Alan L. Matheney v. Rondle Anderson

377 F.3d 740, 2004 U.S. App. LEXIS 15591, 2004 WL 1687903

• Court: Court of Appeals for the Seventh Circuit
• Decided: July 29, 2004
• Docket: 03-1739
• Status: Published

Opinions

KANNE, Circuit Judge.

In April of 1990, an Indiana state court jury convicted Alan Matheney of murder and burglary. Agreeing with the jury’s recommendation, the trial judge sentenced Matheney to death. Matheney exhausted his state-court direct appeals and post-conviction proceedings. Moving to the federal courts on July 11, 1998, he filed a petition for a writ of habeas corpus, which included a claim that he had been incompetent to stand trial. On July 30, 1999, the district court, without a hearing but in a detailed examination of the extensive record, found, among other things, that Matheney was competent to stand trial and denied his habeas petition. On appeal, this court remanded the case to the district court for an evidentiary hearing on issues related to Matheney’s incompetency claim.

On November 27, 2002, the district court, in compliance with our directions, held an evidentiary hearing addressing the same matters decided in its Memorandum and Order of 1999, to wit: (1) whether Matheney was competent to stand trial in 1990; (2) whether Matheney’s attorneys at his trial were ineffective because they did not demand a competency hearing prior to the trial; and (3) whether the state trial court was obligated to hold a competency hearing sua sponte.

As before, the district court considered the totality of the evidence that pertained to these issues from the trial record, the post-conviction proceedings record, and the federal habeas record, along with some additional evidence submitted by the parties.

It again concluded that Matheney had been competent to stand trial in 1990. Hence, the district court reasoned, his attorneys did not provide ineffective assistance at his trial, and the trial court did not err in failing to sua sponte consider Matheney’s competency.

Matheney appeals only the district court’s determinations as to his competency and his attorneys’ effectiveness. For the reasons stated herein, we affirm the district court’s decision to deny the writ.

I. History

The factual and procedural background of this case has been thoroughly laid out in prior opinions. See Matheney v. Anderson, 253 F.3d 1025 (7th Cir.2001) (“Matheney IV”); Matheney v. Anderson, 60 F.Supp.2d 846 (N.D.Ind.1999) (“Matheney III ”); Matheney v. Indiana, 688 N.E.2d 883 (Ind.1997) (“Matheney II”); Matheney v. Indiana, 583 N.E.2d 1202 (Ind.1992) (“Matheney I ”). It will suffice for present purposes to supply only a brief factual introduction to the relevant issues and refer to prior treatments of the case as necessary.

On March 4, 1989, Matheney took advantage of an eight-hour pass from an Indiana state prison to break into the home of his ex-wife, chase her outside, and brutally bludgeon her to death with a shotgun. Faced with overwhelming evidence linking Matheney to the crimes, Mathe-ney’s trial counsel admitted in the first line of his opening statement that Matheney indeed performed this horrific act and subsequently presented the legal defense of insanity. This defense strategy ultimately proved to be unsuccessful.

Shortly after his indictment, his original counsel requested the evaluation of Mathe-ney by court-appointed psychiatrists for the purpose of determining Matheney’s competency to stand trial and his mental state at the time of the offense. The incompetency claim and the insanity defense were both premised on Matheney’s unique understanding of the events of his life. Matheney was in prison at the time of the murder because he had kidnapped his children and battered his ex-wife. Rather than attributing his imprisonment to his own actions, Matheney blamed a conspiracy between his ex-wife and a prosecutor, whom he believed were having an affair. In preparing for trial (and at his post-conviction proceedings), Matheney insisted that the focus of his defense should be to expose this conspiracy and thereby— by Matheney’s reasoning — excuse his crimes.

The defense’s early request for a competency examination notwithstanding, the trial court did not order the doctors to address Matheney’s competency to stand trial. So, the court-appointed doctors, Dr. Batacan and Dr. Berkson, made no explicit competency findings in their written reports on Matheney’s sanity. Instead, the doctors limited their inquiries into whether Matheney was sane under Indiana law at the time of his crimes. The issue of competency was not raised by defense counsel after the initial motion.

Competency to stand trial, however, was addressed five years later by the Indiana trial court in the post-conviction review of Matheney’s conviction. A lengthy eviden-tiary hearing was conducted. The hearing included an ex parte examination of Matheney’s counsel by the magistrate, testimony by Matheney himself, and expert testimony.

Along with many other issues, the question of Matheney’s competency to stand trial in 1990 was fully reviewed in the trial court’s post-conviction proceeding. It was argued that Matheney received ineffective assistance of counsel because his attorneys failed to secure a competency determination prior to his trial. However, in a seventy-nine page “Findings of Fact and Conclusions of Law,” entered on April 10, 1995, the post-conviction magistrate and judge found to the contrary. We quote extensively from that document:

3.08 Petitioner’s Allegation: The petitioner was denied the effective assistance of trial and appellate counsel because counsel failed to notify the court that the petitioner was incompetent to stand trial and was incompetent to proceed on direct appeal. [¶ 9(C)(6).]

Conclusion: The petitioner was competent.

The petitioner asserts that he was incompetent at the time of trial and appeal. We note that counsel at the hearing on the petition for post-conviction relief attempted to halt the post-conviction proceedings because of their stated belief that the petitioner remains incompetent. For the reasons discussed below, it is the conclusion of this court that the petitioner is, and always has been, competent.

The petitioner raised the affirmative defense of mental disease or defect at trial. He was examined by a number of mental health professionals who testified at trial. The petitioner’s mental condition was no secret from either the trial court or the jury. The decision to raise the affirmative defense was made by the trial attorney who also acted as appellate counsel. Counsel sincerely believed (and continues to believe) that the petitioner had a mental illness. The affirmative defense was pursued at trial for this reason and because part of the petitioner’s trial strategy regarding the defense took into account the evidentiary advantage of presenting testimony from the petitioner through third parties without putting him personally on the witness stand. The petitioner was consulted on this strategy and agreed to it.

One thing about the petitioner seems very clear. He is one of the most difficult clients that any lawyer could be obliged to represent. From virtually the day the case was filed, the petitioner has routinely papered the courts with pro se pleadings that have perhaps doubled the volume of the record. They have kept his lawyers scurrying to deal with the collateral problems those pleadings create. The previously cited filing of the pro se motion for change of venue from the county is but one example. As trial counsel has implied, working with the petitioner requires a great deal of patience.

What is the petitioner’s problem? First and foremost, he is intensely and narrowly focused on the belief that his ex-wife and the prosecuting attorney in St. Joseph County were having an affair. He believes that he was imprisoned pri- or to the murder as part of a conspiracy between the putative lovers to keep him out of the way. And finally, he also believes that his capital prosecution for murder was an extension of that conspiracy because the prosecuting attorney wanted to forever silence the petitioner about the affair. The petitioner is so narrowly focused on this alleged conspiracy that he sees the actions of others, including those of the trial court and his own attorneys, as extensions of the conspiracy to keep the affair from being litigated in the courts. He believes that the affair is the only matter worth litigating even now and he has little patience for those who suggest that the affair is irrelevant to the question of whether or not he murdered his ex-wife.

The attorneys for the petitioner at trial, on appeal, and in these proceedings have all had trouble communicating with the petitioner because of his reaction to those he feels are not giving sufficient attention to the conspiracy issue. As appellate counsel tells it, one needs to let the petitioner talk on and on about the things he feels are important before other issues can be discussed. Communication is possible, however, if not efficient. Most significantly, counsel has stated that the petitioner was substantively involved in the trial process even if he wasn’t as helpful as another client might have been.

The petitioner alleges that he was and remains incompetent. “Competency” as used here means the ability to understand the nature of the proceedings and assist in the preparation of a defense. It is the conclusion of this court that the petitioner has always been competent because: (1) he understood the nature of the proceedings at trial, on appeal, and in the petition for post-conviction relief; and, (2) he was able to assist in the preparation of his defense.

The petitioner understood the nature of the proceedings at, on appeal, and in the petition for post-conviction trial relief. It is very clear from his own pleadings that he understood that the purpose of the trial was to adjudge him innocent or guilty of the murder of his ex-wife. He also understood that one issue in the trial court was whether he should be put to death himself for that murder. He understood the respective roles of the prosecuting attorneys, defense attorneys and trial court judges at trial. Likewise, he recognized the purpose of the appeal and the mechanisms that were a part of it. The repeated pro se criticisms of the attorneys, the courts, and the rulings on the admissibility of evidence, all are in themselves sufficient to support the conclusion that the petitioner has always had a very clear understanding of the nature of the proceedings even if he did not agree with others’ opinions of what should be presented in those proceedings.

The petitioner was able to assist in the preparation of his defense. The one trial attorney who had the best rapport with the petitioner was the same one who represented the petitioner on appeal. He found the petitioner frustrating, stubborn and decidedly single-minded. It required extraordinary patience to deal with [the] petitioner. But, the petitioner was able to provide counsel with the details of everything that preceded and followed the murder, even if he did not describe the beating death itself. There is no evidence to suggest that the petitioner was unable to assist trial counsel.

Does the petitioner have a mental illness? The experts disagree. In short, it is sufficient to say that the petitioner has an obsession or delusional way of thinking that some doctors believe is so significant that it rises to the level of a paranoid personality disorder. This, of course, was known at the time of trial to both the judge and the jury through the doctors’ testimony.

After trial and appeal, a psychologist examined the petitioner in preparation for the hearing on the petition for post-conviction relief. He reported an opinion that the petitioner was unable to assist post-conviction counsel in the prosecution of the petition because he could not “rationally discuss his case, nor ... manage sufficient distance from his delusional system to appreciate the possibility that he might stand to benefit from perspectives other than his own.” The doctor who testified at trial on behalf of the petitioner agreed. We do not. The petitioner’s obsession, whether factual or delusional, has always made it difficult to work with him, but it has not made it impossible. This court’s conclusion that the petitioner was and remains competent in the legal sense makes it unnecessary to explain our further conclusion that competency of the petitioner was not required before the appeal or petition for postconviction relief could be resolved.

(A.R. 11; Exh. C at 51-55) (endnotes omitted).

The Indiana Supreme Court affirmed the lower court’s determination of Mathe-ney’s competency to stand trial: “Given the psychiatrists’ determinations before trial, trial counsels* own opinions of Mathe-ney’s competency, and Dr. Berkson’s earlier determination of Matheney’s competency, trial counsel were not ineffective for failing to follow up their request for a determination of competency with a formal motion for a hearing on Matheney’s competency.” Matheney II, 688 N.E.2d at 899.¹ Thus, the Indiana courts, in adjudicating the effectiveness of Matheney’s state trial and appellate counsel, directly addressed and determined Matheney’s competency to proceed at trial.

Matheney then brought a federal habeas claim under 28 U.S.C. § 2254 in the Northern District of Indiana. That court denied Matheney’s request for an eviden-tiary hearing on his competency, but then conducted a lengthy de novo review of the “massive” record. The district court ultimately made its findings:

On the basis of all of the facts stated above, this court finds that Matheney was competent to stand trial under the Dusky standard. He understood the facts of the situation and he understood the consequences of trial and sentencing. Additionally, he provided some assistance to his counsel, perhaps not as much as they would choose, but not completely unhelpful. Importantly, none of his counsel, including the very experienced lead counsel, felt that he was incompetent. This court does not doubt that these very able lawyers would have raised the incompetence issue had it been appropriate. Although this court is well aware of Mr. Mathe-ney’s beliefs as to the alleged relationship between his former wife and the prosecutor of St. Joseph County, this court does not find that those beliefs so impeded Matheney’s appreciation of his situation as to render him incompetent to stand trial. Thus, his due process right to be tried as a competent individual was not violated.... As Matheney was competent, his attorneys failure to raise the issue did not prejudice him and thus was not violative of his Sixth Amendment rights to effective assistance of counsel.

Matheney III, 60 F.Supp.2d at 862-63.

In Matheney TV, we unfortunately did not take note of the post-conviction trial court’s lengthy evidentiary hearing and extensive “Findings of Fact and Conclusions of Law” when we observed that the Indiana state courts had not properly considered Matheney’s due process competency claim. Matheney IV, 253 F.3d at 1039. We mistakenly understood that the Indiana courts had refused to allow “the majority of Matheney’s attempts to file pleadings” on the issue of competency. Id. Finally, we were wrong when we stated in Matheney TV that: “The federal district court concluded that Matheney had not received a full and fair evidentiary hearing on his competency to stand trial from the Indiana state courtsf.]” Id. Agreeing with this faulty premise, we remanded this case to the district court for a full evidentiary hearing on Matheney’s competency at the time of the original trial.

On remand, the district court again considered all of the relevant evidence from the trial record, the post-conviction review record, and the federal habeas record. This evidence — much of it discussed in Matheney IV, Matheney III, and Matheney II — included medical evidence and opinions from all of the mental health experts, attorneys, and family members familiar with Matheney.

Also, the district court considered additional evidence submitted by the defense and prosecution. Matheney’s counsel submitted a November 20, 2002 videotaped deposition of Dr. Helen Morrison, who had served as defense expert in the original trial, and who had also been deposed for the post-conviction proceedings in 1994. Dr. Morrison concluded in her deposition that Matheney was not competent to stand trial because he was “not able to rationally understand what he needed to do to provide a defense” and he did not “trust his attorney because [Matheney believed the attorney] was part of the court system” and therefore part of the conspiracy against him. Dr. Morrison based her conclusion on her assessment that Matheney suffered from paranoid delusions.

The state of Indiana submitted only a memorandum which noted that Matheney refused a psychological test on March 30, 1989 on the advice of counsel. After the evidentiary hearing on November 27, 2002, but before the district court’s opinion denying habeas relief, Matheney himself filed two handwritten notes that discussed his current conspiracy theories. The district court considered these submissions as well.

After examining all of the evidence, the district judge concluded, as he had in Matheney III, that Matheney had been competent to stand trial in 1990. In part because he was competent, the district court also concluded that it was not ineffective assistance on the part of Mathe-ney’s trial attorneys not to pursue an incompetency claim at trial, nor was it error on the part of the trial judge to not consider Matheney’s competency sua sponte. Matheney appeals the first two determinations — competency and ineffective assistance of counsel — but not the trial judge’s failure to sua sponte broach the competency question.

II. Analysis

A. Standard of Review

Respondent Anderson asserts that 28 U.S.C. §§ 2254(d)(1) and (2) should guide our inquiry into Matheney’s competency to stand trial. Section 2254(d) is part of the Antiterrorism and Effective Death Penalty Act (“AEDPA”), a statutory scheme that is extremely deferential to state-court adjudications. It is clear that AEDPA is applicable to Matheney’s habeas petition, as the petition was filed after April 24, 1996, the effective date of the statute. See Lindh v. Murphy, 521 U.S. 320, 117 S.Ct. 2059, 138 L.Ed.2d 481 (1997). Matheney, however, insists that § 2254(d) deference is inappropriate under the particular circumstances of his case.

Matheney argues that: (1) the state courts did not reach the merits of the competency issue; (2) even if the state reached the merits, their findings should be ignored because this court, in Matheney IV, ordered the district court to conduct an evidentiary hearing; and (3) the Indiana court’s post-conviction assessment of Matheney’s competency was retrospective and therefore invalid. We will address each argument in turn.

First, succinctly put, as our summary of the Indiana post-conviction review process establishes, both the post-conviction trial court and the Indiana Supreme Court squarely addressed Matheney’s competency claims and found him to be competent and determined that his trial counsel were not ineffective. Section 2254(d) deference applies.

Second, our case law is clear in holding that § 2254(d) “is applicable even though the district judge held an eviden-tiary hearing.” Pecoraro v. Walls, 286 F.3d 439, 443 (7th Cir.2002); see also Valdez v. Cockrell, 274 F.3d 941, 954 (5th Cir.2001) reh’g en banc denied, 288 F.3d 702 (2002). But see Miller v. Champion, 161 F.3d 1249, 1254 (10th Cir.1998). “The evidence obtained in such a hearing is quite likely to bear on the reasonableness of the state courts’ adjudication ... but we do not see why it should alter the standard of federal review.” Pecoraro, 286 F.3d at 443.

Finally, we note that an after-the-fact state-court inquiry into competency to stand trial is subject to § 2254(d) deference, Young v. Walls, 311 F.3d 846, 848^49 (7th Cir.2002), and the Indiana courts, in retrospectively analyzing the effectiveness of Matheney’s trial and appellate counsel, concluded that Matheney had been competent to stand trial. Thus, each of Mathe-ney’s arguments fails, and we will apply § 2254(d) deference to the state court’s determinations.

28 U.S.C. § 2254(d) reads:

An application for a writ of habeas corpus on behalf of a person in custody pursuant to the judgment of a State court shall not be granted with respect to any claim that was adjudicated on the merits in the State court proceedings unless the adjudication of the claim—

(1) resulted in a decision that was contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States; or

(2) resulted in a decision that was based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding.

28 U.S.C. § 2254(d) (emphasis added).

Under (d)(1), we follow the methodology established by the Supreme Court in Part II of Justice O’Connor’s concurrence in Williams v. Taylor, 529 U.S. 362, 402-13, 120 S.Ct. 1495, 146 L.Ed.2d 389 (2000), to determine whether the state court either came to a decision contrary to clearly established Supreme Court law or made an unreasonable application of clearly established Supreme Court law. See Ward v. Sternes, 334 F.3d 696, 703-04 (7th Cir.2003). Under (d)(2), “relief may be had where the petitioner can show by clear and convincing evidence that the state court’s factual determinations were unreasonable.” Harding v. Walls, 300 F.3d 824, 828 (7th Cir.2002) (citing 28 U.S.C. § 2254(e)(1) and explaining that courts refer to (e)(1) for the petitioner’s burden of proof when that petitioner tries to make a(d)(2) showing of unreasonable state court factual determinations).

We review the district court’s findings of fact for clear error and its conclusions of law or mixed questions of fact and law de novo. Harding, 300 F.3d at 827.

B. Competency to Stand Trial

“It is well-settled that a defendant may not be tried unless he has ‘sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding—and ... a rational as well as factual understanding of the proceedings against him.’ ” Benefiel v. Davis, 357 F.3d 655, 659 (7th Cir.2004) (quoting Dusky v. United States, 362 U.S. 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (I960)); see also Drope v. Missouri, 420 U.S. 162, 171-72, 95 S.Ct. 896, 43 L.Ed.2d 103 (1975).

Matheney knew he had killed his ex-wife, knew the nature of the proceedings against him, and knew the death penalty was a possible consequence of his actions. Furthermore, Matheney provided assistance to his trial counsel with facets of the defense. Matheney understood the judicial process, testified coherently about trial strategy under examination by a magistrate at the post-conviction hearing, took direction from counsel not to participate in mental health examinations unless authorized by them, restrained himself from any detrimental outbursts in court, and consulted with his attorneys concerning the factual considerations of his case. These findings of fact have overwhelming support in the record.

Matheney stubbornly insisted that his crimes should be excused because his ex-wife “deserved it” and that anyone who failed to see things this way must be in on the conspiracy against him. Matheney’s unreasonable conspiracy theory — understandably rejected by his counsel as poor trial strategy — does not inexorably lead to a legal conclusion of incompetency. “[Piersons of unquestioned competence have espoused ludicrous legal positions.” United States v. James, 328 F.3d 953, 955 (7th Cir.2003) (holding that the articulation of unusual legal beliefs does not imply incompetency). Matheney’s trial attorneys were certainly frustrated by Matheney’s recalcitrance, but this frustration is not enough to satisfy the legal definition of incompetency.

We note that Matheney’s expert, Dr. Morrison, the only medical expert to directly express a legal conclusion on Mathe-ney’s competency to stand trial, concluded that Matheney was incompetent.² That testimony is certainly not the only factor to be considered, however. See Benefiel, 357 F.3d at 660 (deferring to trial judge’s assessment that petitioner was competent despite lone expert testimony in petitioner’s favor). Dr. Morrison’s expert opinion has been given due consideration. But other evidence has also been considered, including the testimony of the other experts, the testimony of Matheney’s trial attorneys, the post-conviction testimony of Matheney himself, and the rest of the evidence in the record. See United States v. Collins, 949 F.2d 921, 926 (7th Cir.1991) (noting that the statements of defendant’s attorneys and the defendant himself are appropriate evidence for the trial judge to consider when evaluating competency).

We agree with the trial court, the Indiana Supreme Court, and the district court that Matheney was indeed competent to stand trial. Matheney was able to rationally consult with his attorneys about his crimes and the trial. He also had the ability to rationally understand the proceedings in which he was involved. He was able to assist in the preparation of his defense. Matheney’s attorneys testified that Matheney was able to follow their directions, suggest witnesses, and discuss the case. Matheney himself testified at his post-conviction proceeding that he understood the legal issues presented by his counsel and that he agreed with some of the issues and disagreed with others. Even Dr. Morrison’s deposition makes clear that Matheney was able to understand the role of his attorneys, that he understood the nature of the proceedings against him, and that he could factually describe the events of the day he killed his ex-wife.

Fundamentally, Matheney disagreed with his attorneys about the proper scope of his trial. He wanted to expose his perceived mistreatment at the hands of his ex-wife and a local prosecutor; he thought this would win jury sympathy and improve his chances of winning a favorable result (or, at least, a less unfavorable result, i.e., life in prison). His lawyers dismissed this strategy as irrelevant and pursued a defense of insanity (Matheney disagreed with this assessment of his mental well-being). His lawyers also wished to investigate and present significant evidence about Matheney’s childhood and background. Matheney considered this information to be irrelevant to the case. This sort of disagreement between lawyers and a client does not amount to legal incompetency. The Indiana courts, in retrospectively deeming Matheney to have been competent at his trial, did not unreasonably apply established Supreme Court precedent.

C. Ineffective Assistance of Counsel

As noted above, because the state court in Matheney II found trial counsel to be effective in representing Matheney, we give this determination the deference due to it under 28 U.S.C. § 2254(d). See United States v. Pierson, 267 F.3d 544, 557 (7th Cir.2001) (noting that the AEDPA provides for clear error review of state court Strickland adjudications because of the inherent “element of deference to counsel’s choices in conducting the litigation” in combination with the “layer of respect” added by 28 U.S.C. § 2254(d)(1)).

In order to show ineffective assistance, Matheney must show both deficient performance by his trial attorneys and prejudice. Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984). To show prejudice, Matheney must demonstrate a “reasonable probability that ... the result of the proceeding would have been different” had his trial counsel raised the competency issue. Strickland, 466 U.S. at 694, 104 S.Ct. 2052.

Because we agree with the state courts’ finding that Matheney was competent to stand trial, it follows that the state courts did not err in concluding that Matheney’s trial attorneys provided effective assistance. The post-conviction trial court and the Indiana Supreme Court did not unreasonably apply Strickland, or unreasonably determine the facts surrounding Matheney’s representation before his original trial. Thus, even if we were to assume that the trial attorneys’ performance was deficient in not demanding a contemporaneous competency examination and hearing, Matheney’s ineffective assistance claim would fail on the prejudice prong.

III. Conclusion

For the foregoing reasons, the district court’s denial of Matheney’s petition for habeas corpus relief under § 2254 is Affirmed.

1 . The post-conviction trial court also found Matheney to be competent to participate in the post-conviction proceedings: "while the petitioner’s character has certainly posed a formidable challenge to his attorneys and made a difficult job even more difficult, by his testimony, we do not find that there is sufficient evidence from which this Court can conclude that he has been unable to assist in the preparation of the presentation of the issues on his petition for post-conviction relief." (S.R. Vol. 21 at 1361.) The Indiana Supreme Court upheld this determination. Matheney II, 688 N.E.2d at 893.

2 . Other experts have testified as to Mathe-ney’s competency at other stages of his life. Dr. Berkson, one of the state-appointed mental health experts who evaluated Matheney's sanity at his original trial, testified that "he had examined Matheney two years [before the murder trial] in relation to a previous criminal matter and had found Matheney competent at that time.” Matheney II, 688 N.E.2d at 899. On the other hand, Dr. Smalldon, Matheney's expert witness at the post-conviction proceedings, testified that Matheney was legally incompetent at the time of the post-conviction proceedings.