Opinion ID: 2320298
Heading Depth: 1
Heading Rank: 2

Heading: The PCR Petition

Text: ¶ 26. Having affirmed appellant's conviction, we now turn to his PCR petition. Appellant contends that the superior court erred by granting summary judgment to the State despite the existence of genuine issues of material fact regarding appellant's claim of ineffective assistance of counsel. See In re Carter, 2004 VT 21, ¶ 6, 176 Vt. 322, 848 A.2d 281 (Summary judgment is appropriate when there are no genuine issues of material fact and, viewing the evidence in a light most favorable to the nonmoving party, the moving party is entitled to judgment as a matter of law.). More specifically, appellant contends that there were genuine issues of material fact with respect to attorney Schwarz's failure to: (1) move to suppress appellant's confession; (2) request the correct jury instruction regarding the voluntariness of appellant's confession; (3) present an argument for a lesser charge or discuss the possibility of such an argument with appellant; (4) adequately argue or preserve his objection to the lack of a manslaughter jury instruction; and (5) present any evidence to humanize appellant at his sentencing hearing. ¶ 27. In making a claim of ineffective assistance of counsel in the context of a petition for post-conviction relief, the petitioner bears the burden of proof. Appellant was required to demonstrate that: (1) his counsel performed below an objective standard of reasonableness according to professional norms; and (2) this substandard performance resulted in prejudice. In re LaBounty, 2005 VT 6, ¶ 7, 177 Vt. 635, 869 A.2d 120 (mem.). In deciding the State's motion for summary judgment, the superior court considered only the second prong of this analysis, setting aside the question of whether Schwarz's conduct fell short of professional norms until after its ruling. Accordingly, the court determined only whether appellant's defense was prejudiced, that is, whether `counsel's errors were so serious as to deprive the defendant of a fair trial, a trial whose result is reliable.' Id. (quoting Strickland v. Washington, 466 U.S. at 687, 104 S.Ct. 2052). With respect to each of appellant's claims of ineffective assistance, the superior court ruled that none of Schwarz's alleged unprofessional errors resulted in prejudice to appellant's defense. We affirm each of the superior court's rulings except for its determination that there was no genuine issue of material fact with respect to Schwarz's alleged failure to discuss with appellant the possibility of an argument for a lesser charge. We therefore reverse and remand appellant's PCR petition to the superior court for further proceedings.
¶ 28. Appellant first claims that Schwarz was ineffective in failing to move to suppress appellant's confession. While we question the wisdom of failing to challenge a confession that was obtained following a Miranda violation, we cannot question the superior court's determination that this decision did not affect the outcome of appellant's trial. A motion to suppress would have been futile because the Miranda violation did not result in a confession in appellant's second interview, and the confession during appellant's third interview was voluntary. Supra, ¶ 15.
¶ 29. Appellant next contends Schwarz's failure to request the correct jury instruction regarding the voluntariness of the confession caused him prejudice. Appellant was entitled to have the jury charged not to consider the confession unless it found the confession voluntary beyond a reasonable doubt. State v. Caron, 155 Vt. 492, 503, 586 A.2d 1127, 1133-34 (1990) (describing Vermont's use of the Massachusetts rule, whereby voluntariness of a confession is determined first by the trial judge by a preponderance of the evidence, then by the jury according to a reasonable doubt standard). Instead, without objection, the jury was charged that in considering what weight to give to appellant's statements, you should consider whether these statements were freely and voluntarily made without fear of threats or physical or psychological coercion or promises of reward. You may consider the situation of the conversation between the defendant and the police, including the duration of questioning, who was present, whether the defendant was warned about and understood his right to remain silent, his right to a lawyer, and that his statement could be used against him, and whether the defendant knowingly and voluntarily waived those rights. You should consider the defendant's motivation in making any statement. In short, you should give the defendant's statements just such weight as you feel they deserve under all the circumstances as you find them. The superior court determined that there may be a reasonable probability that the jury would not have found [appellant's] statements voluntary beyond a reasonable doubt and a proper charge may have triggered a different finding on voluntariness. The court nevertheless ruled that there was no prejudice from this error because the remaining evidence was sufficient to convict appellant. ¶ 30. We do not share the superior court's confidence that the jury would have found appellant guilty of first-degree murder even if it had disregarded the confession, but we agree that appellant was not prejudiced by Schwarz's error in failing to request the correct instruction. See Caledonian-Record Publ. Co. v. Vt. State Coll., ¶ 7, 175 Vt. 438, 833 A.2d 1273 (noting that we may affirm a judgment where the correct result was reached for the wrong reason). There was no reasonable probability that the jury would have reached a different conclusion as to the voluntariness of appellant's confession if it had been charged properly. The jury heard testimony about the facts surrounding each of appellant's Pennsylvania interviews, including appellant's three separate waivers of his Miranda rights and the Vermont detectives' violation of appellant's Miranda rights at the end of the second interview. Appellant testified that he agreed to the third interview [b]ecause of the pressure, but he continued, I didn't want it over my family, apparently indicating that he wanted to spare his family the pressure that he was experiencing. Schwarz emphasized this point in his closing argument, stating that appellant simply wanted the police to leave his family in Pennsylvania alone, and so he agreed to give that final statement. He lied to the police about what he knew because he was alone, he was scared, and he felt no one wanted to hear the truth. Appellant's strategy was not to convince the jury that his confession was coerced; indeed, there was no evidence linking appellant's statement to the coercion the detectives employed in the second interview. Supra, ¶ 15. Instead, appellant sought to convince the jury that his statement, while voluntary, was false. The jury could have believed this argument and disbelieved appellant's incriminating statements, but it could not have concluded, even if properly instructed, that there was any doubt as to the voluntariness of the statements.
¶ 31. Appellant's third argument is that Schwarz failed to pursue an effective trial strategy. It is almost self-evident that appellant's defense strategy was doomed to fail, relying as it did on outlandish claims that conflicted with appellant's videotaped confession. The superior court ruled, however, that Schwarz had no choice but to pursue an all-or-nothing defense because appellant insisted on it. The court stated, correctly, that a defense attorney must abide by certain of a defendant's decisions, even if doing so is not in the defendant's best interest. See In re Trombly, 160 Vt. 215, 218, 627 A.2d 855, 856 (1993) (stating that the decisions of whether to testify and how to plead are to be made by the defendant); see also State v. Tribble, 2005 VT 132, ¶ 24, 179 Vt. 235, 892 A.2d 232 (stating that the decision of whether to pursue an insanity defense lies with the defendant). Appellant argues, however, that the superior court's underlying conclusion that appellant was adamantly for an `all or nothing' defense was an impermissible finding with respect to a disputed material fact. We agree that this finding was impermissible. ¶ 32. Appellant submitted an affidavit with his opposition to summary judgment claiming that Schwarz did not discuss the likelihood of success of the various strategies available, and in particular, did not explain what a diminished capacity defense was or whether it might be a possible defense, or what second degree murder is or the differences between first and second degree murder, in terms of being found guilty and in terms of possible sentences. Appellant also claimed that Schwarz did not discuss the likelihood of success of an all-or-nothing defense. Meanwhile, Schwarz's deposition testimony indicated that he did not remember explaining diminished capacity or second-degree murder to appellant, but that he typically would have had such a conversation with a defendant. Schwarz also indicated that he repeatedly attempted to convince appellant to plead guilty to a lesser charge and explained that the strategy of blaming the killing on Palmer was unlikely to succeed. Schwarz testified that he believed the Palmer defense was akin to a slow guilty plea, but that further attempts to convince appellant to use a different strategy would harm the attorney-client relationship. This conflicting evidence from appellant and Schwarz was sufficient to create a disputed issue of material fact and remove the question of appellant's choice of strategies from consideration in a motion for summary judgment. While appellant was entitled to choose whether to pursue an all-or-nothing strategy at trial, he was also entitled to make this decision `after full consultation with counsel.' In re Trombly, 160 Vt. at 218, 627 A.2d at 856 (quoting 1 ABA Standards for Criminal Justice, The Defense Function § 4-5.2(a) (2d ed.1980)). The question of whether such consultation took place is relevant to a determination of whether Schwarz provided effective assistance, and the court could not resolve this question without an evidentiary hearing on the merits, regardless of how credible it found Schwarz's deposition testimony. See Fritzeen v. Trudell Consulting Eng'rs. Inc., 170 Vt. 632, 633, 751 A.2d 293, 296 (2000) (mem.) (It is not the function of the trial court to find facts on a motion for summary judgment, even if the record appears to lean strongly in one direction.). ¶ 33. The State argues, as it did in its motion for summary judgment, that the superior court could have nevertheless concluded that there was no prejudice from Schwarz's choice of strategies. Such a ruling would have strained belief. The record in this case contains sufficient evidence to support an argument for second-degree murder or voluntary manslaughter, and there is no telling how a jury would have weighed that evidence if it was presented in place of the Shelley Palmer story. We therefore reverse the superior court's grant of summary judgment with respect to this claim of ineffective assistance of counsel and remand appellant's PCR petition to the superior court for an evidentiary hearing on the issue of whether Schwarz's advice to appellant prior to trial was sufficient to allow him to make an informed choice of trial strategies.
¶ 34. Appellant next contends that Schwarz was ineffective in failing to preserve appellant's objection to the district court's refusal to charge the jury on voluntary manslaughter. Because we have already held that this error was harmless in light of appellant's defense strategy and the jury's guilty verdict on the top charge of first-degree murder, supra, ¶¶ 19-21, we affirm the superior court's ruling that the failure to preserve the objection did not prejudice appellant's defense.
¶ 35. Appellant's final contention is that Schwarz failed to present humanizing evidence to the district court in his sentencing hearing. We do not reach this argument because appellant also raises, for the first time in a motion following oral argument, the question of whether his sentence was unconstitutional in light of our holding in State v. Provost, 2005 VT 134, 179 Vt. ___, 896 A.2d 55. In Provost, we held that facts not proven to the jury beyond a reasonable doubt could not be used to increase a first-degree murder sentence beyond the presumptive sentence of life with a minimum term of thirty-five years. Id. ¶ 15. Appellant's sentence was enhanced through the same procedure we held unconstitutional in Provost, and we must therefore remand to the district court for further sentencing proceedings. ¶ 36. Appellant is entitled to the benefit of developments in the law while his case is pending on direct appeal. State v. Gibney, 2005 VT 3, ¶ 5, 177 Vt. 633, 869 A.2d 118 (mem.). This principle, however, is subject to ordinary rules regarding the raising and preservation of objections. See United States v. Booker, 543 U.S. 220, 268, 125 S.Ct. 738, 160 L.Ed.2d 621 (2005) (stating that not every appeal based on an opinion invalidating federal sentencing guidelines would result in resentencing because we expect reviewing courts to apply ordinary prudential doctrines, determining, for example, whether the issue was raised below and whether it fails the `plain-error' test). Our rules require a party to raise and preserve all objections at trial, and we do not ordinarily consider issues not raised below. See Ovitt, 2005 VT 74, ¶¶ 13-14, 178 Vt. 605, 878 A.2d 314 (refusing to consider sentencing issue that was not properly raised and preserved below). Similarly, we will not generally consider an issue that has not been included in a party's first appellate brief. State v. Percy, 156 Vt. 468, 481 n. 7, 595 A.2d 248, 255 n. 7 (1990). When an issue has been forfeited through a party's failure to raise it below or brief it on appeal, we may consider it only under the rubric of plain error. See Oscarson, 2004 VT 4, ¶ 27, 176 Vt. 176, 845 A.2d 337 (reviewing claim not raised at trial for plain error only). Thus, because appellant did not object to the district court's sentencing procedure or raise the issue in his first appellate brief, we must consider his claim according to a plain-error standard. ¶ 37. While most of our cases regarding plain error arise from situations where appellate counsel briefs an issue not preserved below, plain error is also applicable when appellate counsel fails to raise an issue, or raises it in an untimely fashion. See V.R.Cr.P. 52(b) (Plain errors or defects affecting substantial rights may be noticed although they were not brought to the attention of the court.); State v. Savo, 139 Vt. 644, 646, 433 A.2d 292, 293 (1981) (considering sufficiency of evidence under plain-error standard despite the defendant's failure to raise the issue in his brief); State v. Trombley, 136 Vt. 333, 335, 388 A.2d 433, 435 (1978) (stating that we could consider an issue raised below, but not briefed, only under the plain-error rule); see also Silber v. United States, 370 U.S. 717, 717-18, 82 S.Ct. 1287, 8 L.Ed.2d 798 (1962) (reversing the defendant's conviction based on a plain error that was not briefed or argued before the court of appeals or the Supreme Court); 3B C. Wright et al., Federal Practice & Procedure § 856, at 513 (3d ed.2004) (stating that plain error is usually raised by appellate counsel who discover what they consider to be an error to which no objection was taken below. The rule is not so limited, however, and the appellate court may take notice of an error on its own motion though it is never put forward by counsel.). ¶ 38. Since the United States Supreme Court held, in Apprendi v. New Jersey, 530 U.S. 466, 120 S.Ct. 2348, 147 L.Ed.2d 435 (2000), that sentences relying on facts not found by a jury beyond a reasonable doubt violate the Sixth Amendment, appellate courts have faced precisely the same circumstances as those before us. These courts have generally employed plain-error analysis to consider untimely claims of error. See, e.g., United States v. Cernobyl, 255 F.3d 1215, 1218 (10th Cir.2001) (allowing supplemental briefing and reviewing sentence for plain error where Apprendi issued following notice of appeal); United States v. Delgado, 256 F.3d 264, 280 (5th Cir.2001) (reviewing sentencing decision for plain error where the issue was first raised in a supplemental brief following Apprendi ); United States v. White, 238 F.3d 537, 541 (4th Cir.2001) (permitting supplemental briefing after the Supreme Court's decision in Apprendi, and reviewing sentencing decision for plain error); United States v. Mietus, 237 F.3d 866, 875 (7th Cir.2001) (reviewing sentencing decision for plain error where Apprendi issued after the defendant filed his original brief and the issue was not raised until five days before oral argument); United States v. Page, 232 F.3d 536, 542-43 (6th Cir.2000) (reviewing sentencing decision for plain error where the defendant failed to object at sentencing and Apprendi issued during the pendency of his direct appeal). But see United States v. Ardley, 273 F.3d 991, 991-92 (11th Cir.2001) (en banc) (upholding panel's refusal to consider the defendant's sentencing appeal in light of Apprendi based on the Eleventh Circuit's absolute rule requiring all issues to be raised in parties' opening briefs). ¶ 39. Plain-error analysis requires us to consider whether these are exceptional circumstances where a failure to recognize error would result in a miscarriage of justice, or where there is glaring error so grave and serious that it strikes at the very heart of the defendant's constitutional rights. Oscarson, 2004 VT 4, ¶ 27, 176 Vt. 176, 845 A.2d 337 (quotations omitted). The United States Supreme Court formulated a more concrete federal plain-error test in United States v. Olano, 507 U.S. 725, 113 S.Ct. 1770, 123 L.Ed.2d 508 (1993). First, there must be an error; second, the error must be obvious; and third, it must affect substantial rights and result in prejudice to the defendant. Olano, 507 U.S. at 734, 113 S.Ct. 1770. If these three criteria are satisfied, an appellate court should correct a plain forfeited error affecting substantial rights if the error `seriously affect[s] the fairness, integrity or public reputation of judicial proceedings.' Id. at 736, 113 S.Ct. 1770 (alteration in original) (quoting United States v. Atkinson, 297 U.S. 157, 160, 56 S.Ct. 391, 80 L.Ed. 555 (1936)). ¶ 40. Using the Olano test as a guide for applying our own plain-error standard, we hold that the district court's sentencing decision was plain error. After the jury convicted appellant of first-degree murder, the district court conducted a weighing of aggravating and mitigating factors pursuant to 13 V.S.A. § 2303. The court found multiple aggravating factors, including the particularly brutal and cruel nature of the murder, 13 V.S.A. § 2303(d)(5), and no significant mitigating factors. The court found that the aggravating factors outweighed the mitigating factors and sentenced appellant to a term of life in prison without the possibility of parole. This was the same procedure we held unconstitutional in Provost, 2005 VT 134, ¶¶ 14-15, ___ Vt. ___, 896 A.2d 55, and it produced the same outcome. Thus, the court's use of this sentencing procedure was error, and the error is obvious. [3] ¶ 41. The error was also one that affected appellant's substantial rights and resulted in prejudice. Olano, 507 U.S. at 734, 113 S.Ct. 1770; see also Oscarson, 2004 VT 4, ¶ 27, 176 Vt. 176, 845 A.2d 337 (stating that reversal for plain error requires not only that the error seriously affected substantial rights, but also that it had an unfair prejudicial impact). Provost relied on the United States Supreme Court's decision in Blakely v. Washington, 542 U.S. 296, 303-04, 124 S.Ct. 2531, 159 L.Ed.2d 403 (2004), which held that increasing a defendant's sentence based on facts not found beyond a reasonable doubt by a jury violates the Sixth Amendment to the federal Constitution. The Blakely Court stated that the jury-trial right implicated in its decision is no mere procedural formality, but a fundamental reservation of power in our constitutional structure. Id. at 305-06, 124 S.Ct. 2531. Thus, there is no doubt that a Blakely error affects a defendant's substantial rights. Our decision in Provost also makes clear that such an error, in the context of § 2303, is always prejudicial. We held in Provost that because the statute requires the sentencing judge to weigh any aggravating factors against the applicable mitigating factors in § 2303(e), even a sentence based on aggravating factors admitted by the defendant or implied by the jury's verdict would violate the Sixth Amendment. 2005 VT 134, ¶¶ 18-19, ___ Vt. ___, 896 A.2d 55. Under those circumstances, while the Sixth Amendment would not require the jury to find the aggravating factors, it would require the jury to determine whether those factors outweighed any mitigating factors. Id. ¶ 19. Appellant's sentencing error thus affected the outcome of the [trial] court proceedings and satisfies Olano 's prejudice requirement. 507 U.S. at 734, 113 S.Ct. 1770. ¶ 42. We must now consider whether the error implicates the fairness, integrity or public reputation of judicial proceedings. Id. at 736, 113 S.Ct. 1770 (quotations omitted). We conclude that it would be both unfair to appellant and harmful to the public reputation of Vermont's justice system to allow appellant's sentence to stand under these circumstances. It is certainly true that appellant forfeited his objection to the district court's sentencing procedure several times in the course of this appeal, but this is always the case in plain-error appeals. Appellant's failure to raise his objection is more excusable than usual here, where the law at the time of his sentencing proceeding provided no basis for an objection. At the time of the filing of his first appellate brief, in November 2000, Apprendi had recently signaled a shift in Sixth Amendment law, but it was still not obvious that there was a reasonable argument for vacating appellant's sentence, since the statutory maximum in § 2303 could have been interpreted as either life imprisonment without parole or life with a minimum term of thirty-five years. Blakely contained a clearer definition of the statutory maximum for Apprendi purposes, and this definition led directly to our decision in Provost. See Provost, 2005 VT 134, ¶ 15, ___ Vt. ___, 896 A.2d 55 (relying exclusively on Blakely 's clarification of Apprendi to determine that the statutory maximum was life with a minimum term of thirty-five years). Blakely issued in 2004, however, well after the briefs were filed in appellant's direct appeal. Although it might have been helpful to our review if appellant had raised his claim of error prior to oral argument, oral argument is not necessary regarding this issue in light of Provost. It would be unacceptably harsh for us to ignore an obvious and substantial error for a lapse that has had no discernible effect on our consideration of this appeal, especially when doing so would essentially punish appellant for his appellate attorney's misstep. See 3B C. Wright et al., supra, § 856, at 513 ([T]he plain error rule is a departure from the position usually presupposed by the adversary system that a party must look to his counsel to protect him and that he must bear the cost of the mistakes of his counsel.). ¶ 43. The State argues that disregarding the district court's error would not be unfair to appellant because his direct appeal is still pending only because of his own efforts to consolidate his direct appeal and his PCR petition. The procedural matters that have delayed our consideration of appellant's direct appeal are not relevant. It is a fact of appellate review that certain appeals take longer than others to resolve. Our retroactivity rule strikes a balance between finality and fairness by applying decisions retroactively only to cases on direct appeal. Gibney, 2005 VT 3, ¶ 5, 177 Vt. 633, 869 A.2d 118. We have not previously adopted, nor shall we in this case, an exception to this rule for unusually lengthy direct appeals. Our sole concern must be whether it is necessary, in the interests of justice, to excuse appellant's failure to raise his valid and substantial claim of error in a timely fashion. Our plain-error analysis indicates that it is. We thus vacate appellant's sentence. ¶ 44. Since our decision in Provost, the Legislature has amended the sentencing procedures of § 2303.2005, No. 119 (Adj.Sess.), § 2. The new statute contains procedures that apply under these specific circumstances. Id. (amending § 2303 such that new subsections (b)-(f) apply if the murder was committed before the effective date of this act, and . . . the defendant's sentence was stricken and remanded for resentencing pursuant to [ Provost ]). We thus remand to the district court for further sentencing proceedings, although we express no opinion as to the constitutionality of the newly enacted procedures. As we also remand appellant's PCR petition to the superior court, supra, ¶ 31, appellant's new sentence will remain subject to the superior court's decision on remand as to whether appellant is entitled to post-conviction relief. Appellant's conviction is affirmed. Appellant's sentence is vacated and the case is remanded to the district court for further proceedings consistent with the views expressed herein. Summary judgment regarding appellant's petition for post-conviction relief is affirmed in part, reversed in part, and remanded to the superior court for further proceedings consistent with the views expressed herein.