FOR PUBLICATION
ATTORNEYS FOR APPELLANT: ATTORNEYS FOR APPELLEE:
SUSAN K. CARPENTER STEVE CARTER
Public Defender of Indiana Attorney General of Indiana
BRIAN EISENMAN RICHARD C. WEBSTER
Deputy Public Defender Deputy Attorney General
Indianapolis, Indiana Indianapolis, Indiana
PERCY L. DAWSON, )
)
Appellant-Petitioner, )
)
vs. ) No. 49A02-0311-PC-1003
)
STATE OF INDIANA, )
)
Appellee-Respondent. )
OPINION - FOR PUBLICATION
We affirm.
The relevant facts follow. Dawson and Pauline Garland were living together, but
in April 1995, Dawson moved out. Garland would not let Dawson in
her house, but he repeatedly forced himself inside. On April 24, 1995,
Dawson came to Garlands house and knocked on her door. Garland told
Dawson to go away, but he pushed open the front door and entered
the house. Garland told Dawson to leave but said that since he
was there, he should get some of his things from her bedroom.
Upon entering the bedroom, Dawson opened a drawer, which contained some mail, a
switchblade, and a box cutter. Dawson began staring at Garland, who was
also in the bedroom, and he said, I know what it is, you
just want him here. Transcript at 225. Garland said, it doesnt
make a difference who stays with me because youre not. Id.
Then, Dawson cut the left side of Garlands neck with a box cutter,
paced around the bedroom, and said, I have to do the other side.
Id. at 226. Dawson left the bedroom and said, if I
cant have you, nobody will ever have you so Im going to kill
you and then Im going to kill myself. Id. Dawson came
back into the bedroom and, holding the box cutter, kneeled in front of
Garland and was about to cut his throat when Garland stopped him.
Dawson looked at Garlands neck, became hysterical, and went to get help.
Leaving the bedroom, Dawson said, [Garland] I love you and I know Ill
never see you again. Id. at 227.
Garland was taken to the hospital, treated, and released the next morning.
The cut Dawson inflicted on Garlands neck was just under her ear down
to the area under her chin and was about seven inches long and
one-half inch deep.
The State charged Dawson with attempted murder as a class A felony.
See footnote
The trial court gave the following instructionsSee footnote on the elements of attempted murder:
The crime of Murder is defined by statute as follows:
A person who knowingly or intentionally kills another human being, commits Murder, a
Felony.
A person attempts to commit a crime when, acting with the culpability required
for commission of the crime, he engages in conduct that constitutes a substantial
step toward commission of the crime.
To convict the defendant of Attempted Murder, the State must prove each of
the following elements:
the defendant
knowingly
with intent to kill
engaged in conduct, cutting at and against the person of [Garland], by means
of a deadly weapon, to wit: a box knife,
which was a substantial step toward the commission of the crime of Murder
which is to knowingly kill another human being.
If the State fails to prove each of these elements, you should find
the defendant not guilty.
If the State does prove each of these elements beyond a reasonable doubt,
you should find the defendant guilty of the crime of Attempt Murder, a
Class A Felony.
Appellants Appendix at 145-146. The numbers 1, 2, 4, and 5, are
crossed off on this written instruction. Instruction number four incorporated the language
of the charging information, which read as follows:
[Dawson], on or about April 24, 1995, did attempt to commit the crime
of murder, which is knowingly kill another human being, to-wit: [Garland], by engaging
in conduct, to-wit: by knowingly cutting at and against the person of [Garland]
by means of a deadly weapon, to-wit: a box cutter, which conduct constituted
a substantial step toward the commission of murder[.]
Id. at 149-150. The trial court also provided an instruction defining the
term knowingly, and that instruction read as follows:
A person engages in conduct knowingly if, when he engages in the conduct,
he is aware of the high probability that he is doing so.
A person engages in conduct intentionally if, when he engages in the conduct,
it is his conscious objective to do so.
You are instructed that knowledge, an essential element to be provide herein, may
be inferred from the facts or circumstances as shown by the evidence.
Id. at 163. During the post-conviction proceedings, Dawson and the State disagreed
as to whether the trial court gave instruction 16E on specific intent, which
read as follows:
To convict a defendant of attempted murder, the jury must find that the
defendant acted with the specific intent to kill when he took the substantial
step towards committing the crime.
A jury may infer intent to kill from the deliberate act of using
a deadly weapon against another in a manner likely to cause death or
serious injury.
Id. at 143. A jury found Dawson guilty as charged, and the
trial court sentenced him to twenty-five years in the Indiana Department of Correction,
with five years suspended.
On March 19, 1997, Dawson filed a direct appeal, wherein he argued that:
(1) the special judge lacked jurisdiction; (2) his trial counsel was ineffective for
not objecting to the special judges lack of jurisdiction and for not informing
Dawson about the appointment of a special judge; and (3) Dawson was prejudiced
by the admission of an exhibit over an objection. On appeal, we
affirmed Dawsons conviction. Dawson v. State, No. 49A04-9608-CR-328, slip. op. at 2
(Ind. Ct. App. March 31, 1998).
Dawson filed a pro se petition for post-conviction relief, which was later amended
by counsel. In Dawsons amended petition for post-conviction relief, Dawson argued that:
(1) the trial court erroneously instructed the jury on the elements of attempted
murder; (2) he received the ineffective assistance of trial counsel; and (3) he
received the ineffective assistance of appellate counsel. After a hearing, the post-conviction
court issued an order denying Dawsons petition for post-conviction relief. With regard
to whether the trial court erroneously instructed the jury on the elements of
attempted murder, the post-conviction court concluded that:
With the appropriate standards of review in mind, the Court first finds that
[Dawson] is not entitled to the review of his claim that the Court
incorrectly instructed the jury despite the fact that he calls such error fundamental.
In Sanders v. State, 765 N.E.2d 591 (Ind. 2002), the trial court
denied post-conviction relief finding neither fundamental error nor ineffective assistance of appellate counsel.
The Court of Appeals reviewed both claims and affirmed the denial of
post-conviction relief. Id. Our Supreme Court granted transfer only to explain:
It was wrong to review the fundamental error claim in a post-conviction proceeding.
As we explained in Canaan v. State, 683 N.E.2d 227, 235 n.
6 (Ind. 1997)[, rehg denied, cert. denied, 524 U.S. 906, 118 S. Ct.
2064 (1998)] the fundamental error exception to the contemporaneous objection rule applies to
direct appeals. In post-conviction proceedings, complaints that something went awry at trial
are generally cognizable only when they show deprivation of the right to effective
counsel or issues demonstrably unavailable at the time of trial or direct appeal.
[Id. at 592.] [Dawson] is entitled to no review on his first
claim because it was available but not raised on direct appeal. Furthermore,
[Dawson] also claims that appellate counsel was ineffective for failing to raise the
instruction issue on direct appeal, and the Court reviews that claim below.
Appellants Appendix at 125. With regard to whether Dawson received the ineffective
assistance of trial counsel, the post-conviction court concluded that:
The Court finds that [Dawson] is not entitled to review of his freestanding
claim that trial counsel was ineffective. As our Supreme Court explained, [M]ost
free-standing claims of error are not available in a postconviction proceeding because of
the doctrines of waiver and res judicata. [Timberlake v. State, 753 N.E.2d
591, 597-598 (Ind. 2001), rehg denied, cert. denied, 537 U.S. 839, 123 S.
Ct. 162 (2002)]. Like [Dawson], Timberlake raised a claim of ineffective assistance
of trial counsel during his direct appeal, and the issue was resolved against
Timberlake. Id. at 602. The court refused to revisit Timberlakes claim
of ineffective assistance of trial counsel because res judicata thus bars him from
relitigating this issue in postconviction proceedings. Id. Because [Dawson] raised allegations
of trial counsels ineffectiveness during his direct appeal, Dawson, Slip Op. at 2,
his freestanding claim of trial counsels ineffectiveness is barred by res judicata at
the post-conviction level. Ben-Yisrayl v. State, [738 N.E.2d 253 (Ind. 2001), rehg
denied, cert. denied, 534 U.S. 1164, 122 S. Ct. 1178 (2002)]. And
[Dawson] does not allege that appellate counsel was ineffective for raising trial counsels
performance on direct appeal. Amended Petition ¶9(c). Furthermore, at the time
that appellate counsel filed [Dawsons] brief, the law . . . required appellate
counsel to allege trial counsels ineffectiveness on direct appeal or risk waiving that
claim. See Landis v. State, 749 N.E.2d 1130, 1133 (Ind. 2001).
Thus, the Court declines to review [Dawsons] freestanding claim that trial counsel rendered
ineffective assistance.
Id. at 125-126. With regard to whether Dawson received the ineffective assistance
of appellate counsel, the post-conviction court concluded that:
[Dawson] is entitled to no relief on his claim that appellate counsel was
ineffective because he cannot establish prejudice. The standard for gauging appellate counsels
performance is the same as that for trial counsel and comes from Strickland
v. Washington, 466 U.S. 668 (1984). Allen v. State, 749 N.E.2d 1158,
1166-1167 (Ind. 2001)[, cert. denied, 535 U.S. 1061, 122 S. Ct. 1925 (2002)].
To prevail on an ineffective assistance of counsel claim, [Dawson] must show
both deficient performance and resulting prejudice. Id. The two prongs are
separate and independent inquiries, and if a court can dispose of an ineffectiveness
claim on the ground of lack of sufficient prejudice . . . that
course should be followed. Timberlake, 753 N.E.2d at 603 (citing Williams v.
State, 706 N.E.2d 149, 154 (Ind. 1999)[, rehg denied, cert. denied, 529 U.S.
1113, 120 S. Ct. 1970 (2000)] (quoting Strickland, 466 U.S. at 697).
[Dawson] alleges that appellate counsel rendered ineffective assistance by failing to challenge the
Courts jury instruction on attempted murder. The record does not show that
[Dawson] objected to the giving of any instructions, and counsel Lazinskys testimony indicates
that he would not have objected. Lazinsky reviewed the courts instruction enumerating
the elements of attempted murder [unnumbered instruction found at Exhibit A, p. 88]
and testified that: a) he thought the instruction was an accurate statement of
the law; and b) the fact that some of the elements were checked
off did not mean that the Court did not read the instruction in
its entirety. Thus, appellate counsel Roberts would have been required to raise
any instruction error as fundamental. For error to be fundamental, prejudice to
the defendant is required. Hopkins v. State, 782 N.E.2d 988, 991 (Ind.
2003) (citing Wrinkles v. State, 690 N.E.2d 1156, 1171 (Ind. 1997) (A claim
of fundamental error is not viable absent a showing of grave peril and
the possible effect on the jurys decision. . . . .), rehg denied,
cert. denied, 525 U.S. 861, 119 S. Ct. 148 (1998)).
The Court finds, however, that even if the instruction enumerating the elements of
attempted murder, Exhibit A at 88, is erroneous, such error was not fundamental
for two reasons. First, [Dawsons] jury was instructed that the State was
required to prove [Dawsons] specific intent to kill in the jury instruction designated
16E. Exhibit A at 86. Second, the evidence against [Dawson] was
such that his intent to kill was not seriously at issue. Thus,
even if appellate counsel had raised the claim as fundamental error, the result
of [Dawsons] direct appeal would have been the same because [Dawson] could not
have proven that he was placed in grave peril and/or the instruction affected
the jurys decision.
Initially, the Court notes that the Indiana jurisprudence on the attempted murder instruction
is still evolving. Just last year, the Indiana Court of Appeals issued
an opinion that reversed an attempted murder conviction on direct appeal because: 1)
the jury instruction included the word knowingly; and 2) defendant objected to the
instruction at trial. Edwards v. State, 773 N.E.2d 360, 363 (Ind. Ct.
App. 2002)[, trans. denied]. The court discussed this issue as follows:
Since [the issuance of Spradlin v. State, 569 N.E.2d 948 (Ind.
1991)], numerous opinions of both our Supreme Court and this court have held
that it is improper to include the term knowing in the mens rea
instruction, even when the instruction properly states that the specific intent to kill
is required. See Ramsey v. State, 723 N.E.2d 869 (Ind. 2000);
Clay v. State, 766 N.E.2d 33 (Ind. Ct. App. 2002); Booker v.
State, 741 N.E.2d 748 (Ind. Ct. App. 2000); State v. Foster, 733
N.E.2d 534 (Ind. Ct. App. 2000).
The Court certainly agrees with the Court of Appeals that since 2000, the
Spradlin rule has been expanded to exclude the use of the word knowingly
in an attempted murder instruction when the defendant objects.
Nevertheless, that was not the rule of law when [Dawson] was tried.
And [j]udicial scrutiny of counsels performance is highly deferential and should not be
exercised through the distortions of hindsight. Timberlake, 753 N.E.2d at 605 (quoting
Spranger v. State, 650 N.E.2d 1117, 1121 (Ind. 1995))[, rehg denied]. Furthermore
and as our Supreme Court stated in Ramsey, [W]hile the presence of the
knowingly language is highly problematic, this result does not comport with three of
our post Spradlin decisions: Yerden v. State, 682 N.E.2d 1283 (Ind. 1997); Greenlee
v. State, 655 N.E.2d 488 (Ind. 1995); and Price v. State, 591 N.E.2d
1027 (Ind. 1992). Ramsey, 723 N.E.2d at 873. Thus, despite the
fact that some of the instructions and the charging information include the [word]
knowing, such inclusions of that word in 1996 when appellate counsel filed his
brief would not have lead to reversal on the basis of fundamental error.
Id. at 126-128. On this issue, the post-conviction court also added that
the trial court had read instruction 16E and, any error that appears in
the elements instruction is cured by the instruction that informs the jury it
must find that [Dawson] acted with the specific intent to kill. Id.
at 129. The post-conviction court also concluded that on direct appeal, we
would have found no fundamental error because of the nature of the evidence
admitted at Dawsons trial, and it likened this matter to Hopkins v. State,
782 N.E.3d 988, 991 (Ind. 2003), where our supreme court rejected a claim
of fundamental error on an attempted murder instruction based on the States overwhelming
evidence.
Before discussing Dawsons allegations of error, we note the general standard under which
we review a post-conviction courts denial of a petition for post-conviction relief.
Post-conviction procedures do not afford petitioners an opportunity for a super appeal.
Matheney v. State, 688 N.E.2d 883, 890 (Ind. 1997), rehg denied, cert. denied,
525 U.S. 1148, 119 S. Ct. 1046 (1999). Rather, they create a
narrow remedy for subsequent collateral challenges to convictions. Id. Those collateral
challenges must be based upon grounds enumerated in the post-conviction rules. Id.;
see also Ind. Post Conviction Rule 1(1). Petitioners bear the burden of
establishing their grounds for relief by a preponderance of the evidence. Matheney,
688 N.E.2d at 890; see also P-C.R. 1(5). When petitioners appeal
from a denial of post-conviction relief, they appeal a negative judgment. Miller
v. State, 702 N.E.2d 1053, 1058 (Ind. 1998), rehg denied, cert. denied, 528
U.S. 1083, 120 S. Ct. 806 (2000). Therefore, on appeal, a petitioner
must show that the evidence, when taken as a whole, leads unerringly and
unmistakably to a conclusion opposite to that reached by the [post-conviction] court.
Matheney, 688 N.E.2d at 890-891. We will disturb the post-conviction courts decision
only if the evidence is without conflict and leads to but one conclusion
and the post-conviction court has reached the opposite conclusion. Emerson v. State,
695 N.E.2d 912, 915 (Ind. 1998), rehg denied.
the defendant
knowingly
with intent to kill
engaged in conduct, cutting at and against the person of [Garland], by means
of a deadly weapon, to wit: a box knife,
which was a substantial step toward the commission of the crime of Murder
which is to knowingly kill another human being.
If the State fails to prove each of these elements, you should find
the defendant not guilty.
If the State does prove each of these elements beyond a reasonable doubt,
you should find the defendant guilty of the crime of Attempt Murder, a
Class A Felony.
Appellants Appendix at 145-146. The numbers 1, 2, 4, and 5, are
crossed off on this written instruction. Dawson argues that the fact that
the number 3 was not crossed off suggests that the trial court did
not read the element with intent to kill to the jury, and therefore,
he argues that the trial court incorrectly instructed the jury to convict him
if they believed he acted knowingly. Dawson also suggests that the following
two instructions contributed to and compounded the fundamental error of the elements instruction
by inappropriately reinforcing the term knowingly:
[Dawson], on or about April 24, 1995, did attempt to commit the crime
of murder, which is knowingly kill another human being, to-wit: [Garland], by engaging
in conduct, to-wit: by knowingly cutting at and against the person of [Garland]
by means of a deadly weapon, to-wit: a box cutter, which conduct constituted
a substantial step toward the commission of murder[.]
Id. at 149-150.
A person engages in conduct knowingly if, when he engages in the conduct,
he is aware of the high probability that he is doing so.
A person engages in conduct intentionally if, when he engages in the conduct,
it is his conscious objective to do so.
You are instructed that knowledge, an essential element to be provide herein, may
be inferred from the facts or circumstances as shown by the evidence.
Id. at 163. During the post-conviction proceedings, Dawson and the State disagreed
as to whether the trial court gave instruction 16E on specific intent, which
read as follows:
To convict a defendant of attempted murder, the jury must find that the
defendant acted with the specific intent to kill when he took the substantial
step towards committing the crime.
A jury may infer intent to kill from the deliberate act of using
a deadly weapon against another in a manner likely to cause death or
serious injury.
Id. at 143. The post-conviction court found that the trial court gave
the instruction. On appeal, Dawson argues that the trial court did not
give the instruction and adds that, even if the trial court gave the
instruction, it was not sufficiently curative.
Because Dawsons trial counsel did not object to the attempted murder jury instruction
at trial, appellate counsel would have been required to raise this issue on
direct appeal as fundamental error. A claim of fundamental error is not
viable absent a showing of grave peril and the possible effect on the
jurys decision, and for error to be fundamental, prejudice to the defendant is
required. Hopkins v. State, 782 N.E.2d at 991 (quoting Wrinkles v. State,
690 N.E.2d 1156, 1171 (Ind. 1997)).
As the trial court recognized in its order, the state of the law
regarding attempted murder jury instructions continues to evolve, so in order to address
this issue, we must determine whether appellate counsels failure to raise this issue
on direct appeal would have been fundamental error in 1997, the year Dawson
filed his direct appeal. In Spradlin v. State, 569 N.E.2d 948, 951
(Ind. 1991), our supreme court held that it was reversible error for a
trial court to instruct a jury that a knowing mens rea was sufficient
to establish guilt of attempted murder. Our supreme court also established the
standard trial courts were required to use when instructing juries on attempted murder,
holding that:
[A]n instruction which purports to set forth the elements which must be proven
in order to convict of the crime of attempted murder must inform the
jury that the State must prove beyond a reasonable doubt that the defendant,
with intent to kill the victim, engaged in conduct which was a substantial
step toward such killing.
Id. at 950.
In Price v. State, 591 N.E.2d 1027, 1029 (Ind. 1992), our supreme court
considered a matter similar to the issue here and found no error.
There, the defendant argued that the trial court committed fundamental error by failing
to instruct the jury that in order to convict the defendant of attempted
murder, it had to find that the defendant acted with the specific intent
to kill. Our supreme court disagreed, noting that the jury had been
given the charging information, which read as follows:
[Defendant] did attempt to commit the crime of Murder by knowingly and intentionally
firing a gun in the direction of [the victim] with the intent to
kill the [victim], which conduct constituted a substantial step towards the commission of
the crime of Murder.
Id. (emphasis in original). Our supreme court held that the instructions did
not constitute fundamental error because, when taken as a whole, [they] succeeded in
informing the jury that intent to kill is an element of the crime
of attempted murder. Id. Since Spradlin, Indiana courts have affirmed convictions
where jury instructions were plainly in violation of Spradlin because the instructions as
a whole sufficiently suggested the requirement of intent to kill. See Greenlee
v. State, 655 N.E.2d 488, 491 (Ind. 1995) (holding that the jury instructions,
when read together, adequately informed the jury that it needed to conclude that
the defendant acted with the intent to kill before it could convict him
of attempted murder).
Here, we agree with post-conviction courts finding that the trial court read instruction
16E to the jury. Instruction 16E was included in the file, Dawson
had the burden of proving that the instruction was not given, and he
failed to meet that burden. Thus, although the trial court instructed the
jury on the lesser mens rea of knowingly, it also instructed the jury
that in order to find Dawson guilty of attempted murder, the State needed
to prove beyond a reasonable doubt that Dawson acted with the specific intent
to kill Garland. Appellants Appendix at 143. Because, as in Price,
the instructions given at Dawsons trial adequately informed the jury to convict Dawson
only if they found he had the specific intent to kill Garland, appellant
counsel could not have proven the prejudice necessary to establish a claim of
fundamental error. See e.g., Price, 591 N.E.2d at 1029. Thus, appellate
counsel did not fail to present a significant and obvious issue which cannot
be explained by any reasonable strategy, and appellate counsel was not ineffective for
failing to challenge the attempted murder jury instructions on direct appeal.
569 N.E.2d at 950. Here, the trial court instructed the jury that
in order to convict Dawson of attempted murder it had to find beyond
a reasonable doubt that Dawson, acting with the specific intent to kill Garland,
engaged in conduct that constituted a substantial step toward killing her. Even
though the jury instructions included reference to the term knowingly, instructions are to
be read together as a whole and not as single units, and a
single instruction need not contain all the law applicable to the case.
Hurt v. State, 570 N.E.2d 16, 18 (Ind. 1991). Here, the
instructions adequately informed the jury that it needed to conclude that Dawson acted
with intent to kill before it could convict him of attempted murder, and,
therefore, complied with the requirements of Spradlin. See, e.g., id.; Greenlee, 655
N.E.2d at 491.
Dawson has failed to prove that had trial counsel objected to the jury
instructions a proper objection would have been sustained, and he has failed to
prove that trial counsels failure to object resulted in sufficient prejudice such that
there exists a reasonable probability the outcome would have been different. As
previously mentioned, for this issue, Dawson needed to prove the two elements of
ineffective assistance of counsel separately as to both trial and appellate counsel.
Because Dawson did not prove that he was prejudiced by his trial counsels
failure to object to the attempted murder instructions, his argument that appellate counsel
was ineffective for not arguing on direct appeal that trial counsel was ineffective
for not objecting to the attempted murder instructions is without merit.