Opinion ID: 1225502
Heading Depth: 3
Heading Rank: 8

Heading: Constitutional Inadequacy of Trial Counsel

Text: (15a) Defendant argues that in the presentation of his mental defense at trial, his lawyers fell below the standard of competency prescribed by the Sixth Amendment, an error that had prejudicial (and thus reversible) consequences. As noted elsewhere, the central feature of that defense was the claim that defendant suffered from an organic brain defect that, in conjunction with prolonged crack cocaine abuse, rendered him incapable of the deliberation and premeditation required to support a verdict of first degree murder. In seeking to lay a factual anchor for that defense, defendant's counsel presented expert psychiatric testimony designed to illustrate for the jury the random, impulsive, and unpremeditated quality of defendant's behavior, especially in the two or so weeks immediately preceding the killing of Norma Painter. As the defense opened its case-in-chief at the guilt phase, the jury heard testimony from Dr. Fred Rosenthal, a psychiatrist who had conducted extensive interviews with defendant and studied his history of multiple drug use and its effect on his behavior. Soon after defense counsel began his direct examination of Dr. Rosenthal, proceedings were recessed and Judge Ridgeway conferred with counsel for both parties out of the presence of the jury. The prosecutor, Mr. Gilmour, then made a statement for the record: MR. GILMOUR: Your Honor, as I indicated previously, I just obtained the doctor's [i.e., Dr. Rosenthal's] report yesterday evening around 4:00 o'clock or so. [¶] And looking at it, I noticed last night that in his report verbally set forth is virtually the entire penalty phase evidence that I had intended to produce and which has been noticed in 190.2. And he sets forth the defendant's background in robbing three stores, one in Fairfield, one in Stockton, of course, the one we have in Sacramento. [¶] He talks about raping the woman in Fairfield and talks about the fact that he's been in prison in Tennessee, and for burglary and escape and virtually the whole thing. [¶] Naturally, when I read this, is this [a] legitimate area for cross-examination, whether they bring it up or not, but not to worry because Mr. Dawson [defense counsel], as a matter of fact, reminded me that I should have brought it to the court's attention. [¶] In essence, and he said that over the break he does plan on bringing this out with this doctor, and he intends to do that. And I don't know that it's necessary that the defendant  that there be any kind of waiver, but out of an abundance of caution, I want to bring it to the Court's attention to see if it's necessary, in the Court's opinion, that the defendant be aware of this and, in essence, consent and agree that this is what is in his best interest to do. [¶] Because otherwise, I don't think  I don't even think even if it's in the report, if they don't talk about, I don't think I'd be able to go into it on cross. THE COURT: Well, this is a little unusual. I've never been confronted with the prosecutor bringing this up. [¶] Mr. Dawson, I'm not sure whether to ask you to comment or not, but this is a little unusual in that sense that the prosecutor has brought it to the attention of the Court. [¶] Do you care to comment on this at all? MR. DAWSON: No. THE COURT: I take it that if you are going to go into it, that you have weighed the advantages and disadvantages in bringing it up at this time, however? MR. DAWSON: Well, I'm simply going to say, your Honor, that there have been long hours of evaluation on the part of both Ms. Lange [cocounsel] and myself as to this kind of tactical issue, and I guess we're at the point where if our bar tickets go because of this, that's the way it works. THE COURT: I know you also have a problem because if you  if you wait and the jury hears all this stuff in the penalty trial, it can sometimes have a devastating effect, and bringing it up now allows to reduce the shock value, and that's one tactical reason. [¶] But I take it Mr. Musselwhite's been apprised of this and is not uneasy with it? MR. DAWSON: I think he's uneasy with the entire process. THE COURT: Well, I thought that's a poor choice of words. MR. DAWSON: Yes. Let's put it this way. It may also be a fundamental part of the ultimate issues that the doctor is going to have to talk about, and to maintain the integrity of the evaluation, that puts us at that tactical point. We're caught between the devil and the deep blue, as it were. THE COURT: I can understand your dilemma. [¶] Mr. Musselwhite, you have [an] absolute right not to comment or to say anything at all, sir. And if you want to say something, you have every right to do so, but you certainly are not required to say anything at all, and it might be in your best interest to at least take a brief moment and talk to your lawyers for just a second as to whether or not you want to do anything at all at this point. THE DEFENDANT: Well, we've discussed this  THE COURT: Before you do so, why don't you talk to them. (Unreported discussion between Ms. Lange, Mr. Dawson, and the defendant.) THE DEFENDANT: Your Honor, we've discussed this in the past, you know, quite a few times. And I agree one hundred percent what they are doing, and I'm willing to let it go. The direct examination of Dr. Rosenthal then resumed. In the course of questioning, the witness's testimony encompassed the content of his four interviews with defendant, his examination of the BEAM test results, and interviews with people acquainted with defendant. As part of that psychiatric evaluation, defense counsel had provided Dr. Rosenthal with reports of four criminal incidents involving defendant in the two weeks immediately prior to the killing of Norma Painter: a robbery and rape at a video store in Fairfield on November 24, 1987; the robbery of a store in Stockton on November 27, 1987; the Sacramento video store robbery on November 30, 1987, as a result of which defendant was also charged with the attempted murder of Shawn May; and the robbery and murder of Norma Painter on December 7, 1987. According to Dr. Rosenthal's testimony on direct examination, his conclusion that defendant did not deliberate the murder of Mrs. Painter was based in part on the history that led up to the time when these crimes occurred, the recent period, specifically a month or two before the killing of the one lady that was killed in this crime. Dr. Rosenthal discerned quite a tragic escalation [in defendant's drug use and behavior] that seemed to occur up to the point where Mrs. Painter was actually killed in December of 1987. He went on to describe the dynamics of defendant's behavior in the two weeks preceding the killing: It appeared from the history that Mr. Musselwhite was becoming extremely and increasingly disturbed and was spending more and more time using and searching for the drug that he was using, cocaine. [¶] And his behavior was becoming more destructive. He was becoming more irritable, more hyperactive, more aggressive, and more violent. And there were then episodes within a month of the killing of increasing violence and serious violence that he was engaged in. [MR. DAWSON:] And when you talk about episodes, you're aware of the charges that he faces here in terms of the homicide involving Norma Painter and the attempted murder charge involving Shawn May, are you not, sir? [DR. ROSENTHAL:] Yes, I am. [MR. DAWSON:] Are you referring to just those episodes of activity, or are you referring to also others? [DR. ROSENTHAL:] My understanding is that there were two other episodes just roughly within that same time frame, all occurring within about two or three weeks of the actual killing, in which Mr. Musselwhite was involved in aggressive acts, stealing or attempting to steal, and attacking people with a weapon. [MR. DAWSON:] Now, is this  is the conduct in those acts in the nature of the aggressive or assaultive behavior significant in terms of the understanding you have about conduct of people who are cocaine users? [DR. ROSENTHAL:] It's very significant because it's, unfortunately, very typical of people who get involved in extensive cocaine use. Their behavior becomes increasingly destructive, [and] they become more desperate to obtain the drugs. After elaborating somewhat on the four attacks by defendant between November 24 and December 7, 1987, Dr. Rosenthal continued: Clearly, his life, before reaching Sacramento, was not exemplary, but this kind of serious violence did not occur, as far as I could tell from the history. And now in a period of three weeks, as he's using this drug, he starts to become increasing[ly] violent, aggressive, and irrational in a sense, doing acts that are fairly destructive, both to others and to himself. And this, of course, then culminates in this very, very unfortunate tragedy of actually killing someone. [MR. DAWSON:] Now, from the standpoint of a mental health professional, someone who's been asked to make an evaluation related to really two incidents, do you feel you could ignore those other incidents, or do those have to be taken into account in evaluating this course of conduct? [DR. ROSENTHAL:] I think you cannot ignore the history, especially since it occurred so close to the time that these two episodes that we're concerned with here did occur. [¶] I think as a mental health professional trying to understand the mental state or give some opinion about a mental state, you would have to consider the behavior leading up to those two incidents. In view of these exchanges, it is not surprising that defendant should now argue before this court that the revelations disclosed to the jury in the course of defense counsel's direct examination of Dr. Rosenthal  particularly the two uncharged prior robberies  were irreversibly prejudicial and constituted inadequate assistance of counsel in the constitutional, Sixth Amendment sense. Although it is clear enough from the trial transcript excerpt, set out above, that trial counsel were cognizant of the risks inherent in the strategy they adopted, defendant suggests alternative, less damaging means of presenting and supporting his mental defense at trial were available and should have been used. First, he argues that Dr. Rosenthal's testimony would have been equally valid without mention or consideration of the two uncharged prior robberies. Part of the difficulty with this line of attack is that it was refuted, or at least rejected on professional grounds, by Dr. Rosenthal himself during his direct examination by defense counsel. In response to counsel's query whether, as a mental health professional, he could ignore those other incidents  meaning the two prior uncharged crimes  in formulating an opinion regarding defendant's mental condition, he answered, [Y]ou cannot ignore the history, especially since it occurred so close to the time that these two episodes that we're concerned with here did occur. [¶] I think as a mental health professional trying to understand the mental state or give some opinion about a mental state, you would have to consider the behavior leading up to those two incidents. Defendant's brief counters these views of Dr. Rosenthal, arguing that in preparing his testimony, trial counsel should have instructed the witness not to rely on or mention the unadjudicated prior criminal acts in forming an opinion concerning defendant's deliberative capacity. In pretrial motions, defendant points out, the defense had moved to exclude the introduction by the People of any evidence of these uncharged crimes  the Fairfield and Stockton robberies and attempted rape incidents of November. As the trial unfolded, the prosecution, having succeeded in gaining a favorable ruling on the admissibility of defendant's confession to Detectives Bell and Reed, offered a stipulation that the uncharged offenses would not be raised without advance approval by Judge Ridgeway. With the prosecution's offer to stipulate on the table, the trial court ruled orally before all counsel that there's to be no mention in this trial by anyone of the Fairfield/Stockton incidents without bringing it to the attention of the Court.... Thus, as trial was about to begin, the defense had succeeded in barring the prosecution from eliciting any evidence of the two unadjudicated incidents without the express approval of Judge Ridgeway. As we have seen, however, it was the defense itself  with the trial court's consent  that reversed course and elected to present to the jury evidence of the Fairfield and Stockton crimes. In the face of this record, we have no doubt that decision was an informed, deliberate tactical election, taken by experienced lawyers in the light of the circumstances as they appeared at the time. Is that conclusion alone sufficient to dispose of defendant's Sixth Amendment claim in this direct appeal from the judgment of death? Under the circumstances shown here, we think it is. We have often said that a reviewing court may not retrospectively second-guess defense counsel's tactical decisions made in the stress of trial. (16) Indeed, relying on United State Supreme Court precedent, we recently explained that, `[i]n order to demonstrate ineffective assistance of counsel, a defendant must first show counsel's performance was deficient because his representation fell below an objective standard of reasonableness... under prevailing professional norms. ( Strickland v. Washington (1984) 466 U.S. 668, 687-688....) Second, he must also show prejudice flowing from counsel's performance or lack thereof. [Citations.] Prejudice is shown when there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different. A reasonable probability is a probability sufficient to undermine confidence in the outcome. [Citations.]' ( In re Avena (1996) 12 Cal.4th 694, 721 [49 Cal. Rptr.2d 413, 909 P.2d 1017]; see also People v. Castillo, supra, 16 Cal.4th at pp. 1014-1015.) Defendant argues, however, that under the circumstances here counsel's decision to, in effect, jettison the gains obtained through the prosecution's stipulation  by the calculated disclosure to the jury of the two priors in the course of examining Dr. Rosenthal  was all the more egregious, unjustifiable, and prejudicial. Facial egregiousness, however, is not the test under the Sixth Amendment, nor could it be. Claims of constitutional inadequacy of counsel are assessed under a two-part standard requiring, first, a showing that counsel's performance fell below an objective professional standard and, second, that it prejudiced the defendant. Indeed, in assessing a Sixth Amendment attack on trial counsel's adequacy mounted on direct appeal, competency is presumed unless the record affirmatively excludes a rational basis for the trial attorney's choice. ( People v. Pope (1979) 23 Cal.3d 412, 426 [152 Cal. Rptr. 732, 590 P.2d 859, 2 A.L.R.4th 1]; People v. Pensinger (1991) 52 Cal.3d 1210, 1252 [278 Cal. Rptr. 640, 805 P.2d 899].) (15b) We cannot say that standard has been met on this record, where seasoned defense lawyers possessed an informed understanding of both the relevant legal principles and the factual and strategic circumstances. The opinion in People v. Perez (1978) 83 Cal. App.3d 718 [148 Cal. Rptr. 90], on which defendant relies, is not helpful. There, defense counsel disclosed to the jury the fact of the defendant's prior similar conviction  sua sponte and in violation of the trial court's ban on such a disclosure  because he misunderstood controlling law governing the admissibility of closely similar prior offenses. ( Id. at p. 733.) Trial counsel in Perez had not only blundered, but the record demonstrated affirmatively that the blunder arose because he was ignorant or misinformed as to the governing law. ( Ibid. ) Here, on the other hand, it is evident from trial counsel's colloquy with Judge Ridgeway and the prosecutor that preceded the direct examination of Dr. Rosenthal, as well as from counsel's questions themselves, that defendant's attorney had embarked on an informed if calculated risk. It is not difficult to see why trial counsel concluded the gamble was worth running despite the obvious hazards it presented. At that juncture, the trial court had ruled there had been no Miranda violation in obtaining defendant's confession to the murder of Norma Painter, paving the way for its introduction into evidence at trial. The court had, moreover, denied the defense motion to sever the Shawn May robbery and attempted murder counts from the Painter felony-murder counts. Thus, on the eve of trial, the defense occupied an exposed position  between the devil and the deep blue, as defense counsel told Judge Ridgeway. In effect, as defendant's attorneys prepared to mount his defense, the possibility of an acquittal appeared vanishingly remote, if not nil, while on the other hand, the chances of a worst case outcome  imposition of the death penalty  seemed substantially enhanced. Moreover, since the defense conceded defendant's responsibility for the killing from the outset, avoiding a conviction of first degree murder was his only real hope. That depended, of course, on Dr. Rosenthal making the best possible case for the absence of premeditation and deliberation. Evidently, the defense gambled. And lost. We conclude, however, that counsel's tactical decision to elicit defendant's uncharged prior crimes and the facts surrounding their commission during the direct examination of Dr. Rosenthal was not unreasonable under the legal and factual circumstances confronting the defense at that juncture in the trial. Counsel's examination of Dr. Rosenthal therefore did not constitute ineffective assistance of counsel within the meaning of the Sixth Amendment.