Joanna Green
Deputy Public Defender
Indianapolis, IN
Kathleen Cleary
Deputy Public Defender
Indianapolis, IN
Danielle Gregory
Deputy Public Defender
Indianapolis, IN
Attorneys for Appellee
Karen Freeman-Wilson
Attorney General of Indiana
Priscilla J. Fossum
Deputy Attorney General
Indianapolis, IN
Appellant (Defendant below),v.
STATE OF INDIANA, Appellee (Plaintiff below ).
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) 49S00-9804-PD-249
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A court that hears a post-conviction claim must make findings of fact and
conclusions of law on all issues presented in the petition. See Ind.
Post-Conviction Rule 1(6). The findings must be supported by facts and the
conclusions must be supported by the law. See Bivins v. State, 735
N.E.2d 1116, 1121 (Ind. 2000), rehg denied. Our review on appeal is
limited to these findings and conclusions.
We apply a deferential standard of review when examining these findings and conclusions.
See Williams, 724 N.E.2d at 1076 (Post-conviction procedures do not afford the
defendant with a super-appeal.). Because the petitioner bears the burden of proof
in the post-conviction court, see Ind. Post Conviction Rule 1(5), an unsuccessful petitioner
appeals from a negative judgment. A petitioner appealing from a negative judgment
must show that the evidence as a whole leads unerringly and unmistakably to
a conclusion opposite to that reached by the trial court. Weatherford v. State,
619 N.E.2d 915, 917 (Ind.1993), rehg denied. This means that [we] will
disturb a post-conviction courts decision as being contrary to law only where the
evidence is without conflict and leads to but one conclusion, and the post-conviction
court has reached the opposite conclusion. Miller v. State, 702 N.E.2d 1053,
1058 (Ind. 1998), cert. denied, 528 U.S. 1083 (2000).
I
First, the post-conviction court made findings of fact to the effect that [t]rial
counsel
would not have necessar[il]y excluded [this juror] had he know[n] about
her convictions, but since the convictions were related to alcohol use he would
have asked additional voir dire questions relating to her behavior. [Counsel] did
not find the facts of the convictions to be troubling. Appellants Appendix
at 18.
There is evidence in the post-conviction record to support the post-conviction courts findings
of fact. Allens trial counsel testified at a deposition that he would
not have sought to exclude the juror solely on the basis of the
prior arrests even if she had disclosed them on the questionnaires. However,
trial counsel testified that had he known of the prior offenses, he would
have questioned the juror as to whether it had been something of a
recent nature and also kind of look to see if theres more than
one
or tried to figure out whether or not there was a
pattern, whether or not I was dealing with a drunk. (R.P-C.R. at
2362, Petitioners Exhibit 45 at 28-29.) He emphasized that quite simply, if
she had been arrested in some proximity to this in this succession of
one or two or three or something of that nature
that would
tell me
this persons got a problem and even ge
tting arrested isnt
remedying it. (Id.) On redirect, counsel again testified that he would have
explored
[the jurors] pattern of conduct, [and] the proximity of time is
obviously one of th[ose] things. (Id. at 113.)
From its findings, the post-conviction court concluded that Allen suffered no harm because
his trial counsel would not have moved to exclude the juror even if
he knew about the jurors misstat
ements. Specifically, the post-conviction court concluded that
Allens evidence falls short to show that his trial counsel would have removed
[the juror] from the jury panel had he known of the convictions.
Trial counsel wavered as to whether that juror would have been excluded or
not. Allen has not shown any prejudice from the juror misconduct
. Appellants Appendix at 18 (emphasis in original).
Having found evidence to support the post-conviction courts findings of fact, we will
upset its conclusions of law only if the evidence is without conflict and
leads to but one conclusion, and the post-conviction court has reached the opposite
conclusion.
Miller, 702 N.E.2d at 1058.
The post-conviction courts conclusion that Allen suffered no harm is supported by its
fin
dings. Allens trial counsel testified that the jurors previous arrests alone would
not have led him to seek her dismissal from the panel. He
testified that he would have asked follow-up questions in order to determine whether
the juror had a problem with alcohol that would prevent her from functioning
as a juror. However, the post-conviction court could conclude that even these
follow-up questions would not have led counsel to attempt to exclude the juror.
The four offenses were scattered over 27 years.
See footnote
The post-conviction court
could properly conclude that these arrests were too infrequent to suggest the type
of pattern of alcohol-related misconduct that would have led trial counsel to seek
the jurors exclusion. It is also plausible that the post-conviction court inferred
that because the juror herself had been a defendant in a criminal proceeding,
she might have had more empathy for Allen than would a potential juror
who had never been arrested or tried. That is, the post-conviction court
could infer from the record she was the type of juror that the
State and not Allen would strike from the jury panel.
See footnote
These claims are similar to those raised in Ben-Yisrayl v. State, 738 N.E.2d
253, 260 (Ind. 2000). In that case, the petitioner attempted to raise
several claims of trial counsel ineffectiveness, but we rejected those claims because he
raised trial counsels performance as an issue on direct appeal. Id. at
259 (citing Woods, 701 N.E.2d at 1220). However, the petitioner also argued
that appellate counsel failed to raise properly preserved meritorious issues and errors apparent
in the record, failed to take necessary steps to adequately present issues that
were raised, and pursued the issue of ineffective assistance of trial counsel without
completely investigating and raising all related issues. Id. at 260. We analyzed
these claims under the following standard:
When the claim of ineffective assistance is directed at appellate counsel for failing
fully and properly to raise and support a claim of ineffective assistance of
trial counsel, a defendant faces a compound burden on post-conviction. If the
claim relates to issue selection, defense counsel on post-conviction must demonstrate that appellate
counsels performance was deficient and that, but for the deficiency of appellate counsel,
trial counsels performance would have been found deficient and prejudicial. Thus, the
defendants burden before the post-conviction court was to establish the two elements of
ineffective assistance of counsel separately as to both trial and appellate counsel.
Ben-Yisrayl v. State, 738 N.E.2d 253, 261-62 (Ind. 2000) (emphasis added).
Applying this standard to Allens claims of ineffective assistance of appellate counsel, we
conclude that the post-conviction court could determine that his appellate counsel were not
deficient.
The post-conviction court concluded that
[Allens] appellate counsel at all stages was not ineffective in representing Allen but
rather exerted an unusually vigorous defense
. Those claims and allegations
that Allen says should have been asserted by [appellate counsel] are not significant
issues as compared to those that were raised. Further, there is not a
reasonable probability that the outcome of the proceedings of the appeal would have
been different had [counsel] raised other issues.
Appellants Appendix at 9.
The post-conviction court made certain findings of fact from which it concluded that
counsel was not ineffective in this regard. The post-conviction court found that
Allens appellate counsel
thoroughly reviewed the record of proceedings, interviewed Allen, and consulted other attorneys.
After identifying issues he intended to raise on direct appeal, he hired an
investigator to provide factual development and to develop litigation evidence.
From the
time of his appointment to the time he filed his opening brief, appellate
counsel had five months to become familiar with the record. Additionally, [counsel] filed
a 158 page brief raising 17 separate issues on direct appeal.
Id. at 8.
The post-conviction courts findings were supported by the evidence. Appellate counsel testified
at the post-conviction hearing that after he was appointed to represent Allen, he
came to the conclusion that he needed to complete factual investigation into Allens
background because he was concerned about [Allens] intellectual functioning. Counsel hired an
investigator to look into this potential mitigation evidence. Counsel and the investigator
then attempted to retrieve records from numerous sources, including Allens schools and the
Department of Correction.
See footnote This investigation produced affidavits describing Allens low I.Q. and
poor school record.
See infra note 25. Counsel filed a belated
motion to correct errors in the hopes of developing a record as to
these claims. Allen, 686 N.E.2d at 788 n.8. This motion was
denied. Id. However, we subsequently remanded Allens case because the record lacked
a written sentencing order. Id. Our remand order offered appellate counsel
the opportunity to present his mitigation evidence to the trial court. Id.
at 789. The trial court considered this evidence, and counsel raised the
trial courts consideration of it as an issue on direct appeal. Id.
at 790. Counsel testified that he believed that he needed to raise
the issue of counsels ineffectiveness as to this mitigation evidence because it was
raised in the belated motion to correct errors that he filed with this
court. He testified that he was concerned that a failure to do
so would result in waiver, especially since the order denying his belated motion
to correct errors made it clear that he could raise such issues in
his brief. He noted that he knew of cases holding that if
a defendants appellate counsel was different than trial counsel, the defendant was obligated
to raise a claim of ineffective assistance of counsel or the claim was
waived.
Having found evidence to support the post-convictions findings of fact, we will reverse
its conclusions of law only if the evidence is without conflict and leads
to but one conclusion, and the post-conviction court has reached the opposite conclusion.
Miller v. State, 702 N.E.2d 1053, 1058 (Ind. 1998), cert. denied, 528
U.S. 1083 (2000). Allens arguments as to appellate counsels ineffectiveness are that
counsel should not have raised issues regarding trial counsels mitigation case because he
would waive other mitigation issues, and, alternatively, that he should have conducted a
more thorough investigation of the issues that he did raise. We hold
that the post-conviction court could conclude that there is not a reasonable probability
that the outcome of the proceeding of the appeal would have been different
had [counsel] raised other issues. Appellants Appendix at 9.
See footnote
We reach this conclusion because the post-conviction record does not show that trial
counsel was deficient in regards to the issues on which Allen relies to
support his claim of ineffective assi
stance of appellate counsel. Under Ben-Yisrayl,
a claim that appellate counsel was ineffective for failing fully and properly to
raise and support a claim of ineffective assistance of trial counsel will be
successful only when the petitioner shows that both trial counsel and appellate counsel
were ineffective under the Strickland standard. 738 N.E.2d at 261-62 (emphasis in
original). Therefore, Allens appellate counsel could not be ineffective for waiving some
claims of trial counsel error while failing fully to support others if Allens
post-conviction claims of trial counsel error did not in themselves warrant relief under
Strickland.
See footnote We will analyze his claims of trial counsel error in this
light. B
ecause, as the post-conviction court concluded, Allen cannot show that trial
counsel was ineffective, his claims of ineffective assistance of appellate counsel must fail
under the Ben-Yisrayl standard.
Allen raised several issues regarding the confession during his direct appeal.
See
Allen, 686 N.E.2d at 769-774, 777-79. Our opinion rejected Allens claims that
counsel was ineffective for failing to move to suppress the confession. Id.
at 777-79. This holding was based on two grounds, both of which
preclude Allens claims in this case. First, we held that Allens trial
counsel made a reasonable strategic decision not to move to suppress the confession,
especially in light of counsels attempts to persuade the jury to convict only
on the lesser included offense of voluntary manslaughter. Id. at 778 (The
strategic decision not to file a motion to suppress Allens statements therefore did
not deprive Allen of fair adversarial testing of the evidence.).
See footnote
Whether a
hypothetical motion should have been made on Miranda grounds (as Allen argued on
direct appeal) or on due process grounds (as Allen argues here), our determination
that counsel made a strategic decision not to move to suppress the confession
for any reason binds Allen. Second, our opinion on direct appeal also
concluded that even had counsel performed deficiently in regards to a motion to
suppress, Allen was not prejudiced under the Strickland standard. Id. at 778-79
(Assuming for the sake of argument that counsels failure to file a motion
to suppress is performance so deficient as to meet the first prong of
Strickland, we do not see prejudice sufficient to satisfy the second prong of
that test. The case against Allen was so strong there is not
a reasonable probability that the verdict might have been different but for counsels
alleged error.). Again, this determination bars Allens claims despite the different theories
under which a motion to suppress could have been raised.
See footnote
The post-conviction court made no findings of fact in regards to counsels performance
on this issue. See Appellants Appendix at 10-11, 15-17. However, the
failure to enter specific findings of fact and conclusions of law is not
reversible error. Herman v. State, 526 N.E.2d 1183, 1184 (Ind. 1988). Instead,
we review Allens claim de novo.
Our review of the record indicates that trial counsel could have made a
reasonable strategic decision not to attack the officers statement on the grounds that
Allen asserts here. Counsel had two valid reasons for not impeaching the
officers testimony in this manner: (1) the fact that in a statement to
police Allen said he overheard the details of the crime on the police
officers radios and (2) trial counsels concession of Allens involvement in the crime
in an attempt to obtain a lesser conviction. First, in a statement
to police, Allen said that he heard discussion of the crime on the
police radio and trial counsel decided to emphasize this possibility. The officer
whose testimony is in question testified that the radios were in use when
he took Allen to the police station and noted that there might have
been radio traffic concerning the crime. He also testified that Allen could
have heard the radios for at least a brief period. Counsel revisited
this issue during closing argument, reminding the jury that in the statement Allen
maintained that he learned of the crime over the radio and noting that
the police radio was all the way on for a couple of seconds.
(R. at 2726.) It was reasonable for trial counsel to craft
a strategy in regards to the officers testimony that was consistent with Allens
statements, which were heard by the jury. Second, trial counsels performance in
regards to the officers testimony is consistent with counsels decision to concede Allens
presence at Griffins home as well as other incriminating facts in
the hopes of obtaining a voluntary manslaughter conviction instead of a murder conviction.
See Appellants Appendix at 16-17, Appellants Br. at 68-69.
See footnote The evidence
that Allen asserts here, which demo
nstrates that Allen might not have known why
he was taken to the police station, conflicts with this theory, and it
was reasonable for counsel not to attack the officers testimony.
Appellants Appendix at 17 (emphasis omitted). It also concluded that the information that
Allen claims was not presented at his trial was available to [the trial
court] through [the] pre-sentence investigation report. Id. at n.22.
The post-conviction court made certain findings of fact from which it reached this
conclusion. The post-conviction court found that
Allens prior criminal history included a conviction for the voluntary manslaughter of another
elderly woman, Olga Cooper, during a burglary as well as a pending charge
against Allen at the time of his trial of another murder of an
elderly woman, Mrs. Hale, during the course of a burglary. Throughout all
phases of Allens trial, trial counsel
was concerned that the evidence of
petitioners criminal history including several other felony convictions and juvenile record would reach
the jury.
Appellants Appendix at 16 (emphasis in original).
There was evidence to support the post-conviction courts findings of fact. The
record reflects that Allen was convicted of eight felonies, most of them burglaries
or robberies. All of the victims were middle-aged or elderly women and
Allen was convicted of voluntary manslaughter in the death of an 85-year-old woman.
Allens lead trial counsel testified at a deposition that his main goal
during the penalty phase was to keep the jury from learning about these
crimes. He testified that he was especially worried about the voluntary manslaughter
conviction, as the facts of that case resembled the murder of Griffin.
See footnote
Counsel therefore chose to avoid a detailed mitigation case and communicated this strategy
to Allen, as is reflected by Allens statements at sentencing. Moreover, when
asked about Allens previous voluntary manslaughter conviction, Allens expert on death penalty litigation
testified that the thing to do would be to stay away from it
and not open the door to such evidence.
Having found evidence to support the post-conviction findings of fact, we next determine
whether the post-conviction court could properly reach the conclusions it reached based on
these fin
dings. In making this determination, we will upset the conclusions of
the post-conviction court only if the evidence as a whole leads unerringly and
unmistakably to a conclusion opposite to that reached by the trial court. Weatherford
v. State, 619 N.E.2d 915, 917 (Ind. 1993), rehg denied. Because Allen
asserts that trial counsel should have offered three distinct types of evidence in
mitigation, we analyze the post-conviction courts conclusion in light of each form of
evidence.
First, Allen contends that trial counsel was deficient for failing to present mitigation
evidence in the form of testimony from family and friends concerning the conditions
in which Allen grew up. The post-conviction court concluded that such evidence
would open the door to Allens criminal r
ecord and counsel did not pursue
this evidence on that ground. Appellants Appendix at 17. At the
time of Allens trial, a defendants criminal history was generally inadmissible as character
evidence. However, [w]hen the accused offer[ed] evidence of her own character, she
open[ed] the door to the subject of her character for the trait placed
in issue. Berkley v. State, 501 N.E.2d 399, 400 (Ind. 1986). See
also Bond v. State, 273 Ind. 233, 403 N.E.2d 812 (1980). Therefore,
evidence of prior crimes became admissible when they were relevant to rebut a
trait of good character that the defendant placed into evidence. See Hauger
v. State, 273 Ind. 481, 483, 405 N.E.2d 526, 527 (1980). Cf.
Ashton v. Anderson, 258 Ind. 51, 279 N.E.2d 210, 212 (1972) (It is
well recognized that a witness may be required on cross examination to answer
as to prior convictions for the purpose of impeaching his credibility.).
While the evidence of Allens family history describes the difficult conditions of his
childhood, it also contains numerous positive references to Allens role as a protector
of the younger children in his neighborhood and family, his role as man
of the house, his tendency to take blame for others, and his practice
of stealing to feed his family. This testimony which was intertwined
with the negative aspects of Allens youth is a form of character
evidence that could open the door to Allens criminal history. Trial counsels
performance was not deficient for not presenting this evidence.
See footnote
See Canaan
v. State, 683 N.E.2d 227, 234 (Ind. 1997) (Counsel is permitted to make
strategic judgments not to present certain types of mitigating evidence, including evidence of
defendants background.), cert. denied, 524 U.S. 906 (1998).
See footnote
Second, we address whether the post-conviction court could conclude from its findings that
counsel made a reasonable strategic decision not to introduce evidence of abuse that
Allen suffered at IBS. The post-conviction court concluded that trial counsel made
a strategic decision not to intr
oduce this evidence because counsel believed it might
open the door for the State to introduce evidence of his previous convictions.
As we have previously discussed, it was well-settled at the time of
Allens trial that evidence of previous convictions was inadmissible before the jury unless
Allen opened the door to them. See Hauger, 273 Ind. at 483,
405 N.E.2d at 527. Had Allen placed his experiences at IBS into
evidence, he could have placed his entire criminal history at issue. The
IBS was a juvenile correctional facility. Faced with a record that showed
that Allen had been incarcerated as a juvenile but that said nothing about
incarceration as an adult, the jury could infer that Allen did not have
an adult criminal history. The State might well seek to rebut any
inference that Allens criminal conduct ended with the acts that led him to
IBS. Because this evidence presented a risk that evidence of prior convictions
would be introduced, it was reasonable for counsel to avoid evidence concerning abuse
at IBS.
Finally, Allen presented post-conviction testimony from three mental health professionals a social
worker, a neuropsychologist, and a forensic psychologist. Because of their different profe
ssional
qualifications, these experts presented three distinct perspectives on Allens mental condition. Therefore,
we review the testimony of each expert individually in light of the post-conviction
courts conclusion that counsel made a reasonable decision to avoid such testimony.
First, social worker Marjorie Hammock presented a detailed social history of Allen.
Prior to testifying, Hammock interviewed Allens friends and family to get a complete
picture of his develo
pmental history. After discussing Allen with numerous people, she
concluded that his environment compromised his ability to develop appropriately. (R.P-C.R. at 2257.)
While this conclusion might have been helpful to Allen, Hammock only reached
this point in her testimony after sifting through much of the same family
history evidence that was discussed supra. As we have already noted, counsel
acted reasonably in withholding such details of Allens family history for fear that
the jury would learn about Allens criminal history.
Second, Allen presented the testimony of Dr. Robert Heilbronner, a neuropsychologist. After
performing a number of tests, Dr. Heilbronner concluded that Allen had certain mental
conditions that affected his actions. First, he testified that Allen possessed several
brain dysfunctions that could limit his ability to control his behavior. These
dysfunctions impaired Allens capacity to organize [his] behavior, to plan ahead, to think
abstractly, to anticipate the consequences of [his] actions. (R.P-C.R. at 2325.) Second,
he testified that Allen had a severe learning disability. He then specifically
compared this diagnosis to mental retardation.
The post-conviction court was incorrect when it concluded that this evidence could have
opened the door to Allens criminal history. There is no nexus between
Allens mental health status and his criminal history. To say that this
evidence would open the door to evidence of prior convictions would improperly allow
a jury to learn the details of a defendants criminal history every time
a defendant introduced a mental health diagnosis as mitigation evidence. Cf. Roth
v. State, 550 N.E.2d 104, 106 (Ind. Ct. App. 1990) (holding that defendants
testimony that he was not a crazy person and that he had never
been treated for a mental illness did not open the door to his
criminal history), transfer denied.
Despite the post-conviction courts erroneous conclusion, Allen is not entitled to relief because
he has not demonstrated that counsels failure to present evidence of these mental
conditions was constitutional error. First, Allens briefs make only a passing reference
to his brain dysfunctions, Appellants Br. at 78-79, and he does not present
a cogent claim that counsel was ineffective for failing to present this evidence.
See Ind. Appellate Rule 8.3(A)(7). Second, Dr. Heilbronner testified that
Allen suffered from a severe learning disability that was similar to mental retardation.
See generally Appellants Br. at 79 (The symptomatology of Allens disorders mimics
in some respects mental retardation.). However, we held on direct appeal that
the trial judge considered to our satisfaction any evidence of mental retardation and
this determination acts as res judicata to Allens post-conviction re-characterization of this claim
as a learning disability. See Allen, 686 N.E.2d at 788-90.
See footnote
Finally, Dr. Mark Cunningham, a forensic psychologist, testified that Allen is a low
risk for committing a violent act so long as he is incarcerated.
See footnote
Dr. Cunningham analyzed a variety factors to determine the statistical risk that Allen
would commit a violent act if incarcerated. He testified that if he
had been called at Allen s trial, he would have relied in part
on Allens previous behavior while incarcerated. Therefore, any testimony regarding Allens dangerousness
in prison would have exposed his convictions to the jury and the post-conviction
court was correct to conclude that counsel made a reasonable strategic decision in
regards to this testimony.
As a final matter, Allen argues that even if trial counsel made strategic
choices not to present this evidence, counsel did not make sufficient investigation to
support these strategic choices. Appellants Br. at 80. In so arguing, Allen
relies on Williams v. Taylor, a case in which the United States Supreme
Court overturned a death sentence in part because of counsels failure to investigate
potential mitigation evidence. 529 U.S. 362, 395 (2000). The Williams Court
found counsel ineffective because [t]hey failed to conduct an investigation that would have
uncovered extensive records graphically describing Williams nightmarish childhood, not because of any strategic
calculation but because they incorrectly thought that state law barred access to such
records. Id. The present case is distinguishable, however, in that the
record shows that counsel had a working knowledge of some of the mitigation
evidence that Allen asserts on post-conviction review but made a strategic decision not
to present it. Allens counsel called several witnesses at the sentencing hearing,
and this testimony demonstrates that counsel had researched Allens background and childhood.
Moreover, counsel knew that Allen was incarcerated at IBS because it was reflected
on a pre-sentence report.
See footnote
It was counsels role to balance the value
of this evidence with the damage that the prior convictions would inflict.
In light of the adverse effect that evidence of similar crimes against similar
victims could have on a jury, counsel acted reasonably in striking a cautious
balance towards Allens criminal history.
See footnote
Having concluded that Allen could not prevail on his claims of ineffective assistance
of trial counsel, we conclude that the post-conviction court could reject Allens claim
of ineffective assistance of appellate counsel.
Allen claims that this procedure: (1) violated Clemons v. Mississippi, 494 U.S. 738
(1990), which governs how appellate courts may treat a death sentence after determining
that the sentencing court relied on an impermissible aggravating circumstance; (2) shifted the
burden of proof at sentencing from the State to Allen; (3) deprived him
of the right to be present during sentencing; (4) denied him his statutory
right to allocution; (5) denied him the opportunity to present evidence at an
adversarial hearing on sentencing; (6) violated his right to notice of sentencing; and
(7) deprived him of due process of law under the federal constitution. Appellants
Br. at 19-29.
Issues available on direct appeal may not be raised during post-conviction review. See
Ben-Yisrayl v. State, 729 N.E.2d 102, 108 n.1 (Ind. 2000) (citing Rouster v.
State, 705 N.E.2d 999, 1003 (Ind. 1999), rehg denied), rehg denied. Allen
has waived these freestanding claims of error in regards to the remand order
for failing to raise them on direct appeal.
See footnote
However, Allen also argues that his direct appeal counsel was ineffective or abandoned
him in regards to the remand proceeding. Appellants Br. at 29.
The post-conviction court concluded Allen was not prejudiced by counsels efforts during the
remand. Appellants Appendix at 15.
Allen does not claim that he suffered any prejudice during the remand that
is independent of his general claims of ineffective assistance of counsel in regards
to sentencing.
See Part III-D supra. That is, Allen does not cite
any evidence that his counsel should have attempted to introduce during the remand
that he does not also argue should have been introduced during the penalty
phase.
See footnote
Because we held that Allen suffered no prejudice from his counsels
efforts at the penalty phase,
See footnote
we similarly hold that he suffered no prejudice
in the context of the remand.
See footnote
First, Allen argues that the trial court deprived him of his right to
counsel by not appointing his chosen counsel as the public defender in the
case.
See footnote
Appellants Br. at 52. As we previously stated, such freestanding
claims of trial court error are unavailable on post-conviction review. See Benefiel
v. State, 716 N.E.2d 906, 911 (Ind. 1999), cert. denied, 121 S. Ct.
83 (2000), Lowery v. State, 640 N.E.2d 1031, 1037 (Ind. 1994), cert. denied,
516 U.S. 992 (1995). He also contends that the prosecutor put on
perjured testimony and relied on it during closing argument. Appellants Br. at 49.
Specifically, an officer testified at trial that Allen never asked why he
was being questioned. However, the officer stated in a pre-trial deposition that
Allen did in fact ask why he was being questioned. This freestanding
claim of error may not be raised on post-conviction review.
See footnote
Second, issues decided on direct appeal may not be collaterally attacked on post-conviction
review. See Ben-Yisrayl v. State, 738 N.E.2d 253, 258 (Ind. 2000), State
v. Holmes, 728 N.E.2d 164, 168 (Ind. 2000), cert. denied, 121 S.Ct. 2220
(2001). Two issues Allen raises are barred by res judicata. First, he
argues that his constitutional rights were violated by the length of time it
took to resolve his direct appeal issues. Appellants Br. at 43. However,
our opinion on direct appeal concluded that Allen has not been denied due
process by the length of time his appeal has taken. Allen, 686
N.E.2d at 785. While the time lag between the trial courts sentencing
and the conclusion of Allens direct appeal was unfortunate and largely not Allens
fault, we have already determined that the delay did not warrant a new
trial or a reduced sentence. Id.
See footnote Second, he contends that the
prosec
utor committed misconduct by putting on purportedly false testimony and relying on it
in closing argument. Specifically, he argues that two officers lied on the
stand when they said that they had not provided details of the murder
before Allen began to discuss it. Appellants Br. at 50.
However, we decided this precise issue adversely to Allen on direct appeal.
Allen, 686 N.E.2d at 775.
Conclusion
SHEPARD, C.J., and DICKSON, BOEHM, and RUCKER, JJ., concur.
Footnote:
Put in its simplest terms,
Ben-Yisrayl stands for the proposition that direct
appeal counsel are not ineffective in their handling of issues of trial counsels
performance if there was no issue to raise in the first place.
Footnote:
The evidence most probative to counsels trial strategy was contained in Allens
statements to the police. We noted on direct appeal that Allens statements were
the source of counsels arg
ument imploring the jury to consider convicting him on
just the lesser included charge of voluntary manslaughter. If this strategy had
succeeded, it would have spared Allen the death sentence. Allen, 686 N.E.2d at
778.
Footnote:
Cf. People v. Mitchell, 727 N.E.2d 254, 344-45 (Ill.) (Defendant
tries to revive the Miranda argument by relying on post-conviction affidavits that he
believes help to establish that he would have been unable to make a
knowing, voluntary, and intelligent waiver of his Miranda rights. Just as we held
on direct appeal, however, the Miranda issue is irrelevant given our determination that
any error in the admission of defendants confession was harmless.), cert. denied, 121
S. Ct. 388 (2000).
Footnote:
We dealt with a slightly different claim of perjured testimony on direct
appeal.
See Allen, 686 N.E.2d at 775.
Footnote:
Allen also argues that counsel was ineffective in making this decision, but,
as we hold
infra, he has waived this claim.
Footnote:
Allen very briefly mentions the first two of these issues in his
petition. He makes a brief re
ference to the third of these issues
which was not mentioned at all in the petition in his
proposed findings of fact and conclusions of law. The first two issues
are not mentioned in those proposed findings and conclusions.
Footnote:
Allens family members testified that his mother drank heavily on the weekends,
and would occasionally not come home for several days during these spells.
They testified that they would sometimes stand outside the tavern where she drank
and implore adults entering the tavern to get money from her so that
they could eat. They also testified that she drank only occasionally during
the week and seldom drank in front of the chi
ldren. Allens mother
testified during Allens sentencing hearing, but died prior to the post-conviction hearing.
Footnote:
The conditions at the Indiana Boys School during the late 1960s and
early 1970s are documented in Nelson v. Heyne, 355 F. Supp. 451 (N.D.
Ind. 1972), which placed limits on the punishments Allens evidence describes.
Footnote:
These forms of corporal punishment were administered to the childrens bare buttocks
while they bent over. IBS officials meted out these strappings and paddlings
in front of large groups of chi
ldren.
Footnote:
Two of the former IBS detainees testified that they saw IBS officials
inflict such punis
hments on Allen on at least two occasions.
Footnote:
Trial counsel also testified that the prosecutors made it clear to him
that they would attempt to introduce Allens criminal history if any opening presented
itself.
Footnote:
Counsels strategy here resembles
Timberlake v. State, 690 N.E.2d 243, 261 (Ind.
1997), cert. denied, 525 U.S. 1073 (1999) in that counsel minimized the amount
of evidence presented during the penalty phase because of an external factor but
made a plea for mercy on his clients behalf. In Timberlake, we
held that
After an investigation into potentially mitigating evidence, a defense counsel may decide that
it would be better for his client not to argue, as mitigation evidence,
defendants background history such as a history of drug abuse and a bad
family life. Instead, defense counsel may determine that the better strategy would
be to attack the morality and effectiveness of the death penalty itself and
inform the jury that, if sentenced to a term of years, the defendant
would likely spend the remainder of his life in prison.
Id. (citations omitted).
Footnote:
Allen argues that while counsel might have reasonably decided not to run
this risk in front of the jury, he should have called these witnesses
at the sentencing hearing before the judge because the evidence of the prior
conviction would be contained in the pre-sentence investigation report that the judge would
read.
See Appellants Br. at 84-85. However, counsel called several witnesses
during the sentencing hearing, including Allens mother, sister and uncle. These witnesses
testified to Allens difficult childhood, including that Allen grew up in a poor,
fatherless home in which he acted as a protector and that he sometimes
stole so that the family would have food. Therefore counsel employed just
the strategy that Allen suggests here he avoided opening the door to
the evidence of prior convictions while the case was in front of the
jury, but presented mitigation evidence to the judge when that threat had passed.
Footnote:
Allen contends that the claim of mental retardation was a misdiagnosis of
his severe learning disability. Appellants Reply Br. at 8. This claim is
barred because similar evidence of Allens struggles with learning was presented in the
affidavits that were considered on remand and on direct appeal. These affidavits
included discussion from school officials as to whether Allen should have been placed
in special education. The affidavits also refer to tests of Allens general
intellectual functioning and document his poor reading skills and low intelligence quotient.
In light of this evidence, which was considered on remand and on direct
appeal, Allen has already litigated this claim.
Footnote:
Dr. Heilbronner also testified that Allens impairments would not prevent him from
functioning well in prison. (R.P-C.R. at 2337.)
Footnote:
It appears from the record that whatever investigation trial counsel conducted did
not i
nclude mental health professionals. However, Allen has not demonstrated constitutional error
in counsels failure to consult the type of the witnesses he offered on
post-conviction review. First, trial counsel testified at a post-conviction deposition that at
the time of Allens trial, attorneys rarely consulted neuropsychologists such as Dr. Heilbronner.
As for the other mental health experts, one social worker Hammock
testified to Allens family history to which counsel was already exposed, while
the other forensic psychologist Cunningham offered evidence that would have opened
the door to prior convictions while offering little to Allens mitigation case.
Moreover, the judge had before him a pre-sentence investigation report that detailed Allens
criminal history, but reported no violent acts while in prison. The judge also
received a series of letters in support of Allen, all of which stated
that Allen did not have a violent nature.
Footnote:
Allen also contends that his death sentence is unreliable because of counsels
failure to introduce this mitigation evidence. Appellants Br. at 41-43. Having found no
constitutional error in counsels failure to introduce such evidence, we similarly reject his
claim that the death sentence was unreliable on these grounds.
Footnote:
We remanded Allens direct appeal after it became apparent that the record
of proceedings in this case [did] not contain a written sentencing order, which
is a violation of Indianas death penalty sentencing procedure. Allen, 686 N.E.2d
at 788 n.32. Our opinion on direct appeal contains a detailed reproduction of
the remand order. Id.
Footnote:
The fact that Allen has waived these claims is reinforced by our
rejection of his petition for rehearing during his direct appeal. Our direct
appeal opinion addressed several issues in regards to the remand. See Allen, 686
N.E.2d at 787-90. In his petition for rehearing, Allen raised several more
issues, including many of the claims he asserts here. We rejected Allens
claims on rehearing and repeat that rejection here.
Footnote:
Specifically, Allen argues that counsel should have introduced evidence that he
suffered from mental health impairments which significantly restricted his ability to control his
impulses rather than being mentally retarded. Additionally, there was ev
idence post-trial that
Allen responded very well to incarceration. There was a wealth of evidence
available to support mitigation circumstances and rebut the States evidence of intent to
commit murder.
Appellants Br. at 31. Allen cross-references the prejudice he asserts here with his
claims of ineffective assistance of counsel during the penalty phase. See id.
(citing Appellants Br. at 70-87.)
Footnote:
Allen suggests that he was completely deprived of counsel on consideration of
the belated motion to correct errors and on remand and therefore we should
presume that he suffered prejudice.
See Appellants Br. at 30 (citing Penson
v. Ohio, 488 U.S. 75, 88 (1988) (presuming prejudice because the denial of
counsel in this case left petitioner completely without representation during the appellate courts
actual decisional process.). However, Allens appellate counsel chose to file the affidavits
referred to in the order and then challenged the remand process on appeal.
This course of action reflects a conscious decision-making process by counsel, which
should be analyzed under the general standard of Strickland and not cases (such
as Penson) where prejudice is presumed because counsel is completely absent from an
appeal. See Penson, 488 U.S. at 88; see also Strickland, 466 U.S. at
692 (Actual or constructive denial of the assistance of counsel altogether is legally
presumed to result in prejudice.) (emphasis added).
Footnote:
As a related matter, Allen argues that our denial of his belated motion
to correct errors interfered with counsel and rendered his performance ineffective because he
did not have an opportunity to develop a record. Appellants Br. at 38-39.
Similarly, he argues that counsel was rendered ineffective by the limited scope
of the remand order and its tight deadline. Id. at 40-41.
Allen again fails to assert that counsel would have presented any evidence during
the belated motion to correct errors or the remand that he did not
also argue should have been presented at the penalty phase. Having already
determined that Allen could not demonstrate constitutional error in counsels choice not to
investigate and present such evidence at the penalty phase, we conclude that he
has not shown error here.
Footnote:
Allen initially hired private counsel, who subsequently withdrew because Allen was not
able to afford his fees. The court appointed two other attorneys to
serve as trial counsel.
Footnote:
We
addressed this claim in terms of ineffective assistance of counsel supra.
Footnote:
This post-conviction appeal follows Allens direct appeal by roughly three and a
half years, which is not out of the ordinary in death penalty cases.
See, e.g., State v. Holmes, 728 N.E.2d 164 (Ind. 2000) (four-year delay
between appeals), cert. denied, 121 S.Ct. 2220 (2001); Williams v. State, 724 N.E.2d
1070, (Ind. 2000) (three-and-one-half year delay between appeals), cert. denied, 121 S.Ct. 886
(2001); Miller v. State, 702 N.E.2d 1053 (Ind. 1998) (slightly more than five
year delay between appeals), cert. denied, 528 U.S. 1083 (2000).