Opinion ID: 1250206
Heading Depth: 3
Heading Rank: 2

Heading: Prosecutorial Sentencing Recommendations

Text: Approximately three weeks after accepting defendant's plea, the trial court commenced an evidentiary hearing to determine the existence of statutory aggravating and mitigating circumstances, A.R.S. § 13-703(F)-(G), as well as any other mitigating factors defendant wished to proffer. The hearing was continued for another three weeks, at which time the prosecution offered evidence and testimony in support of the aggravating factors the State believed to exist. Despite his decision to present aggravating evidence, the prosecutor recommended that defendant serve life in prison, rather than death. This sequence of events forms the basis of two defense arguments asserted on appeal. First, defendant was denied effective assistance of counsel because his trial attorney failed to recognize the dispensability of aggravating evidence in light of the prosecutor's recommendation of a life sentence. Second, absent a recommendation by the prosecutor in favor of death, the trial court possessed no authority to consider the death penalty. We will consider both issues separately.
With the aid of hindsight, defendant's new counsel on appeal maintains that the trial attorney erred in not seeking a stipulated life sentence agreement and by failing to object to the presentation of aggravating evidence. In support of this view, defendant's opening brief contains an affidavit by the prosecutor stating that the trial judge and defense counsel were informed of the prosecutor's decision to recommend life during an in-chambers conference immediately before the aggravation/mitigation hearing. The State responds that defense counsel's performance leading up to and during sentencing does not give rise to a constitutional claim. To establish an ineffective assistance of counsel claim, defendant must prove (1) that his counsel lacked minimal competence as determined by prevailing professional norms, State v. Nash, 143 Ariz. 392, 397, 694 P.2d 222, 227 (1985); and (2) that counsel's deficient performance prejudiced the defense, State v. Lee, 142 Ariz. 210, 214, 689 P.2d 153, 157 (1984). Accord, Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052, 2064, 80 L.Ed.2d 674 (1984) (defendant must show deficient conduct and resulting prejudice). To show prejudice, the defendant must be able to demonstrate a `reasonable probability' that the verdict might have been affected by the error. State v. Walton, 159 Ariz. 571, 592, 769 P.2d 1017, 1038 (1989), aff'd, Walton v. Arizona, 497 U.S. 639, 110 S.Ct. 3047, 111 L.Ed.2d 511 (1990), citing Strickland, 466 U.S. at 694, 104 S.Ct. at 2068. We need not address both prongs of the inquiry if defendant fails to prove either one. State v. Salazar, 146 Ariz. 540, 541, 707 P.2d 944, 945 (1985). We also note that the assistance of counsel issue was not raised with the trial court because of defendant's desire to forego all discretionary motions and proceedings. Because competent trial strategy and performance may take on as many forms as there are cases, this court is reluctant to decide claims of ineffective assistance in advance of an evidentiary hearing to determine the reasons for counsel's actions or inactions on any particular point. State v. Valdez, 160 Ariz. 9, 14, 770 P.2d 313, 318 (1989). If a defendant wishes to raise an ineffective assistance of counsel issue, he should ordinarily begin someplace other than in this court, 160 Ariz. at 15, 770 P.2d at 319, citing State v. Guerrero, 159 Ariz. 568, 569, 769 P.2d 1014, 1015 (1989), preferably by filing a petition for post-conviction relief pursuant to rule 32, Arizona Rules of Criminal Procedure. We have held, therefore, that we will not consider an ineffective assistance claim asserted for the first time on appeal unless the record clearly demonstrates that the claim is meritless. State v. Carver, 160 Ariz. 167, 175, 771 P.2d 1382, 1390 (1989). This case qualifies under that limited exception. Even assuming, without deciding, that defense counsel was given prior notice of the prosecutor's intention to recommend a life sentence, we believe counsel saw few advantages in seeking sentencing negotiations with the State. Aside from revealing its sentencing position minutes before the aggravation/mitigation hearing, [8] the State proceeded throughout the hearings as if it would seek nothing but the death sentence. The State had refused to negotiate plea agreements on prior occasions, [9] and its decision to recommend a life sentence fell short of expressing a desire to do so at the 11th hour, especially when the prosecutor did not renounce his resolve to offer evidence and witnesses proving the existence of aggravating factors. [10] Defendant's own desire to receive the death penalty also strongly suggests that he would have rejected any stipulated life sentence had one been procured. This conclusion is confirmed by defendant's expressed request in this court to dismiss this appeal and receive the death penalty. Defense counsel, furthermore, was in no position to block the State from presenting evidence in aggravation. The decision to offer evidence of aggravation or not offer such evidence is the responsibility of the prosecutor. The [trial] court has no authority to interfere with the discretion of the prosecutor in this area. State v. Murphy, 113 Ariz. 416, 418, 555 P.2d 1110, 1112 (1976). Defense counsel in this case had no more authority than the trial court to prohibit or compel the prosecutor's decision to offer evidence of aggravating circumstances. We hold that defense counsel's conduct fell within the wide range of reasonable professional assistance.... Strickland, 466 U.S. at 689, 104 S.Ct. at 2065.
Equally meritless is appellate defense counsel's belief that the trial court was bound by the prosecutor's recommendation of sentence. The exercise of discretion by the prosecutor may begin well before charges are filed and extend into the sentencing phase, see Gregg, 428 U.S. at 199, 96 S.Ct. at 2937 (prosecutor's authority to select those defendants he wishes to prosecute for a capital offense is not unconstitutional), but we believe it ends in a capital case with the prosecutor's decision to present or ignore evidence of aggravation. If the prosecutor decides not to put on evidence of aggravation, the trial court may not force him to do otherwise. Murphy, 113 Ariz. at 418, 555 P.2d at 1112. Conversely, once the prosecutor pleads and offers evidence in support of aggravation, as in this case, our statutes require that the trial court determine whether aggravating circumstances exist in fact, and whether they are outweighed by any mitigating circumstances calling for leniency. A.R.S. § 13-703(D)-(E). Thus, although the prosecution determines whether the State will seek the death penalty, it does not decide the propriety of that penalty once placed in issue during sentencing. Although the prosecutor's affidavit claims that aggravating evidence was presented on the mistaken belief that it is required under Arizona law, Murphy clearly holds otherwise. We have no choice, therefore, but to assess the exercise of prosecutorial discretion by actions and not words. Here, the prosecutor presented evidence of aggravation and the court found the existence of aggravating circumstances. Having thus presented the aggravating circumstances to the trial court, the prosecutor may not thereafter backpedal and require the trial court to impose a life sentence. The trial court committed no error in refusing to adopt the State's sentencing recommendation.