Opinion ID: 2003518
Heading Depth: 3
Heading Rank: 1

Heading: Ineffective Assistance of Counsel Prior to Trial

Text: Defendant contends that his attorneys' performance prior to trial was deficient because they failed to conduct any meaningful investigation into his personal background and mental or emotional condition for purposes of developing mitigating evidence for use during the penalty phase of the proceedings. Defendant claims that an adequate investigation would have yielded evidence of his severe mental or emotional problems and that he experienced an extremely troubled childhood. According to defendant, had this evidence been available at the second stage of sentencing (aggravation/mitigation), there is a reasonable probability that the jury would have spared him from the death penalty. The circuit court dismissed this claim without an evidentiary hearing, concluding that the omitted evidence would not have changed the outcome of sentencing. Defendant's post-conviction petition includes affidavits from family members and acquaintances, and affidavits from several mental health professionals discussing defendant's personal background and offering opinions regarding defendant's mental or emotional condition. According to these affidavits, defendant was raised in a highly unstable, abusive and sexually inappropriate environment. The affidavits from mental health professionals variously indicated, inter alia: (1) a probable diagnosis of borderline personality disorder (which sometimes involves psychotic episodes when the sufferer is subjected to extreme stress); (2) that defendant suffered from a severe personality disorder with borderline, paranoid and antisocial elements; (3) that defendant was probably suffering from manic-depressive psychosis at the time of the offenses; and (4) that there were strong indications that defendant's aberrant behavior and personality disorder were linked, in part, to attentional deficit hyperactivity disorder and associated emotional stress during childhood and adulthood. Where an adequate investigation has been conducted, the failure to present mitigating evidence does not itself establish that defense counsel was ineffective. (See Burger v. Kemp (1987), 483 U.S. 776, 107 S.Ct. 3114, 97 L.Ed.2d 638; People v. Perez (1992), 148 Ill.2d 168, 186, 170 Ill.Dec. 304, 592 N.E.2d 984.) An informed decision not to present certain mitigating evidence may represent a valid strategic choice, particularly where the evidence is potentially damaging. However, where counsel has neglected to conduct a proper investigation into mitigating circumstances, the failure to introduce mitigating evidence cannot be attributed to strategy. ( Perez, 148 Ill.2d at 190, 170 Ill.Dec. 304, 592 N.E.2d 984; see also Baxter v. Thomas (11th Cir.1995), 45 F.3d 1501, 1514, quoting Horton v. Zant (11th Cir.1991), 941 F.2d 1449, 1462 (`[O]ur case law rejects the notion that a strategic decision can be reasonable when the attorney has failed to investigate his options and make a reasonable choice between them').) In such cases, counsel's performance falls below objective standards of reasonableness. Even where counsel's performance is deficient due to the failure to investigate mitigating circumstances, the defendant must still demonstrate prejudice to sustain a claim of ineffective assistance of counsel. In evaluating prejudice in a capital sentencing context, the question is whether there is a reasonable probability that, absent the errors, the factfinder    would have concluded that the balance of aggravating and mitigating circumstances did not warrant death. ( Strickland v. Washington (1984), 466 U.S. 668, 695, 104 S.Ct. 2052, 2068-69, 80 L.Ed.2d 674, 698.) In making this determination, a court must consider the totality of the evidence, and a verdict or conclusion only weakly supported by the record is more likely to have been affected by errors than one with overwhelming record support. Strickland, 466 U.S. at 695-96, 104 S.Ct. at 2069, 80 L.Ed.2d at 698-99. This case differs from the typical failure to investigate case in that, although defendant was represented by counsel for a period prior to trial, he invoked the right to self-representation at the aggravation/mitigation stage of sentencing. The State argues that because defendant proceeded without counsel at the aggravation/mitigation stage, he may not pursue an ineffective-assistance claim relating to the outcome of that portion of the proceedings. (But see Hance v. Kemp (1988), 258 Ga. 649, 650, 373 S.E.2d 184, 186 (although defendant was permitted to act as co-counsel at sentencing, defendant could pursue an ineffective-assistance claim based on counsel's alleged failure properly to investigate, prepare and present evidence of his mental condition and family background where it appeared that the defendant's claim of ineffectiveness related primarily to the performance of his attorney before defendant sought to act as co-counsel).) We need not address this argument. Even if defendant's waiver of counsel does not foreclose the present claim, we conclude that the circuit court committed no error in dismissing the claim without an evidentiary hearing on the basis that trial counsel's alleged failure to investigate was not prejudicial. A defendant is entitled to an evidentiary hearing on a post-conviction claim only if he has made a substantial showing, based on the record and supporting affidavits, that his constitutional rights were violated. ( People v. Guest (1995), 166 Ill.2d 381, 389, 211 Ill.Dec. 490, 494, 655 N.E.2d 873, 877; People v. Gaines (1984), 105 Ill.2d 79, 91-92, 85 Ill.Dec. 269, 473 N.E.2d 868.) The trial court's determination will not be disturbed unless manifestly erroneous. ( Guest, 166 Ill.2d at 389, 211 Ill.Dec. at 494, 655 N.E.2d at 877; People v. Griffin (1985), 109 Ill.2d 293, 303, 93 Ill.Dec. 774, 487 N.E.2d 599.) We acknowledge the critical importance to the sentencing decision of evidence of capital defendant's background and any mental or emotional problems that afflict him. (See, e.g., Baxter v. Thomas (11th Cir. 1995), 45 F.3d 1501, 1515, quoting Middleton v. Dugger (11th Cir.1988), 849 F.2d 491, 495 (Psychiatric mitigating evidence `has the potential to totally change the evidentiary picture').) At the same time, not every mental or emotional condition that can be classified as a disorder will necessarily be mitigating, and in the case at bar it is not clear that expert testimony would have produced a profile that the jury would have viewed in an entirely sympathetic light. For instance, the affidavit of clinical psychologist Nancy Schmidtgoessling, Ph.D., submitted in support of the post-conviction petition, indicates that defendant had developed personality characteristics likely to be viewed as aggravating rather than mitigating, namely a lack of empathy and lack of guilt or anxiety attached to illegal or antisocial behaviors. Moreover, we must assess prejudice in a realistic manner based on the totality of the evidence. Accordingly, it is improper to focus solely on the potential mitigating evidence. As our cases illustrate, the nature and extent of the evidence in aggravation must also be considered. See People v. Thomas (1995), 164 Ill.2d 410, 427-29, 207 Ill.Dec. 490, 647 N.E.2d 983; People v. Caballero (1992), 152 Ill.2d 347, 365-67, 178 Ill.Dec. 390, 604 N.E.2d 913; People v. Eddmonds (1991), 143 Ill.2d 501, 534-36, 161 Ill.Dec. 306, 578 N.E.2d 952; see also Stafford v. Saffle (10th Cir.1994), 34 F.3d 1557, 1564 (In deciding whether Stafford was prejudiced, we must keep in mind the strength of the government's case and the aggravating factors the jury found as well as the mitigating factors that might have been presented if Stafford had been provided effective assistance of counsel); Schlup v. Armontrout (8th Cir.1991), 941 F.2d 631, 639 (in light of numerous aggravating circumstances, expert psychiatric or psychological testimony would not with reasonable probability have been likely to change the defendant's sentence); Campbell v. Kincheloe (9th Cir.1987), 829 F.2d 1453, 1464 (even if evidence of defendant's background, childhood, family relationships, child abuse, upbringing and drug abuse could have been presented without opening the door for damaging rebuttal evidence by the prosecution, given the overwhelming aggravating factors and the heinous nature of the crime there was no reasonable likelihood the jury's verdict would have been different had the mitigating evidence been introduced); Squires v. Dugger (M.D.Fla.1992), 794 F.Supp. 1568, 1577 (evidence of the defendant's unfortunate childhood did not outweigh aggravating factors, and no prejudice resulted from counsel's failure to present mitigating evidence of the defendant's troubled childhood). In light of the overwhelming aggravating circumstances, the introduction of potentially mitigating evidence of defendant's background and mental and emotional health would not have been sufficient to change the jury's sentencing decision. The crime in the case at bar was a horrifying and despicable attack on a defenseless child accomplished by deception of the child's mother. Moreover, the jury heard evidence that in the weeks following the murder of Vernita Wheat, defendant engaged in a brutal interstate crime spree, murdering or terrorizing numerous children and adults. Given the aggravating circumstances in the case at bar and the nature of the proposed mitigating evidence, the only realistic conclusion to be drawn is that there is no reasonable probability that the proposed mitigating evidence would have persuaded the jury that the balance of aggravating and mitigating factors did not warrant the death penalty. Defendant relies principally on People v. Perez (1992), 148 Ill.2d 168, 170 Ill.Dec. 304, 592 N.E.2d 984, where this court ordered a new sentencing hearing based on counsel's failure to properly investigate and present mitigating evidence. In Perez, a diligent investigation would have revealed, inter alia, that during childhood the defendant had been abandoned by his family and that the defendant's IQ placed him in a category between low average (dull) and mentally deficient. This court concluded that, under the circumstances of the case, there was a reasonable probability that had the jury known of the mitigating evidence which counsel failed to investigate, the jury would not have found that the death penalty was warranted. In the case at bar, defendant's conduct in defending himself at trial suggests that he is of at least an average intellectual capacity, while the evidence of his crimes establishes him as a cunning predator. The quantum of aggravating evidence here also clearly distinguishes this case from Perez. In Perez, the defendant, an inmate of the Illinois correctional system, was eligible for the death penalty for murdering a fellow inmate (see Ill. Rev.Stat.1979, ch. 38, par. 9-1(b)(2)). Other aggravating circumstances consisted of the defendant's prior convictions for armed robbery and purse snatching, the fact that the defendant had held a scissors blade to the neck of a victim of an armed robbery and defendant's disciplinary violations in prison. (See People v. Perez (1985), 108 Ill.2d 70, 90 Ill.Dec. 932, 483 N.E.2d 250.) Because the aggravating circumstances in Perez were in no way comparable to the circumstances of the case at bar, defendant's reliance on Perez is misplaced. (See also People v. Thomas (1995), 164 Ill.2d 410, 430, 207 Ill.Dec. 490, 647 N.E.2d 983.) The circuit court did not err in dismissing defendant's claim without an evidentiary hearing.
Defendant contends that trial counsel's failure to move for a substitution of judge at trial represents ineffective assistance of counsel. Apparently, at the time of the commission of the offense in the case at bar, defendant was free on bond with sex offense charges pending against him. The trial judge in the case at bar was also the judge who admitted defendant to bail. A local newspaper editorial was critical of the fact that defendant was free on bond at the time of the offense. While defendant cites no authority involving similar facts, he insists that under these circumstances trial counsel's failure to move for substitution of judges deprived him of an impartial tribunal. We disagree. This court has noted that outside of situations where a judge's pecuniary interest in a case requires disqualification, [a]nother guiding principle on the issue of judicial bias is whether the case involves a possible temptation such that the average person, acting as judge, could not hold the balance nice, clear and true between the State and the accused. ( People v. Del Vecchio (1989), 129 Ill.2d 265, 275, 135 Ill.Dec. 816, 544 N.E.2d 312, citing Tumey v. Ohio (1926), 273 U.S. 510, 532, 47 S.Ct. 437, 444, 71 L.Ed. 749, 758.) In Del Vecchio, this court further observed that only under the most extreme cases would disqualification for bias or prejudice be constitutionally required. ( Del Vecchio, 129 Ill.2d at 275, 135 Ill.Dec. 816, 544 N.E.2d 312, citing Aetna Life Insurance Co. v. Lavoie (1986), 475 U.S. 813, 821, 106 S.Ct. 1580, 1585, 89 L.Ed.2d 823, 832.) No doubt any judge would be distressed to learn that an individual admitted to bail by that judge had thereafter been accused of committing a violent crime. But to conclude from this alone that the judge could not set aside personal feelings and act in an impartial manner would give too little credit to the temperament and integrity of members of the bench. The additional element of media attention to defendant's freedom on bail at the time of the offense does not alter our conclusion. The mere fact that a judge has been subjected to press criticism in connection with a case or a party does not necessarily require the judge's disqualification. In one court's words, [b]y training and inclination, judges meet media criticism of their actions with robust insensitivity. ( United States v. Martorano (3d Cir.1989), 866 F.2d 62, 69 (although the press had criticized the trial judge for acting as a character witness for defendant's attorney in other proceedings, court rejected argument that the trial judge dealt harshly with defendant to refute the implication of favoritism towards defendant's attorney).) In any event, the editorial in the case at bar posed no significant danger of judicial bias. While the editorial mentioned that defendant was free on bond at the time of Vernita Wheat's murder, its overall theme was that the criminal justice system as a whole had failed. The criticism was not levelled against the trial judge personally, and the editorial did not fault the trial judge personally for defendant's release on bond. Indeed, the trial judge is not even identified by name. Trial counsel's failure to move for a substitution of judges did not deprive defendant of an impartial tribunal or otherwise engender prejudice.
Defendant maintains that the Lake County public defender's office was deficient in the areas of training, supervision and the use of investigative and mitigation services in capital cases, and that attorney Pantsios personally lacked adequate training in defense of capital cases. Defendant submits that these circumstances constitute resource deprivation and give rise to a per se violation of the sixth amendment right to counsel. As has been seen, ineffective-assistance claims are ordinarily evaluated in accordance with the Strickland test which requires a showing of deficient performance and resultant prejudice. However, defendant cites United States v. Cronic (1984), 466 U.S. 648, 104 S.Ct. 2039, 80 L.Ed.2d 657, which noted that in some situations ineffective assistance may be presumed without inquiry into counsel's actual performance. In Cronic, the defendant was charged with mail fraud in connection with a check kiting scheme. An inexperienced lawyer with a real estate practice was appointed substitute counsel for the accused and was afforded 25 days to prepare for trial. The Cronic Court indicated that [c]ircumstances    may be present on some occasions when although counsel is available to assist the accused during trial, the likelihood that any lawyer, even a fully competent one, could provide effective assistance is so small that a presumption of prejudice is appropriate without inquiry into the actual conduct of the trial. ( Cronic, 466 U.S. at 659-60,104 S.Ct. at 2047, 80 L.Ed.2d at 668.) To illustrate, the Cronic Court cited Powell v. Alabama (1932), 287 U.S. 45, 53 S.Ct. 55, 77 L.Ed. 158. In Powell the defendants had been indicted for a highly publicized capital crime. Six days before trial, the trial court appointed all members of the bar for purposes of arraignment. On the day of trial an out-of-State attorney appeared in court, but indicated that he was unwilling to assume the defense of the accused because he was unfamiliar with the case and local procedures. Notwithstanding his protestations, the attorney was appointed to represent the defendants with whatever help the local bar could provide. In the Cronic Court's view, these circumstances in Powell justified a presumption of prejudice. In Cronic itself, however, the Court found that the circumstances surrounding the defendant's representation the lawyer's level of experience and the time for trial preparationdid not justify a similar presumption. With regard to the former circumstance, the Court stated that [t]he character of a particular lawyer's experience may shed light in an evaluation of his actual performance, but it does not justify a presumption of ineffectiveness in the absence of such an evaluation. Cronic, 466 U.S. at 665, 104 S.Ct. at 2050, 80 L.Ed.2d at 672. The per se approach suggested in Cronic is in all events the exception, not the rule. ( Scarpa v. Dubois (1st Cir.1994), 38 F.3d 1, 12.) We believe the exception is properly limited to cases involving circumstances of a similar magnitude to those in Powell. Moreover, the character of the circumstances, as well as their magnitude, is significant. The per se approach is available when the circumstances are such that any lawyer, even a fully competent one would be unlikely to be able to provide effective assistance. ( Cronic, 466 U.S. at 659-60, 104 S.Ct. at 2047, 80 L.Ed.2d at 668.) Thus, Cronic contemplates an inquiry into the circumstances surrounding the defendant's representation in a particular case; it does not envision scrutiny of the attorney's overall competence. Consequently, the lawyer's lack of relevant practice experience in Cronic was viewed by the Court as a factor in evaluating his actual performance, but did not justify a presumption of ineffective assistance of counsel. While defendant styles his claim as one of resource deprivation, the thrust of his allegations goes to a narrow aspect of the overall competence of his attorneys and the Lake County public defender's office to represent capital defendants. (There appears to be no dispute that the attorneys were experienced and capable in the area of criminal defense generally.) The general allegations in this case of inadequate training and deficient office practices do not demonstrate circumstances of either the character or magnitude that would give rise to a per se ineffective assistance of counsel claim.