmer in the head, and took his wallet.
Fautenberry then returned to his sister's residence in Cincinnati.
On February 17, 1991, after another brief stay in
Cincinnati, Fautenberry again left his sister's residence, this time on
foot, in search of money. Fautenberry walked down Highway 125, in the
eastern suburbs of Cincinnati, stopped at the on-ramp to Interstate 275,
and began hitchhiking. Joseph Daron offered to give Fautenberry a ride.
Daron intended to travel only ten miles north to his home in Milford,
Ohio, but, upon learning that Fautenberry wanted to go north to Columbus,
Ohio, he drove Fautenberry an extra ten miles and dropped him near the
intersection of Interstate 275 and Interstate 71, which goes directly to
Columbus. As he exited Daron's vehicle, Fautenberry reached back into
the car and shot Daron twice in the chest. Fautenberry then drove
Daron's car south to Cincinnati, and threw Daron's body into a wooded
area on the north bank of the Ohio River, where it was eventually found
more than a month later by the local authorities. Fautenberry took
Daron's car, wallet, briefcase, wristwatch, and Bible, and returned to
Oregon.
Fautenberry arrived in Portland on February 24, 1991,
and spent the next few days at the Oregon coast with some old friends
and acquaintances, including a woman named Christine Guthrie. Guthrie
accompanied Fautenberry back to Portland from the coast, and along the
way, they stopped on an old logging road. Fautenberry escorted Guthrie
to a secluded portion of the woods, shot her three times in the back of
the head, and stole her bank card. A few days later, after withdrawing
cash from her bank account, Fautenberry traveled to Juneau, Alaska,
where he began working aboard a fishing boat. On March 13, 1991,
Fautenberry met Jefferson Diffee at a local bar, and the two men went to
Diffee's apartment. While there, Fautenberry beat Diffee, handcuffed him,
and stabbed him seventeen times, which resulted in his death. The local
police discovered Fautenberry's fingerprints at the scene of the crime,
and on March 16, 1991, they arrested him for the murder of Diffee. The
police then searched Fautenberry's storage locker and hotel room, where
they found Daron's briefcase, wristwatch, and Bible.
On March 17, 1991, while in police custody,
Fautenberry called Federal Bureau of Investigation (“FBI”) Agent Larry
Ott and left a message indicating that he wanted to talk. Agent Ott went
to the jail, informed Fautenberry of his Miranda rights (which
Fautenberry subsequently waived), and recorded Fautenberry's confession
to the murders of Nutley, Farmer, Daron, and Guthrie. Fautenberry
accurately described the wounds inflicted upon each victim, and
indicated that robbery was the motive for each killing. A few days later,
Fautenberry called his old girlfriend, Olivia Priest-Herndon, and told
her that he was “only after ... money” and that he “did it[,] so [he]
gotta pay the price now.” Fautenberry also confessed to Tom Nelson of
the Portland Police Department, informing Nelson where the bodies of
Nutley and Guthrie were located. In August 1991, Fautenberry pleaded
guilty in an Alaskan state court to the murder of Jefferson Diffee, and
the court sentenced him to 99 years' imprisonment.
In September 1991, the Alaskan authorities
transferred Fautenberry to Hamilton County, Ohio, the county in which
Cincinnati is located, where a grand jury had returned a five-count
indictment charging Fautenberry with two counts of aggravated murder (both
pertaining to the death of Daron), aggravated robbery, theft of a motor
vehicle, and theft of a credit card. The aggravated murder charges
included two specifications, either of which would render Fautenberry
eligible for the death penalty under Ohio law: (1) killing Daron while
committing aggravated robbery; and (2) killing Daron as part of a course
of conduct involving the purposeful killing of two or more persons. See
Ohio Rev.Code § 2929.04(A). Fautenberry waived his right to a trial by
jury and later proffered a no-contest plea to all counts and
specifications in the indictment.
The prosecution presented the three-judge panel FN1
with evidence, including the murder weapon, various other pieces of
physical evidence, and transcripts of Fautenberry's confessions to Agent
Ott, Officer Nelson, and Ms. Priest-Herndon. After reviewing this
evidence, the court concluded beyond a reasonable doubt that Fautenberry
was guilty of all counts and specifications in the indictment, and
accepted his plea. In September 1992, the three-judge panel held a
sentencing hearing. The defense presented its mitigating evidence, which
included testimony from Fautenberry, Dr. Nancy Schmidtgoessling, and
friends who knew Fautenberry well. Those friends included Louise
Corcoran (a long-time friend of Fautenberry's family), Ms. Priest-Herndon
(Fautenberry's former girlfriend with whom he had lived), and Mary
Theresa Slayback (a friend with whom Fautenberry lived during his early
twenties). After hearing all of this evidence, as well as the testimony
of the six law-enforcement officers presented during the mitigation
hearing by the prosecution, the three-judge panel imposed the death
penalty, finding that, despite the defense's “thorough job in presenting
the[ ] mitigating factors,” it was beyond a reasonable doubt that the
aggravating factors sufficiently outweighed the mitigating factors.
FN1. Under Ohio law, a capital defendant who waives
his right to trial by jury and elects to be tried by the court, is
actually tried by a three-judge panel. See Ohio Rev.Code § 2945.06.
Furthermore, even on a no-contest plea, the prosecution must produce
evidence to prove aggravated murder with the specified aggravating
circumstances. See Ohio R.Crim. Pro. 11(c)(3).
Fautenberry appealed to the state appellate court,
which affirmed his conviction and sentence in 1994. See State v.
Fautenberry, No. C-920734, 1994 WL 35023 (Ohio Ct.App. February 9,
1994). The Ohio Supreme Court also affirmed on direct appeal, see State
v. Fautenberry, 72 Ohio St.3d 435, 650 N.E.2d 878 (1995), and the United
States Supreme Court denied Fautenberry's request for review, see
Fautenberry v. Ohio, 516 U.S. 996, 116 S.Ct. 534, 133 L.Ed.2d 439
(1995). In March 1996, Fautenberry filed a motion for reconsideration
with the Ohio Supreme Court, arguing that he had received ineffective
assistance of appellate counsel during his direct appeal to that court.
That motion was summarily denied in May 1996. See State v. Fautenberry,
78 Ohio St.3d 320, 677 N.E.2d 1194 (1997). In July 1996, Fautenberry
filed, pursuant to Ohio App. R. 26(B), an application for reopening
(i.e., a motion for delayed reconsideration) with the state court of
appeals, alleging ineffective assistance of appellate counsel during his
direct appeal to that court. This application was denied because
Fautenberry “failed to demonstrate that there [was] good cause for
filing [ ]his application more than two years after th[e] court's
judgment was journalized.” The Ohio Supreme Court affirmed that decision.
See State v. Fautenberry, 78 Ohio St.3d 320, 677 N.E.2d 1194 (1997).
Also in July 1996, Fautenberry filed his petition for post-conviction
relief. The trial court denied the petition, and the court of appeals
affirmed that denial. See State v. Fautenberry, No. C-971017, 1998 WL
906395 (Ohio Ct.App. December 31, 1998). The Ohio Supreme Court then
declined to review Fautenberry's petition, see State v. Fautenberry, 85
Ohio St.3d 1477, 709 N.E.2d 849 (1999), and refused Fautenberry's
request for reconsideration, see State v. Fautenberry, 86 Ohio St.3d
1422, 711 N.E.2d 1015 (1999).
In May 2000, Fautenberry filed his petition for a
writ of habeas corpus with the federal district court, asserting
nineteen grounds for relief. The State moved to dismiss, contending that
many of Fautenberry's claims had been procedurally defaulted. The
district court partially granted the State's motion and dismissed some
of Fautenberry's claims. In a later opinion and order, the district
court addressed the substance of Fautenberry's non-defaulted claims,
found them to be without merit, and denied Fautenberry's petition for
habeas relief. The district court issued a certificate of appealability
on nine of Fautenberry's claims (two of which relate to his claim for
ineffective assistance of trial counsel during the pretrial and plea
hearing, and which Fautenberry has consolidated for purposes of this
appeal). Fautenberry asserts eight claims on appeal, and we will address
them separately.
II.
“We review de novo the district court's denial of ...
[a] petition for a writ of habeas corpus.” Clinkscale v. Carter, 375
F.3d 430, 435 (6th Cir.2004). Fautenberry filed his habeas petition
after the enactment of the Antiterrorism and Effective Death Penalty Act
of 1996 (“AEDPA”); we will therefore review his claims under the
standards set forth in that statute. See Lindh v. Murphy, 521 U.S. 320,
336, 117 S.Ct. 2059, 138 L.Ed.2d 481 (1997). AEDPA permits a federal
court to grant a writ of habeas corpus only where the state court's
adjudication “resulted in a decision that was contrary to, or involved
an unreasonable application of, clearly established Federal law, as
determined by the Supreme Court of the United States.” 28 U.S.C. §
2254(d)(1). “A federal habeas court may issue the writ under the
‘contrary to’ clause if the state court applies a rule different from
the governing law set forth in [Supreme Court] cases, or if it decides a
case differently than [the Supreme Court has] done on a set of
materially indistinguishable facts.” Bell v. Cone, 535 U.S. 685, 694,
122 S.Ct. 1843, 152 L.Ed.2d 914 (2002). “The [federal] court may grant
relief under the ‘unreasonable application’ clause if the state court
correctly identifies the governing legal principle from [Supreme Court]
decisions but unreasonably applies it to the facts of the particular
case.” Id. “An unreasonable application of federal law is different from
an incorrect application of federal law.” Woodford v. Visciotti, 537 U.S.
19, 25, 123 S.Ct. 357, 154 L.Ed.2d 279 (2002) (quotations omitted). We
may not issue the writ “simply because [we] conclude[ ] in [our]
independent judgment that the relevant state-court decision applied
clearly established federal law erroneously or incorrectly.” Williams v.
Taylor, 529 U.S. 362, 411, 120 S.Ct. 1495, 146 L.Ed.2d 389 (2000).
Instead, we must find that “the state court's application of clearly
established federal law [was] objectively unreasonable.” Cone, 535 U.S.
at 694, 122 S.Ct. 1843. When identifying the relevant, controlling
federal law for purposes of AEDPA analysis, we look to “the holding, as
opposed to the dicta, of [the Supreme] Court's decisions as of the time
of the relevant state-court decisions.” Williams, 529 U.S. at 412, 120
S.Ct. 1495.
A. Ineffective Assistance of Trial
Counsel During the Penalty Phase of the Proceedings
Fautenberry's primary argument-to which he devoted most of his time at
oral argument-is that his trial counsel rendered ineffective assistance
during the penalty phase of his proceedings. An ineffective-assistance
claim has two components: (1) counsel's performance must have been
deficient, and (2) counsel's deficient performance must have prejudiced
the defendant. Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct.
2052, 80 L.Ed.2d 674 (1984). “[T]he proper standard for attorney
performance is that of reasonably effective assistance,” id., as
measured by “prevailing professional norms.” Rompilla v. Beard, 545 U.S.
374, 380, 125 S.Ct. 2456, 162 L.Ed.2d 360 (2005) (quotation marks and
citations omitted). To establish deficient performance, the habeas
petitioner must show that “counsel's representation fell below an
objective standard of reasonableness.” Strickland, 466 U.S. at 687-88,
104 S.Ct. 2052. When evaluating counsel's performance, we “must indulge
a strong presumption that counsel's conduct falls within the wide range
of reasonable professional assistance.” Darden v. Wainwright, 477 U.S.
168, 186, 106 S.Ct. 2464, 91 L.Ed.2d 144 (1986).
“A convicted defendant making a claim of ineffective
assistance must identify the acts or omissions of counsel that are
alleged not to have been the result of reasonable professional judgment.”
Strickland, 466 U.S. at 690, 104 S.Ct. 2052. Fautenberry contends that
his trial counsel rendered deficient performance by: (1) failing to
communicate meaningfully with him, (2) failing to conduct a “reasonable”
investigation for mitigating evidence, and (3) failing to retain
“reasonable and necessary” experts. The state court rejected this claim,
relying primarily on Fautenberry's refusal to cooperate. We address
Fautenberry's three allegations in turn.
First, Fautenberry contends that his counsel failed
to communicate meaningfully with him. The Sixth Amendment, however,
protects the criminal defendant's right to “adversarial process”; that
is, to “have counsel [,] acting in the role of advocate[,] ... require
the prosecution's case to survive the crucible of meaningful adversarial
testing.” United States v. Cronic, 466 U.S. 648, 656, 104 S.Ct. 2039, 80
L.Ed.2d 657 (1984) (quotation marks and citations omitted).
[T]he appropriate inquiry focuses on the adversarial
process, not on the accused's relationship with his lawyer as such. If
counsel is a reasonably effective advocate, he meets constitutional
standards irrespective of his client's evaluation of his performance. It
is for this reason that we attach no weight to either respondent's
expression of satisfaction with counsel's performance at the time of his
trial, or to his later expression of dissatisfaction. Id. at 657 n. 21,
104 S.Ct. 2039 (citations omitted). Thus, at its root, the ineffective-assistance
analysis is based on “an objective standard of reasonableness.”
Strickland, 466 U.S. at 688, 104 S.Ct. 2052.
The record shows that any communication problems
between Fautenberry and his attorneys were the result of Fautenberry's
own determined refusal to communicate, not a lack of availability of, or
effort by, counsel. The record contains abundant evidence indicating
that Fautenberry independently resolved not to communicate or cooperate
with anyone, including his lawyers. Fautenberry's former girlfriend, Ms.
Priest-Herndon, testified that Fautenberry told her of his tactical
decision not to communicate with his attorneys because he “thought that
was his best way to beat this thing.” As the district court aptly noted,
Fautenberry “has not cited, and the court is not aware of, any Supreme
Court case holding that the Sixth Amendment requires counsel to persuade
a recalcitrant client to do that which he ... refused to do.” We find
nothing objectively unreasonable in these attorneys' inability to
communicate meaningfully with Fautenberry, who steadfastly refused to
communicate with them. See Strickland, 466 U.S. at 691, 104 S.Ct. 2052
(“The reasonableness of counsel's actions may be determined or
substantially influenced by the [accused's] own statements or actions.”).
The evidence proffered to demonstrate that counsel
had failed to communicate with Fautenberry is wholly unpersuasive.
Fautenberry relies heavily upon statements in the medical notes recorded
during his pretrial incarceration, in which he said, “I just want to be
treated like a human being,” and “I[ am] as good as dead now.” When
considered in their proper context, these statements, contrary to
Fautenberry's contention, do not demonstrate a dysfunctional attorney-client
relationship. Instead, they display Fautenberry's despondency because of
the situation at hand-he had been incarcerated for six months awaiting
trial for a murder that he had already (on at least three occasions)
confessed to committing. Fautenberry also relies on the affidavit of Dr.
Susan D. Shorr, a mitigation specialist who assisted his attorneys
during their preparation for the sentencing hearing, in which she opined
that Fautenberry became uncooperative and noncommunicative only “[a]s a
result of the breakdown of the relationship between ... Fautenberry and
his attorneys.” This unsubstantiated statement contradicts Ms. Priest-Herndon's
testimony that Fautenberry had told her of his independent, tactical
decision not to communicate with his lawyers, but it substantiates all
other accounts that Fautenberry, in fact, refused to communicate.
Fautenberry's attempts to blame his counsel for his own recalcitrance
and unwillingness to communicate do not demonstrate that counsel were
deficient in failing to communicate meaningfully with Fautenberry.
Second, Fautenberry argues that his attorneys
rendered ineffective assistance by failing to conduct a “reasonable”
mitigation investigation that would have discovered his organic brain
damage.FN2 Fautenberry contends that further investigation would have
revealed his past head injuries and alerted his attorneys to the
likelihood that he had permanent brain damage. We conclude, contrary to
Fautenberry's assertion, that counsel did in fact conduct a reasonable
mitigation investigation.
FN2. The State disputes whether Fautenberry actually
suffers from a functional brain impairment. Because it is not
dispositive to our analysis of this ineffective-assistance claim, we
will assume without deciding that Fautenberry does in fact have some
sort of organic brain damage.
Defense counsel interviewed and procured extensive
testimony from lay witnesses, including Louise Corcoran (a close family
friend) and Ms. Priest-Herndon (Fautenberry's former girlfriend). These
women testified regarding Fautenberry's unstable family environment and
emotionally abusive upbringing. Defense counsel also garnered the
assistance of numerous experts, including Dr. Nancy Schmidtgoessling and
Dr. James Tanley. In fact, counsel hired Dr. Tanley for the express
purpose of conducting a neuropsychological examination-the most
effective means possible of determining whether Fautenberry had a brain
impairment. But Fautenberry refused to submit to the examination.
Counsels' inability to discover or establish organic brain damage is
directly attributable to Fautenberry's refusal to cooperate, rather than
any insufficiency in the investigation. Had Fautenberry not impeded Dr.
Tanley's examination, the doctor presumably would have discovered,
verified, and revealed any such brain damage. We will not find counsel
deficient simply because they did not succeed in discovering his brain
damage or pursue unspecified, alternate avenues (which may or may not
have revealed the brain damage). In light of the “strong presumption
that counsel's conduct falls within the wide range of reasonable
professional assistance,” Darden, 477 U.S. at 186, 106 S.Ct. 2464,
Fautenberry's attorneys conducted a sufficient and reasonable mitigation
investigation under the circumstances Fautenberry created.
Third, Fautenberry contends that his counsel failed
to retain “reasonable and necessary” experts, asserting that neither Dr.
Schmidtgoessling nor Dr. Tanley provided him with a reasonable level of
assistance. We find this argument baseless. Dr. Tanley provided as much
assistance as was possible under the circumstances: He attempted to
examine Fautenberry to determine whether he suffered from a brain
impairment, but Fautenberry refused to participate in the examination.
Thus, any deficiencies in Dr. Tanley's assistance were the result of
Fautenberry's admitted refusal to cooperate, rather than any shortcoming
of Dr. Tanley or any flaw in his work. We conclude as well that any
alleged defect in Dr. Schmidtgoessling's assistance cannot be attributed
to counsel.
Fautenberry argues that Dr. Schmidtgoessling
misdiagnosed his mental condition when she concluded that he did not
suffer from organic brain damage. Even if we assume that Dr.
Schmidtgoessling did misdiagnose Fautenberry,FN3 “[a] licensed
practitioner is generally held to be competent, unless counsel has good
reason to believe to the contrary.” Lundgren v. Mitchell, 440 F.3d 754,
772 (6th Cir.2006). Fautenberry has not shown that counsel had “good
reason” to believe that Dr. Schmidtgoessling was incompetent, and we
conclude that it was objectively reasonable for counsel to rely upon the
doctor's opinions and conclusions. See Campbell v. Coyle, 260 F.3d 531,
555 (6th Cir.2001) (holding, in a case where there was “no evidence that
[the expert] was incompetent[ ] or that [the petitioner's] lawyers had
any reason to question [the expert's] professional qualifications,” that
“it was objectively reasonable for ... trial counsel to rely upon [the
expert's] diagnosis”). Under these circumstances, any inadequacies in
Dr. Schmidtgoessling's expert assistance-assuming there were any-cannot
be the basis for a meritorious ineffective-assistance claim. Accordingly,
we find no deficiency in counsels' performance.
FN3. We have assumed for the sake of argument that
Fautenberry does have some sort of organic brain damage. See n. 2, supra.
Even if Fautenberry could show that his counsels'
performance was deficient, he has not established that he was prejudiced
by that performance. The prejudice prong requires the petitioner to show
that “there is a reasonable probability that, but for counsel's
unprofessional errors, the result of the proceeding would have been
different.” Darden, 477 U.S. at 184, 106 S.Ct. 2464. “When a [petitioner]
challenges a death sentence such as the one at issue in this case, the
question is whether there is a reasonable probability that, absent the
errors, the sentencer ... would have concluded that the balance of
aggravating and mitigating circumstances did not warrant death.”
Strickland, 466 U.S. at 695, 104 S.Ct. 2052. We thus “reweigh the
evidence in aggravation against the totality of available mitigating
evidence,” which, in this case, includes the mitigation evidence that
was omitted because of counsel's alleged deficiencies. See Wiggins v.
Smith, 539 U.S. 510, 534, 123 S.Ct. 2527, 156 L.Ed.2d 471 (2003). A
petitioner does not establish the prejudice element where he shows only
that his counsel failed to present “cumulative” mitigation evidence,
that is, evidence already presented to the jury. Broom v. Mitchell, 441
F.3d 392, 410 (6th Cir.2006). Rather, “to establish prejudice, the new
evidence that a habeas petitioner presents must differ in a substantial
way-in strength and subject matter-from the evidence actually presented
at sentencing.” Clark v. Mitchell, 425 F.3d 270, 286 (6th Cir.2005).
Fautenberry argues that he was prejudiced because,
due to counsel's alleged deficiencies, the jury did not hear evidence
about (1) his personal struggle with, and his family's history of,
depression, (2) the connection between his abusive childhood and the
commission of these murders, (3) his head injuries and resulting organic
brain damage, and (4) the sexual aspects of the murders he committed.
But, Corcoran and Priest-Herndon testified extensively regarding
Fautenberry's rough upbringing, his difficult family life, his poor
relationships with the father figures in his life, his mother's constant
struggle with depression, and his longing for acceptance. After hearing
this testimony, as well as all the other mitigating evidence, the three-judge
panel concluded that the mitigating factors included: (1) Fautenberry's
“past history”; (2) his “abuse[ ] as a child”; (3) the “rage of his
childhood”; (4) his abuse of drugs and alcohol; and (5) his “low self-esteem
and rejection.” The omitted mitigation evidence of Fautenberry's
depression, his family's history of depression, and his abusive
childhood mirrors the evidence actually presented at the sentencing
hearing, and therefore its omission cannot be held to have prejudiced
his mitigation defense. See Broom, 441 F.3d at 410. Furthermore, the
three-judge panel had already heard some evidence about the sexual
nature of the murders. At the guilt phase, the prosecutor had informed
the court that prior to Fautenberry's murder of Farmer in New Jersey,
Fautenberry agreed to have sex with him in exchange for money. See
Gillard v. Mitchell, 445 F.3d 883, 896 (6th Cir.2006) (stating that the
sentencer was “privy” to evidence introduced during the guilt phase of
trial and that counsel need not reintroduce it during the sentencing
hearing). Thus, the court was aware that at least one of Fautenberry's
murders contained a sexual element, and, to the extent that Fautenberry
relies upon this already-disclosed evidence, we find that it is
cumulative and insufficient to establish prejudice.
Inclusion of the non-cumulative evidence (i.e.,
evidence of organic brain damage and the sexual nature of some of the
murders)-which purportedly would have explained his impulsive and
violent nature, inability to tolerate frustration, and sexual confusion-does
not create “a reasonable probability that ... the sentencer ... would
have concluded that the balance of aggravating and mitigating
circumstances did not warrant death.” See Strickland, 466 U.S. at 695,
104 S.Ct. 2052. Furthermore, we question whether evidence of the sexual
nature of the murders is even mitigating. The three-judge panel might
just as well have viewed Fautenberry's apparent strategy of preying on
gay victims as an aggravating factor. Nor do the side-effects of organic
brain damage significantly mitigate Fautenberry's actions. According to
Fautenberry's medical reports, “[b]rain impairment of the sort ...
apparent in ... Fautenberry's case can ... cause serious problems in
such areas of day-to-day functioning as impulse control[,] modulation of
affect[,] planning [,] problem-solving[,] and the capacity to tolerate
frustration.” It is highly unlikely that this sort of evidence would
have altered the three-judge panel's decision to impose the death
sentence for Fautenberry's murder of Daron, which they found was
“contemplated and calculating”-a conclusion that is not at all mitigated
or reduced by the traits associated with or the side effects of organic
brain disorder. In short, when we aggregate all the mitigating evidence,
including Fautenberry's brain disorder and the sexual nature of the
crimes (to the extent that those are even mitigating), and reweigh this
evidence against the aggravating factors, we find that “these mitigating
factors pale before the simple fact that [Fautenberry's] actions were
plotted, vicious, persistent[,] and utterly callous,” which was the
finding of the three-judge panel. Accordingly, even if trial counsel
rendered deficient performance, we find that those deficiencies did not
prejudice Fautenberry. FN4
FN4. At one point in his brief, Fautenberry implies
that the state court's denial of his ineffective-assistance claim was
contrary to the Supreme Court's decision in Rompilla v. Beard, 545 U.S.
374, 125 S.Ct. 2456, 162 L.Ed.2d 360 (2005). This argument is wholly
meritless. Federal law for purposes of AEDPA is defined as “the holding,
as opposed to the dicta, of [the Supreme] Court's decisions as of the
time of the relevant state-court decisions.” Williams, 529 U.S. at 412,
120 S.Ct. 1495. First, Rompilla was decided in 2005, long after
Fautenberry had concluded his proceedings in state court. Second, the
holding in Rompilla is inapposite here. Contrary to Fautenberry's
argument, the Court in Rompilla did not hold that counsel, even though
faced with his client's uncooperative and obstructive behavior, rendered
deficient performance by failing to conduct additional mitigation
investigation. The court made no such statement, holding instead that
“the lawyers were deficient in failing to examine the court file on [the
petitioner's] prior conviction.” Rompilla, 545 U.S. at 383, 125 S.Ct.
2456.
B. Trial Counsel's Alleged Conflict of Interest
Fautenberry next contends that one of his trial
counsel labored under a conflict of interest, which rendered his
assistance per se ineffective and violated Fautenberry's Sixth Amendment
rights. Fautenberry argues that attorney Michael Walton had a conflict
of interest because he was a trustee for Anderson Township, the township
in which Daron's body was found; as a trustee, Walton had a fiduciary
duty to the citizens of that township to ensure that the criminal laws
were upheld; and Walton's duty to the citizens of that township
conflicted with his duty to Fautenberry. The state trial court addressed
this claim, contained in Fautenberry's petition for post-conviction
relief, and found the following facts: (1) “No evidentiary documents
demonstrate that Anderson Township or the Anderson Township Trustees had
an interest in the outcome of [Fautenberry's] trial”; and (2) “No
evidentiary documents demonstrate that service as a Township Trustee
hampered [Fautenberry's] attorneys in any way.” The state appellate
court determined that, “absent evidence of an actual conflict, there is
no presumption of prejudice arising from the mere fact that defense
counsel also serves in some capacity as a public official.” Fautenberry,
1998 WL 906395, at *5. The court then rejected Fautenberry's claim,
finding that Fautenberry had “not presented any evidence to support the
conclusion that Walton's position on the board [of trustees] in any way
influenced his ability to defend Fautenberry at trial.” Id.
A habeas petitioner asserting an ineffective-assistance
claim generally must show that his counsel's performance was deficient
and that the deficiency resulted in prejudice. Strickland, 466 U.S. at
687, 104 S.Ct. 2052. But a habeas petitioner can establish an
ineffective-assistance claim without having to show prejudice if he
demonstrates that his counsel labored under an “actual conflict” of
interest. See Cuyler v. Sullivan, 446 U.S. 335, 348, 100 S.Ct. 1708, 64
L.Ed.2d 333 (1980); Strickland, 466 U.S. at 692, 104 S.Ct. 2052 (“Prejudice
is presumed only if [the petitioner] demonstrates that counsel actively
represented conflicting interests and that an actual conflict of
interest adversely affected his lawyer's performance.”) (quotations
omitted). “An ‘actual conflict,’ for Sixth Amendment purposes, is a
conflict of interest that adversely affects counsel's performance.”
Mickens v. Taylor, 535 U.S. 162, 171 n. 5, 122 S.Ct. 1237, 152 L.Ed.2d
291 (2002).
Fautenberry has not established an “actual conflict.”
He does not challenge the state court's factual findings that “[n]o
evidentiary documents demonstrate that ... the Anderson Township
Trustees had an interest in the outcome of [his] trial” or that “[n]o
evidentiary documents demonstrate that service as a Township Trustee
hampered [his] attorneys in any way.” See 28 U.S.C. § 2254(e)(1) (providing
that “a determination of a factual issue made by a[s]tate court shall be
presumed to be correct” unless the habeas petitioner “rebut[s] the
presumption of correctness by clear and convincing evidence”). After
independently reviewing the record, we find that Fautenberry has failed
to demonstrate that his “counsel actively represented conflicting
interests” or that any alleged conflict “adversely affected his lawyer's
performance.” See Strickland, 466 U.S. at 692, 104 S.Ct. 2052.
Accordingly, we find this claim baseless.
C. The Prosecution Withheld Material Exculpatory
Evidence in Violation of Brady
Fautenberry next argues that the prosecution withheld
material exculpatory evidence in violation of Brady v. Maryland, 373 U.S.
83, 83 S.Ct. 1194, 10 L.Ed.2d 215 (1963). The State argues that this
claim has been procedurally defaulted. A claim is procedurally defaulted
and is thus unreviewable by a federal habeas court where the “habeas
petitioner fail[ed] to obtain consideration of [that] claim by a state
court ... due to [his] failure to raise that claim before the state
courts while state-court remedies [were] still available.” Seymour v.
Walker, 224 F.3d 542, 549-50 (6th Cir.2000). Fautenberry admits that he
did not present his Brady claim to the state courts, but argues that the
prosecution's failure to disclose the evidence is both the cause of and
the prejudice resulting from the default. See Wainwright v. Sykes, 433
U.S. 72, 87, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977) (discussing “cause”
and “prejudice”). A habeas petitioner shows “cause” where he
demonstrates that he failed to raise a constitutional issue because it
was “reasonably unknown to him” at the time. Amadeo v. Zant, 486 U.S.
214, 222, 108 S.Ct. 1771, 100 L.Ed.2d 249 (1988). The district court
found that most of the challenged Brady evidence had not been disclosed
to Fautenberry during his state-court proceedings, and the State does
not directly dispute the “cause” element. Thus we will assume without
deciding that Fautenberry satisfied that element.
The question of whether we may excuse Fautenberry's
procedural default, therefore, turns on the issue of prejudice.
“Prejudice, for purposes of procedural default analysis, requires a
showing that the default of the claim not merely created a possibility
of prejudice to the defendant, but that it worked to his actual and
substantial disadvantage, infecting his entire trial with errors of
constitutional dimensions.” Jamison v. Collins, 291 F.3d 380, 388 (6th
Cir.2002) (citing United States v. Frady, 456 U.S. 152, 170-71, 102 S.Ct.
1584, 71 L.Ed.2d 816 (1982)). Procedural default analysis on the issue
of prejudice mirrors Brady materiality analysis, see id., so in
determining whether Fautenberry has procedurally defaulted his Brady
claim, we will follow the Supreme Court's example and proceed under a
Brady materiality analysis. See Strickler v. Greene, 527 U.S. 263, 282,
119 S.Ct. 1936, 144 L.Ed.2d 286 (1999). Evidence is deemed material for
purposes of Brady “only if there is a reasonable probability that, had
the evidence been disclosed to the defense, the result of the proceeding
would have been different.” United States v. Bagley, 473 U.S. 667, 682,
105 S.Ct. 3375, 87 L.Ed.2d 481 (1985). In a case such as this, involving
a guilty or no-contest plea, the habeas petitioner may establish
prejudice by showing that there is a reasonable probability that, but
for the non-disclosure of evidence, “he would not have [entered his plea]
and would have insisted on going to trial.” See Hill v. Lockhart, 474
U.S. 52, 59, 106 S.Ct. 366, 88 L.Ed.2d 203 (1985). Alternatively, he can
show that the findings and decision by the three-judge panel “would have
been different.” Bagley, 473 U.S. at 682, 105 S.Ct. 3375. Our analysis
must consider the totality of the undisclosed evidence, not each item in
isolation. Id.
Fautenberry contends that the prosecution failed to
produce five categories of exculpatory evidence: (1) evidence suggesting
that FBI Agent Ott violated Fautenberry's Fifth Amendment right to
counsel by contravening the rule announced in Edwards v. Arizona, 451
U.S. 477, 484-85, 101 S.Ct. 1880, 68 L.Ed.2d 378 (1981) (upon requesting
counsel, an accused may not be subjected to further questioning until
counsel is provided, unless the accused reinitiates the questioning);
(2) evidence indicating that the State of Ohio lacked jurisdiction and
that venue was improper in Hamilton County, Ohio; (3) evidence
demonstrating that victim Joseph Daron had verbal arguments with his
girlfriend and another friend just prior to his disappearance; (4)
evidence relating to the sexual nature of the murders; and (5) evidence
indicating that Fautenberry was depressed and suicidal just prior to the
murders. For the following reasons, we find that Fautenberry has failed
to establish that any of this evidence is material for purposes of Brady.
First, the undisclosed documents concerning
Fautenberry's interaction with Agent Ott do not establish an Edwards
violation. Fautenberry was arrested on May 16, 1991, and sometime during
the following day, while in police custody, he invoked his Fifth
Amendment right to counsel. According to Edwards and its progeny, an
accused in police custody who has invoked his Fifth Amendment right to
counsel is protected from further police questioning so long as “the
accused himself [does not] initiate[ ] further communication, exchanges,
or conversations with the police.” Edwards, 451 U.S. at 484-85, 101 S.Ct.
1880; see also Van Hook v. Anderson, 488 F.3d 411, 415 (6th Cir.2007) (
en banc ). Here, the evidence shows that it was Fautenberry himself who
initiated communications with Agent Ott, after invoking his right to
counsel. Sometime in the evening of May 17, 1991, a few hours after
asking to speak with a lawyer, Fautenberry called Agent Ott and left a
message indicating that he wanted to talk. At this point, Fautenberry
had clearly initiated further communications with the police, and Agent
Ott did not violate Fautenberry's Fifth Amendment right to counsel by
questioning him at that time. The alleged Brady evidence shows only that
Agent Ott returned Fautenberry's call a few hours later and left a
message stating that Fautenberry should call him if he still wanted to
talk. After waiting for two hours without hearing from Fautenberry,
Agent Ott called the jail, made arrangements to visit Fautenberry, spoke
with Fautenberry (apparently without any objection or refusal on the
part of Fautenberry), and received Fautenberry's confession to the four
murders.
Fautenberry contends that this newly discovered
evidence establishes an Edwards violation. We disagree. Fautenberry's
mere failure to return Agent Ott's call and “confirm” his desire to
speak does not negate Fautenberry's prior, unambiguous initiation of
further communication. To be sure, had Fautenberry reinvoked his Fifth
Amendment right to counsel after initiating communication with Agent Ott,
he would have been protected from further questioning, but Fautenberry
does not assert that he did so and the alleged Brady evidence does not
demonstrate that he did so. In order to invoke one's Fifth Amendment
right to counsel, the “suspect must unambiguously request counsel,”
meaning that “he must articulate his desire to have counsel present
sufficiently clearly that a reasonable police officer in the
circumstances would understand the statement to be a request for an
attorney.” Davis v. United States, 512 U.S. 452, 459, 114 S.Ct. 2350,
129 L.Ed.2d 362 (1994) (holding that an ambiguous mention of an attorney
is not a request for counsel). The alleged Brady evidence does not
indicate that Fautenberry renewed his request for an attorney,
unambiguously or otherwise, and is therefore insufficient to establish
an Edwards violation or to require the suppression of his confession to
Agent Ott. Moreover, all of the events that transpired during this time
were known to Fautenberry and there is no basis for assuming that the
non-disclosure of this evidence affected his decision to enter his no-contest
plea. See Bagley, 473 U.S. at 682, 105 S.Ct. 3375.
Second, the undisclosed evidence does not establish
that Ohio lacked jurisdiction or that Hamilton County was not the proper
venue for prosecution. The state court found that Fautenberry entered
Daron's car at “the on-ramp to [Interstate] 275 off of Highway 125,” see
Fautenberry, 1994 WL 35023, at *2, which is located to the east of
Cincinnati, near the border of Hamilton County, Ohio, and Clermont
County, Ohio. The state court concluded that Daron drove north on
Interstate 275 to a destination “some ten miles north of Milford, Ohio,”
see id., and dropped Fautenberry at a “restaurant near the junction of
Interstate 71,” see Fautenberry, 650 N.E.2d at 880. The state court
determined that Fautenberry shot Daron at this location, see id., which
is in Hamilton County, Ohio; and that Fautenberry dumped Daron's body on
the north bank of the Ohio River, near the intersection of Highway 52
and Interstate 275, see Fautenberry, 1994 WL 35023, at *2, which is also
in Hamilton County, Ohio. The body was later found in this general
vicinity. It is therefore clear, based on the facts as found by the
state court, that Ohio had jurisdiction over this murder, see Ohio
Rev.Code §§ 2901.11(A)(1), 2901.11(B) (stating that a “person is subject
to criminal prosecution and punishment in [Ohio] if ... [t]he person
commits an offense under the laws of [Ohio], any element of which takes
place in [Ohio],” and that the elements of a homicide offense “include[
] the act that causes death”), and that Hamilton County was the proper
venue. See Ohio Rev.Code § 2901.12(A) (noting that venue is proper “in
the territory of which the offense or any element of the offense was
committed”). None of the proffered Brady material rebuts any of these
factual findings by clear and convincing evidence; thus we must presume
that these factual findings are correct. See 28 U.S.C. § 2254(e)(1).
Fautenberry argues that two pieces of evidence
indicate that the murder occurred in the Commonwealth of Kentucky. First,
the prosecutor, in his recitation of the facts during the plea hearing,
stated that the murder occurred at “a restaurant and motel parking lot
just past the junction of I-71 and I-275.” Fautenberry emphasizes that
Interstate 275-a highway that circles Cincinnati-and Interstate 71
intersect twice, once in the State of Ohio and once in the Commonwealth
of Kentucky. This argument, of course, entirely ignores the overwhelming
evidence indicating that Daron picked up Fautenberry in an eastern
suburb of Cincinnati, Ohio, and drove north to Columbus, Ohio. This one
arguably ambiguous statement by the prosecutor is woefully insufficient
to rebut the abundant evidence indicating that this murder occurred near
the intersection of Interstate 275 and Interstate 71 in Hamilton County,
Ohio. Second, a psychiatric report, which contains a second-hand account
of Fautenberry's description of the murder, states that Fautenberry
“drove to Kentucky[,] pulled over[,] ... [and] shot the man in the chest
a couple of times.” This hearsay statement is contradicted by all the
evidence in the record and does not amount to clear and convincing
evidence to rebut the state court's factual findings.
The alleged Brady evidence consists of FBI intra-department
communications indicating uncertainty about jurisdiction and venue, and
instructing the officers to obtain more evidence on these issues. These
documents do not establish that jurisdiction or venue were proper
elsewhere; at best, they call these issues into question. Even if we
were to assume, as alleged by Fautenberry, that this evidence creates a
genuine ambiguity as to the location of the murder, both jurisdiction
and venue would nevertheless be proper in Hamilton County, Ohio. Ohio
law provides that “[w]hen the offense involves the death of a person,
and it cannot reasonably be determined in which jurisdiction the offense
was committed, the offender may be tried in the jurisdiction in which
the dead person's body or any part of the dead person's body was found.”
Ohio Rev.Code § 2901.12(J). It is undisputed that Daron's body was found
on the north bank of the Ohio River in Hamilton County, Ohio. Therefore,
even if the evidence as to the location of the murder were unclear, both
jurisdiction and venue would lie in Hamilton County. We conclude that
this evidence was not material because it did not establish an error in
jurisdiction or venue.
The remainder of the alleged Brady evidence-evidence
regarding Daron's arguments prior to his disappearance, the sexual
nature of the murders, and Fautenberry's depression and suicidal
inclinations-is not material for Brady purposes. In fact, the evidence
is virtually insignificant in light of the overwhelming evidence both of
guilt (i.e., the confessions to Agent Ott, Officer Nelson, and Ms.
Priest-Herndon and the physical evidence connecting Fautenberry to
Daron's murder) and the sentencing specifications (i.e., the three-judge
panel's finding that the “mitigating factors pale before the simple fact
that [Fautenberry's] actions were plotted, vicious, persistent[,] and
utterly callous”). Considering as we must the cumulative effect of all
the alleged Brady evidence, we conclude that Fautenberry has failed to
establish a “reasonable probability” that the disclosure of this
evidence would have altered either his decision to enter a no-contest
plea or the three-judge panel's sentence of death. See Bagley, 473 U.S.
at 682, 105 S.Ct. 3375. Because this evidence is not material under
Brady, Fautenberry cannot show prejudice to excuse his procedural
default. See Jamison, 291 F.3d at 388. And because Fautenberry cannot
establish prejudice to excuse his procedurally defaulted Brady claim, he
is not entitled to habeas relief on that basis. FN5
FN5. Fautenberry's Brady claim with regard to most of
this evidence fails for an additional reason: The Brady rule applies
only to evidence that was “known to the prosecution but unknown to the
defense.” United States v. Agurs, 427 U.S. 97, 103, 96 S.Ct. 2392, 49
L.Ed.2d 342 (1976) (emphasis added); see also United States v. Mullins,
22 F.3d 1365, 1371 (6th Cir.1994). Regardless of his guilt in the
commission of the murders, Fautenberry knew the details about his
interaction with Agent Ott and his own state of mind (i.e., his
depression and suicidal tendencies). Furthermore, by pleading no contest,
Fautenberry admitted the facts charged in the indictment, so he also
knew the location where he shot Joseph Daron and any pertinent sexual
aspects of the murders. With the lone exception of the evidence
pertaining to Joseph Daron's relationships, Fautenberry or his counsel
had knowledge of all this “undisclosed evidence.”
D. Ineffective Assistance of Trial Counsel During
the Pretrial Preparation and Plea Hearing
Fautenberry argues that his trial counsel rendered
ineffective assistance during their pretrial preparation and at the plea
hearing. In his habeas petition, Fautenberry presents three subparts to
this ineffective-assistance claim: (A) counsel failed to engage in an
adequate investigation, (B) counsel provided him with erroneous
information regarding the implications of pleading no contest to the
charges against him, and (C) counsel failed to hold the prosecution to
its burden of proof at the plea hearing. The district court determined
that each subpart of this ineffective-assistance claim had been
procedurally defaulted. The court granted Fautenberry a certificate of
appealability only on Subparts A and C, so we do not address the
allegations asserted under Subpart B.
The State argues that we should affirm the district
court's conclusion that Fautenberry procedurally defaulted this claim. A
habeas petitioner procedurally defaults a claim where “a state
procedural rule ... prevents the state courts from reaching the merits
of the petitioner's claim.” Seymour, 224 F.3d at 549-50. Federal courts
must consider four factors when determining whether a habeas petitioner
has procedurally defaulted a claim. Gonzales v. Elo, 233 F.3d 348, 353
(6th Cir.2000); see also Maupin v. Smith, 785 F.2d 135, 138 (6th
Cir.1986).
First, the court must determine that there is a state
procedural rule that is applicable to the petitioner's claim and that
the petitioner failed to comply with the rule. Second, the court must
decide whether the state courts actually enforced the state procedural
sanction. Third, the court must decide whether the state procedural
forfeiture is an “adequate and independent” state ground on which the
state can rely to foreclose review of a federal constitutional claim.
Jacobs v. Mohr, 265 F.3d 407, 417 (6th Cir.2001) (quoting Maupin, 785
F.2d at 138) (alterations omitted). “Once the court determines that a
state procedural rule was not complied with and that the rule was an
adequate and independent state ground,” the court must move to the
fourth factor. Maupin, 785 F.2d at 138. The fourth factor allows a
petitioner to avoid or excuse procedural default if he demonstrates
“that there was cause for him to not follow the procedural rule and that
he was actually prejudiced by the alleged constitutional error.” Id. (quotation
omitted).
Under Subpart A of this claim, Fautenberry contends
that his counsels' performance was deficient because: (1) they did not
interview a sufficient number of the prosecution's potential witnesses,
(2) they did not object to venue in Hamilton County, and (3) they did
not file a motion to suppress Fautenberry's confession to Agent Ott.
Fautenberry presented this claim to the state court in his petition for
post-conviction relief, but he alleged only that counsel were
ineffective because they failed to object to venue; he did not challenge
counsels' failure to interview a sufficient number of witnesses or to
file a suppression motion. Because Fautenberry undeniably did not
present these allegations to the state courts, we find that the district
court correctly held that they were procedurally defaulted. See Seymour,
224 F.3d at 549-50.
The state appellate court addressed the only
allegation presented to it, namely, that counsel did not object to venue,
and held, pursuant to State v. Cole, 2 Ohio St.3d 112, 443 N.E.2d 169
(1982), that “this is a claim which could and should have been raised by
Fautenberry on direct appeal and is, therefore, barred by the doctrine
of res judicata.” Fautenberry, 1998 WL 906395, at *3. In Cole, the Ohio
Supreme Court held that res judicata is a proper basis upon which to
dismiss an ineffective-assistance claim in a petition for post-conviction
relief where a defendant who is represented by new counsel on direct
appeal fails to raise that claim and the basis for that claim “could
fairly be determined without examining evidence outside the record.” 443
N.E.2d at 171. We have in the past recognized that Ohio's application of
res judicata pursuant to Cole is an actually enforced, adequate and
independent state ground upon which the Ohio state courts consistently
refuse to review the merits of a defendant's claims. See Byrd v. Collins,
209 F.3d 486, 521-22 (6th Cir.2000) (“Ohio state courts consistently
invoke Cole and apply res judicata when a defendant, who is represented
by new counsel on direct appeal, fails to raise at that stage of the
litigation an ineffective assistance of trial counsel claim appearing on
the face of the record.”); see also Mapes v. Coyle, 171 F.3d 408, 421
(6th Cir.1999) (rejecting the habeas petitioner's attempt to
“demonstrate Ohio's wavering commitment to its procedural default
rules”). We therefore conclude that Fautenberry has procedurally
defaulted the allegation that counsel failed to object to venue. In
short, then, Fautenberry has procedurally defaulted all the claims of
deficiency raised in Subpart A.FN6
FN6. Fautenberry argues that because most of the
evidence supporting the allegations in Subpart A of this ineffective-assistance
claim was the alleged Brady evidence, the prosecution's failure to
provide him with this evidence constitutes the cause and prejudice to
excuse his procedural default. Because, as already noted, Fautenberry's
Brady claim lacks merit, that claim cannot constitute cause and
prejudice to excuse procedural default.
Even if we were to conclude that Fautenberry did not
procedurally default Subpart A of this ineffective-assistance claim, we
would find it to be without merit. First, Fautenberry argues that his
counsel did not interview a sufficient number of the prosecution's
potential witnesses. Noting that his attorneys billed most of their
investigation time in one-hour increments, he surmises that they were
not interviewing any of the out-of-state witnesses. This argument is
based on sheer speculation; it does not account for the reasonable
inference that counsel interviewed some of the witnesses (including out-of-state
witnesses) via phone. Fautenberry does not indicate how many witnesses
were actually interviewed or how many more should have been interviewed.
Fautenberry has the burden of establishing his counsel's deficiency, and
this speculative argument is insufficient to support an ineffective-assistance
claim. Second, Fautenberry cannot establish that he was prejudiced by
counsel's failure to raise the venue issue because the evidence
overwhelmingly indicated that the murder occurred in Hamilton County and,
to the extent that the evidence was less than conclusive on this issue,
venue was proper in the jurisdiction where Daron's body was found, which
was Hamilton County. See Ohio Rev.Code § 2901.12(J). Finally,
Fautenberry cannot establish prejudice from counsel's failure to file a
motion to suppress the statements made to Agent Ott because he cannot
prove that conversation was improper, as there is no evidence of an
Edwards violation. See Edwards, 451 U.S. at 484-85, 101 S.Ct. 1880.
In Subpart C of this claim, Fautenberry alleges that
his trial counsel should not have stipulated to the prosecution's
evidence at the plea hearing. Fautenberry readily admits that he did not
raise that portion of his claim on direct appeal or during post-conviction
proceedings, but contends that he preserved this issue by raising it in
his motion for reconsideration with the Ohio Supreme Court and his
application for reopening with the Ohio Court of Appeals. Both
Fautenberry's motion for reconsideration with the Ohio Supreme Court and
his application for reopening with the court of appeals alleged
ineffective assistance of appellate counsel. This claim, on the other
hand, alleges ineffective assistance of trial counsel. The district
court correctly concluded that the allegations in Fautenberry's motions
for reconsideration and reopening, which argued only ineffective
assistance of appellate counsel, did not fairly present his ineffective
assistance of trial counsel claim to the state court, and that
Fautenberry had defaulted Subpart C of this claim.
E. Waiver of Right to a Jury Trial During the
Penalty Phase of the Proceedings
Fautenberry argues here that although he waived his
right to a jury trial during the guilt phase of his proceedings, he did
not waive his right to a jury trial during the penalty phase. The
substance of this argument is entirely different from the “waiver of
jury trial” argument he presented to the state trial court in his
petition for post-conviction relief, in which he alleged that: (1) his
attorneys failed to gain his trust and thus failed to provide him with
the necessary information regarding his constitutional rights; (2) his
attorneys provided him with incorrect information about the waiver; and
(3) he was psychologically and mentally unable to waive his right to a
jury trial. The state trial court made the following findings of fact:
(1) “[Fautenberry] was competent when the jury waiver occurred”; (2)
“[Fautenberry] acknowledged discussing the [waiver] with both attorneys”;
and (3) “[t]he court went over the law regarding the waiver and the
proceedings before a three[-]judge panel with petitioner[,] and
petitioner acknowledged that he fully understood what he was doing.” The
state trial court concluded that this claim “could have been raised at
trial or on direct appeal” and therefore was “barred by res judicata.”
The state appellate court, however, did not consider whether this claim
was procedurally barred, but addressed the merits of the claim and
rejected it because “the record on review show[ed] that Fautenberry was
engaged in a colloquy by the judge[ ] and indicated squarely that he
understood that he was waiving his right to a jury trial and that no
promises had been made to him.” Fautenberry, 1998 WL 906395, at *7.
In his habeas petition, Fautenberry argues that he
did not waive his right to a jury trial on the penalty phase of his
prosecution. This claim that he did not knowingly waive his right to be
sentenced by a jury is materially different from the claim he raised in
the state court, which challenged his competence and knowledge in
connection with the waiver of his right to a trial by jury and did not
distinguish between the waiver of his right to a jury at the guilt phase
and the waiver of his right to a jury at the penalty phase. The argument
Fautenberry raises in these habeas proceedings, on the other hand,
effectively concedes that he waived his right to a jury trial but
contends that he did not knowingly or voluntarily waive his right to be
sentenced by a jury.
Before us, the State argues that Fautenberry's claim
that he did not waive his right to a jury trial on the penalty phase has
been procedurally defaulted because the state court applied res judicata
and refused to address the merits. “In determining whether state courts
have relied on a procedural rule to bar review of a claim, we look to
the last reasoned opinion of the state courts....” Mason v. Mitchell,
320 F.3d 604, 635 (6th Cir.2003). Because the state appellate court's
decision is the “last reasoned opinion of the state courts,” we must
look to that decision. That decision, however, did not mention res
judicata but addressed the merits of the waiver claim that Fautenberry
raised in his post-conviction proceedings. But that decision did not
address at all the claim that Fautenberry makes in his habeas petition
and in this appeal, because Fautenberry never presented that claim to
the state post-conviction courts. We therefore conclude that although
the State's reason for claiming procedural-default argument is incorrect,
this claim is nonetheless defaulted. See Seymour, 224 F.3d at 549-50.
Even if we were to reach the substance of this claim,
we would find it to be without merit. Fautenberry has not presented, and
we have not discovered, any Supreme Court precedent establishing that a
capital defendant has a constitutional right to be sentenced by a jury
in state court. Fautenberry argues, relying on Hicks v. Oklahoma, 447
U.S. 343, 100 S.Ct. 2227, 65 L.Ed.2d 175 (1980), that Ohio statutory law
creates a right to be sentenced by a jury and that the Fourteenth
Amendment protects that right. Fautenberry's reliance on Hicks is
misplaced. In Hicks, it was undisputed that the defendant had a
statutory right to be sentenced by the jury; the issue in that case was
whether the state court violated the defendant's due process rights by
restricting the jury's discretion through a habitual-offender statute
that was later declared to be unconstitutional. Id. at 345-46, 100 S.Ct.
2227. Here, however, Fautenberry did not have a statutory right to be
sentenced by a jury. The applicable Ohio statute states:
[I]f the offender is found guilty of both the [aggravated
murder] charge and one or more of the specifications, the penalty to be
imposed on the offender ... shall be determined by one of the following:
(a) By the panel of three judges that tried the offender upon the
offender's waiver of the right to trial by jury; (b) By the trial jury
and the trial judge, if the offender was tried by jury. Ohio Rev.Code §
2929.03(C)(2) (1981).FN7 See also Ohio R.Crim. Pro. 11(c)(3). FN7. The
quoted passage was in effect at the time of Fautenberry's trial and
sentencing in 1992. The current statute, amended as of 1995, is
identical.
Fautenberry clearly and expressly waived his right to
a jury trial. His waiver stated: I, John Fautenberry, ... hereby
knowingly, intelligently[,] and voluntarily waive and relinquish my
right to a trial by Jury, and elect to be tried by a Judge of the Court
in which the said cause be pending.” The trial court explained
Fautenberry's rights and asked him if it was his desire to knowingly,
intelligently, and voluntarily relinquish his right to a jury trial; he
responded in the affirmative. The trial court also informed Fautenberry
that if his waiver were accepted and if he pleaded guilty to the charges
against him, he would be sentenced by a three-judge panel (rather than a
jury). We find, as did the state court, that Fautenberry knowingly and
voluntarily waived his right to a jury trial. We conclude further that
he did not have a statutory right (let alone a constitutionally
protected right) to be sentenced by a jury. This case, therefore, is
distinguishable from Hicks, and we find no basis upon which to grant
habeas relief.
F. Knowing and Voluntary Nature of the No-Contest
Plea
Fautenberry next argues that he did not knowingly or
voluntarily enter his no-contest plea. The state trial court, in
resolving Fautenberry's petition for post-conviction relief, made the
factual finding that “the plea was properly accepted,” and arrived at
the legal conclusion that the plea was knowingly, intelligently, and
voluntarily entered. The state appellate court, in affirming the trial
court's decision, evaluated Fautenberry's three evidentiary bases for
this claim: (1) the affidavit of mitigation specialist, Dr. Shorr, which
stated that defense counsel failed to “maintain a positive, working
relationship with ... Fautenberry”; (2) documents concerning
Fautenberry's psychological condition prior to his plea; and (3)
Fautenberry's own affidavit stating that his attorneys did not
adequately apprise him of the consequences of his plea. Fautenberry,
1998 WL 906395, at *6. The court concluded that Dr. Schorr's opinion was
insufficient to rebut the abundant evidence in the record demonstrating
that his plea was knowingly and voluntarily entered. Id. at *7. The
court found the documents concerning his psychological condition to be
unpersuasive because he “was twice found competent to stand trial.” Id.
And the court refused to give much weight to Fautenberry's self-serving
affidavit. Id.
A guilty or no-contest plea involves a waiver of many
substantial constitutional rights, see Boykin v. Alabama, 395 U.S. 238,
243, 89 S.Ct. 1709, 23 L.Ed.2d 274 (1969), and a court may accept a
guilty or no-contest plea only where it is a “voluntary[,] ... knowing,
intelligent act [ ] done with sufficient awareness of the relevant
circumstances and likely consequences,” see Brady v. United States, 397
U.S. 742, 748, 90 S.Ct. 1463, 25 L.Ed.2d 747 (1970). On appeal,
Fautenberry asserts that his plea was not knowing and voluntary for four
reasons: (1) his trial counsel incorrectly informed him that if he
pleaded no contest, the three-judge panel would not learn that he
committed other murders, the three-judge panel would perceive his no-contest
plea as mitigating, and he would preserve his right to appeal the denial
of his pretrial motions; (2) he was unaware of exculpatory evidence
impermissibly withheld by the prosecution (i.e., the alleged Brady
evidence); (3) he suffered from serious mental illnesses at the time of
his plea; and (4) during the plea colloquy, the court “was disorganized
[,] ... failed to [engage] in a meaningful dialogue,” and failed to
correct the misinformation provided by trial counsel.
Each asserted basis for this claim is without merit.
First, aside from Fautenberry's unsubstantiated, self-serving affidavit,
there is no evidence in the record indicating that trial counsel
incorrectly advised him of the implications of entering a no-contest
plea. During the plea colloquy, trial counsel indicated that they
“explained to [Fautenberry] in detail what the plea of no contest means”
and that “he underst[ood] ... that by pleading no contest ... he [was]
in essence giving up [a] substantial number of rights, particularly
those that may be available to him at the appellate level if he were to
go to trial.” We agree with the state courts that Fautenberry's own self-serving
affidavit is insufficient to rebut the contrary evidence in the record
or to undermine the knowing and intelligent nature of his plea. Second,
we have already concluded, in the context of the Brady claim, that there
is no reasonable likelihood that the disclosure of the undisclosed
evidence would have altered Fautenberry's decision to enter his plea
because that evidence was not material to his defense. Third, none of
the psychological evidence indicates that Fautenberry was mentally
incapable of understanding, appreciating, and waiving his constitutional
rights, and he does not challenge the state court's finding that he was
twice found competent to stand trial. Fourth, and most importantly, the
state court's plea colloquy was methodical and thorough, not
“disorganized” or “failing to result in a meaningful dialogue” as
alleged by Fautenberry. And, at the plea hearing, Fautenberry indicated
that he did not have any questions about his rights. In sum, we reject
this claim as unfounded, and instead agree with the state court that
Fautenberry knowingly and voluntarily waived his rights during the entry
of his guilty plea.
G. Admission of Victim Impact Evidence
Fautenberry argues that the state court violated his
Eighth Amendment rights by admitting victim-impact evidence. Fautenberry
specifically challenges the admission of statements from Daron's friends
and family recommending that he receive the maximum available sentence:
(1) Daron's ex-wife stated that Fautenberry “should receive the maximum
possible sentence”; (2) Daron's father stated that Fautenberry is “an
animal with no conscience” and that “the maximum possible sentence is
the only appropriate punishment”; and (3) Daron's supervisor at work
stated that Fautenberry committed “an extremely brutal offense” and he
“should receive a maximum penalty.” The Ohio Supreme Court addressed
this argument on direct appeal and found “error in the admission of ...
the victim-impact statements [that] relate to sentencing recommendations.”
Fautenberry, 650 N.E.2d at 882. The court nevertheless was “not
persuaded that such error warrant[ed] reversal” because there was no
indication that the three judges who sentenced Fautenberry “contemplated
or relied upon the victim-impact evidence which was available to them.”
Id.
In Booth v. Maryland, 482 U.S. 496, 509, 107 S.Ct.
2529, 96 L.Ed.2d 440 (1987), the Supreme Court held that the
introduction of victim-impact evidence “at the sentencing phase of a
capital murder trial violates the Eighth Amendment.” Id. Just a few
years later, however, the Court retreated from this holding, declaring
that “if the State chooses to permit the admission of victim impact
evidence ..., the Eighth Amendment erects no per se bar.” Payne v.
Tennessee, 501 U.S. 808, 827, 111 S.Ct. 2597, 115 L.Ed.2d 720 (1991).
The Payne Court noted that it overturned only that part of Booth that
disallowed “evidence ... relating to the victim and the impact of the
victim's death on the victim's family.” Id. at 830 n. 2, 111 S.Ct. 2597.
The Court did not disturb that portion of Booth that forbids “a victim's
family members' characterization and opinions about the crime, the
defendant, and the appropriate sentence.” Id.; see also Welch v. Sirmons,
451 F.3d 675, 703 (10th Cir.2006) (recognizing that many circuits have
found that this portion of Booth's holding “survived the holding in
Payne and remains valid”). We agree with the Ohio Supreme Court that the
state trial court erred in admitting this evidence.
The issue, then, is whether the Ohio Supreme Court's
reasoning that this error did not “warrant reversal” was contrary to or
involved an unreasonable application of Supreme Court precedent.
Fautenberry argues that the Ohio Supreme Court's decision was an
unreasonable application of Booth because it employed a sort of
“harmless error” analysis, whereas Booth did not require the defendant
to demonstrate “actual prejudice.”
We find helpful the Tenth Circuit's decision in Hain
v. Gibson, 287 F.3d 1224, 1239-40 (10th Cir.2002), and our unpublished
decision in Brewer v. Anderson, 47 Fed.Appx. 284, 287-88 (6th Cir.2002)
(unpublished case). In Hain, the Tenth Circuit noted that “[t]he
decision in Booth does not expressly indicate whether the Court believed
such errors to be trial errors subject to harmless error review, or
structural error[s] requiring automatic reversal.” Hain, 287 F.3d at
1239 n. 11. The Hain court thus concluded that the state court in its
case did not “unreasonably appl[y] Booth in concluding that such errors
[were] subject to harmless error review.” Id. In Brewer, we reviewed, as
we do here, the admission of victim-impact evidence before a three-judge
panel. The Ohio Supreme Court, both in Brewer and in the present case,
relied on State v. Post, 32 Ohio St.3d 380, 513 N.E.2d 754, 759 (1987),
which states: “Absent an indication that the panel was influenced by or
considered the victim impact evidence in arriving at its sentencing
decision, the admission of the victim impact statement ... did not
constitute prejudicial error.” Id. And both here and in Brewer, the Ohio
Supreme Court found no indication that the three-judge panel considered
or contemplated the victim-impact evidence available to them.FN8 We
concluded in Brewer, 47 Fed.Appx. at 288, that the state court's
application of Booth was not unreasonable and we reach the same
conclusion here.
FN8. As we noted in Brewer, the Ohio Supreme Court's
finding that there was no indication that the three-judge panel relied
on the victim-impact evidence was a “factual finding that is presumed to
be correct under the AEDPA.” See Brewer, 47 Fed.Appx. at 288.
Fautenberry has failed to challenge this factual finding on appeal, much
less to establish that it was clearly erroneous, and our review of the
record persuades us that the finding is correct. See Cooey v. Coyle, 289
F.3d 882, 910-11 (6th Cir.2002) (affirming the district court's giving
deference to the Ohio Supreme Court's factual finding that there was “no
affirmative indication that the victim impact statements were considered
in sentencing [the petitioner] to death”).
“An unreasonable application of federal law is
different from an incorrect application of federal law,” Woodford, 537
U.S. at 25, 123 S.Ct. 357 (quotation marks omitted); in order to grant
habeas relief under the “unreasonable application” clause, we must
determine that “the state court's application of clearly established
federal law [was] objectively unreasonable,” Cone, 535 U.S. at 694, 122
S.Ct. 1843. Contrary to Fautenberry's argument, Booth does not indicate
whether the erroneous admission of victim-impact evidence warrants
automatic reversal or whether such errors are subject to harmless-error
review. See Hain, 287 F.3d at 1239 n. 11. Therefore, the Ohio Supreme
Court's decision to engage in a form of harmless-error analysis does not
constitute an unreasonable application of Booth because Booth did not
address that issue.
Moreover, we question whether Booth even applies here.
Booth involved the improper admission of victim-impact evidence to a
jury, whereas this case involves the improper admission of victim-impact
evidence to a three-judge panel. The Court in Booth was greatly
concerned that the victim-impact evidence might (1) “distract the
sentencing jury from its constitutionally required task [of] determining
whether the death penalty is appropriate in light of the background and
record of the accused and the particular circumstances of the crime,”
Booth, 482 U.S. at 507, 107 S.Ct. 2529, (2) “divert the jury's attention
away from the defendant's background and record [ ] and the
circumstances of the crime,” id. at 505, 107 S.Ct. 2529, or (3) “create
an impermissible risk that the capital sentencing decision will be made
in an arbitrary manner.” Id. Those considerations are severely
diminished-if not entirely obviated-when the sentencer is a judge or a
three-judge panel, rather than a lay jury. We conclude that Booth has
minimal relevance when the victim-impact evidence is presented to a
three-judge panel, see Brewer, 47 Fed.Appx. at 287-88 (affirming, as a
reasonable application of Supreme Court precedent, the Ohio Supreme
Court's conclusion that “ Booth does not apply to situations where a
defendant is tried by a three-judge panel rather than a jury”), and hold
that the Ohio Supreme Court did not unreasonably apply Supreme Court
precedent.
H. Ineffective Assistance of Appellate Counsel
Fautenberry contends that he received ineffective
assistance of counsel during his direct appeal to the state court of
appeals. The district court found that this claim had been procedurally
defaulted because Fautenberry did not present it to the state appellate
court in a timely application for reopening, which is the proper
procedure in Ohio for raising ineffective assistance of appellate
counsel claims.
The State urges us to affirm the district court's
conclusion that this claim has been procedurally defaulted. Under Ohio
law, a criminal defendant must raise his ineffective assistance of
appellate counsel claim in an application for reopening (i.e., a motion
for delayed reconsideration) filed “in the court of appeals where the
alleged error took place.” State v. Murnahan, 63 Ohio St.3d 60, 584 N.E.2d
1204, 1209 (1992). Ohio App. R. 26(B)(1) states that an application for
reopening “shall be filed in the court of appeals where the appeal was
decided within ninety days from journalization of the appellate judgment
unless the applicant shows good cause for filing at a later time.” The
state court of appeals rejected Fautenberry's direct appeal in February
1994, and the Ohio Supreme Court denied his appeal in 1995. In January
1996, after the conclusion of Fautenberry's direct appeal, the state
court appointed new counsel to represent Fautenberry during his post-conviction
proceedings. In March 1996, Fautenberry, through his new counsel, filed
a motion for reconsideration with the Ohio Supreme Court, alleging
ineffective assistance of appellate counsel during his direct appeal to
that court; the motion was denied in May 1996. In July 1996, Fautenberry
filed an application for reopening with the state court of appeals,
asserting ineffective assistance of appellate counsel during his direct
appeal to the court of appeals. The court of appeals denied that
application because Fautenberry “failed to demonstrate that there [was]
good cause for filing [ ]his application more than two years after th[e]
court's judgment was journalized.” The court further reasoned that
Fautenberry could have raised the issue of ineffective assistance of
appellate counsel in his “previous application for reopening in the
Supreme Court” and “provided no explanation as to why the application of
res judicata would be unjust.” The Ohio Supreme Court affirmed this
decision in April 1997 “for the same reasons articulated by the court of
appeals.” Fautenberry, 677 N.E.2d at 1195.
We hold that Fautenberry has procedurally defaulted
this claim. The state appellate court denied his direct appeal in
February 1994, and Fautenberry waited more than two years to file his
application for reopening with that court. Fautenberry demonstrated good
cause for not filing his application prior to January 1996, because
until that point he was represented by the same counsel on appeal and we
conclude that it would be unreasonable to expect counsel to raise an
ineffective assistance claim against himself. But Fautenberry did not
show good cause for failing to file his application until July 1996, six
months after the appointment of new counsel. Additionally, he did not
explain why he failed to raise this claim in his motion for
reconsideration filed with the Ohio Supreme Court in March 1996. We
conclude that Fautenberry did not comply with the timeliness
requirements in Ohio App. R. 26(B) and that those time constraints are
an actually enforced, adequate and independent state ground upon which
the Ohio courts consistently refuse to address ineffective assistance of
appellate counsel claims. See Coleman v. Mitchell, 244 F.3d 533, 539-40
(6th Cir.2001) (finding that the petitioner procedurally defaulted his
claim because he failed to comply with the requirements in Ohio App. R.
26(B)); Wickline v. Mitchell, 319 F.3d 813, 823 (6th Cir.2003) (finding
that the petitioner's ineffective assistance of appellate counsel claims
were procedurally defaulted because he failed to comply with the rule
set forth in Murnahan ).
Fautenberry argues that the timeliness requirements
in Ohio App. R. 26(B) are not “adequate and independent” state grounds
upon which to find that his claims have been procedurally defaulted.
Maupin, 785 F.2d at 138. “To be adequate, a state procedural rule must
be firmly established and regularly followed....” Hutchison v. Bell, 303
F.3d 720, 737 (6th Cir.2002) (quotation marks omitted). Fautenberry
relies on our decision in Franklin v. Anderson, 434 F.3d 412, 418-21
(6th Cir.2006), to argue that an untimely application for reopening
pursuant to Ohio App. R. 26(B) is not a “firmly established and
regularly followed” procedural rule, id. at 418, particularly
emphasizing the Franklin court's statement that “[a] review of the
relevant case law reveals that the Ohio Supreme Court has been erratic
in its handling of untimely Rule 26(B) applications in capital cases.”
Id. at 420. Fautenberry wishes to elevate this statement to an all-encompassing,
ever-applicable legal proposition that will forever (or at least for a
very long time) bar the federal courts from finding that an ineffective
assistance of appellate counsel claim has been procedurally defaulted
where the state court refused to address the merits of that claim
because of the time constraints in Ohio App. R. 26(B). But the “firmly
established and regularly followed” inquiry cannot be made once and for
all. Instead we must consider whether the “adequate and independent
state procedural bar ... [was] ‘firmly established and regularly
followed’ by the time as of which it [was] to be applied.” Ford v.
Georgia, 498 U.S. 411, 424, 111 S.Ct. 850, 112 L.Ed.2d 935 (1991) (emphasis
added). Cf. Rogers v. Howes, 144 F.3d 990, 994 n. 5 (6th Cir.1998) (“[T]he
question is not whether the state courts consistently apply the
procedural bar in the present.”). Put differently, we ask “whether, at
the time of the petitioner's actions giving rise to the default, the
petitioner could ... be deemed to have been apprised of the rule's
existence.” Hutchison, 303 F.3d at 737 (quotations and alterations
omitted).
We find that, as of the time that Fautenberry should
have filed his application for reopening (i.e., when he acquired new
counsel in January 1996), the time constraints in Ohio App. R. 26(B)
were firmly established and regularly followed, and he was or should
have been apprised of the rule's existence. The Franklin decision is not
to the contrary. To begin with, the facts in that case are materially
different from those here. In Franklin, the defendant had filed his
application for reopening with the court of appeals one year after the
Ohio Supreme Court issued its decision in Murnahan and just prior to the
effective date of Ohio App. R. 26(B). The Ohio procedural rule in effect
at the time Murnahan was decided required that such an application be
filed within ten days from the entry of the opinion for which
reconsideration was sought; Murnahan itself did not set any time frame
within which such an application was required to be filed, but opined
that courts should take a more lenient approach with regard to the time
for filing. Ohio App. R. 26(B) was then created to provide the time
frame for these applications. As we observed in Franklin, at the time
Franklin filed his application for delayed reconsideration, the law
regarding the time period within which ineffective assistance of
appellate counsel claims were required to be filed was unclear. But we
specifically noted in Franklin that “[f]or several years following the
enactment of amended Rule 26(B) [in July 1993], the Ohio Supreme Court
regularly enforced the rule's timeliness requirements.” Franklin, 434
F.3d at 420 (citing a string of Ohio Supreme Court cases).
Fautenberry's circumstances are significantly
different from those in Franklin. Fautenberry did not obtain new counsel
(and thus cannot be held responsible for failing to file an application
for reopening) until January 1996, which is almost four years after
Murnahan was decided, and two-and-a-half years after Ohio App. R. 26(B)
became effective. By that time, the 90-day time limit in Ohio App. R.
26(B) was clearly established and Fautenberry was or should have been
apprised of its existence. Nevertheless, after obtaining his new counsel,
Fautenberry waited six months-during which he filed a motion for
reconsideration with the Ohio Supreme Court in which he could have
raised this claim but did not-before filing his application for
reopening. We conclude that the holding of Franklin-in which the court
stated that “Rule 26(B) is not an adequate and independent state rule
that can preclude consideration of Franklin's ineffective assistance of
appellate counsel claim,” id. at 421-is inapplicable here. Fautenberry
has procedurally defaulted his ineffective assistance of appellate
counsel claim.
But even if this claim was not procedurally defaulted,
it must fail because it is meritless. A defendant is entitled to
effective assistance of counsel during his first appeal of right, Evitts
v. Lucey, 469 U.S. 387, 396, 105 S.Ct. 830, 83 L.Ed.2d 821 (1985), but
effective assistance does not require counsel to raise every
nonfrivolous argument on appeal, Jones v. Barnes, 463 U.S. 745, 751-52,
103 S.Ct. 3308, 77 L.Ed.2d 987 (1983). “[O]nly when ignored issues are
clearly stronger than those presented, will the presumption of effective
assistance of [appellate] counsel be overcome.” Monzo v. Edwards, 281
F.3d 568, 579 (6th Cir.2002).
Fautenberry argues that his appellate counsel
rendered ineffective assistance because they raised only seven issues on
direct appeal, and, more specifically, they failed to present four
allegedly meritorious claims on appeal: (1) the trial court's failure to
review evidence as required by Ohio Crim. R. 11(C)(3); (2) ineffective
assistance of trial counsel; (3) Ohio's discriminatory method for
selecting grand-jury forepersons; and (4) the fact that Fautenberry was
forced to wear shackles in the presence of the trial court. The mere
fact that appellate counsel confined their appeal to seven issues does
not establish that counsel were ineffective; it is often best to filter
out less meritorious issues so that counsel can emphasize those that
present the best opportunity for relief on appeal. See Jones, 463 U.S.
at 752, 103 S.Ct. 3308 (“There can hardly be any question about the
importance of having the appellate advocate examine the record with a
view to selecting the most promising issues for review.”). And the four
“ignored issues” were not “clearly stronger than those presented.” The
first of the four appears to be baseless. Contrary to Fautenberry's
argument, the trial court did in fact review evidence as required by
Ohio Crim. R. 11(C)(3); most notably, the prosecutor introduced and the
trial court reviewed the transcripts of Fautenberry's confessions to
Agent Ott, Officer Nelson, and Ms. Priest-Herndon. We have already
concluded that the second omitted issue-i.e., ineffective assistance of
trial counsel-is baseless. The third omitted claim, which alleges the
impropriety of Ohio's selection of grand-jury forepersons, was not
apparent from the record on direct appeal, and thus we do not fault
appellate counsel for failing to raise that claim. Moreover, the case
upon which Fautenberry relies to challenge Ohio's grand-jury foreperson
selection process, Campbell v. Louisiana, 523 U.S. 392, 398, 118 S.Ct.
1419, 140 L.Ed.2d 551 (1998), was not decided until 1998, long after
Fautenberry's direct appeal had concluded. Finally, the fourth omitted
claim-that Fautenberry was prejudiced by the wearing of shackles before
the trial court-would not have had any merit on direct appeal because
under Ohio law the appellate court “presum[es] that in a bench trial in
a criminal case[,] the court consider[s] only the relevant, material,
and competent evidence in arriving at its judgment unless it
affirmatively appears to the contrary.” Post, 513 N.E.2d at 759.
III.
After carefully reviewing the record and evaluating
Fautenberry's arguments on appeal, we conclude that the district court
properly denied Fautenberry's petition for habeas relief. Accordingly,
we AFFIRM the judgment of the district court.
KAREN NELSON MOORE, Circuit Judge, dissenting.
When an attorney calls forward an expert, especially
an expert asked to provide mitigating evidence when a defendant's life
hangs in the balance, the attorney has an obligation to ensure that the
expert knows about that which she speaks. When the majority declares
that “[w]e will not find counsel deficient simply because they did not
succeed in discovering his brain damage or pursue unspecified, alternate
avenues (which may or may not have revealed the brain damage),” Maj. Op.
at 625, they find no fault in the actions of counsel who, in the face of
numerous indicators of brain damage, inexcusably failed to ensure that
their expert actually tested for the organic brain disorder that she
claimed to be unable to find. I believe that the majority's elevation of
form over substance wrongly excuses ineffective assistance of counsel;
simply presenting an expert who is a doctor does not absolve counsel
from an obligation to grasp the bare rudiments of the expert's testimony.
Because I conclude that Fautenberry's counsel was ineffective in the
penalty stage of his trial, I respectfully dissent.
* * *
III. CONCLUSION
Given Fautenberry's history of physical abuse,
headaches, and significant head injuries, his counsel had an obligation
to investigate fully a potential mitigation defense of an organic brain
defect. This obligation did not diminish just because Fautenberry
erected obstacles to his attorneys' efforts. Had Fautenberry's attorneys
scrutinized the basis of their purported expert witness's conclusion,
they would have realized that they had not fully investigated the
presence of brain damage as they were obligated to do. Instead, counsel
were unaware of the limits of their witness's testimony and repeatedly
emphasized to the sentencing panel that their client had no mental
deficiencies. This was both defective and prejudicial. Accordingly, I
conclude that Fautenberry has established ineffective assistance of
counsel at the mitigation phase of his trial and that the Ohio Court of
Appeals's holding was contrary to clearly established federal law.
Therefore, I respectfully dissent.
John Fauntenberry is brought into Juneau District
Court on March 18, 1991, for his arraignment on murder charges.
Murderer John Fautenberry looks over documents before
a mitigation hearing in Hamilton County Common Pleas Court in 2001.