Rodney Washington v. Gary Boughton
Opinion
A Wisconsin jury convicted Rodney Washington of multiple counts of first-degree sexual assault with the use of a dangerous weapon and other crimes. Washington appealed his conviction, arguing that the criminal complaint that triggered his prosecution was legally insufficient under Wisconsin law; that his trial attorney was ineffective for failing to seek dismissal of the complaint on that ground; and that the trial court deprived him of his constitutional right to self-representation. After exhausting these claims in state court, Washington sought federal habeas corpus relief. The district court denied his petition.
For the reasons explained below, we conclude that neither Washington's due process challenge to the state appellate courts' treatment of his claim based on the sufficiency of his charging documents nor his ineffective assistance of counsel claim entitles him to habeas relief. We are convinced, however, that the state courts' denial of his request to proceed
pro se
cannot be squared with
Faretta v. California
,
I.
On March 16, 2000, the State of Wisconsin filed a "John Doe" criminal complaint charging an unknown individual with sexually assaulting five women between March 27, 1994 and January 14, 1995. Although the defendant's identity was unknown, the Wisconsin State Crime Laboratory had obtained evidence of his genetic code from semen samples taken from the victims' bodies and clothing. By comparing the DNA profiles developed from those samples, the State Crime Lab determined that the same individual was responsible for all five of the assaults. Indeed, the criminal complaint stated that the DNA profiles developed from the five semen samples "match[ed]" at all of the genetic locations for which DNA profiles had been developed. Accordingly, the complaint identified the defendant with reference to those genetic locations, describing him as "Doe, John #5, Unknown Male with Matching Deoxyribonucleic Acid (DNA) Profile at Genetic Locations D1S7, D2S44, D4S139, D5S110, D10S28, and D17S79." An arrest warrant describing John Doe #5 in the same manner was issued the same day.
On June 25, 2007, a databank unit leader at the State Crime Lab matched Washington's DNA to the DNA from the semen obtained from the five sexual assault victims. Shortly thereafter, the state amended its complaint, naming Washington as the defendant and describing his specific DNA profile as a series of numbers (known as "alleles") at several genetic locations. 1
Washington was appointed counsel. During pre-trial proceedings, Washington expressed dissatisfaction with his counsel's performance and told the court that he wanted to represent himself. Four months before trial, he filed a written submission stating that unless his lawyer moved to dismiss the case prior to a hearing scheduled for February 14, 2008, he would seek to proceed pro se . True to his word, Washington told the court at that hearing, "I just want to go pro se in this case and defend myself." Although he withdrew his request the same day after conferring with his counsel, he revived it on the morning of April 28, 2008-the day his trial was scheduled to begin-insisting, "I'm going pro se in this case, Your Honor."
The court confirmed that Washington wished to represent himself, prompting the following colloquy:
The Court: Okay. But you understand that by doing so you would have to comply with any and all the rules of the court and rules of evidence and case law, do you understand that?
Defendant: I have no problem with that.
The Court: Well, do you know the rules of evidence, sir?
Defendant: Do I what?
The Court: Know the rules of evidence?
Defendant: When they are brought to my attention, I will know.
The Court: So that would certainly help to have a lawyer help you do that.
Defendant: It won't be this one.
The Court: Well, here is the problem with proceeding pro [se] like you want to, and you have a right to do that unless the court doesn't feel that you're competent to do that and the court doesn't believe that you're competent to do that and I'll tell you why, because of the DNA. The DNA that's involved in this case which is scientific and very few people outside the legal profession and scientists know how that works. And in order to develop and cross-examine those witnesses, you have to have some knowledge in doing that. Even if you knew some of the rules of evidence and were capable in other ways in order to represent yourself, that's a big issue. And it becomes problematic, also problematic also since this is a sexual assault case for you to quite frankly cross-examine the witnesses.
Defendant: I have a right to face my accusers.
The judge denied Washington's request, and the case proceeded to trial with Washington represented by a lawyer he didn't want. He was convicted and sentenced to 100 years in prison.
Washington's first appellate lawyer filed a "no-merit" appeal, to which Washington filed a pro se response. The Court of Appeals of Wisconsin asked Washington's lawyer to respond to several of the issues Washington raised, including "whether the arrest warrant or complaint identified Washington sufficiently to toll the statute of limitations," and "whether the trial court erred by denying Washington's request to proceed without counsel." Rather than proceed with these issues on appeal, Washington moved, through new counsel, to dismiss the appeal and present his claims in a post-conviction motion.
Washington's post-conviction motion asserted that his trial counsel was ineffective for failing to seek dismissal of the proceedings for lack of jurisdiction. He argued that because the DNA information in the John Doe complaint and arrest warrant did not identify him with reasonable certainty, it did not toll the statute of limitations, rendering the amended complaint untimely. The court denied the post-conviction motion after an evidentiary hearing that included extensive DNA testimony.
In a consolidated appeal, Washington challenged the trial court's denial of his request to represent himself and the post-trial court's rejection of his related claims alleging insufficiency of the complaint and arrest warrant and ineffective assistance of counsel. The Wisconsin Court of Appeals affirmed the post-trial decision on the ground that the John Doe complaint and arrest warrant satisfied the requirements of Wisconsin law under
State v. Dabney
,
The state appellate court went on to affirm the denial of Washington's request to represent himself. It agreed that Washington was not competent to proceed pro se , adding its own reasons to support the trial court's conclusion. Like the trial court, the appellate court believed Washington unable to defend against the state's DNA evidence, reasoning that Washington's "irrational and disruptive" pre-trial conduct reflected his inability to understand and focus on a critical part of the case. The appellate court further noted that Washington's desire to represent himself was grounded in a belief that his attorney was complicit with the prosecutor and the trial court in "fabricating" his arrest warrants, and that his "obsession with a conspiracy theory led to frequent disruptions in the courtroom."
After exhausting his state court remedies, Washington turned to federal court seeking a writ of habeas corpus under
The district court also rejected Washington's ineffective assistance of counsel claim, agreeing with the state appellate court that the claim Washington faulted his attorney for omitting was "doomed by preexisting authority." Finally, the district court rejected Washington's
Faretta
claim. It concluded that the record supported the Wisconsin appellate court's determination that Washington was incompetent to represent himself, pointing to his "irrational arguments" and "disrespectful, disruptive behavior during the proceedings."
We granted a certificate of appealability to review each of the foregoing claims.
II.
Washington's lead argument is that the Wisconsin Court of Appeals violated the Due Process Clause when it held that the John Doe complaint and arrest warrant were sufficient, under Wisconsin law, to satisfy the requirements of personal jurisdiction and toll the statute of limitations. His constitutional theory is that the court reached its conclusion by applying Wisconsin law in a manner "unexpected and indefensible by reference to preexisting law." In Washington's view, the state appellate court's decision violates
Bouie v. City of Columbia
,
The State offers a cascade of arguments for rejecting this claim without reaching its merits: first, that Washington procedurally defaulted the claim by failing to raise it in the state proceedings, and that his procedural default is not excused by the alleged ineffectiveness of his counsel; second, that if, as Washington now contends, his due process claim did not accrue until the Wisconsin Court of Appeals issued its decision, then it is unripe for federal habeas review because he has not exhausted his state court remedies 2 ; and third, that Washington forfeited his due process claim by failing to raise it in his pro se habeas petition to the district court. Rather than work our way through the maze of these procedural arguments, however, we think it best to cut to the chase and deny Washington's due process claim on the merits.
We pause here to confirm that this approach is consistent with the interests of comity, finality, federalism, and judicial efficiency that are at the heart of both the exhaustion requirement and the procedural default doctrine.
See
Davila v. Davis,
582 U.S. ----,
These considerations, coupled with the purely legal nature of Washington's due process claim, counsel in favor of its swift disposition on the merits. Indeed, given that our ultimate disposition of Washington's petition is likely to result in further proceedings in state court, leaving unresolved the merits of a claim that requires no additional factual development, and that has been fully briefed and ably argued in this court, will almost certainly engender needless reduplication of the proceedings.
This brings us to the substance of Washington's due process claim. Washington's theory is that the Wisconsin Court of Appeals exceeded
Bouie
's"limitations on
ex post facto
judicial decisionmaking" when it held that the John Doe criminal complaint and arrest warrant were sufficient under
Dabney
and
Davis
.
Rogers v. Tennessee
,
For well over a century, Wisconsin law has authorized the prosecution of a defendant whose name is unknown, provided the "best description of the person" is given in the complaint and warrant.
Scheer v. Keown
,
In
State v. Dabney
, the Wisconsin Court of Appeals applied these principles to determine the adequacy, for jurisdictional and limitations purposes, of a criminal complaint and warrant issued against a suspect known only by his DNA.
Washington does not claim that Dabney and Davis themselves represent a departure from Wisconsin's longstanding rule that the state must provide "the best description" of the defendant. He insists, however, that in 1994 and 1995, when the crimes he was charged with were committed, he could not reasonably have anticipated that a complaint and warrant containing only the identifying information set forth in the John Doe complaint and warrant would be deemed to satisfy that standard. He argues that unlike the instruments in Dabney and Davis , "not only did the John Doe complaint and warrant not give the best description of the defendant available, they gave no description at all." But this characterization is not consistent with the record.
Washington homes in on the state appellate court's observations that "John Doe #5's actual DNA profile was not included anywhere in the complaint," and that "the complaint and arrest warrant did not include a DNA profile, but rather, only included the locations of six DNA markers that are common to all human beings." But these statements must be viewed in context. The court went on to explain that the narrative portion of the complaint described in detail the forensic analysis performed on semen samples recovered from the five sexual assault victims and determined that the same individual had committed the crimes. Specifically, the complaint explained that the Wisconsin State Crime Lab developed DNA profiles for several genetic locations from each semen sample and determined that the DNA profiles "matched" one another at each of the locations. It further stated that the probability of randomly selecting an unrelated individual whose DNA profile matches the DNA profiles developed from the semen samples was, at most, one in 130 billion. Based on this information, the state filed a complaint against John Doe #5, whose identity was unknown, but whose DNA profile at the specified locations was known to "match" the corresponding DNA profiles recovered from the sexual assault victims.
Washington's suggestion that the complaint and warrant do no more than describe the defendant as having unspecified genetic material at each of six universally common genetic locations overlooks the narrative portion of the complaint entirely. It also ignores the meaning of the word "matching" in both the complaint and the warrant. When the instruments are read together and in their entirety, the word "matching" means that the specific genetic markers at the identified locations on John Doe #5's genetic code are the same as the genetic markers found at those same locations on the genetic code of the assailant, as determined based on an analysis of his semen.
It is true that the complaint and warrant did not describe the genetic markers using numbers to represent the discrete "allele systems" observed at the identified genetic locations, as the amended complaint would later do. Indeed, as the DNA expert who testified at the hearing on Washington's post-conviction motion explained, the DNA technology in use at the time the John Doe complaint and warrant were issued "just was not advanced enough" to do so. Nevertheless, the Wisconsin State Crime Lab was able, using the technology available at the time, to determine that John Doe #5's genetic information "matched" the genetic information developed from the semen samples taken from the five sexual assault victims. Accordingly, the complaint and warrant identified the defendant "with particularity and specificity" by describing John Doe's DNA profile as "matching" DNA profiles they developed using the method then in use.
That is indeed how the Wisconsin Court of Appeals understood the use of the word "match[ing]" in the 2000 complaint and warrant. The court further understood that this description applied to fewer than one in 130 billion unrelated individuals. Accordingly, the court's observation that the complaint did not include the defendant's individual DNA profile is best understood as an acknowledgment that the complaint did not refer to the defendant's genetic information in terms of "alleles," as the amended complaint later did based on the more advanced DNA technology in use at the time. But nothing in Washington's argument persuades us that when the term "matching" is properly understood and the complaint is read as a whole, the description of John Doe #5 in the 2000 charging instruments as having a "matching" DNA profile at the specified genetic locations was not in fact the "best description" available.
To be sure, an individual presented with the John Doe complaint and warrant issued in this case would have no immediate way of knowing whether he was the individual charged. That is, he could not know, without additional inquiry, whether his DNA profile "matches" the DNA profile the State Crime Lab developed based on semen collected from the victims. But we think it highly unlikely that an individual presented with documents identifying the person charged by the alleles observed at specific locations on his genetic code would have any better idea, without further investigation, whether the defendant was himself. Yet, Dabney and Davis confirmed that that information was sufficient to provide "the best description available" as required by Wisconsin law. Washington does not suggest that due process requires more.
Because we see little practical distinction between the identifying information
set forth in the John Doe charging instruments in this case and the ones examined in
Dabney
and
Davis
, we discern no constitutional error in the state appellate court's conclusion that those cases were dispositive. The state court's extension of those cases to the materially similar facts here was not an "unexpected and indefensible" departure from established Wisconsin law, but rather within the permissible scope of "incremental and reasoned development of precedent that is the foundation of the common law system."
Rogers v. Tennessee
,
III.
Our analysis of Washington's ineffective assistance of counsel claim may be brief. Washington's theory is that his state-appointed lawyer performed deficiently by failing to move for dismissal of the proceedings on the ground that the trial court lacked personal jurisdiction over him. The Wisconsin Court of Appeals resolved this claim on the merits under
Strickland v. Washington
,
The state appellate court rejected Washington's ineffective assistance of counsel claim on the ground that
Dabney
and
Davis
foreclosed the argument he faulted his lawyer for failing to assert. Because that conclusion rests on an interpretation of state law, it is iron-clad on habeas review.
Estelle v. McGuire
,
IV.
Washington's final claim is that the trial court's refusal to allow him to represent himself violated
Faretta v. California
,
The record suggests three reasons for the trial court's determination that Washington was not competent to represent himself: first, that he was unfamiliar with the rules of evidence; second, that he was ill-equipped to deal with the state's DNA evidence; and third, that it would be "problematic" for him to cross-examine the state's witnesses. Without commenting on the first or third of these reasons, the state appellate court endorsed the second, reasoning that Washington's "irrational and disruptive" behavior leading up to trial evidenced an inability "to understand and decipher" the state's DNA evidence. The appellate court further concluded that Washington's "inability to recognize and follow courtroom decorum or to identify and argue legitimate legal issues in his own defense" supported the lower court's determination that Washington "would not be able to properly focus on and understand the complicated DNA evidence that was critical to the State's case."
A preliminary scan of the authorities the appellate court relied upon for its analysis does not bode well for its conclusion. With no mention of
Faretta
or the line of Supreme Court precedent it engendered on the subject of self-representation, the Wisconsin Court of Appeals relied almost exclusively on
State v. Klessig
,
Undoubtedly perceiving the precarious footing on which the state court's decision rests, the State defends it on the ground that no Supreme Court case has clearly established "whether, or under what circumstances, a trial court could deny a demand for self-representation." So, the State reasons, the Wisconsin appellate court's decision cannot have violated any "clearly established" federal law. But as the State concedes, this argument cannot be squared with our decisions in Imani and Tatum , both of which similarly involved Wisconsin state prisoners denied the right to self-representation on grounds including their putative lack of competence. In both cases, we held that the Wisconsin courts violated the clearly established rule of Faretta that a court may not force a lawyer upon a defendant based on his perceived lack of education, experience or legal knowhow.
As we explained in
Tatum, Faretta
stands for the basic principle that a state may not constitutionally "hale a person into its criminal courts and there force a lawyer upon him, even when he insists that he wants to conduct his own defense."
In
Godinez
, the Court held that the competency standard for pleading guilty or waiving the right to counsel is no higher than the basic competency standard for standing trial. Emphasizing that "the competence that is required of a defendant seeking to waive his right to counsel is the competence to
waive the right
, not the competence to represent himself,"
id
. at 399,
It is true that
Godinez
does not
prohibit
states from additional inquiry, as the Court acknowledged in
Indiana v. Edwards
,
Edwards
did not, however, "introduce[ ] the possibility of taking into account the defendant's legal knowledge," as the Court's emphasis remained on the defendant's mental competence.
Tatum,
In
Imani
,
Tatum
, and a third case,
Jordan v. Hepp
,
Similarly in
Tatum
, we concluded that the Wisconsin Supreme Court's application
Klessig
was contrary to, and an unreasonable application of,
Faretta
and its progeny.
Jordan
involved a defendant who was functionally illiterate. The trial court initially allowed Jordan to proceed
pro se
, reasoning that his limited literacy "should not prevent him from representing himself."
But the State does not argue that Washington's mental capacities fall on Jordan's side of the competency line, rather than on Imani's and Tatum's. Indeed, the State does not suggest that Washington suffers from any mental illness or disability, or that the state courts' denial of his right to self-representation rested on the belief that he did. Rather than seek to distinguish
Imani
and
Tatum
on these or any other facts, the State urges us to view those cases as "wrongly decided," reiterating its theory that there is no "clearly established" Supreme Court rule on point. But we remain convinced that those decisions-which have withstood a motion for rehearing en banc (denied in
Imani
) and a petition for a writ of certiorari (denied in
Tatum
,
Foster v. Tatum
, --- U.S. ----,
The State's final argument is that the state appellate court's decision should be upheld because Washington's "obstructionist conduct" warranted the trial court's decision. In dueling letters filed pursuant to Fed. R. App. P. 28(j), the parties dispute the standard of review that applies to this argument in the wake of our decision in
Freeman v. Pierce
,
Washington argues that because the Wisconsin Court of Appeals did not rely on his putative "obstructionist misconduct" to support the denial of his right to self-representation, we consider the State's argument with no deference to the state appellate court's decision. The State disputes the premise of Washington's argument, observing that the Wisconsin Court of Appeals cited Washington's disruptive conduct as among the factors supporting the trial court's denial of his right to represent himself, although it viewed the issue through the lens of competency. Indeed, after characterizing Washington's behavior as "irrational and disruptive," the Wisconsin Court of Appeals considered Washington's "frequent disruptions in the courtroom, during which Washington interrupted and stalled proceedings, and in some instances refused to participate in proceedings or even physically come to court."
It is true that the state appellate court did not frame Washington's disruptive conduct as an independent reason supporting the trial court's insistence upon counsel,
but instead viewed his conduct as supporting the court's competency determination. But we agree with the State that this distinction makes no difference in the AEDPA context, where "we review judgments, not opinions."
Rhodes v. Dittmann
,
What troubles us about the Wisconsin appellate court's conclusion that Washington's conduct justified the denial of his right to represent himself is another matter: The bulk of the conduct the court points to as "irrational and disruptive" (and nearly all of the conduct the State details in its brief) occurred
after
the trial court rejected Washington's request to proceed
pro se
and concerned his insistence that the court, the State, and his attorney were conspiring against him. As the Court observed in
Faretta
, "[t]o force a lawyer on a defendant can only lead him to believe that the law contrives against him."
The judgment of the district court is REVERSED and the case is REMANDED with instructions to grant the writ of habeas corpus, unless the State within 90 days of issuance of this court's mandate initiates steps to retry Washington.
Illustrating the difference, the amended complaint describes the defendant as "Rodney Washington, DOB 3/31/58; Formerly Known as Doe, John #5, Unknown Male with matching Deoxyribonucleic Acid (DNA) Profile at Genetic Locations D127, D2S44, D4S139, D5S110, D10S28, and D17S79 and Further Identified with Matching DNA profile at Genetic Locations D3S1358(16), vWA(15,16), FGA(19, 26), D8S1179(14), D21S11(28), D18S51(15, 20), D5S818(8,13), D13S317(12, 13), D7S820 (10, 11), D16S539 (12, 13), THO1(6, 9, 3), TPOX (8, 10), AND CSF1PO(12)."
Actually, the State does not assert failure to exhaust as an independent basis for denying Washington's petition, but it raises the issue in response to Washington's alternative argument that if his due process claim is procedurally defaulted, the default is excused by his counsel's failure to raise it in state court. The State's submissions do not address whether state remedies remain available for Washington to pursue his due process claim in state court. If they do, failure to exhaust is the more appropriate objection to Washington's due process claim; if not, it is procedural default.
See
Perruquet v. Briley
,
Reference
- Full Case Name
- Rodney WASHINGTON, Petitioner-Appellant, v. Gary A. BOUGHTON, Warden, Wisconsin Secure Program Facility, Respondent-Appellee.
- Cited By
- 75 cases
- Status
- Published