Justice EAKIN.
Leroy Fears appeals from the order denying him collateral relief from his criminal convictions and death sentence, pursuant to the Post Conviction Relief Act (PCRA), 42 Pa.C.S. §§ 9541-46. We affirm.
Appellant pled guilty to first degree murder, corruption of minors, abuse of a corpse, and two counts of involuntary deviate sexual intercourse (IDSI) relating to the sexual assault and death of a 12-year-old victim.
The trial court found one aggravating circumstance: the killing was committed in perpetration of a felony, specifically IDSI. 42 Pa.C.S. § 9711(d)(6). The court also determined appellant had proven the catch-all mitigating circumstance of evidence concerning his character, record, and circumstances of the offense. Id., § 9711(e)(8). The court held the aggravator outweighed the mitigator, and imposed a death sentence for the murder and terms of incarceration for some of the related offenses. Though trial counsel failed to file a direct appeal on appellant's behalf, appellate rights were reinstated, new counsel was appointed, and an evidentiary hearing was held on appellant's claims of trial counsel's ineffectiveness.
On direct appeal, appellant raised numerous ineffectiveness claims. Fears, at 59-60. Notwithstanding the general rule established in Commonwealth v. Grant, 572 Pa. 48, 813 A.2d 726 (2002), holding defendants "should wait to raise claims of ineffective assistance of trial counsel until collateral review[,]" id., at 738, this Court found review of several of the ineffectiveness claims was appropriate since trial counsel had testified at an evidentiary hearing, and the trial court had addressed these allegations in its opinion. Fears, at 59 (citing Commonwealth v. Bomar, 573 Pa. 426, 826 A.2d 831 (2003)).
Appellant's current counsel filed a motion for stay of execution and other related filings in the United States District Court for the Western District of Pennsylvania.
Appellant raises the following claims, which have been summarized and reordered for ease of discussion
In reviewing the denial of PCRA relief, we examine whether the PCRA court's determination "is supported by the record and free of legal error." Commonwealth v. Rainey, 593 Pa. 67, 928 A.2d 215, 223 (2007) (citations omitted). To be entitled to PCRA relief, appellant must establish, by a preponderance of the evidence, his conviction or sentence resulted from one or more of the enumerated errors in 42 Pa.C.S. § 9543(a)(2), his claims have "not been previously litigated or waived[,]" and "the failure to litigate the issue prior to or during trial, ... or on direct appeal could not have been the result of any rational, strategic or tactical decision by counsel." Id., § 9543(a)(3)-(4). An issue is previously litigated if "the highest appellate court in which [appellant] could have had review as a matter of right has ruled on the merits of the issue[.]" Id., § 9544(a)(2). An issue is waived if appellant
"[C]ounsel is presumed effective, and [appellant] bears the burden of proving otherwise." Commonwealth v. Steele, 599 Pa. 341, 961 A.2d 786, 796 (2008) (citing Commonwealth v. Hall, 549 Pa. 269, 701 A.2d 190, 200-01 (1997)). To prevail on an ineffectiveness claim, appellant must establish:
Commonwealth v. Lesko, 609 Pa. 128, 15 A.3d 345, 373-74 (2011) (citing Commonwealth v. Pierce, 515 Pa. 153, 527 A.2d 973, 975 (1987)).
Appellant, based on his proffer of mental infirmity, developed further in his mitigation claim, see infra Part II.A, argues he suffered from a diminished capacity which prevented him from forming the specific intent to kill. Furthermore, he claims his use of alcohol on the day of the murder negated any specific intent to kill. Finally, he contends trial counsel was ineffective for failing to investigate and present a diminished capacity defense. Appellant admits appellate counsel raised this issue on direct appeal, but he argues appellate counsel should have presented expert testimony to support a diminished
The Commonwealth argues this claim was previously litigated on direct appeal.
While the PCRA court found appellant's diminished capacity claims were not previously litigated, it found these claims waived because appellant's ineffectiveness claim was merely boilerplate. When confronted with a defective PCRA petition, the court "shall order amendment of the petition, indicate the nature of the defects, and specify the time within which an amended petition shall be filed." Pa. R.Crim.P. 905(B). Although the PCRA court did not order amendment of the petition, the PCRA court did offer an alternative basis for rejecting this claim — the diminished capacity defense was not available because appellant did not contest his degree of guilt. We need not remand for the filing of a curative petition if such remand would be futile. See McGill, at 1026 (finding remand to PCRA court not necessary where remand would be futile). As we ultimately find appellant's claim is meritless, remand would be futile, and is therefore unnecessary.
Appellant argues his claims are not previously litigated because they do not solely rely on "`previously litigated evidence.'" Appellant's Brief, at 10 (quoting Commonwealth v. Miller, 560 Pa. 500, 746 A.2d 592, 602 n. 9 (2000)). The Commonwealth responds that previously litigated claims cannot be relitigated, even under different theories or allegations. Appellee's Brief, at 17 (quoting Commonwealth v. Collins, 585 Pa. 45, 888 A.2d 564, 570 (2005)).
Although the PCRA court did not find this argument previously litigated — and we do not disagree — appellant cannot show appellate counsel acted unreasonably. Contrary to appellant's assertions, appellate counsel's performance, as evinced in appellant's direct appeal briefs and evidentiary hearing transcripts, was more than adequate. Counsel's briefs asserted trial counsel should have forced appellant to submit to psychiatric evaluation prior to the entry of his guilty plea to first degree murder. Appellate counsel supported her assertions by questioning trial counsel as to why he did not explore expert evaluation before advising appellant on a plea, especially due to the underlying mental "red flags" raised when the circumstances suggested appellant had engaged in sexual acts with a corpse. Appellate counsel developed expert testimony as to diminished capacity at the evidentiary hearing on trial counsel's ineffectiveness, as Ralph E. Tarter, Ph.D. opined appellant "was functioning under extreme diminished capacity." N.T. PCRA Hearing, 6/27-28/00, at 225. Further, as Dr. Martone had opined appellant only suffered from pedophilia, see Report
In his mitigation claim, see infra Part II.A, appellant claims his mental problems prevented him from making a knowing, voluntary, and intelligent guilty plea and waiver of a jury at his penalty phase. He further contends trial counsel and the trial court should have inquired into his ability to make such waivers. Appellant also argues appellate counsel was ineffective because, had appellate counsel further investigated Dr. Martone's and Dr. Tarter's diagnoses, trial counsel's ineffectiveness would have been apparent. Appellant asserts appellate counsel had no strategic reason for failing to properly present this claim, and exploiting the mental health evidence trial counsel failed to highlight would have resulted in appellant being awarded a new trial. The Commonwealth argues the trial court found appellant's waivers were knowing, voluntary, and intelligent, appellant denied suicidal ideation, and it is typical for an imprisoned defendant to be depressed. The PCRA court found this claim was previously litigated and further concluded appellant's pleas were knowing, voluntary, and intelligent.
Insofar as appellant alleges the trial court erred in accepting his guilty plea, his claim fails because it was litigated on direct appeal. Fears, at 63-66; see 42 Pa.C.S. § 9544(a)(2). Thus, only appellant's ineffectiveness claim is cognizable. See Collins, at 573. Even though appellant raised an ineffectiveness claim in relation to the voluntariness of his pleas on direct appeal, the PCRA court erred in finding his claim of appellate counsel's ineffectiveness previously litigated, as the direct appeal decision focused solely on trial counsel's actions rather than appellate counsel's. Regardless, appellant fails to show he was prejudiced by appellate counsel's presentation regarding trial counsel's investigation into appellant's mental ability to enter a guilty plea and waive his penalty phase jury. We have held:
Commonwealth v. Allen, 557 Pa. 135, 732 A.2d 582, 587 (1999) (internal citations omitted). To prove prejudice, appellant must prove "he would not have pled guilty and would have achieved a better outcome at trial." Commonwealth v. Mallory, 596 Pa. 172, 941 A.2d 686, 703 (2008) (emphasis omitted). Appellate counsel posited 12 factors to be considered in conducting our inquiry into the voluntariness of appellant's guilty plea, eight of which specifically focused on trial counsel's performance. See Reply Brief of Appellant (direct appeal), at 7-8. Counsel also provided a list of trial counsel's deficiencies regarding appellant's plea. See id. We, in fact, considered counsel's suggested factors, but found:
Fears, at 64-65 (footnote omitted) (internal citations omitted).
Furthermore, appellant argues trial counsel should have investigated his capacity to waive his rights, and this failure was not adequately raised by appellate counsel. During his interview with Dr. Martone, appellant denied any symptoms of psychosis, drug abuse, blackout, withdrawal, or health problems. See Report of Christine Martone, M.D., 12/15/94, at 3. Dr. Martone noted appellant "was oriented in all three spheres and his memory was intact. He was quite cooperative ... [h]is thoughts were logical and coherent and free of loosened associations. There was no evidence of delusions or hallucinations. His affect was appropriate." Id. She diagnosed him with adjustment disorder, secondary to his current legal difficulties, and she determined his condition could be managed in prison. Report of Christine Martone, M.D., 6/23/94, at 2. She also concluded appellant's suicidal ideations could be managed in a prison environment and found "[h]e has not made any sort of gesture or attempt" regarding suicide. N.T. Sentencing, 2/2/95, at 117-18. It was reasonable for trial counsel to rely on Dr. Martone's conclusions appellant was coherent and had no mental disorders besides pedophilia. See Lesko, at 382 (finding insofar as mental health expert failed to notice organic brain damage "may call into question [expert]'s professional performance, but that is not the same thing as providing a basis to fault trial counsel's legal performance"). Thus, appellant fails to show trial counsel lacked a reasonable basis not to
Appellant raises four distinct challenges to his guilty plea to two counts of IDSI.
Appellant contends there is no factual basis for his plea to the first count of IDSI because the forcible compulsion element of IDSI was not established.
Insofar as appellant claims the trial court erred in accepting his guilty plea, his claim is previously litigated and not cognizable. See 42 Pa.C.S. § 9544(a)(2). Thus, only his ineffectiveness claim is cognizable. See Collins, at 573. As we explained on direct appeal:
Regarding appellant's corpus delicti argument, Pennsylvania courts have long recognized:
Commonwealth v. McMullen, 545 Pa. 361, 681 A.2d 717, 723 (1996) (quoting Commonwealth v. DiSabatino, 399 Pa.Super. 1, 581 A.2d 645, 648 (1990)). Appellant does not argue a lack of independent evidence supporting his murder plea. He committed the murder minutes after the sexual assault to cover up the IDSI. On direct appeal, we determined the IDSI plea fell within the closely-related crime exception; the corpus delicti rule was not violated. Fears, at 67. Thus, appellant's claim is meritless, and appellate counsel cannot be ineffective in failing to litigate the same.
Appellant insists his plea was not knowing, voluntary, and intelligent. He claims the IDSI counts were not on the jury trial waiver forms, and he did not understand their nature because they were not read to him in understandable terms. The Commonwealth suggests this issue was previously litigated because we rejected it on direct appeal. Regardless, the Commonwealth argues the failure to delineate the elements of an offense, without more, is insufficient to invalidate a plea, and observes the facts of appellant's offense were detailed during the oral colloquy. The PCRA court found appellant's plea was knowing, intelligent, and voluntary; however, it only addressed appellant's first degree murder plea.
Insofar as appellant alleges the trial court erred in accepting his guilty plea, his claim fails because it was previously litigated on direct appeal. See 42 Pa.C.S. § 9544(a)(2). Therefore, only appellant's ineffectiveness claim is cognizable. See Collins, at 573. Although the PCRA court did not directly address the voluntariness of the IDSI plea, we need not remand this issue. See McGill, at 1026 ("The PCRA court in the present case reviewed the performance of trial counsel, so a remand to allow [appellant] to properly plead and argue his claim of layered ineffectiveness would be futile."). Appellant fails to develop any argument as to why trial or appellate counsel lacked a reasonable basis for not challenging the voluntariness of his plea to the IDSI counts; thus, this claim fails for lack of development. See Walter, at 566 (citation omitted) (claims waived for failure to develop). Furthermore, appellant cannot prove ineffectiveness. The Commonwealth "gave a detailed summary of the facts which included those supporting... IDSI[.]" Fears, at 68. Appellant previously pled guilty to an unrelated IDSI offense; thus, "he was aware of the elements of the crime. Accordingly, the trial court did not err in accepting his plea
Appellant claims there was insufficient evidence to prove he murdered the victim in perpetration of a felony, and thus the 42 Pa.C.S. § 9711(d)(6) aggravator does not apply. He contends he did not intend to kill at the time of the IDSI as "it was only after the oral sodomy had ended, the victim was dressed, and the victim said he was going to tell his parents he had been kidnaped [sic] that [appellant] engaged in the killing." Appellant's Brief, at 74 (citation omitted). The Commonwealth argues the murder need not occur simultaneously with the underlying felony, only that it occur close in time to the underlying felony. The PCRA court found appellant performed oral sodomy on the victim and strangled him a few minutes later, thus establishing the requisite connection for the aggravating circumstance.
Insofar as appellant alleges trial court error, his claim is waived for failure to raise it on direct appeal. See 42 Pa.C.S. § 9544(b). Furthermore, the fact-finder "may consider that the murder took place during the commission of the [felony] so long as the killing occurred so close in time and space to the [felony] that it could reasonably be considered part of that felony." Commonwealth v. Fisher, 564 Pa. 505, 769 A.2d 1116, 1129 (2001) (citation omitted). Here, it is sufficient that appellant killed the victim minutes after the sexual assault, after the victim threatened to report this illicit conduct. Thus, the PCRA court properly found evidence supporting the aggravating circumstance. As this claim is meritless, appellate counsel cannot be found ineffective in failing to raise the same.
The Commonwealth also charged appellant with IDSI arising out of his anal sodomy of the victim's body after the murder. Appellant pled guilty to this charge, but no additional penalty was imposed. On direct appeal, appellant argued the trial court should not have accepted his guilty plea to this offense; the Commonwealth conceded appellant should not have been charged with this IDSI count. We found this was harmless error as the aggravating circumstance was based solely on the first IDSI count. Fears, at 69-70.
Appellant now argues his guilty plea to the second count of IDSI improperly affected the trial court's weighing of aggravators and mitigators in his penalty phase. Specifically, he claims the trial court relied upon this second conviction in sentencing him, and this error was not harmless, as it is impossible to determine the extent this second IDSI count played in weighing the mitigators and aggravators. He also suggests counsel was ineffective for advising him to plead guilty to the second IDSI count. The Commonwealth contends this claim was previously litigated because we rejected it on direct appeal. It alleges the parties proceeded with the understanding the first IDSI count was the only felony relevant to the aggravating factor. The PCRA court found appellant was not prejudiced, because the second IDSI count was not the basis for the aggravating circumstance, and he received no additional penalty for this count.
Insofar as appellant alleges trial court error, his claim was previously litigated. See 42 Pa.C.S. § 9544(a)(2). We have previously held the inclusion of the extraneous IDSI charge was harmless error because
On direct appeal, appellant argued trial counsel's investigation and presentation of mitigating evidence was insufficient, contending counsel should have discovered "[a]ppellant was prematurely born to a twelve-year[-]old girl and suffered from cardiac arrest within one hour of his birth, causing severe lack of oxygen to his brain; [he] was placed in foster care a few months after his birth; and [he] suffered from serious mental illness." Id., at 73. Appellant presented the testimony of psychologist Ralph E. Tarter, Ph.D., who diagnosed appellant with psychopathology, including schizoid personality disorder and schizoaffective disorder. Dr. Tarter opined appellant was acting under extreme mental and emotional disturbance, and his capacity to appreciate the criminality of his conduct was substantially impaired. Id.
On direct appeal, we noted appellant did not display any psychotic behavior, nor did he alert trial counsel as to any mental impairment. Fears, at 73. Because the Public Defender's Office lacked funds for an expert, and trial counsel believed Dr. Martone would provide helpful expert testimony, we found he acted reasonably. Id.
Appellant now proffers Amy Hurd, L.S.W., an investigator and mitigation expert.
Violence was also a part of appellant's life, as appellant's foster father corporally punished all the children, acted violently when enraged, and on separate occasions pulled guns on J.R., G.H., and a contractor working at the house. Id., at 12. Appellant's foster mother also used physical force for discipline. Id., at 11-12. Ms. Hurd concluded appellant's family experience "was marked by terror, intimidation, helplessness, shame, avoidance, and a repetition of abusive behavior." Id., at 4.
As a young teenager, appellant met his natural mother; however, because of her mental deficiencies and illness, the meeting left appellant depressed. See id. In school, appellant struggled academically and was frequently absent. Id. Ms. Hurd found "[a]s he entered adulthood, [appellant] remained childlike ...[,] acted bizarrely in front of the family[,] and threatened to kill himself with pills." Id., at 5. Appellant also lacked skills necessary to obtain gainful employment and was homeless for a time. Id. He enrolled at a local college, where he befriended his roommate, and they lived together for five years. Id. The roommate was appellant's best friend and the only person he trusted; however, the roommate was depressed and once attempted suicide in appellant's presence. Id.
Ms. Hurd noted appellant began drinking alcohol when he was around 12 years old and began using inhalants when he was 14. Id., at 13. He also associated with a known drug user and alcoholic. Id. In adulthood, he would drink every day, sometimes passing out. Id. On three occasions, his roommate found him passed out from inhalant use. Id.
Ms. Hurd found appellant's family members suffered from various conditions, including bipolar disorder, schizoaffective disorder, depression, and paranoid schizophrenia. Id., at 14. His maternal grandmother suffered violent mood swings and drank frequently. Id. Appellant's natural mother was mentally retarded and emotionally unstable, with a history of mental health hospitalizations. Id. She also had a daughter, who she physically abused and allowed men to sexually abuse. Id., at 15-16. The daughter has since been treated for bipolar disorder, major depression, and schizoaffective disorder. Id., at 16.
Dr. Martone, who interviewed appellant for his penalty phase, indicated trial counsel met with her for only ten minutes before she testified. Declaration and Affidavit of Dr. Christine A. Martone, at 1.
Dr. Martone also noted trial counsel provided no "collateral data" regarding appellant's background or familial situation. Id., at 1. After reviewing information provided by appellant's current counsel, she concluded appellant's "dysfunction and sexual abuse ... were substantial and caused life-long impairments. [His] biological family background also genetically predisposed him to the mental health problems from which he suffered." Id., at 2. She further found this extra evidence supported the mitigating circumstances. Id.
Appellant next offers psychiatrist Richard G. Dudley, M.D., who examined him and reviewed various background materials, including the trial transcripts, family affidavits, medical, mental health, school, and Department of Corrections records, and information from prior psychological examinations. Dr. Dudley diagnosed appellant with major depressive disorder with psychotic features. Declaration of Dr. Richard G. Dudley, 5/25/06, at 1-2. This diagnosis was based on the fact appellant was conceived by rape, and his mother did not receive appropriate pre-natal care because she did not realize she was pregnant until halfway into the pregnancy. Id., at 2. Appellant also lacked a consistent caregiver necessary for healthy development. Id., at 2-3. Dr. Dudley further noted appellant's family history of bi-polar disorder, paranoid schizophrenia, and major depression, all of which have genetic components. Id., at 6.
Based on the physical and sexual abuse which ran rampant in the foster family's home, Dr. Dudley found appellant "maintains the belief that the sexual abuse he suffered was consensual and part of normal sexual development." Id., at 3. Appellant was also never able to feel accepted by his foster parents and was ashamed from the sexual abuse. Id., at 4. He also felt shame from feeling he was gay, which was exacerbated because the family's religious views condemned homosexuality. Id. Further, as appellant was the only child in the family not to regularly visit his birth mother, Dr. Dudley concluded appellant suffers from feelings of abandonment. Id.
As a child, appellant spent time alone and created a fantasy world, which resulted in transitory psychotic states. Dr. Dudley concluded appellant returns to this fantasy world when confronted with painful situations. Id., at 4-5. Starting at age nine or ten, appellant began using inhalants and drinking alcohol. By his teenage years, appellant "had already begun to exhibit the signs and symptoms of chronic alcoholism and long[-]term drug abuse. After dropping out of high school, [he] began to prostitute himself to get drugs. [He] remained a chronic alcoholic and drug user until he was arrested[.]" Id., at 5. Dr. Dudley observed those suffering from childhood trauma develop fear responses, become overly sensitive to traumatic events, and react impulsively. Id.
As an adult, appellant was still child-like. He was depressed, continued to abuse drugs and alcohol, and prostituted himself. Id. Appellant and his roommate were emotionally co-dependent, and appellant was financially dependent on the roommate. A few weeks before the murder, the roommate told appellant he would return to Japan. This caused appellant to reenter his fantasy world, and he was clinically depressed and in a psychotic state. Id., at 7.
Appellant also presents an affidavit from Harry Krop, Ph.D., a psychologist who evaluated and tested appellant, reviewed various records, and reviewed the affidavits of family members and mental health professionals. Declaration and Affidavit of Harry Krop, Ph.D., 6/7/06, at 1-2. Dr. Krop diagnosed appellant with major depressive disorder with psychotic features. He further found appellant suffered from low self-worth and depressive episodes, which included suicidal ideation. Dr. Krop noted appellant was unable to support himself or maintain gainful employment; he would, at times, decompensate into psychosis, and family members reported bizarre behavior. Id., at 5-6.
Dr. Krop also found appellant suffers from "neuropsychological deficits consistent with organic brain damage in the temporal and frontal lobes[,]" which can cause "impulsivity, disorganized thinking, socially inappropriate and irrational behavior, exaggerated responses to stimuli, poor judgment, inability to comprehend consequences of behaviors, and difficulty interpreting the actions and intentions of others. Stressful situations and drug and alcohol use magnify the effects of these underlying impairments." Id., at 4. Thus, he opined appellant had long-standing neuropsychological deficits, which were aggravated on the day of the murder by alcohol consumption and the stress of his roommate's imminent departure. Id. Dr. Krop concluded appellant's "deficits would have significantly influenced his decision-making, perception and judgment on the day of the offense." Id., at 6. Dr. Krop found these impairments caused appellant to suffer from diminished capacity at the time of the offense. Further, he opined appellant was suffering from an extreme emotional disturbance, which impaired his ability to appreciate the criminality of his conduct and conform his conduct to the requirements of the law. Finally, Dr. Krop found appellant's dysfunctional family life and substance abuse supported the catch-all mitigating circumstance. Id., at 7.
Dr. Tarter, the psychologist who testified for appellant at the evidentiary hearing regarding his ineffectiveness claims on direct appeal, reviewed the affidavits of Ms. Hurd and Drs. Dudley and Krop and found they showed appellant was severely disturbed prior to the murder, and "this disturbance was exacerbated by stress-induced panic resulting in transient psychosis at the time of the homicide." Affidavit/Declaration of Ralph E. Tarter, Ph.D., at 1-2.
Dr. Tarter noted appellant, beginning early in life, engaged in severe substance abuse, and the departure of "a homosexual lover ... prior to the [murder] further elevated his stress state and eliminated his only interpersonal resource for emotional support and sexual relief." Id., at 3. Because of appellant's substance abuse, stress, separation from his roommate, and "sexual arousal in the company of boys[,]" Dr. Tarter concluded appellant suffered from a diminished capacity to control and appreciate the implications of his actions. Id. Dr. Tarter opined appellant committed the sexual assault because he had low self-control, and when the victim said he was going to inform his parents, "severe panic overtook him such that the hyperaroused state precipitated a transient psychotic episode and further diminished [his] self-control." Id.
Appellant admits this mitigating evidence claim was previously raised on direct appeal, but contends it is cognizable because he now presents different mitigating evidence. He argues, had trial counsel investigated his background, counsel could have presented this evidence and offered a mitigating expert at the penalty phase. He claims trial counsel should have presented mental health experts to testify as to the severity of his mental health difficulties, as there were several "red flags" trial counsel should have recognized as indicative of potential mental health issues, requiring further investigation. Appellant identifies these "red flags" as the molestation mentioned in the pre-sentence report, appellant's alcohol abuse, and his belief some unnatural force was at work during the murder. Appellant further alleges trial counsel's failure was caused by counsel's inexperience, lack of resources, and overwhelming caseload. He argues, because the sentencing court never learned about his upbringing, he was prejudiced.
The Commonwealth responds that this claim was previously litigated because appellant raised the same legal issue on direct appeal. Noting we found trial counsel's decision to limit investigation reasonable, the Commonwealth argues this is the "law of the case."
The PCRA court found this claim was previously litigated. The court also determined the interaction between trial counsel and appellant gave no indication appellant was mentally impaired. Nonetheless, counsel introduced Dr. Martone's testimony because he thought it would be beneficial, and he knew the sentencing court had previously viewed Dr. Martone's testimony favorably. The court also noted counsel went to the trouble of obtaining appellant's roommate's letter from Japan to present on appellant's behalf. The court found appellant could have requested a deeper investigation, and the pre-sentence report and lack of witnesses at appellant's post-sentence evidentiary hearing show appellant's family "were either unavailable or unwilling to testify." PCRA Court Opinion, 9/19/08, at 21. Thus, the PCRA court found there was a reasonable basis for trial counsel's actions.
Appellant's claim appellate counsel was ineffective for failing to investigate and present evidence of appellant's family and social history on direct appeal has not been previously litigated. Therein, he contends Dr. Tarter could have testified as to the impact of the sexual abuse appellant suffered, and Dr. Dudley could have testified as to the effect of multiple foster care placements, sexual abuse, and the dysfunctional home environment. He alleges a psychologist could have testified he suffered psychosis and how his family and social factors impacted his decision-making, perception, and judgment. Thus, he contends appellate counsel's omission deprived this Court of the opportunity to fully consider the extent of his mental impairment.
Appellant's argument concerning appellate counsel's lack of reasonable basis focuses on the mitigating evidence appellate counsel allegedly could have obtained. Regarding appellate counsel's reasoning in not further investigating mitigating evidence, appellant only claims "[a]ppellate counsel could not have had any reasonable basis for failing to contact those family members, particularly because appellate counsel was attempting to establish that trial counsel was ineffective for failing to... present available mitigating evidence." Appellant's Brief, at 51. Appellant offers no evidence regarding appellate counsel's decision to stop investigating his background, such as her reasoning or her resources. Thus, he fails to "`reconstruct the circumstances of counsel's challenged conduct' and `evaluate the conduct from counsel's perspective at the time[,]'" Harrington v. Richter, ___ U.S. ___, 131 S.Ct. 770, 789, 178 L.Ed.2d 624 (2011) (quoting Strickland, at 689, 104 S.Ct. 2052), and fails to prove, pursuant to Strickland, that appellate counsel's performance was unreasonable.
Appellant also attacks trial counsel's effectiveness, which we will view as an assertion of appellate counsel's ineffectiveness for deficiently litigating this allegation. On direct appeal, we considered and rejected appellant's claim that trial counsel's "investigation and presentation of mitigation evidence was insufficient." Fears, at 73. It is clear on the record that a claim of trial counsel's ineffectiveness for failing to explore mitigating circumstances was developed by appellate counsel at the hearing and was adequately briefed. See Appellant's Brief (direct appeal), at 32-59; see also N.T. PCRA Hearing, 6/27-28/00, at 112-19. This was not an instance where appellate counsel raised a non-record-based claim with little or no support. See Fears, at 73 (finding "this claim appears to be of arguable merit"; however, ultimately concluding trial counsel not ineffective). Thus, appellant has failed to prove appellate
Referring to his mental health mitigation claim proffer, see supra Part II.A, appellant claims he suffers from chronic mental impairments. Observing the Eighth Amendment prohibits execution of the mentally incompetent and mentally retarded,
Although the PCRA court did not directly address this issue, we need not remand for further consideration because we can resolve this claim on the existing record. See McGill, at 1026 (declining to remand when remand will be futile). We have previously held the Eighth Amendment does not prohibit execution of a mentally ill person because Atkins did not encompass that class of persons. See Commonwealth v. Baumhammers, 599 Pa. 1, 960 A.2d 59, 96-97 (2008) (quoting Commonwealth v. Faulkner, 528 Pa. 57, 595 A.2d 28, 38 (1991)). However, this case differs from Baumhammers, as the defendant there raised his Eighth Amendment claim on direct appeal, whereas appellant has raised his on collateral review. Recently, we explained "[t]he PCRA provides a mechanism for vindicating existing constitutional rights, and it also provides a mechanism for implementing new constitutional rules of retroactive application, no matter when the new rule is established." Commonwealth v. Robinson, 2013 Pa. Lexis 3265, at *65 (Pa. December 27, 2013) (citing 42 Pa.C.S. § 9545). In Robinson, we rejected the defendant's claim on collateral review that Atkins should be expanded to apply to brain-damaged individuals convicted of first degree murder, noting, "In general, the proper way to seek to secure innovations in constitutional law is upon direct review, not via the PCRA." Id. This is because the PCRA provides a means to obtain relief based on existing or newly-recognized constitutional rights, see 42 Pa.C.S. § 9543(a)(2)(i); id., § 9545(b)(1)(iii); however, the right must first exist for a petitioner to claim it as a basis for relief. Here, appellant seeks to have a new substantive constitutional rule declared, and then to have that rule applied to him retroactively. Therefore, his claim is not cognizable under the PCRA. Additionally, besides several citations to Atkins and a reference to evolving standards of decency, appellant fails to present any analysis as to why the Eighth Amendment prohibits execution of the chronically mentally ill. Accordingly, this claim is also waived for lack of development. See Walter, at 566 (citation omitted).
Appellant alleges his waiver of a penalty phase jury was not knowing, voluntary,
Even though we did not explicitly decide the Rule 620 claim, our conclusion that appellant's waiver of his penalty phase jury was knowing, intelligent, and voluntary negates relief; appellant is not entitled to relitigate this claim. Collins, at 570. Specifically, on direct appeal, we held trial "counsel was not ineffective for failing to object to a sufficient colloquy" when appellant waived his penalty phase jury. Fears, at 71. On direct appeal, appellate counsel adequately developed this claim at the hearing, and the claim was adequately briefed. See Appellant's Brief (on direct appeal), at 74-80; see also N.T. PCRA Hearing, 6/27-28/00, at 143-47. Notwithstanding the foregoing, we found:
Fears, at 70-71 (internal citations omitted). The trial court properly found appellant's waiver of a penalty phase jury was knowing, intelligent, and voluntary. Accordingly, appellate counsel was not ineffective in her litigation of this meritless claim.
Appellant argues the prosecutor, in his penalty phase closing argument, improperly stated appellant was "`a hunter, a predator[,]'" Appellant's Brief, at 89 (quoting N.T. Sentencing, 2/2/95, at 152-53), and "`there's no mitigation in this case.'" Id. (quoting N.T. Sentencing, 2/2/95, at 156). He submits trial counsel was ineffective in failing to object because "[t]he prosecutor's improper arguments bolstered the Commonwealth's troubled case, misdirected the jury, and unfairly influenced the jury's assessment of the evidence." Id., at 90 (emphasis added). The Commonwealth notes it may make logical inferences in arguments and contends, because the trial court was the fact-finder, we should presume the trial court disregarded any improper argument. The PCRA court found, because there was no jury, the judge is presumed to disregard any inadmissible statements. PCRA Court Opinion, 9/19/08, at 4-5 (citing Commonwealth v. Brown, 328 Pa.Super. 215, 476 A.2d 969, 971 (1984)).
As there was no jury at appellant's trial, appellant's claim is a non sequitur, suggesting "cut and paste" written advocacy. The trial court sentenced appellant, and "[i]t is presumed that a trial court, sitting as fact[-]finder, can and will disregard prejudicial evidence." Commonwealth v. Miller, 605 Pa. 1, 987 A.2d 638, 670 (2009) (citations omitted). Further, to prevail on a prosecutorial misconduct claim, appellant must show the prosecutor's actions had the unavoidable effect of undermining the fact-finder's neutrality so as to preclude a true verdict. Commonwealth v. Kennedy, 598 Pa. 621, 959 A.2d 916, 923-24 (2008) (citation omitted). Here, appellant develops no such argument. Thus, this claim fails for lack of development. See Walter, at 566 (citation omitted). Further, because appellant fails to show this alleged misconduct improperly influenced the trial court and denied him a fair trial, he cannot prove prejudice. Accordingly, the PCRA court properly concluded relief is unwarranted, and appellate counsel was not ineffective in failing to raise a meritless claim of trial counsel's ineffectiveness.
Appellant was sentenced based on the aggravating circumstance that he "committed a killing while in the perpetration of a felony." 42 Pa.C.S. § 9711(d)(6). He alleges counsel was ineffective for not challenging the constitutionality of this aggravator, because it fails to genuinely narrow those eligible for the death penalty. See Zant v. Stephens, 462 U.S. 862, 877, 103 S.Ct. 2733, 77 L.Ed.2d 235 (1983). He contends he merely committed "IDSI gone awry[,]" and claims someone who plans a murder would be more blameworthy. Appellant's Brief, at 96. The Commonwealth responds that we have previously held this aggravator is constitutional. This claim was raised on direct appeal; however, it was dismissed without prejudice. Fears, at 71. On PCRA review, the PCRA court noted a statute is presumed constitutional, and it is constitutional to impose the death penalty for a murder committed in the
It is well settled that 42 Pa.C.S. § 9711(d)(6)'s aggravating circumstance is constitutional. See Commonwealth v. O'Shea, 523 Pa. 384, 567 A.2d 1023, 1035 (1989) (citations omitted) ("[T]he death penalty may constitutionally be imposed for a murder of the first degree that is committed while in the perpetration of a felony."). Accordingly, the PCRA court did not err in rejecting appellant's claim, and appellate counsel was not ineffective in failing to raise the same.
The trial court, in its sentencing decision, considered appellant's pre-sentence report, which noted the victim's mother was too upset to speak with the pre-sentence investigator, and another of appellant's victims had to undergo months of counseling.
On direct appeal, appellant did not argue these statements were improper victim impact evidence; he merely argued trial counsel was ineffective for introducing prejudicial evidence. Thus, appellant raises a new, distinct claim, and the PCRA court erred in finding this claim previously litigated. However, no remand is warranted because appellant is not entitled to relief. See McGill, at 1026. The trial court did not consider extraneous or improper information contained in the pre-sentence report in fashioning its sentence. See Trial Court Opinion, 6/4/02, at 14-15. Additionally, appellant cannot prove prejudice because "[i]t is presumed that a trial court, sitting as fact[-]finder, can and will disregard prejudicial evidence." Miller, at 670 (citations omitted). Although the trial court relied on the pre-sentence report in its sentencing decision, appellant fails to prove the trial court relied on any of the improper victim impact evidence. Accordingly, appellate counsel was not ineffective in failing to raise a meritless claim of trial counsel's ineffectiveness, and this claim fails.
On direct appeal, appellant argued Pennsylvania law prohibits defendants from pleading guilty to first degree murder. We have stated in dicta that Pennsylvania law prohibits a guilty plea to first degree murder, but we have also upheld convictions predicated on guilty pleas to first degree murder.
Appellant argues this interpretation of Pennsylvania law was novel and applied to him without warning, in violation of his Eighth Amendment and due process rights. The Commonwealth contends this claim is waived because appellant never filed a reargument application and frivolous because we have held Fears created no new law. The PCRA court found Pennsylvania's death penalty statute permits guilty pleas to first degree murder, and Pa.R.Crim.P. 802 permits a guilty plea without a degree of guilt hearing. Thus, the court concluded appellant's guilty plea was permissible.
As the PCRA court correctly noted, we did not create new law on direct appeal. We have held "[o]ur holding in Fears ... rests on the more solid jurisprudential foundation of our death penalty statute,... Pennsylvania Rule of Criminal Procedure 802, and several instances where our court had affirmed the judgments of sentence where defendants entered guilty pleas to first-degree murder charges." Commonwealth v. Singley, 582 Pa. 5, 868 A.2d 403, 410 (2005) (citations omitted). Appellant does not mention Singley, much less develop any argument as to why its holding was incorrect. Because we created no new law on direct appeal, this claim is meritless.
Appellant was sentenced to death in 1995, at which time Pennsylvania's death penalty statute required this Court to determine whether a death sentence was "excessive or disproportionate to the penalty imposed in similar cases." 42 Pa.C.S. § 9711(h)(3)(iii) (repealed 1997).
While the PCRA court noted we referred to the proportionality review statute, we only referred to § 9711(h)(3)(i)-(ii), which never included proportionality review. See Fears, at 74. Further, we never referred to, or discussed, proportionality review on direct appeal. Accordingly, the PCRA court's finding that we conducted proportionality review is not supported by the record.
Appellant's preferred remedy of a new penalty phase is not viable. Proportionality review was an appellate process, not part of sentencing. See Commonwealth v. Chester, 557 Pa. 358, 733 A.2d 1242, 1258 (1999) (noting proportionality review is appellate process), abrogated on other grounds by Commonwealth v. Grant, 572 Pa. 48, 813 A.2d 726 (2002). Because the
To prove a due process violation, appellant must demonstrate he was prejudiced by the lack of proportionality review. See Taylor v. Horn, 504 F.3d 416, 449 (3d Cir.2007) (quoting Smith v. Horn, 120 F.3d 400, 416 (3d Cir.1997)) ("[W]hen considering whether an error under state law implicates due process, `we require more than that the defendant simply be prejudiced.... The standard requires that the defendant be prejudiced in a very particular way.'"); see also In re Lokuta, 608 Pa. 223, 11 A.3d 427, 439 (2011) (citing Commonwealth v. Brado, 470 Pa. 306, 368 A.2d 643, 645 (1977)) (rejecting due process claim because appellant failed to prove prejudice). Appellant argues, had he received proportionality review, we would have found his sentence disproportionate because he was sentenced "despite his confession, guilty plea, waiver of jury, and a finding of mitigation by the trial court, and despite the fact the Commonwealth presented evidence of only a single invalid aggravating circumstance." Appellant's Brief, at 94. He admits proportionality review involved the comparison of the facts of his case against similar death-eligible cases, but he does not cite any similar case to show his sentence was disproportionate, nor further explore the facts of his own case. Accordingly, appellant's prejudice argument fails for lack of development. See Walter, at 566 (citation omitted). Even if this claim was developed, he would not be entitled to relief because he fails to prove prejudice.
Appellant argues he was entitled to an evidentiary hearing "on those claims where there is a dispute of fact and where the PCRA Court denied a hearing." Appellant's Brief, at 11. A PCRA court has discretion to dismiss a petition if it is satisfied there are no genuine issues concerning any material fact or any other legitimate purposes for an evidentiary hearing. Washington, at 617, 104 S.Ct. 2052 (quoting Pa.R.Crim.P. 909(B)(2)). Here, appellant fails to present any material issues of fact warranting an evidentiary hearing.
Appellant argues the cumulative prejudicial effect of the errors he alleged entitles him to relief. The Commonwealth responds that no amount of failed claims may collectively attain merit. The PCRA court rejected this argument, as none of appellant's claims had merit.
"[I]f multiple instances of deficient performance are found, the assessment of prejudice properly may be premised upon
As appellant has failed to establish any of his claims entitle him to a new guilt phase or penalty phase, we affirm the PCRA court's order. The Prothonotary of this Court is directed to transmit the complete record of this case to the Governor of Pennsylvania. See 42 Pa.C.S. § 9711(i).
The order of the PCRA court is affirmed.
Jurisdiction relinquished.
Justice STEVENS did not participate in the consideration or decision of this case.
Chief Justice CASTILLE, Justices BAER, TODD and McCAFFERY join the opinion.
Chief Justice CASTILLE files a concurring opinion.
Justice SAYLOR files a dissenting opinion.
Chief Justice CASTILLE.
I join the Majority Opinion. I write separately to paint a fuller picture as to why I conclude that the Majority properly denies relief on appellant's claims in his first petition under the Post Conviction Relief Act ("PCRA"), 42 Pa.C.S. §§ 9541-9546.
To the extent appellant's current claims depend upon a finding that counsel was ineffective on direct appeal, my own examination of the direct appeal record convinces me that appellant is not entitled to a remand for an evidentiary hearing. Two examples suffice to make my point. I turn first to appellant's claim that trial counsel was ineffective in failing to present a diminished capacity defense. The Majority correctly observes that appellate counsel raised this claim on direct appeal and developed expert testimony in support of the claim. What is not fully or adequately conveyed by either this Court's opinion on direct appeal or today's Majority Opinion is the comprehensiveness of appellate counsel's presentation of this claim.
Furthermore, also during the evidentiary hearing, direct appeal counsel presented expert testimony in support of a diminished capacity theory via Dr. Ralph Tarter, Ph.D., who specialized in clinical psychology and neuropsychology. Dr. Tarter conducted neuropsychological testing of appellant, reviewed background records provided by appellate counsel (which coincidentally were not obtained by trial counsel, see N.T., 6/27-28/2000, at 109), and reviewed the trial transcripts and police reports. Dr. Tarter testified to possible mitigating circumstances, but, more importantly for purposes of the instant claim, unequivocally opined that appellant was acting under diminished capacity at the time of the murder. See id. at 225 ("Based upon everything that I said this morning, I think quite strongly that the circumstances around that event, Mr. Fears decompensated, was psychotic and he certainly was functioning under extreme diminished capacity. I am sure he had no capacity at that point to clearly link behavior and intent to consequences.").
It is true that direct appeal counsel ultimately tied her claim of trial counsel's ineffectiveness for failing to explore evidence in support of third-degree murder, i.e., diminished capacity, to the overarching theory that trial counsel should never have advised appellant to plead guilty to first-degree murder. But, the fact remains that a claim of trial counsel ineffectiveness for failing to explore a diminished capacity defense was developed by appellate
Second, regarding appellant's claim that his mental health impairments prevented him from entering a knowing, voluntary, and intelligent guilty plea and waiver of a jury for purposes of the penalty phase, a more thorough review of direct appeal counsel's performance likewise sheds important light. The Majority determines that appellant cannot demonstrate that he was prejudiced by direct appeal counsel's presentation of this claim. The Majority bases its conclusion on the fact that "appellate counsel posited 12 factors to be considered" by this Court on direct appeal and provided a list of trial counsel's alleged deficiencies. See Majority Op. at 806-07.
I would supplement this analysis by noting that, in the Reply Brief of Appellant filed on direct appeal, counsel addressed the prospect that this Court would decide that a totality of circumstances review was appropriate to decide appellant's challenge to the voluntariness of his guilty plea (the course the Court in fact ultimately followed). Counsel indeed posited twelve factors that should be considered in conducting such an analysis. As the Majority notes, eight of the enumerated factors specifically focused on trial counsel's performance. These were the eight factors:
See Reply Brief of Appellant (on direct appeal), at 7-8. After providing this list of trial counsel's deficiencies respecting the plea, direct appeal counsel pointedly concluded that, "A thorough and unvarnished analysis of the totality of the circumstances in this case should make this Court shudder at the cavalier approach to the death penalty taken by the lower court, the prosecution, and most unfortunately,
Mr. Justice Saylor's Dissenting Opinion notes that trial counsel's conduct was "troubling" as demonstrated by counsel's apparent decision to take the path of least resistance at various phases of the proceedings and the related observation that the Commonwealth has an obligation to provide an indigent capital defendant with
The alleged deficiencies of trial counsel seized upon by federal counsel here did not escape the notice of direct appeal counsel. Notably, in the direct appeal brief, counsel argued that trial counsel had abdicated his responsibility to meaningfully test the prosecution's case by advising appellant to plead guilty to first-degree murder; allowing a waiver of appellant's right to a sentencing jury while failing to fully inform appellant of the ramifications; conducting no independent investigation into appellant's background for sentencing purposes; and moving into evidence the entire pre-sentence investigation report without limiting consideration of the highly prejudicial and inadmissible portions of the report. Indeed, counsel's direct appeal brief is not unlike the Dissenting Opinion, as appellate counsel pointedly asserted, "[i]n the most critical areas of this case, counsel acquiesced to the prosecution's legal theories.... Counsel's total capitulation caused him to take the bad with the good." See Brief of Appellant (on direct appeal), at 97-98.
Furthermore, appellate counsel also pointed out that in 1998 (after appellant's trial), Allegheny County was sued by indigent criminal defendants, alleging that severe understaffing, excessive caseloads, inadequate policies and procedures and other systemic deficiencies made it unlikely that the indigent could receive adequate Sixth Amendment representation. The lawsuit resulted in a settlement agreement, which was discussed by appellate counsel in her brief and was also the subject of extensive questioning of trial counsel during the evidentiary hearing. See id. at 98-99.
The gravamen of appellant's complaints concerning direct appeal counsel have more to do with his disagreement with the Court's decision on direct appeal, rather than with the actual performance of direct appeal counsel in forwarding those claims. On the Sixth Amendment claims as so forwarded on this appeal, I join the Majority Opinion.
Justice SAYLOR.
For purposes of the summary dismissal of Appellant's post-conviction claims, we are required to accept, as fact, the averments in trial counsel's declaration that: he lacked any training or experience whatsoever in capital litigation; he had no investigative resources available to him; and his caseload as a public defender interfered with his ability to prepare a defense, as reflected, inter alia, in his speaking with the government witness he selected to present in the defense penalty case for "a single time for less than ten minutes before calling her as a witness at [Appellant's] sentencing." Affidavit/Declaration of Trial Counsel at 1-3.
Consistent with the majority disposition of claims of deficient stewardship on direct appeal, the majority's present response to this disturbing state of affairs appears to accept that trial counsel made the best of a problematic situation. See, e.g., Majority Opinion, at 811 ("Because the Public Defender's Office lacked funds for an expert, and trial counsel believed Dr. Martone would provide helpful expert testimony, we found he acted reasonably."). The State, however, has an obligation to provide an indigent capital defendant with essential resources necessary to his defense. Whether the responsibility for underrepresentation lies directly at the feet of the State or is attributable to errors or omissions on the part of the attorney the State has provided, the practical result to the indigent capital defendant will be the same: he will have been denied his constitutional right to an adequate defense.
The averments of Appellant's PCRA petition and the accompanying proffers raise very serious questions in this regard,
18 Pa.C.S. § 3123(a)(1)-(2), (7).
Commonwealth v. Allshouse, 604 Pa. 61, 985 A.2d 847, 861 (2009) (citing Carmell v. Texas, 529 U.S. 513, 522, 120 S.Ct. 1620, 146 L.Ed.2d 577 (2000)), vacated on other grounds, ___ U.S. ___, 131 S.Ct. 1597, 1598, 179 L.Ed.2d 495 (2011) (per curiam). The repeal of proportionality review did not alter the definition or maximum punishment for first degree murder. It also did not in any way alter the rules of evidence. Accordingly, appellant's ex post facto argument fails.
Commonwealth v. Fears, 575 Pa. 281, 836 A.2d 52, 64 n. 11 (2003) (record citation omitted). The relative brevity of our analysis, of course, does not reflect upon the performance of counsel in raising and developing the issue.