Commonwealth v. Ford
Commonwealth v. Ford
Dissenting Opinion
DISSENTING OPINION
I agree with the analysis of Justice Castille, but write separately in order to summarize my position on the issue of “layered ineffectiveness” claims, hopefully without contributing more splinters to the fractured positions of this Court.
Failure to raise an issue at trial waives the right to raise that issue on appeal. If that failure is shown to constitute
If trial counsel’s ineffectiveness is not raised on appeal, the right to complain about that ineffectiveness is also waived; this second waiver may also be overcome, but only if the second waiver is proved to be, not assumed to be, the result of ineffectiveness by appellate counsel. When we review trial counsel’s actions, we are deferential, indeed highly deferential, to counsel’s chosen course, and we (in theory) look at it without the wisdom of hindsight. Bell v. Cone, 535 U.S. 685, -, 122 S.Ct. 1843, 1852, 152 L.Ed.2d 914 (2002). We understand strategic choices at time of trial do not comprise ineffectiveness merely because there was a guilty verdict— difficult choices must constantly be made during criminal representation. Is appellate representation to be given less careful review and consideration?
Lawyers handling an appeal make strategic decisions about the issues to raise, and the tack to take in addressing those issues. Their stewardship must be appraised with the same consideration given trial counsel. There is an allure to believing appellate counsel is ineffective per se simply because they did not advance an issue of trial’s stewardship which is deemed unreasonable somewhere down the line. Like Rosie Ruiz taking the subway during the New York marathon, this belief allows a shortcut in violation of the rules of the matter. A paragraph simply alleging ineffectiveness of every attorney from the trial to date is not a subway ticket to the finish line. Without proof, it is not sufficient.
The doctrine of “relaxed waiver” was eliminated by Commonwealth v. Albrecht, 554 Pa. 31, 720 A.2d 693, 700 (1998). As Justice Saylor aptly notes, retroactive application of the
For these reasons, I dissent from the analysis of my learned colleagues.
Opinion of the Court
OPINION ANNOUNCING THE JUDGMENT OF THE COURT
Appellant Kenneth Ford appeals from the order of the Philadelphia County Court of Common Pleas denying his petition for relief under the Post Conviction Relief Act (PCRA), 42 Pa.C.S. §§ 9541 et seq. We agree with Appellant that he is entitled to a new penalty phase hearing and therefore, we reverse.
On July 31, 1989, Celeste Sharpe and Renee Mitchell were found stabbed to death in the rear room of a candy store owned by Ms. Sharpe. Ms. Sharpe’s bra had been ripped off and her skirt was pulled up above her waist. Ms. Mitchell was also found naked from the waist down, with her underwear ripped from her body. In the store, the cash register drawer was open and loose change was strewn on the floor. While the police were investigating the scene of the crime, Appellant approached the police, identified himself as Kenneth Jones, and stated that he knew who killed the two victims. Initially, he told an officer that he was in Ms. Sharpe’s store and witnessed the murders. Shortly thereafter, he changed his story and told the officer that he watched the murders from across the street. Appellant then requested that a detective accompany him down an isolated street where the two talked. At this time, Appellant appeared to become
Following a jury trial, Appellant was found guilty of two counts of murder of the first degree, two counts of burglary, and one count each of robbery and possession of an instrument of crime. After a sentencing hearing, the jury found two aggravating circumstances
Appellant filed a pro se PCRA petition on July 23, 1996. New counsel was appointed to represent Appellant and on April 7, 1997, an Amended Petition alleging the availability of after-discovered exculpatory evidence and ineffective assistance of appellate counsel was filed. On July 9, 1997, the Commonwealth filed a motion to dismiss Appellant’s Amended Petition. The following day, Appellant, represented by Mr. Lee and Billy Ñolas of the Center for Legal Education, Advocacy and Defense Assistance (CLEADA), filed a Supplemental Petition and on September 8, 1997, filed a Supplemental Petition for Habeas Corpus Relief and for Statutory Post-Conviction Relief Under the Post-Conviction Relief Act. Following an evidentiary hearing, the PCRA court denied Appellant any relief. Appellant then filed the instant appeal.
Appellant raises numerous issues in his brief to this Court. The Commonwealth argues, however, that many of Appellant’s claims have either been waived or previously litigated. We agree.
To be eligible for relief under the PCRA, a petitioner must establish that his allegations have not been previously litigated or waived. See 42 Pa.C.S. § 9543(a)(3). An issue is deemed finally litigated for purposes of the PCRA if the “highest appellate court in which the petitioner could have had review as a matter of right has ruled on the merits of the issue.” 42 Pa.C.S. § 9544(a)(2). If the allegations of error have not been previously litigated, a petitioner must also demonstrate that those allegations have not been waived. An allegation is deemed waived “if the petitioner could have raised it but failed to do so before trial, at trial, during unitary review, on appeal or in a prior state postconviction proceeding.” 42 Pa.C.S. § 9544(b).
Appellant also raises a number of claims of trial court and constitutional error and claims of prosecutorial misconduct that have been waived. Specifically, Appellant contends that the prosecutor engaged in misconduct by: soliciting highly prejudicial comments from Commonwealth witness Daisy Fisher; attempting to deceive the jury as to whether Commonwealth witness Paulette Riddick had an arrangement with the prosecution; improperly alluding to Appellant’s criminal record by soliciting testimony that brought out the fact that Appellant’s fingerprints were already on file with the police prior to his arrest for the murders; improperly vouching for the credibility of one of the detectives who worked on the case; telling the jury that there was additional
Appellant essentially argues that trial counsel was ineffective for failing to investigate and present sufficient evidence of mitigation, including evidence of Appellant’s history of abuse and his mental illness and dysfunction, at the penalty phase pursuant to 42 Pa.C.S. § 9711(e),
To prevail on an ineffectiveness claim under the PCRA, Appellant must demonstrate (1) that the underlying claim is of arguable merit; (2) that counsel’s course of conduct was without a reasonable basis designed to effectuate his client’s interest; and (3) that he was prejudiced by counsel’s ineffectiveness, i.e., that there is a reasonable probability that but for the act or omission in question the outcome of the proceeding would have been different. See Commonwealth v. Kimball, 555 Pa. 299, 724 A.2d 326, 333 (1999).
During Appellant’s penalty phase in the instant case, trial counsel presented virtually no evidence of mitigating circumstances. Although counsel called Appellant’s sister, Valerie Monroe, to testify during the penalty phase, he did so without preparing her as a witness. Once on the stand, Ms. Monroe stated little more than “if you all would give my brother a life long sentence it would change his mind about the errors that he made in his life and for him to do much better.” N.T., 2/11/1991, at 2653. The only other mitigation evidence offered by counsel at the penalty phase was evidence regarding Appellant’s low I.Q. and evidence that Appellant’s educational achievement is approximately at the second to third grade level.
At the PCRA hearing, trial counsel testified that the only mitigation evidence he reviewed prior to the penalty phase
Given these circumstances, the PCRA court found, and we agree, that Appellant’s claim has arguable merit. It is clear that although trial counsel was reasonably made aware that Appellant had a history of abuse, mental illness and dysfunction, he failed to pursue or develop any of this mitigating evidence. See Commonwealth v. Smith, 544 Pa. 219, 675 A.2d 1221, 1234 (1996) (“where counsel is informed that his client has suffered some mental problems that may provide evidence of mitigation in the penalty phase, counsel is ineffective if he fails to pursue such evidence”).
We also agree with the PCRA court that trial counsel had no reasonable basis for failing to present this mitigating evidence. At the PCRA hearing, trial counsel testified that his failure to investigate Appellant’s life history, school records, medical records or mental health records was not a strategic decision. N.T., 2/23/98, at 42-44. Trial counsel also
[Mitigation investigation] is a blind spot in my practice. It is a blind spot that exists even today. I do not do what should be done for mitigation. I still have constant arguments with my partner to go out there and get mitigation evidence, and I’m getting better, and I am working on it now, because she is forcing me to, but I didn’t have her when this case was tried, and I simply did not look for it. I was too enamored with the results that I could get from shooting from the hip to believe that I had to do any more searching than what I thought I could do standing before a jury, and that’s why I honestly dropped the ball.
N.T., 3/13/1998, at 59.
In light of this testimony, it is clear that trial counsel had no reasonable basis for failing to investigate and present mitigation concerning Appellant’s history of abuse, mental illness and dysfunction. See Kimball, 724 A.2d at 333.
Finally, we must determine whether Appellant was prejudiced by trial counsel’s failure to present mitigating evidence. To show prejudice in the penalty phase of a death
In the instant case, the PCRA court summarized the evidence of mitigation put forth by Appellant during the PCRA hearing as follows:
[Appellant] was the middle of five (5) children who shared the same alcoholic mother but four (4) different fathers. His mother would leave the house for days at a time leaving the children to fend for themselves, to scrounge or steal food. Oftentimes after drinking, [Appellant’s] mother beat him with an extension cord, threw him against a wall, punched and kicked him. Once a naked [Appellant] was tied to a bed with rope and his mother beat him with an ironing cord. One day when [Appellant] was six (6) or seven (7) years old he ran away after being warned his mother was coming up the stairs to give him a beating. When the police returned [Appellant] to his mother, she threatened to kill him and placed him in foster care. While he was eleven (11) and in an abusive foster care home, [Appellant’s] mother was killed in a car accident; at the age of twelve (12) he ran away and went to live with his maternal grandparents. After a short time, [Appellant’s]*391 grandmother started the same abusive behavior, beating him with a cord and her fists. When [Appellant’s] Uncle Cornell tried to sexually assault one of [Appellant’s] sisters, [Appellant] intervened and received a savage beating. On three occasions, [Appellant] jumped from a third story window to escape another beating by Uncle Cornell who was intoxicated and who had threatened to carve his initials in [Appellant’s] face. During his teen years, [Appellant] often lived on the street, sleeping in cars.
From his formative years, [Appellant] had also been repeatedly sexually abused although the physical abuse and neglect were, from a psychiatric point of view, deemed more extreme and clinically significant. From his teenage years, [Appellant] also suffered from recurrent major depression with psychotic features including psychotic experiences, paranoia and auditory hallucinations. [Appellant] also suffers from rejection sensitivity, schizophrenia, brain impairments including mental retardation, learning disabilities and post traumatic stress, which, according to Dr. Julie Beth Kessel, a defense psychiatrist, makes him a “grossly impaired person.”
According to Dr. Kessel [Appellant] showed signs of dementia early in life as he lived as a homeless street person. These factors coupled with his other extreme deficits leads to a conclusion that [Appellant] is “badly damaged.” There is a long history of psychiatric treatment and high dosages of medication with several suicide attempts and impaired reality, including hearing voices and alcohol dependence. It was Dr. Kessel’s conclusion that at the time of these savage murders, [Appellant] suffered (1) “from an extreme emotional disturbance,” (2) “from a substantially impaired capacity to appreciate the criminality of his conduct” and (3) “from a substantially impaired capacity to conform his conduct to the requirements of law.”
Commonwealth, v. Ford, Nos. 3222 to 3231, slip op. at 15-17 (C.P. Phil. Oct. 30, 1998).
In light of these facts, the PCRA court found that trial counsel’s failure to present this evidence deprived the trier of
Although this rebuttal evidence is substantial, we simply cannot agree with the PCRA court’s conclusion that trial counsel’s admitted failure to pursue and present mitigating evidence did not prejudice Appellant. It is the duty of the jury to consider all evidence — evidence of aggravating circumstances, evidence of mitigating circumstances as well as rebuttal evidence — in deciding whether or not a defendant should receive the sentence of death. Yet, the jury in the instant case was, in effect, given no meaningful evidence of mitigation to consider in their weighing process even though, as the PCRA court noted, extensive evidence was available. Even without such evidence, however, the record shows that the jury was deadlocked at one point during their penalty phase deliberations. Given these circumstances, we cannot agree that there is no reasonable probability that the outcome of the penalty phase deliberations would have been different had
. The two aggravating circumstances were that the murders occurred during the commission of another felony and were committed by means of torture.
. Appellant was also sentenced to two concurrent sentences of 104 to 240 months imprisonment on the two burglary convictions, a consecutive sentence of ten to twenty years imprisonment on the robbery
. Appellant's attempt to frame these previously litigated issues as claims of prior counsel’s ineffectiveness does not make these claims cognizable under the PCRA. This Court has held that a petitioner cannot obtain post-conviction review of claims previously litigated on appeal by alleging ineffective assistance of prior counsel and presenting new theories of relief to support previously litigated claims. See Commonwealth v. Porter, 556 Pa. 301, 728 A.2d, 890, 896 (1999); see also Commonwealth v. Albrecht, 554 Pa. 31, 720 A.2d 693, 703 (1998) (issue remains previously litigated within meaning of PCRA despite appellant’s assertion that counsel’s ineffectiveness caused claim to fail on direct appeal).
. At some point during the arguments relating to each of these waived claims of straight trial error, Appellant tacks on a bald sentence that trial and appellate counsel were ineffective for failing to raise and/or properly litigate the underlying claims of error. Then, at the end of the discussion section of his brief, Appellant adds a one paragraph summation that each of these “ineffectiveness claims” were of arguable merit, that counsels' failures had no reasonable strategic bases, and that the
. As noted above, a petitioner can avoid a finding of waiver under the PCRA by making a proper claim of ineffective assistance of counsel at his first available opportunity to do so. Commonwealth v. Wallace, 724 A.2d at 921. Here, the PCRA petition marked the first opportunity Appellant had to challenge appellate counsel's failure to assert claims of trial counsel’s ineffectiveness and therefore, Appellant's properly-layered claims of prior counsel's ineffectiveness are not waived.
. Section 9711 (e) of the Death Penalty Statute permits the introduction of the following mitigating evidence at the penalty phase:
(1) The defendant has no significant history of prior criminal convictions.
(2) The defendant was under the influence of extreme mental or emotional disturbance.
*387 (3) The capacity of the defendant to appreciate the criminality of his conduct or to conform his conduct to the requirements of the law was substantially impaired.
(4) The age of the defendant at the time of the crime.
(5) The defendant acted under extreme duress, although not such duress as to constitute a defense to prosecution under 18 Pa.C.S. § 309 (relating to duress), or acted under the substantial domination of another person.
(6) The victim was a participant in the defendant’s homicidal conduct or consented to the homicidal acts.
(7) The defendant's participation in the homicidal act was relatively minor.
(8) Any other evidence of mitigation concerning the character and record of the defendant and the circumstances of his offense.
42 Pa.C.S. § 9711(e).
. Dr. Heller's report stated:
Without psychosis. [Appellant] presents with a background history of troubled childhood in a one-parent impoverished home, followed by the sudden, traumatic loss of his mother in a vehicular accident when he was approximately 12, and unhappy placement in a foster home in which he states that he was abused by alcoholic foster parents. This was coupled with a long standing learning disorder requiring special classes and his development is marked by socioeconomic, cultural and emotional deprivation. This has resulted in Depressive Personality Disorder DPD manifested by poor self image, repeated episodes of self defeating behavior, and underlying feelings of inadequacy.
Heller Report at 3.
. Appellant’s trial counsel testified that, prior to trial, he spoke with the prosecutor who indicated that he would provide trial counsel with Appellant's mental health reports from the parole department, which, according to the prosecutor, contained evidence that Appellant was explosive. Based on this conversation and without actually reviewing the parole board files, trial counsel declined the prosecutor’s offer and decided not to introduce any psychiatric records during the penalty phase given his concern that the reports might have opened the door to the admission of Appellant’s prior record. Trial counsel eventually did review the parole board records, but not until the lunch recess just before he was to present Appellant’s evidence of mitigation. Thus, although counsel did offer a reason for not presenting Appellant's psychiatric records, this decision was based on very limited information and without actually reviewing the supporting documents. Cotinsel never explained his failure to pursue or present other evidence of mitigation and indeed, admitted that if he “would have done the job right, and had all of this [mitigation] evidence, [he] certainly would have presented it all [including the psychiatric records].” N.T., 2/23/98, at 54.
. 42 Pa.C.S. § 9711(c) provides, in pertinent part:
(c) Instructions to jury.—
(1) Before the jury retires to consider the sentencing verdict, the court shall instruct the jury on the following matters:
(iii) aggravating circumstances must be proved by the Commonwealth beyond a reasonable doubt; mitigating circumstances must be proved by the defendant by a preponderance of the evidence,
(iv) the verdict must be a sentence of death if the jury unanimously finds at least one aggravating circumstance ... and no mitigating circumstance or if the jury unanimously finds one or more aggravating circumstances which outweigh any mitigating circumstances. The verdict must be a sentence of life imprisonment in all other cases.
42 Pa.C.S. § 971 l(c)(l)(iii)
. Wc note that Appellant raises another properly-layered claim of ineffectiveness, wherein he argues that previous counsel was ineffective for failing to assert trial counsel’s ineffectiveness for failing to submit any proof in support of Appellant's claim that the court crier improperly interfered with jury deliberations. Specifically, Appellant claims that after four hours of deliberations, the jury foreman told the crier that the jury was deadlocked. Appellant then claims that, without notifying the trial judge of what had transpired, the court crier told the foreman that the jury had not deliberated long enough and that they should resume deliberations. Appellant raised this claim at post-verdict motions and was ordered by the trial court to offer proof of these allegations. Trial counsel, however, never offered such proof. Given Appellant’s failure to offer proof supporting his claim, this Court found on direct appeal that Appellant had waived the claim. Commonwealth v. Ford, 539 Pa. 85, 650 A.2d 433, 440 (1994). We went on, however, to state that:
[i]f the claim had not been waived and assuming the substance of appellant's claim is true, then such communication by a court crier would be viewed as error that is not harmless. It is highly improper for a court crier to fail to inform the trial judge of a deadlock and, thereafter, to usurp the function of the judge by directing the jury to continue its deliberations after being informed that it is deadlocked. The danger that arises by bypassing the trial judge is that the verdict could be the product of judicial coercion.
Appellant has now provided affidavits from four members of his penalty phase jury which support his claim. Although the Commonwealth argues that this issue has been previously litigated, Appellant notes that this Court never actually reached the merits of the issue in the direct appeal. Without deciding whether the issue was actually previously litigated or not, we merely reassert, now that Appellant has provided evidence in support of his claim, this Court's conclusion that reversible error occurs when a court crier independently tells the jury to resume penalty phase deliberations.
Concurring Opinion
concurring.
I agree with the Majority’s disposition of this matter. I write separately to set forth my understanding of what our Court requires in layered ineffective assistance of counsel claims.
To the extent that a petitioner raises properly layered claims of ineffective assistance of counsel that were not previously litigated, the petitioner is entitled to review of those claims. Commonwealth v. Pursell, 555 Pa. 233, 724 A.2d 293, 302(Pa.), cert. denied, 528 U.S. 975, 120 S.Ct. 422, 145 L.Ed.2d 330 (1999). Also, I agree with the Majority that several of the claims that Kenneth Ford (Appellant) presents to us had been previously litigated and, therefore, such claims are not cognizable under the PCRA. See Majority Op. at 328-29; 42 Pa.C.S. §§ 9543(a)(3) & 9544(a). As noted by the Majority, recasting these previously litigated claims as ones of ineffective assistance of counsel does not revive the claims and make them reviewable. Majority Op. at 329 n. 3; see also Commonwealth v. Chester, 557 Pa. 358, 733 A.2d 1242, 1251 (1999).
As for his remaining issues, Appellant raises claims of trial court error, violations of constitutional rights, prosecutorial misconduct, and ineffective assistance of trial counsel.
*395 All prior counsels’ failure to properly investigate and present each and all of the issues presented in Appellant’s PCRA proceedings and in this appeal were ineffective. Each of these claims is of arguable merit; counsel’s failures had no reasonable strategic basis; and the errors, individually and collectively, undermined the confidence in the outcome of the trial and sentencing, establishing prejudice. Appellant is entitled to a new trial. Commonwealth v. Pierce, 515 Pa. 153, 158-59, 527 A.2d 973, 975-76 (1987); Strickland v. Washington, 466 U.S. 668, 694, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984).
(Appellant’s Brief at p. 95). Appellant’s boilerplate tag lines and paragraph
Finally, I agree with the Majority that appellate counsel acted ineffectively by neglecting to raise trial counsel’s ineffectiveness for failing to investigate and present evidence during the penalty phase of Appellant’s history of abuse and mental illness. Appellant discusses this claim in his brief as one of trial counsel ineffectiveness and argues all three prongs of our ineffectiveness standard. (Appellant’s Brief at pp. 8-40). Then, as he did with the other above-referenced issues, Appellant asserts that appellate counsel acted ineffectively in failing to raise this matter on direct appeal. As I understand our precedent in this matter, Appellant’s presentation of this claim was sufficient to garner our review, see Commonwealth v. Meadows, 567 Pa. 344, 787 A.2d 312 (2001) (reviewing merits
. New counsel represented appellant on direct appeal. Appellant had the opportunity to challenge the effectiveness of trial counsel, and was obligated to do so, with the assistance of his new attorney on direct appeal. See Commonwealth v. Green, 551 Pa. 88, 709 A.2d 382, 384 (1998).
. I use "tag line” and "boilerplate” to refer to the one or two sentence allegations of the ineffectiveness of counsel that Appellant repeats at the end of each of his claims for relief. Following most of his discussions of trial court error, prosecutorial misconduct, constitutional error, or trial counsel ineffectiveness, Appellant tacks on one sentence, which states that prior counsel was ineffective for failing to litigate his claim. In most cases, this is the only argument regarding ineffectiveness that Appellant makes for these claims. Appellant makes no attempt to discuss the application of the three-prong test for ineffectiveness, see, e.g., Commonwealth v. Kimball, 555 Pa. 299, 724 A.2d 326 (1999), or deal with the particular facts of these claims. In addition to his first two claims of error in which he sets forth a detailed discussion of the ineffectiveness of trial counsel, the greater part of Appellant’s argument regarding the ineffectiveness of trial and appellate counsel is contained in a paragraph on page ninety-five of his brief. See Concurring Opinion, Newman, J., at 335.
. My conclusion that Appellant is not entitled to relief on his claims of ineffective assistance of counsel does not extend to two of the claims; namely, that prior counsel acted ineffectively by failing to investigate and present evidence during the penalty phase of Appellant’s history of abuse and mental illness and for neglecting to submit any proof in support of Appellant’s claim that the court crier improperly interfered with jury deliberations.
Concurring Opinion
concurring.
I join Madame Justice Newman’s concurring opinion in this matter.
I also write separately to address the dissent’s position regarding the Court’s recent capital PCRA jurisprudence involving the importance of properly pleading, proving, and briefing layered claims of ineffective assistance where the defendant was represented by new counsel on direct appeal. In this regard, the dissent maintains that Appellant’s claims are procedurally barred, as he failed to adequately plead, prove, and brief a layered claim of ineffectiveness, particularly, that associated with representation of direct appeal counsel. See Dissenting Opinion, at 343-44.
At the time Appellant filed and litigated his petition in the post-conviction court, this Court had in effect its policy of relaxed waiver, which was then applied not only on direct appeal, but also in the post-conviction context. Indeed, the PCRA court relied upon such doctrine in addressing Appellant’s claims. As the dissent acknowledges, relaxed waiver permitted review of the underlying allegation on its merits, without the necessity of establishing ineffectiveness. Accord Commonwealth v. Nelson, 514 Pa. 262, 277, 523 A.2d 728, 736 (1987). Consequently, Appellant’s focus in both his PCRA petition and at the PCRA hearing upon the failure of trial counsel to present available mitigation evidence in the penalty
In Commonwealth v. Albrecht, 554 Pa. 31, 720 A.2d 693 (1998), the Court eliminated relaxed waiver in the post-conviction context, see id. at 45, 720 A.2d at 700, and subsequently, determined that such change was to be implemented retroactively as a mere clarification to the applicable review paradigm. See Commonwealth v. Pursell, 555 Pa. 233, 252-53, 724 A.2d 293, 303 (1999).
I joined in the Court’s elimination of relaxed waiver, and in directing the retroactive effect of this change, for a number of reasons, foremost among which were the substantial tension between relaxed waiver and amendments to the legislative scheme for post-conviction relief,
Thus, upon reflection, I am now of the view that the abolition of relaxed waiver should have been applied prospectively, and that its retroactive elimination has contributed to
In summary and in retrospect, I believe that the Court’s effort to align its jurisprudence with the terms of the PCRA and to curb the abuses to the relaxed waiver doctrine should have been accomplished prospectively, thereby allowing pend
. The PCRA contains a specific set of waiver precepts, which the General Assembly has enhanced through the amendatory process. See 42 Pa.C.S. §§ 9543(a)(3), 9544(b).
. Relaxed waiver was utilized by petitioners to justify the assertion of new claims on an ad hoc basis throughout the post-conviction process, up to and including reply briefs in post-conviction appeals. Particularly where, the effort was directed, not to the raising of a single, compelling basis for relief arising out of the existing record, but rather, to inundating the Court with dozens of additional non-record-based claims outside the framework designed for orderly review of such claims, I saw this effort as inconsistent with the intent and design of the relaxed waiver doctrine as first articulated in Commonwealth v. McKenna, 476 Pa. 428, 441, 383 A.2d 174, 181 (1978).
Dissenting Opinion
dissenting.
The Court today stunningly grants state collateral relief from two death sentences based upon a Sixth Amendment claim of ineffective assistance of direct appeal counsel while completely ignoring the governing constitutional standard set forth by the United States Supreme Court.
First, a Pennsylvania state prisoner is entitled to state collateral review and relief only insofar as the PCRA permits it, e.g., Commonwealth v. Hall, 565 Pa. 92, 771 A.2d 1232, 1235 (2001); and the PCRA dictates that a petitioner cannot pursue claims that are waived. 42 Pa.C.S. § 9543(a)(3). An issue is waived under the PCRA “if the petitioner could have raised it but failed to do so before trial, at trial, during unitary review, on appeal, or in a prior state postconviction proceeding.” 42 Pa.C.S. § 9544(b) (emphasis supplied).
Second, in determining what issues “could have been raised” on direct appeal — and thus are waived under the PCRA — the Court must consider whether the petitioner was represented by trial counsel, or by new counsel, on that appeal. This is so because claims of counsel ineffectiveness in Pennsylvania “ ‘must be raised at the earliest stage in the proceedings at which the allegedly ineffective counsel is no longer representing the claimant.’ ” Commonwealth v. Kenney, 557 Pa. 195, 732 A.2d 1161, 1164 (1999), quoting Commonwealth v. Griffin, 537 Pa. 447, 644 A.2d 1167, 1170 (1994). Accord Commonwealth v. Green, 551 Pa. 88, 709 A.2d 382, 384 (1998) (“It is well-established that a claim of ineffectiveness must be raised at the earliest possible stage in the proceedings at which counsel whose effectiveness is questioned no longer represents the defendant”); Commonwealth v. Hubbard, 472 Pa. 259, 372 A.2d 687, 695 n. 6 (1977). As a practical matter, under this Pennsylvania judicial rule, a criminal defendant represented by new counsel on direct appeal must raise claims of trial counsel ineffectiveness on that appeal or they will be defaulted, since , new counsel’s very presence means that the ineffectiveness claims, no less than claims of trial court error, will be waived under the PCRA. (Michael) Pierce, supra; Commonwealth v. Williams, 566 Pa. 553, 782 A.2d 517, 526 (2001) (“those claims that were not raised at the earliest opportunity (on direct appeal) would be deemed waived” under § 9544(b)); id. at 534 (Castille, J., concurring); Commonwealth v. Marrero, 561 Pa. 100, 748 A.2d 202, 204 (2000) (Nigro, J., concurring) (pursuant to § 9544(b), “Appellant has waived all of his ineffective assistance of trial counsel claims by failing to present them at his first opportunity to do so when his trial counsel no longer represented him, which was on his direct appeal to this Court”).
Third, appellant here was represented by new counsel on his direct appeal. Indeed, that new counsel seized the opportunity to challenge trial counsel’s stewardship. Specifically,
Fourth, since direct appeal counsel could have raised additional claims of trial court error or trial counsel ineffectiveness on that direct appeal, any claim that appellant now raises, which sounds in trial court error or trial counsel ineffectiveness, unquestionably is waived under the PCRA. On the other hand, claims sounding in the ineffectiveness of appellant’s direct appeal counsel are not waived under the PCRA, since this PCRA proceeding represents appellant’s “first opportunity to attack the stewardship of his prior appellate counsel.” Marrero, 748 A.2d at 204 (Nigro, J., concurring). See also (Michael) Pierce, 786 A.2d at 212. Such constitutional claims are cognizable under the PCRA. Id. at 213, citing 42 Pa.C.S. § 9543(a)(2)(h) (1988 version).
Fifth, notwithstanding the PCRA’s explicit waiver provision, the counseled appellant here has elected to pose claims that sound almost entirely as waived issues of trial court error or trial counsel ineffectiveness. The only exceptions are appellant’s procedural claim that the PCRA court erred in denying a discovery request (Claim XXI), and a single claim which, although it does not mention appellate counsel by name or role, nevertheless adverts to the ineffectiveness of “all prior
All prior counsels’ failures to properly investigate and present each and all of the issues presented in Appellant’s PCRA proceedings and in this appeal [sic] were ineffective. Each of these claims is of arguable merit; counsels’ failures had no reasonable strategic basis; and the errors, individually and collectively, undermined confidence in the outcome of the trial and sentencing, establishing prejudice. Appellant is entitled to a new trial. Commonwealth v. [Charles] Pierce, 515 Pa. 158, 158-59, 527 A.2d 973, 975-76 (1987); Strickland v. Washington, 466 U.S. 668, 694, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984).
Initial Brief of Appellant, 95. In addition, as the plurality and Madame Justice Newman’s concurrence note, in appellant’s argument on each of his claims he “tacks on a bald sentence” alleging that both trial and appellate counsel were ineffective for failing to pursue the waived claim of trial court error or trial counsel ineffectiveness that appellant actually develops. This is the extent to which appellant could be said to be raising claims sounding in the ineffective assistance of his appellate counsel.
Sixth, to the extent that appellant intends to pursue these non-waived claims of appellate counsel ineffectiveness, as opposed to waived claims of trial court error or trial counsel ineffectiveness, it is apparent that appellant intends those claims to sound eoextensively under both the Federal and Pennsylvania Constitutions. Indeed, in Claim XIX, appellant cites to both (Charles) Pierce and Strickland. In (Charles) Pierce, this Court held that the federal Strickland test was also the proper test to evaluate ineffectiveness claims raised under the Pennsylvania Constitution. 527 A.2d at 976-77. See also Commonwealth v. Kimball, 555 Pa. 299, 724 A.2d 326, 332 (1999) (recognizing that test for counsel ineffectiveness under Strickland and Pierce is identical). The Third Circuit
Seventh, with respect to the contours of the governing standard for Sixth Amendment claims of counsel effectiveness, the United States Supreme Court has recently reaffirmed that Strickland “announced a two-part test for evaluating claims that a defendant’s counsel performed so incompetently in his or her representation of a defendant that the defendant’s sentence or conviction should be reversed.” Bell v. Cone, 535 U.S. 685,-, 122 S.Ct. 1843, 1850, 152 L.Ed.2d 914 (2002).
We reasoned [in Strickland!] that there would be a sufficient indication that counsel’s assistance was defective enough to undermine confidence in a proceeding’s result if the defendant proved two things: first, that counsel’s “representation fell below an objective standard of reasonableness,” 466 U.S., at 688, 104 S.Ct. 2052, 80 L.Ed.2d 674, and second, that “there is a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different,” id., at 694, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674. Without proof of both deficient performance and prejudice to the defense, we concluded, it*406 could not be said that the sentence or conviction “resulted from a breakdown in the adversary process that rendered the result of the proceeding unreliable,” id., at 687, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674, and the sentence or conviction should stand.
Id. Bell also stressed, as Strickland had, that “ ‘[j]udicial scrutiny of counsel’s performance must be highly deferential’ and that ‘every effort [must] be made to eliminate the distorting effects of hindsight, to reconstruct the circumstances of counsel’s challenged conduct, and to evaluate the conduct from counsel’s perspective at the time.’” Id. at 1852, quoting Strickland, 466-U.S. at 689,104 S.Ct. 2052.
In analyzing claims of counsel ineffectiveness under Strick\&ná/Pierce in Pennsylvania, “[t]his Court has come to characterize the test as a tripartite one, by dividing the performance element-into two distinct parts, i.e., arguable merit and lack of reasonable basis.” Commonwealth v. Lambert, 568 Pa. 346, 797 A.2d 232, 243 n. 8 (2001) (Opinion Announcing Judgment of Court). Thus, in determining whether the defendant has successfully rebutted the constitutional presumption of attorney competence, courts in Pennsylvania applying the Strickland test look to whether: (1) his underlying claim is of arguable merit; (2) the particular course of conduct pursued by counsel could not have had some objectively reasonable basis designed to effectuate his interests; and (3) but for counsel’s ineffectiveness, there is a reasonable probability that the outcome of the challenged proceeding would have been different. (Michael) Pierce, 786 A.2d at 213; Kimball, 724 A.2d at 333. A failure to satisfy any prong of the test for ineffectiveness will require rejection of the claim. Lambert, 797 A.2d at 241-43; (Michael) Pierce, 786 A.2d at 221-22; Commonwealth v. Albrecht, 554 Pa. 31, 720 A.2d 693, 701 (1998) (“If it is clear that Appellant has not demonstrated that counsel’s act or omission adversely affected the outcome of the proceedings, the claim may be dismissed on that basis alone and the court need not first determine whether the first and second prongs have been met.”). In short, “a court is not required to analyze the elements of an ineffectiveness claim in
Eighth, and it is here that I fundamentally part ways with the Court, Sixth Amendment claims of appellate counsel ineffectiveness are no less subject to the constitutional Strickland test than are claims of trial counsel ineffectiveness. Robbins, 528 U.S. at 289, 120 S.Ct. 746; (Michael) Pierce, 786 A.2d at 213 (analyzing claims of appellate counsel ineffectiveness under settled Pierce/Strickland test); Commonwealth v. Balodis, 560 Pa. 567, 747 A.2d 341, 343 (2000) (plurality opinion by Cappy, J.) (“Application of the ‘reasonable basis’ test pertains to appellate advocacy as well as trial strategy”). Just last year, a majority of this Court purported to recognize this very point commanded by Robbins — i.e., that the Strickland test applies to claims that appellate counsel was ineffective. Commonwealth v. Williams, 566 Pa. 553, 782 A.2d 517, 525 (2001) (“PCRA counsel must, in pleadings and briefs, undertake to develop, to the extent possible, the nature of the claim asserted with respect to each individual facet of a layered ineffectiveness claim, including that which relates to appellate counsel.”) (emphasis supplied). As Mr. Justice Cappy also recently noted:
[I]t is essential to consider the independent actions of all prior counsel at each stage of the proceeding, as they relate to the current claim of error in the collateral proceeding. Tt is not enough for a petitioner to argue the merits of the underlying claim and the prejudice suffered. At the PCRA stage, a petitioner must go the next step and elucidate how the underlying claim of error was handled by, or overlooked by, each intervening attorney in order to present a cognizable claim for collateral relief.
Lambert, 797 A.2d at 248 n. 1 (Cappy, J., concurring).
Furthermore, the United States Supreme Court’s governing decisional law in this area — which the plurality and the concurrences never acknowledge — recognizes that claims alleging
Arguably meritorious claims may be omitted in favor of pursuing claims which, in the exercise of appellate counsel’s objectively reasonable professional judgment, offer a greater prospect of securing relief. Jones v. Barnes, 463 U.S. 745, 750-54, 103 S.Ct. 3308, 77 L.Ed.2d 987 (1983). “[A]ppellate counsel ... need not (and should not) raise every nonfrivolous claim, but rather may select from among them in order to maximize the likelihood of success on appeal.” Robbins, 528 U.S. at 288, 120 S.Ct. 746 (characterizing Barnes). “This process of ‘winnowing out weaker arguments on appeal and focusing on’ those more likely to prevail, far from being evidence of incompetence, is the hallmark of effective appellate advocacy.” Smith v. Murray, 477 U.S. 527, 536, 106 S.Ct. 2661, 91 L.Ed.2d 434 (1986), quoting Barnes, 463 U.S. at 751-52, 103 S.Ct. 3308. See also Buehl v. Vaughn, 166 F.3d 163, 174 (3d Cir. 1999) (“One element of effective appellate strategy is the exercise of reasonable selectivity in deciding which arguments to raise.”).
Lambert, 797 A.2d at 244. As a state court sitting in review of a federal constitutional claim, we have no power to ignore the governing federal standards as laid down by the High Court. The Court’s failure today even to account for the governing standards is perplexing, at best, and distressingly hostile to federal law, at worst.
With these governing principles and the relevant facts in mind, I turn to the Court’s analysis of the claim of appellate counsel ineffectiveness upon which it grants relief. The Court preliminarily finds that appellant’s trial counsel was ineffective for failing to investigate and present sufficient evidence of mitigation at the penalty phase. For purposes of this dissent, I shall assume the correctness of that predicate finding. The Court’s federal constitutional error occurs when it follows that preliminary finding with an ipso jure conclusion that appellate counsel was “ineffective for failing to raise trial counsel’s ineffectiveness in this regard.” I say ipso jure because the
The Court’s analysis of trial counsel’s conduct, of course, is not the basis for its grant of state collateral relief for, as both the plurality and the concurrence recognize, that particular constitutional claim is waived under the PCRA. Instead, the finding respecting trial counsel is relevant only to the extent that it informs the Court’s summary legal conclusion that appellant’s counsel on direct appeal must have been ineffective for failing to uncover and present the claim respecting trial counsel. The Court’s per se approach to the question of appellate counsel’s constitutional competence is contrary to governing federal constitutional law, Robbins, supra; and, since the test under the Pennsylvania Constitution is coextensive, it is contrary to Pennsylvania constitutional law as well. (Charles) Pierce, supra. The Court’s approach is also squarely contrary to the PCRA, which specifically adopted the Strickland standard, and requires the petitioner to plead and prove “[t]hat the failure to litigate the issue prior to or during trial ... or on direct appeal could not have been the result of any rational, strategic or tactical decision by counsel”. 42 Pa.C.S. § 9543(a)(4).
The Court’s failure to deem relevant and account for the actual performance of appellate counsel no doubt derives from the fact that appellant has never attempted, in the PCRA hearing below or in his brief on this appeal, to rebut the
To further complicate matters, as Madame Justice Newman’s Concurring Opinion recognizes, the plurality does not even afford equal treatment to appellant’s claims of appellate counsel ineffectiveness. Appellant does not merely seek a new penalty hearing, but also a new trial. To that end, he has raised numerous claims arising from alleged errors at the guilt phase of his trial. These claims, like the claim upon which the Court grants relief, are reviewable only as claims sounding in appellate counsel’s ineffectiveness. Appellant’s argument respecting appellate counsel as to these claims is the very same boilerplate argument that the Court deems sufficient to warrant a finding of per se ineffectiveness and penalty phase relief — i.e., it is the single paragraph that comprises Argument XIX. As to appellant’s guilt phase claims, however, the plurality would conclude that the boilerplate argument is insufficient even to warrant merit review. 809 A.2d at 329-30 n. 4.
I realize that this is a difficult case, and any jurist with a modicum of experience recognizes the wisdom in Justice Holmes’ observation that “hard cases make bad law.” Northern Securities v. United States, 193 U.S. 197, 400-01, 24 S.Ct. 436, 48 L.Ed. 679 (1904) (Holmes, J., dissenting). The Court is obviously and rightly concerned with trial counsel’s disturbing testimony at the PCRA hearing below regarding mitigation investigation being a “blind spot” in his trial practice— testimony which I believe warrants a referral to the Disciplinary Board.
The United States Supreme Court’s certiorari docket is sufficiently overburdened that it -will likely prove unable to correct the very palpable failure of this Court to identify and apply the governing Sixth Amendment ¿uthority, and remand this case for actual consideration under the Strickland standard. I am left, then, to hope that, in the near future, this Court will correct, on its own accord, today’s inexplicable failure to faithfully discharge our duty under the Federal Constitution. Because I would follow the governing constitutional authority in deciding the Sixth Amendment claim of appellate counsel ineffectiveness presented here, irrespective of my view concerning the underlying claim involving trial counsel, I respectfully dissent from today’s grant of relief.
. Although the Concurring Opinion by Madame Justice Newman, which is joined by Mr. Justice Saylor, does not join the three-Justice plurality opinion, the concurrence agrees with the plurality in applying the same constitutionally erroneous, per se approach to the question of appellate counsel ineffectiveness. Thus, the concurrence acknowledges that appellant’s argument as to direct appeal counsel's ineffectiveness consists of mere "boilerplate" and "tag lines," 809 A.2d at 335-36 & n. 2 (Newman, J., concurring), but agrees with the plurality that the mere generic allegation is enough to prove appellate counsel ineffective. Neither the plurality nor Madame Justice Newman’s Concurrence deem an inquiry into appellate counsel’s actual performance to be relevant or necessary to the question of his effectiveness. The failure of the Court even to account for the governing federal standard or at least to distinguish the applicable standards is, to say the least, distressing.
. By order dated August 11, 1997, this Court suspended § 9544(b) insofar as it references “unitary review.” That suspension is not pertinent here.
. Although this PCRA petition, unlike the one in (Michael) Pierce, is governed by the 1995 amendments to the PCRA, § 9543(a)(2)(h), which recognizes claims of counsel ineffectiveness, was unchanged by those amendments.
. That appellant’s claims sound primarily in federal law is unsurprising since he is represented in this state proceeding by federal capital habeas corpus counsel associated with the Defender Association of Philadelphia, who no doubt have their eye on federal review should appellant's quest for state collateral relief fail.
. The concurrence cites dicta from the Williams case to the effect that a “primary avenue” of proving appellate counsel’s “lack of stewardship” is through establishing the merit of the foregone claims. Id., citing Williams, 782 A.2d at 525 n. 5. The fact that a claim appears to have arguable merit in hindsight, however, says nothing about the objective reasonableness of appellate counsel’s performance on appeal — which requires an assessment of the case from appellate counsel’s perspective. This is especially so in a case, like this one, where the claim is a non-record one. In such an instance, we simply cannot pretend, as the plurality and concurrence do, that an inquiry into appellate counsel's actual performance is irrelevant.
. Although the plurality never uses the word “waiver/' its finding in fact is a waiver finding, since it explicitly states that it is refusing to engage in a merit review of the claims of ineffectiveness. Its finding in this regard is in conflict with Commonwealth v. Williams, 566 Pa. 553, 782 A.2d 517, 525 (2001) and Commonwealth v. Marrero, 561 Pa. 100, 748 A.2d 202 (2000). See Lambert, 797 A.2d at 242-43 (discussing Williams and Marrero).
. See Pa. R.P.C. 1.1 and comment. Rule 1.1 provides as follows:
A lawyer shall provide competent representation to a client. Competent representation requires the legal knowledge, skill, thoroughness and preparation necessary for the representation.
. In his separate Concurring Opinion, Mr. Justice Saylor responds to this dissent by suggesting that this Court overrule our decisions holding that Albrecht, which enforced the PCRA waiver provision and abrogated the judicial relaxed waiver doctrine on PCRA review, should be applied to petitions pending when Albrecht was decided. The effect of recasting Albrecht as a purely prospective decision, and reinstituting relaxed waiver, would be to ignore that appellant’s claim of trial counsel ineffectiveness is barred under the terms of the PCRA which, in turn,
I add some additional comment respecting the relevance of the fact that some federal habeas courts have determined that the state procedural default resulting from our enforcing the PCRA waiver provision after Albrecht is not an adequate state procedural ground warranting deference on federal review. The federal habeas question of adequate state procedural grounds is distinct from the question of Pennsylvania law we faced in Albrecht, i.e., whether to continue subverting a valid statutory default via a misplaced, discretionary judicial doctrine. A federal court looking at the adequacy of a state procedural default for habeas purposes is not concerned with whether the default is based upon a statute, rule, or case law, or even with whether the default has an unconstitutionally retroactive effect. Instead, the broader habeas inquiry is concerned with how settled and consistently applied the default was at the time the default occurred. In determining the distinct question of the propriety of relaxed waiver upon PCRA review, this Court could not overlook the fact that the default is statutory, and that any application of relaxed waiver which would defeat the statute was erroneous. Similarly, in later determining the question of retroactivity, we could not refuse to apply Albrecht without flouting the statutory provision.
Even aside from the fact that the inquiries facing this Court in Albrecht and Commonwealth v. Pursell, 555 Pa. 233, 724 A.2d 293 (1999), required a different calculus than that employed by federal habeas courts examining the federal question of procedural default adequacy, I do not agree with the federal courts’ assessment of the adequacy of Albrecht since I believe their conclusion is premised upon a mistakenly absolutist view of the scope of relaxed waiver. See Bracey, supra (Castille, J., concurring); Williams, 782 A.2d at 533 n. 1 (Castille, J., concurring). I am, of course, concerned with the views and opinions of our federal colleagues on questions of Pennsylvania state procedural law. However, I do not accept those views as controlling where, as in the case of relaxed waiver, I respectfully believe them to have misapprehended the scope of our doctrine.
Reference
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