Opinion ID: 2336249
Heading Depth: 1
Heading Rank: 2

Heading: failure to introduce mitigating evidence

Text: During the penalty phase, neither defense counsel presented any witnesses to testify on either Epperson's or Hodge's behalf. Nor did defense counsel for either defendant introduce any other mitigating evidence. The only evidence presented on Epperson's behalf in the penalty phase was a stipulation that: (1) he had no significant history of prior criminal activity; (2) he voluntarily returned to Kentucky to face the charges against him; and (3) he had a wife and child. Likewise, the only evidence presented on Hodge's behalf during the penalty phase was a stipulation that: (1) he had a wife and three children; (2) he had a public-job work record; and (3) he lived and resided in Tennessee. In his RCr 11.42, Hodge argues his defense counsel was ineffective in the penalty phase for failing to investigate, discover, and/or present proof which was readily available at the time of trial and which would have been substantial evidence to refute the prosecution's argument that the only way to punish [Hodge] was to kill him. In support of this argument, he argues that his counsel conceded that he was unprepared to proceed with the penalty phase. Likewise, Epperson argues in his RCr 11.42 motion that his defense counsel was ineffective for failing to investigate, discover and present evidence readily available at the time of trial which would have cast doubt on . . . Epperson's ability to plan or even intend the crimes he was accused of, cast doubt on whether he was not acting under extreme emotional disturbance, and [would have] provided powerful mitigation explaining who. . . Epperson was, how he got to be that way, and why he may have ended up in the Acker home with Bartley and Hodge. Both Epperson and Hodge support their arguments with a list of mitigating evidence that they claim that their defense counsel should have discovered and put before the jury. The trial court concluded that the failure to introduce mitigating evidence was not ineffective assistance of counsel: The record shows that the jury was made aware of mitigating circumstances for both Movants by stipulated facts read to the jury by the judge. . . . In addition, both defense counsel made impassioned and moving pleas in closing argument for their clients, asking that the death penalty not be imposed. Trial counsel has no absolute duty to present mitigating character evidence at all, Bolender v. Singletary, 16 F.3d 1547 (11th Cir.1994), nor is counsel required to present all available evidence in order to render effective assistance. Waters v. Thomas, 46 F.3d 1506 (11th Cir.1995). Also, had counsel introduced additional evidence, the prosecution might have introduced evidence in rebuttal, such as victim impact testimony, which would have made the jury more likely to impose the death penalty. All in all, the court does not find counsel's performance during the penalty phase to be deficient. Although there may have been some additional evidence that could have been introduced on behalf of the Movants, the Court finds that Movants have failed to show a reasonable probability that the outcome of the proceeding (the sentence of death that they received) would have been any different if this evidence had been admitted. . . . In this case, giv[en] the atrocious and heinous nature of the crime, the Court cannot say there is a reasonable probability that even had this evidence been introduced, the result of the proceeding would have been any different. Findings of Fact and Conclusions of Law, supra, at 7. Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984), sets forth the standard of review for an ineffective assistance of counsel claim: 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 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, 104 S.Ct. at 2064, 80 L.Ed.2d at 693. Further, there exists a strong presumption that counsel's performance was effective. Id. at 690, 104 S.Ct. at 2066, 80 L.Ed.2d at 695. Under Strickland, defense counsel has an affirmative duty to make reasonable investigation for mitigating evidence or to make a reasonable decision that particular investigation is not necessary. Id. at 691, 104 S.Ct. at 2066, 80 L.Ed.2d at 696. The reasonableness of counsel's investigation depends on the circumstances of the case. Id. at 688, 104 S.Ct. at 2065, 80 L.Ed.2d at 694. The trial court in this case relied on a pair of Eleventh Circuit Court of Appeals' decisions to support its conclusion that defense counsel has neither the absolute duty to present mitigating character evidence, nor the duty to present all available mitigating evidence. While we agree with the trial court on these points, we do not believe that the trial court went far enough in its analysis of Eleventh Circuit cases on this issue. An attorney has a duty to conduct a reasonable investigation, including an investigation of the defendant's background, for possible mitigating evidence. In evaluating whether counsel has discharged this duty to investigate, develop, and present mitigating evidence, we follow a three-part analysis. First, it must be determined whether a reasonable investigation should have uncovered such mitigating evidence. If so, then a determination must be made whether the failure to put this evidence before the jury was a tactical choice by trial counsel. If so, such a choice must be given a strong presumption of correctness, and the inquiry is generally at an end. If the choice was not tactical and the performance was deficient, then it must be determined whether there is a reasonable probability that, but for counsel's unprofessional errors, the result would have been different. Porter v. Singletary, 14 F.3d 554, 557 (11th Cir.1994), cert. denied, 513 U.S. 1009, 115 S.Ct. 532, 130 L.Ed.2d 435 (internal citations omitted and emphasis in original). In the case at bar, the trial court did not determine whether either defense counsel conducted any investigation for mitigating evidence. From the record before us, it appears that neither Epperson's nor Hodge's defense counsel conducted any investigation, though an evidentiary hearing might prove otherwise. If there was no investigation, then their performance was deficient. See, e.g., Austin v. Bell, 126 F.3d 843, 849 (6th Cir.1997), cert. denied, 523 U.S. 1079, 118 S.Ct. 1526, 140 L.Ed.2d 677 (1998), and cert. denied, 523 U.S. 1088, 118 S.Ct. 1547, 140 L.Ed.2d 695 (1998). The trial court then would have to determine whether there is a reasonable probability that, but for counsel[s'] unprofessional errors, the result would have been different. A reasonable probability is a probability sufficient to undermine the confidence in the outcome. Strickland, 466 U.S. at 694, 104 S.Ct. at 2068, 80 L.Ed.2d at 698. In the case at bar, this determination is made by examining whether there is a reasonable probability that the jury would have weighed the mitigating factors that should have been admitted and the aggravating factors differently had counsel performed adequately. See Skaggs v. Parker, 235 F.3d 261, 274 (6th Cir.2000). Instead of determining what mitigating evidence could have and should have been admitted, the trial court merely noted that there may have been some additional evidence that could have been introduced on behalf of the Movants. . . . This is not sufficient. Before any possible mitigating evidence can be weighed in a meaningful manner, that evidence first must be determined and delineated. This is the proper function of an evidentiary hearing. An evidentiary hearing must be held in this case to determine whether the failure to introduce mitigating evidence was trial strategy, or an abdication of advocacy. Austin, 126 F.3d at 849. And, if defense counsel's advocacy was deficient, then a finding must be made of what mitigating evidence was available to counsel. Thereafter, the trial court must then determine whether there is a reasonable probability that the jury would have weighed the mitigating and aggravating factors differently.