IN THE CASE OF
UNITED STATES, Appellant
v.
William J. KREUTZER Jr., Sergeant
No. 04-5006
Crim. App. No. 9601044
Argued
Decided
ERDMANN, J., delivered
the opinion of the court, in which GIERKE, C.J., and EFFRON and BAKER,
JJ.,
joined. CRAWFORD, J., filed a dissenting
opinion.
Counsel
For Appellant: Captain Edward E. Wiggers (argued); Colonel Steven T. Salata, Lieutenant Colonel Mark L. Johnson, and Major Natalie A. Kolb (on brief).
For Appellee: Captain Charles A. Kuhfahl Jr. (argued); Colonel Mark Cremin and Lieutenant Colonel Mark Tellitocci (on brief).
Military Judge: Peter E. Brownback III
This opinion is subject to
revision
before final publication.
Judge ERDMANN delivered the opinion of the court.
Sergeant (SGT) William J. Kreutzer Jr. opened fire with an automatic weapon on personnel in his brigade when they were in formation commencing a unit run. He was subsequently charged with one specification of premeditated murder, eighteen specifications of attempted premeditated murder, one specification of violation of a lawful general regulation, one specification of larceny of Government munitions, four specifications of maiming, and eighteen specifications of aggravated assault, in violation of Articles 118, 80, 92, 121, 124, and 128, Uniform Code of Military Justice (UCMJ), 10 U.S.C. §§ 918, 880, 892, 921, 924, 928 (2000), respectively. The charges were referred to a general court-martial with instructions that the case was “[t]o be tried as a capital case.”
Kreutzer
pleaded
guilty to one specification of murder while engaged in an act
inherently
dangerous to another (as a lesser included offense of premeditated
murder), eighteen
specifications of assault with a loaded firearm (as a lesser included
offense
of attempted premeditated murder), one specification of violating a
lawful
general regulation, and one specification of larceny of Government
munitions. He was convicted of one
specification of
premeditated murder, eighteen specifications of attempted premeditated
murder,
one specification of violating a lawful general regulation, and one
specification of larceny of Government munitions.1 A
unanimous
twelve-member court of officer and enlisted members sentenced Kreutzer
to
death, a dishonorable discharge, forfeiture of all pay and allowances,
and
reduction to E-1. The convening
authority approved the sentence as adjudged.
The
United States Army Court of Criminal Appeals affirmed only the findings
to
which Kreutzer had entered guilty pleas:
murder while engaged in an inherently dangerous act; assault
with a
loaded firearm; violating a lawful general regulation; and larceny of
Government
munitions.
Compulsory
process, equal access to evidence and witnesses, and the right to
necessary
expert assistance in presenting a defense are guaranteed to military
accuseds
through the Sixth Amendment, Article 46, UCMJ, 10 U.S.C. § 846 (2000),
and Rule
for Courts-Martial (R.C.M.) 703(d). See
Ake v.
BACKGROUND
Sergeant
Kreutzer enlisted in the U.S. Army and entered active duty in February
1992. In March of 1993 he was assigned
to the 325th Airborne Infantry Regiment of the 82d Airborne Division,3 stationed at
In June of 1994 Kreutzer broke down and cried while on guard duty and threatened to kill other members of his unit. Kreutzer was confronted about the threats by his platoon sergeant who escorted him to the division’s mental health officer, Dr. (Captain) Darren Fong. Kreutzer met with Dr. Fong and discussed his homicidal thoughts about his squad members. Doctor Fong concluded that Kreutzer was a person who had problems with anger and low self-esteem and “appeared” to have interpersonal problems with members of his squad. Doctor Fong, however, felt that Kreutzer was not a danger to himself or others. Kreutzer remained with his unit where he continued to have difficulty interacting with other soldiers and also started to have performance problems that continued up to the time of the charged offenses. Despite his difficulties and apparent emotional problems, in October 1994, Kreutzer attended the Primary Leadership Development Course to become a noncommissioned officer and he was promoted to sergeant in March 1995.
The
2d Brigade scheduled a unit run for the morning of
On
the morning of
Kreutzer did not deny that he fired shots at his brigade from ambush or that he wounded eighteen soldiers and killed an officer. He later stated that his actions were intended to send a message that the unit did not care about the men. He also anticipated that he would either shoot himself or be shot and killed by the military police.
Subsequent
to his
apprehension and while still in law enforcement custody, Kreutzer was
assessed
by the 82d Airborne Division psychiatrist.
He received additional mental health evaluation in the form of a
suicide
assessment while he was in pretrial confinement. Kreutzer
was evaluated by a privately
retained forensic psychiatrist in November 1995 and he was evaluated by
a
sanity board convened under R.C.M. 706 in December 1995.
Charges against Kreutzer were referred to a
capital general court-martial on
On
Defense counsel provided a copy of the request they had made to the convening authority in which they asserted that they lacked “the experience and scientific expertise to uncover all potentially mitigating events or factors in SGT Kreutzer’s case.” They also provided an extensive affidavit from a “mitigation specialist” that explained the necessity of a mitigation investigation in capital cases, the scope of that investigation, and the role of a mitigation specialist. Defense counsel argued that they were not qualified to do the work of a mitigation expert. The Court of Criminal Appeals reached the same conclusion stating, “[I]n determining whether or not the defense counsel could adequately do the function of an expert mitigation specialist, the judge should have considered, among other factors, defense counsel’s lack of capital litigation experience, their minimal capital litigation training, and the time constraints they were facing at trial.” Kreutzer, 59 M.J. at 778. The military judge denied the motion without entering any findings of fact by simply stating: “I find the law here at Loving 3 at 250. I don’t find the showing requiring me to order one.”5
DISCUSSION
I.
Ruling
of the
Kreutzer
appealed a number of issues to the Court of Criminal Appeals,6 but the Army
court addressed only two: “(1) whether the
military judge erred by
denying [Kreutzer] the services of an expert consultant in capital
sentence
mitigation, and (2) whether appellant’s detailed trial defense counsel
were ineffective in their representation of
[Kreutzer] at the
sentencing stage of trial.”
a. Did the
Court of Criminal Appeals err in applying the test for harmless error?
Arguments:
The
Government
argues that the Court of Criminal Appeals erred in applying the test
for
harmless error in this case. The Army
court explained that the test for prejudice was whether the error was
harmless
beyond a reasonable doubt. Kreutzer,
59 M.J. at 779 (citing Chapman v. California, 386 U.S. 18
(1967)), and
went on to define that inquiry as “whether the error itself had
substantial
influence” on the trial results.
Kreutzer argues that the Court of Criminal Appeals used the correct standard in determining this error was not harmless. In response to the Government’s Pollard argument, Kreutzer argues that the Army court did find prejudice to his substantial rights and, alternatively, that the finding that the error was not harmless beyond a reasonable doubt created a de facto finding that the error prejudiced his substantial rights. Finally Kreutzer points out that this is a case in which the test for harmlessness must be assessed by asking if even one member might have been influenced to conclude that the Government did not prove premeditation beyond a reasonable doubt. Had even one member been so persuaded, death would have been removed as a lawful punishment in this case.
Discussion:
The
right to the
expert assistance of a mitigation specialist in a capital case is
determined on
a case-by-case basis. See
The
Court of Criminal Appeals found that the denial of a mitigation
specialist was
a denial of due process and articulated the requirement that a
conviction
cannot be affirmed if a constitutional error was not harmless beyond a
reasonable doubt. Kreutzer, 59
M.J. at 779-80 (citing Chapman v. California, 386 U.S. 18
(1967)). This is “a familiar standard to
all
courts.” Chapman, 386
The
Army court
defined the constitutional error inquiry as follows:
“In testing for harmless error we inquire
‘whether the error itself had substantial influence’ on the trial
results.” Kreutzer,
59 M.J. at
779 (quoting Pollard, 38 M.J. at 52; Kotteakos, 328
This
court reviews de novo the issue of whether a constitutional error was
harmless
beyond a reasonable doubt.
b. Does
the
majority decision of the Court of Criminal Appeals impeach itself with
internally inconsistent statements as to whether denial of a mitigation
specialist was harmless?
Arguments:
The
Government’s
argument in support of this contention centers on what appears to be a
facial
inconsistency in the text of the Court of Criminal Appeals’ opinion. As noted, that court concluded that the
Government did not meet its burden of showing that the error in denying
a
mitigation specialist was harmless beyond a reasonable doubt. Kreutzer, 59 M.J.
at
779-80. In two footnotes,
however, the opinion discusses the test for ineffective assistance of
counsel
under Strickland v.
I specifically do not agree that the prejudice prong of Strickland . . . has been satisfied [as to contested issues in the findings]. Notwithstanding the powerful evidence that raises substantial concerns about the quality of Appellant's mental health, there is still substantial expert opinion evidence of his ability to premeditate and significant direct and circumstantial evidence of the actual process of his alleged premeditation that fact-finders at trial could credit.
Kreutzer, 59 M.J. at 780 n.8 (citation omitted). Judge Clevenger repeats his conclusion later:
To reiterate, even assuming the first prong of the Strickland test for ineffective assistance of counsel were satisfied, I think there was not a reasonable probability that any showing of Appellant's complete mental health status would have overcome the expert opinion evidence of sanity and the direct and circumstantial evidence of premeditation.
The
Government argues
that with this language the Court of Criminal Appeals impeached its own
decision. In the Government’s view Judge
Clevenger found that the denial of a mitigation specialist was not
harmless
beyond a reasonable doubt but also said that the evidence a mitigation
specialist would produce had no reasonable probability of changing the
result
on the findings. The Government argues
that this internal inconsistency demonstrates that denial of a
mitigation
specialist was harmless beyond a reasonable doubt.
Kreutzer disputes the contention that the Army court impeached its own decision by referencing the prejudice test for ineffective assistance of counsel. Kreutzer points out that the test for ineffective assistance involves a different standard and burden when reviewing the effect of denial of competent counsel. He notes that there is no reason to find any inconsistency because it is wholly proper to come to distinct conclusions under two separate tests with the burden falling upon different parties.
Discussion:
We agree that there is an appearance of inconsistency. We do not agree, however, that that inconsistency is necessarily erroneous nor do we find that Judge Clevenger impeached his own decision in his footnotes. Trial and appellate practices are replete with different burdens of proof and persuasion that are allocated to one party or another.
The
party
benefiting from a constitutional error bears the burden of
demonstrating that
the error was harmless beyond a reasonable doubt. Chapman,
386
The
test and
burden relating to prejudice from ineffective assistance of counsel are
different. If an appellant establishes
that counsel was ineffective under the first prong of Strickland,
it is
the appellant as opposed to any party benefiting from error (in this
case, the
Government) who bears the burden of demonstrating prejudice.
The
tests for
determining constitutional harmless error and for determining prejudice
under
an ineffective assistance analysis are substantially different: the burden falls on different parties (the
Government
vs. the appellant); the burdens themselves are different (possibility
vs.
probability); and different considerations are given to the quality and
weight
of the evidence of guilt in each test. In
applying the two tests, it is therefore not unreasonable or illogical
to come
to two different conclusions, even in a single case.
In light of this, and according Judge Clevenger
the presumption that he knew the law, we find no impeaching
inconsistency
within the opinion. See
c. Is the
nature of the mental health evidence potentially gathered by a
mitigation
specialist relevant to the contested elements of premeditation?
Arguments:
The Government acknowledges that general mental health evidence is relevant to establish mens rea, but argues that in this case, due to Kreutzer’s specific personality disorders, any potential mental health evidence that a mitigation specialist could have obtained would not be relevant to the findings. The Government characterizes Kreutzer’s mental health history as demonstrating diminished capacity and asserts that because evidence of diminished capacity is not relevant to the issue of mental responsibility, it could not negate the element of premeditation. Kreutzer, on the other hand, claims that a mitigation specialist would have identified additional mental health evidence as well as helped defense counsel identify and better use experts. Kreutzer asserts that in the end a mitigation specialist would have substantially contributed to presenting a more coherent and stronger mental health theory at trial and that it is possible the members, or at least one member, could have come to a different conclusion on findings.
Discussion:
Under the circumstances of this case we disagree with the Government’s generalization that none of the mental health evidence that was available could or would have an impact upon a member’s determination of premeditation. We have not limited military justice jurisprudence to a narrow use of mental health evidence. Indeed, Ellis v. Jacob, 26 M.J. 90, 93 (C.M.A. 1988), dispelled any construction of Article 50a(a), UCMJ, 10 U.S.C. § 850a(a) (2000), that would eliminate evidence of mental conditions relevant to premeditation, specific intent, knowledge, or willfulness, i.e., elements of offenses. See also United States v. Schap, 49 M.J. 317, 322 (C.A.A.F. 1998).
The record reflects a wealth of mental health information in this case. A mix of psychological and psychiatric professionals were involved with Kreutzer both before and after the offenses. One mental health professional, Dr. (Colonel) Robert Brown Sr., opined that Kreutzer was “chronically and seriously mentally ill.” This particular information was not known to Kreutzer’s defense counsel prior to trial. Properly prepared and presented, testimony of this nature arguably could go beyond demonstrating diminished capacity and be a substantial part of a defense against the premeditation element. As Judge Clevenger’s lead opinion for the Court of Criminal Appeals points out:
The mitigation specialist’s role would be to gather and collate appellant's civilian and military history with a view to the psychiatric issues that would help explain appellant's state of mind at the critical time of the shooting. One could speculate endlessly on what such an expert, if provided, would have done to help the detailed defense counsel assess the whole story . . . .”
Kreutzer,
59 M.J. at 778-79.
Amidst the “wealth of relevant information available to
discover,
investigate, preserve, analyze, evaluate and potentially exploit at
trial in
defense of the premeditation allegations,” Judge Clevenger found “most
telling”
the fact that Dr. Brown’s “potentially powerful, exculpatory mental
status
evidence was not discovered by, or known to the defense counsel, at the
time of
trial.”
The Government must show there is no reasonable possibility that even a single court member might have harbored a reasonable doubt in light of the mental health evidence that the mitigation specialist could have gathered, analyzed, and assisted the defense to present. Had but a single member harbored a reasonable doubt, death would have been excluded as a permissible punishment. The Government has not met its burden of demonstrating that a mitigation specialist could have done nothing to assist counsel to present additional evidence of Kreutzer’s mental health that would not have had an impact on the premeditation element for at least one court member.
II.
De
novo review for harmlessness beyond a reasonable doubt
We
have held in this opinion that the Court of Criminal Appeals
applied an incorrect definition to the nature of the
constitutional harmless error inquiry and that we review de novo the
impact of
that error in this case. Kreutzer urges
us to affirm the Court of Criminal Appeals regardless of the error. He argues that if the Government could not
meet the erroneous lower standard applied by the Army court, then it
surely
could not demonstrate that the error in denying the mitigation
specialist was
harmless beyond a reasonable doubt.
The Government must demonstrate there is no reasonable possibility that the absence of a mitigation specialist contributed to the contested findings of guilty or, in this case, that not even a single member would have harbored a reasonable doubt after considering the mental health evidence that the mitigation specialist could have gathered, analyzed, and assisted the defense in presenting. We do not believe that the Government has met that burden.
To
place this
discussion in its proper context, it is necessary to examine the role
of a
mitigation specialist in capital litigation, both generally and in this
case. The general role of a mitigation
specialist was discussed in a report adopted by the Judicial Conference
of the
Mitigation specialists typically have graduate degrees, such as a Ph.D. or masters degree in social work, and have extensive training and experience in the defense of capital cases. They are generally hired to coordinate an investigation of the defendant’s life history, identify issues requiring evaluation by psychologists, psychiatrists or other medical professionals, and assist attorneys in locating experts and providing documentary material for them to review.9
The American Bar Association recommends the inclusion of a mitigation specialist on every capital litigation defense team and identifies the mitigation specialist as a “core member” of the defense team:
A mitigation specialist is also an indispensable member of the defense team throughout all capital proceedings. Mitigation specialists possess clinical and information-gathering skills and training that most lawyers simply do not have. They have the time and the ability to elicit sensitive, embarrassing and often humiliating evidence (e.g., family sexual abuse) that the defendant may have never disclosed. They have the clinical skills to recognize such things as congenital, mental or neurological conditions, to understand how these conditions may have affected the defendant’s development and behavior, and to identify the most appropriate experts to examine the defendant or testify on his behalf. Moreover, they may be critical to assuring that the client obtains therapeutic services that render him cognitively and emotionally competent to make sound decisions concerning his case.10
When Kreutzer’s defense attorneys made their requests for a mitigation specialist they supported it with an affidavit from Dr. Lee Norton, Ph.D., a mitigation specialist. Doctor Norton provided extensive background on what a mitigation specialist could provide in regard to mental health evidence.11 In addition to the general importance of a mitigation specialist in death penalty cases, mitigation specialists may play a particularly important role in ensuring the fair and full adjudication of military death penalty cases where, as here, counsel have little training or experience in capital litigation.
This case is replete with evidence
or information indicating that Kreutzer’s mental health was dubious. Yet the presentation of the defense
case-in-chief includes testimony from only three individuals about
Kreutzer’s
performance, behavior and reputation, and expert testimony from a
single mental
health professional. Color Sergeant
David Wakeland12
testified that
Kreutzer was an average or above-average soldier and noncommissioned
officer. He also discussed some matters
that may have
been stressful for Kreutzer as well as how Kreutzer’s threats and
absence were
reported on the morning of the shooting.
Specialist Robert Harlan, Kreutzer’s
roommate, testified about the ridicule Kreutzer endured, an incident
involving
threats while the unit was in the Sinai, the chain of command’s
treatment of
Kreutzer, and Kreutzer’s emotional state on the day before the shooting. A stipulation of the expected testimony of
Sergeant Arthur Swartz provided a further indication that Kreutzer was
not
respected in the unit.
The only mental health
professional called by the defense on the merits was Doctor (Major)
Carroll J.
Diebold, the Chief of the Department of Psychiatry and Neurology at
Trial counsel noted in closing that
Dr. Diebold said Kreutzer’s mental disorders “are not even considered
severe” and
contrasted that with defense counsel’s opening statement promising to
show that
Kreutzer “was suffering from a severe personality disorder.” Trial counsel also reminded the members that
Dr. Diebold testified that none of Kreutzer’s disorders impaired the
formation
of the intent to kill or the ability to premeditate.
Kreutzer’s defense counsel responded that
Kreutzer’s actions before the shooting were a “cry for help.” He argued that when the unit started moving
out for the run, Kreutzer “spiked” due to the stress and formed the
intent to
pull the trigger, but that he never intended to kill, nor did he
premeditate.
Despite the rather
limited defense mental health presentation on the merits, the record on
appeal
reveals significant additional mental health evidence potentially
available to
the defense. Doctor Darren Fong, the
first mental health professional with whom Kreutzer spoke did not
testify. Kreutzer spoke with Dr. Fong
about killing
members of his unit. However, rather
than believing that Kreutzer’s homicidal ideation was serious, Dr. Fong
believed that Kreutzer had “problems with anger and very poor coping
skills,”
“interpersonal problems,” and “probably a history of psychological
problems.”
After he was apprehended, Kreutzer
saw Dr. (then-Captain) Wendi T. Diamond, the division psychiatrist for
the 82d
Airborne Division at
In pretrial confinement Kreutzer was
seen for a suicide assessment by Lieutenant Commander Drew Messer who
received
his professional training in a dual degree law and psychology program. Lieutenant Commander Messer concluded that
Kreutzer was “profoundly depressed” and felt that “there were definite
mental
health issues in the case.” Nonetheless,
he never met with any of Kreutzer’s defense attorneys.
At the defense’s
request, mental health professionals at the Walter Reed Army Medical
Center
Forensic Psychiatric Program were appointed as expert consultants to
the
defense. Doctor Robert S. Brown Sr. was
a consultant to the Forensic Psychiatric Program and participated in
evaluating
Kreutzer’s mental condition. Doctor
Brown met with Kreutzer on
A post-trial mitigation specialist’s
report was attached as part of the appellate record.
This report reveals that Kreutzer suffered
mental and emotional problems prior to entering the Army.
He lacked self-confidence and held himself in
low esteem, feelings that became worse during junior high school. Symptoms of depression began when Kreutzer
was twelve and increased during his high school years when he also
experienced
suicidal ideation. Kreutzer continued to
be depressed and experienced his first homicidal feelings during his
college
years. His suicidal ideation manifested
itself even more during his college years when he pointed loaded
weapons at his
head several times.
In contrast to this wealth of mental
health information and history favorable to a defense presentation,
there is mental
health evidence that would indicate that Kreutzer premeditated his
actions and
was mentally responsible. Doctor Rollins,
a privately employed forensic psychologist opined that Kreutzer had no
severe
mental disorder and was competent to stand trial. Doctor
Rollins was not employed by the
defense to serve as an expert consultant or witness because of
financial
considerations, but he recommended that the defense put its main effort
into
the case in mitigation. Further, a
sanity board found Kreutzer competent and not to be suffering from a
severe
mental disease or defect.
The Government also points to the “interim
report” prepared by a mitigation specialist on behalf of the defense
for
appellate litigation. The Government notes
that this appellate mitigation specialist’s report considered the
foregoing
evidence pertaining to Kreutzer’s mental health and makes no conclusion
of lack
of mental responsibility or health that would overcome premeditation. Therefore, the Government argues that the
mitigation specialist, if provided at trial, would have been relevant
only to
sentencing and not to findings, and that any error is therefore
harmless beyond
a reasonable doubt.
We are not persuaded
that the Government has met its burden of showing that Kreutzer could
not have
possibly benefited from the talent and expertise of a mitigation
specialist on
findings. We need not speculate on
precisely
how the wealth of mental health evidence could have been used at trial. Although capital cases do not confer a per se
right to a mitigation specialist, on a case-by-case basis
servicemembers confronted
with a capital prosecution are entitled to mitigation specialists where
their
services would be necessary to the defense team. We
believe that the Government gives too
little weight to the possible worth of a mitigation specialist in this
case. The UCMJ and the R.C.M. assure that
the
defense counsel has the resources, including expert assistance, to
prepare and
present the defense. See Article
46, UCMJ; R.C.M. 703. The military
accused’s rights in this regard are not dependent upon indigence,
nevertheless
we agree with the spirit of the Arizona Supreme Court’s statement that
“[s]o
long as the law permits capital sentencing,” the justice system “must
provide
adequate resources to enable indigents to defend themselves in a
reasonable
way.”
While the services of a mitigation specialist are commonly used in sentencing, in the appropriate case this expert assistance may be necessary to the defense on findings as well. As the Commentary to ABA Death Penalty Counsel Guideline 4.1 states, the mitigation specialist is an “indispensable member of the defense team throughout all capital proceedings.” Kreutzer’s three uniformed attorneys recognized that they could not gather, analyze, and formulate this mental health evidence; a mitigation specialist could have done so and assisted counsel in identifying qualified mental health experts to present the evidence on both the merits and on sentencing. In turn, the defense on the merits could have incorporated that analysis either to bolster the theory that was used at trial or to create a different theory to contest premeditation on the merits. For example, the defense might have used testimony from Dr. Fong to show that he did not take Kreutzer’s talk about killing seriously and that Kreutzer had a history of homicidal ideation. The defense could have then argued that the members should discount Kreutzer’s night-before statements to SP4 Mays because they were more homicidal fantasy than premeditation. Alternatively, defense counsel might have argued that the additional mental health information produced by a mitigation specialist demonstrated that Kreutzer was susceptible to stress stimuli and was exhibiting “spiked” behavior as opposed to a premeditated intent in committing his crimes. Further, defense counsel may have used the additional information to attack and cloud the findings of the sanity board and try to suggest that while Kreutzer might have been mentally responsible under the law, he did not have the mental capacity to premeditate his crimes. The question is not whether these arguments are persuasive in the abstract, but rather, in light of the fact that Kreutzer was denied the fair opportunity to make these arguments, whether the Government has shown that the error in denying the defense request for a mitigation specialist was harmless beyond a reasonable doubt.
We answer the certified question in the negative. Erroneous denial of Kreutzer’s request for a mitigation specialist was error of constitutional magnitude. As such, the Government must show there was no reasonable possibility that even a single court member might have harbored a reasonable doubt in light of the mental health evidence that the mitigation specialist could have gathered, analyzed, and assisted the defense to present. Had but a single member harbored a reasonable doubt, death would have been excluded as a permissible punishment. In light of these factors, including the relative experience and training of Kreutzer’s defense counsel in capital litigation and the evidence relating to Kreutzer’s mental health history, we hold that the Government has not met its burden of demonstrating that the error in denying Kreutzer’s request for employment of a mitigation specialist was harmless beyond a reasonable doubt as to the contested findings.
DECISION
The
certified question is answered in the negative and the decision of the
United
States Army Court of Criminal Appeals is affirmed.
1
At
trial the charges of maiming and aggravated assault were consolidated
with
related specifications alleging attempted premeditated murder, and the
maiming
and aggravated assault offenses were “provisionally dismissed.”
2 The certificate
for review raises the
following issue:
WHETHER
THE UNITED STATES ARMY COURT OF CRIMINAL APPEALS ERRED WHEN IT FOUND
DENIAL OF
A MITIGATION SPECIALIST TO BE PREJUDICIAL ERROR FOR FINDINGS WHEN THE
SAME
OPINION ALSO FOUND THAT ALL EVIDENCE THE MITIGATION SPECIALIST WOULD
HAVE
DISCOVERED DID NOT HAVE A REASONABLE PROBABILITY OF PRODUCING A
DIFFERENT
RESULT.
Although
TJAG has not certified and the parties do not contest that the military
judge
erred in denying Kreutzer’s request for expert assistance, this court
could
examine the military judge’s legal ruling.
3 The
325th Airborne Infantry Regiment is also known as the 2d Brigade of the
82d
Airborne.
4 The 2d
Brigade had just assumed the highest readiness posture in their
readiness
cycle. It is standard practice for the
brigade to hold a mission assumption run to recognize this status and
the
entire brigade task force participates. The brigade task force was
composed of
between 1,500 and 2,000
soldiers.
5 The military
judge was referring to this court’s decision in United States v.
Loving,
41 M.J. 213 (C.A.A.F. 1994).
6
Kreutzer’s case was referred to the Army Court of Criminal Appeals on
7 In
light of recent Supreme Court decisions in this area, when a defendant
subject
to the death sentence requests a mitigation specialist, trial courts
should
give such requests careful consideration in view of relevant capital
litigation
precedent and any denial of such a request should be supported with
written
findings of fact and conclusions of law.
We find unpersuasive the dissent’s reliance on a line of cases
that
precedes the Supreme Court’s opinion in Wiggins v. Smith, 539
U.S. 510
(2003). We note that because there is no
professional death penalty bar in the military services, it is likely
that a
mitigation specialist may be the most experienced member of the defense
team in
capital litigation.
8 In
light of this holding and the fact that Pollard is a case
dealing with
nonconstitutional trial error, we need not address the Government’s
additional
contentions regarding application of Pollard and whether Pollard
requires any type of threshold showing.
9 Judicial Conference of
the
10 American
Bar Association Guidelines for the Appointment and Performance of
Defense
Counsel in Death Penalty Cases Commentary to Guideline 4.1 (revised
ed.
2003) (footnote omitted), reprinted in 31 Hofstra L. Rev. 913,
959
(2003) [hereinafter Commentary to ABA Death Penalty Counsel Guideline
4.1].
11 Dr. Norton noted that a mitigation
specialist gathers all pertinent information including all private
medical
records relating to mental health and mental health care, all social
services
records relating to mental health treatment, and all military medical
records. Collection of mental health
data is accompanied by “comprehensive interviews” of lay and
professional
persons who have observed the accused and have some knowledge of his
mental
health conditions. These people include,
but are not limited to, family, friends, teachers, coworkers,
employers,
doctors, mental health and social services personnel, and military
peers and
superiors. This mental health data and
related interviews detect evidence of early signs of mental illness or
deficiencies as well as give a portrayal of the onset, course and
treatment of
mental disorders.
12 Color
Sergeant Wakeland was a member of the British Army assigned to
13 Doctor
Diebold was called as a defense witness despite his recommendation to
defense
counsel “that they should reconsider calling me to testify” and he
specifically
indicated that his “testimony might not be helpful in front of the
panel.”
CRAWFORD, Judge (dissenting):
I respectfully dissent from the majority’s expansion of Ake v. Oklahoma, 470 U.S. 68 (1985), by finding in the U.S. Constitution a right of an accused to a death penalty mitigation specialist on the defense team, without the accused first demonstrating the need for such an expert. In granting this right of “constitutional magnitude,” 61 M.J. ___ (13), the majority places this Court outside of the judicial mainstream. The majority fails to consider the opinions of federal and state courts regarding the right to a capital mitigation specialist, the expertise and funding provided to the defense at trial, and recent precedent from this Court, as well as the majority of the decisions by federal and state courts ruling on the law-of-the-case doctrine.
FACTS
Prior
to trial, the
military judge made available to the defense team six psychiatrists in
the
Psychiatric Department at
While use of an analysis prepared by an independent mitigation expert is often useful, we decline to hold that such an expert is required. What is required is a reasonable investigation and competent presentation of mitigating evidence. Presentation of mitigation evidence is primarily the responsibility of counsel, not expert witnesses.
Alternatively, the
defense asked
the military judge to provide Appellee’s defense team with travel funds
associated with building Appellee’s case. The
judge granted the request for travel funds
and told them to return if they did not receive the funds they wanted.
On
appeal, two
judges on the Court of Criminal Appeals (CCA) found that the military
judge
abused his discretion in denying a request by the defense counsel for
an expert
mitigation specialist, and that this denial was not harmless beyond a
reasonable doubt.
DISCUSSION
The Judge Advocate General certified the issue of whether that court “[1] erred when it found [2] denial of a [3] mitigation specialist to be [4] prejudicial error for findings” when it also “found that all evidence that the mitigation specialist would have discovered would not have a reasonable probability of producing a different result.” The certified issue asks us to determine whether there was a “denial” of a “mitigation specialist” and, if so, whether that “denial” was “prejudicial error for findings.”
At the outset, we must determine the source of the right at issue and what standard should be applied on appeal. Only after making this determination can we examine the standard of review by which to assess whether any error may be prejudicial. If there was error, we must also determine whether that error was prejudicial for findings, and, if so, whether that holding is consistent with an established approach of assessing the case for a “reasonable probability of a different result.”
The certified issue asks us to examine the holding of the court below pertaining to findings, wherein the court stated, “defense counsel’s investigation into appellant’s mental health background fell short of reasonable professional standards,” and two of the judges agreed that this deficiency concerning expert opinion evidence would have a direct impact on the issue of mental responsibility and premeditation. Kreutzer, 59 M.J. at 784 n.11.
Authority
to Consider the Issues
The
majority would
hold that the Judge Advocate General has not certified the question of
a right
to a mitigation specialist. That issue,
however, is intertwined with the issues certified in this case. Note that the CCA held that Appellee was
wrongly deprived of expert assistance of a mitigation specialist to aid
in the
preparation of this capital case and that this was a denial of due
process.
In this case, the majority fails to consider the majority of the decisions by federal and state courts ruling on the law-of-the-case doctrine and does not recognize cases that have been decided by this Court since United States v. Grooters, 39 M.J. 269 (C.M.A. 1994).1 “Law of the case” may mean different things to different people, but it does not mean that the highest court that oversees the military justice system is bound by erroneous interpretations of law by the courts of criminal appeals.2 Certainly, where the military judge and the court below are correct, there is no reason to reexamine the ruling. See, e.g., United States v. Daniels, 60 M.J. 69, 71 (C.A.A.F. 2004). If the court below is wrong on a constitutional question, however, this Court is not bound by that ruling, and the standard of review is de novo.
No
Right to a Mitigation Specialist
While
the Supreme
Court has not addressed whether there is a constitutional right to
obtain a
mitigation specialist, a majority of federal and state courts have held
that a
capital defendant is not entitled to a mitigation specialist as a
constitutional right.3 Ake did not hold that the defendant
has a right to a capital mitigation specialist.
Rather, the Supreme
Court held that where there is a serious question about
lack of
mental responsibility, that is, where the defense has made a
“preliminary
showing that his sanity at the time of the offense is likely to be a
significant factor at trial,” the defendant is entitled to a
psychiatric examination. Ake, 470
[W]hen a defendant demonstrates to a trial judge that his sanity at the time of the offense is to be a significant factor at trial, the State must, at a minimum, assure the defendant access to a competent psychiatrist who will conduct an appropriate examination and assist in evaluation, preparation, and presentation of the defense.
After
Ake, the Court held that its decision should not be construed to
compel
the Government to provide an indigent with the assistance of an expert
outside
the limited circumstances of Ake.
Caldwell v. Mississippi, 472 U.S. 320, 323 n.1 (1985)(“We
therefore have no need to determine as a matter of federal
constitutional law
what if any showing would have entitled a defendant to assistance of
the type
here sought,” i.e., a criminal investigator, a fingerprint expert, and
a
ballistic expert). Both Ake and Caldwell
emphasize the minimum showing required of the defense.
Like our cases, Ake sets out a balance
among private interests, Government interests, and the probative value
of
testimony sought, noting that mental condition evidence may be crucial
to the
defense. But the defense must establish
that fact. Both the precedent of federal
and state courts and our own precedent require that the defendant show
the
necessity for expert assistance and that the lack of such assistance
would
result in a fundamentally unfair trial. See, e.g., Moore v. Kemp, 809 F.2d 702,
712 (11th
Cir. 1987); Gray v. Thompson, 58 F.3d 59, 66-67 (4th Cir.
1995), vacated
on other grounds, Gray v. Netherland, 518 U.S. 152 (1996); Little
v. Armontrout, 835 F.2d 1240, 1244 (8th Cir. 1987).
In People
v.
Burt, 658 N.E.2d 375 (
Similarly,
in Stewart
v. Gramley, 74 F.3d 132 (7th Cir. 1996),4
the court held that counsel was not ineffective in failing to talk to
the
members of Stewart’s family or other potential witnesses.
The
Stewart court also held that a defendant does not have the right
to
introduce causality evidence under a Strickland analysis.
In Stewart, the court refused to accept the causality approach towards mitigating evidence, recognizing the “slippery slope” created by the assumption that one’s past essentially influences everything. See id. at 136. Under the causality approach to analyzing childhood environment and criminal activity, the fact-finders are invited to conclude that a disadvantaged childhood environment makes individuals less legally responsible as adults. The fact-finders are asked to accept, for instance, that murderers are compelled to murder because of their past, and that they should be excused because the past may essentially influence everything they do in the future.
As discussed above, the Supreme Court has not
held that there is a constitutional right to a mitigation specialist. In light of this, we should carefully
distinguish this case from Wiggins v. Smith, 539 U.S. 510
(2003). Wiggins is not inconsistent
with the federal
and state cases that hold there is no right to a capital mitigation
specialist
and certainly does not overrule Loving. In
Wiggins, the Supreme Court held the
defense attorney’s failure to investigate the defendant’s background
and
present mitigating evidence concerning his difficult life constituted
ineffectiveness of counsel.
Not only does Wiggins not change the case law as to ineffectiveness of counsel, but the facts in Wiggins are so clearly distinguishable from those in Appellee’s case that, as a legal precedent, Wiggins is inapposite. Unlike Wiggins, Appellee’s counsel was not inattentive to his background. Appellee’s counsel assembled an extensive defense team of counsel, psychiatrists, and an NCO investigator with unlimited travel funds to investigate and gather mitigating evidence. This team had the report of the investigation pursuant to Article 32, Uniform Code of Military Justice (UCMJ), 10 U.S.C. § 832 (2000), and numerous psychological reports based on various tests performed on Appellee. The testing and conclusions of these experts were confidential because they were made by individuals working as members of the defense team.
Unwarranted
Remedy
Rather than ordering a hearing under United States v. DuBay, 17 C.M.A. 147, 37 C.M.R. 411 (1967), ordering affidavits from defense counsel as to the reason for their decisions, or even presuming that the defense team exercised reasonable professional judgment, the majority reverses the findings.
In leaping beyond the guidance of the Supreme Court to find this right of “constitutional magnitude,” the majority relies upon “the right to present a defense, compulsory process, and due process conferred by the Constitution,” the UCMJ, and the Rules for Courts-Martial. 61 M.J. ___ (13). This is unfortunately consistent with this Court’s recent overreliance on due process, often without articulation of the source for that reliance. See, e.g., United States v. Richardson, 61 M.J. 113 (C.A.A.F. 2005); United States v. Jones, 61 M.J. 80 (C.A.A.F. 2005); United States v. Oestmann, 61 M.J. 1003 (C.A.A.F. 2005); United States v. Cosby, No. 05-0058, 2005 CAAF LEXIS 411 (C.A.A.F. Apr. 15, 2005); United States v. Moreno, 61 M.J. 59 (C.A.A.F. 2005); United States v. Brewer, 61 M.J. 51 (C.A.A.F. 2005); United States v. Strother, 60 M.J. 476 (C.A.A.F. 2005). All too frequently, “due process” becomes the mantra of those who seek enforcement of certain rights when there is no specific source for those rights to which they can readily turn. The majority’s invocation of “due process” is ill placed because Appellee had both articulable rights and a highly competent team dedicated to protecting those rights. A competent defense counsel must prepare for sentencing as well as the case-in-chief. Mitigation evidence places the defendant’s crime in the social context of his or her life experiences and suggests psychologically important events that could have shaped or influenced the defendant’s criminal acts. This is particularly important where there is a pattern of early childhood trauma and maltreatment, or where there has been poverty and childhood abuses and a nexus linking those experiences with an individual’s dysfunction as an adult.
The
team assembled
on behalf of Appellee, the funding of that team, and the funding that
could
have been obtained in the future, likely provided all that was
necessary to
assist the defense in lending context to Appellee’s life experiences
and the
impact they had on his criminal acts.5 The
military justice system provides for open
access to mitigation evidence during sentencing, subject to the
effectiveness
of the information and the limits imposed by rules governing
admissibility. In many cases, counsel
has to decide whether the past actions are mitigating evidence or
aggravating
evidence. The defense team was well
aware of numerous statements made by Appellee while in the Sinai.6 They
were careful to avoid the admission of this material at either the
findings or
sentencing phases. We should not simply
guess or presume that they failed to make that decision. We
should avoid second-guessing counsel
because of the wide latitude they must be given as to their tactical
decisions,
especially in light of potential rebuttal by the Government, i.e.,
Appellee’s prior
statements or evidence to be introduced under Military Rule Evidence
(M.R.E.)
404(b). The defense was very careful not
to open the door for a series of statements made by Appellee while in
the
Sinai. These included the statements of
Private
First Class (PFC) Bridges, PFC Cooper, Specialist (SP) Cruz, SP Harlan,
Corporal Hyler, SP Estrada, Sergeant First Class Kearns, and Saul
Alvarado. These statements would have been
devastating evidence if admitted during the findings phase and had the
potential to seal Appellee’s fate during sentencing.
Similarly, the expansive testing and
interviews done by the mental health team may have also resulted in
opening the
door to extensive statements from Appellee that would have been
otherwise privileged
and therefore inadmissible. See, e.g.,
M.R.E. 302(b).
The CCA was correct in stating that there is a relationship between a mitigation specialist and the effective assistance of counsel. However, the defense’s proffer did not satisfy what this Court has required for the appointment of expert assistance. In United States v. Gonzales, this Court set forth a three-prong test for showing the need for expert assistance:
First, why the expert
assistance is needed. Second, what
would the expert assistance accomplish for the accused. Third, why is the defense counsel unable to
gather
and present the evidence that the expert assistant would be able to develop.
39 M.J. 459, 461 (C.M.A. 1994).
Appellee’s
counsel failed to satisfy Gonzales by overlooking the team that
had been
appointed, making no proffer as to what this team could not accomplish
that a
mitigating specialist could accomplish, and making no showing that
“defense
counsel is [in]capable of obtaining and presenting” the evidence that
could be
obtained by a mitigation specialist. Burt,
658 N.E.2d at 389 (citing Lear, 572 N.E.2d at 880).
As
we said in United States v. Kelly, 39 M.J. 235, 238 (C.M.A.
1994): “[d]efense
counsel are
expected to educate themselves to obtain competence in defending an
issue
presented in a particular case,” using the primary and secondary
sources that
would be available prior to asking for a defense specialist. After a uniquely qualified psychiatric team
was assembled, in this case the defense never indicated that they did
not have
available psychological records, including mental health evaluations
and social
service records. Additionally, while the
military judge denied the request for a mitigation specialist, he did
provide
the alternative of government funding for the defense team’s mitigation
efforts. The military judge also
indicated if there was “any problems in getting the funding,” they
should seek his
assistance.
As
to the mitigation specialist, the psychiatrists from
The
drastic remedy
granted by the court below and approved by the majority is beyond
comparison to
any federal or state case, particularly given the expansive defense
team, the
lack of any limitation on money or time, and the military judge’s
invitation to
seek the court’s assistance to obtain additional money should that
become
necessary. Without question, the defense
team knew both the procedural and evidentiary rules critical to the
presentation
of an effective mitigation case. In
fact, Dr. Gregory R. Lande was an editor of Principles and Practice
of
Military Forensic Psychiatry (1997)(along
with Dr.
David Armitage7)
and a former chief of
the Psychiatric Department at Walter Reed Army Medical Center. If we cannot presume that the defense team
here
acted with Appellee’s best interests in mind, the presumption will
never be
available.
For all of the above reasons, I respectfully dissent from the majority’s conclusion that there was an “error of constitutional magnitude” because no mitigation specialist was appointed.
1
United
States v. Williams, 41 M.J. 134, 135 n.2
(C.M.A. 1994). (“The
law-of-the-case doctrine does not
preclude this Court, once the case has been properly granted for
review, from
considering an erroneous conclusion of law, made by” the court below.);
United
States v. Morris, 49 M.J. 227, 230 (C.A.A.F. 1998) (Court limited
law-of-the-case doctrine).
2 It is
illogical to say that an intermediate appellate court can bind a higher
court. See, e.g.,
England
v. Hospital of Good Samaritan, 97 P.2d 813, 814-15 (
3 State
v. Lott, Nos. 66388, 66389, 66390, 1994 Ohio App. LEXIS 4965 at
*35, 2002
WL 615012, at *13 (Ohio Ct. App. Nov. 3, 1994)(mere assertion that the
assistance of an expert would be useful was an insufficient basis on
which to
grant relief); State v. Langley, 839 P.2d 692, 697 (Or.
1992)(denial of
mitigation investigator was not error); Commonwealth v. Reid,
642 A.2d
453, 457 (Pa. 1994)(failure to approve funds to obtain particular
psychologist
as mitigation expert did not violate Ake).
4 See
also State v. McGuire, 686 N.E.2d 1112, 1120 (
5 This
team, in making their conclusions, considered all of the reports,
including
that of Dr. Robert Brown who concluded, “The impulse to commit these
crimes
could not have been resisted by the defendant.”
6 There
are numerous examples. He told Private
First Class Cooper: “I’ll leave the
guard tower, take out the radio watch guard station outside the arms
room, and
go into the barracks and shoot everyone inside, except for Corporal
Hoyler, who
I’d just beat pretty badly.” And he told
Specialist Estrada, “I’m going to kill you” (during the fight in the
Sinai).
7 Dr. Armitage was part of
the defense team of numerous cases. See, e.g., United States v. Gray, 51 M.J.
1, 41
(C.A.A.F. 1999); Loving, 41 M.J. at 249.