Opinion
WOOD v. ALLEN, COMMISSIONER, ALABAMA DEPARTMENT OF CORRECTIONS, et al.
No. 08-9156.
Argued November 4, 2009 â
Decided January 20, 2010
Sotomayor, J., delivered the opinion of the Court, in which Roberts, C. J., and Scalia, Thomas, Ginsburg, Breyer, and Auto, JJ., joined. Stevens, J., filed a dissenting opinion, in which Kennedy, J., joined, post, p. 305.
Kerry Alan Scanlon argued the cause for petitioner. With him on the briefs were David O. Bickart, Robert M. Grass, Karen R. Robinson, Dionne A. Fraser, and Brady W. Mills.
Corey L. Maze, Solicitor General of Alabama, argued the cause for respondents. With him on the brief were Troy King, Attorney General, and Henry M. Johnson, Assistant Attorney General.
Briefs of amici curias urging reversal were filed for the American Civil Liberties Union et al. by harry W. Yackle, Steven R. Shapiro, John Holdridge, and Brian W. Stull; and for the National Association of Criminal Defense Lawyers by Jonathan h. Marcus and Barbara E. Bergman.
Briefs of amici curiae urging affirmance were filed for the State of Indiana et al. by Gregory F. Zoeller, Attorney General of Indiana, Thomas M. Fisher, Solicitor General, and Stephen R. Creason, Section Chief, by Richard S. Gebelein, Chief Deputy Attorney General of Delaware, and by the Attorneys General for their respective States as follows: John W. Suthers of Colorado, Bill McCollum of Florida, Thurbert E. Baker of Georgia, Tom Miller of Iowa, Steve Six of Kansas, James D. âBuddyâ Caldwell of Louisiana, Martha Coakley of Massachusetts, Jim Hood of Mississippi, Steve Bullock of Montana, Gary K. King of New Mexico, Richard Cordray of Ohio, Henry D. McMaster of South Carolina, Robert E. Cooper, Jr., of Tennessee, Greg Abbott of Texas, Mark L. Shurtleff of Utah, William G. Mims of Virginia, and Bruce A. Salzburg of Wyoming; and for the Criminal Justiee Legal Foundation by Kent S. Scheidegger.
[MAJORITY â Justice Sotomayor]
Justice Sotomayor
delivered the opinion of the Court.
The Antiterrorism and Effective Death Penalty Act of 1996 contains two provisions governing federal-court review of state-court factual findings. Under 28 U. S. C. § 2254(d)(2), a federal court may not grant a state prisonerâs application for a writ of habeas corpus based on a claim already adjudicated on the merits in state court unless that adjudication âresulted in a decision that was based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding.â Under § 2254(e)(1), âa determination of a factual issue made by a State court shall be presumed to be correct,â and the petitioner âshall have the burden of rebutting the presumption of correctness by clear and convincing evidence.â In this case, petitioner, a capital defendant, challenges the key factual finding made by the Alabama state court that denied his application for postconviction relief: that his attorneysâ failure to pursue and present mitigating evidence of his borderline mental retardation was a strategic decision rather than a negligent omission. Petitioner argues that the state courtâs finding was unreasonable under § 2254(d)(2) and that, in denying his federal habeas petition, the Court of Appeals for the Eleventh Circuit erroneously conflated this standard with that of § 2254(e)(1), which petitioner contends is not applicable in cases, such as this one, not involving a separate federal habeas evidentiary hearing.
We granted certiorari to address the relationship between §§ 2254(d)(2) and (e)(1). We conclude, however, that the state courtâs factual determination was reasonable even under petitionerâs reading of § 2254(d)(2), and therefore we need not address that provisionâs relationship to § 2254(e)(1). Accordingly, we affirm the judgment of the Court of Appeals on that basis.
I
In 1993, petitioner Holly Wood broke into the home of his ex-girlfriend and shot her in the head and face as she lay in her bed. The victim was pronounced dead on arrival at the hospital. Charged with capital murder during a first-degree burglary, Wood was represented at trial in Alabama state court by three court-appointed attorneys: Cary Dozier and Frank Ralph, both of whom had significant trial experience, and Kenneth Trotter, who had been admitted to the bar for five months at the time he was appointed. The jury convicted Wood at the guilt phase of trial and recommended a death sentence at the penalty phase by a vote of 10 to 2. After a separate sentencing hearing, the trial judge imposed the death penalty. The Alabama Court of Criminal Appeals affirmed Woodâs conviction and sentence, Ex parte Wood, 715 So. 2d 812 (1996), as did the Alabama Supreme Court, Wood v. State, 715 So. 2d 819 (1998). This Court denied certiorari. Wood v. Alabama, 525 U. S. 1042 (1998).
Wood petitioned for state postconviction relief under Alabama Rule of Criminal Procedure 32, arguing, among other things, that he was mentally retarded and not eligible for the death penalty, and that his trial counsel were ineffective under Strickland v. Washington, 466 U. S. 668 (1984), because they failed to investigate and present evidence of his mental deficiencies during the penalty phase of trial. App. to Pet. for Cert. 198a-202a, 207a-210a, 213a-216a, 220a-221a, 225a. The Rule 32 court held two evidentiary hearings and denied Woodâs claims. On appeal, the Alabama Court of Criminal Appeals remanded for further consideration in light of Atkins v. Virginia, 536 U. S. 304 (2002), which held that the Eighth Amendment prohibits the execution of the mentally retarded. Wood v. State, 891 So. 2d 398 (2003).
On remand, the Rule 32 court conducted a third evidentiary hearing and . once again denied relief. As to Woodâs claim of mental retardation, the court found that, while the evidence suggested that he âprobably does exhibit significantly subaverage general intellectual functioning,â he had failed to show âthat he has significant or substantial deficits in his adaptive functioning.â App. to Pet. for Cert. 236a-237a.
The court also rejected Woodâs factually related claim of ineffective assistance of counsel, concluding that Wood had failed to establish that his counselâs performance was deficient or that any deficiency prejudiced his defense. Id., at 257a-275a. The court first made a factual finding that Woodâs counsel had made a strategic decision not to pursue evidence of his alleged mental retardation. The court observed that counsel had requested that a Dr. Karl Kirkland conduct a mental evaluation, had âthoroughly reviewed Dr. Kirklandâs report,â and had âdetermined that nothing in that report merited further investigation.â Id., at 264a, 271a. The court additionally found that counsel appeared to have made a strategic decision not to present to the jury the limited evidence of Woodâs mental deficiencies in their possession, because âcalling Dr. Kirkland to testify was not in Woodâs best interest.â Id., at 271a-272a. The court concluded that these strategic decisions were reasonable and thus that counsel had not performed deficiently. Ibid. The court further concluded that there was âno reasonable probabilityâ of a different outcome had the evidence developed in the Rule 32 hearings been presented to the jury or to the sentencing court. Id., at 273a. The Alabama Court of Criminal Appeals affirmed, Wood v. State, 891 So. 2d 398, 411 (2004), and the Alabama Supreme Court denied certiorari, App. 4.
Wood then filed a petition for federal habeas relief under §2254. The District Court rejected all of Woodâs claims save one: that counselâs failure to investigate and present mitigation evidence of his mental deficiencies during the penalty phase constituted ineffective assistance of counsel. 465 P. Supp. 2d 1211, 1239-1245 (MD Ala. 2006). According to the court, there was ânothing in the record to even remotely support a finding that counsel made a strategic decision not to let the jury at the penalty stage know about Woodâs mental condition.â Id., at 1242. Ralph and Dozier, the court noted, had placed the inexperienced Trotter in charge of the penalty phase. At the Rule 32 hearing, Trotter testified that he had seen the references to Woodâs intellectual functioning in the Kirkland report but did not recall considering whether to pursue that issue. Trotter further testified that he had unsuccessfully attempted to subpoena Woodâs school records and that he did not recall speaking to any of Woodâs teachers. Trotter had also written to an attorney at the Southern Poverty Law Center explaining that he was ââstressed out over this case and [didnât] have anyone with whom to discuss the case, including the other two attorneys.ââ Id., at 1241. Shortly before the penalty phase began, Trotter told the judge that he would request further psychological evaluation before the judgeâs sentencing hearing, even though the evaluation would come too late to be considered by the jury. Id., at 1241-1242. Based on this evidence, the District Court concluded that the state courtâs finding âthat a strategic decision was made not to investigate or introduce to the sentencing jury evidence of mental retardation [was] an unreasonable determination of the facts in light of the clear and convincing evidence presented in the record.â Ibid.
Having rejected the state courtâs factual determinations, the District Court held that counselâs performance was deficient and that counselâs deficient performance prejudiced Wood, concluding that the state courtâs holdings to the contrary constituted âan unreasonable application of federal law under Strickland.â Id., at 1245. The court granted the petition on this claim and ordered the State either to re-sentence Wood to fife without parole or to conduct a new sentencing hearing.
In a divided opinion, the Eleventh Circuit reversed the grant of habeas relief. 542 F. 3d 1281 (2008). The majority began by explaining the standard of review: âSection 2254(d) permits federal habeas relief only where the state courtsâ decisions were (1) âcontrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States,â or (2) âbased on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding.â â Id., at 1285 (quoting §§ 2254(d)(1)-(2)). A â âdetermination of a factual issue made by a State court shall be presumed to be correct,ââ the majority explained, and the petitioner ââshall have the burden of rebutting the presumption of correctness by clear and convincing evidence.ââ Ibid, (quoting § 2254(e)(1)). âThus,â the majority stated, the federal habeas courtâs â âreview of findings of fact by the state court is even more deferential than under a clearly erroneous standard of review.â â Ibid.
The majority then held that the Alabama courtâs rejection of Woodâs ineffeetive-assistance-of-counsel claim was neither an unreasonable application of clearly established law nor based on an unreasonable determination of the facts. With respect to the facts, the court concluded that the evidence presented in the Rule 32 hearings supported the state courtâs findings that counsel made a strategic decision not to present mental health evidence during the penalty phase. âAt a minimum,â the court noted, âWood has not presented evidence, much less clear and convincing evidence, that counsel did not make such decisions.â Id., at 1304, n. 23. The court also agreed with the state courtâs legal conclusion that counselâs strategic decision was reasonable. According to the court, the silent record created a presumption that counsel exercised sound professional judgment, supported by ample reasons, not to present the information they had obtained. These reasons included unfavorable information in Dr. Kirklandâs report, such as details about Woodâs 19 earlier arrests and his previous attempt to murder another ex-girlfriend, as well as Dr. Kirklandâs conclusion that, notwithstanding Woodâs mental deficiencies, Wood had a high level of adaptive functioning. Id., at 1304-1306. The court added that the investigation preceding counselâs decision was sufficient to permit them to make a reasoned decision, crediting the Rule 32 courtâs findings that, inter alia, counsel not only employed an investigator who sought mitigation evidence from family members but also themselves met with family members and sought guidance from capital defense organizations. Id., at 1307-1308. The court also accepted as not âobjectively unreasonableâ the state courtâs determination that Wood had failed to show prejudice from counselâs failure to present evidence of his mental deficiencies. Id., at 1309, 1314.
The dissent, implicitly considering the factual question whether counsel made a strategic decision as part and parcel of the legal question whether any strategic decision was reasonable, concluded that â[n]o such strategic decisions could possibly have been made in this case because counsel had failed to adequately investigate the available mitigating evidence.â Id., at 1316 (opinion of Barkett, J.). According to the dissent, âthe weight of the evidence in the record demonstrates that Trotter, an inexperienced and overwhelmed attorney,â unassisted by senior counsel, ârealized too lateââ only in time to present it to the sentencing judge, not to the penalty jury â âwhat any reasonably prepared attorney would have known: that evidence of Woodâs mental impairments could have served as mitigating evidence and deserved investigation so that it could properly be presented before sentencing.â Id., at 1320. The dissent also concluded that there was a reasonable probability of a different outcome at the penalty phase had the evidence been presented, because the jury could have concluded that Wood was less culpable as a result of his diminished abilities. Id., at 1322-1325. The dissent therefore concluded that the state courtâs application of Strickland to the facts of this case was unreasonable. 542 F. 3d, at 1326.
We granted certiorari to resolve two related questions raised by Woodâs petition. First, we granted review of a question that has divided the Courts of Appeals: whether, in order to satisfy § 2254(d)(2), a petitioner must establish only that the state-court factual determination on which the decision was based was âunreasonable,â or whether § 2254(e)(1) additionally requires a petitioner to rebut a presumption that the determination was correct with clear and convincing evidence. We also granted review of the question whether the state court reasonably determined that Woodâs counsel made a âstrategic decisionâ not to pursue or present evidence of his mental deficiencies. 556 U. S. 1234 (2009). Woodâs petition raised two additional questions on which we declined to grant certiorari. Ibid. Neither of these asked us to review whether the state courtâs resolution of Woodâs ineffective-assistance-of-counsel claim was âcontrary to, or involved an unreasonable application of, clearly established Federal lawâ under § 2254(d)(1) and Strickland.
II
A
Notwithstanding statements we have made about the relationship between §§ 2254(d)(2) and (e)(1) in cases that did not squarely present the issue, see Brief for Petitioner 37-38; Brief for Respondents 28-29, we have explicitly left open the question whether § 2254(e)(1) applies in every case presenting a challenge under § 2254(d)(2), see Rice v. Collins, 546 U. S. 333, 339 (2006). The parties and their amici have offered a variety of ways to read the relationship between these two provisions. Although we granted certiorari to resolve the question of how §§ 2254(d)(2) and (e)(1) fit together, we find once more that we need not reach this question, because our view of the reasonableness of the state courtâs factual determination in this case does not turn on any interpretive difference regarding the relationship between these provisions. For present purposes, we assume for the sake of argument that the factual determination at issue should be reviewed, as Wood urges, only under § 2254(d)(2) and not under § 2254(e)(1). We conclude that, under § 2254(d)(2), the state courtâs finding that Woodâs counsel made a strategic decision not to pursue or present evidence of Woodâs mental deficiencies was not an unreasonable determination of the facts in light of the evidence presented in the state-court proceedings. We therefore do not need to decide whether that determination should be reviewed under the arguably more deferential standard set out in § 2254(e)(1).
As we have observed in related contexts, â[t]he term âunreasonableâ is no doubt difficult to define.â Williams v. Taylor, 529 U. S. 362, 410 (2000). It suffices to say, however, that a state-court factual determination is not unreasonable merely because the federal habeas court would have reached a different conclusion in the first instance. Cf. id., at 411. In Rice, for example, in which we assumed, arguendo, that only § 2254(d)(2) and not § 2254(e)(1) applied, 546 U. S., at 339, we rejected the Ninth Circuitâs conclusion that a state-court factual determination was unreasonable. We noted that even if â[Reasonable minds reviewing the record might disagreeâ about the finding in question, âon habeas review that does not suffice to supersede the trial courtâs ... determination.â Id., at 341-342.
In this case, the evidence in the state-court record demonstrated that all of Woodâs counsel read the Kirkland report. App. 12,174,210,283. Trotter testified that Dozier told him that nothing in the report merited further investigation, a recollection that is supported by contemporaneous letters Trotter wrote to Dozier and Ralph noting that no independent psychological evaluations had been conducted because Dozier had said they would not be needed. Id., at 283, 343, 345. Trotter also told the sentencing judge that counsel did not intend to introduce the Kirkland report to the jury. Id., at 12. This evidence in the state-court record can fairly be read to support the Rule 32 courtâs factual determination that counselâs failure to pursue or present evidence of Woodâs mental deficiencies was not mere oversight or neglect but was instead the result of a deliberate decision to focus on other defenses.
Arguing that the state courtâs factual determination to this effect was unreasonable, Wood calls our attention to Dozierâs testimony during the Rule 32 proceedings that evidence of Woodâs mental health problems would have been presented during the penalty phase if counsel had been aware of it, id., at 169; that Dozier did not recall whether he had decided not to present evidence based on the Kirkland report, id., at 168, 171; and that Dozier and Ralph had designated the inexperienced Trotter to be in charge of the penalty phase proceedings, id., at 270-271. Trotter, in turn, testified that he did not recall considering Woodâs mental deficiencies. Id., at 288. Wood also observes that the Kirkland report was prepared for the guilt phase, not the penalty phase, and a strategic decision not to use the Kirkland report in the former does not necessarily carry over into the latter. Id., at 324. Wood notes that his counsel sought to obtain additional evidence about his mental health to use in mitigation after reviewing the Kirkland report, but they failed to pursue it, in part out of a belief that the sentencing judge would not grant a continuance to permit them to investigate. Id., at 285, 343-346. Finally, Wood emphasizes that his counsel must have thought that evidence of his mental deficiencies was important because they presented it to the judge at the final sentencing hearing. Id., at 88.
Most of the evidence Wood highlights, however, speaks not to whether counsel made a strategic decision, but rather to whether counselâs judgment was reasonable â a question we do not reach. See Part II-B, infra. As for any evidence that may plausibly be read as inconsistent with the finding that counsel made a strategic decision, we conclude that it does not suffice to demonstrate that the finding was unreasonable.
Reviewing all of the evidence, we agree with the State that even if it is debatable, it is not unreasonable to conclude that, after reviewing the Kirkland report, counsel made a strategic decision not to inquire further into the information contained in the report about Woodâs mental deficiencies and not to present to the jury such information as counsel already possessed about these deficiencies. Cf. Rice, 546 U. S., at 341-342. For that reason, we agree with the Court of Appeals that the District Court erred in holding to the contrary.
B
Wood also argues that the state-court decision involved an unreasonable application of Strickland under § 2254(d)(1) because counsel failed to make a reasonable investigation of Woodâs mental deficiencies before deciding not to pursue or present such evidence. Without a reasonable investigation, Wood contends, these decisions were an unreasonable exercise of professional judgment and constituted deficient performance under Strickland. We agree with the State, however, that this argument is not âfairly includedâ in the questions presented under this Courtâs Rule 14.1(a). Whether the state court reasonably determined that there was a strategic decision under § 2254(d)(2) is a different question from whether the strategic decision itself was a reasonable exercise of professional judgment under Strickland or whether the application of Strickland was reasonable under § 2254(d)(1). Cf. Rice, 546 U. S., at 342 (âThe question whether a state court errs in determining the facts is a different question from whether it errs in applying the lawâ). These latter two questions may be ârelated to the one petitione[r] presented, and perhaps complementary to the one petitione[r] presented,â but they are ânot fairly included therein.â Yee v. Escondido, 503 U. S. 519, 537 (1992) (internal quotation marks omitted).
It is true that Woodâs petition discussed the Eleventh Circuitâs misapplication of § 2254(d)(1) and Strickland. Pet. for Cert. 22-27. But âthe fact that [petitioner) discussed this issue in the text of [his] petition for certiorari does not bring it before us. Rule 14.1(a) requires that a subsidiary question be fairly included in the question presented for our review.â Izumi Seimitsu Kogyo Kabushiki Kaisha v. U. S. Philips Corp., 510 U. S. 27, 31, n. 5 (1993) (per curiam). We therefore do not address Woodâs argument that the state court unreasonably applied Strickland in rejecting his ineffective-assistance-of-counsel claim on the merits.
* * *
Because the resolution of this case does not turn on them, we leave for another day the questions of how and when § 2254(e)(1) applies in challenges to a state courtâs factual determinations under § 2254(d)(2). We hold simply that, even under petitionerâs reading of § 2254(d)(2), the state courtâs conclusion that Woodâs counsel made a strategic decision not to pursue or present evidence of his mental deficiencies was not an unreasonable determination of the facts. Accordingly, we affirm the judgment of the Court of Appeals for the Eleventh Circuit.
It is so ordered.
See, e.g., 542 F. 3d 1281, 1285, 1304, n. 23 (CA11 2008) (ease below); Taylor v. Maddox, 366 F. 3d 992, 999-1000 (CA9) (where a habeas petitioner challenges state-court factual findings âbased entirely on the state record,â the federal court reviews those findings for reasonableness only under § 2254(d)(2), but where a petitioner challenges such findings based in part on evidence that is extrinsic to the state-court record, 12254(e)(1) applies), cert, denied, 543 U. S. 1038 (2004); Lambert v. Blackwell, 387 F. 3d 210, 235 (CA3 2004) (â[Section] 2254(d)(2)âs reasonableness determination turns on a consideration of the totality of the âevidence presented in the state-court proceeding,â while § 2254(e)(1) contemplates a challenge to the state courtâs individual factual determinations, including a challenge based wholly or in part on evidence outside the state trial recordâ); Trussell v. Bowersox, 447 F. 3d 588, 591 (CA8) (federal habeas relief is available only âif the state court made 'an unreasonable determination of the facts in light of the evidence presented in the State court proceeding,â 28 U. S. C. § 2254(d)(2), which requires clear and convincing evidence that the state courtâs presumptively correct factual finding lacks evidentiary supportâ), cert, denied, 549 U. S. 1034 (2006); Ben-Yisrayl v. Buss, 540 F. 3d 542, 549 (CA7 2008) (12254(d)(2) can be satisfied by showing, under § 2254(e)(1), that a state-court decision ârests upon a determination of fact that lies against the clear weight of the evidenceâ because such a decision âis, by definition, a decision so inadequately supported by the record as to be arbitrary and therefore objectively unreasonableâ (internal quotation marks omitted)).
In Woodâs view, when a petitioner seeks relief based entirely on the state-court record, a federal court reviews the state courtâs findings for reasonableness under § 2254(d)(2). Section 2254(e)(1) comes into play, according to Wood, only when a petitioner challenges individual state-court factual findings based in part on evidence that is extrinsic to the state-court record. Brief for Petitioner 38-39. According to respondents, § 2254(e)(1) applies to any challenge to a state courtâs factual findings under § 2254(d)(2), including a challenge based solely on the state-court record. Brief for Respondents 35-37. Respondentsâ amici offer still further variations, although they all agree with respondents that § 2254(e)(1) applies in some fashion in every habeas case reviewing state-court factual findings. Brief for Criminal Justice Legal Foundation 5, 10-14; Brief for State of Indiana et al. 2, 12-18.
The dissent suggests that counsel could not have made a strategic decision not to pursue evidence of Woodâs mental deficiencies because there could be no reasonable justification for doing so. Post, at 307-309 (opinion of Stevens, J., joined by Kennedy, J.). This interpretation conflates the question whether a decision was strategic with the question whether a strategic decision was reasonable. Cf. post, at 306, n. 1. Without expressing a view on the ultimate reasonableness of the decision not to pursue this evidence further, we note that the Eleventh Circuit majority observed that the state court could reasonably have determined that counsel had strategic grounds for their decision. In particular, evidence about Woodâs mental deficiencies may have led to rebuttal testimony about the capabilities he demonstrated through his extensive criminal history, an extraordinarily limited amount of which was actually admitted at the penalty phase of the trial. Counselâs decision successfully thwarted the prosecutorâs efforts to admit evidence that Wood murdered his ex-girlfriend while on parole for an attempted murder of a different ex-girlfriend that was strikingly similar in execution to the subsequent successful murder. App. 23-24. Moreover, as the Eleventh Circuit majority noted, evidence of Woodâs mental deficiencies also could have undercut the defenseâs argument that he left school to support his family, suggesting instead that he left school because of educational difficulties. 542 F. 3d, at 1305-1306. Counselâs decision about which avenues to investigate can therefore plausibly be described as strategic rather than necessarily being the product of âhappenstance, inattention, or neglect,â post, at 307.
[DISSENT â Justice Stevens,]
Justice Stevens,
with whom Justice Kennedy joins, dissenting.
There is a world of difference between a decision not to introduce evidence at the guilt phase of a trial and a failure to investigate mitigating evidence that might be admissible at the penalty phase. Woodâs experienced counsel made a perfectly sensible decision not to introduce Dr. Kirklandâs report into evidence or to call him as a witness. That was a strategic decision based on their judgment that the evidence would do more harm than good. But it does not follow from this single strategic decision that counsel also made a strategic decision to forgo investigating powerful mitigating evidence of Woodâs mental deficits for the penalty phase. On the contrary, the only reasonable factual conclusion I can draw from this record is that counselâs decision to do so was the result of inattention and neglect. Because such a decision is the antithesis of a âstrategicâ choice, I would reverse the decision of the Court of Appeals.
Assuming that the Court is correct to decline to consider whether the state courtâs application of Strickland v. Washington, 466 U. S. 668 (1984), was reasonable, see ante, at 303-304, the question whether the decision itself was the product of a strategy is still before us. The Court may well be correct that the state court reasonably concluded that counsel made a decision not to pursue Dr. Kirklandâs report for either guilt or penalty phase purposes, ante, at 301-303, but to reject Woodâs claim the state court also had to reasonably conclude that such a decision was borne of strategy. And whether counselâs decision was the product of strategy is a question of fact for purposes of 28 U. S. C. § 2254(d)(2). Cf. Wiggins v. Smith, 539 U. S. 510, 526-527 (2003) (observing that âthe âstrategic decisionâ the state courts and respondents all invoke to justify counselâs limited pursuit of mitigating evidence resembles more a post hoc rationalization of counselâs conduct than an accurate description of their deliberations prior to sentencingâ); Carr v. Schofield, 364 F. 3d 1246, 1264 (CA11 2004) (identifying âwhether counselâs decisions were tactical or strategicâ as a question of fact (citing Horton v. Zant, 941 F. 2d 1449, 1462 (CA11 1991))); Berryman v. Morton, 100 F. 3d 1089, 1095 (CA3 1996) (same). In other words, the Court correctly concludes that the record reasonably supports a finding that counsel decided not to investigate Woodâs mental retardation further, but the Court fails to engage with the requisite second question: Does the record reasonably support finding that counselâs decision was a strategic one? The answer to this question is unequivocally no.
Before petitionerâs trial, his counsel learned that Wood had an âIQ in the borderline range of intellectual functioning,â App. 327, and was âfunctioning, at most,â in this borderline range, id., at 328. Wood was âreading on less than a 3rd grade level.â Id., at 327. His former special education teacher testified during posteonviction review that Wood was classified as âeducable mentally retardedâ by the local school system. Id., at 403. In short, Wood has the type of significant mental deficits that we recognize as âinherently mitigating,â Tennard v. Dretke, 542 U. S. 274, 287 (2004).
Despite the powerful mitigating value of this evidence, â[n]o evidence of Woodâs mental retardation was ever presented to the jury.â 542 F. 3d 1281, 1314 (CA11 2008) (Barkett, J., concurring in part and dissenting in part). Counsel was clearly aware that this evidence existed, id., at 1318, but chose not to investigate it beyond the conclusions outlined in Dr. Kirklandâs report, App. 283. In the Courtâs view, the record reasonably supports the state courtâs conclusion that âcounsel made a strategic decision not to inquire further intoâ Woodâs mental deficiencies, ante, at 303. Although I agree with the majority that the failure was the result of a âdecision,â albeit a hasty one, the Court regrettably fails to consider whether the decision was also âstrategicâ as a matter of fact.
A decision cannot be fairly characterized as âstrategicâ unless it is a conscious choice between two legitimate and rational alternatives. It must be borne of deliberation and not happenstance, inattention, or neglect. See Wiggins, 539 U. S., at 526 (concluding that counselâs âfailure to investigate thoroughly resulted from inattention, not reasoned strategic judgmentâ); Strickland, 466 U. S., at 690-691. Moreover, âa cursory investigationâ does not âautomatically justif [y] a tactical decision with respect to sentencing strategy.â Wiggins, 539 U. S., at 527. Although we afford deference to counselâs strategic decisions, Strickland, 466 U. S., at 690-691, for this deference to apply there must be some evidence that the decision was just that: strategic.
The lawyersâ duty to conduct a thorough investigation of possible mitigating evidence is well established by our cases, Porter v. McCollum, ante, at 39-40 (per curiam); Rompilla v. Beard, 545 U. S. 374, 387 (2005); Wiggins, 539 U. S., at 522-523; Williams v. Taylor, 529 U. S. 362, 396 (2000); Strickland, 466 U. S., at 688. These cases also make clear that counselâs unconsidered decision to fail to discharge that duty cannot be strategic. The only conceivable strategy that might support forgoing counselâs ethical obligations under these circumstances would be a reasoned conclusion that further investigation is futile and thus a waste of valuable time. Cf. id., at 691 (recognizing that counselâs decision to abandon an investigation is entitled to deference âwhen a defendant has given counsel reason to believe that pursuing certain investigations would be fruitless or even harmfulâ). There is no evidence in the record to suggest that Woodâs counsel reached such a conclusion. See 542 F. 3d, at 1321-1322 (Barkett, J., concurring in part and dissenting in part). On the contrary, the Court recognizes that Wood has pointed to substantial evidence that Trotter, the attorney who had primary responsibility for Woodâs penalty phase, believed that further investigation had value, ante, at 302. Despite the fact that Trotter had a meager five months of experience as a lawyer when he was appointed to represent Wood, App. 261, even he knew that further investigation into any mental or psychological deficits was in order.
In my view, any decision to abandon an investigation into the mitigating evidence signaled by Dr. Kirklandâs report was so obviously unreasonable that the decision itself is highly persuasive evidence that counsel did not have any strategy in mind when they did so. I share the view of my dissenting colleague below that the District Court correctly concluded that the failure to investigate was the product of inattention and neglect by attorneys preoccupied with other concerns and not the product of a deliberate choice between two permissible alternatives. For the state court to conclude otherwise was thus âan unreasonable determination of the facts in light of the evidence presented in the State court proceedingâ within the meaning of 28 U. S. C. § 2254(d)(2).
I therefore respectfully dissent.
The Court explains: âWhether the state court reasonably determined that there was a strategic decision under § 2254(d)(2) is a different question from whether the strategic decision itself was a reasonable exercise of professional judgment under Strickland or whether the application of Strickland was reasonable under § 2254(d)(1).â Ante, at 304. I agree with the majority that whether a particular strategic decision is reasonable or not is the Strickland question we would address were we reviewing Woodâs claim for habeas relief under § 2254(d)(1).
Indeed, the law in the Eleventh Circuit on this point is well settled: ââThe question of whether an attorneyâs actions were actually the product of a tactical or strategic decision is an issue of fact....ââ Fotopoulos v. Secretary, Dept. of Corrections, 516 F. 3d 1229, 1233 (CA11 2008) (quoting Provenzano v. Singletary, 148 F. 3d 1327, 1330 (CA11 1998)); see also Lamarca v. Secretary, Dept. of Corrections, 568 F. 3d 929, 938 (CA11 2009) (same). Thus, it is quite -understandable that Wood framed the questions presented in his petition for certiorari as arising under § 2254(d)(2).
Although Wood does not fall within the class of individuals we identified in Atkins v. Virginia, 536 U. S. 304 (2002), against whom the death penalty may not be constitutionally imposed, âthe reality that [the defendant] was âborderline mentally retarded,â might well . . . influencie] the juryâs appraisal of his moral culpability.â Williams v. Taylor, 529 U. S. 362, 398 (2000).
The Court conflates the strategic decision to present mitigating evidence to the jury with the strategic decision to investigate avenues of mitigating evidence fully, see ante, at 303, n. 3. My concern is that there is no evidence to support a conclusion that there was a strategic decision on the latter, which is a necessary prerequisite for counsel to make reasoned choices with respect to what evidence should go before the jury during the penalty phase of a capital trial. See, e. g., Wiggins, 539 U. S., at 522 (explaining that âcounselâs failure to uncover and present voluminous mitigating evidence at sentencing could not be justified as a tactical decision to focus on [defendantâs] voluntary confessions, because counsel had not Tulfillied] their obligation to conduct a thorough investigation of the defendantâs backgroundâ â (quoting Williams, 529 U. S., at 396)).
Shortly before the penalty phase commenced, Trotter sent letters to his two more experienced co-counsel imploring that âwe should request an independent psychological evaluation â even if that means asking for a postponement of the sentencing hearing.â App. 343 (letter from Trotter to Dozier); id., at 345 (letter from Trotter to Ralph). Trotter attempted to procure Woodâs school records and speak to his former special education teaehers in order to obtain âanything that would be able to be used as a mitigating factor,â id., at 267 (testimony of Trotter), but he failed to follow up on a subpoena issued for the records and never spoke at length with any of Woodâs teachers, id., at 267-268. Notably, at least two of these former teachers were willing to testify on Woodâs behalf at the state post-conviction hearing, see id., at 401-421 (testimony of Maddox and Penn).
I would also reach the same conclusion were I to agree with respondents and their amici that a habeas petitioner must pierce §2254(e)(1)âs presumption of correctness with respect to state-court findings of fact before he can proceed to show he is entitled to relief under § 2254(d)(2). See ante, at 300, n. 2.