Joseph A. Brown v. United States
Joseph A. Brown v. United States
Opinion of the Court
Nebeker, Senior Judge:
Brown appeals from the denial, as time or otherwise barred, from forty-eight pro se and interrelated motions. The motions collaterally attacked his three convictions in the 1990's (two were on negotiated guilty pleas on 1991 and 1992 weapons offenses, and a third for a first-degree murder conviction in 1997). This court appointed present counsel to represent Brown on the appeal. Brown was serving a life sentence in a California federal prison for the murder when he was charged with assault on a prison guard in 2008. He unsuccessfully presented an insanity defense to that charge, where he had the burden of persuading the jury by clear and convincing evidence that he had an abnormal mental condition which deprived him of capacity for choice and control of his conduct at the time of the murder.
See
The argument on appeal is that Brown's four counsel in the 1990's were constitutionally ineffective in failing to recognize and develop possible insanity defenses to those charges. He presents his defense
expert's testimony in his California trial (a Dr. A.A. Howsepian) to challenge as ineffective his four counsel in the 1990's.
In order to prevail when bringing a claim of ineffective assistance of counsel, appellant must show that "his trial attorney's performance fell below an objective standard of reasonableness and that there is a reasonable probability that the error affected the outcome of the trial to his prejudice."
Simpson v. United States
,
The dissent argues that the question of procedural default as a result of Brown's failure to bring these claims in a timely manner "blends" with the question of the merits of Brown's ineffective assistance of counsel claims. However, the Supreme Court has said that "the question of cause for a procedural default
does not turn
on whether counsel erred or on the kind of error counsel may have made."
Murray v. Carrier
,
Brown showed no cause for his failure to file this collateral attack in a timely manner. We have held that the unavailability of claims resulting from the trial counsel's actions are only cause for delay where the counsel's own failure to effectively communicate with the defendant led to the delay in filing.
See, e.g.
,
White v. United States
,
Furthermore, there was no ineffective assistance of counsel, even if Brown could overcome the procedural bar. There were no observable symptoms or statements from Brown that could have reasonably called attention to the possibility of an insanity defense. The expert testimony from Dr. Howsepian showed that Brown had been traumatized by injuries in the 1990's and later when in prison, including a nine-year period of solitary confinement, and such trauma could produce latent Post Traumatic Stress Disorder (PTSD). He added that PTSD would lead to avoiding conversations about its effect.
Notwithstanding the dissent's argument to the contrary, there is simply no evidence that counsel would have had a reason to investigate appellant's mental state at the time of trial in the 1990's. Not only did Brown not mention any mental condition to alert counsel, but also the psychiatric testimony in the California trial does not describe, and there is no other showing of, any observable symptoms of an abnormal mental condition in the 1990's. Therefore, there was nothing which could have reasonably alerted his counsel to a possible insanity defense.
See
Cosio v. United States
,
Simply put, in order for Brown's claim to succeed, the court would have to engage in pure speculation.
Accordingly, we hold that Brown's counsel did not perform in an objectively unreasonable way and were not ineffective by not raising insanity defenses. Since we conclude that Brown has failed to show cause for the delay, we need not reach the prejudice prong.
See
Cosio
,
The trial court's order is hereby
Affirmed.
Appellant's briefing focuses on the ineffectiveness of trial counsel in the three separate cases, but at oral argument, appellant's counsel argued that if trial counsel was ineffective, so was appellate counsel by failing to raise this issue during the direct appeal for the 1997 conviction.
This procedural bar is not easy to overcome. We have held claims that are so "vague and conclusory," like the speculative claims made by Brown, that they do not require a hearing under § 23-110 also fail to show cause for delay.
Vaughn v. United States
,
Additionally, we have said that in situations where appellant "has already launched several collateral attacks on his conviction, the reasons supporting the application of the cause and prejudice test are even more compelling."
Washington
,
Avoidance and hiding one's PTSD symptoms is part of the disorder's symptoms. For instance, the 2007 edition of the DSM-IV-TR discusses PTSD (this edition was in effect at the time of the California trial) and states that "[s]timuli associated with trauma are persistently avoided. The person commonly makes deliberate efforts to avoid thoughts, feelings or conversations about the traumatic event." American Psychiatric Ass'n, Diagnostic and Statistical Manual of Mental Disorders IV Text Revision 464 (4th ed. 2007) [hereinafter DSM-IV-TR].
In addition to PTSD, Dr. Howsepian diagnosed Brown with Schizotypal Personality Disorder in 2009 which included such symptoms as "overelaborate, tangential, and circumstantial, speech ... suspiciousness and paranoid ideation, and lack of close friends or confidants." The DSM-IV-TR classifies this disorder as including "pervasive pattern of social and interpersonal deficits marked by acute discomfort with, and capacity for, close relationships." DSM-IV-TR at 697. Dr. Howsepian's testimony, however, focused on the PTSD diagnosis.
The dissent speculates that Brown "may" or "might" or "could" show counsel deficiencies in not developing insanity defenses. The dissent also postulates that since there is no appearance of a motive or "any other good defense ... it is arguable that trial counsel had reason enough to explore ... an insanity defense." In addition, the dissent speculates that Brown's latent PTSD may have had observable symptoms.
Dissenting Opinion
This appeal arises from the denial of appellant Brown's
pro se
I.
The murder charge arose from the fatal shooting of Kenneth Powell on January 31, 1996. Brown himself was shot in the wrist in the encounter. At trial, the government conceded that the motive for Brown to shoot Powell-someone he grew up with and knew very well-was unknown. Brown's defense relied on his testimony that an unknown third party shot both him and Powell in a marijuana sale gone bad. It was a weak defense to a strong government case.
Brown first claimed his trial counsel was ineffective in failing to investigate an insanity defense in the
pro se
§ 23-110 motions he filed in Superior Court in November 2011. Brown based that claim on a psychiatric evaluation in support of an insanity defense that he presented to assault charges brought against him in 2008.
[O]ne of the most prominent symptoms of PTSD is hypervigilance which can, and in a significant number of people-including Mr. Brown-does evolve into frank paranoid ideation.... In addition, persons with PTSD, including Mr. Brown, often have difficulty controlling anger and are irritable.... Mr. Brown exhibits multiple symptoms of Schizotypal Personality Disorder, including overelaborate, tangential, and circumstantial speech, a flat to blunted to constricted affect, suspiciousness and paranoid ideation, and lack of close friends or confidants. Persons with Schizotypal Personality Disorder are especially prone to cognitive distortions involving paranoid ideation in virtue of this personality disorder's being the personality disorder that is most closely related to schizophrenia. Mr. Brown[']s having Schizotypal traits in addition to PTSD further amplifies his capacity for experiencing paranoia.... Mr. Brown has a history of Traumatic Brain Injuries and a grand mal seizure disorder (that began at age 7 years), both of which can make one more prone to aggressive behavioral dyscontrol.... Mr. Brown did not exhibit any signal for malingering.
In his report and his testimony at Brown's federal court trial, Dr. Howsepian gave it as his professional opinion that, as a result of his mental illness, Brown was unable to appreciate the wrongfulness of his assaultive act. "[A]ll he perceived was a threat," Dr. Howsepian explained,
in virtue of which he became emotionally unmodulated and overwhelmed to a degree that he could not detach from the perceived threat in order to consider whether this threat was veridical or illusory .... His capacity to understand the wrongfulness of what he did was crippled by an overwhelming surge of emotion that was driven by profound paranoid cognitive distortion. And in light of his profoundly impaired impulse control, he then swiftly took actions that he also could not modulate. Mr. Brown was rigidly, overwhelmingly, and forcefully convinced at that time that his survival was at stake. [4 ]
Brown alleged that he had not known of his mental impairments prior to Dr. Howsepian's evaluation,
In denying Brown's motions without a hearing, the Superior Court held that Brown had not demonstrated cause for failing to raise his ineffective-assistance-of-counsel claim on direct appeal. The court further held that even if Brown could establish cause for that failure, he could not show prejudice because "he has failed to 'demonstrate that there is a reasonable probability that ... the results of the proceeding would have been different' but for the alleged trial errors."
Shepard v. United States
,
II.
"While the decision whether to hold an evidentiary hearing on a § 23-110 collateral challenge to the constitutionality of a
conviction is committed to the trial court's discretion, the extent of that discretion is 'quite narrow.' "
A defendant may have to overcome procedural barriers to his motion for collateral relief from his conviction. In particular, "[w]here a defendant has failed to raise an available challenge to his conviction on direct appeal [or during the pendency of his direct appeal], he may not raise that issue on collateral attack unless he shows both cause for his failure to do so and prejudice as a result of his failure."
"To establish legally sufficient 'cause' for his failure to raise a claim on direct appeal, ... appellant must show (if he can) that he 'was prevented by exceptional circumstances' from raising the claim at the appropriate time."
Brown predicates his showing of cause on his trial counsel's failure to arrange for a mental health examination, which (Brown posits) would have revealed-to counsel and to Brown himself-that he suffered from mental illness and could have mounted a meritorious insanity defense to the murder charge. As a result of that failure, Brown argues, the factual basis for his claim was not reasonably available to him prior to Dr. Howsepian's assessment-in other words, not until long after the conclusion of his direct appeal. The question of cause to excuse Brown's procedural default thus blends with the merits question of whether his trial counsel was constitutionally ineffective.
To succeed on his claim of ineffective assistance of counsel, Brown must show that his trial counsel's representation was deficient and that the deficient performance prejudiced his defense.
There is no dispute, I think, that a defense "counsel's failure to explore the possibility of a not guilty by reason of insanity defense through reasonable investigation, including the use of a qualified mental health expert, can rise to the level of constitutionally defective counsel[,]" especially when that client faces a murder charge.
First, that Brown did not tell his counsel that he had an abnormal and debilitating mental condition is not a sufficient ground in itself to excuse counsel's failure to investigate it, if counsel otherwise should have done so.
Second, it is premature in my view to conclude that Brown's defense counsel in the murder case lacked a good reason to investigate the possibility of an insanity defense. Given the lack of any other good defense to present, and the absence of an identifiable motive for Brown to have killed his friend, it is arguable that trial counsel had reason enough to explore the possibility of an insanity defense. Beyond that, counsel allegedly was aware of Brown's gravely traumatic shooting in 1991 and the way in which it altered his life and behavior. This, too, reasonably might have sparked investigation of Brown's mental condition. And finally, we really cannot say at this stage that Brown's counsel observed no signs of his client's abnormal condition that reasonably should have alerted him to the need for further investigation. As previously mentioned, Dr. Howsepian identified a number of symptoms that an attorney working with Brown might well have noticed: difficulty controlling anger, irritability, suspiciousness, paranoid ideation, distinctive speech patterns, flat affect, and lack of close or confidential personal relationships. On that score, I think we have to make allowances for the fact that because Brown was incarcerated, mentally impaired, and without the aid of an attorney, his ability to obtain and marshal additional evidence-from his trial counsel's case file or persons who knew him in the 1990s, for example-was limited. "We have a duty to be indulgent of pro se pleadings."
To overcome the procedural bar, Brown also must show that he suffered " 'actual and substantial' prejudice from his failure to raise [the ineffective assistance of counsel claim] before now."
Since my colleagues do not reach the question of prejudice, I shall be brief. As indicated above, Brown may be able to show that a reasonable criminal defense attorney, representing a defendant with Brown's history on a charge of first-degree murder to which no other defense appeared viable, would deem it necessary to have the defendant's psychiatric condition evaluated for the purpose of determining whether it would support a defense. As to what that evaluation would have shown in his case, Brown presented the court with much more than the mere "skeletal proffer of expert testimony" that we could deem too vague and conclusory to require a hearing.
For the foregoing reasons, I would reverse the summary denial of Brown's § 23-110 motion seeking relief from his conviction for first-degree murder and remand for the appointment of counsel and an evidentiary hearing on his ineffective assistance claim.
The evidence that Brown was the shooter included the victim's dying declaration, the testimony of eyewitnesses who saw Brown flee the scene of the shooting, and a trail of blood leading to his grandmother's house, where the police found his blood-stained sweatshirt among other physical evidence. Brown was impeached with what he admitted were lies he told the police to explain how he had been shot and with his prior convictions for carrying a pistol without a license and assault with a dangerous weapon.
Brown v. United States
, No. 98-CF-1170, Mem. Op. & J.,
On May 23, 2008, while serving his sentence at a federal penitentiary in California, Brown attempted to stab a correctional officer who entered his cell over his objection. Brown was charged with assault with intent to commit murder and assault on a federal official. His federal public defender had him evaluated by a psychiatrist who ultimately testified at Brown's federal district court trial in 2010.
My colleagues state that Brown's insanity defense was "unsuccessful[ ]." Ante at [165-66]. I do not think that an entirely accurate characterization. Brown's trial resulted in a hung jury, and the district court later granted the government's motion to dismiss the indictment without prejudice on September 2, 2011.
He had no prior diagnosis of PTSD or other mental illness.
Bellinger v. United States
,
Newman v. United States
,
Bellinger
,
Wu v. United States
,
Brown v. United States
,
See
2 James S. Liebman & Randy Hertz,
Federal Habeas Corpus Practice and Procedure
§ 26.3 (e), p. 1113 (3rd ed. 1998) ("[A] hearing must be held on controlling and controverted factual issues surrounding the [asserted procedural] default and any excuses for it[.]") (citing,
inter alia
,
Wainwright v. Sykes
,
Hardy v. United States
,
McCleskey v. Zant
,
It should be noted that Brown does not rely on his mental illness by itself as excusing his procedural default.
Cf.
Holt v. Bowersox
,
Strickland v. Washington
,
Lundgren v. Mitchell
,
See, e.g.
,
Lundgren
,
Pettaway v. United States
,
Brown
,
Martinez v. Ryan
,
Murray v. Carrier
,
See
Cosio
,
Thomas v. United States
,
See
State v. Bottrell
,
Admittedly, Brown's condition may have deteriorated significantly between 1996 and 2008, when his PTSD was first diagnosed. In reaching his professional conclusions, Dr. Howsepian considered not only Brown's shooting in 1991 but also, in part, the subsequent traumas Brown had endured and the aggravating impact of Brown's prolonged solitary confinement in prison.
Reference
- Full Case Name
- Joseph A. BROWN, Appellant, v. UNITED STATES, Appellee.
- Cited By
- 2 cases
- Status
- Published