Opinion ID: 1444170
Heading Depth: 1
Heading Rank: 7

Heading: Reference of Disputed Factual Questions

Text: This court appointed the Honorable J. Stephen Czuleger, Judge of the Los Angeles Superior Court, to sit as a referee and resolve factual disputes. Judge Czulegar was asked to take evidence and make findings of fact on several questions. Those in which the findings are relevant to our conclusions are discussed below. In our review of the parties' exceptions to the findings of the referee, we apply well-settled law. The referee's conclusions of law are subject to independent review, as is his resolution of mixed questions of law and fact. [Citations.] ... The referee's findings of fact, though not binding on the court, are given great weight when supported by substantial evidence. The deference accorded factual findings derives from the fact that the referee had the opportunity to observe the demeanor of witnesses and their manner of testifying. ( Marquez, supra, 1 Cal.4th at p. 603, 3 Cal.Rptr.2d 727, 822 P.2d 435; see also In re Hitchings (1993) 6 Cal.4th 97, 109, 24 Cal.Rptr.2d 74, 860 P.2d 466.) The findings of Judge Czuleger on the questions relevant to our proposed disposition, the parties' exceptions thereto, and the findings of this court follow each question. Because the potential penalty phase prejudice from jury consideration of the robberies with which petitioner was charged is high, we first consider the referee's findings on the question related to petitioner's claim that Shinn incompetently induced him to confess to the several robberies which preceded the murder of Officer Verna. A. Did trial counsel induce petitioner to confess to the commission of the several robberies with which petitioner was charged and to the commission of the Valley Vacuum Cleaner robbery; was petitioner advised of the potential consequences of that confession; and did the prosecutor or the investigators give trial counsel any reason to believe that the statement given by petitioner in which he confessed would not be used against petitioner at trial? Findings: Shinn induced Petitioner to confess to the charged and uncharged robberies. Shinn advised Petitioner that it would be in his own best interest to cooperate with the prosecution and that he might be able to work out a favorable disposition of his case as a result. Petitioner was told by Shinn that the statement could not be used against him if the prosecutors decided not to use him as a witness. At the time of the tape recorded interview with the deputy district attorney, Petitioner was advised of his rights against self-incrimination and told that there were no promises or agreements between the defense and prosecution in advance of the interview. Petitioner and Shinn stated that they understood the admonition. Neither the prosecutor nor the investigators specifically gave trial counsel any reason to believe that the statement would not be used against Petitioner at trial. Shinn, from past experiences with the District Attorney's Office nonetheless believed that he had this understanding and so advised Petitioner. Exceptions: Petitioner excepts to the findings to the extent that the referee's statement that the prosecutor and his investigators did not specifically give Shinn reason to believe that petitioner's statements would not be used might be read as a finding that they may have done so implicitly in their statements and conduct. Respondent does not except to these findings and argues that the evidence established that neither Shinn nor petitioner had any indication from the prosecutor or investigator that any agreement existed. The findings of the referee are fully supported by the evidence and are adopted by the court as its own. Respondent argues that Shinn's incompetent performance in inducing petitioner to admit participation in the robberies was not prejudicial as defendant would have been convicted of the robberies even apart from those admissions. The evidence at trial suggests otherwise with respect to several of the robberies, however. Three of the robbery counts were based on an April 25, 1983, robbery of the operators of Kenn Cleaners. None of the victims identified petitioner as a participant. Only Pamela Cummings testified that petitioner was present. Pamela Cummings was an accomplice as a matter of law whose testimony identifying petitioner as one of the robbers had to be corroborated. (§ 1111.) [12] Apart from petitioner's admissions there was no direct evidence corroborating her identification of petitioner as one of the robbers. The same is true as to the two robbery counts based on the May 6, 1983, robbery of the operators of the Salads Plus salad bar. None of the three victims of the May 29, 1983, robbery of the operators of the Pizza Man delivery service identified petitioner. Respondent argues that evidence that Cummings's accomplice was light skinned was sufficient corroboration. We are not persuaded. An inference might be drawn that because petitioner was light skinned and had been Cummings's partner in some of the robberies, petitioner was his accomplice in all of the robberies. Circumstantial evidence is sufficient to corroborate the testimony of an accomplice, and slight evidence may be sufficient corroboration. ( People v. Rodrigues (1994) 8 Cal.4th 1060, 1128, 36 Cal.Rptr.2d 235, 885 P.2d 1.) While a court might well recognize this evidence was sufficient if the question arose on appeal after conviction, here we cannot say with assurance that it is probable that a jury would necessarily find the evidence sufficient. If it did not, the jury would not convict petitioner of six of the robbery-related counts had his statement not been introduced. Even were we to assume that a jury would accept the circumstantial evidence that petitioner was Cummings's accomplice during those robberies as corroboration of Pamela's testimony, Shinn's conduct harmed petitioner. The statement Shinn misled petitioner into making, a stipulation that petitioner was a serial robber, made it unnecessary for the jury to grapple with the question of corroboration. The statement Shinn incompetently elicited from petitioner made the prosecution's case. There were problems with two of the other counts which might have affected those verdicts also. The victim of the May 20, 1983, Designer Florist robbery was unable to identify petitioner in court. She testified that Kenneth Gay had robbed her, but that was after seeing petitioner, whom she did not then recognize, on television. Moreover, the victim of the repair shop robbery on May 13, 1983, was deceased at the time of trial. His identification of petitioner came in the reading of his preliminary hearing testimony. There was no in-court visual identification of petitioner by either of these witnesses. It is possible, therefore, that but for Shinn's incompetence in inducing petitioner to confess the robberies to the officers investigating the murder, he would not have been convicted of several of the robberies. Moreover, the question of petitioner's guilt might not have been put to the jury at all, if, as did occur on one count, the trial court granted a motion for acquittal. (§ 1118.1.) The prejudicial impact at the penalty phase of the admission of petitioner's statement confessing to the robberies cannot be overstated. Shinn not only acted as a second prosecutor by creating the evidence that led to petitioner's conviction of the robberies, his conduct permitted the prosecutor to portray petitioner as an admitted serial robber who killed a police officer to avoid arrest and prosecution for the robberies. That picture of defendant, absent any substantial mitigating evidence, would be devastating to any hope for a sentence less than death. As our opinion affirming the judgment on appeal reflects, little mitigating evidence was offered on petitioner's behalf at the penalty trial, although evidence offered at the habeas corpus hearing suggests that much more potentially mitigating evidence was easily accessible. Some of that evidence related to petitioner's mental status. Therefore, because Shinn engineered his appointment through his relationship with Marcus McBroom, an assistant of Dr. Weaver, the psychiatrist Shinn subsequently engaged to assist in this case, we next consider the questions related to the retention of Shinn to represent petitioner, Shinn's selection of Dr. Weaver as his mental health expert, and the impact of Shinn's conduct and instructions to Dr. Weaver on the investigation into mental health as a potentially mitigating factor. B. What contacts between trial counsel, Marcus McBroom, and/or other persons led to petitioner's election to retain Daye Shinn; did McBroom represent himself to petitioner as a clergyman and encourage petitioner to retain Shinn; was petitioner told that a group of businessmen would pay the fees of private counsel and, if so, by whom was he told and was that statement true; did Shinn tell petitioner to tell the court that his parents had paid a retainer to Shinn, if so, was that statement true; and did Shinn at the time he was retained intend to seek appointment later, knowing that his fee would not be paid by petitioner's parents? Findings: While Petitioner was in county jail in late June, 1983, Shinn and Marcus McBroom introduced themselves to Petitioner. McBroom identified himself as a minister and told Petitioner that he represented a group of black businessmen that wished to hire a lawyer for Petitioner. McBroom was an ordained minister. Both Shinn and McBroom encouraged Petitioner to retain Shinn. Petitioner said he had no money to retain counsel and Petitioner was told not to worry that this group of black businessmen would take care of Shinn's fee. Shinn never quoted a fee, was paid a fee, or attempted to collect a fee from the alleged group of businessmen. There is no evidence to cause this Court to believe that there ever was any group of `black businessmen' to pay Shinn's retainer. Shinn later told Petitioner to tell the court that his parents had paid a retainer to Shinn. This was not accurate. Shinn never had any reasonable belief that he would be paid by any group of businessmen or Petitioner's family. Shinn's intent from early on was to seek appointment by the Court. Exceptions: There are no exceptions to the findings, which are amply supported by the testimony of petitioner. We adopt them. Shinn engineered both his initial retention and subsequent appointment by fraudulent means. Petitioner argues that representation by an attorney whose retention and appointment is brought about by such a fraudulent and unethical scheme should be presumed to have been prejudicial, thus requiring reversal of his conviction. In concluding that the allegations of the petition failed to state a prima facie case with respect to the guilt phase, however, we impliedly rejected the argument that prejudice is presumed from such conduct. Shinn's fraudulent schemes are clearly relevant, however, in assessing his credibility, his relationship with Dr. Weaver, and his commitment to act as a zealous advocate at the penalty phase of the trial. C. Is there any basis for concluding that Shinn had a conflict of interest, or a reason other than demonstrated competence which led him to use Fred Weaver, M.D. and/or Marcus McBroom as his mental health experts, and, if so, what are the facts which might support such a conclusion? Findings: Marcus McBroom brought Shinn into Petitioner's case. Shinn had worked with Dr. Weaver and McBroom in the past. McBroom contacted Dr. Weaver and asked him if he would be interested in working on the case. Dr. Weaver said he would if he was satisfied after talking to Shinn about the time commitment necessary. Dr. Weaver indicated that he was in the `waning' years of his forensic work and did not want a long and complicated case. After speaking to Shinn and McBroom together, Dr. Weaver learned that an extensive commitment of time would not be necessary and he agreed to take the case. Shinn knew that by retaining Dr. Weaver, McBroom would also be utilized to perform the diagnostic testing. Dr. Weaver had never worked on a death penalty case before. There is no evidence of a direct conflict of interest. The evidence does show a prior relationship between the three individuals, that the three had previously worked together, and that McBroom had engineered Shinn's entry onto the case. Simply because of this prior relationship, the three worked together on Petitioner's case. Exceptions: Petitioner does not except to these findings, but states that the evidence supports a conclusion that Weaver was selected solely because of the past relationship he and McBroom had with Shinn, and/or because Weaver was not interested in a complicated assignment. Respondent does not except to these findings. Petitioner argues on the basis of the findings and the evidence that the record demonstrates that Shinn did not want an extended mental health workup of petitioner at the penalty phase and limited the scope of the examination to be performed, and that Dr. Weaver was neither qualified nor interested in undertaking the quality of analysis necessary in this case. Respondent contends that the evidence establishes that neither Shinn's apparent belief that the death penalty was inevitable nor the monetary limitations affected the adequacy of the examination performed by Dr. Weaver. Respondent relies on answers given by Dr. Weaver on cross-examination for an argument that Dr. Weaver himself concluded, after his independent evaluation, that the case was hopeless and since there was not too much that would make a difference, Dr. Weaver concluded that additional time was not necessary. Dr. Weaver's conclusions did not affect his work, however, and he felt he spent the appropriate amount of time necessary for the examination and review and to form his opinion, and would not have rendered an inadequate opinion in a case in which a defendant faced execution. We adopt the referee's factual findings. Although he concluded that there was no evidence of a direct conflict of interest, he did not find that there was no conflict of interest. His factual findings suggest that there was. It is apparent from the record that Shinn did not select Dr. Weaver because of his demonstrated competence. Instead, the record supports a conclusion that Shinn, McBroom, and Weaver had a capping relationship pursuant to which Weaver was retained in cases in which McBroom had arranged representation by Shinn. While the conflict may not have been direct, the only reasonable inference from the evidence is that in cases in which he had been introduced to the client by McBroom, Shinn did not consider retaining experts other than Weaver. The finding that Shinn retained Dr. Weaver with the understanding that Weaver was not willing to commit the time or undertake the work necessary for a complicated case is consistent with this conclusion and amply supported by the record. As the evidence relevant to the next questions reflects, the record also supports a conclusion that both Shinn and Weaver considered the death penalty a foregone conclusion and for that reason Shinn did not undertake, and did not instruct Weaver to undertake, the type of penalty phase investigation and preparation expected of competent professionals in a capital case. The evidence does not support respondent's view of the adequacy of Dr. Weaver's examination and opinion. Dr. Weaver had been used as an expert by Shinn in several prior criminal cases in which diminished capacity issues were raised. Petitioner's trial was his only experience testifying at the penalty phase of a capital trial, although he had testified in two prior murder cases in the early 1970's. He became involved only three weeks before his testimony, when Marcus McBroom telephoned him. At that time Dr. Weaver's interest in forensic cases was waning. Forensic work took time from other areas in which he was interested. Additional training and experience in forensic psychiatry, which Weaver did not have, was now expected of experts in this field. Weaver therefore accepted the case only after McBroom told him it was an open-and-shut case which would not require much time and Shinn told him the same. Dr. Weaver's own experience growing up in the South gave him a sense that when a Black man was charged with killing a policeman the case was hopeless. Shinn neither advised Dr. Weaver about the mitigating evidence he hoped to offer at the penalty trial, nor discussed how Dr. Weaver's testimony would fit into the penalty phase presentation. Dr. Weaver gave his report to Shinn, who spent only about five minutes in the hall outside the courtroom with Dr. Weaver before Dr. Weaver testified. Dr. Weaver understood he was to see petitioner once or twice, make a short assessment, and report back to Shinn. Investigation of petitioner's drug use or discussion with his family would have been considered an unnecessary frill in what was an open-and-shut case. Dr. Weaver had no school, medical, hospital, correctional, employment, military or juvenile records for petitioner or any family members when he examined petitioner. He had no sources of information other than petitioner himself, McBroom's reports, and material attached to or part of police reports. Ordinarily, he would have felt that additional material was needed, but he did not in this case. He would not have taken the case if it had required any extensive investigation. It was in this context that Dr. Weaver responded affirmatively to a suggestion made on cross-examination that otherwise he would not have rendered what he considered to be an inadequate opinion in a capital case. Although Dr. Weaver did see petitioner more often than he initially believed was required and more than he would have normally done given the amount of the fee, [13] Weaver felt that he did not need to do his best. He was just to go through the motions and he did not do his best. The evidence amply supports a conclusion that Weaver's selection as Shinn's mental health expert was attributable to Shinn's prior relationship with McBroom and Weaver, and McBroom's involvement in Shinn's retention. Shinn's retention of Weaver notwithstanding the latter's reluctance to accept a complex or time-consuming case, his failure to supply Weaver with relevant and easily available background material, and his instructions to Weaver which limited the extent of the assessment Weaver was to make constitute constitutionally inadequate representation. Shinn's performance in this regard did not meet the standard to be expected of counsel engaged in the representation of a defendant in a capital case. These failures resulted in presentation of truncated, inadequate mental health evidence at the penalty phase. Our conclusion that Shinn provided constitutionally inadequate assistance in this aspect of penalty phase preparation and presentation is limited to an assessment of Shinn's performance. If prejudicial, relief is available only on the basis of ineffective assistance of counsel, a denial of the right to counsel guaranteed by the Sixth Amendment to the United States Constitution. Since the state bore no responsibility for the selection of Dr. Weaver, or the limits placed on the extent of his investigation or his fee, petitioner may not claim entitlement to relief on the basis that he was denied a competent mental health expert. (Cf. Ake v. Oklahoma (1985) 470 U.S. 68, 105 S.Ct. 1087, 84 L.Ed.2d 53.) It is not the role of this court to assess the competence of a licensed physician acting within his area of expertise. We decide only that a reasonably competent attorney representing a criminal defendant facing the death penalty would not impose similar limitations, both financial and otherwise, on an expert, and that Shinn's selection of an expert who accepted the case only with the understanding that it was not complicated and would not take much time did not meet constitutional standards of competence. The following questions and findings support our conclusion that Shinn performed incompetently in his investigation and presentation of potentially mitigating mental health evidence. D. What is the nature of the evaluation that Shinn requested Weaver to perform and how was the evaluation related to penalty phase defenses? Findings: Shinn has no recollection of the nature of the evaluation which he asked Dr. Weaver to perform. However, Dr. Weaver testified convincingly that Shinn told him that the penalty phase portion of the trial was `an open and shut case.' Shinn told him the facts of the case, that it involved the murder of a police officer and that Dr. Weaver was to examine Petitioner to see if he had any psychopathology, that is, that he was psychotic or had anything that might be labeled a psychiatric disorder. Shinn told Dr. Weaver that the purpose of the penalty portion of the trial was to determine whether petitioner received a death sentence or life in prison. Shinn made clear to Dr. Weaver, however, that the decision was a foregone conclusion, that Petitioner would receive the death penalty and that Dr. Weaver need not spend a great deal of time on the case. Dr. Weaver was to be paid $1,000 for his work. He received $800 from Shinn. Exceptions: Neither petitioner nor respondent excepts to these findings which we adopt as our own. E. Did the records reviewed by Weaver, or did petitioner himself, reveal to Weaver any history of head injuries, medical problems, child abuse or other facts that might affect petitioner's conduct, and, if so, of what information was Weaver aware? Findings: The only records reviewed by Dr. Weaver were the police reports, the test results obtained by Marcus McBroom, possibly Exhibit I (a prison psychological evaluation) and some trial transcripts. He neither requested nor was given any other records. Either through direct interview with Petitioner or through comments passed on by McBroom, Dr. Weaver was aware of Petitioner's mixed race heritage, some family history, the beatings he received as a child, his drug usage, some educational and prison history and his criminal background. There is no evidence that Dr. Weaver was aware of any head or other physical injuries or that Petitioner was the alleged victim of sexual abuse. Exceptions: Respondent excepts to the finding that Dr. Weaver possibly reviewed respondent's exhibit I, arguing that the evidence is clear that this is the report Dr. Weaver reviewed at the penalty phase of the trial. The evidence supports the findings of the referee, which we adopt as our own. The evidence does, as respondent contends, suggest that Dr. Weaver did review respondent's exhibit I, a parole outpatient clinic psychiatric evaluation of petitioner. [14] Weaver was not aware of past head injuries or sexual abuse suffered by petitioner, but did know that petitioner's racial heritage had caused difficulty, that petitioner had suffered abuse at the hands of his father, and that petitioner had abused drugs. The parole outpatient clinic psychiatric report provided some information about childhood problems arising from petitioner's mixed-race heritage, a back injury he suffered in 1977 in a workrelated fall, abuse by his father, and petitioner's use of LSD and marijuana. That Dr. Weaver had very limited information regarding petitioner's background when he made his evaluation is clear from the record, however. The parole outpatient clinic psychiatric report recites only: [P]etitioner describes himself as being `half-white and half-black' and had to fight both racial groups as a child. He recalls being suspended and expelled several times from school though he did eventually graduate from high school. He recalls that in his youth, his father would punish him by physical beatings, causing injuries, though he used only his hand to accomplish this. [¶] He reports that he got along well with his mother who was friendly and attempted to keep her husband from harming the patient. He did not get along well with his brother, though he reports that he continues to remain close with his sisters. [¶] Employment history includes welding, a janitor, and a mechanic. His longest job was for 1-½ years as a welder, but he lost his job after the injury. The mental status evaluation stated that petitioner was alert and oriented in all spheres and that his memory was intact. His speech had a normal flow and his mood was neutral. The psychiatrist concluded that petitioner had limited insight and judgment and opined that the prognosis for return to criminal activity was high and that petitioner was likely to react to small frustration in a violent and vengeful manner. No psychiatric diagnosis was made. Dr. Weaver testified that he did not meet with any family members; had no school, prison, jail, juvenile system, employment, or military records regarding petitioner or any members of his family; and had no medical or hospital records regarding petitioner. When he did his evaluation he made no effort to obtain any of these records. He had only the parole outpatient clinic report, McBroom's test results, some police reports, and the information supplied by petitioner during his interviews with Weaver and McBroom. F. Did Weaver's penalty phase testimony include all potentially mitigating information regarding petitioner of which Weaver was aware from his review of records related to petitioner and his interviews and assessment of petitioner? If not, of what additional information was he aware and why was it not related to the jury? Findings: The only `potentially mitigating information' which Dr. Weaver was aware of but that was not relayed to the jury concerned Petitioner's drug usage, his stress and depression at the time of evaluation, and alleged concentration or attention deficits. Dr. Weaver did not utilize the drug usage information because he felt that it did not [a]ffect the diagnosis of Petitioner which he described to the jury. Dr. Weaver stated that Petitioner minimized his drug use, in fact, Petitioner did not even describe that problem to him. Dr. Weaver only knew about it from what McBroom told him. In any case, he did not feel it was relevant to the evaluation which he performed. As to the observation of depression by Dr. Weaver, there is no evidence as to why he chose not to mention it. However, the jury was aware from the guilt portion of the trial that Petitioner had attempted suicide following his arrest. Furthermore, they obviously knew that he had just been convicted of murder. Concerning Petitioner's alleged attention deficit, Dr. Weaver stated that he came to this conclusion from his interviews with Petitioner. However, nowhere else, including from McBroom's testing, was that information confirmed. Moreover, it was neither explained by Dr. Weaver nor discussed further as to its relevance. Exceptions: Petitioner excepts to the referee's failure to make findings regarding the potentially mitigating evidence of which Dr. Weaver should have been aware and to the failure to find that Weaver did not testify about drug use and other mitigating factors of which he was aware because he was instructed by Shinn not to undertake the work necessary to investigate such frills. Respondent excepts to the finding that Dr. Weaver had stated petitioner minimized his drug use and did not describe that problem, arguing that Dr. Weaver did not make that statement. Respondent concedes that the evidence supports an inference that petitioner minimized his drug use, but argues that there is no evidence that Dr. Weaver was aware of petitioner doing so. At the outset we note that while Dr. Gretchen White offered extensive evidence regarding petitioner's background at the habeas corpus evidentiary hearing, the many problems in petitioner's home, the impact they had on him, and drug and alcohol abuse that continued from the time petitioner was in his teens, she did not offer an opinion that he suffered from a mental disorder. She testified that she did not diagnose him and did not see the diagnostic tests that she would need to rely on. Dr. White could not rely on Dr. Weaver's testimony for an opinion because it appeared that the only test both he and McBroom agreed was given to petitioner was the Bender Gestalt test, which would not assist in diagnosing anything about a person's personality. The Halstead test which McBroom apparently gave is, in her opinion, diagnostically extremely weak. Dr. White also testified that when Dr. Weaver examined petitioner and offered his diagnosis, Dr. Weaver was not aware of the Gay family genetic vulnerability to alcoholism and schizophrenia; that three siblings were schizophrenic; petitioner's attention deficit; the extent of the physical and psychological abuse suffered by petitioner; and did not know about the depressive, passive side of petitioner's personality. David Foster, M.D., a psychiatrist and neurologist with extensive training and experience in forensic psychiatry which included examinations of 12 death row inmates, did offer a mental health evaluation. He testified on direct by declaration and was cross-examined by deposition. He had undertaken a 10-hour psychiatric evaluation of petitioner, including a mental status examination, a structured psychiatric diagnostic interview, and a lengthy open-ended interview designed to assist in eliciting contradictions and evidence of malingering and falsification. He had also reviewed extensive documents related to petitioner's childhood and adolescence, the trial and habeas corpus evidentiary hearing testimony of Dr. Weaver, petitioner's evidentiary hearing testimony, the testimony of the other witnesses at that hearing, and the social history testimony of Dr. White, the 1992 test results of neuropsychologist Dale Watson. Dr. Foster had been provided with the mitigating sentencing factors available at the 1985 penalty trial. Dr. Foster's testimony is summarized below at some length because Shinn's failure to investigate and present evidence of mental impairment and his decision to utilize Dr. Weaver as his expert notwithstanding Weaver's unwillingness to expend significant time on the case are among Shinn's penalty phase omissions. The failure to present this kind of mental disorder/deficit evidence to the jury is a factor supporting our conclusion that Shinn's incompetence was prejudicial to petitioner at the penalty phase. Dr. Foster had been asked if petitioner manifested psychiatric symptomatology or other evidence of mental disorders or impairments that prevented petitioner from functioning normally and if those disorders or impairments were present at the time of petitioner's crimes and trial. [15] He concluded that at the time of the offenses and the trial petitioner suffered from dissociation, residual symptoms of PTSD (posttraumatic stress disorder), impairments due to organic brain dysfunction including, but not limited to, an attention-concentration deficit and learning difficulties, a mood disorder, and by history, psychoactive substance abuse disorder. He suffered from these impairments, the symptoms of which were heightened and converged with devastating impact on his behavior and functioning, at the time of the crime for which he was convicted. Conditions of his confinement and his impaired functioning during trial likely interfered with his competence to stand trial. The mental health evaluation provided at the trial level was grossly inadequate, because it failed to take into account Mr. Gay's history and the importance of clinical symptoms, failed to incorporate appropriate testing, and failed to consider the importance of his impairments to issues relevant to the penalty determination. Dr. Foster stated in his testimony that petitioner presented clinical signs consistent with learning disorders and showed signs and symptoms of brain dysfunction, trauma, dissociation, and mood disturbance. The symptoms had been present over time and continued to affect petitioner's behavior and functioning. Petitioner's unusual use of language suggested a language disorder that is possibly related to a learning disability. He also manifested the documented attentional and concentration deficit. Dr. Foster found extensive evidence that petitioner has long suffered from a dissociative disorder, an impression corroborated by information in his history. The dissociative experiences occurred not only when petitioner was beaten by his father, but when he witnessed similar frightening, traumatic events. The episodes are preceded by physical sensations including dizziness or lightheadedness, anxiety and weakness, tightness of the chest, shortness of breath, racing heart, nausea, and weakness of his limbs. The sensations are consistent with dissociation and anxiety. Some are also consistent with aura, a phenomenon that frequently precedes episodes of unstable electrical activity in the brain, such as seizures. Petitioner stated that he experienced the same sense of detachment and unreality during the murder as he felt during beatings by his father. He was almost in a dream state and did not want to be there. Dr. Foster also found corroboration that petitioner suffers from debilitating anxiety, grandiosity symptomatic of a mood disorder, hypomanic symptoms and entrenched depression. He also concluded that during the period before petitioner's arrest, petitioner was affected by the use of drugs. In specific answer to the first question posed by petitioner's counsel, Dr. Foster found: A. That Kenneth Earl Gay does show psychiatric symptomatology, corroborated by other evidence of mental disorders and impairments which prevent him from functioning normally, and these disorders and impairments were present at the time of the crimes for which he was convicted and during his trial. As a result of extraordinary abuse petitioner suffered during his development and experiences throughout his later life, he manifested symptoms associated with and diagnostic of posttraumatic stress disorder as identified in the DSM-III, which was in use at the time of petitioner's offense and trial. Petitioner also suffered incapacitating effects of mood symptoms, also known as a major affective disorder, at various times. The disorder is characterized by periods of clinical depression, manic activity, or both, which significantly interfere with occupational or social functions, and are associated with lability of mood, delusions, anxiety, irritability, excessive concern with physical health, increased emotionality, and substance abuse. The disorder has a genetic component and was found in petitioner's father and at least one sister. Dr. Foster concluded that petitioner's multiple disabilities might be caused by a previously undiagnosed disturbance in the functioning of his brain. Both family history and head injuries suffered by petitioner suggested this disorder. The location of the head injuries, in the association areas, indicated damage that results in difficulty integrating experiences. Petitioner functioned very poorly under overwhelming stress and his judgment, decisionmaking ability, and cognitive abilities appeared to be seriously impaired. He had a documented attention-concentration deficit, which indicated damage in the frontal lobes of his brain. Even under optimal circumstances he would have significant difficulty with ability to monitor, inhibit, or control his behavior. Indications of temporal lobe and parietal lobe damage were found in petitioner's difficulty with language and mathematics, and symptoms of temporal lobe epilepsy, including hypergraphia, hyperreligiosity, viscosity, and altered emotional responses, all of which were observed in petitioner by Dr. Foster. Dr. Foster also concluded that petitioner suffered from a seizure disorder originating in the temporal and limbic areas of his brain and from the effects of psychoactive substance abuse, a problem reflected in a family history remarkable for extensive drug abuse in multiple generations and various branches of the family. The use of alcohol and marijuana during the developmental period can permanently alter the development of a child's brain, causing both neurological and psychological damage. Petitioner's use of drugs as a form of self-medication combined with his neuralgic defects and residual symptoms of posttraumatic stress disorder to cause unusually disordered behavior and functioning. Dr. Foster opined that [r]esearch available at the time of trial could have provided powerful evidence that, at the time of the murder, Kenneth Earl Gay experienced severe abnormalities in neurotransmitter systems inside his brain caused by drug and alcohol ingestion, withdrawal from cocaine, and the triggers of trauma he had experienced and was expecting. This imbalance in the brain chemicals that stimulate different parts of the brain were highly likely to leave him in a dream-like trance, unable consciously to control his behavior. The best evidence indicates that given Mr. Gay's baseline physiology, depressed state, and use of marijuana (and perhaps alcohol and heroin), he would have chemical imbalance present, particularly in the levels of serotonin and glutamic acid in his brain. The evidence of mental health impairments would have been relevant as section 190.3, factors (d), (g), (h), (j) and (k) mitigating evidence. [16] In support of his opinion on section 190.3, factors (g) and (j), Dr. Foster noted that petitioner's mental impairments would make him particularly susceptible to the highly aggressive, threatening, and controlling influence of Raynard Cummings. His account of the crime was entirely consistent with response to mechanisms that include increased susceptibility to follow suggestions or commands of others. His brain was primed to respond with automatic aggressive, `go limp' or escape responses that were outside his conscious control.... [It was] highly likely that in a situation of grave and sudden danger, in the company of a person known for aggression and violence, he would submit, without consciously choosing, to the command of the aggressor.... [His] other impairments... likely overwhelmed his tenuous ability to engage in rational decisionmaking, even after the immediate stress of the moment had passed. In my opinion, which I hold to a reasonable medical certainty, these conditions all affected and controlled Mr. Gay's behavior and functioning at the time of the crime and thereafter, and evidence supporting this conclusion was available at the time of trial. Finally, Dr. Foster testified that the impact of the state's aggravating evidence could have been lessened had that evidence been explained from a mental health standpoint. In particular, evidence of the circumstances leading up to petitioner battering a 15-year-old girlfriend and pushing her into some bushes during an argument would have included the impact on petitioner of the rough neighborhood in which he was raised, his ethnicity, his dysfunctional family, drug use and its effects, and the fact that the altercation was entirely out of character. Most importantly, evidence could have been offered as to the devastating impact of the rejection of petitioner and the racial attack on him by the girl's mother when she learned of petitioner's mixed-race heritage. Evidence could have been offered that petitioner did not intend to harm the girl and that she continued to see him during and after the legal proceedings related to the arson charge. Petitioner's behavior when he threw an incendiary device at the home of parents of another girlfriend with whom he had been living and wanted to marry could also have been explained. The incident was precipitated by the girl's mother using a racial epithet toward petitioner when told of his biracial heritage, throwing him out of the home, and forcing her daughter to return to the family home. Evidence about petitioner's confused racial identity, his father's alcoholism and abusiveness, the rough neighborhood, the drug sales by, and sexual orientation of, a neighbor, and petitioner's changed behavior while using drugs could also have been offered. Those matters and the numerous psychiatric symptoms from which petitioner suffered in the six months before the incident would have aided the jury in understanding petitioner's behavior. On cross-examination the People elicited an acknowledgment that Dr. Foster had diagnosed posttraumatic stress disorder in several death row inmates whom he had examined and dissociative episodes consistent with posttraumatic stress disorder in another. He did not find it surprising that the disorder existed in many persons on death row given the documented social histories of abuse. He also testified, however, that he had examined a death row inmate in whom he found no posttraumatic stress disorder. He had examined defendants for or been a consultant for the prosecution in several cases, and in five of the approximately twenty-five cases in which he had done so for the defense he had advised defense counsel that he made no findings that would be of value. The type of mental health evaluation performed by Dr. Foster was not uncommon in capital case defense at the time of this trial. (See People v. Ledesma, supra, 43 Cal.3d at pp. 200-201, 233 Cal.Rptr. 404, 729 P.2d 839; People v. Brown (1985) 40 Cal.3d 512, 537, 230 Cal.Rptr. 834, 726 P.2d 516.) A minimal inquiry and review of documents readily available to Shinn should have alerted him that such an evaluation might produce potentially mitigating evidence. He not only failed to investigate this possibility, but also engaged an expert who was not willing to undertake an extensive analysis and placed unreasonable limits on the scope of his expert's investigation and examination that precluded discovery of this evidence. Shinn's conduct in this regard clearly falls below the level of performance expected of even minimally competent attorneys representing a defendant in a capital case. He failed to undertake any inquiry into the possible existence of mitigating mental health evidence until petitioner had been found guilty of the murder. When he did retain Dr. Weaver he conveyed to Dr. Weaver his opinion that the death penalty was a foregone conclusion, failed to supply Dr. Weaver with any background information or documentation, and agreed that Dr. Weaver need not devote much time to his examination. He asked Dr. Weaver only to determine if petitioner suffered from any mental illness at the time of the crime. In addition to his failure to discover and develop available potentially mitigating mental health evidence, Shinn also failed to investigate, discover, and present evidence regarding petitioner's early childhood and family relationships which was both relevant to the mental health diagnosis and potentially mitigating in and of itself. These omissions also manifest incompetence. [A] defendant can reasonably expect that in the course of representation his counsel will undertake only those actions that a reasonably competent attorney would undertake. But he can also reasonably expect that before counsel undertakes to act at all he will make a rational and informed decision on strategy and tactics founded on adequate investigation and preparation. [Citations.] If counsel fails to make such a decision, his actionno matter how unobjectionable in the abstractis professionally deficient. ( People v. Ledesma, supra, 43 Cal.3d at p. 215, 233 Cal.Rptr. 404, 729 P.2d 839.) Shinn's decision to rely only on his client for sources of mitigating evidence and conclusion that the case did not warrant a reasonable investigation into petitioner's background and mental health was not an informed decision. Shinn's failure to investigate petitioner's social history and other potentially mitigating evidence and make an informed decision regarding this aspect of his penalty phase strategy and tactics is addressed next. G. Did trial counsel Daye Shinn undertake any investigation of petitioner's family and social history; medical and psychiatric or psychological history; or any other potentially mitigating background factors, and, if so, what information did he obtain which did or should have alerted him to the existence of potentially mitigating penalty phase evidence? Findings: Attorney Shinn personally conducted no investigation of Petitioner's background. He did not subpoena or otherwise obtain any school, medical, psychiatric or work records.[ [17] ] His investigator did, however, obtain some prison records from Petitioner's mother, try to verify employment history and speak to Petitioner directly regarding witnesses which might be of assistance. The prison records obtained by Shinn (Respondent's Exhibit I) would have alerted him to `potentially mitigating penalty phase evidence' in that the records, while illustrating Petitioner's violent nature, indicate some psychiatric treatment at age 16 and later while in prison from 1978 to 1981. They also describe his social history, his mixed race ancestry, his drug usage, and his poor relationship with his father which included beatings. Shinn did engage the services of Dr. Fred Weaver, a psychiatrist. Shinn asked Petitioner to cooperate in the evaluation of him by Dr. Weaver. Shinn wanted Dr. Weaver to investigate Petitioner's `mental stability' or other `mental defects' that he might be able to use, to present to the jury and possibly to save Petitioner's life. Dr. Weaver only had access to the police reports, the transcripts of the trial and the prison psychiatrist evaluation described above. Dr. Weaver sent psychologist Marcus McBroom to give a number of psychological tests to Petitioner. McBroom and Dr. Weaver discussed the results of the tests and Dr. Weaver did his own examination of Petitioner. Dr. Weaver appears to have met with Petitioner two or three times. Dr. Weaver spoke to no one other than Petitioner, McBroom and Shinn in forming his opinion. As a result of that examination, Shinn was aware of Dr. Weaver's diagnosis of Petitioner having a `sociopathic personality' and `antisocial personality disorder.' A report of the examination was prepared and given to Shinn, but the report no longer exists. This evaluation and report was based upon Dr. Weaver's interviews with Petitioner and the psychological testing performed by McBroom. Also as a result of this evaluation and Shinn's own contact with Petitioner, Shinn was aware that Petitioner had emotional difficulties based upon his racial identity, his early childhood upbringing, physical and mental abuse within his family and drug usage. Exceptions: Petitioner excepts to the findings made by the referee that Shinn's investigator attempted to verify petitioner's employment history on the basis that the investigator did not obtain Social Security records, which would have verified that history. He also complains that McBroom is referred to as a psychologist, although not licensed as such in California, and complains that the referee failed to make a finding that McBroom administered inappropriate tests that were designed for children rather than adults, the tests were insufficient to produce a correct diagnosis, and the tests produced inaccurate results. Petitioner also objects that the referee's report implies that Shinn directed his investigator to obtain the names of penalty phase witnesses prior to the return of the guilt phase verdicts, although the credible evidence establishes that no penalty phase work was begun until after those verdicts were returned. Respondent excepts to the implication that Dr. Weaver's access to background information regarding petitioner was somehow limited or impeded, noting that Dr. Weaver did not request any additional records. The referee's findings with respect to the limited investigation Shinn undertook in preparation for the penalty phase are amply supported by the record. We adopt the findings as our own. Shinn was the first witness at the evidentiary hearing. As noted earlier, he was able to recall little about the trial of petitioner. It is clear, however, that beyond retaining and talking briefly to Dr. Weaver, Shinn did none of the investigation for the penalty phase and gave his investigator no specific instructions regarding the evidence to be sought. Douglas Payne, a former Los Angeles Police Department officer and investigator, and a licensed private investigator since 1978, was appointed by the superior court to assist Shinn in July 1984. Payne had worked on two prior capital cases and several murder cases as a private investigator. He testified that his first responsibility was to review all of the information provided in discovery in order to advise Shinn if it appeared that anything had been omitted by the police department or district attorney's office. He was also to formulate a witness list, locate and interview witnesses if possible, and to meet and confer with petitioner. He told petitioner that he was a former police officer, showed petitioner his credentials, and asked if petitioner had any problem with that. Petitioner told him no as Payne's experience would give Payne insights into the police investigation. Payne met with petitioner's mother who provided some documents. He spoke to every witness that he could find based on the information petitioner and other family members provided. Some witnesses on his list had moved out of the state and some were unavailable because he had no information on how to get in touch with them. Payne's notes reflect that he had a telephone conference with Shinn and then met with petitioner at the jail on June 6, 1985. They also reflect a conference and case work on June 24 and June 27. Payne understood from Shinn that Shinn's strategy for the penalty phase was to produce family members; people who could testify about petitioner's background and upbringing; doctors who had treated, observed, or evaluated petitioner during prior incarcerations; and anyone who could offer mitigating information. Shinn placed no limitations on Payne as to investigative areas. He was limited only by the funds authorized by the court, which granted supplemental funds as needed. Petitioner told Payne that he wanted to continue to deny his guilt at the penalty phase, but petitioner was very cooperative about developing mitigating evidence and did give Payne the names of some potential witnesses. Petitioner did wish to present personal history evidence including his relationship with Wendy, and the reason for the firebombing incident that involved another woman, which the People offered as aggravating evidence. Payne did not obtain any school, military, Social Security, or employment records, but did obtain prison records through subpoenas or subpoenas duces tecum to witnesses who brought the records when they testified. Some records were provided by petitioner's mother. Payne testified that Shinn had spoken to penalty phase witnesses before their appearance. Payne introduced some to Shinn outside the courtroom and Shinn talked to prospective witnesses in the hallway, at his office, and at places where Payne could put them in touch. If Shinn was already aware, from conversations with petitioner, of the information the witnesses would offer, Shinn gave Payne the names and asked Payne to bring them to court. Shinn testified that he looked to petitioner to identify family members and friends who might be defense witnesses. [18] The investigator located and interviewed the potential witnesses. Shinn read the investigator's reports and returned the reports to the investigator. He later talked to the witnesses before he put them on the stand. He had no recollection of interviewing any of the potential defense or prosecution witnesses other than those who were put on the stand. Shinn's own file on petitioner's case consisted only of some little bits of notes he had taken during the trial on scraps of yellow paper, amounting to five or ten pieces of paper, and copies of some of the documents filed in the case. The referee's findings regarding potentially mitigating evidence that would have been found had a more thorough investigation been undertaken are also amply supported. Readily available background and family history evidence of the kind that was routinely offered at the penalty phase of capital cases at the time of this trial (see, e.g., People v. Deere (1985) 41 Cal.3d 353, 366, 222 Cal.Rptr. 13, 710 P.2d 925; People v. Davenport (1985) 41 Cal.3d 247, 276, 221 Cal.Rptr. 794, 710 P.2d 861) and was offered at the habeas corpus hearing, might have been considered mitigating by the jury. That evidence showed that as a young teenager, petitioner was rejected by a group of young Black men with whom he sought to associate in a neighborhood park. They thought he was too young to hang out with them, but also thought he looked White, effeminate, and weak. They chased him off, throwing rocks and bottles at him, but even after he was eventually accepted he was the subject of taunts. He was called white boy, Gay boy, peckerwood, half breed, and honky by people in the neighborhood in which he lived and was often teased about possibly being homosexual. Petitioner often got into fights when people teased him or grabbed him, but would run when hit hard. Then he was called a sissy or coward. On occasion neighbors goaded their sons into fights with petitioner, who always got beaten. [19] The evidence of an extremely abusive family life included that described under question H, post. H. If trial counsel did not investigate the above factors or some of them, or did not do so fully, what potentially mitigating evidence would a reasonably complete investigation have uncovered? Findings: While Shinn did conduct some investigation and was aware of the matters described, supra, additional potentially mitigating evidence would have been available to him had he conducted more thorough investigations.[ [20] ] The evidence obtained and presented at the hearing includes: a. School Documents. School documents indicate Petitioner's learning disorders, depression and anxiety in the 1970's. There is possibility of low IQ as to certain subjects, hyperactivity and the possibility of a learning handicap sufficient to qualify him for special education classes. b. Prison Records. Prison records point out depression, anxiety and mood swings. Petitioner had a history of pyromania. He had internal conflicts over race identity and possibility of `black outs.' Psychological testing scores contained within the records might have been viewed as inconsistent with Dr. Weaver's findings of antisocial personality disorder. Petitioner's prison records indicate that he responded well to prison-based therapy and might have been useful in seeking life in prison without the possibility of parole from the jury. c. Family Records. Documentation and witness accounts reveal an extremely abusive family life. Petitioner was physically beaten by his father, Van Gay. His father was also abusive to other family members. Van Gay was cashiered from the military for improprieties of a sexual nature, had difficulty holding a job and used drugs and alcohol regularly. Other family members also had emotional problems; some of this might be attributable to the unstable home life established by Van Gay. These factors might have been utilized by a different psychiatrist to paint a more favorable picture of Petitioner and his psychological makeup. Petitioner at the evidentiary hearing presented evidence from other psychiatric experts that Petitioner at the time of trial suffered from Post-Traumatic Stress Disorder because of his upbringing. d. Additional Witnesses. Witnesses beyond those called at the trial were available to Shinn. He could have presented potentially mitigating evidence substantiating the family history described above. This could have included the details of Van Gay's abuse of Petitioner's mother and his encouragement of his children to use drugs. Witnesses were available to describe Petitioner's extensive drug use as a youth and in later years; that he was the subject of taunting and beatings because of his name, ancestry, and skin tone; that Petitioner was the victim of beatings by others besides his father; and that he ran away from home. Additionally one witness, Don Anderson, might have testified in the penalty phase portion of Petitioner's trial that witness Marsha Holt stated to him that she had not, in fact, seen the murder as she had earlier testified to in the guilt portion of the trial. This might have been offered under the theory of `lingering doubt' in the penalty phase. This was a concept to which Shinn testified at the evidentiary hearing that he did not understand. At the time of trial, he told Petitioner that the evidence was not admissible. It appears to this Court to have been admissible. Exceptions: Respondent excepts to the finding that psychological testing scores in the record might be seen as inconsistent with Dr. Weaver's findings of antisocial personality disorder. Respondent also argues that the referee erred in finding that Anderson's testimony regarding Marsha Holt's guilt phase testimony was admissible. We also adopt the findings of the referee as to this evidence, but do not agree that the testimony of Don Anderson would have been admissible. Petitioner argues that Anderson's testimony would have been admissible to support an attempt to elicit mercy from any juror who held a lingering doubt as to his guilt of the murder. We disagree. Although the evidence was not, as Shinn believed, inadmissible hearsay, it was not relevant mitigating evidence. At the penalty phase a defendant must be permitted to offer any relevant potentially mitigating evidence, i.e., evidence relevant to the circumstances of the offense or the defendant's character and record. (§ 190.3; Penry v. Lynaugh (1989) 492 U.S. 302, 317, 109 S.Ct. 2934, 106 L.Ed.2d 256; Hitchcock v. Dugger (1987) 481 U.S. 393, 394, 398-399, 107 S.Ct. 1821, 95 L.Ed.2d 347; Skipper v. South Carolina (1986) 476 U.S. 1, 4-8, 106 S.Ct. 1669, 90 L.Ed.2d 1; Eddings v. Oklahoma (1982) 455 U.S. 104, 112-116, 102 S.Ct. 869, 71 L.Ed.2d 1; Lockett v. Ohio (1978) 438 U.S. 586, 605, 98 S.Ct. 2954, 57 L.Ed.2d 973 (plur. opn. of Burger, C.J.); People v. Mickey (1991) 54 Cal.3d 612, 692-693, 286 Cal.Rptr. 801, 818 P.2d 84.) Evidence intended to create a reasonable doubt as to the defendant's guilt is not relevant to the circumstances of the offense or the defendant's character and record. Thus, while a defendant may argue that a juror who has a lingering doubt should not vote for imposition of the death penalty, the defendant may not retry the guilt phase of the trial in an effort to create such a doubt. [A]t the penalty phase, jurors may consider any lingering doubts concerning the defendant's guilt. ( People v. Kaurish (1990) 52 Cal.3d 648, 706, 276 Cal.Rptr. 788, 802 P.2d 278.) But this does not mean that the defendant may introduce evidence, not otherwise admissible at the penalty phase, for the purpose of creating a doubt as to the defendant's guilt. ( People v. Zapien (1993) 4 Cal.4th 929, 989, 17 Cal.Rptr.2d 122, 846 P.2d 704.) The evidence petitioner sought to introduce through the testimony of Don Anderson does not come within the category of mitigating evidence, which must or may be admitted under section 190.3 or the Eighth and Fourteenth Amendments to the United States Constitution. Evidence that is not relevant to the defendant's character, prior record, or the circumstances of the case need not be admitted ( Lockett v. Ohio, supra, 438 U.S. at p. 604, fn. 12, 98 S.Ct. 2954) and in California is not admissible. ( People v. Zapien, supra, 4 Cal.4th at p. 989, 17 Cal.Rptr.2d 122, 846 P.2d 704.) For that reason this aspect of Shinn's representation did not cause prejudice. However, the record demonstrates that Shinn also failed to undertake even a minimally competent inquiry into petitioner's background, and an inexplicable decision to rely principally on the defendant himself to identify witnesses who might offer mitigating evidence. Shinn's failure in this regard cannot be excused, as the People suggest, on the ground that he was preoccupied with preparation for the guilt phase. He might have, but did not, seek appointment of second counsel to assist in preparing for the penalty phase, and all counsel representing capital defendants must prepare for all phases of the trial. Moreover, Shinn could and should have given specific directions to and monitored his investigator, initiated the penalty phase investigation well before the return of the guilt phase verdicts, and interviewed and prepared the witnesses he elected to present. His failure to do so appears to be directly attributable to his uninformed belief that if petitioner were to be found guilty, the death penalty was inevitable. Petitioner testified that he had no discussion with Shinn regarding a penalty trial before the guilt phase verdicts were returned. After the verdict Shinn explained the purpose of the penalty trial to him and asked petitioner about any witnesses petitioner could find or call who had something positive to say about petitioner. Shinn told petitioner that it would be necessary to have witnesses such as schoolteachers, doctors, family members and friends who had something positive to say. Other than asking petitioner for names of witnesses and asking him to meet with a psychologist, Shinn did not ask petitioner to assist in preparing for the penalty phase. Instead, Shinn told petitioner that once the jury returned a guilty verdict, it was a foregone conclusion that the death penalty would be imposed. Petitioner gave Shinn the names of witnesses petitioner thought could be called with the addresses or telephone numbers of some. Shinn told petitioner that he had given the names to Payne, his investigator, who would try to locate them. Petitioner recalled only one meeting with Payne, a meeting at the jail after the guilt phase verdicts had been returned. When petitioner asked Payne if Payne had been able to contact the persons petitioner had named, Payne said that he had not been able to locate any of them. With one exception, the witnesses who did testify at the guilt phase were located and brought to court by petitioner's mother. The other was petitioner's then mother-in-law whom petitioner asked to come. Petitioner testified about the reasons for naming his potential witnesses and states that Shinn gave different reasons for failing to call any of the witnesses Shinn had subpoenaed at defendant's request. Petitioner considered Willie Campbell a relative because of some family connections. He could testify about family relationships and knew more about petitioner's extended family than petitioner himself, but Shinn said he would not be a good witness because he was a prisoner. Paula Rice, whom petitioner had met while being transported to court, had overheard Raynard Cummings bragging on several occasions about killing Officer Verna. He believed her testimony would counter the inconsistent testimony of other jailhouse informants who said that Cummings had implicated petitioner in his confession. Petitioner wanted Rice to testify at the guilt phase but Shinn told him her testimony would not be admissible. Shinn told him the same when he asked to have her testify at the penalty phase. [21] Petitioner testified that he did not recall anyone he did not want Shinn to call as a witness, and did not give Shinn any instruction that a particular item should not be offered at the penalty phase. Prior to the penalty phase, petitioner did give Shinn information regarding his use of drugs and alcohol and discussed his racial identity concerns. He also told Shinn about the abuse he had suffered from his father, the sexual abuse by his neighbor and being placed in group therapy at the California Medical Facility at Vacaville. Dr. Gretchen White, licensed as a clinical psychologist and as a marriage and family counselor, testified, offering evidence regarding the effect of family and childhood and social influences on petitioner's development, personality, and psychosocial history. That testimony was offered as evidence that might have been, but was not, put forth at trial as mitigating evidence. Based on her approximately 120 hours of reviewing documents about petitioner's background, declarations from family members and friends about his background, and interviews with petitioner and his mother, Dr. White formed the opinion that petitioner came from a dysfunctional family that had a profound genetic vulnerability to mental illness and substance abuse. Petitioner had attentional problems that affected his ability to learn and had substance abuse problems. Throughout the time petitioner was growing up, the family was under profound stress because his parents were of different races and he experienced severe psychological and physical abuse while growing up. These factors affected his behavior and functioning throughout his childhood and into adulthood. I. Which members of petitioner's family and which friends of petitioner and his family did counsel interview; when did he do so; what potentially mitigating information did he obtain during such interviews; and, if he did not conduct such interviews, what potentially mitigating evidence would such interviews have uncovered? Findings: Shinn personally did not interview any witnesses as to their testimony except immediately prior to their taking the witness stand. Shinn did direct investigator Payne to confer with Petitioner and obtain the names of family or friends who should be interviewed. This occurred during the guilt portion of the trial and immediately after the return of the jury's verdict in the guilt phase of the trial. Had Shinn located witnesses and conducted interviews, the information described in the answer to Question [H], supra, would have become known to him. Exceptions: Petitioner excepts to the implication in the report that Shinn directed his investigator to obtain the names of penalty phase witnesses before the return of the guilt phase verdicts. He also excepts to the referee's exclusion, on hearsay grounds, of his exhibit No. 57, comprised of declarations by friends and family members of petitioner, which would have set forth in more detail the mitigating evidence Shinn could have obtained. While there is no direct evidence that Shinn instructed Payne to locate potential penalty phase witnesses prior to May 31, 1985, the date on which petitioner was found guilty of murder, the evidence establishes that Payne was aware that this task was among his responsibilities and that he did not wait until the guilty verdict was returned to begin to identify such witnesses. Payne testified that his job with regard to the penalty phase was to meet and confer with petitioner to review and compile a list of witnesses petitioner wanted to present. He and Shinn discussed the witnesses that were going to be needed long before the penalty phase began as there was no question that they were probably going into a penalty trial. The guilt phase of the trial ended on June 4, 1985. The penalty trial commenced on June 24, 1985. The penalty verdict was returned on July 3, 1985. By prearrangement with Shinn, Payne left on vacation on June 27 or 28. Payne's testimony does not identify any witness actually interviewed before the end of the guilt phase of the trial although he stated that he had done everything in his power to locate or identify all of the potential penalty phase witnesses by that time. The witnesses who had been subpoenaed for and those who actually testified at the penalty phase testified, however, that neither Payne nor Shinn interviewed them prior to that part of the trial, although Shinn spoke briefly to some witnesses just before they were called to the stand. Claudette Barber who testified at the penalty phase did not remember talking with Shinn and testified that she had no preparation before taking the stand. She had no idea what kind of questions were to be asked. She recalled only that someone told her she would be next and would be asked some general questions. Richard Kelley, a penalty phase witness, did not talk to either Shinn or Payne before he testified. Payne's notes do not reflect interviews with the witnesses he identified and do not include interview reports that Shinn might have reviewed. The declarations which the referee excluded from evidence at the evidentiary hearing are, as the referee ruled, hearsay. Petitioner contends that they were admissible nonetheless. He argues first that an adequate foundation was laid inasmuch as they were identified by the investigator who obtained them and who testified regarding the manner in which they were obtained and because they were relied on by Dr. White for her opinion. He also argues that they were admissible not for their truth, but for the nonhearsay purpose of demonstrating what potentially mitigating evidence was available. The referee did not err. The declarations are hearsay. (Evid.Code, § 1200.) Some are multiple hearsay as to which no exceptions to the hearsay rule apply. (Evid.Code, § 1201.) The adequacy of the foundation laid for their admission does not bring the declarations within any exception to the hearsay rule. They cannot be considered for the purpose of showing what evidence that might have been considered mitigating by the jury at the penalty phase was available unless they are considered for their truth. The record does establish that petitioner has located numerous persons who were not interviewed by Shinn or Payne and who claim to have knowledge of petitioner's background. Petitioner did not call those witnesses at the evidentiary hearing, however. Admitting their statements in the form of declarations would have denied respondent the opportunity to cross-examine the declarants regarding their statements and assertions that they would have testified. The testimony of other witnesses confirms, however, that a substantial amount of potentially mitigating evidence was available from numerous sources that were not investigated or interviewed by Shinn. Two such persons, Richard DeLouth and David Willoughby, who had known petitioner as a child and were familiar with the physical abuse he suffered and the impact on him of his mixedrace background, did testify at the evidentiary hearing. Richard DeLouth had known petitioner since the end of 1971 when he had lived only two houses from the Gay home. They were neighbors for five or six years during which time they were very good friends and saw each other on a daily basis. He had observed others, both Black and White, taunting petitioner about his racial makeup, calling petitioner a half breed and half a nigger. He himself had teased petitioner about his slight stature. He also testified about petitioner's use of marijuana and alcohol and his sniffing of paint and glue while in junior high school, and about Van Gay, petitioner's father, using marijuana in petitioner's presence. He and petitioner had stolen marijuana from another neighbor. DeLouth had never known petitioner to fight, but on one occasion when petitioner was being taunted but did not want to fight, Van Gay came out of the house and ordered petitioner to fight like a man. Petitioner was seen as an easy target because he did not like to fight and was picked on for that reason by other people. DeLouth testified that he knew both Gail Beasley and Marsha Holt, trial witnesses, had sold drugs to them, and had been with them when they used drugs. He had known Raynard Cummings for several years before he met petitioner. He had witnessed violent acts by Cummings when Cummings played on a Little League baseball team with DeLouth's brother. DeLouth was very surprised that petitioner and Cummings were friends later because he knew Cummings's temper and violence. David Willoughby had known petitioner since 1967. His home in Pacoima had been seven houses from that occupied by the Gay family. He was then four years old and remained a neighbor for nine years. Willoughby was a good friend of petitioner's younger brother Steven, and was at the Gay house several times a week. He became friends with petitioner also and both ate and spent the night in the Gay home. He witnessed Van Gay beating petitioner at least 10 times, and at other times from the street heard yelling and screaming in the home. When Van Gay was at home the atmosphere in the house would be tense and nervous. He did not enjoy being at the house when petitioner's father was there because Van Gay was always yelling at the children or beating petitioner. Van Gay was moody and they never knew what his mood would be. Willoughby saw Van Gay drunk almost every day. When he was drunk he became meaner, and hit the children if something wasn't done or they talked back. He hit petitioner more often than the other children, frequently calling him an asshole, or f---ing asshole. Petitioner was beaten for things he had not done. Van Gay usually hit petitioner with his hands, but Willoughby saw him hit petitioner in the front yard with a golf club and also saw him use a leather belt. Willoughby saw bruises, hand prints on petitioner's face, busted lips, and black eyes on petitioner from the beatings. When Van Gay used the golf club to strike petitioner he swung it with full force as if he was swinging a bat. He hit petitioner twice. Petitioner screamed and asked his father to stop when the belt was used. When he was being beaten, petitioner would cower and roll into a ball to block the blows. This seemed to make Van Gay angrier. On one occasion petitioner appeared to be on the verge of passing out during a beating. Petitioner's mother had objected and Van Gay had begun to strike her. Petitioner and Steven then attempted to intervene. Van Gay threw petitioner through a doorway into the bedroom and hit him until petitioner, who had crawled onto the bed, appeared to be dazed. Petitioner weighed about 115 pounds, Van Gay about 200 pounds. Willoughby testified that he had also seen marks from beatings on Steven and on petitioner's sister Dorrie. Willoughby had heard comments about petitioner and name calling by neighbors, both children and adults, who referred to petitioner as half breed and honky. He had also seen petitioner beaten in a fight because of his mixed race. One parent told his son that he did not want his son playing with a half breed kid and goaded his son to fight petitioner, who was beaten up in the ensuing fight. None of the other people around the fight attempted to stop it. Instead they goaded it on. Every Friday at their junior high school was called Patty's Day. On that day the Black students beat up the White and mixed-race students and the Mexican students. He knew that petitioner had been beaten up on Patty's Day. When petitioner said he was tired of going to that school, petitioner's father told petitioner that he had to learn how to fight and stop acting like a wimp. Willoughby, too, testified about Van Gay's open use of marijuana, and about petitioner's substance abuse as a child. J. Which potential witnesses, if any, did petitioner tell trial counsel he did not want to testify? Which additional persons, if any, did petitioner want to call to offer mitigating evidence, and what would their testimony have been had they been called? Findings: Petitioner did not want his siblings, his father, or his father's friends to testify. He made clear to investigator Payne that he did not want to grovel during the penalty phase of the trial. Payne did confer with Petitioner, Petitioner's mother and Shinn in an attempt to identify witnesses. Five witnesses who were in state prison at the trial were, at Petitioner's request and with Shinn's acquiescence, brought to Los Angeles [fn. omitted]. However, the evidence at the evidentiary hearing demonstrates that Don Anderson was the only witness which Petitioner wanted to call to offer mitigating evidence. As discussed above, Anderson was the husband of Marsha Holt, a prosecution guilt phase witness. Petitioner wanted Anderson to testify as to an inconsistent statement by Holt that she had not seen the murder, contrary to her early testimony. Shinn told Petitioner that the testimony would be hearsay and not admissible. This Court believes investigator Payne's testimony that Petitioner's attitude during the penalty phase was `if they want to convict me, then they can give me the death penalty.' Petitioner's desire during the penalty phase was to continue to maintain his innocence and not give the appearance of `sniveling or groveling for his life.' Exceptions: Petitioner excepts to the finding that he made it clear to investigator Payne that he did not want to grovel during the penalty phase of the trial. He argues that the evidence demonstrates that he did want to put on a penalty phase defense, and cooperated with everyone involved to present a defense. He also excepts to the finding that of the five subpoenaed witnesses, he wanted only Don Anderson to give mitigating evidence. He asked that the witnesses be brought, the witnesses had potentially mitigating evidence, and it was Shinn who declined to call them. The evidence shows at most that he did not want his father and perhaps one sister to testify. The evidence supports the referee's finding that petitioner objected to calling some family members. However, the evidence also supports petitioner's claim that he did desire to put on a penalty phase defense that included both a continued assertion of innocence and mitigating evidence about his family background and mental health. He cooperated with Investigator Payne, with Shinn, and with Weaver and McBroom in their preparation for the penalty phase. While petitioner may have indicated to Payne that he did not want to put on some types of evidence, there is no evidence that petitioner made the same statement to either Shinn or Weaver. The record satisfies us that the failure to investigate and develop available mitigating evidence is attributable in major part to Shinn's belief, shared by Weaver, that because petitioner had killed a policeman, imposition of the death penalty was a foregone conclusion. We do not foreclose the possibility that the failure is also attributable to simple incompetence unrelated to Shinn's assessment of the likelihood that the death penalty would have been imposed. Investigator Payne testified that there were some family members whom petitioner stated he did not want exposed to the trauma of trial, and petitioner did not want to give the appearance of sniveling or groveling for his life. He did not want to go into abuse by his parents or any type of abuse, psychological or sexual, and he did not want to use his father as a witness as his father had some problems and petitioner did not believe he could control his father. Petitioner gave Payne instructions on every witness. He refused to call an older brother who was in prison and one younger sibling he felt had nothing relevant to offer. Petitioner did not want Dorrie Gay, Steven Gay, or Sharon Gay called. Petitioner himself testified that he wanted to insist on his innocence at the penalty phase. He also testified that, although the subject did not come up, he would have groveled to get a life without possibility of parole sentence. He did not tell Shinn that he did not want his father or sisters to testify. The referee found Payne's testimony convincing. As noted earlier, since the referee has the opportunity to hear and observe the witnesses at an evidentiary hearing, we accord great deference to the referee's assessment of credibility. Nonetheless, while petitioner may have said he did not want to grovel and did indicate that some family members should not be called, the evidence does not support a conclusion that petitioner did not want to put on a defense at the penalty phase. We do not equate a desire not to grovel with abandonment of a penalty phase defense. Indeed, Shinn, Payne, and Weaver all testified that petitioner was cooperative and helpful in penalty phase preparation. Although petitioner did not want his father or his sister to testify, he did not put limits on other potential witnesses. His reluctance to have those witnesses called may well be explained by his father's mental deterioration and erratic behavior and by his sister's schizophrenia. There is no evidence that petitioner did not want the other persons he had named to testify other than Payne's assertion that he had arranged for their removal from prison in order to give them a free ride. One Willie Campbell could have testified about petitioner's family. As the findings of the referee and the evidence above reflect, Shinn's incompetent failure to marshal mitigating evidence and his use of a mental health expert who described petitioner as a sociopath with an antisocial personality, left the jury with the impression that nothing in petitioner's background contributed to his conduct or warranted sympathy. K. Did trial counsel have a tactical reason for introducing or displaying exhibits A, C, and D to the jury, and, if so, what was that reason? [22] Findings: Shinn had apparent tactical reasons for utilizing Exhibits A, C and D during petitioner's trial. Exhibit A is a photograph of the victim police officer, Paul Verna. While it may have been displayed earlier to the jury during the prosecution's opening, Shinn chose to utilize the photograph in an attempt, as Shinn described, to shock Pamela Cummings into telling the truth about the case. Payne corroborated this explanation. Shinn explained that this was a tactic that had been utilized  albeit unsuccessfully  in the Charles Manson case by the defense [fn. omitted]. He had used the tactic in other cases as well. With reference to Exhibits C and D, Shinn had little memory other than to state that he used them for `trial tactics.'[ [23] ] These two exhibits were the written statements of prosecutor's witness Pamela Cummings and her husband co-defendant Raynard Cummings. In those statements they attempted to lay blame on both Petitioner and an uninvolved individual. There was no evidence adduced at the hearing as to the reason for their use by Shinn other than his proffer of `trial tactics.' Respondent argues, however, that the statements were utilized to impeach Pamela Cummings and demonstrate the ends to which she and her husband would go to shift blame to others. This explanation is not an unreasonable one in light of the lack of evidence to the contrary. Exceptions: Petitioner excepts to the finding that Investigator Payne corroborated Shinn's explanation for the use of exhibit A and to the implication that the explanation proffered by respondent can be attributed to Shinn. Finally, he excepts to the conclusion of the referee that Shinn had tactical reasons for using exhibits A, C and D at trial. We agree with the referee that Shinn may have had tactical reasons for using exhibits C and D. Investigator Payne testified that he had discussed the use of trial exhibit A, the blowup photograph of Officer Verna, with Shinn. The photograph was to be used to put a face on the mannequin that had been used with rods to demonstrate the path of the bullets. Shinn testified at one point that he displayed exhibit A in order to shock Pamela Cummings into telling the truth, and at another that he felt that other exhibits were not going to leave a lasting impression on the jurors. The photo had been a prosecution exhibit that had been on display but was not used. Petitioner argues that Shinn's explanation that he used exhibit A in an attempt to shock Pamela Cummings into telling the truth about the murder is belied by the record. At the time Shinn introduced exhibit A, he was cross-examining Raynard Cummings during trial of the robbery counts, and at that point was precluded from cross-examining Pamela Cummings about the killing because the murder trial had not begun and the mannequin had not been used. We need not consider whether Shinn's display of the photo of Officer Verna reflected incompetence because we find no likelihood of prejudice. While the prosecution did not introduce the exhibit, the photo had been in the courtroom, visible to the jury, during the trial. Formal admission of the exhibit would not elicit perceptible sympathetic reaction that could have caused prejudice. Shinn testified that he introduced trial exhibits C and D as trial tactics. Exhibit C was a statement Pamela Cummings had given to the police. In the statement, Pamela blamed petitioner for the shooting. Exhibit D was a statement Raynard Cummings had given to the police. It implicated petitioner in the shooting. Petitioner fails to acknowledge, however, that both statements also falsely implicated one Milton Cook, who resembled Raynard Cummings, in the shooting. During his cross-examination Shinn brought out the fact that Pamela and Raynard had conspired to implicate Cook. Respondent argues that the evidence supports the referee's finding that Shinn did have tactical reasons for using these exhibits. Although when first asked Shinn could not remember what the tactical bases for these actions were, he later testified that Pamela Cummings was protecting her husband during her testimony. Payne testified that defense strategy was to implicate Raynard Cummings as the person who shot Officer Verna. Petitioner himself testified that part of the strategy of the defense was to show that Pamela and Raynard Cummings had lied in their statements. Respondent suggests that Shinn's lack of recall of the details of his representation of petitioner does not demonstrate that he actually had no tactical reason for using these exhibits, but is attributable to Shinn's age, and the 10-year interval between the trial and the habeas corpus evidentiary hearing. Petitioner argues again that the record belies respondent's theory as to Shinn's tactical reasons for introducing exhibits C and D. He points out that when exhibit C was introduced, Pamela was being cross-examined during the robbery portion of the trial of Raynard Cummings. She had not yet testified in the murder case against petitioner. Moreover, all the evidence necessary to establish that Pamela should not be believed had already been introduced. Exhibit D not only implicated petitioner, but corroborated Pamela's later testimony. Exhibits C and D offered the only direct evidence to support the prosecutor's theory that two persons had used a single gun in the shooting. Nonetheless and regardless of the stage of the trial at which these exhibits were introduced, we cannot discount the evidence that Shinn's purpose in introducing these exhibits was to persuade the jury that Pamela Cummings and her husband would go to any lengths, even implicating an innocent person, in their efforts to seek acquittal of Raynard Cummings. Faced with the quantity of damning evidence against petitioner, it was not unreasonable for counsel to attempt to turn the Cummingses' statements against them in an effort to persuade the jury that Raynard Cummings alone was responsible for shooting Officer Verna. In any event, since the jury had rejected the version of events recounted in these exhibits, their introduction would not have caused prejudice to petitioner at the penalty phase of the trial. Finally, we consider petitioner's claim that Shinn did not develop a coherent penalty phase strategy prior to presenting his witnesses. L. Did Shinn formulate any penalty phase strategy prior to the trial of the penalty phase and/or to final arguments, and, if so, what was that strategy and how was it implemented? Findings: Shinn's penalty phase strategy was formulated following the return of a guilty verdict. However, he and his investigator discussed the possibility of conviction during the guilt phase and, in light of the fact that the investigator would be on vacation during the penalty phase of the trial, Payne started work on it during the guilt phase. While Shinn did not recall his strategy, he stated that he always formulated one. Investigator Payne testified that the strategy was simply to produce witnesses who could testify as to Petitioner's background, to obtain doctors who had earlier observed him and anyone else that could offer mitigating evidence. The strategy was simply to put on the stand anyone who could say anything positive about the Petitioner. Exceptions: Petitioner excepts to the finding that work on the penalty phase was begun during the guilt phase and to the finding that Shinn formed a strategy following the guilt verdict and that the strategy was one of putting on the stand anyone who could say anything positive about petitioner. We conclude that it is unnecessary to resolve when Shinn developed his penalty phase strategy. As the findings above reflect, Shinn's preparation for the penalty phase was woefully inadequate. He did not conduct a thorough investigation and discover the potentially mitigating evidence that was available. He did not interview and prepare the witnesses he did present, and had decided prior to the penalty phase that much of this was unnecessary because imposition of the death penalty was a foregone conclusion. Shinn did present some mitigating evidence about petitioner and an expert opinion that he would not be a problem in a structured setting. (See People v. Cummings, supra, 4 Cal.4th at pp. 1271-1272, 18 Cal. Rptr.2d 796, 850 P.2d 1.) Although his strategic approach to the penalty phase initially sought only to offer witnesses who could say something positive about petitioner, it is apparent from his examination of Dr. Weaver and his closing argument that some strategy had evolved when the penalty phase began an attempt to convince the jury that life in prison without possibility of parole was an appropriate penalty because evidence might someday be found to establish that petitioner was not the person who shot Officer Verna and since petitioner did well in a structured setting, he could make a positive contribution in the prison environment where his education and skills could be used to benefit other prisoners.