Williams v. United States
Williams v. United States
Opinion of the Court
Retired:
After a jury trial before then Chief Judge Harold H. Greene, appellant was convicted of rape while armed, burglary, assault with a dangerous weapon, mayhem or malicious disfigurement, and a violation of the Bail Reform Act. He received concurrent sentences on each of those convictions, except for the violation of the Bail Reform Act, for which he received a 90-day consecutive sentence. After sentencing, appellant filed a Motion to Set Aside Illegally Imposed Sentence under D.C.Code 1973, § 23-110 on the ground the sentences imposed resulted from defendant’s conviction after a trial where he had been denied effective assistance of counsel. The trial judge ordered a hearing on the motion and referred it to another judge to conduct the hearing and dispose of the motion. After an evi-dentiary hearing, the judge entered a 10-page memorandum opinion in which he concluded the motion should be denied.
There was an exhaustive hearing on the motion in this case, at the end of which the trial court entered voluminous findings which reveal a painstaking and thorough analysis of the evidence and the issues. We see no reason to disturb those findings and certainly find no basis to conclude they are plainly wrong, which is our controlling test on review in this case. D.C.Code 1973, § 17-305(a). See Timus v. United States, D.C.App., 406 A.2d 1269 (1979); McFadden v. United States, D.C.App., 395 A.2d 14 (1978).
We are accompanying this opinion by the trial court’s Memorandum Opinion, which we incorporate into our decision.
Affirmed.
APPENDIX
SUPERIOR COURT OF THE DISTRICT OF COLUMBIA
Criminal No. 102024-76
UNITED STATES OF AMERICA v. JOHNNY L. WILLIAMS
MEMORANDUM OPINION
This matter is before the court for consideration of defendant’s motion to vacate a sentence allegedly imposed in violation of
I.
According to evidence presented by the government during the trial on the merits, the complaining witness, while at home alone, was brutally assaulted and raped in the morning hours of November 5, 1976. After having been beaten by a stick, resulting in a fracture to her right humerus and slashed with a knife, the complainant was pummelled about her left eye causing a detachment of the retina and ultimate blindness as she had already lost sight in her right eye approximately four years before this incident. Thereafter, by her testimony, she was forcibly raped. After a period of unconsciousness, her husband returned home from work to find his wife gagged and bound to a chair. Metropolitan Police were notified and an ambulance was summoned. While waiting for the ambulance to arrive, complainant identified John L. Williams, a man she had known for more than ten years, as the assailant-rapist. Defendant presented essentially an alibi defense. He alleged that he was at home with his wife on the morning of the crime, ailing from a painful back injury. Defendant presented testimony and demonstrative evidence to support his contention of disability, including a container of analgesic tablets.
After five days of jury trial before the Honorable Harold H. Greene,
Defendant now alleges,
II.
This court is not unmindful of the recent decisions of the D.C. Court of Appeals in Monroe v. United States, No. 12451 (July 18, 1978) and Farrell v. United States, D.C.App. No. 12051 (August 21,1978), involving pretrial claims of ineffective assistance of counsel, however, since this motion arises post-trial, the applicable test is that announced in Angarano v. United States, D.C.App., 312 A.2d 295, 298, n. 5 (1973).
III.
After taking testimony and considering documents and affidavits in support of the defendant’s motion, the court concludes that the allegation that trial counsel failed to adequately prepare for trial is unfounded. The court is particularly sensitive to such allegations, having had the opportunity to review them in United States v. Sweet, Criminal No. 9994-75 (Memorandum Opinion on July 28,1978) (new trial granted because of trial counsel’s failure to prepare) and completely agrees with the American Bar Association statement that,
“It is axiomatic among trial lawyers that cases are not won in the courtroom but by long hours of laborious investigation and careful preparation ... It is impossible to overemphasize the importance of appropriate investigation to the effective and fair administration of criminal justice.” [ABA Standards Relating to the Defense Function § 41, Introductory Note at 224-25 (Approved Draft 1971).]
However, the testimony of defendant and his wife that it Was difficult to contact trial counsel and that he failed to prepare defense testimony for the rigors of cross-examination is effectively rebutted by defendant’s own testimony that he met with trial counsel at least three times for thirty-minute periods before trial and spoke with trial counsel’s investigator on numerous occasions. In fact, after the investigator interviewed potential witnesses, she prepared over 200 pages of reports, all of which were transferred to trial counsel. The alibi defense raised in this case was not complicated factually, thus even limited attorney-client conferences would have been more than adequate to prepare the defense for trial.
Even though a large portion of the defendant’s testimony related to the failure of trial counsel to communicate and prepare, newly appointed counsel so much as admits that the allegation is insubstantial. In her amended points and authorities in support of her motion, she concludes that,
“This is not a situation in which trial counsel failed to prepare at all. His files, which were provided to this counsel, contained every record, report and interview referred to, except the conversation with Dr. Hartsock.
The situation presented to this court is one in which trial counsel, for whatever reason, failed to use most of the evidence he had at his disposal.”
What remains for the court to consider are the numerous allegations involving conduct during the trial. Newly appointed counsel admits in her amended points and authorities that all of these allegations involve tactical decisions that when considered separately are clearly not an adequate basis for relief. Woody v. United States, D.C.App., 369 A.2d 592, 594 (1977) (mere errors of judgment as disclosed by subsequent events or hindsight are not sufficient to establish ineffective assistance).
Defendant argues, however, that when all of these allegations are considered together, the combined effect is a sufficient basis to award defendant the relief he requests. The court concludes that the record in this case reflects that the alleged omissions do not rise to the level of blotting out a substantial defense.
The foremost allegation, for which the court received the majority of testimony, involves the alleged failure to present medical testimony to the effect that it would have been highly improbable for defendant to have been able to commit the assault due to a painful degenerative back condition. On the basis of what trial counsel had before him at the time of trial, however, his decision to refrain from calling medical experts for testimony was rational and well-founded in light of Dr. Fulcher’s report, which stated that defendant’s back condition was not so severe as to require surgery and that defendant was to return to work. Although it is true that Percodan, a narcotic, was prescribed by Dr. Cawood on October 26, 1976, defendant was not taking the Percodan at the time of the crime. Defendant was referred to Dr. Fulcher by Dr. Cawood for a neurological consultation on November 3, 1976. After his examination, Dr. Fulcher prescribed Equagesic, a mild non-narcotic sedative, to replace the Perco-dan. Thus, any allegation that defendant was incapacitated by the narcotic effect of Percodan is unfounded. The court has been presented with an affidavit from Dr. Fulcher which concludes that it appeared “unrealistic that this rather gentle man could have become a maniac capable of performing these acts described...” (Affidavit of Dr. Fulcher, p. 3). Notwithstanding the fact that a portion of the doctor’s conclusion is based on neurological findings, it appears that Dr. Fulcher has drawn psychoanalytical conclusions as well. The court concludes, with all due respect, that Dr. Fulcher’s strong feelings of sympathy for defendant, as documented in his affidavit and his letter to defendant, has somewhat lessened his objectivity. In any event, the original consultation report prepared by Dr. Fulcher for submission to his colleague and for use in the management and care of the defendant clearly defined the nature and extent of the physical condition of the patient. This condition was not such as to keep defendant from working and was a known transient type of condition. Furthermore, the fact that defendant had a painful back condition was put before the jury for their consideration by the testimony of the defendant and the admission of the prescription pain killers into evidence. Thus, even though the defense was not as “vigorously” presented as newly appointed counsel would have preferred, it can hardly be said that trial counsel’s omission of medical testimony on this point rises to the level of blotting out a substantial defense. Newly appointed counsel has also alleged that trial counsel should have more vigorously developed the fact that there was no physical evidence of the rape in the medical records. This allegation is likewise insubstantial as the matter was dealt with in such a forceful fashion in trial counsel’s closing argument that the prosecutor felt obligated to refer to the matter again in the final remarks of his rebuttal argument.
The court reaches the same conclusion on the third of these allegations involving the failure to call Dr. Morris or admit the hospital records in reference to the complainant’s alcoholic intemperance. What trial counsel had before him to support the allegation that complainant was intoxicated when she arrived at the hospital was an unsupported
The other allegations of failures to impeach government witnesses by cross-examination or the presentation of defense testimony, even if accepted as wholly true, do not rise to the required test as these involved peripheral matters that may have had even an adverse effect on defendant’s case, especially with reference to the available testimony of Mr. Moore, who was prepared to testify on cross-examination that defendant was interested in obtaining a gun and had been drinking on the morning of the crime.
The remaining allegations involve the failure to make a motion for judgment of acquittal on the rape charge and a failure to attempt to sever the Bail Reform Act charge from the other charges. As to the former allegation, it is clear that had such a motion been made, it would have properly been denied.
These allegations, therefore, whether considered separately or together, do not rise to ineffective assistance as trial counsel’s decisions were rational and in many instances even wise. At the very least, the matters and their alternatives were considered and a judgment-strategical and tactical made.
IV.
The court has drawn a distinct line between consideration of allegations of failure to prepare and communicate and allegations of tactical errors made during the trial. The court has concluded that trial counsel was well prepared for trial and newly appointed counsel has essentially admitted this fact. Except in very strained and peculiar instances, this is where the court’s inquiry into ineffective assistance allegations should properly terminate. The retrospective analysis by newly appointed counsel into the manner in which trial counsel conducted the defense presentation and cross-examined government witnesses invades an area properly reserved for the trial counsel as only he can be aware of the multi-faceted intangibles in the courtroom atmosphere which are so important to the outcome of the litigation. Reasoned decisions and tactical determinations reflecting strategic considerations are and should remain the province of the trial lawyer. The Sixth Amendment, by whatever test applied, does not require the perfection of rear-view vision.
The ever increasing popularity of seeking post-trial relief following conviction by assertion of a claim of ineffective assistance of counsel is a procedural maneuver which can greatly overburden the trial court, if abused. Though, undoubtedly, counsel ap
As indicated, supra herein, this court is by no means reluctant to award a new trial on the basis of ineffective assistance of counsel, when and if the record warrants such relief under the law. The trial court has an understandable stake in this general subject. Appellate court direction is that a hearing is to be held and testimony received and thereafter Findings of Fact and Conclusions of Law prepared. Obviously, such a post-trial mini-hearing has its effect upon the calendar of each trial judge. Where warranted, it is of course justified. On the other hand, the subject is not one to be exploited with frivolous motions. The law of this jurisdiction is reasonably clear as to the guidelines for establishing ineffective assistance of counsel. The case which does not fall within those guidelines should not be the subject of a motion simply for the sake of a motion being filed.
WHEREFORE, it is this 11th day of September, 1978
ORDERED, that the motion herein, to vacate the sentence imposed in violation of defendant’s constitutional right to effective assistance of counsel, be and hereby is denied.
/s/ William E. Stewart, Jr.
WILLIAM E. STEWART, Jr.
Judge
cc: Donna L. Crossland, Esq.
Paul Knight, Esq.
Assistant United States Attorney
Charles O’Banion, Esq.
. The dissent sets out at length the petitioner’s side of the issue post-trial. We might comment, in passing, that defense counsel in this case made an extensive pretrial investigation and there were compiled some 200 pages of investigative reports. There was no lack of pretrial diligence. The dispute centers on tactical decisions during trial. The trial court’s Memorandum Opinion judiciously deals with these tactical decisions. It would serve no worthwhile purpose to retrace the ground crossed by the trial court, whose opinion we have included as an Appendix. After a lengthy hearing, observation of the witnesses and consideration of the relevant documents, the trial court made thoughtful and extensive findings of fact and concluded that ineffective assistance of counsel was not established. The dissenting judge will have none of it. We think a careful and deliberate job was done by the trial court and see no reason to reverse.
.D.C.Code 23 § 110. A hearing was granted by the Honorable Harold H. Greene on June 13, 1978. See Johnson v. United States, D.C.App. Nos. 11468 and 12492 (March 29, 1978).
. Associate Judge, United States District Court for the District of Columbia, then sitting as Chief Judge, Superior Court.
. Notice of Appeal was filed on October 3, 1977.
. Chief Judge Newman, writing for the court in Monroe, did not specifically readopt the Angar-ano standard for post-trial claims leaving the issue open for future adjudication. This court, of course, is bound by the outstanding precedent until overruled.
. See Bolton v. Harris, 130 U.S.App.D.C. 1, 12, 395 F.2d 642 (1968).
. See Arnold v. United States, D.C.App., 358 A.2d 335, 339-44 (1976).
Dissenting Opinion
dissenting:
As I read the transcript of trial proceedings, and that of the post-conviction hearing which the trial judge ordered, I am troubled. With all due deference to the observations of the able hearing judge who rejected the claim of ineffective assistance of counsel, I am obliged to point out that his memorandum opinion, which the majority today adopts without significant comment, was issued prior to recent decisions of this court which have identified the kind of gross incompetence by defense counsel which may blot out a substantial defense under Angarano v. United States, D.C.App., 312 A.2d 295 (1973), pet. for rehearing denied, D.C.App., 329 A.2d 453 (1974) (en banc). See Tillery v. United States, D.C.App., 419 A.2d 970 (1980); Johnson v. United States, D.C.App., 413 A.2d 499 (1980); Oesby v. United States, D.C.App., 398 A.2d 1 (1979). I am unable to distinguish this case from that of Johnson, supra, where we held that the failure to present highly credible evidence bearing on the credibility of a key government witness rose to the standard of prejudice enunciated in Angarano. In Tillery, supra, we echoed the importance of defense counsel not only preparing but presenting highly credible impeachment material where the critical issue was that of credibility.
I.
I do not think it can be seriously disputed that, in the instant case, credibility was a crucial issue. The unfortunate complainant was a key witness; it was only on her word that appellant was identified as the man who struck her repeatedly in the left eye, kicked her, beat her with a stick, broke her arm, tied and gagged her, cut her, ripped off her clothes and raped her. Defense counsel, prior to and during trial, possessed information that would have raised questions as to the competency of this witness to have perceived, at the time of the crime, not only precisely what had been done to her but who had done it. He did not use this evidence for impeachment purposes.
During the post-trial hearing, counsel explained that his decision not to pursue a line of cross-examination to develop complainant’s drinking problem was based largely on an interview he had with her five months after the rape in which she appeared lucid and competent. “Moreover” as he testified, “the trial judge did not raise any questions as to [complainant’s] competence.” Counsel later added that he did not want to evoke sympathy for complainant by questioning her about her drinking problem. He did not want the hospital records introduced for the same reason and because they were not relevant to appellant’s alibi defense. With regard to the testimony of Dr. Morris, counsel decided not to call him because he “might” have testified that complainant reported to him that she had been raped, thus providing corroborative evidence.
I cannot view counsel’s explanations as supporting the existence of a rational “tactical” decision: As I have noted, complainant was the only witness to place appellant within her apartment on the morning of the assault. Her testimony was, at times, confused and contradictory; her credibility was crucial; impeachment was essential to the defense. The medical evidence and testimony available to counsel and of which he was aware was highly credible and would have substantially bolstered appellant’s defense. Counsel’s decision not to present this evidence based on his interview of complainant and his desire to avoid the evocation of sympathy for her had no basis in reason: complainant’s display of lucidity five months subsequent to the assault had no relevancy to the issue of her mental state on the date of her assault; that mental state was relevant to appellant’s defense of alibi. The detriment of Dr. Morris’ possibly adding to the fact that complainant reported rape pales in comparison to the benefit of his testimony concerning complainant’s inebriated condition upon admission; the likelihood that introduction of that portion of complainant’s medical record describing her injuries would have evoked sympathy for her was minimal compared to the previous introduction by the government of the more inflammatory evidence of photographs depicting her battered condition. In my view, counsel was grossly incompetent for failing to employ the impeachment evidence available to him concerning complainant’s inebriated condition:
In like vein, I think that counsel was incompetent in failing to use favorable medical evidence which indicated that complainant’s genital area was in a normal condition upon admission. Counsel did not subpoena or interview the gynecologist who examined the complainant, nor did he present any evidence regarding the examination. Instead, he chose to argue a nega
Q. [Post Trial Counsel for appellant]: Why didn’t you consider it relevant to call the gynecologist who examined her?
A. [Trial Counsel for appellant]: Well, it was obvious that no semen was found in the vagina—
Q. How was it obvious?
A. From the pretrial investigation.
Q. Well, what about the jury’s information; how were they going to know that?
A. I pointed that out in closing argument that the Government had not produced any evidence of semen in the vagina.
Q. My question is: Did you not consider it a relevant point to bring up on defense?
A. Well, the point was brought up on defense, in the defense of Mr. Williams.
Q. But only in closing argument.
In this regard the instant case is factually similar to Johnson v. United States, supra. In Johnson, the defendant was charged with taking indecent liberties with and enticing a minor child. Ten days before trial, his counsel became aware of a medical report that concluded that there was no evidence of trauma in the complainant’s vagina or genital area, thereby directly contradicting the complainant’s account of the incident. The examining gynecologist was not subpoenaed or called to trial, although counsel attempted to present the medical report’s negative findings indirectly in his closing argument by arguing that the government’s failure to produce the results of the medical examination allowed an inference that the evidence would have been favorable to the defendant. In reversing the conviction and granting a new trial, we held that trial counsel was grossly incompetent in his trial preparation by failing to investigate the favorable medical report, obtain a copy of the report, and secure and present the testimony of the gynecologist. We concluded:
From the facts developed at the post-trial hearing it is undisputed that trial counsel was informed at least ten days prior to trial that Dr. Gaither’s medical report would be favorable to the defense, yet trial counsel made no attempt to secure either a copy of the medical report nor to interview Dr. Gaither as a potential defense witness. This failure became salient when the government rested without calling Dr. Gaither to testify and trial counsel realized the favorable medical testimony would be lost. At that late juncture, the perfunctory issuance of a forthwith subpoena directed only to the doctor’s place of previous employment proved unsurprisingly fruitless. Trial counsel was left with the sole option of arguing the negative inference from the failure of the government to present medical testimony. The fact that counsel was forced to exploit a negative inference is indicative of his inadequate preparation. [413 A.2d at 503.]
In my view Johnson is controlling here both as to the finding of incompetence and its significance to the defense. As we said in that case:
A ‘substantial defense’, however, is not limited to an affirmative defense or the presentation of an alibi defense. A defense may be predicated upon disproving an element of the crime charged, ... or simply discrediting the testimony of the prosecution witness.... The loss of highly credible impeachment material, which may have been sufficient to cast a reasonable doubt on the government’s evidence, blots out a substantial defense. [413 A.2d at 504-05 (citations omitted).]
II.
While I think, therefore, that Johnson would mandate reversal in this case, there is more. For additional reasons I cannot embrace the trial court’s findings that defense counsel’s omissions taken separately or together, did not rise to the level of ineffective assistance of counsel. Indeed as a matter of law, I would find the trial
In Tillery, supra, we applied the “totality of circumstances” test announced in Oesby in assessing the performance of counsel. We found the preparation and presentation of an insanity defense to be grossly incompetent. We noted that when it clearly appeared that counsel’s performance resulted in prejudice to appellant, reversal for a new trial was compelled.
In my view the rationale of these cases compels a finding that the investigation, preparation and presentation of appellant’s additional defense of physical impossibility was grossly incompetent. During the post-trial hearing, trial counsel testified that he did not pursue the defense of physical impossibility because “rather than get into a complex medical defense I concentrated primarily on the alibi defense.” Counsel made this decision without fully comprehending the nature of appellant’s ailment
Dr. Fulcher examined appellant on November 3, 1976, two days prior to the assault on complainant, and deduced that he was suffering from a sciatica resulting from a pinching of the nerve root in the lower lumbar region. Dr. Fulcher postulated that this “pinching” had resulted from a “degenerated intervertebral disc between the fifth lumbar vertebra and the first sacral segment.” Equagesic, a sedative, and a sacroiliac belt were prescribed for appellant although Dr. Fulcher did not think appellant’s condition sufficiently severe to warrant a myelogram,
Despite counsel’s testimony that he decided to forego the “complex” defense of physical impossibility, the record belies that assertion. Counsel elicited testimony from appellant and his wife concerning the debi-litative nature of his back condition. Additionally, the prescription for equagesic was introduced into evidence. Counsel did not, however, reinforce this line of defense by calling as witnesses either Dr. Cawood or Dr. Fulcher. Instead, he allowed the prosecution to draw negative inferences
.The defense case [is] alibi ... plus a little suggestion of impotency .... Is it reasonable that, here in the courtroom, last minute, a man takes the stand and says he has this slipped disc? He diagnosed himself. Where is the doctor? The nurse ... told you ... [that] his chief complaint [to her], pain in the right arm, goes down into the leg and [his] toes fall asleep at times — Is this the type of injury ... [which is] a defense to rape?
I cannot view counsel’s actions as constituting a tactical choice on his part. His presentation to the jury of some testimony and physical evidence as to appellant’s back condition indicates counsel’s belated realization of the importance of appellant’s disability. Unfortunately for appellant, counsel had not adequately prepared this line of defense as witnessed by his failure to comprehend the exact nature of his ailment, employ the favorable report of Dr. Cawood, contact Dr. Fulcher regarding his diagnosis of appellant’s condition, or consult a medical expert as to the feasibility of the defense in light of the existing medical evidence.
His lack of preparation and presentation only served to obscure the seriousness and extensiveness of appellant’s condition and to blot out an affirmative medical defense to the prejudice of appellant.
I would hold, applying the “totality of circumstances” test, that counsel’s gross incompetence in his preparation, investigation and presentation of appellant’s medical defense, and in failing to impeach a key government witness with highly credible evidence, has deprived appellant of his Sixth Amendment right to effective assistance of counsel. I respectfully dissent.
. The court alluded to the voluminous investigative reports which were transferred to counsel. I could agree, as we found in Tillery that the “information was all there” (see 419 A.2d at 973) but here as in Tillery counsel did not use it.
. At one point in the hearing, counsel stated that he did not know the meaning of a neurologist’s diagnosis. Additionally, he could not perceive the connection between appellant’s back disorder and impotency. Expert medical testimony presented during the post-trial hearing indicated that back ailments similar to appellant’s did diminish or entirely eradicate interest in performing sexual acts, especially during an acute attack of pain.
. A myelogram is a film reproduction procedure using roentgen rays whereby the spinal subarchnoid space is visualized after an injection of a contrast medium.
. Dr. Fulcher explained that the term “manpower” was understood to mean sexual potency.
. Several times during cross-examination, the prosecution questioned appellant concerning the whereabouts of his doctor.
. The nurse, Mary Hughes, testified that during his November 3 office visit, appellant did not complain to her of severe back pain or impotency, but only of pain in his right hip and leg.
Reference
- Full Case Name
- John L. WILLIAMS, A/K/A Johnny L. Williams, Appellant, v. UNITED STATES, Appellee
- Cited By
- 3 cases
- Status
- Published