DocketNumber: C.A. No. KM 03-799
Judges: SAVAGE, J.
Filed Date: 1/11/2010
Status: Precedential
Modified Date: 4/17/2021
After consideration of the trial transcripts and exhibits, the decision of the Rhode Island Supreme Court affirming Hazard's conviction, his petition for post-conviction relief, the record from the evidentiary hearing on that petition, and the parties' memoranda and arguments, this Court denies Hazard's petition for post-conviction relief.
When Hazard babysat, he began coming into the young girl's room after she showered and would rub her with lotion. The contact was originally limited to the young girl's back, but then Hazard began rubbing her breasts under her clothes and then her vagina. On three or four occasions, Hazard put his fingers into the girl's vagina. He also would kiss her breasts and lick her ears while showing her the location of her "horny spots." On other occasions, Hazard once penetrated the young girl's vagina with his tongue and once penetrated her anally with his penis. From 1993 through 1994, Hazard molested the young girl, in total, about 15 to 20 times.
The young girl displayed some resentment toward Hazard at the outset of his relationship with her mother. Eventually, however, the two became close, until 1994 when the girl's behavior toward Hazard changed and he no longer wished to babysit for her, forcing her mother to change her work schedule so that she could be home with her daughter during the evenings.
The young girl did not tell her mother or any other adult about Hazard's conduct during this period because she knew that her mother was in love with Hazard and because Hazard had threatened to kill himself if she did. The only person in whom she confided was her best friend. Eventually, the relationship between Hazard and his fiancée deteriorated, and he moved out in September of 1995. Earlier that same year, in March of 1995, Hazard's father had died. A few months after he moved out, in January of 1996, his mother and sister died. Thereafter, Hazard *Page 3 became very depressed, even making funeral arrangements for himself in February of 1996 before eventually seeking treatment and counseling for his depression.
On July 7, 1996, the young girl disclosed to her mother that Hazard had touched her inappropriately. Later that same night, her mother went to Hazard's apartment and confronted him with her daughter's allegations. He became visibly upset, crying and shaking, and then apologized for what he had done, offering to help pay for any counseling the girl might need. Soon thereafter, Hazard left the apartment. Early the next morning, Trooper Pennington of the Rhode Island State Police found Hazard semi-conscious, with slashed wrists, laying in the grass near his parents' gravesite at the Veterans Cemetery in Exeter, Rhode Island. Trooper Pennington discovered the razor blade used by Hazard to cut his wrists and a note that Hazard had left in his vehicle in which he apologized for the pain he had caused, asked for forgiveness, and made reference to the funeral home which had his papers. He also had inscribed a note to his sister directing her to have the spelling of their parents' names on their gravestone corrected.
On December 18, 1997, following Rogers's death, Hazard privately retained new counsel, James McCormick, to represent him in connection with his appeal before the Rhode Island Supreme Court. The Supreme Court affirmed his conviction on December 3, 2001.See State v. Hazard,
In September of 2003, again through his new counsel, Hazard filed this Application for Post-Conviction Relief asking that his conviction be vacated on grounds of ineffective assistance of counsel at trial. As Petitioner, Hazard claims that the trial errors committed by his late trial counsel, Charles J. Rogers, Jr., either singularly or cumulatively, were prejudicial to him and that, but for their commission, he would not have been convicted.
The bases for Petitioner's ineffective assistance of counsel claim are that his late trial counsel: (1) wrongfully, and without Petitioner's knowledge or consent, disclosed confidential psychiatric records to the State before trial — records which the defense did not offer into evidence in Petitioner's defense but which the prosecutor used to impeach Petitioner's trial testimony; (2) failed to use exculpatory evidence, such as police records and reports containing allegations that the complaining witness herself had committed acts of sexual assault and *Page 5 molestation against other younger children, which could have impeached her trial testimony; (3) failed to object to the State's introduction of Petitioner's suicide note which the prosecutor argued was evidence of Petitioner's consciousness of guilt regarding the charged offenses; and (4) failed to object during the State's closing statement when the prosecutor remarked that Petitioner's suicide note evidenced his consciousness of guilt and engaged in many instances of improper vouching.
Additionally, Petitioner relies on the Rhode Island Supreme Court's decision in State v. Hazard for further examples of his late counsel's ineffective assistance. Petitioner contends that his trial counsel rendered ineffective assistance at trial by failing to preserve his objections to several of the trial justice's evidentiary rulings for appeal: (1) not permitting defense counsel to cross-examine the complaining witness's mother on issues of bias toward Petitioner; (2) not allowing defense counsel to attempt to elicit testimony regarding Petitioner's proclaimed reasons for attempting suicide; and (3) not admitting statements made by Petitioner to his ex-wife indicating that his suicide attempt was the result of pre-existing depression rather than consciousness of guilt.
The State filed an answer to Petitioner's Application for Post-Conviction Relief in April 2004, objecting to the Petitioner's request for relief and then supplemented its answer on May 30, 2006 to set forth its arguments in opposition to Petitioner's Application. In its answer, the State objects to Petitioner's Application for Post-Conviction Relief, arguing that he has failed to prove, under the dictates of Strickland v.Washington,
In reviewing a claim of ineffective assistance of counsel, our Supreme Court has stated that the "benchmark issue is whether ``counsel's conduct so undermined the proper functioning of the adversarial process that the trial cannot be relied on as having produced a just result.'" Bustamante v. Wall,
In evaluating claims of ineffective assistance of counsel, our Supreme Court follows the standard articulated in the seminal United States Supreme Court decision of Strickland v.Washington,
In assessing the first part of the Strickland test, the performance of counsel is evaluated by determining whether that representation "fell below an objective standard of reasonableness."
In addition, "a single failure or omission on the part of privately retained counsel is unlikely to meet theStrickland threshold." Heath v. Vose,
Even if a defendant is able to satisfy the first part of theStrickland test by showing that counsel's performance was objectively unreasonable considering all of the circumstances, the defendant then must go on to establish that counsel's performance resulted in serious prejudice that undermined his or her right to a fair trial. Strickland
This second part of the test focuses on the reliability of the outcome of the proceeding. Thus, even if a defendant is successful in demonstrating that his or her counsel committed unreasonable errors, he or she still must be able to show that those errors "actually had an adverse effect on the defense," and not simply "some conceivable effect" since "virtually every act or omission of counsel would meet that test." Id. at 693. The United States Supreme Court has made clear that "an error by counsel, even if professionally unreasonable, does not warrant *Page 9
setting aside the judgment of a criminal proceeding if the errorhad no effect on the judgment."Id. at 691 (emphasis added); see alsoBrown,
With these precepts in mind, "judicial scrutiny of counsel's performance must be highly deferential." Id. at 689. InStrickland, the Court cautioned a defendant against "second-guess[ing] counsel's assistance after conviction or adverse sentence." Id. Further, the Court added, "it is all too easy for a court, examining counsel's defense after it has proved unsuccessful, to conclude that a particular act or omission of counsel was unreasonable." Id. A fair assessment of counsel's performance, therefore, "requires that every effort be made to eliminate the distorting effects of hindsight, to reconstruct the circumstances of counsel's challenged conduct, and to evaluate the conduct from counsel's perspective at the time." Id.
Recognizing the difficulties inherent in making such an evaluation, "a court must indulge a strong presumption that counsel's conduct falls within the wide range of reasonable professional assistance; that is, the defendant must overcome the presumption that, under the circumstances, the challenged action ``might be considered sound trial strategy.'" Id. In any given case, "[t]here are countless ways to provide effective assistance . . . [e]ven the best criminal defense attorneys would not defend a particular client in the same way." Id.; cf. Engle v.Isaac,
At the evidentiary hearing on Petitioner's claim for post-conviction relief, Petitioner testified that, in response to his attorney's request, he signed a release form authorizing Harvard Pilgrim Healthcare to forward to his attorney his mental health counseling records from February 23, 1996 to December 19, 1996. He asserted that he only authorized the release of these records to his attorney because his counsel expressed concern about Petitioner's mental state in light of his suicide attempt. Petitioner further asserted that, in authorizing the release of the records to his counsel, he never consented to his attorney releasing them to the State. Petitioner testified that his attorney never had said anything to him about turning those records over to the State nor did he obtain Petitioner's authorization for their release. There is no question, however, that Petitioner's counsel turned over these records to the prosecutor before trial. Petitioner thus claims that his attorney did so wrongfully, without his knowledge or *Page 11 consent, under circumstances where disclosure was not legally required because the State did not request discovery.
He next contends that his counsel compounded this error by not reviewing the records with Petitioner before trial to prepare him for cross-examination. The psychiatric records at issue contained notes taken by Petitioner's psychiatrist, Dr. Flikier, regarding Petitioner's depression and suicide attempt. A progress report signed by Dr. Flikier and dated October 22, 1996, although redacted in part, included a note that stated: "He [Petitioner] reports that he did give his girlfriend's daughter a bath and put some lotion [on her], but this was in front of the girlfriend." (Ex. Pet. 2.) On cross-examination, the prosecutor asked the Petitioner whether he had put lotion on the complaining witness, as she had described in her trial testimony. Petitioner claims that he was surprised and unprepared for the question and denied putting lotion on the complaining witness. (Trial Tr. vol. 2, 380:11-16, Oct. 3, 1997.) The State then effectively impeached his testimony with the psychiatric records produced to the prosecutor that referenced his practice of putting lotion on the victim, at which point Petitioner had to retract his denial. (Trial Tr. vol. 2, 380:19-381:25, Oct. 3, 1997.) Petitioner then tried, belatedly, to distance himself from the records by arguing that they did not reflect verbatim what he had told his therapist.
In addition, Petitioner argues that, if it was not error for his counsel to release his counseling records to the State, his counsel erred in not using them affirmatively to bolster his defense. He suggests that his trial counsel should have introduced or referred to these records in his direct examination of Petitioner to explain that Petitioner's suicide attempt was because of his depression over his family members' deaths and not because of his consciousness of guilt, as the State claimed. *Page 12
The State responds that defense counsel's disclosure of the records to it was not ineffective or deficient, but merely tactical. Since a crucial aspect of Petitioner's defense was that his suicide attempt was the result of grief over the deaths of his close family members and not the result of being accused of molestation by the complaining witness's mother, it was necessary for defense counsel to release records to the prosecutor that would substantiate this defense. Thus, the State argues that the release of the records was a strategical decision on the part of defense counsel that was not objectively unreasonable.
Further, the State suggests that Petitioner was obviously and actively involved in every aspect of his defense and, therefore, his claim that he was unaware of and did not consent to the disclosure of the records to the State lacks credibility. Additionally, the State argues that Petitioner put his own mental health into issue when his attorney questioned him, on direct examination, about his depression and treatment. As a result, the State would have been entitled legally to request a subpoena from the Court for Petitioner's mental health records pursuant to the Health Care Confidentiality Act, R.I. Gen. Laws 1956 §§
The State maintains, then, that it does not matter whether Petitioner gave his consent to the release of the records, because, under the Act, the State would have been entitled to the records by law following his direct examination.
With respect to Petitioner's argument that his attorney did not prepare him for cross-examination concerning those records, the State counters by noting the opportunities that Petitioner had to observe its opening statement and the trial testimony of the complaining witness about his putting lotion on her. According to the State, therefore, by the time Petitioner took the stand, he knew that an issue had been made about his having rubbed the complaining witness with lotion. He also knew, regardless of whether he had reviewed his psychiatric records in preparation for his testimony, that he had an obligation to testify truthfully under oath. The State argues that Petitioner chose to deny ever putting lotion on the complaining witness, thus becoming the author of his own troubles. Notwithstanding his denial, the prosecutor gave Petitioner the opportunity to explain the inconsistency between his trial testimony and the information contained in his physician's notes. Defense counsel, too, gave Petitioner the opportunity to address the inconsistency on re-direct examination. The State claims, therefore, that the Petitioner had a full and fair opportunity to resolve any inconsistencies in his testimony regarding his physician's note.
In addressing the Petitioner's arguments, this Court must begin with the Rules of Professional Conduct which govern the obligations and duties of a lawyer to his or her client as part of the attorney-client relationship. Under Rule 1.2, entitled "Scope of Representation," a lawyer is required to "consult with the client as to the means by which [the objectives of *Page 14 representation] are to be pursued." The commentary to this rule states that the client has the ultimate authority to determine the purposes to be served by legal representation and that, within the limits of the law and the lawyer's professional obligations, a client also has a right to consult with the lawyer about the means to be used in pursuing those objectives. Yet, it is the lawyer who generally assumes responsibility for the legal and tactical issues at trial. See Commentary to Rules of Professional Conduct 1.2. Nonetheless, under Rule 1.4(b)(c), entitled "Communication," a lawyer is obliged to "keep a client reasonably informed about the status of a matter," and "shall explain to the extent reasonably necessary to permit the client to make informed decisions regarding the representation." While an attorney cannot be expected to describe his or her trial strategy in detail, the guiding principle is that the lawyer should fulfill "reasonable client expectations for information consistent with the duty to act in the client's best interests." Commentary to Rules of Professional Conduct 1.4. Further, Rule 1.6 prohibits an attorney from disclosing confidential client information unless that client consents (except for certain disclosures that are impliedly authorized to carry out the representation, necessary to prevent the commission of certain crimes, or pertinent to certain disputes arising out of the attorney-client relationship).2 *Page 15
Disclosures of confidential medical information often become necessary when a defendant puts his or her mental and/or physical condition in issue as part of his or her defense. Section
In Carkner, the Appellate Division of the New York Supreme Court held that although the defendant raised the issue of his identity and whether he was the person from whom a blood sample was drawn, thus "open[ing] the door" to the admission of his confidential health care information relevant to the identity issue, he did not "affirmatively put his physical or mental condition in issue so as to waive the physician-patient privilege with regard toall of the confidential information contained in the hospital records." Id. (emphasis added). As such, the Court found that the trial court erred in admitting certain confidential health care information over the defendant's objection. Id. Thus, a defendant waives the applicable privilege afforded to confidential health care information only as to the specific issues that he raises as part of his defense. *Page 16
In the case at bar, assuming that Petitioner signed a release form providing blanket authorization for his mental health records to be transferred to his attorney, 3 this authorization did not grant his defense attorney carte blanche to use his client's confidential medical records to any end. Moreover, even if Petitioner had, in fact, consented to the disclosure of his confidential records to the State, defense counsel still should have been aware that he had no affirmative obligation to turn over all of the records absent a proper discovery request by the State or a court order or subpoena. See Super. R. Crim. P. 16.4
Petitioner's mental health records contain several notes — dated February, March, July, August, October, and November 1996 — made by Petitioner's psychiatrists, almost all of which relate to Petitioner's suicide attempt and his depression over his family members' deaths. Arguably, these records were relevant to Petitioner's bereavement defense and hence properly disclosed. However, one progress note, dated October 22, 1996 and signed by Dr. Flikier, while redacted in part, contains a statement regarding Petitioner giving his girlfriend's daughter a bath and putting lotion on her in front of the girlfriend. As this statement had nothing to do with Petitioner's defense, and as the State never requested discovery, there would have been no reason — legal or tactical — for defense counsel to have produced this statement to the prosecutor. It is more likely, therefore, that defense counsel's disclosure of the record — which gave the State great fodder for its direct case *Page 17
and its cross-examination of the defendant at trial — was inadvertent, detrimental to the Petitioner, and thus, objectively unreasonable. See Strickland,
In addition, even assuming an inadvertent disclosure of Petitioner's mental health records without Petitioner's authorization or knowledge, there were other procedural devices available to, but not used by, defense counsel to minimize the harm to his client at trial. A lawyer "must make every effort practicable to avoid unnecessary disclosure of the [client's] confidences and secrets; to limit disclosure to those having the need to know the information; and to obtain protective orders or make other arrangements minimizing the risk of unnecessary disclosure."Crews v. Buckman Labs. Int'l Inc.,
Here, once defense counsel disclosed all of Petitioner's psychiatric records to the prosecutor, he did not attempt to limit their use at trial by means of a protective order or other procedural device. A trial justice has the discretion to limit discovery and the use of evidence at trial only to the area(s) at issue and may order disclosure of information only if it finds such disclosure "necessary to a proper administration of justice." State v. McAbee,
Still further, defense counsel failed to object to the prosecutor's line of questioning of the Petitioner on cross-examination with respect to any of the content of his psychiatric records. When Petitioner took the stand at trial and was questioned by his attorney on direct examination, the issue of whether he put lotion on the complaining witness was never raised. Instead, defense counsel asked Petitioner about the effects that the deaths of his relatives had on him, whether he *Page 19 sought treatment and help for his depression, and whether he had contemplated suicide during the period in question. (Trial Tr. vol. 1, 321:3-23:24, Oct. 1, 1997.) Once Petitioner placed his physical and mental state in issue during this direct examination, the prosecutor was free to inquire about and/or impeach Petitioner on cross-examination concerning that particular issue. The prosecutor's inquiry, however, went beyond the issue of Petitioner's state of mind and included questions regarding those statements in the psychiatric records relating to Petitioner's putting lotion on the complaining witness.
Yet, at no point during this deviation in the prosecutor's cross-examination did defense counsel object. Rule 611 of the Rhode Island Rules of Evidence limits the scope of cross-examination to "the subject matter of the direct examination." SeeState v. Benevides,
While the decision not to object may, at times, be "fraught with danger and may not be wise strategy," see Chandler v.State,
It is true, as the State argues, that regardless of whether Petitioner was aware of the content of the medical records that defense counsel disclosed to the prosecutor and regardless of whether defense counsel prepared Petitioner for cross-examination, Petitioner still had a duty to testify truthfully. The issue of Petitioner's credibility was one for the jury and the issue of whether Petitioner's conviction was proper was one for our Supreme Court to consider on appeal. However, the issues of whether defense counsel should have disclosed all of Petitioner's psychiatric records to the State in the first place and whether defense counsel should have objected to the prosecutor's cross-examination of Petitioner regarding the objectionable content of those records and better prepared his client for cross-examination regarding the content of those records are before this Court as part of Petitioner's claim of ineffective assistance of counsel and, therefore, merit consideration.
Based on the foregoing reasons, it is the view of this Court that defense counsel's performance in disclosing the portion of Petitioner's psychiatric records to the State involving the lotion incident without Petitioner's specific knowledge or consent and in failing to object to and prepare Petitioner for the prosecutor's cross-examination with regard to that aspect of the *Page 21 records was constitutionally deficient. Counsel magnified these problems by not first introducing any counseling records on the direct examination of the Petitioner to buttress his defense that his suicide attempt had nothing to do with the molestation charges. To prevail on his claim, however, Petitioner also must show this Court that his counsel's deficient performance resulted in serious prejudice to him and undermined the fairness of his trial.
To prove prejudice under the second part of theStrickland analysis, "the defendant must show that there is a reasonable probability that, but for counsel's unprofessional errors, the result of the proceeding would have been different. A reasonable probability is a probability sufficient to undermine confidence in the outcome."
Petitioner presents a number of errors that were committed by defense counsel including the disclosure of Petitioner's mental health counseling records to the State (and, more specifically, the reference in those records to putting lotion on the complaining witness), the failure to prepare Petitioner for the questioning on that issue that ensued at trial, the failure to *Page 22
use Petitioner's psychiatric records on direct examination of Petitioner to show that Petitioner's reason for attempting suicide was due to his depression over his family members' deaths, and the failure to object to the prosecutor's line of cross-examination regarding the lotion incident referred to in the records. While this Court agrees that these errors, especially when aggregated, were objectively unreasonable, it cannot say with reasonable probability that, but for these errors, the result of Petitioner's trial would have been different. Strickland,
In reviewing the trial transcripts, there is strong testimony from the complaining witness, her mother, and her best friend to substantiate the jury's guilty verdict. At the conclusion of the trial, the trial justice instructed the jury that if it found the complaining witness's testimony to be credible, it could return a guilty verdict on that basis alone. (Trial Tr. vol. 2, 482:21-483:4, Oct. 3, 1997.) Defense counsel did not introduce any contradictory testimony to impeach the credibility of the complaining witness or the other witnesses. While defense counsel attempted to proffer evidence of racial animus on the part of the complaining witness in an effort to discredit her testimony, the jury could reasonably infer, from the timing of Petitioner's acts of molestation against the young girl and her disclosure of those acts to her mother, that she was not harboring any racial animus toward Petitioner at the time that she made the allegations.
In Angell v. State, the defendant filed an ineffective assistance of counsel claim against his trial and appellate attorney outlining numerous tactical mistakes allegedly made during the course of his murder trial.
Also, in Brown v. State, the petitioner sought post-conviction relief on the grounds of ineffective assistance by his trial counsel.
In the case at bar, the complaining witness's testimony also was the heart of the State's case. Her testimony was corroborated by the circumstances of its disclosure, the credible testimony of her mother and friend, and Petitioner's action upon being confronted with her allegations. Petitioner has failed to convince this Court that, even if the purported errors had not been made — namely, defense counsel had not disclosed and/or the State had not been permitted to use the objectionable mental health counseling records and he had prepared Petitioner for direct examination and cross-examination regarding any records used — the outcome of the case would have been different. The highly persuasive testimony of the complaining witness, corroborated by the testimony of other witnesses and evidence introduced by the State — as well as Petitioner's lack of credibility and a credible defense (separate and apart from his testimony regarding the lotion incident) — supports the jury's verdict and makes it unlikely that defense counsel's alleged errors prejudiced the Petitioner so as to undermine confidence in the outcome of his trial. Accordingly, Petitioner's claim of ineffective assistance of counsel connected with the disclosure and use of his confidential medical records must be denied.
The Rhode Island Supreme Court has made clear that "tactical decisions by trial counsel, even if ill-advised, do not by themselves constitute ineffective assistance of counsel."Brown,
Although defense counsel did not file for discovery, the State produced evidence to the defense, presumably in compliance with its obligations under Brady v. Maryland,
Petitioner testified at the evidentiary hearing on his application for post-conviction relief that he had been unaware of the content of the police reports and DCYF records that referenced the complaining witness's acts of molestation until trial when his counsel advised him, immediately following jury impanelment, that he did not feel right using this evidence at trial. *Page 27
While Petitioner conceded that he was advised of the downside of admitting this evidence, namely, that the jury could infer that the complaining witness molested others because she herself had been molested by Petitioner, he nonetheless faulted his defense attorney for agreeing not to use this evidence and characterized his counsel's decision in that regard as "an outright blunder." In his view, the evidence suggested that the complaining witness intuitively or craftily made up the charges against Petitioner and, therefore, counsel's decision to exclude this evidence was unreasonable.
Petitioner further faulted his counsel for suggesting, instead, that the complaining witness had a motive to fabricate the charges because she harbored racial animus toward Petitioner. According to Petitioner, he and the complaining witness did not have any problems because of his race such that he did not think his attorney should have argued otherwise at trial. Petitioner further claimed that, as with the evidence of the victim's alleged prior sexual assaults of other children, he was not aware that his counsel would be making this race argument at trial. The State's position is that defense counsel's decision to forego the use of evidence of the complaining witness's past acts of molestation and instead to use evidence of the complaining witness's racial animus toward the Petitioner to suggest her motive for fabricating the charges was a reasonable tactical decision by defense counsel, especially since questioning the complaining witness regarding her past acts of molestation could have back-fired on Petitioner.
After an examination of the trial record and the evidence before this Court, it is clear, as a threshold matter, that Petitioner's decision to forgo inquiry into the complaining witness's alleged past acts of sexual molestation was intelligent and voluntary, after consultation with his attorney. On September 29, 1997, this Court conducted a pre-trial hearing on the State's motion in limine to preclude introduction of this evidence. At this hearing, Petitioner testified, under *Page 28 oath, that he understood that he was waiving his right to introduce evidence of the complaining witness's past acts of molestation. (Trial Tr. vol. 1, 5:9-12.) Further, he testified that no one was forcing him to waive this right and that this was a voluntary decision, made intelligently and after consulting with his attorney. (Trial Tr. vol. 1, 5:22-6:4.) Petitioner also stated that his attorney had provided him with all of his options with respect to this motion and that Petitioner's decision was, consequently, made of his own free will. (Trial Tr. vol. 1, 6:5-11.) Petitioner was free to inform this Court, at the pre-trial hearing, if he disagreed with his counsel's advice or believed that he was being forced to make this decision, but at no point did he do so.
As a result, this Court is satisfied, notwithstanding Petitioner's protestations to the contrary in connection with his application for post-conviction relief, that his decision at trial to waive his right to introduce evidence against the complaining witness as to her alleged prior sexual assaults was an informed and intelligent one, made after consulting with his attorney. While now, after being convicted, Petitioner may harbor second thoughts regarding this strategic trial decision to which he consented, this Court cannot accept that his decision at the time was uninformed, uncounseled or involuntary.
Moreover, defense counsel's tactical decision not to use evidence of the complaining witness's alleged past acts of sexual molestation against other younger children at trial was objectively reasonable.See Strickland
As to the issue of racial animus, this Court is not convinced, as a threshold matter, that this aspect of Petitioner's defense was the brainchild of his prior counsel. Even if it were, this Court is not convinced that it was a tactical decision at trial to which Petitioner failed to consent.
Moreover, even assuming, as Petitioner claimed at the post-conviction relief hearing, that he disagreed with his attorney's reliance on this race argument at trial, counsel's decision in this regard was not ineffective. InBustamante, the Rhode Island Supreme Court explained that the
A defendant is entitled to counsel capable of rendering competent, meaningful assistance in the preparation and trial of the pending charges, including appropriate evaluation and advice with reference to a plea of guilty. A defendant is not entitled to an attorney who agrees with the defendant's personal view of the prevailing law or the equities of the prosecutor's case. A defendant is entitled to an attorney who will consider the defendant's views and seek to accommodate all reasonable requests with respect to trial preparation and trial tactics. A defendant is entitled to appointment of an attorney with whom he can communicate reasonably, but has no right to an attorney who will docilely do as he is told. Every defendant is entitled to the assistance of counsel *Page 30 dedicated to the proposition, and capable of assuring that, the prosecution's case shall be presented in conformity with the Constitution, rules of evidence and all other controlling rules and practices. No defendant has a right to more.
United States v. Moore,
It is all too easy for an accused to allege ineffective assistance after a particular tactic proves unsuccessful at trial or a conviction is obtained. See Strickland
Furthermore, Petitioner has failed to show how the exclusion of evidence of the complaining witness's alleged prior sexual assaults and reference to her alleged racial animus against him by his attorney, even if reflective of error, was "so prejudicial to the defense and the error[] [was] so serious as to amount to a deprivation of [his right] to a fair trial." Brennan,
Just as in Toole, the prosecution here produced the testimony of others to corroborate the complaining witness's allegations, including her mother and friend. The prosecution also proffered Petitioner's own incriminating admissions, not only those contained in his suicide note but also those he made the night before his suicide attempt when the complaining witness's mother confronted him. Given the other substantial evidence produced at trial, therefore, defense counsel's failure to introduce evidence of the complaining witness's alleged past acts of sexual assault and reference to her alleged racial animus toward Petitioner, even if in error, did not prejudice Petitioner.
The State counters that even if defense counsel had objected to the admission of this testimony and evidence, the objection would have been overruled because the testimony of the *Page 32 officer and the suicide note were relevant and admissible as admissions of Petitioner at trial. According to the State, the relevance of this evidence to establish Petitioner's consciousness of guilt is established by the circumstances surrounding Petitioner's suicide attempt — namely, that the complaining witness's mother confronted Petitioner about her daughter's charges of molestation just prior to his suicide attempt, Petitioner made incriminating comments in response to her allegations, and Petitioner threatened the complaining witness on several occasions that he would kill himself if she disclosed the molestation.
As a general rule, "[e]vidence that the accused attempted to commit suicide is relevant as a circumstance tending . . . to show consciousness of guilt," 1 Wharton's CriminalEvidence § 159 (14th ed. 1985), or as showing "an attempt to flee and escape forever from the temporal consequences of one's misdeed[s]." 2 Wigmore onEvidence §
In the case at bar, while Petitioner's suicide attempt may have occurred years after his acts of molestation, the attempt occurred only hours after the complaining witness disclosed the abuse to her mother and her mother confronted Petitioner for the first time with the allegations. The record indicates that the complaining witness's mother went to Petitioner's home and *Page 33
confronted him with her daughter's allegations on the night of July 7, 1996 and that Petitioner attempted suicide during the early morning hours of July 8, 1996. (Trial Tr. vol. 1, 106:22-110:21, 333:3-34:19, Sept. 29, 1997.) It is true that in cases where flight is offered as evidence of consciousness of guilt and the time between an accused's flight and the crime allegedly committed is immediate, the probative value of the flight is much greater than if the flight occurs much later. SeeCooke,
Hence, the evidence of Petitioner's suicide attempt and his suicide note were clearly relevant, probative, and properly admissible to support an inference of consciousness of guilt. As such, defense counsel's failure to object to the admission of that evidence cannot be said to have been objectively unreasonable.
In addition, defense counsel likely was aware of the relevance and probative value of such evidence as it related to the sequence of events and Petitioner's state of mind as well as to the futility of objecting to its admission. Such an objection, if asserted, could have carried the risk of unduly highlighting the evidence.See Chandler,
Further, defense counsel, before his closing statement, questioned Petitioner about his depression over his family members' deaths and the reasons for his suicide attempt. (Trial Tr. vol. 1, 321-23, Sept. 29, 1997.) He then presented this explanation for Petitioner's suicide attempt to the jury during his closing statement. (Trial Tr. vol. 2, 439-42, Oct. 3, 1997);see also Commonwealth v. Knap,
The State counters that references made by the prosecutor to Petitioner as a liar and to his consciousness of guilt fell within the realm of fair and reasonable argument based on inferences drawn from the evidence. In its memorandum, the State further disputes that the prosecutor's comments in his closing statement amounted to impermissible vouching. While the State admits that the prosecutor made a comment in his closing statement concerning his knowledge of consistent statements made by the complaining witness to which the jury was not privy, (Trial Tr. vol. 2, 451:2-5), it claims that defense counsel was not legally obligated to object to this statement nor was the statement egregious. The State also maintains that the trial justice gave an appropriate instruction to prevent the jurors from placing undue emphasis on any personal opinions expressed by counsel during closing statements.
It is well settled that a prosecutor is allowed wide latitude in arguing the State's case. State v. Conway,
In State v. Collazo, the Rhode Island Supreme Court explained the role of the trial justice in deciding when counsel has crossed the line in argument and prejudice has resulted:
Determination of whether a challenged remark is harmful or prejudicial cannot be decided by any fixed rule of law. . . . Rather, the justice must evaluate its probable effect on the outcome of the case by examining the remark in its factual context. . . . Prejudice clearly inheres if the challenged comments "are totally extraneous to the issues in the case and tend to inflame and arouse the passions of the jury" against the defendant.
Mindful of these precepts, this Court cannot say that defense counsel's failure to object to the prosecutor's remarks in his closing statement that Petitioner's suicide note was evidence of consciousness of guilt constituted deficient performance that prejudiced him. As discussed previously, evidence of Petitioner's suicide attempt was relevant and properly admissible as evidence of Petitioner's consciousness of guilt. As such, the prosecutor's references to this evidence in his closing statement did not exceed the proper bounds of argument, seeBoillard,
Petitioner also faults his defense counsel for failing to object to the prosecutor's repeated references to Petitioner as a liar in his closing statement to the jury. Petitioner refers to several instances where the prosecutor called him a liar and to which defense counsel failed to object: (1) with regard to Petitioner's testimony that he put lotion on the complaining witness in front of her mother, the prosecutor remarked "he lied to you" (Trial Tr. vol. 2, 454:1-11); (2) regarding Petitioner's testimony that his depression was the reason for his suicide attempt, the prosecutor said "[h]e lied to you" (Trial Tr. vol. 2, 462:18-463:4); concerning Petitioner's testimony that he did not molest the complaining witness, the prosecutor stated "[h]e is lying about committing the act. He committed it because if he lies about everything else, chances are he is lying about that" (Trial Tr. vol. 2, 465:1-3); regarding Petitioner's testimony that he confronted the complaining witness's mother, the prosecutor said "Clearly, he lied to you about it" (Trial Tr. vol. 2, 466:21-467:9); regarding Petitioner's testimony with respect to his schedule, the prosecutor stated "But then after looking into it, I figured out he is lying. . . . So, he lied again" (Trial Tr. vol. 2, 467: 10-24); with respect to Petitioner's testimony regarding the manager of the restaurant where the complaining witness's mother worked, the prosecutor again stated "[h]e lied to you. Another lie" (Trial Tr. vol. 2, 468:4-21); and concerning Petitioner's testimony about his bowling *Page 38 schedule during the week, the prosecutor interjected "[h]e lied to you about that" (Trial Tr. vol. 2, 469:3-11).
This Court certainly does not condone the prosecutor's references in his closing statement to Petitioner as a liar, as they were impermissible opinion statements of the prosecutor, could imply special knowledge on the part of the State, usurped the jury's role in determining credibility and were highlighted through repetition.See Brown,
Petitioner put his own character and credibility at issue by testifying, and the Prosecutor's closing remarks that suggest that he could be a liar attempted to rebut his testimony.11 The credibility of Petitioner's testimony was an issue to be decided by the jury. While the decision not to object may, at times, be "fraught with danger and may not be wise strategy," seeChandler,
he "had established a pretty good rapport with the jury during the closing argument." Trial counsel also stated, "in general I don't like to jump up all the time anyway. I think it looks bad in front of the jury when you're continually jumping up and interrupting the other side's closing argument." Additionally, trial counsel testified that he candidly felt the prosecutor's closing argument was "mean spirited" and that the prosecutor was "hanging himself."
Id. Here, defense counsel, deceased after trial, was not here to testify as to his reasons, if any, for choosing not to object. In light of the high degree of deference that the courts should employ when evaluating counsel's performance, seeStrickland,
More importantly, even if the prosecution's repeated characterization of defendant as a liar was out of line and if defense counsel should have objected to the prosecutor's closing statements and requested a cautionary instruction, Petitioner has not shown how defense counsel's failure to do so substantially prejudiced him. In Horton, our Supreme Court held that the prosecutor's characterization of the defendant as a "monster," although inappropriate, did not constitute harmful error in light of the evidence of the defendant's guilt and the instructions given by the trial justice that any statements made by counsel during closing arguments are not evidence. Id. at 965-66.13 Similarly, inState v. Simpson,
Supreme Court held that the prosecutor calling the defendant "scum" was inappropriate but harmless.
As in those cases, even if the prosecutor's references to Petitioner here as a liar were objectionably unreasonable, this Court is not convinced that the verdict would have been different had defense counsel interposed those objections. After all, the trial justice instructed the jury that the statements of counsel are not evidence and that opinions of counsel expressed during trial or in their closing statements are improper and should be disregarded. In addition, the jury had before it the testimony of Petitioner, as weighed against that of the complaining witness herself, the corroborating testimony of the complaining witness's mother and friend, and evidence of the Petitioner's suicide attempt that was reflective of his consciousness of guilt — evidence which carried sufficient force to convict the Petitioner beyond a reasonable doubt.
With regard to the issue of vouching, our Supreme Court has stated that "[i]t is improper for the prosecution to vouch for the credibility of a government witness." State v. Chakouian,
In his closing statement in this case, the prosecutor referred, without objection, to the complaining witness's testimony as "honest and forthright." (Trial Tr. vol. 2, 448:17-18; 450:21-22, Oct. 3, 1997.) In another instance, the prosecutor said of the complaining witness, "[w]hen she testified, did she look like she was telling the truth? I thought she did. I thought she came up very honest. She was very forthright." (Trial Tr. vol. 2, 450: 19-22.) Still further, with respect to the complaining witness, he said that there was no evidence that her mother was telling her what to say "[b]ecause the young girl is telling the truth." (Trial Tr. vol. 2, 457:2-5.) With reference to the testimony of Doug Arling, the boyfriend of the complaining witness's mother, the prosecutor stated "[h]ow credible is that? It is pretty credible." (Trial Tr. vol. 2, 460:4-19.) The prosecutor also said the complaining witness's mother had no reason to lie "because she is telling the truth." (Trial Tr. vol. 2, 470:18-19.)
In each of these incidents, the prosecutor was rebutting attacks made on these same witnesses by defense counsel in his closing arguments. (Trial Tr. vol. 2, 421-25, 431-33.) For example, defense counsel attacked the complaining witness's credibility by suggesting that her animosity toward Petitioner on account of his race motivated her to fabricate the molestation allegations. (Trial Tr. vol. 2, 421-23.) Defense counsel also attacked the credibility of the complaining witness's mother by pointing out inconsistencies in her testimony and by submitting that she was a scorned woman with a motive to fabricate the charges in retaliation against Petitioner for leaving her. (Trial Tr. vol. 2, 423-25, 432-33.) Further, defense counsel attacked Doug Arling's credibility by suggesting that his relationship with the complaining witness's mother biased him. (Trial Tr. vol. 2, 431.) As such, the prosecutor's comments were an attempt to meet the statements as to witness credibility made by defense counsel in his closing statement. SeeRogers,
With regard to the prosecutor's reference in his closing statement to information and statements made by the complaining witness that were known to him but were not part of the evidence before the jury, this Court agrees that this comment, too, was improper.See Roberts,
Furthermore, as noted previously, this Court cautioned the jurors, immediately before closing arguments, that the statements of counsel during the trial or in final argument are not evidence and are not to be considered by the jurors as evidence during their deliberations. (Trial Tr. vol. 2, 485:24-486:3, Oct. 3, 1997.) In addition, the jury was admonished in the Court's final charge to consider only the evidence presented before it in reaching their verdict. (Trial Tr. vol. 2, 473:15-23.) Moreover, even if a curative instruction were necessary to inform the jury that the prosecutor's statements were improper, and even if defense counsel was deficient in failing to request this specific instruction, this Court is not satisfied that this failure was so prejudicial to Petitioner as to undermine the validity of the trial and the verdict reached.See Chandler,
Petitioner also contends that defense counsel was deficient in failing to preserve objections to several of the trial justice's evidentiary rulings for appeal: (1) the trial justice sustained objections by the State to defense counsel's cross-examination of the complaining witness's mother that would have revealed the complaining witness's bias toward Petitioner because of his race; (2) the trial justice sustained objections by the State to defense counsel's attempt to elicit testimony regarding Petitioner's proclaimed reasons for attempting suicide; and (3) the trial justice sustained objections by the State to statements made by Petitioner to his ex-wife indicating that his suicide attempt was the result of pre-existing depression rather than consciousness of guilt. The State counters that the Supreme Court already rejected these arguments in Petitioner's direct appeal. See Hazard,
1. Exclusion of Evidence of Complaining Witness's RacialBias
During defense counsel's cross-examination of the complaining witness's mother at trial, this Court sustained several objections by the State regarding the complaining witness's potential bias against Petitioner on account of his race. The basis for Petitioner's ineffective assistance claim is that defense counsel never preserved this issue for appeal by indicating to this Court at trial the factual and legal purpose for which he sought admission of the hearsay statements made in response to those questions. Petitioner further argues that defense counsel did not make any offer of proof, never asked the Court to allow him to conduct voir dire of the witnesses outside the presence of the jury, never offered any hearsay exception, and failed to petition the Court to reconsider its ruling. Consequently, the Supreme Court ruled in the direct appeal that counsel's *Page 45
"failure to make an argument to a trial justice waives the right to raise that argument on appeal." State v. Hazard,
In its ruling, our Supreme Court explained that, although an exception exists to the "raise-or-waive" rule for issues implicating constitutional concerns where the defendant can show that counsel's error(s) was more than harmless, there was no such showing here.
In light of the Supreme Court's decision on this issue, it cannot be said that defense counsel was ineffective in failing to preserve this evidentiary ruling for appeal. It likewise cannot be said that Petitioner was prejudiced by his failure to do so.
2. Exclusion of Evidence of Petitioner's Statements to TrooperPennington about his Suicide Attempt
During cross-examination of Trooper Pennington, the officer who found Petitioner at the cemetery after his suicide attempt, defense counsel sought to elicit testimony regarding statements made by Petitioner to the officer that would have shed light on his reasons for attempting suicide. This Court sustained the Prosecutor's objections to these questions on the basis of the rule articulated in State v. Harnois,
The Supreme Court addressed this evidentiary issue as well on direct appeal in State v. Hazard, indicating that the statements Petitioner sought to elicit were inadmissible under any of the hearsay exceptions upon which he relied.
As part of his examination of Petitioner's ex-wife, defense counsel attempted to elicit testimony from her that months before the complaining witness's mother confronted Petitioner with the molestation allegations, he already had planned for his own burial. Petitioner contends that this evidence was relevant and critical to weaken the State's claim that Petitioner's suicide was the result of consciousness of guilt as opposed to pre-existing depression. Yet, here, too, the trial justice sustained the prosecutor's objections and defense counsel again did not preserve this issue for appeal by articulating a theory of admissibility.
Regarding this final ground for Petitioner's ineffective assistance claim, this Court again cites to the Supreme Court's opinion for its ruling on this issue. State v. Hazard,
Counsel are directed to confer and to submit to this Court forthwith for entry an agreed upon form of order and judgment that are consistent this Decision.
(b) The exemption from compulsory legal process and the privilege provided in subsection (a) of this section does not apply: (1) When an individual introduces his or her physical or mental condition, including, but not limited to, any allegation of mental anguish, mental suffering or similar condition, as an element of his or her claim or defense; provided, that a claim for damages or other relief for "pain and suffering" based solely on one's physical condition shall not be deemed to constitute the introduction of one's mental condition into issue and the exemption and privilege applies in that situation only to those portions of one's confidential health care information relating to mental condition.
Section
Except as provided in §
5-37.3-6 , a health care provider or custodian of health care information may disclose confidential health care information in a judicial proceeding if the disclosure is pursuant to a subpoena and the provider or custodian is provided written certification by the party issuing the subpoena that: (1) A copy of the subpoena has been served by the party on the individual whose records are being sought on or before the date the subpoena was served, together with a notice of the individual's right to challenge the subpoena; or, if the individual cannot be located within this jurisdiction, that an affidavit of that fact is provided; and (2) Twenty (20) days have passed from the date of service on the individual and within that time period the individual has not initiated a challenge; or (3) Disclosure is ordered by a court after challenge.
(a) A lawyer shall not reveal information relating to representation of a client unless the client consents after consultation, except for disclosures that are impliedly authorized in order to carry out the representation, and except as stated in paragraph (b).
(b) A lawyer may, but is not obligated to, reveal such information to the extent the lawyer reasonably believes necessary:
(1) to prevent the client from committing a criminal act that the lawyer believes is likely to result in imminent death or substantial bodily harm; or
(2) to establish a claim or defense on behalf of the lawyer in a controversy between the lawyer and the client, to establish a defense to a criminal charge or civil claim against the lawyer based upon conduct in which the client was involved, or to respond to allegations in any proceeding concerning the lawyer's representation of the client.
A defendant who seeks any discovery under subdivision (a) of this rule shall permit the State, upon receipt of written request, to inspect or listen to and copy or photograph any of the following items within the possession, custody or control of the defendant or the defendant's attorney: . . .
(emphasis added). Section (f) provides that a party may seek a protective order from the court denying, restricting, or deferring a discovery or inspection request sought pursuant to Rule 16.
Before disclosure of confidential health care information will be ordered pursuant to a subpoena, however, the Act provides that the privilege holder must receive notice of the subpoena, have an opportunity to review the information in the records subject to the subpoena, have the right to challenge the requested disclosure and, if necessary, to "request possible protective limitations from the court on the nature and extent of the requested disclosure and use of these records. . . ." Id. §