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Constitutional Law--effective assistance of counsel-_strategic decision after sufficient
investigation
The trial court erred in a first-degree murder case by determining that defendant did not
receive effective assistance of counsel at his second capital sentencing proceeding based on the
fact that defense counsel decided not to pursue evidence of defendant's organic brain damage
through neurological testing but instead pursued a defense predicated on other grounds, and
defendant's death sentence is reinstated, because: (1) defense counsel cannot be said to have
acquired only rudimentary knowledge of defendant's history from a narrow set of sources when
defense counsel interviewed defendant and his siblings and obtained defendant's school records,
hospital records, correctional systems records, and psychological reports; (2) defense counsel had
the benefit of watching the first trial unfold and seeing what worked and what did not,
specifically noting that a defense which took defendant's head injury into account had been
unsuccessful; and (3) defense counsel fully investigated defendant's social and medical history
and provided that information to two experts, neither expert indicated to counsel a necessity for
neurological testing, and counsel reasonably relied on their experts as they made the difficult but
necessary choices as to which theory of defense to pursue.
Justice NEWBY did not participate in the consideration or decision of this case.
On writ of certiorari pursuant to N.C.G.S. § 7A-32(b) to
review an order entered 29 October 2003 by Judge Lindsay R.
Davis, Jr. in Superior Court, Forsyth County, granting
defendant's motion for appropriate relief with regard to one
claim of ineffective assistance of counsel. Heard in the Supreme
Court 13 September 2004.
Roy Cooper, Attorney General, by Val.rie B. Spalding,
Special Deputy Attorney General, for the State-appellant.
Garland B. Baker and Don Willey for defendant-appellee.
William L. Osteen, Jr. for the North Carolina Academy of
Trial Lawyers, amicus curiae.
Charles G. Monnett III and Associates, by Charles G. Monnett
III, and Jeffrey B. Welty for the Brain Injury Association
of North Carolina, amicus curiae.
EDMUNDS, Justice. In this case, we review the trial court's determination that
defendant did not receive effective assistance of counsel at his
second capital sentencing proceeding. Because we find that
defendant's trial counsel provided adequate assistance under the
applicable standards established by the United States Supreme
Court, we reverse the trial court and order the reinstatement of
defendant's death sentence.
Defendant Danny Dean Frogge was tried twice for the murders
of his father and stepmother. At the first trial, evidence was
presented indicating that defendant was living with his father
and his bedridden stepmother. On the night of 4 November 1994,
defendant stabbed his father approximately ten times, then moved
to his stepmother's bed and stabbed her approximately eleven
times. Defendant was convicted of two counts of first-degree
murder on the basis of malice, premeditation, and deliberation
and under the felony murder rule. Details of the offenses are
set out in State v. Frogge, 345 N.C. 614, 481 S.E.2d 278 (1997)
(Frogge I).
At the sentencing proceeding in Frogge I, defendant
testified that he had been drinking heavily the night of the
killings. He claimed that he knifed his father only after his
father hit him with an iron bar. He further testified that he
must have stabbed his stepmother but had no recollection of doing
so. The sentencing jury found two statutory mitigating
circumstances: that defendant was under the influence of a mental
or emotional disturbance at the time of the offense, N.C.G.S. §
15A-2000(f)(2) (2003); and that defendant suffered from animpaired capacity to conform his conduct to the requirements of
the law, N.C.G.S. § 15A-2000(f)(6). The jury recommended a
sentence of life imprisonment for the murder of defendant's
father and a sentence of death for the murder of defendant's
stepmother.
This Court reversed defendant's conviction because
inadmissible hearsay had been introduced at the trial. Frogge I,
345 N.C. 614, 481 S.E.2d 278. Prior to the retrial, defendant
additionally was indicted for robbery with a dangerous weapon
based on allegations that he had stolen his father's wallet the
night of the murders. Upon retrial, defendant again was
convicted of two counts of first-degree murder. He was also
convicted of robbery with a dangerous weapon. Because defendant
had been sentenced to life imprisonment at the first trial for
the murder of his father, the State sought the death penalty only
for the murder of defendant's stepmother. The jury at the
retrial found four aggravating circumstances, no statutory
mitigating circumstances, and six out of ten submitted
nonstatutory mitigating circumstances. The jury recommended a
sentence of death for the murder of defendant's stepmother, and
the trial court entered judgment accordingly. Defendant
appealed, and this Court found no error. State v. Frogge, 351
N.C. 576, 528 S.E.2d 893 (2000) (Frogge II). The United States
Supreme Court denied defendant's petition for writ of certiorari.
Frogge v. North Carolina, 531 U.S. 994, 148 L. Ed. 2d 459 (2000).
Defendant thereafter filed a motion for appropriate relief
(MAR). The trial court denied several of defendant's claims and,on 2 August 2002, conducted an evidentiary hearing on the
remainder. On 29 October 2003, the trial court entered an order
denying defendant's remaining claims, except one. As to that
claim, the trial court determined that defendant had not received
effective assistance of counsel pursuant to Strickland v.
Washington, 466 U.S. 668, 80 L. Ed. 2d 674 (1984), and ordered a
new sentencing hearing. On 1 April 2004, this Court allowed the
State's petition for writ of certiorari to review the order of
the trial court.
The record reveals that defendant was represented by lead
counsel Danny Ferguson and associate counsel David Freedman at
both Frogge I and Frogge II. Before the trial of Frogge I, they
engaged investigator Homer Young. In preparing for that trial,
investigator Young interviewed defendant's family members and
submitted reports of those interviews to defense counsel. These
reports included information that in April 1990 defendant had
been beaten and suffered a significant head injury. At
defendant's first sentencing proceeding, his sisters testified to
changes they observed in defendant's personality after the
beating.
Defense counsel retained Dr. Gary Hoover, a clinical
psychologist, as an expert witness for Frogge I. During the
sentencing proceeding, Dr. Hoover testified that he received
training through the Reitan Neuropsychological Lab pertaining to
neuropsychological assessment and thus possessed the background
and training that has to do with the diagnosis of brain behavior
relationships vis-a-vis head injuries. However, Dr. Hoover alsoacknowledged that he was neither a neurologist nor a medical
doctor and was not qualified to conduct a neurological
assessment. Although Dr. Hoover had conducted neuropsychological
evaluations on patients referred to him by psychologists and
neurologists for assessment of head injuries, he did not conduct
neurological or neuropsychological testing on defendant.
Instead, Dr. Hoover carried out a forensic psychological
evaluation in which he reviewed defendant's psychological records
that resulted from his incarceration for murder in the 1980s;
interviewed defendant in person three times over a period of
several months; reviewed defendant's school records, hospital
records, and correctional system records; reviewed the
investigative reports of the instant murders prepared by police
and by investigator Young; and interviewed defendant's family
members, friends, and acquaintances.
Dr. Hoover's forensic evaluation also included consideration
of Bowman Gray/Baptist Hospital Medical Center's records of
defendant's 1990 treatment for his head injury. These records
stated that defendant suffered from postconcussive disorder.
Relying in part on the known correlation between residual
behavior difficulties and head injuries, Dr. Hoover testified
that while defendant presented no current evidence of a head
injury, the 1990 trauma left defendant with residual mood
difficulties. The injury also affected defendant's cognitive
functions and intellectual skills to the extent that, over time,
he suffered episodic seizures, slurred speech, disorientation,
increased irritability, episodes of paranoia, and an increasinglywithdrawn personality. In Dr. Hoover's expert opinion, defendant
suffered from [d]elirium due to multiple etiologies, substance
intoxication delirium, alcohol and mood disorder due to
postconcussive disorder. Specifically, Dr. Hoover was of the
belief that the combination of defendant's heavy consumption of
alcohol on the day of the murders and the mood disorder resulting
from defendant's 1990 head injury were responsible for the
explosion into a rage that occurred when [defendant] was provoked
by his father.
The prosecutor cross-examined Dr. Hoover vigorously as to
the validity of his opinion that defendant was suffering from
delirium when he killed his father and stepmother. Thereafter,
the State presented Stephen I. Kramer, M.D., a neuropsychiatrist,
as a rebuttal expert. Dr. Kramer reviewed Dr. Hoover's
preliminary forensic psychological examination of defendant,
defendant's Department of Correction records, a State Bureau of
Investigation report on the crime scene, medical records related
to defendant's 1990 head injury, and the results of a 1990 CAT
scan of defendant's brain; however, he did not interview
defendant or his family before testifying.
Dr. Kramer was critical of Dr. Hoover's analysis of
defendant's condition. He testified that Dr. Hoover's report
contained no data to support Dr. Hoover's conclusions and that
the evidence argued against defendant's being delirious at the
time of the murders. In Dr. Kramer's expert opinion, Dr. Hoover
violated the rules of using the [Diagnostic and Statistical
Manual of Mental Disorders] to make a psychiatric diagnosis andalso misapplied the criteria sets of the individual disorders
listed. According to Dr. Kramer, defendant's 1990 head injury
could be characterized as mild to moderate, and defendant's
prognosis was good upon his release from the hospital after
treatment for that injury. Therefore, Dr. Kramer would expect
defendant to have recovered fully from his head injury after
discharge.
During the State's redirect examination of Dr. Kramer,
he was asked about Dr. Hoover's forensic psychological evaluation
of defendant. The following exchange then occurred:
Q. And are you aware of any data
reviewed by Dr. Hoover or yourself that would
suggest that residual symptoms of a head
injury were involved in the stabbings on
November 4th or 5th?
A. I've seen none.
Q. And would you form any or ask any
psychological testing to be conducted to
determine whether or not a head injury would
be a contributing factor?
A. Well, it can be done, yes.
Q. And was it done in this case?
A. No, it was not.
Q. Are you aware of any justification
for that not being done?
A. None whatsoever.
Q. And is that the kind of thing you
would expect to be done in a forensic
evaluation?
A. That's correct.
As noted above, in Frogge I this Court reversed
defendant's conviction. On retrial in Frogge II, defendant againwas convicted of two counts of first-degree murder and a new
capital sentencing proceeding was conducted for the murder of
defendant's stepmother. Defendant's sisters recounted the
testimony they had given at the first trial as to the nature,
severity, and aftermath of defendant's 1990 head injury.
Although these family members were not presented as experts, one
of defendant's sisters was a nurse. She advised the jury that
defendant suffered a blood clot on his brain due to the head
injury. She added that during his resulting hospitalization,
defendant had to be restrained, did not know who or where he was,
and could barely recognize members of his family. In addition,
she testified that defendant suffered permanent effects from the
head injury, such as aphasia, diminished memory, and signs of
paranoia. Although defendant recovered somewhat, his behavior
changed and he seemed withdrawn and paranoid.
In preparation for the trial of Frogge II, defense
counsel replaced Dr. Hoover with Dr. William Tyson as defendant's
expert psychologist. Dr. Tyson testified that at the time of the
homicides, defendant suffered from a personality disorder . . .
defined as a pervasive limitation to adult functioning that had
been aggravated by long term substance abuse and dependence. As
a result of this condition, it was most likely [defendant] would
have been acting on impulse with limited ability to reason.
Although the two statutory mitigating circumstances
found by the jury in Frogge I were submitted to the sentencing
jury in the Frogge II trial, the Frogge II jury did not find
either one. The catchall mitigating circumstance, N.C.G.S. §15A-2000(f)(9) (2003), was also submitted but not found.
However, the Frogge II jury found six out of ten submitted
nonstatutory mitigating circumstances. That jury also found four
aggravating circumstances: that defendant had previously been
convicted of a violent felony, N.C.G.S. § 15A-2000(e)(3) (2003);
that the murder was committed during the course of an armed
robbery, id. § 15A-2000(e)(5) (2003); that the murder was
especially heinous, atrocious, or cruel, id. § 15A-2000(e)(9)
(2003); and that the murder was part of a course of conduct in
which defendant engaged and which included the commission by
defendant of other crimes of violence against another person or
persons, id. § 15A-2000(e)(11) (2003). Finding that the
mitigating circumstances did not outweigh the aggravating
circumstances, the jury recommended a sentence of death.
New counsel were appointed to represent defendant for
his post-conviction proceedings. Defendant filed a MAR with the
trial court in which he alleged, among other things, ineffective
assistance of trial counsel (IAC). Specifically, he contended
that trial counsel failed to investigate and offer evidence that,
at the time of the murders, defendant was suffering permanent
residual effects of his 1990 head injury. Defendant claimed that
if trial counsel had arranged for neurological testing to
determine the extent of damage resulting from his 1990 injury,
they would have been led to a qualified expert who could testify
that defendant's capacity to appreciate the criminality of his
conduct and to conform his conduct to the requirements of the law
was impaired as a result of defendant's head injury and hisconsumption of alcohol. Defendant argued that if such mitigating
evidence had been pursued, there was a reasonable probability
that the jury would have returned a different sentencing
recommendation.
The trial court conducted an evidentiary hearing as to
the issue of ineffective assistance of counsel. Defendant
presented two experts to support his claim. The first was Dr.
Claudia Coleman, who testified that she had earned both a
Master's Degree and a Ph.D. from the University of Mississippi in
clinical psychology. After detailing her career as a
practitioner and a teacher, Dr. Coleman was accepted by the trial
court as an expert in the fields of forensic psychology and
neuropsychology. Dr. Coleman testified that she had reviewed a
presentence diagnostic report prepared prior to defendant's
sentencing in 1985 for second-degree murder, affidavits prepared
by members of defendant's family, and the testimony of Drs.
Hoover and Tyson. She also had met with defendant and
administered such tests as the Wechsler Adult Intelligence Scale,
the Wisconsin Card Sort Test, and the Stroop Color and Word Test.
These tests measured defendant's various mental and intellectual
qualities, including memory function, new learning, visual
skills, verbal fluency, and brain trauma. She diagnosed
defendant as having a cognitive disorder, not otherwise
specified, that had existed since eighteen to twenty-four months
after his 1990 head injury. She also separately diagnosed
defendant as suffering from a personality change combining both
paranoid and aggressive features, resulting from his head injury,and also as exhibiting polysubstance dependence. Dr. Coleman
testified that the diagnosis of a cognitive disorder could be
substantiated through neuropsychological testing, but she was
unable to predict whether the type of brain impairment she
observed in defendant would be reflected in an MRI scan. In Dr.
Coleman's expert opinion, defendant suffered from a diminished
mental capacity such that he could not fully weigh and understand
the consequences of his actions at the time he killed his father
and stepmother. She also was of the opinion that defendant
committed the murders while under the influence of an emotional
or mental disturbance.
Defendant's second MAR expert was Dr. Thomas Hyde. Dr.
Hyde had completed a joint M.D./Ph.D. program at the University
of Pennsylvania. His Ph.D. was awarded in anatomy with a
specialty in neuroscience. At the time of the hearing, he was
board certified in general neurology and was both teaching and
practicing behavioral neurology. He was accepted by the trial
court as an expert in the fields of general medicine, neurology,
and behavioral neurology. Before the hearing, Dr. Hyde
interviewed and examined defendant. He also reviewed Dr.
Coleman's report, some affidavits, records from defendant's 1990
hospitalization, and a portion of the transcript of Frogge I. He
conceded that he had not reviewed the testimony of Dr. Hoover and
had given only cursory review to the testimony of Drs. Tyson and
Kramer.
Dr. Hyde was of the opinion that defendant had organic
or structural brain damage that most likely resulted from his1990 head injury. Although an MRI scan of defendant conducted on
11 February 2002 showed no anomalies, Dr. Hyde testified that
many neurological disorders are not reflected on such scans and
that brain damage can be diagnosed even when an MRI fails to
reveal any abnormalities. When asked, Dr. Hyde recommended
neuropsychological testing for any individual who has suffered a
closed head injury. Ideally, this testing should be conducted by
a neurologist, a neurosurgeon, a neuropsychologist, or a
psychologist with training in traumatic brain injury. Dr. Hyde
added that, speaking in general terms, defendant should have
received such an examination. It was Dr. Hyde's professional
opinion that, at the time of the 1994 murders, defendant suffered
from a diminished mental capacity that prevented him from fully
weighing and understanding the consequences of his actions. In
addition, Dr. Hyde believed defendant was then under the
influence of an emotional or mental disturbance.
Defendant's trial counsel also testified at the MAR
hearing. Lead counsel Ferguson testified that he had tried
approximately seven capital cases in Tennessee and acted as lead
counsel on eight or nine capital cases in North Carolina.
Associate defense counsel Freedman testified that he practices
mainly criminal law and is a board certified specialist in that
field.
Although the jury in Frogge I found the section
15A-2000 (f)(2) and (f)(6) mitigating circumstances, defense
counsel testified that they had been dissatisfied with Dr.
Hoover's performance in that trial. They perceived that he hadfared poorly under the State's cross-examination, and attorney
Freedman added, I believe [Dr. Hoover] testified to some
physiological damage, which was one of the reasons he was not
found to be a credible witness. In addition, defense counsel
felt that the testimony of the State's rebuttal expert had been
damaging. According to attorney Freedman, I felt that Doctor
[K]ramer had better -- had gotten the better of [Dr. Hoover] at
the trial. As a result, defense counsel decided to retain Dr.
Tyson as an expert psychologist for defendant's retrial.
Attorney Freedman had worked with Dr. Tyson before defendant's
retrial and held a favorable opinion of his abilities.
Attorney Freedman testified that
I knew one of the reasons Doctor [K]ramer had
gotten the better of [Dr. Hoover] was because
[K]ramer had reviewed . . . the State's file;
so I wanted to try and short-circuit that,
and I provided everything I could to Doctor
Tyson so he could review everything and be
prepared on that.
Accordingly, while preparing for defendant's second trial,
defense counsel provided Dr. Tyson with their entire discovery
file; advised him as to defendant's head injury, the resulting
perceived changes in his personality, and the significance that
family members placed on the injury; and made available to him
defendant's medical records. The material supplied to Dr. Tyson
also included the testimony given at Frogge I by Drs. Hoover and
Kramer, and attorney Freedman believed that Dr. Tyson testified
in Frogge II that he had reviewed this testimony. Even
possessing this information, Dr. Tyson advised attorney Ferguson
that he would not change his diagnosis. In deciding prior to the trial of Frogge II whether to
pursue evidence of defendant's head injury as potentially
mitigating evidence, defense counsel testified that they depended
on Dr. Tyson's expertise. Although attorney Ferguson
acknowledged during the MAR hearing that he knew Dr. Tyson was
not a neurologist or neuropsychologist and could not render
neurological opinions, he added, I think he had the ability to
tell me that if it was significant where we should go next. And
he didn't indicate that there was any significance, that [the
head injury] was significant. So, I relied on what he said.
When cross-examined, attorney Ferguson reaffirmed that he
depended on Dr. Tyson's informed opinion:
Q. Now, I think you made it clear this
morning, I just want to be sure, that you
advised Doctor Tyson, or discussed with him
more than once, the concerns of the family
members about the personality changes they
observed in the Defendant after the beating
in 1990, is that correct?
A. Yes.
Q. And you asked him whether that was
significant, in his opinion?
A. Yes.
Q. And he was firm on saying no, it
would not change my diagnosis, was he not?
A. Yes.
Q. And you felt entitled to rely on the
superior knowledge of an expert?
A. That's correct.
Attorney Ferguson reemphasized the point during a similar
exchange later in the hearing: Q. Doctor Tyson did not specifically
focus on the head injury, did he?
A. No, and as I've said earlier, he was
told about it, provided the information, and
did not deem it significant.
Q. Yes, sir. And yet he made that
decision without [the] benefit of any type of
neurological or neuropsychological testing?
A. Yes, sir, I assume that he had the -
- at least the qualifications to make that
decision, whether neurological testing might
be needed; and he was much more qualified to
make that decision than I was, and [w]e
relied on his opinion.
All this testimony indicates that defense counsel relied both on
Dr. Tyson's diagnosis of defendant's condition and on his
informed opinion that additional testing or experts were not
needed.
The trial court considered the evidence presented at
the MAR hearing and also reviewed the evidence presented at both
trials, including the sentencing proceedings. It then applied
the two-part test set out by the United States Supreme Court in
Strickland v. Washington to determine whether trial counsel had
provided effective assistance to defendant. 466 U.S. 668, 80 L.
Ed. 2d 674 (1984).
First, the defendant must show that counsel's
performance was deficient. This requires
showing that counsel made errors so serious
that counsel was not functioning as the
counsel guaranteed the defendant by the
Sixth Amendment. Second, the defendant must
show that the deficient performance
prejudiced the defense. This requires
showing that counsel's errors were so serious
as to deprive the defendant of a fair trial,
a trial whose result is reliable.
Id. at 687, 80 L. Ed. 2d at 693. This Court adopted the
Strickland test in State v. Braswell, 312 N.C. 553, 562-63, 324
S.E.2d 241, 248 (1985).
The United States Supreme Court considered Strickland
in the context of counsel's responsibility to investigate and
present mitigating evidence at a capital sentencing proceeding in
Wiggins v. Smith, 539 U.S. 510, 156 L. Ed. 2d 471 (2003). In
Wiggins, defense counsel elected to follow a strategy of
continuing to deny the defendant's direct involvement in the
murder in lieu of a strategy based on mitigation. Before making
this decision, counsel obtained from a psychologist a report that
revealed the defendant's IQ, his difficulty in coping with
difficult situations, and that he exhibited features of a
personality disorder. Id. at 523, 156 L. Ed. 2d at 486.
Defense counsel also obtained a copy of the defendant's
presentence investigation report, which included a single page
describing the defendant's personal history. This page spoke of
the defendant's misery as a youth and the time he spent in
foster care. Id. Finally, defense counsel had a copy of records
maintained by the Baltimore City Department of Social Services
(DSS) documenting the defendant's placements by that
organization. Id.
The Supreme Court determined that the decision by
Wiggins' counsel not to expand their investigation beyond these
records failed to meet either the professional standards
prevailing in Maryland at that time or the standards for capital
defense work set out by the American Bar Association. Id. at524-25, 156 L. Ed. 2d at 486. However, the Court took pains to
point out that it was not second-guessing counsel's decision to
pursue one strategy over another. [O]ur principal concern in
deciding whether [defense counsel] exercised 'reasonable
professional judgmen[t]' is not whether counsel should have
presented a mitigation case. Rather, we focus on whether the
investigation supporting counsel's decision not to introduce
mitigating evidence of Wiggins' background was itself
reasonable. Id. at 522-23, 156 L. Ed. 2d at 485-86 (citation
omitted). The Supreme Court then observed that counsel
abandoned their investigation of [the defendant's] background
after having acquired only rudimentary knowledge of his history
from a narrow set of sources, id. at 524, 156 L. Ed. 2d at 487;
that counsel's investigation failed to pursue information
contained in the DSS report, even though nothing in that material
suggested that a mitigation case would be counterproductive or
that additional investigation would be useless, id. at 525, 156
L. Ed. 2d at 487; that counsel's focus on the strategy of
contesting responsibility made them inattentive to other
potential mitigating evidence, id. at 526, 156 L. Ed. 2d at 487;
and that counsel ultimately did not follow their own announced
strategy of focusing exclusively on the defendant's direct
responsibility, id. at 526, 156 L. Ed. 2d at 488. Accordingly,
the Supreme Court held that defense counsel abandon[ed] their
investigation [of a possible mitigation strategy] at an
unreasonable juncture, making a fully informed decision withrespect to sentencing strategy impossible. Id. at 527-28, 156
L. Ed. 2d at 489.
In the case at bar, after reviewing the evidence, the
trial court found that
[defense c]ounsel knew of Frogge's head
injury, but did not investigate with the
assistance of expert consultation the
potential mitigation evidence of organic
brain damage and its effects on his ability
to control violent impulses. Counsel here
had the benefit of Dr. [K]ramer's criticism
of Dr. Hoo[v]er's testimony in the 1995 trial
-- the roadmap that post-conviction counsel
now say was available. While true that the
effects of Frogge's head injury include anti-
social behavior that could be damaging to his
case, trial counsel's failure to investigate
was not influenced by that circumstance.
Like trial counsel in Wiggins, Frogge's trial
counsel turned their focus to other concerns,
and were inattentive to the potential
mitigating evidence arising out of the head
injury. Frogge had the benefit of good
lawyers with experience in capital cases, but
Wiggins compels the conclusion that their
failure to pursue the evidence of organic
brain injury as has now been done in post-
conviction proceedings was objectively
unreasonable.
After determining that the performance of defendant's
trial counsel was deficient, the trial court then turned to the
question of whether defendant was prejudiced. The trial court
noted that Dr. Hoover's opinion of defendant's mental state at
the time of the murders included the effects of the 1990 head
injury while Dr. Tyson's opinion did not, but concluded that the
difference was insignificant because Dr. Hoover's direct and
cross-examination testimony revealed that he lacked the
expertise and results of testing required to reach his
conclusions. Accordingly, the trial court determined that[t]he question is distilled . . . to whether the lack of expert
testimony concerning the organic brain disorder in 1998
sufficiently undermines confidence that the jury would have
reached the same result whether or not that evidence was
presented. Concluding that, under the facts of this case,
defendant had established that confidence in the fairness of the
proceedings against him had been impaired, the trial court
ordered a new sentencing proceeding.
When considering rulings on motions for appropriate
relief, we review the trial court's order to determine whether
the findings of fact are supported by evidence, whether the
findings of fact support the conclusions of law, and whether the
conclusions of law support the order entered by the trial court.
State v. Stevens, 305 N.C. 712, 720, 291 S.E.2d 585, 591 (1982).
We begin with the trial court's finding that counsel's
performance was deficient. We undertake this inquiry mindful of
the admonitions in Strickland and Wiggins to review counsel's
decisions in light of the information available to them at the
time and not with the benefit of hindsight. Wiggins, 539 U.S. at
523, 156 L. Ed. 2d at 486; Strickland, 466 U.S. at 689, 80 L. Ed.
2d at 694. Accordingly, we observe that counsel had numerous
pertinent factors to consider as they decided their strategy for
defendant's second sentencing proceeding. First, defendant had
committed a murder prior to suffering the head injury. Second,
graphic lay evidence of defendant's 1990 head injury and its
sequelae had been presented through his sisters and others close
to him at the Frogge I trial and would be presented again. Third, at the Frogge I sentencing proceeding, Dr. Hoover had
presented an expert psychological opinion that took into account
both defendant's head injury and his background. The sentencing
jury, having heard that evidence, returned a capital verdict.
Fourth, Dr. Kramer criticized Dr. Hoover for failing to conduct
additional psychological testing that might determine whether
defendant's head injury was a contributing factor to the murders.
However, Dr. Kramer went on to state that, in his opinion, the
1990 injury was of mild to moderate severity and defendant's
prognosis on discharge was good, implying that the additional
psychological testing was unlikely to bear fruit. Dr. Kramer
did not indicate that in preparation for trial defendant should
have been tested for organic brain damage or neurological harm
resulting from the 1990 head injury. Fifth, defense counsel were
dissatisfied with Dr. Hoover's performance in Frogge I and
replaced him with Dr. Tyson, who had been an effective witness in
the past for attorney Freedman. When supplied with defendant's
medical and social histories and with transcripts of the
proceedings in Frogge I, Dr. Tyson stood by his opinion that
defendant suffered from a personality disorder and, at the time
of the murders, was acting on impulse with limited ability to
reason. In this context, we must now decide whether, under
Wiggins, the trial court properly concluded that defense
counsel's decision not to pursue evidence of organic brain damage
through neurological testing was objectively unreasonable and
undermined confidence in the verdict. The test in Wiggins is whether a strategic decision was
made after sufficient investigation, not whether that decision
was later proven to be correct. Unlike counsel in Wiggins, who
abandoned the idea of pursuing a defense based on mitigation
after reviewing only a psychological report, DSS records, and a
presentence investigation report, defense counsel here
interviewed defendant and his siblings and obtained defendant's
school records, hospital records, correctional systems records,
and psychological reports. Thus, defendant's counsel cannot be
said to have acquired only rudimentary knowledge of
[defendant's] history from a narrow set of sources. Wiggins,
539 U.S. at 524, 156 L. Ed. 2d at 487. Defendant's attorneys
also had the benefit of watching the first trial unfold and
seeing what worked and what did not. Specifically, a defense
which took defendant's head injury into account had been
unsuccessful. By the time defense counsel were preparing for
defendant's second trial, they had consulted two mental health
experts, Drs. Hoover and Tyson, both of whom had full access to
defendant, his family, and the pertinent medical records of
defendant's head injury, and neither of whom recommended
neurological testing.
In addition, defense counsel testified that they
depended on Dr. Tyson to advise them whether or not additional
testing of defendant was needed but that, after receiving all the
information from the first trial, Dr. Tyson stuck by his original
diagnosis of defendant. This testimony indicates that defensecounsel were prepared to seek such testing if they had adequate
reason to believe it was necessary or would be useful.
Although we have found no cases from this Court with
facts paralleling those presented here, cases from other
jurisdictions consistently have found no ineffective assistance
of counsel under analogous circumstances.
(See footnote 1)
Beginning with cases
from the United States Fourth Circuit, we see that in Tucker v.
Ozmint, the defendant received the death penalty at his first
trial. 350 F.3d 433 (4th Cir. 2003), cert. denied, ___ U.S. ___,
158 L. Ed. 2d 715 (2004). Thereafter, the South Carolina Supreme
Court reversed the defendant's sentence. At the resentencing
hearing, the defendant's forensic psychologist testified that the
defendant had been abused as a child and that while the defendant
understood the requirements of the law, he was unable to conform
his behavior to those standards. Id. at 437. In rebuttal, the
South Carolina prosecutors presented three expert witnesses,
including a forensic psychiatrist and a clinical psychologist.
The State's experts testified that the defendant's expert's
diagnosis constituted a mere description of behavior, not a
mental disease or defect. Id. at 437-38.
The defendant again was sentenced to death. He
thereafter claimed IAC during his capital sentencing proceeding
on the basis that his trial counsel unreasonably limited their
investigation into the defendant's childhood abuse and failed to
provide corroborating records to his expert. After observingthat the defendant's expert had prepared to testify by
interviewing the defendant several times, by considering the
deposition of the doctor who testified in the defendant's first
trial, and by reviewing the social history of the defendant
prepared by a licensed social worker, the Fourth Circuit held
that
[c]ounsel's performance in preparing
Tucker's mitigation case far surpassed the
inadequate performance described in Wiggins.
Counsel attended the previous trial, made
reasoned judgments about which witnesses to
call, and presented an expert psychologist
who gave the jury a full picture of Tucker's
disturbing social history. Although counsel
should conduct a reasonable investigation
into potential defenses, Strickland does not
impose a constitutional requirement that
counsel uncover every scrap of evidence that
could conceivably help their client.
Id. at 441-42 (quoting Green v. French, 143 F.3d 865, 892 (4th
Cir. 1998), cert. denied, 525 U.S. 1090, 142 L. Ed. 2d 698
(1999), abrogated on other grounds by Williams v. Taylor, 529
U.S. 362, 146 L. Ed. 2d 389 (2000)) (footnote omitted).
In United States v. Roane, the defendants were
convicted of multiple murders arising out of their drug-
trafficking operations. 378 F.3d 382 (4th Cir. 2004). Evidence
indicated that the IQ of one of the defendants was barely
sufficient to prevent him from being classified as ineligible for
the death penalty because of mental retardation. That defendant
claimed his defense counsel was ineffective for failing to assert
that IQ-score inflation may have boosted his score artificially.
However, the psychologist who conducted the test also stated that
he understood the implications of his findings and therefore haddouble-checked the result and consulted with colleagues. Id. at
409. Although the opinion does not reflect whether the
psychologist testified as a witness for the prosecution or for
the defendant, the Fourth Circuit held that defense counsel was
presented with a mental health report, and he was under no
mandate to second-guess that report. Id. at 409. In reviewing
a separate IAC claim that did not involve expert testimony, that
court considered the efforts defense counsel had made to
investigate the defendant's potential alibi and, rejecting the
claim, stated that relief is usually granted only when defense
counsel has failed to investigate a defense at all or has
performed an investigation so minimal that no strategic reason
could be given for the failure to investigate further. Id. at
411; see also Byram v. Ozmint, 339 F.3d 203, 210 (4th Cir. 2003)
([A] failure to 'shop around' for a favorable expert opinion
after an evaluation yields little in mitigating evidence does not
constitute ineffective assistance.) (quoting Poyner v. Murray,
964 F.2d 1404, 1419 (4th Cir.), cert. denied, 506 U.S. 958, 121
L. Ed. 2d 342 (1992)), cert. denied, ___ U.S. ___, 158 L. Ed. 2d
374 (2004); Wilson v. Greene, 155 F.3d 396, 403 (4th Cir.)
([C]ounsel had received [the mental health expert's] report
concluding that [the defendant] was not mentally ill at the time
of the offense. To be reasonably effective, counsel was not
required to second-guess the contents of this report. . . .
Counsel thus made a diligent effort to pursue promising lines of
investigation, and [the defendant's] present attempt to challenge
his counsel's decision not to investigate mental health issuesmore fully is 'a product of hindsight and fails to address the
facts reasonably relied upon by counsel at the time.') (quoting
Roach v. Martin, 757 F.2d 1463, 1478 (4th Cir.), cert. denied,
474 U.S. 865, 88 L. Ed. 2d 154 (1985)), cert. denied, 525 U.S.
1012, 142 L. Ed. 2d 441 (1998) (citations omitted); Poyner, 964
F.2d at 1419 (The mere fact that [the defendant's] counsel did
not shop around for a psychiatrist willing to testify to the
presence of more elaborate or grave psychological disorders
simply does not constitute ineffective assistance.).
A similar pattern is apparent in state cases. In State
v. Steckel, the defendant was convicted of murder when the victim
died in a fire the defendant set in the victim's home after
sexually assaulting her. 2001 Del. LEXIS 429 (Del. Super. Ct.
Aug. 31, 2001) (No. 9409002147), aff'd, 795 A.2d 651 (Del. 2002).
The defendant's trial counsel met with a psychiatrist before
trial both to determine whether an insanity defense was possible
and to assist in mitigation. After several consultations with
the defendant, the psychiatrist was of the opinion that the
defendant suffered from attention deficit hyperactivity disorder,
substance abuse, and antisocial personality disorder. The expert
further believed that none of these conditions constituted a
legal defense. Before trial, defense counsel also consulted a
neurologist to determine whether brain dysfunction could be used
as a mitigating factor. During post-conviction proceedings in
which the defendant alleged IAC, the defendant presented another
expert who believed that the defendant's consistent exaggerations
should have alerted defense counsel to the possibility that thedefendant had a narcissistic personality disorder. The Delaware
Superior Court denied relief, holding that [c]ounsel is not
required to continue to search for additional mental health
professionals when it appears that the diagnosis given by those
already retained would reasonably explain the conduct of the
[d]efendant. Id. at *20.
In State v. Hessler, the defendant was convicted of six
murders. 2002 Ohio LEXIS 3313 (Ohio Ct. App. June 27, 2002) (No.
01AP-1011), appeal denied, 97 Ohio St. 3d 1423, 777 N.E.2d 277
(2002). Defense counsel retained and used two expert clinical
psychologists during the mitigation portion of the defendant's
trial to testify about the defendant's mental illness and the
effects of the inadequate treatment he had received at various
mental health facilities. Later, during post-conviction
proceedings, the defendant claimed that his trial counsel should
have sought the services of an expert psychiatrist or an expert
social worker. The Court of Appeals of Ohio denied relief,
holding that '[a] postconviction petition does not show
ineffective assistance merely because it presents a new expert
opinion that is different from the theory used at trial.' Id.
at *35 (quoting State v. Combs, 100 Ohio App. 3d 90, 103, 652
N.E.2d 205, 213 (1994)); see also Ringo v. State, 120 S.W.3d 743,
749 (Mo. 2003) (Where trial counsel has . . . made reasonable
efforts to investigate the mental status of defendant and has
concluded that there is no basis in pursuing a particular line of
defense, counsel should not be held ineffective for not shopping
for another expert to testify in a particular way.); Asay v.State, 25 Fla. L. Weekly S523, ___, 769 So. 2d 974, 985-86 (2000)
(trial counsel who conducts a reasonable pretrial investigation
into mental health mitigation evidence is not incompetent where
the defendant secures a more favorable mental health expert
during post-conviction proceedings); Henry v. State, 28 Fla. L.
Weekly S753, ___, 862 So. 2d 679, 686 (2003) (In finding no IAC,
reviewing court considered defense counsel's decision not to
pursue on retrial a strategy that failed at the first trial.).
Thus, where the record demonstrates (1) defense counsel
fully investigated defendant's social and medical history and
provided that information to Drs. Hoover and Tyson, (2) neither
expert indicated to counsel a necessity for neurological testing,
and (3) counsel relied on their experts as they made the
difficult but necessary choices as to which theory of defense to
pursue, we are unwilling to find that the decisions of
defendant's attorneys constituted ineffective assistance of
counsel or represented inattention to other possible defenses.
Accordingly, we conclude that defense counsel did not prematurely
abandon a defense based on organic brain damage and that their
election to pursue a defense predicated on other grounds
constituted a 'reasonable professional judgment[].' Wiggins,
539 U.S. at 533, 156 L. Ed. 2d at 492 (quoting Strickland, 466
U.S. at 691, 80 L. Ed. 2d at 695).
Because defense counsel's performance was not
objectively unreasonable and was adequate under Strickland and
Wiggins, we do not need to consider whether defendant suffered
prejudice. Therefore, for the reasons stated above, the order ofthe trial court is reversed and defendant's death sentence is
reinstated.
REVERSED.
Justice NEWBY did not participate in the consideration
or decision of this case.
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