FOR PUBLICATION
ATTORNEY FOR APPELLANT: ATTORNEYS FOR APPELLEE:
DWIGHT DAVID LITTLE, PRO SE STEVE CARTER
Michigan City, Indiana Attorney General of Indiana
NICOLE M. SCHUSTER
Deputy Attorney General
Indianapolis, Indiana
IN THE
COURT OF APPEALS OF INDIANA
DWIGHT DAVID LITTLE, )
)
Appellant-Defendant, )
)
vs. ) No. 45A03-0405-PC-214
)
STATE OF INDIANA, )
)
Appellee-Plaintiff. )
APPEAL FROM THE LAKE COUNTY SUPERIOR COURT
The Honorable Salvador Vasquez, Judge
The Honorable Kathleen A. Sullivan, Magistrate
Cause No. 45G01-0211-PC-10
December 21, 2004
OPINION - FOR PUBLICATION
RILEY, Judge
STATEMENT OF THE CASE
Defendant-Appellant, Dwight D. Little (Little), appeals the post-conviction courts denial of his Amended
Petition for Post-Conviction Relief.
We affirm.
ISSUE
Little raises three issues on appeal, which we consolidate and restate as the
following issue: whether Little received ineffective assistance of trial and appellate counsel.
FACTS AND PROCEDURAL HISTORY
On direct review, this court set forth the following facts in Little v.
State, 694 N.E.2d 762 (Ind. Ct. App. 1998):
[I]n the early morning hours of October 2, 1994, the Gary Police Department
received a 911 call reporting that a man had been shot. Officer
Roscoe Fleming arrived two minutes after the call was placed and approached the
residence in question. He heard a commotion inside and requested that he
be allowed to enter, but his initial requests were denied. When he
finally gained entry, he observed a man, later identified as Lee Holmes, lying
dead on the floor. Holmes had suffered multiple gunshot wounds. Officer
Fleming found four other people in the apartment, including William Sanders, his son
Terrence Sanders, Terrences wife Patricia Sanders, and Little. Officer Fleming questioned the
four as to what had occurred and they offered no information. The
officer handcuffed Terrence, led him outside, and asked again what had occurred.
This time, Terrence responded that Little had killed Holmes. William and Patricia
then corroborated Terrences assertion that Little had killed Holmes. Little was arrested
and charged with Holmess murder.
On October 3, the day after Littles arrest for the murder of Holmes,
the body of Littles girlfriend, LaShawn Drearr, was found in a storage container
in the basement of Littles fathers house in Chicago, Illinois. She had
been shot thirteen times. Chicago police interviewed Littles father and learned that
there was a criminal charge of attempted murder pending against Little in Chicago,
stemming from an incident in which Little allegedly fired gunshots at Drearrs residence.
Littles father informed police that Little was angry with Drearr because she
had tipped police off that Little was carrying weapons, thus leading to his
arrest, and because she had agreed to testify against Little. Detectives Wojcik
and McMurray of the Chicago Police Department and Illinois Assistant States Attorney Maria
Kuriakos learned that Little was being held in Indiana in the Lake County
Jail in connection with the Holmes murder.
The next day, October 4, Kuriakos and Detectives Wojcik and McMurray traveled to
the Lake County Jail to question Little about Drearrs murder. . . .
The three met with Little in an interview room at the jail.
They identified themselves and informed Little that they were investigating Drearrs death.
Kuriakos advised Little of his Miranda rights and asked if he would be
willing to talk with her concerning Drearrs death. Little agreed. Little
claimed that Holmes had shot Drearr to death in the home of Littles
father, while Little was there. Little then stated that Holmes left after
disposing of the body. According to Wojcik,
[Little] stated he was at the house for awhile and he was in
shock, and he just realized what [Holmes] had done, and at that point
he went and he got his .38. He said he drove to
Gary, Indiana, to [Holmess] residence, saw [Holmes] sitting in a chair, and his
exact words were, I walked up and I shot him. He
said after he shot him he got into a struggle with Terry, and
that Terry held him at the residence until the police responded and arrested
him.
Id. at 764-65.
On October 3, 1994, the State filed an information against Little, charging him
with murder, a felony, Ind. Code § 35-42-1-1. On February 16, 1995,
Littles trial counsel, George C. Howard (Howard), who is licensed to practice law
in Illinois but not in Indiana, filed an appearance. On April 5,
1995, the trial court ordered Howard to retain local counsel. On August
7, 1995, an attorney who is licensed to practice law in Indiana filed
an appearance as local counsel. Howard was then suspended from the practice
of law in Illinois from September 29, 1995, until February 28, 1996.
On February 23, 1996, while he was suspended, Howard represented Little at a
pre-trial hearing. On October 28, 1996, Littles jury trial was held; Howard
acted as Littles trial counsel without local counsel being present. Immediately following
the conclusion of the trial on November 4, 1996, the jury returned a
verdict of guilty of murder. Little then appealed to this court, which
affirmed his murder conviction in the above-cited opinion.
On November 26, 2002, Little filed a Petition for Post-Conviction Relief. On
June 26, 2003, Little filed an Amended Petition for Post-Conviction Relief. On
August 26, 2003, the post-conviction court held a hearing on Littles amended petition.
Thereafter, on March 11, 2004, the post-conviction court issued Findings of Fact
and Conclusions of Law, denying Littles request for relief.
Little now appeals. Additional facts will be provided as necessary.
DISCUSSION AND DECISION
I. Post-Conviction Relief Standard of Review
This is an appeal from the denial of post-conviction relief. The petitioner
in a post-conviction proceeding bears the burden of establishing grounds for relief by
a preponderance of the evidence. Ind. Post-Conviction Rule 1(5); Fisher v. State,
810 N.E.2d 674, 679 (Ind. 2004). When appealing from the denial of
post-conviction relief, the petitioner stands in the position of one appealing from a
negative judgment. Fisher, 810 N.E.2d at 679. On review, we will
not reverse the judgment unless the evidence as a whole unerringly and unmistakably
leads to a conclusion opposite that reached by the post-conviction court. Id.
Further, the post-conviction court in this case entered findings of fact and conclusions
of law in accordance with Indiana Post-Conviction Rule 1(6). A post-conviction courts
findings and judgment will be reversed only upon a showing of clear errorthat
which leaves us with a definite and firm conviction that a mistake has
been made. Id. (quoting Ben-Yisrayl v. State, 729 N.E.2d 102, 106 (Ind.
2000), rehg denied). In this review, findings of fact are accepted unless
clearly erroneous, but no deference is accorded conclusions of law. Id.
The post-conviction court is the sole judge of the weight of the evidence
and the credibility of witnesses. Id.
II. Ineffective Assistance of Counsel
Little argues that he was denied the effective assistance of trial and appellate
counsel in violation of his right to effective assistance of counsel under the
Sixth Amendment to the United States Constitution and article I, § 13 of
the Indiana Constitution. The standard by which we review claims of ineffective
assistance of counsel is well established. In order to prevail on a
claim of this nature, a defendant must satisfy a two-pronged test, showing that:
(1) his counsels performance fell below an objective standard of reasonableness based
on prevailing professional norms; and (2) there is a reasonable probability that, but
for counsels errors, the result of the proceeding would have been different.
Blanchard v. State, 802 N.E.2d 14, 34 (Ind. Ct. App. 2004) (citing Strickland
v. Washington, 466 U.S. 668, 690, 694 (1984), rehg denied).
Counsels performance is presumed effective, however, and a defendant must offer strong and
convincing evidence to overcome this presumption. Id. Moreover, we do not
need to determine whether counsels performance was deficient before examining the prejudice suffered
by the defendant as a result of the alleged deficiencies. Strickland, 466
U.S. at 697. To satisfy a showing of prejudice, Little must demonstrate
that there is a reasonable probability that, but for counsels errors, the result
of the proceeding would have been different. Blanchard, 802 N.E.2d at 34.
A. Ineffective Assistance of Trial Counsel
Little argues first that he received ineffective assistance of trial counsel. Specifically, Little
urges us to find that Howards conduct constitutes ineffective assistance of counsel per
se because Howard failed to comply with Indiana Admission and Discipline Rules 3
and 23(26), which mandate, inter alia, (1) that non-local attorneys petition the trial
court for permission to practice pro hac vice, which involves retaining local counsel,
and (2) that suspended attorneys notify the court of their suspension.See footnote Little
also asserts that he received ineffective assistance of counsel because Howard failed to
challenge the jury instruction on accessory liability. We consider each assertion in
turn.
Admission and Discipline Rule 3
Little asserts that he received ineffective assistance of trial counsel per se because
Howard failed to comply with Indiana Admission and Discipline Rule 3 (Rule 3).
In 1995-96, when Howard was representing Little, Rule 3 provided that in
the trial courts sole discretion, an attorney not licensed in Indiana could appear
in a particular proceeding for a temporary period, i.e., pro hac vice, only
if said attorney appears with local Indiana counsel after petitioning the trial court
for the courtesy and disclosing in said petition all pending causes in Indiana
in which said attorney has been permitted to appear.
See footnote
Butler v. State,
668 N.E.2d 266, 268 (Ind. Ct. App. 1996) (quoting former Rule 3).
Further, local Indiana counsel shall sign all briefs, papers and pleadings in such
cause and shall be jointly responsible therefor. Id. (quoting former Rule
3). Thus, absent leave of the court, an attorney not licensed to
practice law in Indiana could neither enter an appearance on behalf of a
client nor file any briefs, papers, or pleadings without the aid of local
counsel. Id.
Here, Howard clearly failed to comply with the former Rule 3. The
record shows that Howard filed his appearance on February 16, 1995. During
a hearing on April 5, 1995, at which Little was present, the trial
court ordered Howard to retain local counsel. On May 1, 1995, the
trial court again ordered Howard to retain local counsel. On August 7,
1995, local counsel filed an appearance. At Littles post-conviction hearing, however, local
counsel testified that the extent of her participation in Littles case was, at
most, to sign a few pleadings.
Furthermore, on February 23, 1996, while he was suspended from the Illinois bar,
Howard represented Little at a pre-trial hearing. On August 12, 1996, the
trial court ordered Howard to file a petition in compliance with Rule 3,
listing all cases in Indiana in which he had been permitted to appear.
At a hearing on September 26, 1996, at which Little was present,
Howard was again ordered to comply with Rule 3. On October 11,
1996, Howard filed a pleading stating that Littles was the only Indiana case
in which he had filed an appearance. Finally, on October 28, 1996,
Howard served as counsel at Littles trial, without local counsel present.
In Cole v. United States, 162 F.3d 957 (7th Cir. 1998), the Seventh
Circuit considered whether representation by an attorney not admitted to the local bar
should be considered a per se violation of the Sixth Amendment, i.e., a
violation that automatically voids a conviction, without further inquiry into counsels actual competence
or actual prejudice to the defendant. Id. at 958. Distinguishing between
non-lawyers and non-local lawyers, the Seventh Circuit reasoned as follows:
The right to the representation of counsel implies some minimum standard of competence,
but the key to adequate representation is not technical license to practice in
the jurisdiction involved, but a credential from some forum demonstrating the specialized knowledge
of a lawyer. . . . Thus, whether a lawyer has been admitted
to practice in the local jurisdiction is not of constitutional dimension.
Id. (quoting United States v. Maria-Martinez, 143 F.3d 914, 917 (5th Cir. 1998)).
Because the defendant in Cole had been represented by a non-local lawyer,
rather than a non-lawyer, the Seventh Circuit declined to apply a per se
ineffectiveness rule. See id. The Cole court wrote further,
As a general matter, only a few circumstances give rise to a per
se violation of the Sixth Amendment right to counsel: no counsel present
at all, or counsel not present at critical stages; complete failure to cross-examine
or subject the opposing case to the adversarial process; an actual conflict of
interest; and failure to file a requested appeal. The Supreme Court has
described these as circumstances that are so likely to prejudice the accused that
the cost of litigating their effect in a particular case is unjustified.
Id. (quoting United States v. Cronic, 466 U.S. 648, 658 (1984)).
In the instant case, Littles trial counsel had been admitted to practice law
in Illinois and thus had a credential from some forum demonstrating the specialized
knowledge of a lawyer. See id. Accordingly, we adopt the reasoning
of the Seventh Circuit and find that Howards failure to comply with Rule
3 did not amount to a per se violation of Littles Sixth Amendment
right to counsel.
Little also claims, however, that his state constitutional right to effective assistance of
counsel was violated by Howards lack of authority to practice law in Indiana.
In Butler v. State, 668 N.E.2d 266, 267-68 (Ind. Ct. App. 1996),
this court found that when a defendant is unaware at the time of
trial that his trial counsel is neither licensed to practice law in Indiana
nor admitted pro hac vice pursuant to Rule 3, this court will presume
that the defendant suffered prejudice and hold as a matter of law that
the conduct of counsel in question was ineffective assistance of counsel per se.
The absence of such license or authority [to practice law in Indiana]
strips away the presumption of competence, and the defendant need not show prejudice.
Id. at 269. In Butler, however, the State did not dispute
the defendants contention that he did not know that his trial counsel was
not licensed to practice law in Indiana. Id. at 268 n.1.
Thus, the Butler court stated:
A different case would be presented if there was evidence of collusion between
the defendant and his counsel in which the defendant was aware of his
counsels unauthorized status and yet proceeded to trial with that knowledge. Such
action would be invited error and would, in effect, result in the waiver
of a claim of ineffective assistance on those grounds.
Id. at 269 n.4.
Little now contends that he did not know that Howard was not licensed
to practice in Indiana. But at the post-conviction hearing, Howard testified that
he informed Little the first time [he] met him that he was not
licensed to practice in Indiana. (Transcript p. 51). As stated in
the post-conviction courts conclusions,
Standing alone, the court might not be so quick to believe Mr. Howards
testimony over [Littles]. However, the courts orders indicate that the matter was
discussed at numerous hearings. . . . and [Little] was present at those
hearings. Therefore, the court does believe [Little] knew that his attorney was
not licensed in Indiana.
(Appellants App. p. 69). Because the post-conviction court is the sole judge
of the weight of the evidence and the credibility of witnesses, we concur
with its assessment of these facts. See Fisher, 810 N.E.2d at 879.
We find that for Little to have proceeded to trial with knowledge of
Howards unauthorized status was invited error; therefore, Little cannot now assert ineffective assistance
of counsel on the ground that Howard was not authorized to practice law
in Indiana. See Butler at 269 n.4. In sum, we find
that Howard was not ineffective per se, and we also find that Little
waived the claim that he received ineffective assistance of counsel in violation of
article I, § 13, because Little proceeded to trial with knowledge that Howard
had failed to comply with Rule 3 and was, therefore, unauthorized to practice
law in Indiana.
See footnote
Howards Suspension
Next, Little asserts that he received ineffective assistance of counsel because
Howard represented Little at a pre-trial hearing while suspended from the Illinois bar
and failed to notify the trial court of his suspension pursuant to Rule
23(26).
See footnote We fail to see how Howards failure to notify the court
of his suspension from the Illinois bar is relevant to Littles ineffective assistance
of counsel claim; however, the fact that Howard represented Little while he was
suspended merits consideration.
Little cites no authority and puts forth no substantive evidence in support of
the contention that Howards suspension from the Illinois bar amounts to ineffective assistance
of counsel. Instead, Little urges us to find that Howards representation of
him at a pre-trial hearing while Howard was suspended from the Illinois bar
amounts to a
per se violation of Littles right to counsel under the
Sixth Amendment and article I, § 13. Again, we disagree.
As to the Sixth Amendment, the Seventh Circuit has explicitly rejected the contention
that mere deficiencies in an attorneys bar membership give rise to a per
se violation of the right to counsel under the Sixth Amendment. For
instance, in United States v. Williams, 934 F.2d 847 (7th Cir. 1991), the
Seventh Circuit considered whether there was a per se violation when trial counsels
license was suspended for ninety days for professional misconduct pursuant to a disciplinary
decision rendered during the defendants trial. See id. at 851. The
Williams court found that the trial counsel was a member of both the
state and federal bar throughout the duration of his representation of the defendant
at trial, and ultimately, the Seventh Circuit opted not to create a per
se rule for these facts, requiring instead a showing of actual errors and
omissions by counsel that prejudiced the defense. Id. We likewise conclude
that the mere fact that Howard was suspended from the Illinois bar during
a pre-trial hearing does not give rise to a per se violation of
Littles Sixth Amendment right to counsel.
As to Littles state constitutional claim, there is no authority in Indiana for
the proposition that representation by an attorney suspended in another jurisdiction amounts to
ineffective assistance of counsel per se, and Little presents no cogent argument as
to why these facts should constitute ineffectiveness per se. Having failed to
persuade us that this court should presume prejudice and apply a per se
rule, Little then fails to point to any specific acts or omissions to
persuade us that Howards performance fell below an objective standard of reasonableness or
that Little suffered prejudice as a result of Howards performance during the pre-trial
hearing. Thus, Little has wholly failed to satisfy either prong of the
Strickland test. We conclude that Little did not receive ineffective assistance of
counsel simply because Howard was suspended. See Strickland, 466 N.E.2d at 690,
694.
Jury Instruction
Last, Little asserts that Howard was ineffective for failing to challenge the trial
courts jury instruction on accomplice liability. Specifically, Little contends that the jury
instruction set forth an incorrect statement of law, relying in support of this
contention on Walker v. State, 779 N.E.2d 1158 (Ind. Ct. App. 2002), trans.
denied. We disagree.
The accomplice liability jury instruction at issue in this case reads as follows:
It is a fundamental principle of law that where two or more persons
engage in the commission of an unlawful act, each person is criminally responsible
for the actions of each other person which were a probable and natural
consequence of their common plan, even though not intended as part of the
original plan. Under these circumstances, it is not essential that participation of
any one person to each element of the crime be established.
Under Indiana law, a person who knowingly or intentionally aids, induces, or causes
another person to commit an offense commits that offense, even if the other
person 1) has not been prosecuted for the offense; 2) has not been
convicted of the offense; or 3) has been acquitted of the offense.
To aid under the law is to knowingly aid, support, help or assist
in the commission of a crime. Mere presence at the scene of
the crime and knowledge that a crime is being committed are not sufficient
to allow an inference of participation. It is being present at the
time and place and knowingly doing some act to render aid to the
actual perpetrator of the crime.
The presence of a person at the scene of the commission of a
crime and companionship with another person engaged in the commission of the crime
and a course of conduct before and after the offense are circumstances which
may be considered in determining whether such person aided and abetted the commission
of such crime.
(Record of Proceedings p. 97).
The jury instruction at issue in this case is essentially identical to the
jury instruction analyzed in Walker. See Walker, 779 N.E.2d at 1159-60.
In Walker, we reversed the defendants convictions after finding that the accomplice liability
jury instruction created a mandatory presumption violating the defendants due process rights under
the Fourteenth Amendment to the United States Constitution. See id. at 1160.
Subsequent to the Walker decision, however, our supreme court specifically disapproved of
that cases holding in McCorker v. State, 797 N.E.2d 257, 264-65 (Ind. 2003),
finding that the jury instruction at issue in Walker did not erroneously shift
the burden of proof from the State on an essential element of the
charged offense.
See footnote Thus, the jury instruction of which Little complains was and
still is a correct statement of the law, albeit one inartfully worded in
several respects.
McCorker, 797 N.E.2d at 259.
In addition to being overruled by McCorker, Walker was also decided approximately six
years subsequent to the submission of the questioned instruction in Littles case (and
four years after his direct appeal was decided). It is well settled
that an attorney cannot be found ineffective for failing to anticipate changes in
the law. See Gann v. State, 550 N.E.2d 73, 75 (Ind. 1990)
(We cannot say that the original trial counsel was incompetent because he did
not make an objection to an instruction which had not yet been held
to be reversible error.); McChristion v. State, 511 N.E.2d 297, 301-02 (Ind. 1987)
(An attorney is not required to prophesy future court rulings and act in
accordance with them.). The cases Little cites in his reply brief in
support of his argument that there was other case law in existence establishing
the problematic nature of this jury instruction are easily distinguishable insofar as they
all deal with jury instructions giving rise to unconstitutional mandatory presumptions. See,
e.g., Francis v. Franklin, 471 U.S. 307 (1985); Sandstrom v. Montana, 442 U.S.
510 (1979); Reid v. State, 529 N.E.2d 1309 (Ind. Ct. App. 1998).
To succeed on a claim that counsel was ineffective for failure to make
an objection, the defendant must demonstrate that if such objection had been made,
the trial court would have had no choice but to sustain it.
Sanchez v. State, 675 N.E.2d 306 (Ind. 1996). Here, because the instruction
as given was a correct statement of the law, an objection would not
have been sustained. See id. at 311. Thus, Little does not
demonstrate that trial counsel was ineffective in failing to object to the jury
instruction on accomplice liability.
B. Ineffective Assistance of Appellate Counsel
Finally, Little alleges that he received ineffective assistance of appellate counsel. Specifically,
Little argues that his appellate counsels performance was deficient because he failed to
argue on appeal that to give the accomplice liability jury instruction was fundamental
error. We review claims of ineffective assistance of appellate counsel using the
same standard applicable to claims of trial counsel ineffectiveness. Fisher v. State,
810 N.E.2d 674,
676-77 (Ind. 2004). The defendant must show that appellate
counsel was deficient in his performance and that the deficiency resulted in prejudice.
Id. at 677.
Ineffective assistance claims at the appellate level of proceedings generally fall into three
basic categories: (1) denial of access to an appeal; (2) waiver of
issues; and (3) failure to present issues well. Id. (citing Bieghler v.
State, 690 N.E.2d 188, 193-95 (Ind. 1997), rehg denied). We employ a
two-part test to evaluate waiver of issue claims: (1) whether the unraised
issues are significant and obvious from the face of the record, and (2)
whether the unraised issues are clearly stronger than the raised issues. Fisher,
810 N.E.2d at 677 (quoting Gray v. Greer, 800 F.2d 644, 646 (7th
Cir.1986)).
In the instant case, Little alleges that his appellate counsel was ineffective for
failing to raise the claim that giving the accomplice liability jury instruction was
fundamental error. At the post-conviction hearing, appellate counsel testified that, in retrospect
and in light of the Walker holding, he should have raised this claim.
(Tr. p. 9). We have already established, however, that the jury
instruction at issue was not impermissible; thus, we do not find that this
unraised issue is clearly stronger than the issues appellate counsel did raise on
appeal. See Fisher, 810 N.E.2d at 677. Consequently, Little has failed
to demonstrate that he received ineffective assistance of appellate counsel.
CONCLUSION
Based on the foregoing, we find that Little has failed to meet his
burden of showing that the evidence is without conflict and leads unmistakably to
a conclusion opposite that reached by the post-conviction court. Accordingly, we affirm
the post-conviction courts denial of Littles Amended Petition for Post-Conviction Relief.
Affirmed.
CRONE, J., and VAIDIK, J., concur.
Footnote:
Little also asserts that the trial court erred and abused its discretion
when it failed to ensure that trial counsel . . . complied with
the Admission and Discipline Rules. (Appellants Br. p. 20). The only
relevant authority Little cites in alleged support of this proposition, however, is the
following: It is not a trial courts duty to inquire whether one
who purports to have authority to practice before the court is actually authorized
to practice law in Indiana.
Pro-Lam, Inc. v. B & R Enters.,
651 N.E.2d 1153, 1158 (Ind. Ct. App. 1995). Accordingly, we need not
address further the merits of this claim.
Footnote:
We note that the Official Commentary to the current Rule 3 states
that the amendments apply only to requests for leave to appear
pro hac
vice filed on or after January 1, 1999. See Admis.Disc.R. 3.
Because Howards request would have been filed before January 1, 1999, we look
to and quote from the former Rule 3.
Footnote:
Whether Howards blatant disregard for the Indiana Rules of Admission and Discipline
subjects him to the disciplinary jurisdiction of our supreme court is, of course,
a separate matter.
Footnote:
Rule 23(26) reads as follows:
(c)
Duties of Suspended Attorneys. The suspended attorney shall, within twenty (20)
days from the date of the notice of the suspension, file with the
Court an affidavit showing that:
All clients being represented by the attorney in pending matters have been notified
. . . of the nature and duration of the suspension, and all
pending matters of clients requiring the attorneys services during the period of suspension
have been placed in the hands and care of an attorney admitted to
practice before the Supreme Court of Indiana with the consent of the client.
. . .
Admiss.Disc.R.23(26).
Footnote:
The court also criticizes the instruction, stating that there are problems with
[the] instruction [ ] and we counsel courts against using it in the
form given here.
McCorker, 797 N.E.2d at 264.