BRISCOE, Chief Judge.
Petitioner Steven Ray Thacker pled guilty in Oklahoma state court to charges of first-degree malice aforethought murder, kidnapping, and first-degree rape. Following a sentencing hearing, the state trial court sentenced Thacker to death for the murder conviction. Thacker's death sentence was affirmed on direct appeal, and his requests for state post-conviction relief were denied. Thacker petitioned for a writ of habeas corpus under 28 U.S.C. § 2254, but was denied relief by the district court. Thacker filed a notice of appeal and the district court granted him a certificate of appealability on four issues. Exercising jurisdiction pursuant to 28 U.S.C. § 1291, we affirm the district court's denial of federal habeas relief.
On the morning of December 23, 1999, Thacker, who had just been laid off from his job, devised a plan to rob someone in order to obtain cash to purchase Christmas presents for his wife of a few months, Trena Thacker, and her two children. Thacker began by reviewing the classified advertisements in the Tulsa newspaper. After calling several phone numbers listed in the classified ads and considering the locations of the persons who placed those ads, Thacker responded to an advertisement regarding a pool table for sale. The advertisement had been placed by a woman named Laci Dawn Hill, and it was Hill who spoke with Thacker that morning when he called. After determining that Hill's home was located in what he regarded as a nice area of Tulsa, Thacker made arrangements with Hill to come to her house later that morning and view the pool table. "When Ms. Hill allowed [him] admission into her home" later that morning, Thacker "pulled a knife and demanded money." Thacker v. State, 100 P.3d 1052, 1054 (Okla.Crim.App.2004) (Thacker I). Hill responded that she had no money in her home, "but could get some from an ATM machine." Id. Thacker forced Hill at knife-point to first retrieve her purse from the kitchen, and then forced her outside and into his vehicle. From there, Thacker "took Ms. Hill to a ramshackle cabin in the country" and bound her to a chair. Id. Thacker told Hill he would let her go if she had sex with him. He then forced Hill to have sexual intercourse with him against her will. After raping Hill, Thacker again bound Hill to a chair. Then, concerned that Hill might escape and tell authorities, Thacker removed her from the chair and
The remaining relevant facts of the crime were outlined in detail by the Oklahoma Court of Criminal Appeals (OCCA) in addressing Thacker's direct appeal:
Id. at 1054-55 (internal paragraph numbers and footnote omitted).
On December 30, 1999, Thacker was charged by information in the District Court of Mayes County, Oklahoma, Case Number CF-1999-305, with first-degree malice aforethought murder. On February 8, 2000, a first amended information was filed charging Thacker with first-degree malice aforethought murder (Count I), kidnapping (Count II), and first-degree rape (Count III).
On February 25, 2000, the prosecution filed a bill of particulars alleging the existence of three aggravating circumstances: (1) the murder was committed for the purpose of avoiding or preventing lawful arrest or prosecution; (2) the existence of a probability that Thacker would commit criminal acts of violence that would constitute a continuing threat to society; and (3) the murder was especially heinous, atrocious, or cruel. A first amended bill of particulars was filed on June 12, 2002, but the substance of the three alleged aggravating circumstances remained the same.
Three attorneys from the Oklahoma Indigent Defense System (OIDS), Silas Lyman II, G. Lynn Burch, and Gretchen Mosley, were appointed to represent Thacker.
State ROA, Vol. C at 509.
At the state trial court's direction at the accompanying plea hearing,
Tr. of Plea, Dec. 2, 2002, at 17-22. The state trial court, after questioning Thacker further about his admissions, found that Thacker was guilty beyond a reasonable doubt of all three charged crimes. Id. at 27-28.
The subject of Thacker's capacity, both at the time of the crimes and at the time of his plea, was also addressed during the plea hearing (as well as during an in camera hearing that occurred immediately prior to the plea hearing). To begin with, the state trial court, after detailing Thacker's mental health history, questioned Thacker and his attorneys about Thacker's understanding of the proceedings against him:
Id. at 9. Thacker's counsel subsequently addressed, albeit briefly, the issue of Thacker's competence at the time he committed the charged crimes:
Id. at 23-24.
At the time of his plea hearing, Thacker also waived his right to a jury trial on the three aggravating circumstances alleged by the State. Accordingly, a non-jury sentencing trial was held in the case beginning on December 17, 2002. At the conclusion of the evidence, the state trial court found that all three of the alleged aggravating
On January 2, 2003, one of Thacker's trial attorneys, OIDS attorney Gretchen Mosley, filed a notice of intent to appeal on his behalf. On June 13, 2003, Mosley filed a petition in error announcing Thacker's intent to perfect a direct appeal of his sentences. On March 25, 2004, Mosley filed an appellate brief on Thacker's behalf asserting two propositions of error. Proposition One asserted that Thacker's death sentence should be vacated or modified on grounds that the trial court never acquired jurisdiction over the aggravating circumstances alleged by the prosecution because those aggravating circumstances were not charged in an information or indictment, subjected to adversarial testing in a preliminary hearing, nor determined to probably exist by a neutral and detached magistrate. Proposition Two asserted that the interpretation of the heinous, atrocious, or cruel aggravating circumstance adopted by the Oklahoma state courts violated the Eighth and Fourteenth Amendments by failing to properly channel the factfinder's discretion in imposing the death penalty.
Thacker waived his right to oral argument before the OCCA. On October 21, 2004, the OCCA issued an opinion affirming the judgments and sentences. Thacker I, 100 P.3d at 1060.
Thacker filed a petition for writ of certiorari with the United States Supreme Court on January 18, 2005. That petition was denied on March 7, 2005. Thacker v. Oklahoma, 544 U.S. 911, 125 S.Ct. 1611, 161 L.Ed.2d 288 (2005).
In February 2005, Thacker, represented by new counsel, filed an application for state post-conviction relief raising three issues: (1) ineffective assistance of trial counsel for failing to present compelling and relevant mitigating evidence at the sentencing hearing; (2) the state trial judge allowed victim impact evidence to play a significant role in the sentencing deliberations and, specifically, the weighing of aggravating and mitigating circumstances; and (3) ineffective assistance of appellate counsel for failing to raise the issue set forth in proposition two. On September 13, 2005, the OCCA denied post-conviction relief in a published opinion. Thacker v. State, 120 P.3d 1193 (Okla. Crim.App.2005) (Thacker II).
Thacker initiated these federal habeas proceedings on January 17, 2006, by filing a motion for appointment of counsel. The district court granted that motion and appointed counsel for Thacker on January 19, 2006.
On September 8, 2006, Thacker filed a petition for writ of habeas corpus pursuant to 28 U.S.C. § 2254. The petition asserted
While his federal habeas petition was pending, Thacker filed a second application for post-conviction relief with the OCCA in September 2006. In Proposition One of that application, Thacker alleged he was denied due process of law due to a "strong possibility" that the state trial judge, Judge James Goodpaster, considered or relied upon information of which Thacker was unaware and had no opportunity to explain or deny. The first such piece of information was the filing of a civil lawsuit against Thacker in July 2000 by Thacker's then-wife, Trena, alleging that Thacker had sexually molested and abused his minor stepdaughter. That case was assigned to Judge Goodpaster. Although the civil case was eventually dismissed, Thacker alleged that Judge Goodpaster likely considered the unadjudicated claims at the time he sentenced Thacker in the criminal proceedings. Thacker also alleged, based upon an ex parte discussion his post-conviction counsel, Vicki Ruth Adams Werneke, allegedly had with Judge Goodpaster, that Judge Goodpaster was of the opinion that bipolar disorder was not a serious mental illness and thus treated Thacker's bipolar disorder as an aggravating, rather than a mitigating, circumstance at the time of sentencing.
In Proposition Two of his second application, Thacker claimed that his execution would violate the Eighth Amendment's prohibition against cruel and unusual punishment because he suffered from a severe mental disorder, i.e. bipolarism, at the time he committed the crimes. In Proposition Three, Thacker claimed that his appellate counsel was ineffective for failing on direct appeal to allege error with respect to the claims presented in Propositions One and Two of the second application for post-conviction relief. In Proposition Four, Thacker claimed that his previous post-conviction counsel was ineffective for failing to raise the issues asserted in Propositions One through Three.
Thacker filed a motion for evidentiary hearing in connection with his second application
In December 2006, Thacker filed a third application for post-conviction relief with the OCCA asserting a single proposition for relief, i.e., that the state trial judge's refusal to consider Thacker's bipolar disorder as a mitigating factor at the time of sentencing violated his rights under the Eighth and Fourteenth Amendments.
On August 31, 2007, the OCCA issued an opinion denying Thacker's second and third applications for post-conviction relief.
Thacker filed an amended federal habeas petition on November 29, 2007. The amended petition did not add any additional claims, but instead amended slightly two of the claims contained in the original petition (Claim Three, which alleged that the state trial judge considered information of which Thacker was unaware, and Claim Four, which alleged that Thacker's execution would violate the Eighth Amendment because Thacker suffered from a severe mental disorder or disability at the time he committed his crimes).
On September 2, 2010, the district court issued an opinion and order denying Thacker's petition. Thacker filed a notice of appeal and a motion for certificate of appealability (COA) as to four of the ten issues asserted in his amended federal habeas petition. The district court granted Thacker's motion for COA.
Our review of Thacker's appeal is governed by the provisions of the Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA). Snow v. Sirmons, 474 F.3d 693, 696 (10th Cir.2007). Under AEDPA, the standard of review applicable to a particular claim depends upon how that claim was resolved by the state courts. Id.
If a claim was addressed on the merits by the state courts, we may not grant federal habeas relief on the basis of that claim unless the state court decision "was contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States," 28 U.S.C. § 2254(d)(1), or "was based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding," id. § 2254(d)(2). "When reviewing a state court's application of federal law, we are precluded from issuing the writ simply because we conclude in our independent judgment that the state court applied the law erroneously or incorrectly." McLuckie v. Abbott, 337 F.3d 1193, 1197 (10th Cir.2003). "Rather, we must be convinced that the application was also objectively unreasonable." Id. "This standard does not require our abject deference, ... but nonetheless prohibits us from substituting our own judgment for that of the state court." Snow, 474 F.3d at 696 (internal quotation marks omitted).
If a claim was not resolved by the state courts on the merits and is not otherwise procedurally barred, our standard of review is more searching. That is, because § 2254(d)'s deferential standards of review do not apply in such circumstances, we review the district court's legal conclusions
In Proposition One of his appellate brief, Thacker contends that his due process rights were violated at his sentencing hearing because the state trial judge, Judge Goodpaster, "had information he should not have considered and [in addition] was unable or refused to give due consideration to ... Thacker's mental illness as a mitigating factor." Aplt. Br. at 15. In support of this contention, Thacker first notes that "[a] civil lawsuit [filed by his ex-wife Trena in July 2000] falsely charging ... Thacker with child sexual molestation was, unbeknownst to ... Thacker, pending before Judge Goodpaster" at the time of the sentencing hearing. Id. And, Thacker asserts, Judge Goodpaster's consideration of "this information in sentencing" was unconstitutional because Thacker "ha[d] no opportunity to deny or explain." Id. at 16. Thacker also asserts that, "unbeknownst to [him], Judge Goodpaster viewed bipolar disorder ... negatively and as something used as an excuse by those who suffer from it." Id. Although Thacker concedes that Judge Goodpaster submitted an affidavit denying bias, Thacker asserts that Judge Goodpaster acknowledged in his affidavit that "he did not give the bipolar evidence mitigating effect." Id. Thacker in turn contends that Goodpaster thus failed "to meaningfully consider the mitigating evidence presented." Id.
Thacker contends that two Supreme Court decisions supply the clearly established federal law applicable to Proposition One. With respect to his assertion that Judge Goodpaster considered prejudicial extraneous information in making his sentencing decision, Thacker points to Gardner v. Florida, 430 U.S. 349, 97 S.Ct. 1197, 51 L.Ed.2d 393 (1977). And, with respect to his contention that Judge Goodpaster failed to meaningfully consider evidence of Thacker's bipolar disorder, Thacker points to Eddings v. Oklahoma, 455 U.S. 104, 102 S.Ct. 869, 71 L.Ed.2d 1 (1982). In Gardner, the petitioner was convicted by a Florida jury of the first-degree murder of his wife. At the subsequent sentencing hearing, the jury expressly found that the mitigating circumstances alleged by the petitioner (his consumption of a vast quantity of alcohol preceding the crime) outweighed the aggravating circumstances (that the murder was especially heinous, atrocious or cruel) and advised the trial court to impose a life sentence. At the sentencing hearing, however, the trial court sentenced the petitioner to death. In doing so, the trial court expressly stated that it had relied, in part, on a presentence investigation report (PSR). And it was uncontroverted that the PSR "contained a confidential portion which was not disclosed to defense counsel." 430 U.S. at 353, 97 S.Ct. 1197.
The petitioner appealed to the Florida Supreme Court, arguing that the trial court had erred in considering the confidential portion of the PSR in making its sentencing decision. The Florida Supreme Court affirmed the sentence, stating it had carefully reviewed the record. "The record on appeal, however, did not include the confidential portion of the" PSR. Id. at 353-54, 97 S.Ct. 1197. The Supreme Court subsequently "granted certiorari ... to consider the constitutionality of the trial judge's use of a confidential" PSR. Id. at 354, 97 S.Ct. 1197.
In Eddings, the petitioner, at the age of 16, shot and killed an Oklahoma Highway Patrol officer. Petitioner was charged with murder in the first degree and was certified to stand trial as an adult. The state trial judge found petitioner guilty upon a plea of nolo contendere. A sentencing hearing was subsequently held before the state trial judge. The state alleged the existence of three aggravating circumstances and presented evidence in support of those alleged circumstances. Petitioner, in turn, presented mitigating evidence regarding his troubled youth. At the conclusion of all the evidence, the state trial judge "found that the State had proved each of the three alleged aggravating circumstances beyond a reasonable doubt," and that the petitioner's "youth was a mitigating factor of great weight." 455 U.S. at 108, 102 S.Ct. 869. But the state trial judge "would not consider in mitigation the circumstances of [the petitioner's] unhappy upbringing and emotional disturbance." Id. at 109, 102 S.Ct. 869. "Finding that the only mitigating circumstance was [petitioner's] youth and finding further that this circumstance could not outweigh the aggravating circumstances present, the [state trial judge] sentenced [petitioner] to death." Id. On direct appeal, the OCCA "agreed with the [state] trial [judge] that only the fact of [petitioner's]
The Supreme Court granted certiorari, reversed "the judgment ... to the extent that it sustain[ed] the imposition of the death penalty," and remanded the case for further proceedings. Id. at 117, 102 S.Ct. 869. In doing so, the Supreme Court stated that it was applying the rule first announced in Lockett v. Ohio, 438 U.S. 586, 98 S.Ct. 2954, 57 L.Ed.2d 973 (1978), i.e., "`that the Eighth and Fourteenth Amendments require that the sentencer ... not be precluded from considering, as a mitigating factor, any aspect of a defendant's character or record and any of the circumstances of the offense that the defendant proffers as a basis for a sentence less than death.'" Id. at 110, 102 S.Ct. 869 (quoting Lockett, 438 U.S. at 604, 98 S.Ct. 2954) (emphasis in original). And the Supreme Court explained that it was clear from the statements at sentencing that the state trial judge "did not evaluate the evidence in mitigation and find it wanting as a matter of fact; rather he found that as a matter of law he was unable even to consider the evidence." Id. at 113, 102 S.Ct. 869 (emphasis in original). The Supreme Court further noted that the OCCA "took the same approach," finding "that the evidence in mitigation was not relevant because it did not tend to provide a legal excuse from criminal responsibility." Id. The Supreme Court concluded "that the limitations placed by these courts upon the mitigating evidence they would consider violated the rule in Lockett." Id. "Just as the State may not by statute preclude the sentencer from considering any mitigating factor," the Supreme Court held, "neither may the sentencer refuse to consider, as a matter of law, any relevant mitigating evidence." Id. at 113-14, 102 S.Ct. 869 (emphasis in original). In sum, the Supreme Court held, "[t]he sentencer, and the [OCCA] on review, may determine the weight to be given relevant mitigating evidence. But they may not give it no weight by excluding such evidence from their consideration." Id. at 114-15, 102 S.Ct. 869.
The allegations contained in Proposition One were raised for the first time in Thacker's federal habeas petition filed in September 2006, "then presented for exhaustion in a second state post-conviction application" filed later that same month. Aplt. Br. at 19. Along with his second application for state post-conviction relief, Thacker filed a motion for an evidentiary hearing, as well as supporting affidavits. In particular, Thacker submitted an affidavit from Vicki Ruth Adams Werneke, the attorney who represented him in his first application for state post-conviction relief. In her affidavit, Werneke stated, in pertinent part:
Second Application for Post-Conviction Relief, Att. 8 at 1, ¶ 4 (internal paragraph number omitted).
Respondent's Motion to Dismiss Third Application for Post-Conviction Relief, Exh. A at 1-2, ¶¶ 3, 5, and 6 (internal paragraph numbers omitted).
The OCCA, on August 31, 2007, issued an opinion denying Thacker's second application for state post-conviction relief. In doing so, the OCCA rejected the allegations now asserted in Proposition One:
OCCA's Opinion Denying Second and Third Applications for Post-Conviction Relief at 6-8.
In this appeal, Thacker challenges as unreasonable the OCCA's rejection of his allegations. Because there are two distinct allegations, we shall proceed to address them separately.
As noted, the OCCA's primary basis for rejecting Thacker's claim that Judge Goodpaster improperly considered the sexual abuse allegations was that Thacker had waived the claim by failing to raise it, at a minimum, in his first application for post-conviction relief.
"[F]ederal habeas review ... is barred" in any case "in which a state prisoner has defaulted his federal claims in state court pursuant to an independent and adequate state procedural rule[,] ... unless the prisoner can demonstrate cause for the default and actual prejudice as a result of the alleged violation of federal law, or demonstrate that failure to consider the claims will result in a fundamental miscarriage of justice." Coleman v. Thompson, 501 U.S. 722, 750, 111 S.Ct. 2546, 115 L.Ed.2d 640 (1991).
"If a particular claim was `defaulted in state court on an independent and adequate state procedural ground,' we recognize the state courts' procedural bar ruling and do not address the claim on the merits `unless cause and prejudice or a fundamental miscarriage of justice is shown.'" Johnson v. Champion, 288 F.3d 1215, 1223 (10th Cir.2002) (quoting Maes v. Thomas, 46 F.3d 979, 985 (10th Cir.1995)). To be independent, the procedural ground must be based solely on state law. English v. Cody, 146 F.3d 1257, 1259 (10th Cir.1998). To be adequate, the procedural ground "must be strictly or regularly followed and applied evenhandedly to all similar claims." Sherrill v. Hargett, 184 F.3d 1172, 1174 (10th Cir.1999).
Although Thacker contends that the OCCA's waiver ruling was not based on an independent state procedural ground, he is clearly mistaken. In concluding that Thacker's claim was waived, the OCCA expressly discussed and applied the provisions of Oklahoma's amended Post-Conviction Procedure Act, Okla. Stat. tit. 22 § 1089, and its strict limitations on applications for post-conviction relief filed by capital prisoners. Thus, there is simply no doubt that the OCCA's waiver ruling rested exclusively on Oklahoma state law.
Thacker also contends that the state procedural ground relied upon by the OCCA was inadequate because the OCCA, on one notable occasion, ignored the otherwise-applicable state procedural rules and allowed a capital defendant (specifically a Mexican citizen) to assert in a subsequent application for post-conviction relief a claim that could have been raised on direct appeal or in his first application for post-conviction relief. Valdez, 46 P.3d at 710-11 (granting subsequent application for post-conviction relief on the basis of a violation of the Vienna Convention on Consular Relations due to state's failure to notify petitioner of right to communicate with Mexican consular officials). Thacker also contends that the OCCA has been "inconsisten[t] in defaulting second post-conviction claims." Aplt. Br. at 20.
Valdez aside, the OCCA's "actual application of the particular procedural default rule [at issue] to all similar claims has been evenhanded in the vast majority of cases." Maes v. Thomas, 46 F.3d 979, 986 (10th Cir.1995). Only in Valdez and approximately three other cases (one of which was unpublished) has "the OCCA overlooked [a] procedural default in a second or successive state post-conviction application," and thus Valdez is "insufficient to overcome Oklahoma's regular and consistent application of [its] procedural-bar
Moreover, assuming that Valdez created a discretionary exception to the otherwise-applicable procedural bar rule (prohibiting the assertion of certain claims in successive applications for post-conviction relief), this does not necessarily render the procedural bar rule "inadequate for purposes of the adequate state ground doctrine." Beard v. Kindler, ___ U.S. ___, 130 S.Ct. 612, 618, 175 L.Ed.2d 417 (2009). "To the contrary, a discretionary rule can be `firmly established' and `regularly followed'— even if the appropriate exercise of discretion may permit consideration of a federal claim in some cases but not others." Id.; see Walker v. Martin, ___ U.S. ___, 131 S.Ct. 1120, 1128, 179 L.Ed.2d 62 (2011) (concluding that California state rule applying time limitations to state habeas petitions, "although discretionary, me[t] the `firmly established' criterion").
Thus, in sum, we must recognize the OCCA's waiver ruling and treat the claim as procedurally barred for purposes of federal habeas review.
As a final matter, Thacker contends that the federal district court in this case should have conducted an evidentiary hearing on his claim. Aplt. Br. at 19-20. More specifically, he contends that respondent, "[b]y submitting Judge Goodpaster's affidavit, ... created a material dispute of fact," id. at 19, and "[t]he appropriate course would have been to conduct an evidentiary hearing at which [he] would have [had] the opportunity to refresh Judge Goodpaster's recollection and support his claim," id. at 20. Because, however, Thacker's claim is procedurally barred, the district court did not err in failing to conduct an evidentiary hearing. See Schriro v. Landrigan, 550 U.S. 465, 474, 127 S.Ct. 1933, 167 L.Ed.2d 836 (2007) ("[I]f the record refutes the applicant's factual allegations or otherwise precludes habeas relief, a district court is not required to hold an evidentiary hearing.").
As for the OCCA's rejection of Thacker's claim that Judge Goodpaster disregarded evidence of Thacker's bipolar disorder, or treated such evidence as an aggravating circumstance, Thacker contends in this appeal that the OCCA's decision was "unreasonable and entirely contrary to ... Judge Goodpaster's affidavit as a whole[,] which confirms Judge Goodpaster did discount the bipolar evidence." Aplt. Br. at 29. More specifically, Thacker asserts that Judge Goodpaster's affidavit, considered as a whole, establishes that Judge Goodpaster "limited the force of the [bipolar] evidence to the considerations of competency and sanity." Id. And such a limitation, Thacker argues, "was contrary ... to the principles of Eddings." Id. at 30.
OCCA's Opinion Denying Second and Third Applications for Post-Conviction Relief at 7-8. The OCCA also rejected Thacker's assertion that Judge Goodpaster "refus[ed] to consider [his] mental illness as a mitigating factor," concluding that "this [wa]s a strained reading of [Judge Goodpaster's] affidavit, one that [w]as not fairly supported by the record." Id. at 10.
In the instant appeal, Thacker concedes that Judge Goodpaster, in his affidavit, "den[ied] that he discounted ... Thacker's [bipolar disorder] mitigation evidence because of personal bias." Aplt. Br. at 22. But Thacker continues to argue, as he did before the OCCA, that Judge Goodpaster "admitted that he gave the evidence no meaningful mitigating effect because it did not provide a legal defense to the crime." Id. at 22-23. More specifically, Thacker contends that Judge Goodpaster "admit[ted] that the failure of the [bipolar disorder] evidence to establish incompetency or a defense of insanity rendered it essentially useless to ... Thacker in mitigation." Id. at 24. And Thacker attacks the OCCA's denial of this claim as unreasonable, arguing that "Judge Goodpaster's affidavit as a whole ... confirms Judge Goodpaster did discount the bipolar evidence" by "limit[ing] the force of the evidence to the considerations of competency and sanity." Aplt. Br. at 29. Thacker also argues that "[t]he OCCA offered no support for" its conclusion that Thacker's assertion that Judge Goodpaster refused to consider the bipolar disorder as a mitigating factor was based on a "strained reading" of Judge Goodpaster's affidavit. In short, Thacker argues that the OCCA's decision "was contrary ... to the treatment in Eddings of strikingly similar language uttered by the OCCA itself in that case," "as well to the principles of Eddings," because Judge Goodpaster "did not consider [the bipolar disorder evidence] fully or afford it meaningful mitigating effect." Id. at 29-30.
The initial, and ultimately fatal, problem for Thacker is that he cannot rebut the factual findings made by the OCCA in resolving his claim. Factual findings made by the OCCA "are presumed correct unless rebutted by clear and convincing evidence." Wilson v. Sirmons, 536 F.3d 1064, 1070-71 (10th Cir. 2008) (citing 28 U.S.C. § 2254(e)(1)); see also Smith v. Mullin, 379 F.3d 919, 925 (10th Cir.2004) ("As to factual findings underlying claims which the OCCA decided on the merits and for which the federal district court refused to grant an evidentiary hearing, the dictates of 28 U.S.C. § 2254(e)(1) apply and we must presume them true unless rebutted by [the petitioner] by clear and convincing evidence."). The OCCA found, as an initial matter, that the statements contained in Judge Goodpaster's affidavit were true. The OCCA in turn found, based upon its interpretation of the statements in Judge Goodpaster's affidavit, that Judge Goodpaster gave full consideration to the bipolar evidence proffered
We conclude, having conducted our own review of Judge Goodpaster's affidavit, that the OCCA's findings regarding the intent and meaning of Judge Goodpaster's statements were entirely reasonable. And, given the OCCA's unrebutted findings, we in turn conclude that the OCCA's resolution of Thacker's claim was neither contrary to, nor an unreasonable application of, Eddings.
Although the affidavits submitted by the parties appear at first blush to be diametrically opposed, they are not. The affidavit from Thacker's post-conviction counsel asserts that Judge Goodpaster told her he discounts bipolar disorder as an excuse for the commission of a crime. Fair enough. But Thacker's argument here (as it was before the OCCA) is that Judge Goodpaster did not consider the possibly mitigating effect of his bipolar disorder, and he relies on counsel's affidavit for support. Judge Goodpaster, however, unequivocally stated in his affidavit that he did consider the disorder. His statement stands unrefuted.
Tr. of Non-Jury Sentencing Trial, Vol. II, at 396. Thus, Thacker's argument attempting to equate an excuse for the commission of crime with mitigation fails.
As a final matter, Thacker contends, as he did with the first part of Proposition One, that the federal district court should have "conduct[ed] an evidentiary hearing at which [he] would have [had] the opportunity to refresh Judge Goodpaster's recollection and support his claim." Aplt. Br. at 20. But because Thacker has failed to sufficiently challenge the OCCA's factual findings, there was no basis for the district court to conduct an evidentiary hearing. See Schriro, 550 U.S. at 474, 127 S.Ct. 1933.
In Proposition Two of his appellate brief, Thacker contends that his trial counsel was ineffective in advising him to enter a blind guilty plea and in failing to file a motion to withdraw the guilty plea. According to Thacker, "[m]aterial misrepresentations and critical omissions by [his] trial counsel during their attempts to persuade him to enter a blind plea resulted in an unknowing and involuntary plea, and their failure to file the proper and necessary paperwork denied him his right to appeal." Aplt. Br. at 33.
"Before a federal court may grant habeas relief to a state prisoner, the prisoner
Three distinct types of direct appellate review are available to an Oklahoma capital defendant who enters a plea of guilty. First, like all criminal defendants in Oklahoma, a capital defendant who enters a plea of guilty may "appeal to the [OCCA] ... from any judgment against him." Okla. Stat. tit. 22, § 1051(a). Such an appeal, however, appears to be limited to matters other than the conviction itself. Second, an Oklahoma capital defendant who enters a plea of guilty may challenge his conviction by way of a certiorari appeal. A certiorari appeal requires the defendant to file with the state trial court "`an application to withdraw the plea within ten (10) days from the date of the pronouncement of the Judgment and Sentence.'" Id. (quoting Rule 4.2(A), Rules of the Oklahoma Court of Criminal Appeals, Okla. Stat. tit. 22, Ch. 18, App. (2002)). "On certiorari review of a guilty plea," the OCCA's "review is limited to two inquiries: (1) whether the guilty plea was made knowingly and voluntarily; and (2) whether the district court accepting the guilty plea had jurisdiction to accept the plea." Cox v. State, 152 P.3d 244, 247 (Okla.Crim. App.2006). Lastly, an Oklahoma capital defendant who enters a plea of guilty and is sentenced to death is entitled to mandatory sentence review by the OCCA. Mandatory sentence review requires the OCCA to determine (1) "[w]hether the sentence of death was imposed under the influence of passion, prejudice, or any other arbitrary factor," and (2) "[w]hether the evidence supports the jury's or judge's finding of a statutory aggravating circumstance." Okla. Stat. tit. 21, § 701.13(C).
In the instant case, Thacker did not file a motion to withdraw his guilty plea, and thus did not seek or receive certiorari review. Thacker did, however, file a direct appeal asserting two challenges to his death sentence (i.e., that the state trial court never acquired jurisdiction over the aggravating circumstances alleged by the State, and that the heinous, atrocious, or cruel aggravating circumstance was unconstitutional). The OCCA also, in disposing of Thacker's direct appeal, conducted a mandatory sentence review. Thacker I, 100 P.3d at 1058-60.
In addition to direct appellate review, Oklahoma law affords capital defendants the right to seek post-conviction relief. Specifically, a capital defendant may, subject to strict time limitations, file with the
It is undisputed that Thacker filed three applications for post-conviction relief with the OCCA. The first was filed in February 2005 and asserted three issues, including claims of ineffective assistance of trial counsel and appellate counsel. The second was filed in September 2006, after Thacker had initiated these federal habeas proceedings. And the third application was filed in December 2006, prior to the resolution of Thacker's second application. In none of these applications for post-conviction relief did Thacker assert the ineffective assistance of trial counsel claim he now seeks to assert in these federal habeas proceedings, i.e., that trial counsel was ineffective in advising him to enter a blind guilty plea and in subsequently failing to file a motion to withdraw the plea.
The question that we must resolve, consequently, is whether Thacker failed to exhaust his state court remedies with respect to this claim and is now procedurally barred from raising the claim in state court. Thacker contends that "he desired a certiorari appeal, however that appeal was denied to him because trial/appellate counsel failed to file the required motion to withdraw a plea." Aplt. Br. at 36. "As a result," he argues, he "could not raise the issues here," and "[b]y law ... only received mandatory sentencing review." Id. Thacker further argues that "[s]tate post-conviction [review] was ... not available to raise these claims." Id.
The factual basis of Thacker's arguments is only partially correct. He is correct in asserting that he could not have raised in his direct appeal, or the accompanying mandatory sentence review,
But Thacker clearly could have asserted the ineffective assistance claim in his first application for state post-conviction relief. See Davis v. State, 123 P.3d 243, 246 (Okla. Crim.App.2005) (holding "that the importance of the Sixth Amendment compels us to consider all claims of ineffective assistance of trial counsel raised in a timely application for post-conviction relief").
Although Thacker contends generally in this appeal that Oklahoma law prevented him from doing so, he fails to offer any specific arguments to support this contention. The only conceivable argument he could offer in this regard would appear to be based on the language of Okla. Stat. tit. 22 § 1089(C), which, as previously noted, limits the claims reviewable on post-conviction to those that "[w]ere not and could not have been raised in a direct appeal" and "[s]upport a conclusion either that the outcome of the trial would have been different but for the errors or that the defendant is factually innocent." Because the ineffective assistance claim Thacker now seeks to assert could not have been raised in a direct appeal, the only way it would have been precluded in an application for post-conviction relief would have been if it did not "support a conclusion ... that the outcome of the trial would have been different but for the error[]" (since there is no assertion or evidence that Thacker is factually innocent). Although it is unclear precisely how the OCCA would interpret this requirement, the Supreme Court has held, in the context of a claim that trial counsel was ineffective in advising a defendant to plead guilty, that prejudice from such ineffective assistance is established by showing a reasonable probability that, but for counsel's deficient performance, the defendant would not have pled guilty and would have proceeded to trial. Hill v. Lockhart, 474 U.S. 52, 60, 106 S.Ct. 366, 88 L.Ed.2d 203 (1985). Thacker's ineffective assistance claim is based on this very notion, i.e., that if his trial counsel had properly advised him, he would not have entered a blind guilty plea and would instead have exercised his right to a jury trial. Thus, Thacker's ineffective assistance claim fits within the parameters of claims allowed to be asserted in applications for post-conviction relief.
Were Thacker to now return to state court to attempt to exhaust a claim that trial counsel was ineffective in advising him to enter a blind plea and in failing to file a motion to withdraw the guilty plea, by filing a fourth application for post-conviction relief, it would be procedurally barred under Oklahoma law because Thacker failed to assert it in any of his applications for post-conviction relief. See Okla. Stat. tit. 22, § 1086 ("All grounds for relief available to an applicant under this act must be raised in his original, supplemental or amended application."); Okla. Stat. tit. 22, § 1089(D)(2) ("All grounds for relief that were available to the applicant before the last date on which an application could be timely filed not included in a timely application shall be deemed waived."). Thacker must therefore overcome an "anticipatory procedural bar" to proceed on his ineffective assistance claim. Anderson v. Sirmons, 476 F.3d 1131, 1140 n. 7 (10th Cir.2007) ("`Anticipatory procedural bar' occurs when the federal courts apply procedural bar to an unexhausted claim that would be procedurally barred under state law if petitioners returned to state court to exhaust it.").
The only way for Thacker to circumvent this anticipatory procedural bar is by making either of two alternate showings: he may demonstrate "cause and prejudice" for his failure to raise the claim in his
In a letter filed with this court pursuant to Federal Rule of Appellate Procedure 28(j), Thacker now asserts for the first time that the attorney who represented him in his first application for post-conviction relief was ineffective for failing to argue in that application that Thacker's trial counsel was ineffective for advising him to plead guilty and for subsequently failing to file a motion to withdraw the plea. In support of this new assertion, Thacker relies on the Supreme Court's recent decision in Martinez v. Ryan, ___ U.S. ___, 132 S.Ct. 1309, 182 L.Ed.2d 272 (2012) (holding that where, under state law, ineffective-assistance-of-trial-counsel claims must be raised in initial-review collateral proceeding, a procedural default will not bar a federal habeas court from hearing those claims if, in the initial-review proceeding, there was no counsel or counsel in that proceeding was ineffective).
It is well established that we will not consider issues raised for the first time in a Rule 28(j) letter. E.g., United States v. Quaintance, 608 F.3d 717, 720 n. 2 (10th Cir.2010); United States v. Kimler, 335 F.3d 1132, 1138 n. 6 (10th Cir.2003). That is because, in part, the language of Rule 28(j) "underscores that an appellant's supplemental authority must relate to an issue previously raised in a proper fashion, and that an appellant cannot raise a wholly new issue in a supplemental authority letter or brief." United States v. Levy, 379 F.3d 1241, 1244 (11th Cir.2004). Although it may be true that Thacker could not have, at the time he initiated these federal habeas proceedings, predicted the Supreme Court's resolution of the Martinez case, he most certainly could have argued in his federal habeas petition, as the petitioner in Martinez did, that ineffective assistance of post-conviction counsel was the "cause" for his failure to raise his ineffective assistance of trial counsel claim. He has never raised this issue until he filed his Rule 28(j) letter.
Thus, in sum, we conclude that Thacker's claim of ineffective assistance of trial counsel is procedurally barred.
Even if we could overlook the procedural bar, Thacker would not be entitled to federal habeas relief on the basis of his ineffective assistance of trial counsel claim. Thacker contends that his "[t]rial counsel knew: (1) [he] suffered from a severe mental illness, which caused him to act impulsively to the point where he could not consider the consequences of his actions; and (2) [his] ex-wife filed a civil complaint in Mayes County wherein she alleged [he] sexually abused her daughter." Aplt. Br. at 38. "Despite this knowledge," Thacker argues, his "trial counsel approached [him]... a week before his trial was to begin and convinced him to enter into a blind plea and to request sentencing by the trial judge, who had a fifty percent chance of having highly prejudicial and inflammatory information—allegations that ... Thacker sexually abused his stepdaughter." Id. Thacker argues that his "[c]ounsel continued to fail [him] when counsel failed to follow his ... explicit request to obtain a
As Thacker correctly notes, his claim is governed by the standards outlined in Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984). In Strickland, the Supreme Court held that "[a] convicted defendant's claim that counsel's assistance was so defective as to require reversal of a conviction or death sentence has two components." 466 U.S. at 687, 104 S.Ct. 2052. "First," the Court noted, "the defendant must show that counsel's performance was deficient." Id. "This requires showing that counsel made errors so serious that counsel was not functioning as the `counsel' guaranteed the defendant by the Sixth Amendment." Id. "Second," the Court noted, "the defendant must show that the deficient performance prejudiced the defense." Id. "Unless a defendant makes both showings," the Court held, "it cannot be said that the conviction or death sentence resulted from a breakdown in the adversary process that renders the result unreliable." Id.
Just last year, the Supreme Court discussed the application of the Strickland standards to cases in which the defendant asserts his trial counsel was ineffective at the plea bargain stage. In doing so, the Supreme Court began by noting that "[s]urmounting Strickland's high bar is never an easy task," Premo v. Moore,— U.S. ___, 131 S.Ct. 733, 739, 178 L.Ed.2d 649 (2011) (internal quotation marks omitted), and it emphasized that "[e]ven under de novo review, the standard for judging counsel's representation is a most deferential one," id. at 740. In other words, the Supreme Court noted, "[t]he question is whether an attorney's representation amounted to incompetence under `prevailing professional norms,' not whether it deviated from best practices or most common custom." Id. (quoting Strickland, 466 U.S. at 690, 104 S.Ct. 2052). Continuing, the Supreme Court cautioned reviewing courts against too readily concluding that counsel was ineffective in advising a defendant to plead guilty:
Id. at 741-42.
Applying these principles to the facts presented in this case, it is quite clear that Thacker cannot establish that his trial attorneys were incompetent in advising him to enter a blind guilty plea. The in camera proceeding held before the state trial court on December 2, 2002, just prior to Thacker formally entering his guilty plea, is particularly telling on this issue. During that proceeding, Thacker's lead counsel, Silas Lyman, questioned Thacker regarding his decision to enter a blind guilty plea. In doing so, Lyman, and in turn Thacker, noted that they had discussed "defenses [Thacker] might have and mitigation or evidence available to [him]," Tr. of In Camera Proceeding on 12/2/02, at 4, and in particular had "talked about a theory where [they] would contest every legal issue in the case," as well as asserting "possible defenses that Oklahoma doesn't necessarily recognize but that [they] would try to pursue on [his] behalf such as emotional disturbance or diminished capacity or something of that nature at the time that the[] offenses occurred," id. at 5. In turn, Lyman and Thacker noted they had retained the services of a psychiatrist, Dr. Keith Caruso, who opined that "the defense of insanity or any other possible available defenses d[id]n't exist for [Thacker] as far as [his] mental state of mind at the time the[] offenses occurred." Id. at 6. Lyman and Thacker also noted that Thacker had "made numerous statements," id., to authorities, that "there [wa]s DNA evidence... connecting [him] to not only the victim but also weapon that was involved in killing her," id. at 6-7, and that "the weight of the state's case [against him] [wa]s great," id. at 7. In short, Lyman and Thacker agreed there were no "viable defenses" to
Ultimately, Lyman and Thacker engaged in the following colloquy that highlighted their strategic discussions and final decision:
Id. at 20-23.
This evidence clearly establishes, contrary to Thacker's current allegations, that his trial counsel considered all of the available strategic options for defending Thacker and concluded, in the end, that the best strategy was to have Thacker enter a blind guilty plea and be sentenced by the state trial judge rather than the jury. Although Thacker is now critical of this advice, he fails to identify precisely what strategy he believes would have been better. And, most importantly for purposes of his Strickland claim, he fails to establish that his trial counsel, in advising him to plead guilty, "made errors so serious that counsel was not functioning as the `counsel' guaranteed [him] by the Sixth Amendment." Strickland, 466 U.S. at 687, 104 S.Ct. 2052. Indeed, a review of the record establishes precisely the opposite.
This same evidence also undercuts Thacker's claim that his trial counsel was ineffective for failing to file a motion to withdraw his guilty plea. More specifically, there was no legitimate factual or legal basis for seeking to withdraw the plea. And, although Thacker now contends that he "always wanted to appeal both his judgment and sentence," Aplt. Br. at 53, nothing in the state court records support this contention.
Thus, in sum, Thacker cannot prevail on the merits of his ineffective-assistance-of-trial-counsel claim.
In Proposition Three of his appellate brief, Thacker contends that he "was denied Equal Protection and Due Process of law because the Oklahoma courts failed to follow established procedures to determine whether he desired an appeal." Aplt. Br. at 58. In support, Thacker contends that "his [trial] counsel's failure to file the proper paperwork to initiate [a certiorari] appeal[, i.e., a motion to withdraw his guilty
As we have already discussed, Thacker did not file a motion to withdraw his guilty plea, and thus did not seek or receive certiorari review from the OCCA. He did, however, file a direct appeal asserting two challenges to his death sentence. The OCCA rejected both of those challenges and, in disposing of Thacker's direct appeal, conducted mandatory sentence review. Thacker I, 100 P.3d at 1058-60. Thacker subsequently filed three applications for post-conviction relief with the OCCA. It is undisputed, however, that in none of those applications did Thacker assert the equal protection and due process arguments he now seeks to assert in Proposition Three of this appeal.
Thus, we must decide whether Thacker failed to exhaust his state court remedies with respect to this claim, and if so, whether he is now subject to an anticipatory procedural bar. On these points, Thacker incorporates by reference the arguments he made in Proposition Two regarding exhaustion and procedural bar. Aplt. Br. at 58 ("This proposition of error is in the same procedural posture as Proposition Two."). Presumably, Thacker's position is that he could not have raised this issue either in his direct appeal or in his applications for post-conviction relief.
Thacker fails, however, to explain why he could not have raised the issue in the direct appeal he filed with the OCCA. Perhaps Thacker could argue that he failed to do so because the claim hinges, in part, on his assertion that his trial counsel failed to file a motion to withdraw his guilty plea, and in turn because he was represented on direct appeal by one of his trial attorneys. Assuming these facts reasonably prevented Thacker from asserting the claim on direct appeal, he could have, at a minimum, asserted the claim in one of his applications for post-conviction relief. Although it is apparently Thacker's position that this avenue of relief was not available either, he fails to offer any specific arguments to support this assertion.
And, as with the claim asserted in Proposition Two, were Thacker to return to state court to attempt to exhaust this claim by filing a fourth application for post-conviction relief, it would be procedurally barred under Oklahoma law because of Thacker's failure to assert it in either on direct appeal or in his initial application for post-conviction relief. Thus, as with the claim asserted in Proposition Two, Thacker must therefore overcome an "anticipatory procedural bar" to proceed on this due process/equal protection claim. Anderson, 476 F.3d at 1140 n. 7.
As we concluded with respect to the claim asserted in Proposition Two, Thacker cannot overcome the anticipatory procedural bar applicable to his due process/equal protection claim. To begin with, there is no assertion or evidence that Thacker is actually innocent, and thus he
As with Proposition Two, even if we were to overlook the procedural bar applicable to Proposition Three, there is simply no merit to the claim. Thacker bases his claim, in pertinent part, on a trio of OCCA decisions that addressed the steps that state trial courts must take in the event that a capital defendant effectively "volunteers" to be put to death by waiving the presentation of all mitigating evidence and foregoing a direct appeal of his death sentence (in one of the three cases, Grasso, the defendant also requested that the trial court impose the death penalty). Hooper v. State, 142 P.3d 463 (Okla.Crim.App. 2006); Fluke v. State, 14 P.3d 565 (Okla. Crim.App.2000); Grasso v. State, 857 P.2d 802 (Okla.Crim.App.1993). In such a situation, the OCCA held, the state trial court must strictly follow a series of procedural steps:
Hooper, 142 P.3d at 466 (internal footnotes omitted).
Thacker argues that he is similarly situated to the death penalty "volunteers" in Hooper, Fluke, and Grasso because his counsel's failure to file a motion to withdraw his guilty plea resulted in a waiver of his right to file a certiorari appeal challenging
We reject Thacker's arguments. At bottom, Thacker is not "similarly situated" to the death penalty "volunteers" in Hooper, Fluke, and Grasso. Although he pled guilty to the charges against him and waived his right to sentencing before a jury, he retained and exercised his right to present mitigating evidence to the state trial judge and he asked the state trial judge to impose a sentence less than death. And after he was sentenced to death, Thacker retained and exercised his right to challenge the death sentence imposed by the state trial judge. Thus, in no way did Thacker "volunteer" to be executed. Consequently, the procedural protections outlined in Hooper were not applicable to him.
It is also worth noting that, in any event, the state trial judge was careful in determining that Thacker acted knowingly and voluntarily in (a) entering a plea of guilty to the charges against him, and (b) waiving his right to be sentenced by a jury. In particular, the state trial judge took into account the views of all three of Thacker's trial attorneys,
In his fourth and final proposition of error, Thacker alleges cumulative error. As the term "cumulative" suggests, "[c]umulative-error analysis [in the federal habeas context] applies [only] where there are two or more actual [constitutional] errors." Castro v. Ward, 138 F.3d 810, 832 (10th Cir.1998). "It does not apply ... to the cumulative effect of non-errors." Id. Because we have found the existence of no constitutional errors, we must "refrain from engaging in a cumulative error analysis." United States v. Franklin-El, 555 F.3d 1115, 1128 (10th Cir.2009).
The judgment of the district court is AFFIRMED.