Jefferson v. Upton

• Decision Date: 24 May 2010
• Docket Number: No. 09–8852.,09–8852.
• Citation: 130 S.Ct. 2217,560 U.S. 284,176 L.Ed.2d 1032
• Parties: Lawrence Joseph JEFFERSON, v. Stephen UPTON, Warden.
• Court: U.S. Supreme Court

560 U.S. 284

130 S.Ct. 2217

176 L.Ed.2d 1032

Lawrence Joseph JEFFERSON,

v.Stephen UPTON, Warden.

No. 09–8852.

Supreme Court of the United States

May 24, 2010.

Opinion

PER CURIAM.

Petitioner Lawrence Jefferson, who has been sentenced to death, claimed in both state and federal courts that his lawyers were constitutionally inadequate because they failed to investigate a traumatic head injury that he suffered as a child. The state court rejected that claim after making a finding that the attorneys were advised by an expert that such investigation was unnecessary. Under the governing federal statute, that factual finding is presumed correct unless any one of eight exceptions applies. See 28 U.S.C. §§ 2254(d)(1)-(8) (1994 ed.). But the Court of Appeals considered only one of those exceptions (specifically § 2254(d) (8)). And on that basis, it considered itself “duty-bound” to accept the state court's finding, and rejected Jefferson's claim. Because the Court of Appeals did not fully consider several remaining potentially applicable exceptions, we vacate its judgment and remand.

I

When Jefferson was a child, he “suffered a serious injury to his head.” Jefferson v. Terry, 490 F.Supp.2d 1261, 1326 (N.D.Ga.2007); see id., at 1320 (quoting Jefferson's mother's testimony that “a car ran over the top of his head” when he was two years old). The accident left his skull swollen and misshapen and his forehead visibly scarred. Jefferson v. Hall, 570 F.3d 1283, 1311, 1315, n. 4 (C.A.11 2009) (Carnes, J., dissenting). During the District Court proceedings below, uncontroverted experts testified that, as a result of his head injury, Jefferson has “permanent brain damage” that “causes abnormal behavior” over which he “has no or substantially limited control.” 490 F.Supp.2d, at 1321–1322. According to these experts, Jefferson's condition causes “ ‘emotional dullness,’ ” “ ‘restless or aggressive characteristics,’ ” “ ‘impulsiveness,’ ” “ ‘temper outbursts,’ ” “ ‘markedly diminished impulse control,’ ‘impaired social judgment,’ ” and “ ‘transient outbursts of rage which are totally inconsistent with his normal behavioral pattern.’ ” Id., at 1322, 1327.

The experts further testified that Jefferson's “ ‘severe cognitive disabilities' ” “ ‘profoundly alter’ ” his “ ‘ability to plan and coordinate his actions, to be aware of the consequences of his behavior, and to engage in premeditated or intentional acts.’ ” Id., at 1327. But they testified he is neither psychotic nor retarded. Id., at 1319. Thus, they said, to a lay observer or even to a professional psychologist, Jefferson does not outwardly appear mentally impaired. Indeed, according to the experts, “ ‘the behavior that may result from’ ” his condition “ ‘could, without the administration of proper testing, be mistaken for volitional.’ ” Id., at 1322.

Jefferson faced a death sentence for killing his co-worker while the two men were fishing. Id., at 1271–1272. Prior to trial, he was examined by a psychologist named Dr. Gary Dudley, who prepared a formal report in which he concluded that Jefferson's mental deficiencies do not impair “ ‘his judgment or decision-making capacity.’ ” 570 F.3d, at 1294 (quoting report). But Dr. Dudley's report included a caveat: “ ‘One possibility that could not be explored because of [Jefferson's] incarceration has to do with the sequelae,’ ” i.e., pathologies, related to a “ ‘head injury experienced during childhood.’ ” Ibid. “ ‘In my opinion,’ ” he wrote, “ ‘it would be worthwhile to conduct neuropsychological evaluation of this individual to rule out an organic etiology,’ ” i.e., to rule out brain damage. Ibid.

Although “it is undisputed that the testing” Dr. Dudley recommended “could have easily been performed,” 490 F.Supp.2d, at 1322, and that Jefferson's attorneys possessed police reports and hospital records recounting his head injury, id., at 1323, the attorneys did not have Jefferson tested. At sentencing, they presented only testimony from two prison guards, who stated that Jefferson was an unproblematic inmate, and from three members of Jefferson's family, who testified that he is a “responsible, generous, gentle, and kind” person and “a good father.” 570 F.3d, at 1290–1291. And while Jefferson's mother briefly mentioned the car accident, “she was not questioned and did not offer any testimony regarding the impact, if any, that the accident had on him.” Id., at 1291. Thus, “[a]s far as the jury knew, Jefferson did not suffer from brain damage or neurological impairment; he had no organic disorders”; and “his emotional stability, impulse control, and judgment were perfectly normal.” Id., at 1311 (Carnes, J., dissenting).

Jefferson sought habeas relief in state court, arguing that his two trial attorneys unreasonably failed to pursue brain-damage testing. In response, the trial attorneys testified that they did not pursue such testing because, after delivering his formal written report, Dr. Dudley later told them that further investigation “ ‘may be a waste of time because the rest of [his] report’ ” had “ ‘said that [Jefferson] was non psychotic.’ ” 570 F.3d, at 1295 (quoting testimony). Dr. Dudley did not testify in person at the hearing, but he submitted a sworn affidavit denying that he had ever made such statements. He said “it had always been his expert opinion ‘that neuropsychological testing was necessary’ ” and that when he wrote as much in his formal report “he ‘meant it.’ ” Id., at 1312 (Carnes, J., dissenting) (quoting affidavit). He added, “ ‘I never, before or after that report, suggested to [Jefferson's attorneys] that such an evaluation was not necessary or that it would not be worthwhile.’ ” Ibid.; cf. Pet. for Cert. 17, n. 12.

Jefferson contends, and the State has not disputed, that after the hearing concluded the state-court judge contacted the attorneys for the State ex parte. And in a private conversation that included neither Jefferson nor his attorneys, the judge asked the State's attorneys to draft the opinion of the court. See id., at 3, 12. According to Jefferson, no such request was made of him, nor was he informed of the request made to opposing counsel. Id., at 12, n. 8, 13; see also Jefferson v. Zant, 263 Ga. 316, 431 S.E.2d 110, 111 (1993) (“Jefferson contends [the order] amounts to no more and no less than a reply brief to which [he] has not had a chance to respond”).

The attorneys for the State prepared an opinion finding that “Dr. Dudley led [Jefferson's trial attorneys] to believe that further investigation would simply be a waste of time because Petitioner [i]s not psychotic.” Jefferson v. Zant, Civ. Action No. 87–V–1241 (Super. Ct. Butts Cty., Ga., Oct. 7, 1992), p. 16, App. 4 to Pet. for Cert. 16 (hereinafter State Order); see also id., at 37. The opinion “specifically credits the testimony of [the trial attorneys] with regard to their efforts to investigate Petitioner's mental condition.” Id., at 18; see also id., at 36. And relying on these findings, it concludes that Jefferson's attorneys “made a reasonable investigation into [his] mental health” and were thus not ineffective. Id., at 37.

Notably, as the Georgia Supreme Court acknowledged, the State's opinion discusses statements purportedly made on Jefferson's behalf by a witness “who did not testify” or participate in the proceedings. 263 Ga., at 318, 431 S.E.2d, at 112; see State Order 24–25. Nonetheless, the opinion “was adopted verbatim by the [state] court.” 263 Ga., at 316, 431 S.E.2d, at 111.

And while the State Supreme Court recognized that we have “ ‘criticized’ ” such a practice, it affirmed the judgment. Id., at 317, 320, 431 S.E.2d, at 112, 114 (quoting Anderson v. Bessemer City, 470 U.S. 564, 572, 105 S.Ct. 1504, 84 L.Ed.2d 518 (1985)).

II

Jefferson next sought federal habeas relief in the District Court. In his opening brief, he argued that “there is no reason under principles of comity or otherwise to give any deference to the findings of the State Habeas Corpus Court.” Brief for Petitioner in No. 1:96–CV–989–CC (ND Ga.), Doc. 105, p. 4, and n. 1 (hereinafter District Court Brief). In support of that argument, he claimed that the state court “merely signed an order drafted by the State without revision of a single word,” even though the order “described witnesses who never testified.” Ibid. And he said that such a process “rais[es] serious doubts as to whether [the judge] even read, much less carefully considered, the proposed order submitted by the State.” Ibid.

The District Court ruled in Jefferson's favor. It noted that under the relevant statute “factual findings of state courts are presumed to be correct unless one of ... eight enumerated exceptions ... applies.” 490 F.Supp.2d, at 1280; see also id., at 1280, n. 5 (listing the exceptions). And it acknowledged “the state habeas corpus court's failure to explain the basis” for its credibility findings. Id., at 1324, n. 17. But it accepted Jefferson's claim of ineffective assistance of counsel without disturbing the state court's factual findings because it believed he should prevail even accepting those findings as true. Id., at 1324–1325.

On appeal, Jefferson defended the District Court's judgment primarily on its own terms. But he also argued that the state court's factfinding was “dubious at best” in light of the process that court employed, and that the Court of Appeals therefore “should harbor serious doubts about the findings of fact and credibility determinations in the state court record.” Brief for Petitioner/Appellee in No. 07–12502 (CA11), pp. 31–32, n. 10 (hereinafter Appeals Brief).

A divided Court of Appeals panel reversed, and Jefferson filed this petition for certiorari asking us to review his claim of ineffective assistance of counsel. And, in so doing, he challenges—as he did in the State Supreme Court, the District Court, and the Court of Appeals—“the fact findings of the state court,” given what he describes as the deficient procedure employed by that court while...