Opinion ID: 1359021
Heading Depth: 1
Heading Rank: 3

Heading: mitigating evidence: social history and mental impairment

Text: Jones argues that he was denied the right to effective assistance of counsel during his resentencing proceeding because his attorneys failed to thoroughly investigate and present mitigating evidence regarding his mental impairments. Specifically, Jones argues resentencing counsel were ineffective because they failed to adequately investigate his social history, obtain his mental records, and provide this information to his one expert witness, Dr. Diane Follingstad. He further claims counsel were ineffective because they did not obtain the neurological testing specifically recommended by Dr. Follingstad. Jones maintains a complete picture of his mental condition would have established he was suffering from a mental or emotional disturbance at the time he committed the murder and, thereby, entitled him to a charge on the additional statutory mitigating circumstance. See S.C.Code Ann. § 16-3-20(C)(b)(2) (the murder was committed while the defendant was under the influence of mental or emotional disturbance). Under the test for ineffective assistance of counsel enunciated in Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984), the petitioner must establish that counsel's representation fell below an objective standard of reasonableness. Then he must show that the deficient performance prejudiced the defense. When a defendant challenges a death sentence, prejudice is established when there is a reasonable probability that, absent [counsel's] errors, the sentencerincluding an appellate court, to the extent it independently reweighs the evidencewould have concluded that the balance of aggravating and mitigating circumstances did not warrant death. Id. at 695, 104 S.Ct. at 2069, 80 L.Ed.2d at 698. A reasonable probability is a probability sufficient to undermine confidence in the outcome. Id. at 694, 104 S.Ct. at 2068, 80 L.Ed.2d at 698. Even if we assume in the present case that counsel's representation fell below an objective standard of reasonableness, Jones fails the prejudice prong of the Strickland test. We find that there is not a reasonable probability that, absent the errors, the sentencer would have concluded that the balance of aggravating and mitigating circumstances did not warrant death. In deciding whether Jones was prejudiced, we must bear 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 Jones had been provided effective assistance of counsel. See Stafford v. Saffle, 34 F.3d 1557, 1564 (10th Cir.1994), cert. denied, 514 U.S. 1099, 115 S.Ct. 1830, 131 L.Ed.2d 751 (1995). The bottom line is that we must determine whether or not Jones has met his burden of showing that it is reasonably likely that the jury's death sentence would have been different if counsel had presented additional information about Jones's mental condition. In making this determination, we must consider the totality of the evidence before the jury. [1] See Strickland, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674. In this case, the jury was presented with overwhelming evidence of Jones's guilt and of the aggravating circumstances surrounding the murder. During the resentencing proceeding, testimony revealed how Jones, a former employee of the Plylers, broke into their home on October 11, 1983. After entering onto the property, he stole some money from the home and, while there, shot the Plylers' three dogs. When the Plylers eventually returned, Jones was standing on the porch. He approached Mr. Plyler, demanded money, and then from a few feet away, shot him with a shotgun. Mr. Plyler took a few steps and slumped forward on his face. Jones demanded that Mrs. Plyler remove the money that was in her husband's pocket. When she failed, Jones removed the money himself. Despite Mrs. Plyler's plea that he not shoot again, Jones shot Mr. Plyler in the head two more times with a pistol. He then grabbed Mrs. Plyler by the elbow, took her inside, and sexually assaulted her at gunpoint in various rooms in the house for approximately two hours. At one point, he informed her he had killed her dogs and threatened to kill her son. Jones left Mrs. Plyler blindfolded, gagged, and tied to a bed. She heard him start her pickup truck, then immediately turn it off. Jones returned to the house; he told Mrs. Plyler he was checking to see if she was attempting to escape. Jones then drove away in the truck. Mrs. Plyler testified she untied herself and escaped from her home. For twenty minutes she worked her way in the dark over a barbed wire fence and through a pasture, towards a neighbor's home. Mrs. Plyler saw Jones return in the pickup truck; he appeared to enter the Plylers' home. He then left the home and drove the pickup truck back and forth, apparently in search of Mrs. Plyler. At one point, Jones stopped the vehicle and turned off its lights within fifteen feet of where Mrs. Plyler was hiding. Eventually, Jones drove off, and Mrs. Plyler was able to reach a neighbor's home. She reported the events to police. Jones was soon thereafter arrested. He was identified by Mrs. Plyler, who knew him prior to these incidents. Moreover, physical evidence linked him to the crime. His palm prints were found inside the Plylers' residence. In mitigation, Jones presented six witnesses who were familiar with his background. These included a school teacher, four family members, and a psychologist. Jones's third grade teacher stated that Jones had difficulty retaining skills and that he was in special education classes. Jones's aunt also testified on his behalf about his childhood and stated that Donald smiled inappropriately, although his behavior generally was not unusual. In his later years, he would wear shorts in the winter and a coat during the summer. While in jail, he would respond to letters from family members by rewriting and returning the correspondence he had received. Jones's mother testified to other unusual behavior by Jones. On two occasions, he engaged in tearing [his mother's] house up. He would sometimes take a bath using big buckets. He would sit on the side of the bridge and look like he was just in a deep wonder. He began doing these things after his sister's death. Another of Jones's aunts testified that he was a happy and obedient child. While in prison, Jones also answered her letters by sending the same letter back. Moreover, Jones's uncle testified on his behalf. Thus, extensive evidence was presented at the resentencing hearing about Jones's family and social background through his teacher, mother, two aunts, and uncle. They highlighted the changes that occurred in him after the death of his sister and pointed out his unusual behavior. In addition, counsel presented Dr. Diane Follingstad, a clinical psychologist, who had tested Jones. Dr. Follingstad had administered tests that screen for brain damage. She testified that Jones had some mental deficiency. Further, she indicated that she had administered the Wechsler Adult Intelligence Scale (WAIS) test on Jones. On the WAIS, he scored a 74 as to verbal I.Q., a 63 on the performance I.Q., achieving an overall I.Q. of 67, which is in the mentally retarded range. She testified that with an I.Q. of 67, Jones would have only one and a half percent of the population lower than him. [2] She also gave him the Bender Gestalt test and Trails test, which screen for organic brain damage. On these tests, Jones scored within a brain damaged range, which suggested he does have some problem with the actual functioning of his brain. She further stated that Jones does act impulsively, that he doesn't think things through, that he does have very poor judgment, extremely poor judgment, that he doesn't seem to have the ability to really be able to stop and consider a variety of options. He also doesn't have a lot of information about the world to use, and he also doesn't have many options to get society's rewards in a more legitimate way, ... but that he justhe doesn't see many options for himself. She did not specifically diagnose Jones as being mentally ill at the time of the murder. Against the recommendation of defense counsel, Jones testified during resentencing. He admitted planning to steal money from the Plylers several days before he actually committed the crimes. Jones explained he stole a shotgun and shells. He hid the shotgun before going to rob the Plylers. He testified he planned to have Mrs. Plyler write a check and then hold her hostage until the bank opened. Once he cashed the check, he planned to kill Mrs. Plyler. Jones stated that on the day of the crimes, he shot the Plylers' dogs, broke a window on the side of their home where no one would notice, and waited in the Plylers' home for them to return. Since he only had a few shotgun shells, Jones testified he loaded the shotgun with some of Mr. Plylers' own shells and test-fired the shotgun against a wall of the home. While waiting, Jones cut the ropes he used to bind Mrs. Plyler and located Mr. Plyler's pistol. Jones testified that when the Plylers returned home, he did not ask Mr. Plyler to give him his money, but immediately shot him with the shotgun. Jones admitted he knew Mr. Plyler was still alive, so Jones shot him twice with Mr. Plyler's own pistol. Jones acknowledged the Plylers, for whom he had worked, had been good to him, and he had nothing against them. Based on the evidence presented in the resentencing phase, the jury considered five statutory aggravating circumstances: (1) robbery while armed with a deadly weapon; (2) larceny with the use of a deadly weapon; (3) housebreaking; (4) criminal sexual conduct in the first degree; and (5) kidnapping. Moreover, the following statutory mitigating circumstances were considered: (1) the defendant has no significant history of prior criminal conviction involving the use of violence against another person; (2) the capacity of the defendant to appreciate the criminality of his conduct or to conform his conduct to the requirements of law was substantially impaired; (3) the age or mentality of the defendant at the time of the crime; and (4) other mitigating circumstance or circumstances otherwise authorized by law. After deliberating, the jury found beyond a reasonable doubt the existence of all five aggravating circumstances listed above and recommended that Jones be sentenced to death for the murder of Ned Plyler. The resentencing judge then found as an affirmative fact that the evidence of the case warranted the imposition of the death penalty and that its imposition was not the result of prejudice, passion, or any other arbitrary factor. At the PCR hearing, Jones presented the testimony of four experts. Patricia Feigley, a clinical social worker, testified about the importance of conducting a family and social history. Testifying at length about Jones's upbringing and poor physical and social environment, she indicated that he was mentally retarded and suffered from a speech defect. Dr. James Evans, a clinical psychologist, testified that he had tested Jones and had concluded that Jones had an I.Q. of 69, within the range of mental retardation. Jones had a poor memory and exhibited signs of neuropsychological dysfunction and organic brain dysfunction. A neurologist Dr. Nancy Earl stated that Jones showed signs consistent with the diagnosis of mental retardation and organic brain dysfunction or syndrome, and he had difficulty thinking in abstractions. Jones's language was within the range of normality, but his speech was not normal. He could understand and relate fairly well with concrete concepts, but had considerable difficulty with more abstract concepts. The diagnostic impressions of Dr. Billy Royal, a psychiatrist, were that Jones suffered from mild mental retardation, organic mental syndrome, and psychotic disorder. Although Royal admitted that a 1983 neurological examination of Jones had not revealed organic brain damage, he stated that a neuropsychological test may have been necessary to detect it. In summary, these experts testified that Jones was mentally retarded, had brain damage, and suffered from mental illness. The witnesses concluded Jones had each of these disorders at the time the crimes were committed. The experts maintained Dr. Follingstad did not have an adequate social history, complete mental records, and sufficient testing, such as a neurological examination, by which to evaluate Jones and, accordingly, she could not have diagnosed Jones as suffering from mental illness. With regard to Jones's mental condition, even if counsel had fully explored the mitigating circumstance of his mental incapacity, all that would have occurred at the resentencing was that the jury would have heard a more elaborate version of Dr. Follingstad's testimony. Follingstad did discuss that Jones was in the range for organic brain damage, that he fell within the mentally retarded range, and that his I.Q. ranked in the lowest one and one-half percent in the population. Mental retardation and organic brain dysfunction were the same ailments discovered by Drs. Earl, Evans, and Royal, the experts Jones presented at the PCR hearing. We find that additional evidence about Jones's mental impairment would not have revealed anything significantly different than that which the jury was presented. At the sentencing hearing, the mentality of Jones was the focus of his mitigation case. His counsel's strategy was not to portray Jones as being under active mental and emotional disturbance, but rather to emphasize his mental retardation, as evidenced by his upbringing. [3] This strategy obviously did not succeed. Just because it was unsuccessful does not mean that Jones can now recharacterize the evidence and claim that counsel did not adequately present mitigation evidence. The new evidence is the same as the old evidence. At best, it is a fancier mitigation case. If the evidence was not persuasive in the first case, the defendant does not get a second chance. Otherwise, there would never be an end to litigation. Nevertheless, for purposes of the Strickland analysis, let us assume that if Jones's PCR experts had been presented at the resentencing hearing, Jones would have been entitled to an instruction on the additional mitigating circumstance found in section 16-3-20(C)(b)(2). Even if counsel's representation was not objectively reasonable, Jones has not met his burden of establishing prejudice under Strickland. From the testimony presented, the jurors were aware that Jones was mentally retarded, that he had brain damage, and that he often behaved in a bizarre manner. They were given several mitigating factors through which to consider the mental condition of Jones. They were also presented with overwhelming evidence of Jones's guilt and the callous and heinous way in which Jones calculated and executed the murder. They also considered the other aggravating factors surrounding the murder. Under these circumstances, there is no reasonable probability the sentencer would have concluded the balance of aggravating and mitigating circumstances did not warrant death, even if it had knowledge that, at the time of the murder, Jones was under the influence of a mental disturbance. Accordingly, Jones fails to establish ineffective assistance of counsel under Strickland. The dissent posits that Strickland's standard (whether there is a reasonable probability that, absent the errors, the sentencer would have concluded the balance of aggravating and mitigating circumstances did not warrant death) is a specific application under the Florida statutory sentencing scheme, and does not have applicability here because South Carolina has a different statutory scheme. A perusal of Strickland itself, as well as other cases, will reveal that Strickland is not so limited. In relation to its prejudice prong, Strickland declared: When a defendant challenges a conviction, the question is whether there is a reasonable probability that, absent the errors, the factfinder would have had a reasonable doubt respecting guilt. When a defendant challenges a death sentence such as the one at issue in this case, the question is whether there is a reasonable probability that, absent the errors, the sentencerincluding an appellate court, to the extent it independently reweighs the evidencewould have concluded that the balance of aggravating and mitigating circumstances did not warrant death. Strickland, 466 U.S. at 695, 104 S.Ct. at 2068-69, 80 L.Ed.2d at 698. The United States Supreme Court set forth the above standard for determining prejudice for all ineffective assistance of counsel cases challenging death sentences. It did not restrict the above test to cases arising under statutory sentencing schemes such as that utilized in Florida. This was confirmed by Plath v. Moore, 130 F.3d 595 (4th Cir.1997). In Plath, the Fourth Circuit considered an ineffective assistance of counsel claim by John Plath, who had been sentenced to death in South Carolina. In affirming the denial of a petition for writ of habeas corpus, the Court stated: [W]hen considered against the sheer magnitude of the aggravating evidence against Plath, it is difficult to see the allegedly unreasonable omission of this mitigating evidence as prejudicial. As in Strickland, [g]iven the overwhelming aggravating factors, there is no reasonable probability that the omitted evidence would have changed the conclusion that the aggravating circumstances outweighed the mitigating circumstances and, hence, the sentence imposed. Thus, in weighing the omitted evidence against that actually used to convict and sentence Plath, the mitigating evidence seems insufficient to shift the balance in Plath's favor. Plath, 130 F.3d at 602; see also Waldrop v. Jones, 77 F.3d 1308, 1312 (11th Cir.) (When challenging a death sentence, a petitioner must show that `there is a reasonable probability that, absent the errors, the sentencer ... would have concluded that the balance of aggravating and mitigating circumstances did not warrant death.'), cert. denied, ___ U.S.___, 117 S.Ct. 247, 136 L.Ed.2d 175 (1996).