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Full Opinion
FILED
United States Court of Appeals
Tenth Circuit
November 7, 2017
PUBLISH Elisabeth A. Shumaker
Clerk of Court
UNITED STATES COURT OF APPEALS
TENTH CIRCUIT
EMMANUEL LITTLEJOHN,
Petitioner - Appellant,
v. No. 14-6177
TERRY ROYAL, Warden, Oklahoma State
Penitentiary, *
Respondent - Appellee.
Appeal from the United States District Court
for the Western District of Oklahoma
(D.C. No. 5:05-CV-00225-M)
Sarah M. Jernigan, Assistant Federal Public Defender (Randy A. Bauman,
Assistant Federal Public Defender, with her on the briefs), Oklahoma City,
Oklahoma, for Petitioner-Appellant.
Robert L. Whittaker, Assistant Attorney General (E. Scott Pruitt, Attorney
General, with him on the brief), Office of the Attorney General for the State of
Oklahoma, Oklahoma City, Oklahoma, for Respondent-Appellee.
Before TYMKOVICH, Chief Judge, LUCERO and HOLMES, Circuit Judges.
*
Pursuant to Fed. R. App. P. 43(c)(2), Terry Royal, the current
Warden of the Oklahoma State Penitentiary, is automatically substituted for Anita
Trammell as Respondent in this case.
HOLMES, Circuit Judge.
Following various Oklahoma state-court proceedings, an Oklahoma jury
convicted Emmanuel Littlejohn of first-degree murder and sentenced him to
death. This caseâwhich comes before us for a second timeâarises from the
district courtâs denial of Mr. Littlejohnâs petition for a writ of habeas corpus
under 28 U.S.C. § 2254.
The first time around the district court found Mr. Littlejohnâs ineffective-
assistance and cumulative-error claimsâamong twelve other bases for
reliefâmeritless or procedurally barred. Reviewing the district courtâs
conclusions de novo, we addressed the declaration of Dr. Manual Saint Martin, a
psychiatrist who diagnosed Mr. Littlejohnâfor the first timeâwith undefined,
synapse-level neurological deficits, or an organic brain disorder. Given that
evidence, we reasoned that the disposition of Mr. Littlejohnâs ineffective-
assistance claimâand, derivatively, his cumulative-error claimâhinged on
whether Dr. Saint Martinâs averments would prove worthy of belief, because
â[e]vidence that an organic brain disorder was a substantial factor in engendering
Mr. Littlejohnâs life of deviance probably would have been a significant favorable
input for Mr. Littlejohn in the juryâs decisionmaking calculusâ during the penalty
phase. Littlejohn v. Trammell (Littlejohn I), 704 F.3d 817, 864 (10th Cir. 2013).
As a result, we remanded the case to the district court for an evidentiary hearing
2
on whether Mr. Littlejohnâs trial counsel proved ineffective by failing to
adequately investigate and present to the jury a mitigation theory of organic brain
damage.
On remand, the district court held an evidentiary hearing; the parties
presented the testimony of various individualsâincluding Dr. Saint Martin and
Mr. Littlejohnâs trial counsel, James Rowan. Following the hearing, the district
court largely restated its earlier findings and again denied Mr. Littlejohn habeas
relief on his ineffective-assistance and cumulative-error claims. Mr. Littlejohn
now appeals from the district courtâs judgment on remand. With the benefit of a
more robust factual record relative to Mr. Littlejohnâs alleged organic brain
damage, for the reasons that follow, we affirm.
I
In Littlejohn I, we detailed the factual and procedural backdrop of Mr.
Littlejohnâs state-court conviction and sentencing. See 704 F.3d at 822â24. In
brief, in 1992, Mr. Littlejohn and his acquaintance Glenn Bethany robbed a
convenience store in Oklahoma City. As the robbery neared its conclusion, one
of the storeâs employeesâKenneth Meersâtook a fatal shot to the face.
Although Mr. Littlejohn maintained that he did not fire the fatal shot, a jury
convicted him of first-degree murder and sentenced him to death in 1994. In
1998, however, the Oklahoma Court of Criminal Appeals (âOCCAâ) vacated and
remanded his initial death sentence, because the trial court improperly admitted
3
uncorroborated testimony suggesting that Mr. Littlejohn had confessed to the
killing of Mr. Meers and also an unrelated murder. See Littlejohn v. State, 989
P.2d 901, 910â12 (Okla. Crim. App. 1998). At resentencing, a jury again
sentenced Mr. Littlejohn to death, based on two aggravating circumstances: (1)
his previous conviction for a violent felony, and (2) the fact that he posed a
continuing threat to society.
Following Mr. Littlejohnâs unsuccessful efforts for state post-conviction
relief, he filed a habeas petition under 28 U.S.C. § 2254 in federal district court.
See Littlejohn v. Workman, No. CIV-05-225-M, 2010 WL 2218230 (W.D. Okla.
May 27, 2010) (unpublished). As relevant here, he argued that (1) the
prosecution violated his due process rights by failing to give adequate notice of
certain evidence it intended to present at resentencing in support of the
continuing-threat aggravator; (2) the introduction of the testimony of two
witnesses violated his rights under the Confrontation Clause, because the
prosecution failed to make the necessary showing of unavailability; (3) his trial
counsel had been constitutionally ineffective for failing to investigate and present
evidence of his organic brain damage; and (4) the cumulative weight of these
errors entitled him to relief.
The district court denied Mr. Littlejohnâs petition, and he brought his first
appeal. In Littlejohn I, we affirmed the district courtâs disposition of Mr.
Littlejohnâs due-process and Confrontation Clause claims, but reversed the
4
district courtâs judgment as to the ineffective-assistance claim and vacated its
judgment as to the cumulative-error claim, with instructions to the district court
to conduct an evidentiary hearing on remand. See 704 F.3d at 822. Following an
evidentiary hearing, the district court again denied Mr. Littlejohnâs petition, see
Littlejohn v. Trammell, No. CIV-05-225-M, 2014 WL 3743931 (W.D. Okla. July
30, 2014) (unpublished), and he filed this appeal.
II
We begin with Mr. Littlejohnâs ineffective-assistance claim. To make out
an ineffective-assistance claim, a petitioner âmust show both that his counselâs
performance âfell below an objective standard of reasonablenessâ and that âthe
deficient performance prejudiced the defense.ââ Byrd v. Workman, 645 F.3d
1159, 1167 (10th Cir. 2011) (quoting Strickland v. Washington, 466 U.S. 668,
687â88 (1984)). These two prongs may be addressed in any order; indeed, in
Strickland, the Supreme Court emphasized that âif it is easier to dispose of an
ineffectiveness claim on the ground of lack of sufficient prejudice, . . . that course
should be followed.â 466 U.S. at 697; accord Byrd, 645 F.3d at 1167; Knighton
v. Mullin, 293 F.3d 1165, 1178 (10th Cir. 2002). Here, we take this approach and
conclude that, even assuming arguendo that Mr. Rowanâs performance was
constitutionally deficient, Mr. Littlejohnâs ineffective-assistance claim fails on
the basis of lack of prejudice.
Under the prejudice prong, a petitioner must demonstrate âa reasonable
5
probability that, but for counselâs unprofessional errors, the result of the
proceeding would have been different.â Strickland, 466 U.S. at 694. âWhen a
petitioner alleges ineffective assistance of counsel stemming from a failure to
investigate mitigating evidence at a capital-sentencing proceeding, âwe evaluate
the totality of the evidenceâboth that adduced at trial, and the evidence adduced
in habeas proceedings.ââ Williams v. Trammell, 782 F.3d 1184, 1215 (10th Cir.
2015) (quoting Smith v. Mullin, 379 F.3d 919, 942 (10th Cir. 2004)), cert. denied,
--- U.S. ----, 136 S. Ct. 806 (2016).
In doing so, we âreweigh the evidence in aggravation against the totality of
available mitigating evidence,â Hooks v. Workman, 689 F.3d 1148, 1202 (10th
Cir. 2012) (quoting Young v. Sirmons, 551 F.3d 942, 960 (10th Cir. 2008)),
considering âthe strength of the Stateâs case and the number of aggravating
factors the jury found to exist, as well as the mitigating evidence the defense did
offer and any additional mitigating evidence it could have offered,â Knighton, 293
F.3d at 1178. â[W]e must consider not just the mitigation evidence that
Defendant claims was wrongfully omitted, but also what the prosecutionâs
response to that evidence would have been.â [Michael] Wilson v. Trammell, 706
F.3d 1286, 1306 (10th Cir. 2013); accord Grant v. Trammell, 727 F.3d 1006,
1022 (10th Cir. 2013). At the end of the day, â[i]f âthere is a reasonable
probability that at least one juror would have struck a different balanceââviz.,
that âat least one juror would have refused to impose the death
6
penaltyââprejudice is shown.â Hooks, 689 F.3d at 1202 (citations omitted) (first
quoting Wiggins v. Smith, 539 U.S. 510, 537 (2003); then quoting Wilson v.
Sirmons, 536 F.3d 1064, 1124 (10th Cir. 2008) (Hartz, J., concurring)).
Under the foregoing rubric, we begin by discussing the salient aspects of
the procedural history and factual background of Mr. Littlejohnâs ineffective-
assistance claim. We then turn to whether the more comprehensive factual record
now before us lends force to Mr. Littlejohnâs claim of prejudice under Strickland.
A
In his habeas petition, Mr. Littlejohn asserted that his trial counsel, Mr.
Rowan, rendered ineffective assistance in the resentencing proceeding by failing
to adequately investigate and present a mitigation theory of organic brain damage.
Rather, Mr. Rowan focused his mitigation case on the testimony of Dr. Wanda
Draper, a developmental epistemologist who presented a socio-psychological
account of the impact that Mr. Littlejohnâs troubled upbringing had on his
development. More specifically, Dr. Draper testified extensively about the
substance abuse of Mr. Littlejohnâs mother during her pregnancy and regarding
the lack of nurturing and attention that Mr. Littlejohn received as a child, and
then explained the stunted development that Mr. Littlejohn suffered as a result of
these factors. In particular, she testified that Mr. Littlejohn had long exhibited
emotional problems and disruptive behavior, and determined that, although he
understood the difference between right and wrong, he often did not act on that
7
knowledge. More specifically, on cross-examination, Dr. Draper stated that she
did not think that Mr. Littlejohn had âa mental illness per seâ; rather, âhe had
emotional disturbance, [and] he was a troubled child.â State R., Vol. VI,
Resentencing Tr. at 133.
In his habeas petition, Mr. Littlejohn advanced the view that Mr. Rowan
should have investigated and presented evidence of organic brain damage that he
suffered as a result of his motherâs drug use during her pregnancy with him. In
order to buttress that assertion, Mr. Littlejohn attached a declaration from Dr.
Saint Martin, a psychiatrist who examined him in 2005, five years after his
resentencing. In the declaration, Dr. Saint Martin stated that âMr. Littlejohnâs
history and behavioral symptomatology presented indications of neuro-
developmental deficits.â R., Vol. I, at 176. In other words, Mr. Littlejohnâs brain
was ânot âwiredâ correctlyâ at the âlevel of the synapse[âi.e.,] the microscopic
connections between individual brain cells.â Id. at 177. Dr. Saint Martin
specifically explained that Mr. Littlejohn âsuffer[ed] [from] a behavioral disorder
manifested by poor impulse control, psychological immaturity and judgment [and]
caused by neurodevelopmental deficits experienced in his peri-natal
development.â Id. Finally, Dr. Saint Martin described these deficits as
âirreparable, but . . . treatableâ because âdrug therapyâ can âcontrol the behavior
and diminish the impulsivity, which creates most of the problems in interacting
with society.â Id. at 178â79. Based on Dr. Saint Martinâs declaration, Mr.
8
Littlejohn argued that Mr. Rowan acted ineffectively by failing to investigate and
present evidence of Mr. Littlejohnâs organic brain damage during his
resentencing.
In its initial consideration of Mr. Littlejohnâs habeas petition, the district
court denied relief on the ineffective-assistance claim. See Littlejohn, 2010 WL
2218230, at *26â*30. The district court first found de novo review of Mr.
Littlejohnâs claim appropriate, because the state court had not adjudicated the
claim on its merits, and because the State did not argue that Mr. Littlejohn
procedurally defaulted his claim. See id. at *27. Reviewing the claim de novo,
the district court found that Mr. Littlejohn had failed to demonstrate any prejudice
flowing from Mr. Rowanâs allegedly deficient performance, because Dr. Draper
had provided the jury with a complete picture of Mr. Littlejohnâs troubled
personal development. See id. at *28â*30. The district court thus concluded that
the evidence that Dr. Saint Martin could have presented âwould not have had a
pervasive effect on the juryâs decisionâ; as a result, it found âno reasonable
probability that the balancing of the aggravating and mitigating evidence would
have led the jury to return a sentence other than death.â Id. at *30.
In Littlejohn I, we reversed the district courtâs judgment on this claim. At
the outset, we detailed two unique procedural features of Mr. Littlejohnâs
ineffective-assistance claim. First, we emphasized that the absence of a state-
court âmerits adjudicationâ or a âprocedural defaultâ on the ineffective-assistance
9
claim triggered a merits-based de novo review. 704 F.3d at 855. Second, we
determined that Mr. Littlejohnâs essentially unchallenged diligence in developing
the factual basis for his ineffective-assistance claim relieved him of the obligation
of satisfying the âstrict standards for an evidentiary hearingâ under the
Antiterrorism and Effective Death Penalty Act of 1996 (âAEDPAâ). Id. at 858.
Undertaking our own de novo review, we concludedâbased on the
averments in Dr. Saint Martinâs declarationâthat Mr. Littlejohnâs ineffective-
assistance claim âmay have merit.â Id. at 856 (emphasis added). We noted that
â[e]vidence that an organic brain disorder was a substantial factor in engendering
Mr. Littlejohnâs life of deviance probably would have been a significant favorable
input for Mr. Littlejohn in the juryâs decisionmaking calculus.â Id. at 864.
Evidence of organic brain damage, we explained, could have strengthened Mr.
Littlejohnâs mitigation case by offering âat least a partial explanationâ for his
extensive criminal historyâand importantly, one grounded in his physical,
neurological deficits. Id.
In addition, the evidence of organic brain damage could have weakened the
prosecutionâs case in support of the continuing-threat aggravator, by âoffer[ing] a
less blameworthy explanation of Mr. Littlejohnâs extensive criminal historyâ and
by providing some suggestion that Mr. Littlejohn suffered from treatable deficits.
Id. at 865. Along these lines, we emphasized that evidence of organic mental
deficits âranks among the most powerful types of mitigation evidence availableâ
10
and stressed that such evidence is qualitatively differentâin significant
waysâfrom the social-environment evidence that we typically are called on to
consider in capital habeas cases. Id. at 864.
Based on the current record, we concluded as to the prejudice showing that
Dr. Saint Martinâs declaration created âa reasonable probability that [the
presentation of] such evidence would have led at least one juror to support a
sentence less than death.â Id. In other words, we determinedâunder the limited
circumstances developed at that timeâthat â[e]vidence that an organic brain
disorder was a substantial factor in engendering Mr. Littlejohnâs life of deviance
probably would have been a significant favorable input for Mr. Littlejohn in the
juryâs decisonmaking calculus,â and that Mr. Rowanâs failure to investigate and
present organic-brain-damage evidence (as sketched by Dr. Saint Martin) would
have caused Mr. Littlejohn prejudice. Id.; see id. at 865â67.
However, we also underscored that further factual development would be
necessary before a definitive conclusion could be reached regarding the merits of
Mr. Littlejohnâs ineffective-assistance claim. Id. at 856. Indeed, we emphasized
the âhighly fact-boundâ nature of Mr. Littlejohnâs particular ineffective-
assistance claim, and thus explained that â[a] further exploration of the substance
of Dr. Saint Martinâs findings might well reveal significant theoretical or factual
holes that would make a finding of deficient performance or prejudice unsound.â
Id.
11
Consistent with our reticence to reach definitive determinations on the
undeveloped record, we said:
[W]e conclude that Mr. Littlejohn has alleged a mitigation theory
and supporting facts which, if true, would entitle him to relief
under Stricklandâviz., would justify us in concluding that his
counsel was constitutionally deficient in failing to investigate
and put on mitigating evidence concerning Mr. Littlejohnâs
claimed physical brain injury and that, but for that failure, there
is a reasonable probability that the jury would have selected a
penalty less than death.
Id. at 867. In light of these conclusions, we remanded the matter to the district
court for further factual findings concerning Mr. Littlejohnâs mitigation theory.
In particular, on remand, we tasked the district court with determining
whether Mr. Littlejohn could demonstrate sufficient factual support for his
mitigation theory. The district court held an evidentiary hearing at which both
parties presented evidence and testimony. As most relevant here, Dr. Saint
Martin offeredâin terms far more specific than in his declaration, which we
considered in Littlejohn Iâdiagnoses of Mr. Littlejohnâs physiological mental
deficits. Dr. Saint Martin explained that he âdiagnosed an impulse control
disorder[] and attention deficit disorder[,]â 1 R., Vol. III, at 123âboth of which
1
For clarityâs sake, we note that conditions falling under the general
classification of âattention deficit disorder,â which is commonly abbreviated as
âADD,â also may be referred to in the caselaw and secondary literature as
âattention-deficit/hyperactivity disorder,â which typically is abbreviated as
âADHD.â The latter name is of more recent vintage and is âthe preferred official
nameâ for the condition, though âmany authors, speakers, and clinicians still use
âADDâ to describe the disorder.â Stephen P. Hinshaw & Katherine Ellison,
12
constitute âdysfunctions in Mr. Littlejohnâs frontal lobes,â stemming from
âprenatal and perinatal insults.â Id. at 126. 2
ADHD: W HAT E VERYONE N EEDS T O K NOW 12 (2016); see also Mark Selikowitz,
T HE F ACTS : ADHD 14 (2d ed. 2009) (ebook) (describing the shift from ADD to
ADHD and noting âa number of name changes attest to the rapid evolution in our
understanding of this conditionâ). âThe essential function of Attention-
Deficit/Hyperactivity Disorder is a persistent pattern of inattention and/or
hyperactivity-impulsivity that is more frequently displayed and more severe than
is typically observed in individuals at a comparable level of development . . . .â
Am. Psychiatric Association, D IAGNOSTIC AND S TATISTICAL M ANUAL OF M ENTAL
D ISORDERS 85 (4th ed., text revision 2000) [hereinafter DSM]; see also Attention-
deficit/hyperactivity disorder (ADHD), E NCYCLOPEDIA B RITANNICA (database
updated Sept. 15, 2017) (describing â[a]ttention-deficit/hyperactivity disorder
(ADHD)â as âa behavioral syndrome characterized by inattention and
distractibility, restlessness, inability to sit still, and difficulty concentrating on
one thing for any period of timeâ). In some forms of ADHD, impulsivity is a
significant feature. See, e.g., Selikowitz, supra, at 5 (âWhile some children with
the hyperactive-impulsive form of ADHD will have hyperactivity and impulsivity,
some will have only hyperactivity, while others will have only impulsivity.â);
DSM, supra, at 87 (âAlthough many individuals present with symptoms of both
inattention and hyperactivity-impulsivity, there are individuals in whom one or
the other pattern is predominant.â). However, Dr. Saint Martin testified that he
intended for his impulse-control diagnosis to relate to a separate disorderâapart
from, and in addition to, attention deficit disorderâwhich the DSM seemingly
contemplates. See R., Vol. III, at 131 (testifying, âin the DSM . . . not every
impulse control disorder can be categorized with specificity, so you have these
non-specific types of impulse control disorders and thatâs what I [i.e., Dr. Saint
Martin] diagnosedâ). Specifically, for these âdisorders of impulse control that are
not classifiedâ elsewhere, the DSM provides the following: âThe essential feature
of Impulse-Control Disorders is the failure to resist an impulse, drive, or
temptation to perform an act that is harmful to the person or to others.â DSM,
supra, at 663; see also United States v. McBroom, 124 F.3d 533, 549 n.16 (3d Cir.
1997) (discussing a diagnosis of this type of impulse control disorder).
2
Because Dr. Saint Martin relied on the DSM in formulating his
diagnoses regarding Mr. Littlejohn, a few words regarding that publication will
contextualize his conclusions. First, though a fifth edition of the DSM was issued
in 2013, Dr. Saint Martin did not rely on that edition in testifying in the
evidentiary hearing in 2014, nor was it available for him to use in evaluating Mr.
13
These two disorders, in Dr. Saint Martinâs opinion, led Mr. Littlejohn to
have âlow frustration toleranceâ and âa lot of problems with impulsesâ because
âthe normal controls one would expect [to] override destructive impulses are not
present or present enough.â Id. at 126â27. When asked about possible treatment
options for these disorders, Dr. Saint Martin noted âan 80 percent response rate to
medicationâ for attention deficit disorder and a response âon the order of about 40
percentâ for an impulse-control disorder, but admitted that Mr. Littlejohn had
never received medications for these disorders and that, consequently, there was
no guarantee that he would respond to them. Id. at 128â29, 186.
In addition, Dr. Saint Martin acknowledged on cross-examination that, âon
a very, very, very large number of tests of intellectual functioning and
neuropsychological functioning, Mr. Littlejohn perform[ed] in the low-average to
average-range.â Id. at 146â47. Additionally, he diagnosed Mr. Littlejohn with
Littlejohn in 2005. Dr. Saint Martin had a âproblemâ with relying on the fifth
edition in his testimony because âit ha[d] been out in the world for less than a
year and we are really talking about conditions that were diagnosed prior to the
time that text came out.â R., Vol. III, at 163. Instead, Dr. Saint Martin appears
to have relied on the edition of the DSM immediately prior to the fifth in
examining Mr. Littlejohnâviz., the fourth edition, text revision (âDSM-IV-TRâ),
which was published in July 2000. See id. at 178 (responding to a cross-
examination question regarding how âanother expertâ could check his findings,
Dr. Saint Martin said they could âlook in . . . at the time it would have been
DSM-IV-TRâ). This edition updated the DSMâs fourth edition, which was
published in 1994. Because Dr. Saint Martin relied on the fourth edition, text
revision, so do we. We note, moreover, that this edition would have been
available at the time of Mr. Littlejohnâs OctoberâNovember 2000 resentencing.
14
âmixed personality traits,â but declined to conclude that he suffers from anti-
social personality disorder. Id. at 123. Nevertheless, Dr. Saint Martin
acknowledged that Mr. Littlejohn exhibited a number of characteristics
âconsistent with anti-social personality disorderâ and admitted that âindividuals
with attention deficit hyperactivity disorder are significantly more likely to
develop anti-social personality disorder.â Id. at 177.
In Littlejohn I, we asked the district court to reevaluate in an evidentiary
hearing Mr. Littlejohnâs ineffective-assistance claim, notably on the issue of
prejudice. More specifically, this examination should have entailed the district
court making a critical determination in the first instance of whether Mr.
Littlejohn did in fact suffer from treatable mental deficits that could have
substantially explained his past criminal behavior, such that it was reasonably
probable that Mr. Rowanâs failure to investigate and present evidence of organic
brain damage caused Mr. Littlejohn prejudice. However, the district courtâs
findings are not specific regarding these matters. Instead, the court generally
reasoned that Dr. Saint Martinâs declaration was ânot all that it appeared to be,â
and found that âthe introduction of this evidence would have been accompanied
by demonstrated limitations and pitfalls.â R., Vol. I, at 961. Essentially, under
this rationale, the district court concluded that Mr. Littlejohn had failed to
demonstrate prejudice, and this appeal followed.
***
15
Our analysis begins with a discussion of the relevant standard of review.
We then turn to whether the evidence elicited on remand demonstrates that
organic brain damage played a substantial role in engendering Mr. Littlejohnâs
life of criminal devianceâviz., the critical question we identified in Littlejohn I.
Although we cannot fully embrace the district courtâs analysis, we ultimately
agree with the courtâs determination that Mr. Littlejohn has not demonstrated
prejudice under Strickland.
B
On appeal, Mr. Littlejohn argues that the district court erred in finding that
he failed to demonstrate prejudice stemming from Mr. Rowanâs failure to
investigate and present evidence of organic brain damage. Based on the unique
procedural circumstances of this case explicated above, the district court
appropriately reviewed Mr. Littlejohnâs ineffective-assistance claim de novo. See
Littlejohn I, 704 F.3d at 855â56 (finding de novo review appropriate, because the
state courts never adjudicated the ineffective-assistance claim on the merits); id.
at 867 n.26 (âWe pause to underscore the unique procedural posture of this case.
We are not obliged here to defer to a state-court adjudication of the
ineffective-assistance claim.â).
In this procedural setting, âwe review the district courtâs legal conclusions
de novo and factual findings for clear error.â Allen v. Mullin, 368 F.3d 1220,
1234 (10th Cir. 2004); see also Romano v. Gibson, 239 F.3d 1156, 1164 (10th
16
Cir. 2001) (âWhere the state court did not address the merits of a habeas claim,
this court reviews the district courtâs resolution of that ground for relief de novo,
reviewing for clear error any district court findings of fact.â). Because â[c]laims
of ineffective assistance of counsel raise mixed questions of law and fact,â in
reviewing the district courtâs decision here, we apply âde novo [review], granting
due deference to the factual findings underlying the district courtâs
determination.â Miller v. Champion, 262 F.3d 1066, 1071 (10th Cir. 2001);
accord Boltz v. Mullin, 415 F.3d 1215, 1221â22 (10th Cir. 2005). Moreover, âwe
may affirm [the district court] on any basis supported by the record, even if it
requires ruling on arguments not reached by the district court or even presented to
us on appeal.â Richison v. Ernest Grp., Inc., 634 F.3d 1123, 1130 (10th Cir.
2011).
As noted, the district court made no precise findings on the key question of
whether organic brain damage played a substantial role in engendering Mr.
Littlejohnâs life of criminal deviance. The district court did, however, impliedly
conclude that any evidence of brain damage that Mr. Rowan could have presented
to the jury would have done little to explain Mr. Littlejohnâs criminal history,
given the courtâs explanation that Dr. Saint Martinâs declaration was ânotâ Mr.
Littlejohnâs âholy grail,â nor âall that it appeared to be.â R., Vol. I, at 961.
Indeed, the district court explained that âthe introduction of this evidence would
have been accompanied by a number of âdemonstrated limitations and pitfalls[,]â
17
including evidence suggesting that Mr. Littlejohn suffered from antisocial
personality disorder. 3 Id.
With the stage thus set, we first address the central issue of whether
evidence of Mr. Littlejohnâs alleged organic brain damage could have
substantially explained his criminal past, and ultimately conclude that the actual
evidenceâin contrast to the general averments of Dr. Saint Martinâs
declarationâwould have offered a sentencing jury little, if anything, meaningful
in this regard. Moreover, like the district court, we conclude that the weak
mitigating effect of the brain-damage evidence would have been significantly
diminished by the evidence the prosecution almost inevitably would have
3
Ultimately, the question of whether Mr. Littlejohnâs
organic-brain-damage evidence could have substantially explained his life of
criminal deviance is a mixed question of law and fact with a significant legal
component, which we ordinarily review de novo. See, e.g., Supre v. Ricketts, 792
F.2d 958, 961 (10th Cir. 1986) (âWhere [a] mixed question [of law and fact]
involves primarily a factual inquiry, the clearly erroneous standard is appropriate.
If, however, the mixed question primarily involves the consideration of legal
principles, then a de novo review by the appellate court is appropriate.â); see also
Allison v. Bank One-Denver, 289 F.3d 1223, 1235 n.2 (10th Cir. 2002), as
amended on denial of rehâg (June 19, 2002) (âThe district court concluded that
the parties intended to convert to participant direction . . . , but then relied on
case law to determine that the collection of documents, together with that intent,
constituted an amendment. The issue is more akin to a mixed question of law and
fact in which the legal issues predominate.â). We are fully able to resolve this
mixed question with the aid of the district courtâs factual findings, though we
must imply them to some extent. Cf. United States v. Powell, 973 F.2d 885, 889
(10th Cir. 1992) (â[S]pecific findings of fact by the district court will always be
helpful. Their existence is not a necessity, however . . . . Since the appellate court
may imply essential findings, the district court does not have to provide them,
even in complicated cases.â (citations and footnote omitted)).
18
introduced in rebuttal. As a result, we determine that Mr. Littlejohn has failed to
meet his burden of demonstrating prejudice under Strickland.
1
On the first question of whether the evidence demonstrates that organic
brain damage operated as a âsubstantial factorâ engendering Mr. Littlejohnâs life
of criminal deviance, we conclude that it did not. Littlejohn I, 704 F.3d at 864.
In reaching this conclusion, we exercise our discretion to expand on the district
courtâs limited discussion and reasoning.
Focusing on the specific diagnoses that Dr. Saint Martin proffered at the
evidentiary hearingâthat is, attention deficit disorder and an impulse-control
disorderâwe conclude that under the circumstances of this case, these two
commonly diagnosed conditions are too weak to support an argument for
prejudice under Strickland. In other words, although Dr. Saint Martinâs
declaration in Littlejohn I presented the legally-cognizable possibility that
evidence of organic brain damage would go far in explaining Mr. Littlejohnâs
criminal backgroundâthereby significantly contributing to a showing of
Strickland prejudiceâhis more detailed testimony on remand largely negates that
possibility. This is particularly true when his testimony is evaluated in the
context of other evidence that wasâor could have beenâoffered to the
resentencing jury.
To frame our analysis, we begin with the general proposition that we
19
underscored in Littlejohn I: âEvidence of organic mental deficits ranks among the
most powerful types of mitigation evidence available.â 704 F.3d at 864. But this
proposition only has explanatory power with respect to our caselaw when
appropriately qualified in two salient respects. First, it does not mean that all
evidence of organic brain damage has the same potency in the Strickland
prejudice analysis and will ineluctably result in a determination of prejudice. Our
caselaw requires us to examine the precise nature of the alleged organic brain
damage. In this regard, in several instances, we have concluded that evidence
alleged to show organic brain damage, or related mental-health evidence, would
have had little, if any, impact on the juryâs decision-making process. See id. at
866 (â[W]e have previously found a lack of prejudice in some cases where
counsel failed to present additional mental-health evidence in a capital sentencing
proceeding.â). 4
For example, in Smith v. Gibson, 197 F.3d 454 (10th Cir. 1999), the
4
In Littlejohn I, we determined that some of these cases were
âdistinguishableâ and that they could not undermine our conclusion that, if true,
the mitigation theory and facts that Dr. Saint Martin averred in his declaration
could establish prejudice under Strickland. 704 F.3d at 867. However, for
reasons explicated infra, we conclude that the truth that Dr. Saint Martin alluded
to in his declarationâwhen subjected to the crucible of adversarial
testingâproved to be illusory. And our distinguishing analysis in Littlejohn
Iâwhich focused, inter alia, on the fact that âthe aggravating evidence was more
seriousâ in those cases than here, id.âis not at odds with the larger legal message
that the lionâs share of these cases delivers: viz., Strickland prejudice does not
necessarily follow from the failure to investigate and present evidence of organic
brain damage.
20
petitioner argued that his counsel provided constitutionally-deficient performance,
because he failed to request the assistance of a mental-health expert to elucidate
the notion that he âsuffer[ed] from organic brain damage [that] impair[ed] his
judgment and cause[d] him to act impulsively.â Id. at 463. Nevertheless, âin
light of the strength of the evidence supporting the aggravating circumstances,â
and âthe limited mitigating effect of [his] psychiatric evidence,â we concluded
that the failure to present additional evidence caused no prejudice. Id.; see also
[Lois] Smith v. Massey, 235 F.3d 1259, 1282 (10th Cir. 2000) (âAlthough the
evidence pertaining to Smithâs organic brain damage would have been proper
mitigating evidence and may have helped explain the crime to some degree, . . .
we are not persuaded it is reasonably probable that the introduction of the organic
brain damage evidence would have led the jury to choose a life sentence rather
than a death sentence.â), abrogated on other grounds by Neill v. Gibson, 278 F.3d
1044 (10th Cir. 2001); cf. Motley v. Collins, 18 F.3d 1223, 1228 (5th Cir. 1994)
(declining to find prejudice where âthe evidence of organic brain damage was
relatively weakâ).
Second, we have concluded, in some instances, that organic-brain-damage
evidence would have been just as likelyâif not more likelyâto have had an
aggravating effect rather than a mitigating effect on a sentencing jury. See Davis
v. Exec. Dir. of Depât of Corr., 100 F.3d 750, 762 (10th Cir. 1996) (explaining
that courts must carefully review omitted mitigation evidence to determine if it
21
truly mitigates or, instead, has the possibility of being a âtwo-edged swordâ
(quoting Davis v. People, 871 P.2d 769, 774 (Colo. 1994))).
In Gilson v. Sirmons, 520 F.3d 1196 (10th Cir. 2008), for example, the
petitioner âsustained a serious brain injuryâ during an automobile accident, and
âexperienced negative physical and mental effects since the accident (e.g., a
constant âglobalâ headache; photophobia; [and] increased sensitivity to auditory
stimuli).â Id. at 1249. Nevertheless, we emphasized that the evidence that the
petitioner claimed should have been introducedâa neuropsychological consulting
reportââpaint[ed] a bleak and ominous picture of [his] personality, behavior, and
likely future conductâ by suggesting, among other things, that he had a âtendency
to become agitated and belligerent easily when frustrated.â Id. âGiven these
extremely negative descriptions of [the petitionerâs] likely behavior, we
conclude[d] that the presentation of [the organic-brain-damage evidence] to the
jury during the second-stage proceedings would not have resulted in a different
outcome.â Id. at 1249â50. To the contrary, we determined that the evidence
âwould likely have weighed against [the petitioner] by erasing any lingering
doubts that may have existed as to his role in [the underlying] murder, and by
confirming the juryâs conclusion that he represented a continuing threat, even if
confined in prison for life.â Id. at 1250 (emphasis added).
Analogously, in Cannon v. Gibson, 259 F.3d 1253 (10th Cir. 2001), the
petitioner asserted that his trial counsel should have introduced
22
neuropsychological evidence and social-history background that could have
âexplained to the jury how [the petitioner] came to participate in th[e] crime and
why they should [have] spare[d] his life.â Id. at 1277. Our review of the omitted
evidence, however, led us to deem the evidence âfar less beneficial than assertedâ
by the petitioner. Id. More specifically, we determined that the omitted
âmitigatingâ evidence tended to depict petitioner as âan unstable individual with
very little impulse control.â Id. at 1278. As a result, we concluded that the
âevidence would have negated much of the mitigation evidence actually adduced
by trial counsel and could have strengthened the prosecutionâs argument that [the
petitioner] represented a continuing threat to society.â Id. Given those
circumstances, we concluded that the petitioner failed to demonstrate prejudice
under Strickland. Id.
a
Turning to the facts of this case, although Dr. Saint Martin couched his
initial declaration under the broad rubric of organic brain damage, his
findingsâwhich the parties teased out in the hearingâultimately centered on two
diagnoses: attention deficit disorder and an impulse-control disorder. Attention
deficit disorder is a commonly diagnosed condition. See, e.g., Stephen P.
Hinshaw & Katherine Ellison, ADHD: W HAT E VERYONE N EEDS T O K NOW 24
(2016) (âToday, approximately 11 percent of all US youth aged 4-17 have at some
point received an ADHD diagnosis . . . . The estimates are less authoritative after
23
age 17, but researchers believe that there may be around 10 million adults with
the disorder in the United States.â); Mark Selikowitz, T HE F ACTS : ADHD 2 (2d
ed. 2009) (ebook) (noting that the condition is âone of the most common
conditions in childhood, affecting as many as 5% of school-aged childrenâ);
Dorothy Nelkin & Laurence Tancredi, Classify and Control: Genetic Information
in the Schools, 17 A M . J.L. & M ED . 51, 56 (1991) (describing âattention deficit
disorderâ as âthe most common behavior problem of school-aged childrenâ
(citation omitted)); Attention-deficit/hyperactivity disorder (ADHD),
E NCYCLOPEDIA BRITANNICA (database updated Sept. 15, 2017) (noting that ADHD
âis the most commonly diagnosed childhood psychiatric disorderâ in the U.S.).
Moreover, Dr. Saint Martin notably testified at the evidentiary hearing that
attention deficit disorder has âa very, very low correlation with criminal activity,â
R., Vol. III, at 323âan admission that casts direct doubt on Mr. Littlejohnâs
claim that the evidence would have offered an explanation for Mr. Littlejohnâs
long history of criminal conduct.
In this regard, a number of cases from our court and our sister circuits have
specifically concluded that evidence of attention deficit disorder does not favor a
finding of prejudice. For example, in Wackerly v. Workman, 580 F.3d 1171 (10th
Cir. 2009), the petitioner presented evidence that he may have suffered from an
attention deficit disorder; we held, however, that the evidence failed to create âa
reasonable probability that it would have moved any juror to change his or her
24
sentencing calculus[,]â because the diagnosis did ânot give context to the murder,
provide an explanation for Mr. Wackerlyâs behavior, or suggest Mr. Wackerly
bears any less moral culpability for his actions.â Id. at 1182.
And our sister circuits have reached similar conclusions. See, e.g., Brown
v. Ornoski, 503 F.3d 1006, 1016 (9th Cir. 2007) (noting that attention deficit
disorder is a âsomewhat common disorder[]â and concluding that âalthough [an
attention deficit disorder diagnosis would] add quantity to the mitigation case, [it]
add[s] little in terms of qualityâ); Campbell v. Polk, 447 F.3d 270, 284 (4th Cir.
2006) (concluding that evidence that petitioner had attention deficit disorder
âwould not have added in any meaningful way to . . . mitigation evidence [that
was introduced]â); see also Gallegos v. Schriro, 583 F. Supp. 2d 1041, 1076â77
(D. Ariz. 2008) (âPetitioner cannot establish that he was prejudiced by counselâs
performance. . . . [E]vidence . . . that Petitioner suffered from ADHD . . . would
not have altered the basic sentencing profile provided to the judge.â), affâd sub.
nom. Gallegos v. Ryan, 820 F.3d 1013 (9th Cir. 2016), amended on rehâg, 842
F.3d 1123 (9th Cir. 2016). In other words, these cases emphasize that a diagnosis
of attention deficit disorder at least frequently offers little, if any, quality
mitigating evidence, and Mr. Littlejohnâs diagnosis presents no basis for us to
depart from the reasoning of these cases.
Regarding Mr. Littlejohnâs impulse-control diagnosis, this, too, would
appear to be a rather garden-variety conditionâat least in the ânon-specificâ form
25
(supra note 1) that Dr. Saint Martin diagnosed. R., Vol. III, at 131; see United
States v. Miller, 146 F.3d 1281, 1285 (11th Cir. 1998) (âNor would poor impulse
control be unusual, regardless of whether it stemmed from an impulse control
disorder . . . . Many offenders commit crimes because they have poor impulse
control. An impulse control disorder is not so atypical or unusual that it separates
this defendant from other defendants.â (footnote omitted)); cf. DSM, supra, at 677
(noting the category of impulse-control disordersââNot Otherwise
Specifiedââwhich is for, inter alia, âdisorders of impulse control (e.g., skin
picking) that do not meet the criteria for any specific Impulse-Control Disorderâ).
In any event, courts have expressed skepticism about placing significant
weight in the Strickland prejudice analysis on such a condition. This is
particularly so given that such evidence tends to depict the petitioner as unstable
and unable to control his actions; consequently, it could have an overall
aggravating, rather than mitigating, effect. In Gilson, for example, a doctor who
examined the petitioner after his sentencing found that he âwould have difficulty
conforming his behavior to societal norms due to impulsivity, poor judgment, and
the failure to see or understand the consequences of his actionsâ and concluded,
as a result, that the petitioner âhad an inability to regulate behavior or inhibit
impulses.â 520 F.3d at 1249â50. âGiven these extremely negative descriptions
of [the petitionerâs] likely behavior,â we concluded that the presentation of the
impulse-control evidence âwould not have resulted in a different outcome.â Id. at
26
1250; see also Cannon, 259 F.3d at 1278 (declining to find prejudice where âthe
omitted evidence tend[ed] to depict [the petitioner] as an unstable individual with
very little impulse controlâ).
Our sister circuits have, in turn, reached similar conclusions. See, e.g.,
Fautenberry v. Mitchell, 515 F.3d 614, 627 (6th Cir. 2008) (finding it âhighly
unlikelyâ that evidence of brain damage resulting in âserious problems in such
areas of day-to-day functioning as impulse controlâ would have changed
petitionerâs sentence); Brown, 503 F.3d at 1016 (holding that evidence of
âimpulse control problemsâ did not warrant finding of prejudice); Mills v.
Singletary, 161 F.3d 1273, 1286 (11th Cir. 1998) (stating âMills has also failed to
demonstrate prejudice,â in referencing the Florida Supreme Courtâs finding that
the petitionerâs âmental problems boiled down to being impulsiveâ); see also
Rodriguez v. Quarterman, 204 F. Appâx 489, 498 (5th Cir. 2006) (unpublished)
(discerning no reasonable probability that evidence concerning âthe link between
the damage to [the petitionerâs] brainâs frontal lobes and his impulsive natureâ
would have changed petitionerâs sentence).
In other words, our authority and that of our sister circuits suggest that an
impulse-control diagnosis typically tends to offer little, if any, quality mitigating
evidence and, actually, may come with a sharp aggravating-evidence component.
And, again, the nature of Mr. Littlejohnâs diagnosis offers us no reason to part
from this premise.
27
b
The cases that Mr. Littlejohn identifies do not compel a different
conclusion. In his briefing, Mr. Littlejohn points to Williams v. Taylor, 529 U.S.
362 (2002), in which the Supreme Court concluded that the petitioner had
demonstrated prejudice based, in part, on evidence that he âmight have mental
impairments organic in origin.â Id. at 370. Nevertheless, Mr. Littlejohn relies on
that conclusion in a vacuum; a closer inspection of Williams reveals that the
Courtâs prejudice determination rested on a wide gamut of meaningful mitigating
evidence, not just the evidence of organic mental impairments. Along these lines,
the Court explained that the omitted evidence included (1) documents that
âdramatically described mistreatment, abuse, and neglect during . . . childhood,â
(2) âtestimony that [the petitioner] was âborderline mentally retarded,ââ (3)
testimony that he had suffered ârepeated head injuries[] and might have mental
impairments organic in origin,â and (4) testimony that, despite these issues, the
petitioner would pose no âfuture danger to societyâ if kept in a âstructured
environment.â Id. at 370â71. In finding prejudice in counselâs failure to conduct
a sufficient investigation into this evidence, the Court emphasized âthe
comparatively voluminousâ nature of the information and the fact that it spoke
directly in the petitionerâs favor. Id. at 398. In other words, the Court found
Strickland prejudice because the petitioner presented a weighty load of
meaningfulâyet omittedâmitigating evidence. See id. Mr. Littlejohn has, by
28
contrast, made no similarly forceful and multifaceted showing. 5
Moreover, the Tenth Circuit cases that Mr. Littlejohn cites do not militate
in favor of a prejudice determination here. First, in finding prejudice in Smith v.
Mullin, we described counselâs âhalfhearted mitigation case,â 379 F.3d at 944
(quoting Wiggins, 539 U.S. at 526), as âpitifully incomplete, and in some
respects, border[ing] on the absurd.â Id. Indeed, the Smith jury ânever received
an explanation for [the petitionerâs] behavior,â and counsel then ânegated
whatever value [the actually presented] mental health evidence had,â by
essentially instructing âthe jury not to consider it.â Id. at 943â44. Similarly, in
Anderson v. Sirmons, 476 F.3d 1131 (10th Cir. 2007), we concluded that âcounsel
mounted an extraordinarily limited case in mitigation,â because he presented
evidence only that the petitioner âwas a kind, hard-working, normal man.â Id. at
1146. The omitted mitigating evidence, however, included that the petitioner
âgrew up in poverty, the twelfth child of a physically and emotionally abusive
motherâ and that he suffered from serious mental deficiencies. Id. at 1147.
The circumstances here fall far short of constituting the paradigmatic
halfhearted mitigation case, as well illustrated in Smith and Anderson. In this
5
For example, unlike the petitioner in Williams, who was âborderline
mentally retarded,â 529 U.S. at 370, Dr. Saint Martin acknowledged that âon a
very, very, very large number of tests of intellectual functioning and
neuropsychological functioning, Mr. Littlejohn perform[ed] in the low-average to
average-range.â R., Vol. III, at 146â47.
29
regard, recall that Dr. Draper testified extensively on behalf of the defense about
the substance abuse of Mr. Littlejohnâs mother during her pregnancy and the lack
of nurturing and attention that Mr. Littlejohn received as a child, and then
explained the stunted development that Mr. Littlejohn suffered as a result. To be
sure, the Supreme Courtâs âcases . . . emphasized the need for courts to consider
the prejudicial effect of counselâs failure to investigate [and presumably present]
a viable mitigation theory even in the face of an otherwise reasonable mitigation
defense.â Littlejohn I, 704 F.3d at 867. However, as demonstrated supra, the
ostensibly âviable mitigation theoryâ omitted here was predicated on Dr. Saint
Martinâs declaration, and his testimony at the evidentiary hearing made clear that
this theory was on the verge of life support: specifically, his testimony
âreveal[ed] significant theoretical or factual holes that would make a finding of . .
. prejudice unsound.â Id. at 856.
In sum, although Dr. Saint Martinâs initial declaration created a significant
impression that Mr. Littlejohn may have been prejudiced by Mr. Rowanâs alleged
failure to investigate and present evidence of organic brain damage in the
sentencing phase, the testimony he provided in the hearing on remand
demonstrated that Mr. Littlejohnâs organic-brain-damage diagnosis ultimately
consisted of only two commonly diagnosed conditions: attention deficit disorder
and an impulse-control disorder, neither of which was powerful enough on these
facts to support a claim of prejudice. Put another way, the evidence presented at
30
the evidentiary hearing did not reveal that Mr. Littlejohnâs alleged organic brain
damage played a substantial role in engendering his life of criminal deviance; this
conclusion strongly militates against a determination of Strickland prejudice.
c
But there is more bad news for Mr. Littlejohn. Aside from its inherent
qualitative weaknesses, the introduction of Mr. Littlejohnâs organic-brain-damage
evidence at resentencing likely would have been the impetus for developments
harmful to his case. In this regard, in analyzing Stricklandâs prejudice prong, as
previously noted, âwe must consider not just the [omitted] mitigation evidence . .
. but also what the prosecutionâs response to that evidence would have been.â
[Michael] Wilson, 706 F.3d at 1306. In this case, the presentation of Dr. Saint
Martinâs theory and related facts would have opened the door for the prosecution
to introduce (1) harmful evidence that Mr. Littlejohn suffered from an antisocial
personality disorder, (2) testimony concerning the limited treatment options
available for Mr. Littlejohnâs disorders, along with (3) damaging evidence
regarding Mr. Littlejohnâs post-offense misconduct.
Turning first to the evidence of antisocial personality disorder, in similar
circumstances, we have characterized a petitionerâs potential for continued
dangerousness, even if incarcerated, as âperhaps [the] most important aggravating
circumstanceâ that juries consider in weighing the death penalty. Grant, 727 F.3d
at 1017. Mr. Littlejohn has, as the district court noted, been diagnosed with an
31
antisocial personality disorder, and although Dr. Saint Martin challenged the
accuracy of this diagnosis, he acknowledged that Mr. Littlejohn displayed
characteristics âconsistent with anti-social personality disorder,â and that
individuals with attention deficit disorder have, in any event, a greater likelihood
of developing an antisocial personality disorder. R., Vol. III, at 176.
Importantly, courts have characterized antisocial personality disorder as the
prosecutionâs âstrongest possible evidence in rebuttal.â Evans v. Secây, Depât of
Corr., 703 F.3d 1316, 1327 (11th Cir. 2013) (quoting Wong v. Belmontes, 558
U.S. 15, 25 (2009)). In other words, evidence of antisocial personality disorder
tends to present an aggravating, rather than mitigating, circumstance in the
sentencing context. See, e.g., Stankewitz v. Wong, 698 F.3d 1163, 1173 (9th Cir.
2012) (âWe accept the stateâs argument that some of the evidence [the petitioner]
has proffered illustrates serious antisocial behavior, including several emotional
and violent outbursts throughout his life. We also accept the stateâs argument
that such evidence may be aggravating, rather than mitigating.â); Cummings v.
Secây for Depât of Corr., 588 F.3d 1331, 1368 (11th Cir. 2009) (â[The petitioner]
is left mainly with a diagnosis of antisocial personality disorder, which is not
mitigating but damaging.â); see also Correll v. Ryan, 539 F.3d 938, 964 (9th Cir.
2008) (OâScannlain, J., dissenting) (âIn sum, the psychological evidence, if
presented, would have demonstrated only that Correll has an antisocial
personality with mild depression. Such evidence has tremendous potential to be
32
more harmful than helpful.â). Perhaps evidence suggestive of antisocial
personality disorder would have otherwise been present in the case, as Mr.
Littlejohn suggests. See Aplt.âs Opening Br. at 50 (âThat Mr. Littlejohn had
engaged in antisocial behavior was more than plain to all. That was not going to
be shielded from the jurors.â). But the introduction of evidence of organic brain
damage of the kind that Dr. St. Martin testified about would have given the State
ample ground to underscore and highlight this antisocial personality evidence
before the jury and, more importantly, to frame it in terms of his (untreatable)
physiological conditions and not just his bad behavior. And the foregoing cases
give us reason to believe that such evidence would likely have some aggravating
effect here.
Furthermore, the mitigating effect of Mr. Littlejohnâs evidence of organic
brain damage would likely have been diminished by the lack of reliable treatment
options for Mr. Littlejohnâs attention deficit and impulse-control disorders. As
we explained in Littlejohn I, evidence of organic brain damage âcould have been
used [for its] powerful mitigating effect,â if it demonstrated that Mr. Littlejohnâs
criminal past derived from a treatable physical condition, because his criminal
past would no longer be âan accurate predictor of his future.â 704 F.3d at 865
(emphasis added); see also id. at 865 n.24 (noting that âsuch testimony [as found
in Dr. Saint Martinâs declaration] would have offered a physiological explanation
for Mr. Littlejohnâs deviant conduct and some assurance that, through medical
33
treatments, his criminal, violent past would not be prologueâ). In other words,
the presence of a treatable condition âcould have indicated to a jury that Mr.
Littlejohn [posed no] continuing threat.â Id. at 865 (emphasis added); see also
Hooks, 689 F.3d at 1205 (âDiagnoses of specific mental illnesses . . . , which are
associated with abnormalities of the brain and can be treated with appropriate
medication, are likely to [be] regarded by a jury as more mitigating than
generalized personality disorders . . . .â (alteration in original) (emphasis added)
(quoting Wilson, 536 F.3d at 1094)).
However, Dr. Saint Martinâs testimony likely would have left doubt in the
minds of the jurors regarding whether Mr. Littlejohn had treatable organic-brain
conditions. While he did explain that attention deficit disorder has âan 80 percent
response rate to medication,â he also had to acknowledge that an impulse-control
disorder responds to medication only in âabout 40 percentâ of cases. R., Vol. III,
at 128â29. Therefore, it was not certain that Mr. Littlejohnâs two identified
conditions were treatable; this was especially so as to the impulse-control
disorder for which the rate of positive response was less than 50%. This
uncertainty is further compounded by Dr. Saint Martinâs admission that Mr.
Littlejohn had never received treatment for the two conditions; thus, Dr. Saint
Martin could not guarantee that Mr. Littlejohn would in fact respond favorably.
In view of the relative lack of reliable treatment options, the potency (such that it
is) of Dr. Saint Martinâs organic-brain-damage evidence would likely have been
34
diminished. Finally, the introduction of Dr. Saint Martinâs theory would have
invitedâas the district court notedâthe introduction of damaging evidence
regarding Mr. Littlejohnâs post-offense misconduct that likely would not have put
him in a positive light with the jury. More specifically, the prosecution could
have (and likely would have) introduced evidence that Mr. Littlejohn lied to
mental-health examinersâon at least two prior occasionsâpresumably, to secure
a favorable evaluation. In other words, the prosecution could have cast doubt on
Dr. Saint Martinâs diagnosis, as well as painted Mr. Littlejohn as a liar, based on
Mr. Littlejohnâs documented efforts to manipulate mental-health experts.
3
In sum, we conclude that Dr. Saint Martinâs testimony offered far less than
suggested in his initial declaration. Indeed, although the initial declaration
created the impression that Mr. Rowan omitted powerful mitigating evidence, the
additional evidentiary development on remand demonstrated that Dr. Saint
Martinâs organic-brain-damage theory ultimately derived from two concrete
diagnoses: attention deficit disorder and an impulse-control disorder. As noted,
courts routinely decline to attribute significant mitigating value to these
commonly diagnosed conditions, and we believe that they would have been
qualitatively weak in their mitigating effects on jurors, at least under the
circumstances of this case. Furthermore, any mitigating value derived from the
introduction of this evidence here likely would have been significantly diminished
35
by the prosecutionâs expected response.
Given the shortcomings of Dr. Saint Martinâs theory and
evidenceârevealed by his hearing testimonyâwe conclude that there is no
reasonable probability that the omitted mitigating evidence of organic brain
damage would have altered the resentencing outcome. In reaching this
conclusion, we have considered both the totality of the evidence that was before
the resentencing jury and the evidence that the prosecution likely would have
presented in response to the omitted organic-brain-damage evidence. See, e.g.,
Hooks, 689 F.3d at 1202 (âTo assess prejudice arising out of counselâs errors at a
capital-sentencing proceeding, we must âreweigh the evidence in aggravation
against the totality of available mitigating evidence.ââ (quoting Young, 551 F.3d
at 960)); cf. id. at 1200 (noting â[t]hat [Strickland prejudice] analysis is
inherently fact-dependent and must take in the totality of evidence adduced at
trialâ).
But Mr. Littlejohn urges us to keep in mind that âthis was hardly a worst of
the worst homicide caseâ and that a â[r]ealistic potential for a non-death choice
existed.â Aplt.âs Opening Br. at 47, 52. In the latter regard, he asserts that the
âjurorsâ request for further instruction on the life without parole sentence
indicates they may have been seriously considering the same.â Id. at 52.
However, we specifically rejected similar arguments in Littlejohn I. See 704 F.3d
at 845 n.13. There, we said that âthe prosecution presented a substantial amount
36
of aggravating evidenceâ and also refuted the misguided notion that the death
penalty is only constitutionally and properly imposed in egregious homicide
cases. Id.; cf. Banks v. Workman, 692 F.3d 1133, 1141 (10th Cir. 2012) (â[C]ase
law has made clear that capital punishment for felony murder charges is both
constitutional and not infrequently imposed when the defendant was present
during the murder and acted with reckless disregard for human life.â).
Furthermore, we noted âour doubts about Mr. Littlejohnâs conjectural inference
about the juryâs view of the purported closeness of the caseâ that he made based
on its request for further instruction about life without parole. Littlejohn I, 704
F.3d at 845 n.13. We find Mr. Littlejohnâs resurrected arguments no more
persuasive here.
In sum, we conclude that Mr. Littlejohn was not prejudiced under
Strickland by any ineffectiveness of his counsel in investigating and presenting
organic-brain-damage evidence in his mitigation case. Consequently, we uphold
the district courtâs denial of relief on Mr. Littlejohnâs ineffective-assistance
claim.
III
Finally, we address Mr. Littlejohnâs claim of cumulative error. On this
issue, Mr. Littlejohn argues that even if we decline to grant relief on his
ineffective-assistance claim, we should nonetheless reverse on the basis of
cumulative error.
37
The cumulative-error analysis addresses the possibility that â[t]he
cumulative effect of two or more individually harmless errors has the potential to
prejudice a defendant to the same extent as a single reversible error.â United
States v. Rivera, 900 F.2d 1462, 1469 (10th Cir. 1990) (en banc); see Hanson v.
Sherrod, 797 F.3d 810, 852 (10th Cir. 2015) (âA cumulative-error analysis merely
aggregates all the errors that individually have [been] found to be harmless, and
therefore not reversible, and it analyzes whether their cumulative effect on the
outcome of the trial is such that collectively they can no longer be determined to
be harmless.â (quoting Workman v. Mullin, 342 F.3d 1100, 1116 (10th Cir.
2003))). 6 âIn the federal habeas context,â we aggregate the âfederal constitutional
errors, and [our precedent emphasizes that] such errors will suffice to permit
relief under [the] cumulative error doctrine only when the constitutional errors
committed in the state court trial so fatally infected the trial that they violated the
trialâs fundamental fairness.â Littlejohn I, 704 F.3d at 868 (quoting Matthews v.
Workman, 577 F.3d 1175, 1195 n.10 (10th Cir. 2009)); see Grant, 727 F.3d at
1025 (âOnly if the errors âso fatally infected the trial that they violated the trialâs
fundamental fairnessâ is reversal appropriate.â (quoting Matthews, 577 F.3d at
6
The State argues that âno authority from the United States Supreme
Court recognizes âcumulative errorâ as a separate violation of the federal
constitution or as a separate ground for federal habeas relief.â Aplee.âs Br. at
48â49. In Hanson, however, we rejected that precise position. See 797 F.3d at
852 n.16.
38
1195 n.10)). It is not lost on us, however, that âas easy as the standard may be to
state in principle, it admits of few easy answers in application.â Grant, 727 F.3d
at 1025. But âwherever the cumulative error line may fall, it is not crossed
often.â Id.
Mr. Littlejohn argues that two errors in addition to Mr. Rowanâs alleged
ineffective assistance prejudicially impacted the juryâs death-penalty
determination at his resentencing: (1) â[t]he failure to provide adequate notice of
the testimony of Bill Meers concerning an alleged admission and an alleged threat
uttered by Mr. Littlejohn,â Aplt.âs Opening Br. at 57; and (2) âConfrontation
Clause violations concerning who fired the fatal shot,â id.
As detailed in Littlejohn I, the first alleged error relates to testimony from
Bill Meers, the victimâs brother, that âMr. Littlejohn told him that âthe
motherfuckerâs [i.e., his brotherâs] dead and he ainât coming backââ and âI killed
the motherfucker, Iâll kill you.â 704 F.3d at 832 (quoting State R., Vol. VI,
Resentencing Tr. at 21 (Test. of Bill Meers)). The prosecution failed to provide
Mr. Littlejohn with notice of its intention to introduce these statements until the
fifth day of the resentencing. Despite the delinquent disclosure, the state court
provided Mr. Littlejohnâs counsel with âthree days to prepare a response to Mr.
Meersâs statement . . . [and] in fact, he did prepare a reasonably cogent
affirmative rebuttal case,â id. at 836.
The second alleged error concerns the testimony of two witnesses from Mr.
39
Littlejohnâs 1994 trial, both of whom testified that Mr. Littlejohn made a
statement implicitly admitting that he (as opposed to Mr. Bethany) shot the
victim. The state trial judge at the resentencing allowed the prosecution to read
the testimony over Mr. Littlejohnâs objection that the prosecution had not made a
sufficient showing concerning the witnessesâ unavailability.
In reviewing Mr. Littlejohnâs case, the OCCA considered these claims of
error, but not the ineffective-assistance claim that Mr. Littlejohn mounts in these
federal proceedings. See Littlejohn, 85 P.3d at 296. Although we have held
supra that his ineffective-assistance claim fails to evince the level of prejudice
required under Strickland, we include the assumed error resulting from Mr.
Rowanâs alleged ineffective assistance in the cumulative-error analysis. See
Hooks, 689 F.3d at 1195 (noting that any prejudice resulting from assumed
deficient performance is properly considered in analyzing a petitionerâs
cumulative-error claim); Spears v. Mullin, 343 F.3d 1215, 1251 (10th Cir. 2003)
(same); cf. Littlejohn I, 704 F.3d at 868 (â[A]fter an evidentiary hearing and other
necessary proceedings upon remand, the district court may deem it appropriate to
include the allegedly constitutionally deficient performance of Mr. Littlejohnâs
counsel in the cumulative-error calculus.â). As a result, the cumulative-error
claim advanced here differs from the claim that the OCCA confronted.
Accordingly, we evaluate the current cumulative-error claim âde novo
under the Brecht standard, asking whether the various errors we have identified
40
collectively âhad substantial and injurious effect or influence in determining the
juryâsââ sentence. Cargle v. Mullin, 317 F.3d 1196, 1224 (10th Cir. 2003)
(quoting Brecht v. Abrahamson, 507 U.S. 619, 637 (1993)); see also Lockett v.
Trammell, 711 F.3d 1218, 1245 (10th Cir. 2013) (âAEDPA deference does not
apply because the OCCA failed to consider all of the constitutional errors present
in the case.â).
An error may be deemed to have a substantial and injurious effect under
Brechtâs rubric when a âconscientious judge [is left] in grave doubt about the
likely effect of an error on the juryâs verdict.â OâNeal v. McAninch, 513 U.S.
432, 435 (1995); see Welch v. Workman, 639 F.3d 980, 992 (10th Cir. 2011) (â[A]
âsubstantial and injurious effectâ exists when the court finds itself in âgrave
doubtâ about the effect of the error on the juryâs verdict.â (quoting OâNeal, 513
U.S. at 435)). Under these principles, we conclude that Mr. Littlejohnâs
cumulative-error claim is unavailing.
In Littlejohn I, we had occasion to separately consider whether the two
additional errors that Mr. Littlejohn identifies here were prejudicial under the
Brecht standardâthe same one governing our cumulative-error analysis. See
Littlejohn I, 704 F.3d at 833, 844. As to the first contention regarding the failure
to allow adequate notice of the Meers testimony, we determined that, â[assuming]
without deciding that Mr. Littlejohn has properly established a constitutional
violation arising from the Stateâs failure to provide adequate notice of Mr.
41
Meersâs testimony,â the error âwas not [prejudicial].â Id. at 833. Specifically,
we concluded that âMr. Littlejohn was allowed three days to prepare a response to
Mr. Meersâs statement; [and] that, in fact, he did prepare a reasonably cogent
affirmative rebuttal case.â Id. at 836. In addition, we emphasized that âMr.
Littlejohn has not pointed to any additional favorable evidence that he would have
acquired if he had been given more notice; and that Mr. Littlejohn tested the
credibility of Mr. Meers and Ms. Bush [who bolstered Mr. Meersâs testimony] on
cross examination.â Id. In sum, in rejecting Mr. Littlejohnâs claim of prejudicial
error, we determined under the Brecht standard that âwe do not have any grave
doubts concerning the harmlessness of the (assumed) error involving a lack of
notice.â Id. Mr. Littlejohn gives us no reason to depart here from our conclusion
in Littlejohn I that he did not suffer even modest prejudice (i.e, no prejudice at
all) from this first errorâat least when viewed in isolation. 7
Indeed, in his appellate briefing, Mr. Littlejohn provides no explanation for
why the limited notice caused him prejudice. Rather, he argues about the
damaging aspects of the Meers testimony itself and, more specifically, suggests
7
Indeed, we may be constrained by the law-of-the-case doctrine from
such a departure when separately analyzing the harmlessness of this first
errorâas well as the second. See Kennedy v. Lubar, 273 F.3d 1293, 1298â99
(10th Cir. 2001); McIlravy v. Kerr-McGee Coal Corp., 204 F.3d 1031, 1034â35
(10th Cir. 2000). However, we need not resolve that question because even if we
freely could depart from Littlejohn Iâs separate prejudice assessments regarding
these two errors, we would discern no reason to do so based on Mr. Littlejohnâs
arguments.
42
that the testimony must have had a prejudicial impact, otherwise the prosecution
would not have been âat great pains to get this evidence before the sentencing
jury.â Aplt.âs Opening Br. at 65. However, this line of argument is inapposite.
As we stated in Littlejohn I, â[a]t bottom, it must be emphasized that the alleged
error here relates to a lack of noticeânot the prejudicial content of Mr. Meersâs
testimony.â 704 F.3d at 836. Accordingly, we conclude that the first error does
not add one iota to the prejudice scale in the cumulative-error context. Cf. Grant,
727 F.3d at 1026 (noting that, for purposes of cumulative-error analysis, âall a
defendant needs to show is a strong likelihood that the several errors in his case,
when considered additively, prejudiced himâ).
Turning to the Confrontation Clause violations, these specifically
concerned the admission in Mr. Littlejohnâs resentencing of transcripts of
testimony from two witnesses at the 1994 trial that related to Mr. Littlejohnâs
alleged admission of shooting the victim. In Littlejohn I, we deemed âthe
admission of [that] testimonyâ harmless for at least three reasons. 704 F.3d at
845. First, we concluded that the âcontested testimony . . . hardly [constituted]
central evidence in the prosecutionâs case,â because the prosecution introduced
the testimony during resentencing, as part of its presentation of âaggravating
evidence supporting the juryâs imposition of the death penaltyâquite apart from
evidence related to whether Mr. Littlejohn fired the fatal shot.â Id. Second, we
emphasized that âthe State offered other competent evidence that Mr. Littlejohn
43
[acted as] the triggerman.â Id. And, third, we noted that âMr. Littlejohnâs
attorney thoroughly cross-examined the witnesses at the 1994 trial,â including the
two at issue, and that â[t]he entire transcripts of the testimony of [the two
witnesses] were read into evidence, providing context for the jury to consider the
deficiencies in the testimony.â Id. at 846.
We then explained that
the Supreme Court has recognized that counselâs prior ability to
cross-examine an unavailable declarant in a prior proceeding that
was not âsignificantly limited in any wayâ counsels in favor of
a finding of no underlying violation. [California v. ]Green, 399
U.S. [149,] 166 [(1970)]. Here, we find the same considerations
found in Green weigh in favor of a finding of harmless error
because Mr. Littlejohnâs counsel was not at all precluded from
thoroughly cross-examining [the two witnesses] at the 1994 trial.
Id. at 847. Unlike the first error, the Littlejohn I court did not explicitly conclude
that no prejudice flowed from this error. However, having studied our thorough
prejudice analysis in Littlejohn I, we are hard-pressed to conclude that Mr.
Littlejohn suffered anything more than modest prejudice from the errorâif any
prejudice at all.
Thus, standing alone, we are not convinced that more than one of the two
additional errors (aside from the assumed error associated with the ineffective-
assistance claim) that Mr. Littlejohn has identified was the source of prejudice to
him. However, for purposes of further cumulative-error analysis, we are willing
to assume arguendo that Mr. Littlejohn suffered modest prejudice from both
44
errors. Consequently, the central question we must decide is whether this modest
prejudice, when cumulated with any prejudice stemming from the alleged
ineffective-assistance claim, would cause Mr. Littlejohnâs resentencing
proceeding to be fundamentally unfair and cause us to have grave doubts about
whether the errors affected the jurorsâ verdict. We answer this question in the
negative.
In light of the now-clear shortcomings of Dr. Saint Martinâs theory and
evidence, we do not believe the Strickland prejudice question is a close oneâviz.,
Mr. Littlejohn did not come close to establishing the requisite quantum of
prejudice to satisfy the Strickland standard. We are prepared, however, to assume
arguendo that Mr. Littlejohn suffered some modest prejudice due to Mr. Rowanâs
assumed constitutionally ineffective assistance at the resentencing. In this regard,
we acknowledge the view stressed in Littlejohn I that â[e]vidence of organic
mental deficits ranks among the most powerful types of mitigation evidence
available.â 704 F.3d at 864. And, as we also suggested there, such evidenceâas
a categorical matterâis likely at the apex of its potency when a psychiatrist (or
other qualified physician), like Dr. Saint Martin, provides it; such a person can
actually offer a medical opinion regarding whether a petitioner has suffered brain
damage. See id. at 865â66 (â[I]t is critical to note that Dr. Draper did not offer
any opinion regarding whether Mr. Littlejohn in fact suffered pre-natal brain
injuries and, indeed, she would not have been equipped to do so. Dr. Draper was
45
not a psychiatristâlike Dr. Saint Martinâor any other type of physician, for that
matter.â).
Therefore, it seems reasonable to assume that the failure to investigate and
present evidence of organic brain damage through the testimony of a physician
may have engendered some modest prejudice. But, as we emphasized at the start,
the prejudice analysis must always focus on the precise nature of the alleged
organic brain damage. And, when we do that here, for the reasons explicated
supra, we are unwilling to accord Mr. Littlejohn more than an assumption of
modest prejudice: in brief, Dr. Saint Martinâs qualitatively weak organic-brain-
damage evidence warrants nothing more under the circumstances of this case,
particularly given the likelihood of robust rebuttal evidence from the State.
From a purely additive or sum-of-the parts perspective, the three dashes of
modest prejudice that we have assumed hereâi.e., related to the Meers testimony,
the testimony of the two 1994 witnesses, and Mr. Rowanâs mitigation
presentationâhardly constitute, in the aggregate, a recipe for the kind of
prejudice that would render Mr. Littlejohnâs resentencing proceeding
fundamentally unfair or cause us to have grave doubts about whether the errors
affected the jurorsâ verdict, especially when viewed in the context of the Stateâs
substantial case in aggravation. See Grant, 727 F.3d at 1026 (â[N]one of the
three errors was anything more than modest on its own terms. Adding them
together undoubtedly leads to a somewhat less modest sum. But even still they do
46
not collectively call into question the compelling case the government put on . . .
.â); see also Littlejohn I, 704 F.3d at n.13 (noting that âthe prosecution presented
a substantial amount of aggravating evidenceâ).
Moreover, Mr. Littlejohn has not meaningfully demonstrated how any of
these three assumed errors possessed âan inherent synergistic effectâ that would
have made them collectively more potent than the sum of their parts. Cargle, 317
F.3d at 1221. Mr. Littlejohn offers us little more than his bald, conclusory
statement that the âsynergy of the errors . . . is obvious.â Aplt.âs Opening Br. at
69. We disagree. See Hanson, 797 F.3d at 853 (âIn Cargle, counsel had failed to
challenge two vulnerable witnesses, the prosecution had improperly bolstered and
vouched for those two witnesses, and the government had a weak case totally
dependent on their credibility. In effect, all of the errors revolved around the
issue of the credibility of those two witnesses. Hansonâs case presents no such
âsynergisticâ effect.â (citations omitted) (quoting Cargle, 371 F.3d at 1221));
Black v. Workman, 682 F.3d 880, 914 (10th Cir. 2012) (distinguishing Cargle,
and saying that it was ânot persuaded that the constitutional violations alleged in
Defendantâs application had an âinherent synergistic effect.ââ (quoting Cargle,
371 F.3d at 1221)).
To be sure, Mr. Littlejohn does attempt to show a âparticularized synergyâ
by suggesting that, if the jury had received Dr. Saint Martinâs organic-brain-
damage evidence, it would have âamelioratedâ the alleged prejudicial effects of
47
his âpost-trial outburstâ directed at Mr. Meers. Aplt.âs Opening Br. at 69. But
this argument is predicated on Mr. Littlejohnâs failure, once again, to
acknowledge that the Meers-related error that we are considering in the
cumulative-error analysis is not the admission of the evidence regarding the
outburst itselfâor, more precisely, the contents of the outburstâbut rather the
alleged inadequacy of the notice that Mr. Littlejohnâs counsel received as to the
prosecutionâs intent to admit the Meers evidence. And Mr. Littlejohn does
nothing to suggest any âparticularized synergyâ between that notice error and any
of the other two errors at issue.
Accordingly, considering the totality of the circumstances in Mr.
Littlejohnâs resentencing proceeding, we cannot conclude that the cumulative
effect of the three harmless errors before us prejudiced Mr. Littlejohn within the
meaning of Brecht. 8
8
Mr. Littlejohn suggests that the ârealitiesâ of the case favor a
determination of cumulative error: specifically, he says the case involved âa
single reactive gunshotâ and âjurors were considering life without parole.â
Aplt.âs Reply Br. at 32. Mr. Littlejohn does not do much to develop this
argument in the cumulative-error context and, for that reason, we could deem it
waived. See, e.g., Grant, 727 F.3d at 1025 (âEven a capital defendant can waive
an argument by inadequately briefing an issue and we break no new ground by
holding the same here.â (citation omitted)); see also Reedy v. Werholtz, 660 F.3d
1270, 1275 (10th Cir. 2011) (âThe argument section of Plaintiffsâ opening brief
does not challenge the courtâs reasoning on this point. We therefore do not
address the matter.â). However, even if we were to consider this argument on the
merits, we would reject it for substantially the same reasons we rejected supra
Mr. Littlejohnâs similar argument that was aimed at establishing prejudice
stemming from Mr. Rowanâs assumed ineffective assistance.
48
IV
For the reasons stated above, we AFFIRM the judgment of the district
court.
49
14-6177, Littlejohn v. Royal
TYMKOVICH, CJ, concurring.
I concur in the judgment denying Littlejohnâs habeas petition. I agree
Littlejohn suffered no prejudice from his counselâs failure to develop and present
evidence on organic brain damage. And I agree the cumulative effect of the
alleged errors did not prejudice Littlejohn. But I write separately to once again
express my view from the first habeas appeal that scientific testimony about
organic brain damage is not categorically more powerful than other types of
mental-health evidence.
I.
The lynchpin of Littlejohn I was that âa more technical presentation of
organic brain injury evidence is inherently more persuasive than a more holistic
presentation of the kind offered by Dr. Draper.â Littlejohn v. Trammell
(Littlejohn I), 704 F.3d 817, 877 (10th Cir. 2013) (Tymkovich, J., concurring in
part and dissenting in part). The majority thus held Littlejohnâs counsel may have
been constitutionally deficient because he failed to investigate whether organic
brain damage caused Littlejohnâs behavioral issuesâeven though Dr. Draper, a
psychologist with a doctorate in child development, testified that Littlejohn
suffered from an emotional disturbance that reduced his ability to control himself
and empathize with others. Id. at 867.
I dissented, arguing the âcentral flaw in the majorityâs analysis is its
erection of a categorical invocation of âorganic brain injuryâ evidence as different
in kind for purposes of a Strickland analysis.â Id. at 878. After all, âsome jurors
may be swayed by testimony that sounds more technical and scientific; others
may be confused or skeptical. It can be a mixed bag.â Id. I therefore believed
the majority erred by âgiv[ing] a talismanic quality to one type of mental health
evidence without any showing that it [was] inherently more persuasive to juries
than other evidence . . . .â Id. And because âthere are countless ways to provide
effective assistance[,]â I concluded counselâs decision to have Dr. Draper testify
rather than a psychiatrist like Dr. Saint Martin fell well within the âwide latitude
counsel must have in making tactical decisions.â Strickland v. Washington, 466
U.S. 668, 689 (1984). This was especially so because evidence of organic brain
damage is a double-edged sword: it might have reduced the juryâs sense of
Littlejohnâs moral culpability, but it might also have increased the juryâs concerns
about Littlejohnâs future dangerousness. See Littlejohn I, 704 F.3d at 870
(Tymkovich, J., concurring in part and dissenting in part).
II.
The district courtâs findings on Dr. Saint Martinâs declaration support this
view: Dr. Saint Martinâs scientific-based testimony was no more powerful or
persuasive than Dr. Draperâs psychology-based testimony.
This is not surprising given what Dr. Saint Martin said all along. As he
stated in his initial declaration, Littlejohn suffered from âa behavioral disorder
manifested by poor impulse control, psychological immaturity and judgment that
-2-
is caused by neuro-developmental deficits experiences in his peri-natal
development.â R., Vol. 1 at 171. At the evidentiary hearing, Dr. Saint Martin
confirmed the declaration by explaining how dysfunction in Littlejohnâs frontal
lobes caused his behavioral disordersâspecifically, ADD and an impulse-control
disorder. All Dr. Saint Martin added at the evidentiary hearing, then, was a
formal ADD diagnosis. The fact the majority finds Dr. Saint Martinâs testimony
less persuasive than his largely identical declaration thus demonstrates that
Littlejohn I did not need to assume that evidence of organic brain damage is
intrinsically more powerful than other types of mental-health evidence.
To its credit, the majority adds two caveats to its broad Littlejohn I claim
that evidence of organic mental deficits ranks among the âmost powerful typesâ
of mitigation evidence. Littlejohn I, 704 F.3d at 864. First, not all evidence of
organic brain damage has the same potency. Maj. Op. at 21. Second, evidence of
organic brain damage can sometimes have an aggravating, not mitigating, effect
on the sentencing jury. Id. at 22â23. Yet the majority still asserts that evidence
of organic brain damage is âas a categorical matter . . . likely at the apex of its
potency when a psychiatrist (or other qualified physician), like Dr. Saint Martin,
provides it . . . .â Maj. Op. at 48.
These proceedings demonstrate that evidence of organic brain damage is
not categorically more persuasive than other types of mental-health evidence.
And mental-health evidence is not necessarily at âthe apex of its potencyâ when
-3-
presented by a physician rather than a psychologist. Maj. Op. at 48. Jurors are
complex, unpredictable, and, above all, different. Some jurors may agree
evidence a defendant suffers from organic brain damage is most persuasive when
a physician presents it; others may be skeptical of science and persuaded by
holistic and less scientific testimony. See Littlejohn I, 704 F.3d at 878
(Tymkovich, J., concurring in part and dissenting in part). Just as âthe decision
of which witnesses to call is quintessentially a matter of strategy for the trial
attorney,â Boyle v. McKune, 544 F.3d 1132, 1139 (10th Cir. 2008), so too is the
strategic decision about which type of mitigation evidence will best resonate with
a jury.
Nothing has changed my view that at the penalty phase of a capital trial, a
lawyerâs choice to present holistic, psychology-based testimony instead of
scientific testimony on organic brain damage is a reasonable strategic choice. In
fact, the last chapter of this case proves the point.
-4-
Case Information
- Court
- 10th Cir.
- Decision Date
- November 7, 2017
- Status
- Precedential