BENAVIDES, Circuit Judge:
Before addressing the merits of Sophia Daire's appeal from the district court's denial of her petition for writ of habeas corpus, we give a brief procedural history of the appeal before our circuit. One of the significant issues raised by Daire was that, under the Strickland standard,
Daire then filed a combined petition for panel rehearing and rehearing en banc. This Court voted to rehear the case en banc in order to reconsider our circuit precedent, declaring that our "three-judge panel opinion shall not be cited as precedent by or to any court of the Ninth Circuit." Daire v. Lattimore, 803 F.3d 381 (9th Cir.2015); Daire v. Lattimore, 812 F.3d 766, 767-68 (9th Cir.2016) (en banc). On February 9, 2016, the en banc court held that "the Supreme Court has clearly established that Strickland governs claims for ineffective assistance of counsel in noncapital sentencing proceedings." Daire, 812 F.3d at 767. Accordingly, the en banc court "overrule[d]" all of our circuit's "contrary decisions." Id. The en banc court then declined "to reach any other
Having now received the en banc court's directive, we reinstate the portions of our March 19, 2015 opinion that are unaffected by and consistent with the en banc court's opinion, including our analysis of Daire's claim under the Strickland standard. We omit only those portions of our prior opinion that relied on since-overruled precedent, and we modify our opinion only to reflect that Strickland governs Daire's ineffective assistance of counsel claim. With the exclusions and modifications described above, we reinstate our opinion and resolve the petition for panel rehearing as follows:
Currently serving a forty-year "three strikes" sentence for first-degree burglary, California Penal Code § 459, the petitioner argues that she was deprived of effective assistance when her attorney failed to present evidence of mental illness at sentencing. Because the state's adjudication of this claim was not an unreasonable application of clearly established federal law, 28 U.S.C. § 2254(d), we AFFIRM the district court's denial of the petition.
Sophia Daire is a 48-year-old woman who has, by all accounts, led a rather difficult life. Her personal history is an unfortunate tapestry of poverty, addiction, mental illness, and incarceration. Interwoven among these dark elements is a disturbing pattern of violence, with Daire having suffered repeated physical and sexual abuse at the hands of friends, family members, and unknown assailants.
On September 8, 2006, Daire was charged with first-degree burglary in violation of § 459 of the California Penal Code. A neighborhood resident had reported various possessions missing from his home, including cash, perfume, clothing, and costume jewelry. Daire was seen wearing the resident's missing NFL jersey a few minutes later, but the more valuable stolen items were not in her possession and were never recovered. Upon her arrest, Daire denied having committed any crime, and insisted that she found the jersey and some of the other stolen property in a nearby garbage bin. She conceded, however, that she has a rather long history of similar residential burglaries.
When Daire's first trial resulted in a hung jury, she was retried and convicted. At sentencing, Daire admitted to three prior burglary convictions for the purposes of California's "three strikes" recidivism sentence enhancements, id. § 667(a)(1). Daire also filed a motion asking the court to disregard two of these strikes, as permitted by Romero
After unsuccessfully raising various challenges on direct appeal,
The California Superior Court declined to issue the writ, rejecting Daire's argument for two reasons. First, it found counsel's performance objectively reasonable in that counsel had "properly represented Daire throughout [the] matter," and had presented the sentencing judge with myriad mitigating factors at sentencing. See In re Sophia Daire, No. VA 096706, 3-4 (Super. Ct. L.A. Cnty. July 15, 2010) [hereinafter "State Decision"]. In addition, the court concluded that the sentence was ultimately unaffected by the omission of any evidence regarding Daire's mental health, as that evidence would not have overcome "her unrelenting record of recidivism." Id. at 4-5. The decision was affirmed without comment by the intermediate court of appeals and by the California Supreme Court.
Finding no relief from the state bench, Daire turned to the federal courts, renewing her ineffective assistance argument in a petition submitted to the Central District of California. Under the AEDPA, federal courts may afford habeas relief from state custody only where a state court's adjudication of the same habeas claim was "contrary to, or ... an unreasonable application of, clearly established Federal law." 28 U.S.C. § 2254(d)(1). A magistrate judge found the AEDPA standard satisfied with respect to the first prong of the Strickland test. See Daire v. Lattimore, No. CV 10-3743-DMG(AJW), 2011 WL 7663701 (C.D.Cal. Nov. 10, 2011). Specifically, the judge found the state court's analysis of counsel's conduct "conclusory and unreasonable," and that trial counsel "fail[ed] to present the most persuasive evidence to support the Romero motion." Id. at *7 (footnote omitted). Nevertheless, the magistrate judge recommended denying the petition after finding that the state court's adjudication of the prejudice prong was "neither contrary to, nor an unreasonable application of, the Strickland standard." Id. at *8. As a consequence, the magistrate judge concluded, Daire was "not entitled to relief on the basis of this claim." Id.
After reviewing the magistrate judge's report, the district court accepted its recommendation only in part. See 2012 WL 1197645 (C.D.Cal. April 9, 2012). Although the district court agreed that the state court had unreasonably adjudicated effective assistance, the district court disagreed
Id. at *1-*2 (emphasis in original). The district court, however, ultimately denied the petition, reluctantly concluding that binding Circuit precedent precludes relief from any injustice arising out of ineffective assistance during noncapital sentencing. Id. at *2 (citing Davis v. Grigas, 443 F.3d 1155 (9th Cir.2006), and Cooper-Smith v. Palmateer, 397 F.3d 1236 (9th Cir.2005)). The district court then granted a certificate of appealability, encouraging Daire to seek relief from this Court.
We begin by clarifying the scope of our review. The district court certified the question of whether Strickland's applicability "to the sentencing procedure in a noncapital case was clearly established federal law" for the purposes of Daire's claim. Id. (referring to the standard stated in 28 U.S.C. § 2254(d)(1)).
Federal review of habeas petitions from state prisoners is governed by the AEDPA,
In 1984, the Supreme Court established the standard by which defense counsel's performance is generally measured. See generally Strickland, 466 U.S. 668, 104 S.Ct. 2052. Strickland involved a challenge to counsel's handling of the sentencing phase of a capital murder case. Id. at 675, 104 S.Ct. 2052. The petitioner, having been sentenced to death after confessing to three heinous murders, argued that counsel should have explored several mitigation options and should have presented evidence of mental illness at sentencing. Id. at 672, 675-76, 104 S.Ct. 2052. The habeas petition was adjudicated by the Florida state courts, by the U.S. District Court for the Southern District of Florida, by the Fifth Circuit, and by the en banc Eleventh Circuit after that court split from the Fifth Circuit. Id. at 677-80, 104 S.Ct. 2052. Each of these courts employed a slightly different approach to determining the effectiveness of counsel's performance. Id. at 683-84, 104 S.Ct. 2052. In order to ensure a uniform constitutional expectation, the Court explained that "[i]n any case presenting an ineffectiveness claim, the performance inquiry must be whether counsel's assistance was reasonable considering all the circumstances." Id. at 688, 104 S.Ct. 2052. With regard to the required showing of prejudice, the proper standard requires the defendant to "show 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, 104 S.Ct. 2052. The Court then applied this newly articulated standard to the case before it, concluding that counsel's decisions were part of a strategy to "rely as fully as possible on respondent's acceptance of responsibility for his crimes." Id. at 699, 104 S.Ct. 2052. Because trial counsel is afforded "wide latitude" in making these "tactical decisions," counsel's performance was therefore adequate. Id. at 689, 699, 104 S.Ct. 2052. And as for the omitted evidence, the Court concluded that the new material "would barely have altered the profile presented to the sentencing judge." Id. at 700, 104 S.Ct. 2052. As a consequence, the petitioner was not entitled to relief. Id. at 701, 104 S.Ct. 2052.
In subsequent cases, "the Supreme Court has clearly established that Strickland governs claims for ineffective assistance of counsel in noncapital sentencing proceedings" as well. Daire, 812 F.3d at 767. Accordingly, Strickland governs Daire's claim for ineffective assistance of counsel in her noncapital sentencing proceeding.
Daire cannot prevail under the review standard imposed by the AEDPA. The AEDPA stops just "short of imposing a complete bar on federal court relitigation of claims already rejected in state proceedings."
Before turning to the state court's adjudication of Daire's claim, some additional context may be helpful. Daire contends that she was deprived of effective assistance when counsel omitted her mental illness from the Romero motion and subsequent hearing. Prior to trial, counsel had arranged for a psychiatric evaluation by Dr. Mark E. Jaffe, M.D. Dr. Jaffe reported preliminary diagnoses of bipolar disorder, antisocial personality disorder, and substance addiction. He further noted that Daire had received treatment intermittently over the years, but "took her medications inconsistently." Daire had been in a treatment facility as recently as a few weeks earlier, but moved out after a dispute with another patient. Id. This was not the first time Daire had discontinued treatment — the physician reported that "[s]he has been in several treatment programs but had difficulties and left." Dr. Jaffe ultimately concluded that Daire was "too unstable to live in the community," and recommended comprehensive in-patient treatment. Counsel did not provide Dr. Jaffe with any of Daire's medical records, and apparently did not ask for an opinion on Daire's risk of recidivism.
Three years later, post-conviction counsel provided some of Daire's medical records to the same physician. Dr. Jaffe was asked to clarify his original statements and to estimate the risk of recidivism in light of Daire's records. He replied that Daire's bipolar disorder was readily treatable, but that
He further reported that Daire had never received proper medical treatment for her bipolar disorder and that her substance addiction probably could not be overcome without such treatment. The remainder of Dr. Jaffe's post-conviction letter was largely redundant of his earlier report.
In addition to having Dr. Jaffe review Daire's records, habeas counsel asked Daire to draft a statement recounting her traumatic history and the context of her most recent offense. Daire indicated that she had been evicted from her home and raped in the 48 hours before the burglary. She also complained that trial counsel had not interviewed any of her friends or family members regarding her character. This
The state court's adjudication of Daire's claim was not an unreasonable application of the Strickland standard. Under the AEDPA, review of counsel's performance is "doubly deferential," requiring both a "highly deferential look at counsel's performance," and additional deference to the state court's conclusions regarding that performance. Pinholster, 131 S.Ct. at 1403 (internal quotation marks and citations omitted); see also Harrington, 131 S.Ct. at 784 (requiring deference to state court unless there is "no reasonable basis" for its decision). With respect to Daire's ineffective assistance argument, the state court found "no evidence that Daire's trial counsel's performance fell below an objective standard of reasonableness." State Decision 3. This was not an unreasonable application of federal law.
Under California law, an attorney submitting a Romero motion should investigate a defendant's "background, character, and prospects," and then relay these findings to the court. People v. Thimmes, 138 Cal.App.4th 1207, 1213, 41 Cal.Rptr.3d 925, 929 (2006). The state courts rejected Daire's argument after noting that counsel had done just that, explaining that she submitted a detailed Romero brief which included "a myriad of individualized considerations." State Decision 5 (quoting disposition of direct appeal, 2008 WL 4926956 at *7). Indeed, between the written motion and the hearing, counsel referred to Daire's poverty, her advanced age, the relatively inconsequential nature of her criminal record, her encounters with violence and abuse, and the fact that she was reportedly raped the day before the burglary. And although counsel never mentioned Daire's mental illness itself, she referred to Daire's seizures and substance addiction, and emphasized Daire's need for intensive treatment. Given the litany of mitigating factors presented at sentencing, it was reasonable for the state court to conclude that counsel had satisfied her constitutional obligation to Daire. See Gonzalez v. Knowles, 515 F.3d 1006, 1015 (9th Cir.2008) (finding, upon de novo review, the omission of psychiatric evidence and family testimony reasonable where counsel presented "a number of mitigating factors" to judge).
Daire argues that her counsel's assistance was inadequate insofar as counsel failed to conduct a more thorough investigation into Daire's personal history. Even "less than complete" research is sufficient under Strickland, however, so long as "reasonable professional judgments support the limitations on investigation." Strickland, 466 U.S. at 691, 104 S.Ct. 2052. The only argument made here is that counsel failed to fully investigate Daire's medical history. Yet trial counsel arranged for Dr. Jaffe's psychiatric evaluation of Daire in November of 2006. Based on the resulting report, counsel was fully justified in choosing not to pursue any additional information on the subject. A fair reading of the doctor's letter is at least as damaging to Daire's case as it is mitigating. For example, Dr. Jaffe indicated that Daire has a violent personality disorder, that she is unpredictable, and that she has a history of abandoning psychiatric treatment. The doctor explicitly stated that Daire is "too unstable to live in the community." It seems likely that a reasonable attorney would have recognized how counterproductive additional research might be, and might have made a strategic decision not to delve any further into Daire's psychiatric issues. See Rompilla v. Beard, 545 U.S. 374, 383, 125 S.Ct. 2456, 162 L.Ed.2d 360 (2005) ("[R]easonably diligent
Counsel's decision not to refer to Daire's bipolar diagnosis was equally reasonable. Because there was apparently not an evidentiary hearing on this issue, we cannot be certain as to the reason for the omission of a mental health defense. Nevertheless, we must presume that "the challenged action might be considered sound trial strategy." Strickland, 466 U.S. at 689, 104 S.Ct. 2052 (internal quotation marks and citation omitted). After all, Daire's attorney arranged for the psychiatric evaluation and report. Accordingly, it seems counsel would have submitted the evidence that she herself procured if she thought it would help the case. Review of the written Romero motion suggests that counsel instead hoped to persuade the judge by portraying Daire as a misguided but largely harmless individual:
Similarly, at the Romero hearing counsel described Daire as "circumspect" in her burglary, and noted that she has only taken "things of minimal and nominal value" and only when the "residences [] were not occupied." Review of the trial record confirms that counsel chose to emphasize other mitigating factors, and apparently made a deliberate decision not to place Daire's health at issue. Over the course of the two trials, neither counsel nor Daire made any mention of her mental illness. In fact, when prosecutors seemingly alluded to Daire's psychiatric issues, defense counsel promptly objected.
For example, if counsel had used excerpts of Dr. Jaffe's letter to argue that medical treatment would lower the risk of recidivism, prosecutors almost certainly would have countered with Daire's history of abandoning treatment programs. Even worse, Dr. Jaffe reported that Daire
We do not mean to belittle Daire's medical condition or suggest that her history is anything other than unfortunate. It seems likely that any violent disposition or mental illness Daire has is related to the shocking abuse Daire suffered as a child and young adult. As Dr. Jaffe himself stated, "[l]ike many women who are addicted to drugs and serve prison time, the defendant has an extensive history of trauma." So it is possible that — as the district court concluded — counsel would have been better off adopting an alternate strategy. Perhaps instead of trying to characterize Daire as harmless and non-violent, counsel should have conceded the violent psychiatric disorders and then argued that those disorders could be overcome with proper intervention. The law, however, does not permit us to second-guess the trial attorney's strategy. Instead, "every effort [must] be made to eliminate the distorting effect of hindsight." Strickland, 466 U.S. at 689, 104 S.Ct. 2052. We must therefore resist the temptation "to conclude that a particular act or omission was unreasonable" simply because it "proved unsuccessful" at trial. Id.
For that reason, we cannot assume, as the district court did, that the mental health records provided "the most persuasive evidence to support the Romero motion." Daire, 2011 WL 7663701, at *7. Our precedent is clear that where a defendant's psychiatric history is both mitigating and incriminating, trial counsel is best positioned to determine how to incorporate a diagnosis into the defense.
The state court found an absence of prejudice in denying Daire's claim. "An error by counsel, even if professionally unreasonable, does not warrant setting aside the judgment of a criminal proceeding if the error had no effect on the judgment." Strickland, 466 U.S. at 691, 104 S.Ct. 2052. It is therefore not sufficient for Daire to simply argue that the omitted evidence might have made her Romero motion stronger. In order to prevail before the state habeas court, Daire
Daire was sentenced in accordance with California's so-called "three strikes" rule, which "consists of two nearly identical statutory schemes designed to increase the prison terms of repeat felons." Rios v. Garcia, 390 F.3d 1082, 1084 (9th Cir.2004) (quoting Romero, 917 P.2d at 630, 13 Cal.4th at 504, 53 Cal.Rptr.2d at 791) (punctuation revised). The statutes have minor differences, but both provide that when a defendant is convicted of a felony, and the state proves that the defendant has committed certain prior felonies, the defendant is subject to greatly enhanced sentencing requirements. Id. at 1085; see also Cal.Penal Code §§ 667(c), 1170.12(a). There is, however, an exception to the rule. If a defendant so moves, a judge may disregard a prior felony under "extraordinary" circumstances. People v. Carmony, 92 P.3d 369, 376, 33 Cal.4th 367, 378, 14 Cal.Rptr.3d 880, 889 (Cal.2004). Before doing so, the judge must determine that the defendant lies "outside the spirit" of the scheme such that he "should be treated as though he had not previously been convicted of one or more" of the strikes. Id. (quoting People v. Williams, 948 P.2d 429, 437, 17 Cal.4th 148, 161, 69 Cal.Rptr.2d 917, 948 (Cal.1998)). To prevail on one of these "Romero" motions, a defendant must overcome the "strong presumption that any sentence that conforms to these sentencing norms is both rational and proper." Id. As a consequence, denial of a Romero motion is generally the expectation, not the exception. Here, as a fourth-strike defendant, Daire needed the judge to disregard two of her three prior felonies to even be eligible for a lesser sentence. She therefore faced a considerable burden at the Romero hearing.
After reviewing the omitted evidence, we find reasonable the state court's conclusion regarding prejudice. Daire's medical history includes an ambiguous set of mitigating and incriminating factors. The sentencing judge rejected Daire's request for leniency after concluding that she is, essentially, an unrepentant recidivist: "[T]here is a substantial career of criminality in this defendant's background.... She has never been out for very long before she re-offends...." The court on direct appeal apparently agreed with this characterization, finding no abuse of discretion and obliquely referring to Daire as having an "unrelenting record of recidivism." Daire, 2008 WL 4926956, at *7. Indeed, in addition to the three residential burglary convictions, Daire's record includes convictions or arrests for loitering, tampering, possession of controlled substance, possession of narcotics, assault resulting in bodily injury, vehicular theft, and parole violations. Id. As the Superior Court tersely observed, it seems Daire only avoids trouble with the law when she is in prison. See State Decision 6.
Daire argues that she was prejudiced in that the judge received no information regarding the possibility that she could be rehabilitated with proper medical treatment for bipolar disorder. Regrettably, this argument is belied by the proffered evidence itself. Not only does her medical history not undermine the risk of recidivism, it only underscores the extent to which rehabilitation is unlikely. Although
We note, in addition, significant discrepancies in the letters provided by the consulting physician. In the original interview, Daire told Dr. Jaffe that she was taking Depakene at the time of the offense, and that she was being treated at a public health clinic. Depakene is a prescription medication used to treat manic episodes in bipolar patients. See Physicians' Desk Reference 417-22 (61st ed.2007). Daire indicated that she had originally been prescribed that medication while living at Tarzana Treatment Center, and that it made her feel "mellow" and more stable. In the 2010 letter requested for habeas purposes, Jaffe contradicted his original letter, reporting no "indication that she was prescribed medications for Bipolar disorder while in the [Tarzana] program." This statement is puzzling, given Daire's contrary testimony and considering that the Tarzana discharge record — a copy of which was given to Jaffe — clearly lists a diagnosis of "296.62 bipolar disorder," and states that Daire was "medicated and compliant while in the unit." We need not resolve these factual discrepancies today. Nevertheless, the inconsistencies render more reasonable the state's conclusion regarding prejudice. In fact, the Strickland Court itself dealt with a similar discrepancy, ultimately finding "no reasonable probability that the omitted evidence would have changed the conclusion" at sentencing, and noting that the inconsistencies "might even have been harmful" to the defense. See Strickland, 466 U.S. at 676-77, 699, 104 S.Ct. 2052.
Daire nevertheless tries to demonstrate prejudice by characterizing this particular judge as sympathetic to her cause. She points to a comment in the mistrial transcript regarding the weakness of the prosecution's case, specifically that "the court could attempt to undercut the people's offer, certainly on Romero, and I think there's a strong basis for that." But this comment implies little or nothing about the actual adjudication of the Romero motion, which was handled by a different judge.
Finally, a recent Romero appeal supports the state court's conclusion that the motion would have been denied irrespective of the proffered mitigating evidence. See generally People v. Miller, No. H037246, 2013 WL 6710724 (Cal.Ct.App. 2013) (unpublished). The Miller court considered a direct appeal involving an individual quite similar to Daire. The defendant had committed three robberies to support his substance addiction, which he described as his "biggest challenge" in life. Id. at *1 & n. 3. In seeking Romero relief from a three-strikes sentence, the defendant pointed out that he suffered from an untreated mental illness and that none of his offenses had been very serious. Id. at *1. He urged leniency, arguing that he was "homeless," "severely depressed," and in need of medical help. Id. In opposing the motion, prosecutors used those very same factual predicates to argue that defendant was prone to recidivism and simply "unable to live a sober, stable, or productive life." Id. Agreeing with the prosecution and deeming the defendant a threat to public welfare, the sentencing judge denied the motion. Id. at *2. The appellate court affirmed, noting that Romero "does not compel a trial court to dismiss a prior strike simply because factors exist that may justify doing so," and emphasizing that "there continues to be a strong presumption that sentences that conform to the sentencing norms set forth under the Three Strikes law are both rational and proper." Id. at *6 (citing Carmony, 92 P.3d at 376, 33 Cal.4th 367, 378, 14 Cal.Rptr.3d 880, 889).
The parallels between Miller and Daire are readily apparent. In broad strokes, the only qualitative difference in their respective Romero arguments was that Miller's motion incorporated a mental health defense. And yet Miller's motion was denied in the same manner Daire's was. We do not mean to overstate Miller's implications for the present dispute, as even a perfectly analogous case could not possibly reveal how Daire's Romero motion would have been resolved in light of her unique psychiatric history. Nevertheless, the Miller decision supports the state court's conclusion that submission of Daire's medical evidence would not have changed the outcome of the Romero hearing. Accordingly, we cannot say that there is no reasonable basis for that decision. Harrington, 131 S.Ct. at 784.
For the reasons stated, we conclude that the state court's decision was reasonable with respect to both prongs of Strickland. The federal courts are therefore precluded from affording the requested relief. 28 U.S.C. § 2254(d)(1). Accordingly, the petition
Daire's motion for leave to file an enlargement to the petition for panel rehearing is denied, and Daire's petition for panel rehearing is denied.