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which fails to take into account the differing cultural experiences of minority applicants as compared to [wjhite, largely middle-class applicants. Individuals are eliminated for “psychological” reasons which are not job related. (d) The medical examination excludes a disproportionately high number of minority applicants for reasons not related to the medical and physical requirements of the job of fireman. Plaintiffs in the original action later filed an Amended Complaint, and a Second Amended Complaint, adding allegations that the Safety Director improperly implemented a “one in three” rule to refuse employment to minorities in violation of 42 U.S.C. §§ 1981, 1983 and O.R.C. § 4112.02. In 1975, the Honorable Robert B. Krupansky conducted an evidentiary hearing in the case. He found that the entrance exam administered until that time was identical to an entrance exam for patrolman/patrolwoman that had already been held to be unconstitutional in the case of Shield Club v. City of Cleveland, Civil Action No. C7201088. He also found that the other allegations were “intimately interwoven as a practical matter with the administration of the entrance examination” and bore a “similar likeness to the issues fully litigated and determined” in the Shield Club case. Judge Krupansky then ordered that there be developed an entrance exam which is demonstrably job-related and consistent with EEOC Guidelines; a plan for recruitment of minorities to take all subsequent examinations; a method of awarding City of Cleveland residents bonus points for their residency on future examinations; and revised screening procedures that are job-related, objective, and non-discriminatory. Headen v. City of Cleveland, No. C73-330 (N.D.Ohio Apr. 25, 1975). In 1976, the case was transferred to the Honorable Judge John M. Manos. In 1977 Judge Manos approved and adopted a consent order developed by the parties to address the discrimination found by Judge Krupansky in his April, 1975 Order. Part of the original consent decree provided that the City of Cleveland would implement a hiring ratio wherein the ratio of minorities to non-minorities who were hired could not be less than the ratio of minorities to non-minorities who passed the entrance exam during any given testing period. Following the adoption
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and bore a “similar likeness to the issues fully litigated and determined” in the Shield Club case. Judge Krupansky then ordered that there be developed an entrance exam which is demonstrably job-related and consistent with EEOC Guidelines; a plan for recruitment of minorities to take all subsequent examinations; a method of awarding City of Cleveland residents bonus points for their residency on future examinations; and revised screening procedures that are job-related, objective, and non-discriminatory. Headen v. City of Cleveland, No. C73-330 (N.D.Ohio Apr. 25, 1975). In 1976, the case was transferred to the Honorable Judge John M. Manos. In 1977 Judge Manos approved and adopted a consent order developed by the parties to address the discrimination found by Judge Krupansky in his April, 1975 Order. Part of the original consent decree provided that the City of Cleveland would implement a hiring ratio wherein the ratio of minorities to non-minorities who were hired could not be less than the ratio of minorities to non-minorities who passed the entrance exam during any given testing period. Following the adoption of this decree, the Vanguards of Cleveland, an organization of minority firefighters, intervened as Plaintiffs. In 1984 the consent decree was amended, although the remedial provisions remained essentially the same. In 2000, the City of Cleveland moved to stay further execution of the consent decree. Also in 2000 an organization calling itself Cleveland Firefighters for Fair Hiring Practices (“CFFHP”) brought a lawsuit challenging the constitutionality of the consent decree, and in particular, the race-based hiring ratios called for in the decree. Cleveland Firefighters for Fair Hiring Practices v. City of Cleveland, 1:00 CV 301 (consolidated with Headen v. City of Cleveland, No. C73-330). In response, the Vanguards alleged that the City had continued to discriminate against minorities. The City denied these allegations. Following these developments, Judge Manos approved an additional amendment to the consent decree. This second amendment recognized that the percentage of minority firefighters in the City’s fire department had increased from 4% at the inception of the original lawsuit, to 26% in the year 2000. Judge Manos then ordered that the hiring ratios set
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of this decree, the Vanguards of Cleveland, an organization of minority firefighters, intervened as Plaintiffs. In 1984 the consent decree was amended, although the remedial provisions remained essentially the same. In 2000, the City of Cleveland moved to stay further execution of the consent decree. Also in 2000 an organization calling itself Cleveland Firefighters for Fair Hiring Practices (“CFFHP”) brought a lawsuit challenging the constitutionality of the consent decree, and in particular, the race-based hiring ratios called for in the decree. Cleveland Firefighters for Fair Hiring Practices v. City of Cleveland, 1:00 CV 301 (consolidated with Headen v. City of Cleveland, No. C73-330). In response, the Vanguards alleged that the City had continued to discriminate against minorities. The City denied these allegations. Following these developments, Judge Manos approved an additional amendment to the consent decree. This second amendment recognized that the percentage of minority firefighters in the City’s fire department had increased from 4% at the inception of the original lawsuit, to 26% in the year 2000. Judge Manos then ordered that the hiring ratios set forth in the 1977 consent decree be increased to require that one out of every three new hires into the department be a minority applicant. This new ratio was to be implemented either until 33 and a third percent of firefighters were minorities, or for three hiring cycles. The three hiring cycles were to be completed by September 29, 2008. The Order setting forth this requirement also recognized, however, that “there may be legitimate circumstances which may prevent” the City from reaching this hiring goal. In that event, the second amended consent decree contemplated that the City could petition for a “reasonable extension of time” and that such an extension would be approved if “the City has made a good faith effort” to meet the deadline. (ECF #22). The 2000 amended consent decree also recognized that the parties agreed to negotiate and implement a plan for “reinvigoration of the prior recruitment and training records” for the entry level position of firefighter, “in a manner that will be focused upon by City residents,” and to institute a
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forth in the 1977 consent decree be increased to require that one out of every three new hires into the department be a minority applicant. This new ratio was to be implemented either until 33 and a third percent of firefighters were minorities, or for three hiring cycles. The three hiring cycles were to be completed by September 29, 2008. The Order setting forth this requirement also recognized, however, that “there may be legitimate circumstances which may prevent” the City from reaching this hiring goal. In that event, the second amended consent decree contemplated that the City could petition for a “reasonable extension of time” and that such an extension would be approved if “the City has made a good faith effort” to meet the deadline. (ECF #22). The 2000 amended consent decree also recognized that the parties agreed to negotiate and implement a plan for “reinvigoration of the prior recruitment and training records” for the entry level position of firefighter, “in a manner that will be focused upon by City residents,” and to institute a new program, funded by the City of Cleveland, which will focus on teaching high school students to become skilled in abilities required to perform well on the fire entrance exams. (ECF # 22). These programs were to be made available to persons of all races. (Ex. 13; ECF # 33-1). The decree outlined some guidelines as to how the entrance exams should be scored and weighted, with equal weight being given to the written exam and the physical agility test so long as the Headen decree was in place. (ECF #22 at 4-9). The entrance examination process was also to be reevaluated no later than January 1, 2008 with special attention being given to the validity of the written and physical exams, their relative weights, and possible alternative methods of selection to insure merit-based hiring and to avoid discrimination on the basis of race or gender. Id. Any changes that were warranted were not to be implemented until after the expiration of the Headen decree. Id. In September of 2008, this case was reassigned once more to
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new program, funded by the City of Cleveland, which will focus on teaching high school students to become skilled in abilities required to perform well on the fire entrance exams. (ECF # 22). These programs were to be made available to persons of all races. (Ex. 13; ECF # 33-1). The decree outlined some guidelines as to how the entrance exams should be scored and weighted, with equal weight being given to the written exam and the physical agility test so long as the Headen decree was in place. (ECF #22 at 4-9). The entrance examination process was also to be reevaluated no later than January 1, 2008 with special attention being given to the validity of the written and physical exams, their relative weights, and possible alternative methods of selection to insure merit-based hiring and to avoid discrimination on the basis of race or gender. Id. Any changes that were warranted were not to be implemented until after the expiration of the Headen decree. Id. In September of 2008, this case was reassigned once more to the currently presiding Judge. On September 26, 2008, only three days before the expiration of the 2000 amended consent decree, the City sought an extension of time in which to reach the 33 and a third percent minority hiring goal and/or to complete the three hiring cycles contemplated by the 2000 amended consent decree. (ECF #44). The City had been unable to reach the hiring goals of the 2000 amended consent decree due to budget issues and a reduction in the number of firefighters who voluntarily retired from the Department. The Vanguards also petitioned for an extension of the 2000 amended consent decree citing the City’s inability to hire as previously contemplated, and alleging that the City had failed to reevaluate the examination process. (ECF # 45). Although the Court allowed the parties additional time to brief all of the issues raised by the requests for extension, in the end the Court did not extend the 2000 amended consent decree. Therefore, the 2000 amended consent decree expired by its own terms own terms on September
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the currently presiding Judge. On September 26, 2008, only three days before the expiration of the 2000 amended consent decree, the City sought an extension of time in which to reach the 33 and a third percent minority hiring goal and/or to complete the three hiring cycles contemplated by the 2000 amended consent decree. (ECF #44). The City had been unable to reach the hiring goals of the 2000 amended consent decree due to budget issues and a reduction in the number of firefighters who voluntarily retired from the Department. The Vanguards also petitioned for an extension of the 2000 amended consent decree citing the City’s inability to hire as previously contemplated, and alleging that the City had failed to reevaluate the examination process. (ECF # 45). Although the Court allowed the parties additional time to brief all of the issues raised by the requests for extension, in the end the Court did not extend the 2000 amended consent decree. Therefore, the 2000 amended consent decree expired by its own terms own terms on September 29, 2008. (ECF #22). During the briefing period, the CFFHP opposed the requested extension, alleging that extensive changes to the testing procedures, as well as the duration of the consent decree, had eliminated any need for further adherence to the race-based ratios contained in the 2000 amended consent decree. (ECF # 50). The CFFHP did not oppose a continuation of the terms relating to future test advertising and recruitment, or requiring consultation efforts relating to the composition of future tests and test scoring procedures. The CFFHP also alleged that the minority make-up of the Cleveland Fire Department had come in line with the racial make-up of the City’s general work pool and regulations for minority hiring in other professions. (ECF # 53). In May of 2009, this Court held a hearing wherein the parties submitted evidence in the form of witnesses and exhibits. (ECF # 62). Following the hearing all parties were to submit additional briefing at the request of the Court addressing the issue of whether an extension of the 2000 amended consent decree was necessary
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29, 2008. (ECF #22). During the briefing period, the CFFHP opposed the requested extension, alleging that extensive changes to the testing procedures, as well as the duration of the consent decree, had eliminated any need for further adherence to the race-based ratios contained in the 2000 amended consent decree. (ECF # 50). The CFFHP did not oppose a continuation of the terms relating to future test advertising and recruitment, or requiring consultation efforts relating to the composition of future tests and test scoring procedures. The CFFHP also alleged that the minority make-up of the Cleveland Fire Department had come in line with the racial make-up of the City’s general work pool and regulations for minority hiring in other professions. (ECF # 53). In May of 2009, this Court held a hearing wherein the parties submitted evidence in the form of witnesses and exhibits. (ECF # 62). Following the hearing all parties were to submit additional briefing at the request of the Court addressing the issue of whether an extension of the 2000 amended consent decree was necessary to advance its purpose. The parties did not address this question either at the evidentiary hearing or through any subsequent briefs. Instead, they submitted a proposed agreement that would extend the 2000 amended consent decree until the end of 2014. The Court called a status conference and informed the parties that the proposed stipulation was unacceptable and granted them leave to file a new proposal. If the parties did not submit a new proposed stipulation, the Court indicated that it would rule on the pending motions. (ECF # 68). The Vanguards filed a status report indicating that they would not change their position on the proposed stipulation. (ECF # 70). No other parties filed any additional documents. The Court, after considering all of the arguments, briefing, evidence, and relevant law, concluded that the consent decree was meant to be a temporary solution to increasing minority access to and involvement in the hiring opportunities with the Cleveland Fire Department. It also found that the 2000 amended consent decree had outlasted its usefulness, and that no further judicial
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to advance its purpose. The parties did not address this question either at the evidentiary hearing or through any subsequent briefs. Instead, they submitted a proposed agreement that would extend the 2000 amended consent decree until the end of 2014. The Court called a status conference and informed the parties that the proposed stipulation was unacceptable and granted them leave to file a new proposal. If the parties did not submit a new proposed stipulation, the Court indicated that it would rule on the pending motions. (ECF # 68). The Vanguards filed a status report indicating that they would not change their position on the proposed stipulation. (ECF # 70). No other parties filed any additional documents. The Court, after considering all of the arguments, briefing, evidence, and relevant law, concluded that the consent decree was meant to be a temporary solution to increasing minority access to and involvement in the hiring opportunities with the Cleveland Fire Department. It also found that the 2000 amended consent decree had outlasted its usefulness, and that no further judicial supervision over the consent decree was appropriate. Therefore, the Court denied the requests to extend the 2000 amended consent decree, and the expiration of the decree, which occurred on September 29, 2008 was never altered. The parties appealed this decision to the Sixth Circuit, which vacated and remanded the case for further factual findings, specifically: whether the racial classifications contained in the 2000 amended consent decree continue to remedy past discrimination by the Cleveland Fire Department. On remand, the Court ordered the parties to brief this issue, and submit any supporting evidence they may have. An evidentiary hearing was held on December 19, 2012, and the parties filed supplemental briefs following the hearing. (ECF # 95, 96, 97, 98). Factual Findings There have now been in this case two evidentiary hearings, and multiple briefings including evidentiary submissions aimed at addressing whether a continuation of the consent decree is appropriate in this case. This opinion most often focuses on the 2000 amendment to the consent decree as it sets forth the most recent terms of agreement. However, the case
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supervision over the consent decree was appropriate. Therefore, the Court denied the requests to extend the 2000 amended consent decree, and the expiration of the decree, which occurred on September 29, 2008 was never altered. The parties appealed this decision to the Sixth Circuit, which vacated and remanded the case for further factual findings, specifically: whether the racial classifications contained in the 2000 amended consent decree continue to remedy past discrimination by the Cleveland Fire Department. On remand, the Court ordered the parties to brief this issue, and submit any supporting evidence they may have. An evidentiary hearing was held on December 19, 2012, and the parties filed supplemental briefs following the hearing. (ECF # 95, 96, 97, 98). Factual Findings There have now been in this case two evidentiary hearings, and multiple briefings including evidentiary submissions aimed at addressing whether a continuation of the consent decree is appropriate in this case. This opinion most often focuses on the 2000 amendment to the consent decree as it sets forth the most recent terms of agreement. However, the case must be viewed with the understanding that the discrimination at issue was found by Judge Krupansky in 1975 and the first consent decree was established in 1977. Judge Krupansky’s Order did not impose any race-based hiring ratios. A race-based hiring ratio was included in the 1977 consent decree requiring that the number of minority hired be proportional to the number of minority who passed the entrance exam. This requirement remained the same in the 1984 amendment. In 2000 the race-based hiring ratios were altered to require that one of every three hires must be a minority until the specified ratio or number of hiring cycles was achieved. This race-based hiring requirement is the primary focus of this opinion. The parties have been provided more than ample opportunity to submit evidence in support of their respective positions, and each party has had the chance to address the Court’s concern regarding whether the consent decree continues to serve its original purpose or whether it has been rendered unconstitutional by the change in circumstances over the last thirty-nine
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must be viewed with the understanding that the discrimination at issue was found by Judge Krupansky in 1975 and the first consent decree was established in 1977. Judge Krupansky’s Order did not impose any race-based hiring ratios. A race-based hiring ratio was included in the 1977 consent decree requiring that the number of minority hired be proportional to the number of minority who passed the entrance exam. This requirement remained the same in the 1984 amendment. In 2000 the race-based hiring ratios were altered to require that one of every three hires must be a minority until the specified ratio or number of hiring cycles was achieved. This race-based hiring requirement is the primary focus of this opinion. The parties have been provided more than ample opportunity to submit evidence in support of their respective positions, and each party has had the chance to address the Court’s concern regarding whether the consent decree continues to serve its original purpose or whether it has been rendered unconstitutional by the change in circumstances over the last thirty-nine years. In the 1970s when this case was filed and a consent decree was originally put in place, minorities accounted for only 4% of the firefighters in the Cleveland Fire Department. The Judge who originally reviewed the case made the finding that this incredibly low representation was caused by the City’s discriminatory hiring practices, especially with regard to the content and scoring of the entrance exam. The evidence shows that by the year 2000, twenty-six percent of the Cleveland firefighters were minorities. That ratio has remained substantially the same to this date. (Dec. 19, 2012 Tr. at 86). As the Court articulated in its prior opinion, the 2009 hearing yielded substantial evidence that the City of Cleveland has extended its best efforts to achieve the hiring goals set forth in the 2000 amended consent decree. There was also substantial evidence produced during the 2009 hearing that showed all parties have used their best efforts to produce substantial change with regard to increasing minority recruitment and hiring opportunities within the Fire Department, and that they did, in fact,
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years. In the 1970s when this case was filed and a consent decree was originally put in place, minorities accounted for only 4% of the firefighters in the Cleveland Fire Department. The Judge who originally reviewed the case made the finding that this incredibly low representation was caused by the City’s discriminatory hiring practices, especially with regard to the content and scoring of the entrance exam. The evidence shows that by the year 2000, twenty-six percent of the Cleveland firefighters were minorities. That ratio has remained substantially the same to this date. (Dec. 19, 2012 Tr. at 86). As the Court articulated in its prior opinion, the 2009 hearing yielded substantial evidence that the City of Cleveland has extended its best efforts to achieve the hiring goals set forth in the 2000 amended consent decree. There was also substantial evidence produced during the 2009 hearing that showed all parties have used their best efforts to produce substantial change with regard to increasing minority recruitment and hiring opportunities within the Fire Department, and that they did, in fact, succeed in creating increased opportunities for minorities who are interested in and qualified for a position in the Cleveland Fire Department. (Dec. 19, 2012 Tr. at 145-47). The evidence also shows that the recruitment and education of minorities, including efforts to inform and prepare individuals interested in applying for firefighter positions, has been equal to or has exceeded the recruitment and education efforts aimed at potential non-minority candidates. In the documents supporting the parties’ briefs, as well as in both evidentiary hearings, the evidence shows that the City of Cleveland, in cooperation with the Cleveland School District and the Vanguards of Cleveland have instituted aggressive minority recruitment efforts, including but not limited to targeting advertising to minorities (Dec. 19, 2012 Tr. at 32, 42, 46-47, 52, 53, 145, 152-53); maintaining lists of potential interested and/or qualified individuals from the minority community for upcoming tests (Dec. 19, 2012 Tr. at 31, 44, 46^47, 146); providing tutoring to any interested applicant, but emphasizing minorities, in order to promote higher scoring on the written entrance exam (Dec. 19,
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succeed in creating increased opportunities for minorities who are interested in and qualified for a position in the Cleveland Fire Department. (Dec. 19, 2012 Tr. at 145-47). The evidence also shows that the recruitment and education of minorities, including efforts to inform and prepare individuals interested in applying for firefighter positions, has been equal to or has exceeded the recruitment and education efforts aimed at potential non-minority candidates. In the documents supporting the parties’ briefs, as well as in both evidentiary hearings, the evidence shows that the City of Cleveland, in cooperation with the Cleveland School District and the Vanguards of Cleveland have instituted aggressive minority recruitment efforts, including but not limited to targeting advertising to minorities (Dec. 19, 2012 Tr. at 32, 42, 46-47, 52, 53, 145, 152-53); maintaining lists of potential interested and/or qualified individuals from the minority community for upcoming tests (Dec. 19, 2012 Tr. at 31, 44, 46^47, 146); providing tutoring to any interested applicant, but emphasizing minorities, in order to promote higher scoring on the written entrance exam (Dec. 19, 2012 Tr. at 31-32, 39, 49, 66-68); implementing a high school trade program for firefighting at MLK High School which has nearly 100% minority enrollment (Dec. 19, 2012 Tr. at 27, 148); giving significant preference points on the exam scoring to the MLK firefighting school graduates (Dec. 19, 2012 Tr. at 28, 119, 153-54; Ex. 93-C; 93-F); and, giving significant preference points on the exam to City of Cleveland residents. (Dec. 19, 2012 Tr. at 29, 120). Many of these efforts go above and beyond what was required by the 2000 amended consent decree, and all have remained in effect well after the 2008 expiration of that decree. (Dec. 19, 2012 Tr. at 30-31, 33, 66-68,123,153-54; Ex. 93-C; 93-F). The evidence also shows, and the parties have not disputed, that further efforts to comply with the specific race-based hiring ratios set forth in the 2000 amended consent decree have been impossible due to unanticipated economic factors, Cleveland’s population decline, and the reduced workforce needs of the Fire Department. The City has been prevented from hiring any
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2012 Tr. at 31-32, 39, 49, 66-68); implementing a high school trade program for firefighting at MLK High School which has nearly 100% minority enrollment (Dec. 19, 2012 Tr. at 27, 148); giving significant preference points on the exam scoring to the MLK firefighting school graduates (Dec. 19, 2012 Tr. at 28, 119, 153-54; Ex. 93-C; 93-F); and, giving significant preference points on the exam to City of Cleveland residents. (Dec. 19, 2012 Tr. at 29, 120). Many of these efforts go above and beyond what was required by the 2000 amended consent decree, and all have remained in effect well after the 2008 expiration of that decree. (Dec. 19, 2012 Tr. at 30-31, 33, 66-68,123,153-54; Ex. 93-C; 93-F). The evidence also shows, and the parties have not disputed, that further efforts to comply with the specific race-based hiring ratios set forth in the 2000 amended consent decree have been impossible due to unanticipated economic factors, Cleveland’s population decline, and the reduced workforce needs of the Fire Department. The City has been prevented from hiring any new firefighters in more than a decade due in part to budget cuts and delayed retirements. (Dec. 19, 2012 Tr. at 54-55). The last firefighters hired were hired from an eligibility list that was based on the 1998 exam, (Dec. 19, 2012 Tr. at 54-55, 64), and the last fire academy was held in 2001. In 2004 and again in 2010 firefighters were laid off (Dec. 19, 2012 Tr. at 56), and a retention program (the “DROP” program) caused many firefighters who would otherwise have retired to stay in their current positions. To the extent that the City has been able to hire any firefighters since 2004, it has only been able to re-hire those who had previously been laid off. The evidence further shows that had the Court extended the 2000 amended consent decree until 2014 as suggested by the parties, the entire consent decree would have lasted 41 years past the complained of discrimination and would be affecting only applicants who had not even yet been born at the time the discrimination was found
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new firefighters in more than a decade due in part to budget cuts and delayed retirements. (Dec. 19, 2012 Tr. at 54-55). The last firefighters hired were hired from an eligibility list that was based on the 1998 exam, (Dec. 19, 2012 Tr. at 54-55, 64), and the last fire academy was held in 2001. In 2004 and again in 2010 firefighters were laid off (Dec. 19, 2012 Tr. at 56), and a retention program (the “DROP” program) caused many firefighters who would otherwise have retired to stay in their current positions. To the extent that the City has been able to hire any firefighters since 2004, it has only been able to re-hire those who had previously been laid off. The evidence further shows that had the Court extended the 2000 amended consent decree until 2014 as suggested by the parties, the entire consent decree would have lasted 41 years past the complained of discrimination and would be affecting only applicants who had not even yet been born at the time the discrimination was found to have occurred. (Dec. 19, 2012 Tr. at 121). It would, therefore, be favoring minority candidates who have never faced discrimination by the Cleveland Fire Department, and would have a detrimental effect on non-minorities who had never benefitted from any discriminatory practices carried out by the City. (Dec. 19, 2012 Tr. at 155). In addition, there is no evidence that there is anyone left in the Cleveland Fire Department who was employed at the time of the original consent decree. Therefore, there are no individuals affected by the previous discrimination who will be positively affected by a continuation of 2000 amended consent decree. There is also no evidence that any applicant would suffer any residual effects of the past discrimination. Much has changed since the early 1970s affecting the institutional composition of the City and its public safety forces. There are now minorities in the leadership of the Fire Department, in the Mayor’s Office, and in the Civil Service Commission for the City of Cleveland who all have input in the testing, hiring, and recruitment of
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to have occurred. (Dec. 19, 2012 Tr. at 121). It would, therefore, be favoring minority candidates who have never faced discrimination by the Cleveland Fire Department, and would have a detrimental effect on non-minorities who had never benefitted from any discriminatory practices carried out by the City. (Dec. 19, 2012 Tr. at 155). In addition, there is no evidence that there is anyone left in the Cleveland Fire Department who was employed at the time of the original consent decree. Therefore, there are no individuals affected by the previous discrimination who will be positively affected by a continuation of 2000 amended consent decree. There is also no evidence that any applicant would suffer any residual effects of the past discrimination. Much has changed since the early 1970s affecting the institutional composition of the City and its public safety forces. There are now minorities in the leadership of the Fire Department, in the Mayor’s Office, and in the Civil Service Commission for the City of Cleveland who all have input in the testing, hiring, and recruitment of new firefighters. (Dec. 19, 2012 Tr. at 142-43). There is also an increased awareness of the need for diversity among the city leaders. There are organizations committed to advancing diversity and minority rights at all levels of government, in all employment arenas, and specifically in the public service arena. The evidence presented at the most recent hearing shows, even more specifically, that there are local and international organizations committed to representing the rights of minority firefighters and increasing minority participation in fire departments locally, nationally, and internationally. (Dec. 19, 2012 Tr. at 36). In the City of Cleveland there are aggres sive minority recruitment and training programs in effect that either primarily benefit minorities or are meant to equalize the chances of minorities to qualify for hire in the Fire Department. (Dec. 19, 2012 Tr. at 27-29, 31-32, 39, 42, 46-47, 49, 52, 53). There has been absolutely no evidence of continued discrimination in the hiring practices of the Cleveland Fire Department. No individual or entity has complained that the current entrance exam or any other
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new firefighters. (Dec. 19, 2012 Tr. at 142-43). There is also an increased awareness of the need for diversity among the city leaders. There are organizations committed to advancing diversity and minority rights at all levels of government, in all employment arenas, and specifically in the public service arena. The evidence presented at the most recent hearing shows, even more specifically, that there are local and international organizations committed to representing the rights of minority firefighters and increasing minority participation in fire departments locally, nationally, and internationally. (Dec. 19, 2012 Tr. at 36). In the City of Cleveland there are aggres sive minority recruitment and training programs in effect that either primarily benefit minorities or are meant to equalize the chances of minorities to qualify for hire in the Fire Department. (Dec. 19, 2012 Tr. at 27-29, 31-32, 39, 42, 46-47, 49, 52, 53). There has been absolutely no evidence of continued discrimination in the hiring practices of the Cleveland Fire Department. No individual or entity has complained that the current entrance exam or any other hiring criteria are discriminatory either in intent or in effect. (Dec. 19, 2012 Tr. at 120). There is evidence that the City will continue to preference City residents and MLK firefighting program graduates, and will continue to make serious efforts to recruit, prepare, and hire qualified minority candidates into the Cleveland Fire Department. (Dec. 19, 2012 Tr. at 30-31, 33, 66-68, 123, 153-54). The most recent entrance exam was given on July 31, 2010. (Dec. 19, 2012 Tr. at 17, 55). The eligibility list for new hires based on this exam was established in January of 2011, and will expire on January 14, 2013. (Dec. 19, 2012 Tr. at 116). Prior to offering the 2010 exam, the City hired a professional consultant, and the mayor consulted with the prior fire chief, and the public safety department to determine how to weight the scores. (Dec. 19, 2012 Tr. at 116, 119, 142-43; Ambroz Aff. § 2; ECF 84-2). The mayor and the prior fire chief are both minorities. (Dec. 19, 2012 Tr. at 142-43). In previous exam
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hiring criteria are discriminatory either in intent or in effect. (Dec. 19, 2012 Tr. at 120). There is evidence that the City will continue to preference City residents and MLK firefighting program graduates, and will continue to make serious efforts to recruit, prepare, and hire qualified minority candidates into the Cleveland Fire Department. (Dec. 19, 2012 Tr. at 30-31, 33, 66-68, 123, 153-54). The most recent entrance exam was given on July 31, 2010. (Dec. 19, 2012 Tr. at 17, 55). The eligibility list for new hires based on this exam was established in January of 2011, and will expire on January 14, 2013. (Dec. 19, 2012 Tr. at 116). Prior to offering the 2010 exam, the City hired a professional consultant, and the mayor consulted with the prior fire chief, and the public safety department to determine how to weight the scores. (Dec. 19, 2012 Tr. at 116, 119, 142-43; Ambroz Aff. § 2; ECF 84-2). The mayor and the prior fire chief are both minorities. (Dec. 19, 2012 Tr. at 142-43). In previous exam years the written and agility tests were given equal weight. (Dec. 19, 2012 Tr. at 119). For the 2010 exam, the consultations outlined above led to a change wherein the written exam became 60% of the final score, and the agility test accounted for 40% of the final score. (Dec. 19, 2012 Tr. at 119). The scoring was also changed by providing five additional points to graduates of the MLK firefighting program. (Dec. 19, 2012 at 119). The Vanguards were not consulted in determining the new preference points or the new weighting calculations because the 2000 amended consent decree had already expired at the time the exam scoring issues were reviewed. (ECF # 72, 73). Even without any input from the Vanguards, however, the City implemented a new practice that was aimed primarily at benefitting minority candidates by adding the five preference points to the scores of the MLK firefighting program’s graduates. The evidence shows that the firefighter’s exam is very competitive. A candidate who scores 95/100 has been ranked 806 out of the total pool
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years the written and agility tests were given equal weight. (Dec. 19, 2012 Tr. at 119). For the 2010 exam, the consultations outlined above led to a change wherein the written exam became 60% of the final score, and the agility test accounted for 40% of the final score. (Dec. 19, 2012 Tr. at 119). The scoring was also changed by providing five additional points to graduates of the MLK firefighting program. (Dec. 19, 2012 at 119). The Vanguards were not consulted in determining the new preference points or the new weighting calculations because the 2000 amended consent decree had already expired at the time the exam scoring issues were reviewed. (ECF # 72, 73). Even without any input from the Vanguards, however, the City implemented a new practice that was aimed primarily at benefitting minority candidates by adding the five preference points to the scores of the MLK firefighting program’s graduates. The evidence shows that the firefighter’s exam is very competitive. A candidate who scores 95/100 has been ranked 806 out of the total pool of eligible candidates prior to the calculation of preference points. (Ex. 93-E). In fact, no one on the current eligibility list has rated high enough to receive a job offer without the addition of preference points either for being a City of Cleveland resident, or being a disabled veteran. (Ex. 93-D, 93-E). Further, there is evidence that an MLK graduate who scored 95 on the exam placed 445 places higher on the final eligibility list than another candidate who scored 100, due to the fifteen preference points he received for being an MLK graduate and a City of Cleveland resident. (Ex. 93-D, 93-E). The non-minority, non-resident applicant who scored a perfect score on the exam cannot place high enough on the eligibility list to have a chance of being hired because he did not receive any preference points. The parties have submitted no evidence that any qualified, interested, minority candidate has been precluded or dissuaded from applying for, testing for, or being hired for the position of firefighter in the City of Cleveland since Judge Krupansky’s
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of eligible candidates prior to the calculation of preference points. (Ex. 93-E). In fact, no one on the current eligibility list has rated high enough to receive a job offer without the addition of preference points either for being a City of Cleveland resident, or being a disabled veteran. (Ex. 93-D, 93-E). Further, there is evidence that an MLK graduate who scored 95 on the exam placed 445 places higher on the final eligibility list than another candidate who scored 100, due to the fifteen preference points he received for being an MLK graduate and a City of Cleveland resident. (Ex. 93-D, 93-E). The non-minority, non-resident applicant who scored a perfect score on the exam cannot place high enough on the eligibility list to have a chance of being hired because he did not receive any preference points. The parties have submitted no evidence that any qualified, interested, minority candidate has been precluded or dissuaded from applying for, testing for, or being hired for the position of firefighter in the City of Cleveland since Judge Krupansky’s original Order was issued in 1975. Nor is there any reason to expect that any such discrimination will occur if the 2000 amended consent decree is allowed to expire. The parties have also failed to submit any evidence that there remain any ramifications with regard to the hiring practices of the Cleveland Fire Department that are attributable to past discrimination practiced by the Department. The only evidence presented that even attempts to prove continuing effects from prior discrimination is the testimony of the Headen Plaintiffs proffered expert witness, Dr. Mark Sailing, who testified that the percentage of minority firefighters in the Cleveland Fire Department is not equal to the percentage of minority 18-34 year olds in the general “relevant” population. However, the percentage does not become equal even if the Headen hiring ratios are achieved, and even their expert acknowledges that this ratio would not be expected to be equal. (Dec. 19, 2012 Tr. at 112-113). The numbers used by Dr. Sailing in his analysis also do not comport with the stipulated actual numbers of applicants
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original Order was issued in 1975. Nor is there any reason to expect that any such discrimination will occur if the 2000 amended consent decree is allowed to expire. The parties have also failed to submit any evidence that there remain any ramifications with regard to the hiring practices of the Cleveland Fire Department that are attributable to past discrimination practiced by the Department. The only evidence presented that even attempts to prove continuing effects from prior discrimination is the testimony of the Headen Plaintiffs proffered expert witness, Dr. Mark Sailing, who testified that the percentage of minority firefighters in the Cleveland Fire Department is not equal to the percentage of minority 18-34 year olds in the general “relevant” population. However, the percentage does not become equal even if the Headen hiring ratios are achieved, and even their expert acknowledges that this ratio would not be expected to be equal. (Dec. 19, 2012 Tr. at 112-113). The numbers used by Dr. Sailing in his analysis also do not comport with the stipulated actual numbers of applicants and minority applicants and exam takers in the 2010 test. The comparison made does not take into account any non-discriminatory factors that may account for the difference in ratios. There has been no comparison of the ratio of interested minority individuals, minority applicants, minority exam takers, or minorities with passing scores to the ratio of those hired, nor has there been any evidence that these ratios differ from those within the non-minority hiring pool. There has been no evidence that minorities are not able to do as well on the written or physical exam, that the hiring criteria are skewed toward non-minorities, or that any qualified, interested candidates have been denied employment based either directly or indirectly on their race. Dr. Sailing testified that there has been sufficient time and turnover since the adoption of the original consent decree in 1977 to provide an opportunity to raise the percentage of minorities in the Cleveland Fire Department. (Dec. 19, 2012 Tr. at 89-90). He could not, however, answer whether past hiring discrimination has been eliminated. (Dec. 19,
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and minority applicants and exam takers in the 2010 test. The comparison made does not take into account any non-discriminatory factors that may account for the difference in ratios. There has been no comparison of the ratio of interested minority individuals, minority applicants, minority exam takers, or minorities with passing scores to the ratio of those hired, nor has there been any evidence that these ratios differ from those within the non-minority hiring pool. There has been no evidence that minorities are not able to do as well on the written or physical exam, that the hiring criteria are skewed toward non-minorities, or that any qualified, interested candidates have been denied employment based either directly or indirectly on their race. Dr. Sailing testified that there has been sufficient time and turnover since the adoption of the original consent decree in 1977 to provide an opportunity to raise the percentage of minorities in the Cleveland Fire Department. (Dec. 19, 2012 Tr. at 89-90). He could not, however, answer whether past hiring discrimination has been eliminated. (Dec. 19, 2012 Tr. at 90). Instead he re-framed the question to determine whether the aspirational 33 and a third percent ratio articulated in the 2000 amended consent decree had been met. This does not address the issue currently before the Court. The question before the Court is not whether that numerical ratio has been met: every entity associated with this case knows that it has not been. The question rather, is whether the continued judicial enforcement of a race-based hiring mandate instituted to achieve this ratio is necessary to remedy past discrimination in hiring by the Cleveland Fire Department. Dr. Sailing did not, and cannot answer this question simply by reviewing statistically significant differences between somewhat randomly chosen numbers that do not reflect or otherwise take into account the actual number of qualified, interested, and available minority candidates who have, or absent any alleged discrimination, would have taken advantage of the opportunities existing for employment with the Cleveland Fire Department. In fact, after outlining all of his various calculations, Dr. Sailing admitted that he would not necessarily
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2012 Tr. at 90). Instead he re-framed the question to determine whether the aspirational 33 and a third percent ratio articulated in the 2000 amended consent decree had been met. This does not address the issue currently before the Court. The question before the Court is not whether that numerical ratio has been met: every entity associated with this case knows that it has not been. The question rather, is whether the continued judicial enforcement of a race-based hiring mandate instituted to achieve this ratio is necessary to remedy past discrimination in hiring by the Cleveland Fire Department. Dr. Sailing did not, and cannot answer this question simply by reviewing statistically significant differences between somewhat randomly chosen numbers that do not reflect or otherwise take into account the actual number of qualified, interested, and available minority candidates who have, or absent any alleged discrimination, would have taken advantage of the opportunities existing for employment with the Cleveland Fire Department. In fact, after outlining all of his various calculations, Dr. Sailing admitted that he would not necessarily expect the general racial compositions he outlined and based his opinions upon to mirror the Fire Department workforce. (Dec. 19, 2012 Tr. at 112-113). Analysis This court has discretion to determine whether and how a consent decree will remain in effect, including the discretion to terminate the decree altogether. See Rufo v. Inmates of Suffolk County Jail, 502 U.S. 367, 380, 112 S.Ct. 748, 116 L.Ed.2d 867 (1992). A consent decree’s own terms relating to its duration and the projected need for possible extensions as set forth in the decree are relevant but not binding on this Court’s decision. Cleveland Firefighters for Fair Hiring Practices v. City of Cleveland, 669 F.3d 737, 740-41 (6th Cir.2012). This is particularly true when, as in this case, the consent decree affects the rights of persons beyond the immediate litigants. Id. at 741-42; Heath v. DeCourcy, 888 F.2d 1105, 1109 (6th Cir.1989). The Sixth Circuit has pointed out that when terminating jurisdiction over a consent decree, the Court should make “explicit findings concerning Defendants’ compliance with the decree’s goals and specific terms.”
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expect the general racial compositions he outlined and based his opinions upon to mirror the Fire Department workforce. (Dec. 19, 2012 Tr. at 112-113). Analysis This court has discretion to determine whether and how a consent decree will remain in effect, including the discretion to terminate the decree altogether. See Rufo v. Inmates of Suffolk County Jail, 502 U.S. 367, 380, 112 S.Ct. 748, 116 L.Ed.2d 867 (1992). A consent decree’s own terms relating to its duration and the projected need for possible extensions as set forth in the decree are relevant but not binding on this Court’s decision. Cleveland Firefighters for Fair Hiring Practices v. City of Cleveland, 669 F.3d 737, 740-41 (6th Cir.2012). This is particularly true when, as in this case, the consent decree affects the rights of persons beyond the immediate litigants. Id. at 741-42; Heath v. DeCourcy, 888 F.2d 1105, 1109 (6th Cir.1989). The Sixth Circuit has pointed out that when terminating jurisdiction over a consent decree, the Court should make “explicit findings concerning Defendants’ compliance with the decree’s goals and specific terms.” Gonzales v. Galvin, 151 F.3d 526, 532 (6th Cir.1998). Although the Court of Appeals has asked this court on remand to make explicit findings in compliance with Gonzales, it should be noted that this Court was never asked to terminate an ongoing consent decree. Rather, the 2000 amended consent decree expired by its own terms on September 29, 2008. (ECF #22). Two of the parties subsequently sought an extension of the decree. (ECF # 44, 45). A court has even greater discretion when deciding whether to extend an expired consent decree than it does when determining whether to terminate a decree that is ongoing, and the Gonzales factors do not necessarily apply. Nonetheless, the Court’s decision to deny an extension of the 2000 amended consent decree satisfies all of the Gonzales factors, as will be shown below. Further, because the 2000 amended consent decree includes race specific classifications and hiring ratios, the Court must also determine whether these provisions remain constitutionally viable under the current circumstances and context in which the case exists today. A. Constitutionality
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Gonzales v. Galvin, 151 F.3d 526, 532 (6th Cir.1998). Although the Court of Appeals has asked this court on remand to make explicit findings in compliance with Gonzales, it should be noted that this Court was never asked to terminate an ongoing consent decree. Rather, the 2000 amended consent decree expired by its own terms on September 29, 2008. (ECF #22). Two of the parties subsequently sought an extension of the decree. (ECF # 44, 45). A court has even greater discretion when deciding whether to extend an expired consent decree than it does when determining whether to terminate a decree that is ongoing, and the Gonzales factors do not necessarily apply. Nonetheless, the Court’s decision to deny an extension of the 2000 amended consent decree satisfies all of the Gonzales factors, as will be shown below. Further, because the 2000 amended consent decree includes race specific classifications and hiring ratios, the Court must also determine whether these provisions remain constitutionally viable under the current circumstances and context in which the case exists today. A. Constitutionality of Race-Based Classifications in the 2000 Amended Consent Decree The Court has previously recognized in this case, as it did in Rutherford v. City of Cleveland, 1:94 CV 1019, which addressed similar allegations and findings of discrimination in the historical hiring practices of the City of Cleveland’s Police Department, that race-based remedial hiring practices constituting “reverse discrimination” or “affirmative action” were approved by the United States Supreme Court as a necessary step toward creating greater equality when used in a limited and temporary fashion. However, the Sixth Circuit in reviewing the Rutherford case also noted that such remedies are disfavored if they “are not temporary and do not terminate when racial imbalances have been eliminated.” Rutherford v. City of Cleveland, 179 Fed.Appx. 366, 380 (6th Cir.2006). This, in fact, is an understatement of the law. In actuality, beyond being disfavored, if the race-based hiring practices contained in a consent decree do not withstand strict scrutiny, they are un constitutional under the Equal Protection Clause as are any other racial classifications set forth in the law. See
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of Race-Based Classifications in the 2000 Amended Consent Decree The Court has previously recognized in this case, as it did in Rutherford v. City of Cleveland, 1:94 CV 1019, which addressed similar allegations and findings of discrimination in the historical hiring practices of the City of Cleveland’s Police Department, that race-based remedial hiring practices constituting “reverse discrimination” or “affirmative action” were approved by the United States Supreme Court as a necessary step toward creating greater equality when used in a limited and temporary fashion. However, the Sixth Circuit in reviewing the Rutherford case also noted that such remedies are disfavored if they “are not temporary and do not terminate when racial imbalances have been eliminated.” Rutherford v. City of Cleveland, 179 Fed.Appx. 366, 380 (6th Cir.2006). This, in fact, is an understatement of the law. In actuality, beyond being disfavored, if the race-based hiring practices contained in a consent decree do not withstand strict scrutiny, they are un constitutional under the Equal Protection Clause as are any other racial classifications set forth in the law. See Parents Involved in Community Schools v. Seattle School District No. 1, 551 U.S. 701, 741, 127 S.Ct. 2738, 168 L.Ed.2d 508 (2007); Aiken v. City of Memphis, 37 F.3d 1155, 1162 (6th Cir.1994) (en banc). As the Circuit recognized in its opinion remanding this case, “[a]t most, the Constitution barely tolerates a public employer’s decision to hire or reject a job applicant based upon ... race,” and any such distinctions, even if allowed under the strict scrutiny standard, must be applied “only reluctantly, in circumstances limited in both scope and duration.” Cleveland Firefighters, 669 F.3d at 738. To survive strict scrutiny, a racial classification must be narrowly tailored to achieve a compelling governmental interest. Parents Involved, 551 U.S. at 720, 127 S.Ct. 2738. “[R]emedying the effects of past intentional discrimination” is a compelling interest. Id. However, to fall under this recognized compelling governmental interest, the state actor must not only show past discrimination, it must be able to show that the racial classification imposed actually serves to remedy that past discrimination. Cleveland Firefighters, 669 F.3d at
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Parents Involved in Community Schools v. Seattle School District No. 1, 551 U.S. 701, 741, 127 S.Ct. 2738, 168 L.Ed.2d 508 (2007); Aiken v. City of Memphis, 37 F.3d 1155, 1162 (6th Cir.1994) (en banc). As the Circuit recognized in its opinion remanding this case, “[a]t most, the Constitution barely tolerates a public employer’s decision to hire or reject a job applicant based upon ... race,” and any such distinctions, even if allowed under the strict scrutiny standard, must be applied “only reluctantly, in circumstances limited in both scope and duration.” Cleveland Firefighters, 669 F.3d at 738. To survive strict scrutiny, a racial classification must be narrowly tailored to achieve a compelling governmental interest. Parents Involved, 551 U.S. at 720, 127 S.Ct. 2738. “[R]emedying the effects of past intentional discrimination” is a compelling interest. Id. However, to fall under this recognized compelling governmental interest, the state actor must not only show past discrimination, it must be able to show that the racial classification imposed actually serves to remedy that past discrimination. Cleveland Firefighters, 669 F.3d at 742. Judge Krupansky made a finding of discrimination in this case in 1975. Therefore, past discrimination has been established. The question of whether the race-based classifications or hiring quotas set forth in the 2000 amended consent decree actually serve to remedy that past discrimination at this point in time is the primary question before the Court. As the Sixth Circuit noted in its opinion remanding this case, the showing that discrimination will be remedied by imposing a race-based classification is often taken for granted and not articulated in the typical case. However, it cannot be assumed when the classification has already been applied for over thirty years and the parties seek a continuance that would extend it beyond the forty year mark. Id.; accord, Gonzales v. Galvin, 151 F.3d 526, 531 (6th Cir.1998) (citing Board of Educ. v. Dowell, 498 U.S. 237, 248-49, 111 S.Ct. 630, 112 L.Ed.2d 715 (1991)) (“Injunctive relief after a period of compliance should not extend beyond the time necessary to remedy the violation.”). In fact, the Sixth Circuit has adopted the
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742. Judge Krupansky made a finding of discrimination in this case in 1975. Therefore, past discrimination has been established. The question of whether the race-based classifications or hiring quotas set forth in the 2000 amended consent decree actually serve to remedy that past discrimination at this point in time is the primary question before the Court. As the Sixth Circuit noted in its opinion remanding this case, the showing that discrimination will be remedied by imposing a race-based classification is often taken for granted and not articulated in the typical case. However, it cannot be assumed when the classification has already been applied for over thirty years and the parties seek a continuance that would extend it beyond the forty year mark. Id.; accord, Gonzales v. Galvin, 151 F.3d 526, 531 (6th Cir.1998) (citing Board of Educ. v. Dowell, 498 U.S. 237, 248-49, 111 S.Ct. 630, 112 L.Ed.2d 715 (1991)) (“Injunctive relief after a period of compliance should not extend beyond the time necessary to remedy the violation.”). In fact, the Sixth Circuit has adopted the position taken by the Eleventh Circuit in Ensley Branch, N.A.A.C.P. v. Seibels, 31 F.3d 1548, 1575-76 (11th Cir.1994), which effectively recognizes a presumption that after a passage of significant time, (thirteen years in Ensley and over thirty years in this case), a district court should presume the “ ‘retrospective, remedial purpose of affirmative action satisfied except where it finds that past discrimination continues to taint a particular position.’ ” Cleveland Firefighters, 669 F.3d at 742 (quoting Ensley, 31 F.3d at 1575-76). Based on the evidence presented at the 2009 hearing, the 2012 hearing, and in the supporting briefs and evidence presented by the parties in connection with those hearings, this Court finds that there is no evidence, let alone “strong evidence” as required by Aiken, 37 F.3d at 1163, that the 2000 amended consent decree’s racial classifications remain remedial at this point in time. The one in three minority hiring ratio no longer serves to remedy past discrimination by the Cleveland Fire Department. As set forth above in the Court’s findings of fact, there is absolutely
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position taken by the Eleventh Circuit in Ensley Branch, N.A.A.C.P. v. Seibels, 31 F.3d 1548, 1575-76 (11th Cir.1994), which effectively recognizes a presumption that after a passage of significant time, (thirteen years in Ensley and over thirty years in this case), a district court should presume the “ ‘retrospective, remedial purpose of affirmative action satisfied except where it finds that past discrimination continues to taint a particular position.’ ” Cleveland Firefighters, 669 F.3d at 742 (quoting Ensley, 31 F.3d at 1575-76). Based on the evidence presented at the 2009 hearing, the 2012 hearing, and in the supporting briefs and evidence presented by the parties in connection with those hearings, this Court finds that there is no evidence, let alone “strong evidence” as required by Aiken, 37 F.3d at 1163, that the 2000 amended consent decree’s racial classifications remain remedial at this point in time. The one in three minority hiring ratio no longer serves to remedy past discrimination by the Cleveland Fire Department. As set forth above in the Court’s findings of fact, there is absolutely no evidence whatsoever that there is continuing discrimination in the hiring practices of the Fire Department. There have been no challenges by any party, or any third-party to the most recent entrance examination (Dec. 19, 2012 Tr. at 120); there are no allegations, let alone evidence, that any qualified minority candidate has been overlooked based on their race since the original consent decree went into effect; there is an abundance of evidence that the City has gone out of its way to recruit, tutor, encourage, and assist minority candidates in applying for and passing the entrance examination (Dec. 19, 2012 Tr. at 27-34, 39, 42, 46-47, 49, 52, 53, 66-68, 119-120, 123, 145-146, 148, 152-54); the City has in effect a resident preference that in all practicality precludes non-residents (who constitute a higher non-minority population) from making it onto the hiring eligibility list (Dec. 19, 2012 Tr. at 29, 120, Ex. 93-D, 93-E); the City has helped to establish a firefighting program at MLK high school, which has nearly total minority enrollment (Dec. 19, 2012
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no evidence whatsoever that there is continuing discrimination in the hiring practices of the Fire Department. There have been no challenges by any party, or any third-party to the most recent entrance examination (Dec. 19, 2012 Tr. at 120); there are no allegations, let alone evidence, that any qualified minority candidate has been overlooked based on their race since the original consent decree went into effect; there is an abundance of evidence that the City has gone out of its way to recruit, tutor, encourage, and assist minority candidates in applying for and passing the entrance examination (Dec. 19, 2012 Tr. at 27-34, 39, 42, 46-47, 49, 52, 53, 66-68, 119-120, 123, 145-146, 148, 152-54); the City has in effect a resident preference that in all practicality precludes non-residents (who constitute a higher non-minority population) from making it onto the hiring eligibility list (Dec. 19, 2012 Tr. at 29, 120, Ex. 93-D, 93-E); the City has helped to establish a firefighting program at MLK high school, which has nearly total minority enrollment (Dec. 19, 2012 Tr. at 27, 148); the City has voluntarily provided preference points to the graduates of the MLK firefighting program (Dec. 19, 2012 Tr. at 28, 119, 153-54); there are a significant number of minorities in leadership positions with the City, the Public Safety Department, and the Fire Department who have influence on the hiring practices of the Cleveland Fire Department (Dec. 19, 2012 Tr. at 142-43). Further, there has been a substantial increase in the percentage of minority uniformed firefighters in the City of Cleveland, rising from 4% at the time of the initial filing of the lawsuit to a steady 26% over the last twelve years. (ECF # 99). Finally, the evidence also shows that the percentage of minority candidates taking the most recent exam who made it on to the hiring eligibility list is 70%, only 4% lower than the overall percentage of eligible candidates taking the test. (ECF # 99). A 4% difference between the overall eligibility rate of exam takers and the minority eligibility rate is not strong evidence of any
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Tr. at 27, 148); the City has voluntarily provided preference points to the graduates of the MLK firefighting program (Dec. 19, 2012 Tr. at 28, 119, 153-54); there are a significant number of minorities in leadership positions with the City, the Public Safety Department, and the Fire Department who have influence on the hiring practices of the Cleveland Fire Department (Dec. 19, 2012 Tr. at 142-43). Further, there has been a substantial increase in the percentage of minority uniformed firefighters in the City of Cleveland, rising from 4% at the time of the initial filing of the lawsuit to a steady 26% over the last twelve years. (ECF # 99). Finally, the evidence also shows that the percentage of minority candidates taking the most recent exam who made it on to the hiring eligibility list is 70%, only 4% lower than the overall percentage of eligible candidates taking the test. (ECF # 99). A 4% difference between the overall eligibility rate of exam takers and the minority eligibility rate is not strong evidence of any discriminatory intent or effect arising from the exam or the scoring methods currently implemented by the City. All of these factors combine to compel a finding that there is no evidence, let alone strong evidence, of any discrimination by Cleveland’s Fire Department with regard to their hiring practices, exam content, or scoring methods. Further, there is no evidence that continuing the race-based classifications and hiring ratios will remedy any on-going effects of past discrimination. The increase from 4% to 26% minority representation within the Fire Department (notwithstanding that hiring efforts have been unavoidably stalled for nearly a decade), combined with the presence of minority leadership in the City and in the Fire Department itself, as well as the existence of organizations committed to increasing minority participation in the firefighting industry, have eliminated any long term effects of the prior lack of minority representation in the department on future hiring decisions. (Dec. 19, 2012 Tr. at 36, 142-43). The evidence has also made clear that due to age restrictions in the hiring criteria of firefighters (a restriction
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discriminatory intent or effect arising from the exam or the scoring methods currently implemented by the City. All of these factors combine to compel a finding that there is no evidence, let alone strong evidence, of any discrimination by Cleveland’s Fire Department with regard to their hiring practices, exam content, or scoring methods. Further, there is no evidence that continuing the race-based classifications and hiring ratios will remedy any on-going effects of past discrimination. The increase from 4% to 26% minority representation within the Fire Department (notwithstanding that hiring efforts have been unavoidably stalled for nearly a decade), combined with the presence of minority leadership in the City and in the Fire Department itself, as well as the existence of organizations committed to increasing minority participation in the firefighting industry, have eliminated any long term effects of the prior lack of minority representation in the department on future hiring decisions. (Dec. 19, 2012 Tr. at 36, 142-43). The evidence has also made clear that due to age restrictions in the hiring criteria of firefighters (a restriction not challenged by any of the parties) there cannot possibly be anyone eligible for hire from this date forward who was personally affected, posi tively or negatively, by any of the prior discrimination addressed by the original lawsuit. (Dec. 19, 2012 Tr. at 121). In addition, there are no longer any employees in the Cleveland Fire Department who were employed there at the time the original consent decree was put in place. Therefore, there are no current employees in the department who have been either positively or negatively affected by any prior discrimination as alleged in the original lawsuit. For all of these reasons, the Court finds that there is simply no evidence that would support the conclusion that a continuation of the 2000 amended consent decree would serve to remedy past discrimination by the Cleveland Fire Department. Rather there is an abundance of evidence to suggest that any past discrimination by the Fire Department in its hiring practices has been eliminated, and there is no continuing impact arising from that past discrimination on any current
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not challenged by any of the parties) there cannot possibly be anyone eligible for hire from this date forward who was personally affected, posi tively or negatively, by any of the prior discrimination addressed by the original lawsuit. (Dec. 19, 2012 Tr. at 121). In addition, there are no longer any employees in the Cleveland Fire Department who were employed there at the time the original consent decree was put in place. Therefore, there are no current employees in the department who have been either positively or negatively affected by any prior discrimination as alleged in the original lawsuit. For all of these reasons, the Court finds that there is simply no evidence that would support the conclusion that a continuation of the 2000 amended consent decree would serve to remedy past discrimination by the Cleveland Fire Department. Rather there is an abundance of evidence to suggest that any past discrimination by the Fire Department in its hiring practices has been eliminated, and there is no continuing impact arising from that past discrimination on any current or future employees, or in the hiring process itself. Therefore, the race-based hiring ratios contained in the 2000 amended consent decree are not narrowly tailored to address a compelling governmental interest, cannot pass strict scrutiny, and are unconstitutional under the Equal Protection Clause of the United States Constitution. B. Continuation of Race Neutral Provisions of the 2000 Amended Consent Decree The Sixth Circuit case of Gonzales v. Galvin, 151 F.3d 526 (6th Cir.1998), sets forth the criteria a court should consider when determining whether to terminate a consent decree that has not expired on its own terms. Although, as mentioned above, this case does not involve the early termination of a consent decree, but rather a request to extend the terms of an already expired decree, even the higher threshold requirements for termination under Gonzales would be satisfied in this case. Gonzales instructed that a district court should consider the following factors when deciding whether to terminate a consent decree: (1) any specific terms providing for continued supervision and jurisdiction over the consent decree; (2) the consent
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or future employees, or in the hiring process itself. Therefore, the race-based hiring ratios contained in the 2000 amended consent decree are not narrowly tailored to address a compelling governmental interest, cannot pass strict scrutiny, and are unconstitutional under the Equal Protection Clause of the United States Constitution. B. Continuation of Race Neutral Provisions of the 2000 Amended Consent Decree The Sixth Circuit case of Gonzales v. Galvin, 151 F.3d 526 (6th Cir.1998), sets forth the criteria a court should consider when determining whether to terminate a consent decree that has not expired on its own terms. Although, as mentioned above, this case does not involve the early termination of a consent decree, but rather a request to extend the terms of an already expired decree, even the higher threshold requirements for termination under Gonzales would be satisfied in this case. Gonzales instructed that a district court should consider the following factors when deciding whether to terminate a consent decree: (1) any specific terms providing for continued supervision and jurisdiction over the consent decree; (2) the consent decree’s underlying goals; (3) whether there has been compliance with prior court orders; (4) whether defendants made a good faith effort to comply; (5) the length of time the consent decree has been in effect; and, (6) the continuing efficacy of the consent decree’s enforcement. Id. at 531. Notwithstanding these factors, Gonzales held that a district court may not terminate its jurisdiction until it finds that the Defendants are in compliance with the decree’s terms, and that the decree’s objectives have been achieved. The reasoning behind this edict is to give effect to the parties agreement and ensure that the bargained for results are achieved. Id. (citing Jansen v. City of Cincinnati, 977 F.2d 238, 241 (6th Cir.1992)). This must be somewhat tempered, however, when the parties’ agreement has a significant negative effect on third parties who did not join in the agreement. As indicated above, in this case, none of the individuals who would now be affected by a continuation of the 2000 amended consent decree were parties to, or even impacted by the
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decree’s underlying goals; (3) whether there has been compliance with prior court orders; (4) whether defendants made a good faith effort to comply; (5) the length of time the consent decree has been in effect; and, (6) the continuing efficacy of the consent decree’s enforcement. Id. at 531. Notwithstanding these factors, Gonzales held that a district court may not terminate its jurisdiction until it finds that the Defendants are in compliance with the decree’s terms, and that the decree’s objectives have been achieved. The reasoning behind this edict is to give effect to the parties agreement and ensure that the bargained for results are achieved. Id. (citing Jansen v. City of Cincinnati, 977 F.2d 238, 241 (6th Cir.1992)). This must be somewhat tempered, however, when the parties’ agreement has a significant negative effect on third parties who did not join in the agreement. As indicated above, in this case, none of the individuals who would now be affected by a continuation of the 2000 amended consent decree were parties to, or even impacted by the original litigation and consent decree. Further, as the new eligibility list was created based on a 2010 exam, many of the individuals who will be impacted by this Court’s decision were not involved with or represented in the negotiations leading to the 2000 amended consent decree. When originally faced with the question of whether to extend the 2000 amended consent decree, this Court considered preliminary briefing, held an evidentiary hearing, and requested additional briefing on whether a continuation of the 2000 amended consent decree was necessary to achieve the goals originally sought by the parties. All parties disregarded that request, submitting instead an agreement to extend portions of the 2000 amended consent decree for another six years, through December 31, 2014. The evidence presented in the first hearing, the briefs submitted on remand, and the evidentiary hearing held in December all lead to the conclusion that the goals of the original consent decree and of the amended consent decrees have all been satisfied and no further extensions are warranted. At least five of the six factors
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original litigation and consent decree. Further, as the new eligibility list was created based on a 2010 exam, many of the individuals who will be impacted by this Court’s decision were not involved with or represented in the negotiations leading to the 2000 amended consent decree. When originally faced with the question of whether to extend the 2000 amended consent decree, this Court considered preliminary briefing, held an evidentiary hearing, and requested additional briefing on whether a continuation of the 2000 amended consent decree was necessary to achieve the goals originally sought by the parties. All parties disregarded that request, submitting instead an agreement to extend portions of the 2000 amended consent decree for another six years, through December 31, 2014. The evidence presented in the first hearing, the briefs submitted on remand, and the evidentiary hearing held in December all lead to the conclusion that the goals of the original consent decree and of the amended consent decrees have all been satisfied and no further extensions are warranted. At least five of the six factors the court has been instructed to consider under Gonzales weigh heavily in favor of a finding that the parties have indeed complied, to the best of their abilities, with the terms of the 2000 amended consent decree; and, all evidence suggests that further enforcement of the decree is unlikely to have any substantive effect in furtherance of the goals and issues addressed therein. The first factor has little to no weight under the current circumstances, but it would also weigh, if at all, in favor of terminating the decree. Looking at the first Gonzales factor, the 2000 amended consent decree does specify that if the Fire Department does not achieve 33 and one third percent minority representation, or if it does not complete three hiring cycles implementing the one in three minority hiring ratios, the Court shall extend the decree for a reasonable time. As discussed above, however, the imposition of a race-based hiring quota does not withstand constitutional scrutiny, and is unenforceable. As noted by the Sixth Circuit in its opinion remanding this case, the
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the court has been instructed to consider under Gonzales weigh heavily in favor of a finding that the parties have indeed complied, to the best of their abilities, with the terms of the 2000 amended consent decree; and, all evidence suggests that further enforcement of the decree is unlikely to have any substantive effect in furtherance of the goals and issues addressed therein. The first factor has little to no weight under the current circumstances, but it would also weigh, if at all, in favor of terminating the decree. Looking at the first Gonzales factor, the 2000 amended consent decree does specify that if the Fire Department does not achieve 33 and one third percent minority representation, or if it does not complete three hiring cycles implementing the one in three minority hiring ratios, the Court shall extend the decree for a reasonable time. As discussed above, however, the imposition of a race-based hiring quota does not withstand constitutional scrutiny, and is unenforceable. As noted by the Sixth Circuit in its opinion remanding this case, the Constitution clearly trumps any provisions set forth in a consent decree. Therefore, any time line that is based on the fulfillment of the race-based ratios is unenforceable and cannot provide weight in favor of continuation under Gonzales’ first factor. With regard to the race neutral requirements of the 2000 amended consent decree, there are no specific time lines or expiration dates set by the terms of the agreement. Although a review of the entrance exam was to have taken place by January 1, 2008, there are no provisions for extending the 2000 amended consent decree based on a failure to meet this deadline. Further, the decree specifically states that any recommended changes would not take effect until after the termination of the Headen decree. Therefore, it does not appear that Judge Manos or the parties contemplated that any changes in the exam would be subject to court supervision under the 2000 amended consent decree, and the parties have not argued that the decree contemplated a continuance of the recruitment requirements for any particular duration. Factor one,
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Constitution clearly trumps any provisions set forth in a consent decree. Therefore, any time line that is based on the fulfillment of the race-based ratios is unenforceable and cannot provide weight in favor of continuation under Gonzales’ first factor. With regard to the race neutral requirements of the 2000 amended consent decree, there are no specific time lines or expiration dates set by the terms of the agreement. Although a review of the entrance exam was to have taken place by January 1, 2008, there are no provisions for extending the 2000 amended consent decree based on a failure to meet this deadline. Further, the decree specifically states that any recommended changes would not take effect until after the termination of the Headen decree. Therefore, it does not appear that Judge Manos or the parties contemplated that any changes in the exam would be subject to court supervision under the 2000 amended consent decree, and the parties have not argued that the decree contemplated a continuance of the recruitment requirements for any particular duration. Factor one, therefore, if it has any weight at all, would tend to support the Court’s refusal to extend the 2000 amended consent decree with regard to the race neutral requirements of the agreement. With regard to the second factor, the Court finds that there is strong evidence that the underlying goal of the 2000 amended consent decree, and all of its previous iterations, was to eliminate race discrimination in the hiring of Cleveland firefighters, and to remedy the effects of any past discrimination. As discussed in more detail in the constitutionality discussion set forth above, there is no evidence whatsoever of any on-going discrimination, or of any remaining impact from past discriminatory practices on current candidates or current employees of the Cleveland Fire Department. More specifically, the original consent decree was implemented to address the Court’s Order requiring a review of the entrance exam, additional minority recruitment efforts, the provision of preference points to City of Cleveland residents, and the implementation of non-discriminatory screening procedures in the hiring process for firefighters. See Headen v. City of Cleveland,
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therefore, if it has any weight at all, would tend to support the Court’s refusal to extend the 2000 amended consent decree with regard to the race neutral requirements of the agreement. With regard to the second factor, the Court finds that there is strong evidence that the underlying goal of the 2000 amended consent decree, and all of its previous iterations, was to eliminate race discrimination in the hiring of Cleveland firefighters, and to remedy the effects of any past discrimination. As discussed in more detail in the constitutionality discussion set forth above, there is no evidence whatsoever of any on-going discrimination, or of any remaining impact from past discriminatory practices on current candidates or current employees of the Cleveland Fire Department. More specifically, the original consent decree was implemented to address the Court’s Order requiring a review of the entrance exam, additional minority recruitment efforts, the provision of preference points to City of Cleveland residents, and the implementation of non-discriminatory screening procedures in the hiring process for firefighters. See Headen v. City of Cleveland, No. C73330 (N.D.Ohio Apr. 25, 1975). As of December 19, 2012 the evidence shows that the entrance examination has been reviewed by the City and outside consultants, and that changes resulting from this review were implemented in the 2010 exam. (Dec. 19, 2012 Tr. at 119, 142-43; Ambroz Aff. § 2). The evidence farther shows that the City has made outstanding advances in minority and general recruitment practices and the Fire Department continues to dedicate extraordinary amounts of time and resources to continuing these recruitment efforts despite the expiration of the 2000 amended consent decree. (Dec. 19, 2012 Tr. at 20-22, 27-29, 30-33, 38-39, 41-42, 46-47, 49, 52, 53, 55, 64-68, 146-48). There is no dispute that the Cleveland resident preferences points have been made available, and that they, in fact, are crucial to obtaining a high enough spot on the eligibility list to obtain an employment offer. (Dec. 19, 2012 Tr. at 29, 120; Ex. 93-D; 93-E). Finally, there has absolutely no evidence presented that there remain any discriminatory screening procedures in the hiring process
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No. C73330 (N.D.Ohio Apr. 25, 1975). As of December 19, 2012 the evidence shows that the entrance examination has been reviewed by the City and outside consultants, and that changes resulting from this review were implemented in the 2010 exam. (Dec. 19, 2012 Tr. at 119, 142-43; Ambroz Aff. § 2). The evidence farther shows that the City has made outstanding advances in minority and general recruitment practices and the Fire Department continues to dedicate extraordinary amounts of time and resources to continuing these recruitment efforts despite the expiration of the 2000 amended consent decree. (Dec. 19, 2012 Tr. at 20-22, 27-29, 30-33, 38-39, 41-42, 46-47, 49, 52, 53, 55, 64-68, 146-48). There is no dispute that the Cleveland resident preferences points have been made available, and that they, in fact, are crucial to obtaining a high enough spot on the eligibility list to obtain an employment offer. (Dec. 19, 2012 Tr. at 29, 120; Ex. 93-D; 93-E). Finally, there has absolutely no evidence presented that there remain any discriminatory screening procedures in the hiring process for Cleveland firefighters. All evidence supports a finding that the goals of the 2000 amended consent decree have been achieved and the issues addressed by the original and only Court Order identifying discrimination by the Cleveland Fire Department have been fully resolved. Factor two, therefore, weights heavily in favor of allowing the 2000 amended consent decree to expire as originally planned in September Of 2008. There is also ample evidence that the City of Cleveland has, to the extent possible, complied with all prior court orders, including the requirement of reinvigorating the prior recruitment and training efforts for the entry level position of firefighter (Dec. 19, 2012 Tr. at 31-32, 44, 42, 46-47, 52-53, 145-146, 152-53); reviewing the exam substance, scoring, and weighting of future exams (Dec. 19, 2012 Tr. at 119, 142-43; Ambroz Aff. § 2); implementing a specific educational program to train students at the MLK high school in firefighting and other public service careers (Dec. 19, 2012 Tr. at 27, 148); making concerted efforts to increase minority recruitment and tutor or otherwise assist
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for Cleveland firefighters. All evidence supports a finding that the goals of the 2000 amended consent decree have been achieved and the issues addressed by the original and only Court Order identifying discrimination by the Cleveland Fire Department have been fully resolved. Factor two, therefore, weights heavily in favor of allowing the 2000 amended consent decree to expire as originally planned in September Of 2008. There is also ample evidence that the City of Cleveland has, to the extent possible, complied with all prior court orders, including the requirement of reinvigorating the prior recruitment and training efforts for the entry level position of firefighter (Dec. 19, 2012 Tr. at 31-32, 44, 42, 46-47, 52-53, 145-146, 152-53); reviewing the exam substance, scoring, and weighting of future exams (Dec. 19, 2012 Tr. at 119, 142-43; Ambroz Aff. § 2); implementing a specific educational program to train students at the MLK high school in firefighting and other public service careers (Dec. 19, 2012 Tr. at 27, 148); making concerted efforts to increase minority recruitment and tutor or otherwise assist potential candidates to prepare for the firefighting exam (Dec. 19, 2012 Tr. at 31-32, 39, 49, 66-68); and, providing significant preference points to City of Cleveland residents to increase their rank on the eligibility list, (Dec. 19, 2012 Tr. at 29, 120). Further, no party has challenged that other aspects of the decree were fully complied with, including but not limited to re-scoring the written portion of the 1999 exam; paying attorney’s fee for the Plaintiffs; negotiating with Vanguard and the other Plaintiffs to reinvigorate the existing recruitment and training efforts (ECF #33, Dec. 19, 2012 Tr. at 39-40); and, maintaining the existing method of assigning seniority to persons on the eligibility list. Where compliance has been made impossible by unforeseen economic factors, as in the City’s failure to complete three hiring cycles by September 29, 2008, the City has made good faith efforts to comply. They conducted one hiring cycle utilizing the Headen ratios and when hiring was stalled due to economic factors, made extreme efforts to extend and protect the eligibility list that included
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potential candidates to prepare for the firefighting exam (Dec. 19, 2012 Tr. at 31-32, 39, 49, 66-68); and, providing significant preference points to City of Cleveland residents to increase their rank on the eligibility list, (Dec. 19, 2012 Tr. at 29, 120). Further, no party has challenged that other aspects of the decree were fully complied with, including but not limited to re-scoring the written portion of the 1999 exam; paying attorney’s fee for the Plaintiffs; negotiating with Vanguard and the other Plaintiffs to reinvigorate the existing recruitment and training efforts (ECF #33, Dec. 19, 2012 Tr. at 39-40); and, maintaining the existing method of assigning seniority to persons on the eligibility list. Where compliance has been made impossible by unforeseen economic factors, as in the City’s failure to complete three hiring cycles by September 29, 2008, the City has made good faith efforts to comply. They conducted one hiring cycle utilizing the Headen ratios and when hiring was stalled due to economic factors, made extreme efforts to extend and protect the eligibility list that included the Headen preferences. (ECF # 44). Therefore, factors three and four also weigh heavily in favor of allowing the expiration of the 2000 amended consent decree. The original consent decree and its two amendments have imposed race-based hiring ratios and other affirmative requirements on the City for nearly forty years. If extended the parties seek to have the decree in effect for over forty years in total. The parties have suggested that this may be the longest running consent decree in history, and more importantly, because of the passing of time, the decree has absolutely no effect on any individual who was impacted by the original discrimination. Rather, the parties now seek to have it applied to individuals who were not even born at the time the original lawsuit was filed. The consent decree has been allowed to continue for nearly forty years without a single showing of on-going discrimination or any proof that a single interested candidate was kept from employment based on their minority status or the effects of prior discrimination since the filing of
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the Headen preferences. (ECF # 44). Therefore, factors three and four also weigh heavily in favor of allowing the expiration of the 2000 amended consent decree. The original consent decree and its two amendments have imposed race-based hiring ratios and other affirmative requirements on the City for nearly forty years. If extended the parties seek to have the decree in effect for over forty years in total. The parties have suggested that this may be the longest running consent decree in history, and more importantly, because of the passing of time, the decree has absolutely no effect on any individual who was impacted by the original discrimination. Rather, the parties now seek to have it applied to individuals who were not even born at the time the original lawsuit was filed. The consent decree has been allowed to continue for nearly forty years without a single showing of on-going discrimination or any proof that a single interested candidate was kept from employment based on their minority status or the effects of prior discrimination since the filing of the lawsuit in 1973. Nonetheless, an extension of the 2000 amended consent decree would create a disadvantage for some non-minority candidates who have never received any benefit from prior discriminatory practices, but are nonetheless being prevented from obtaining employment based solely on the basis of their own race. There can be absolutely no doubt that significant changes have occurred in society, in the City and its leadership, and in the Fire Department itself that have eliminated many of the causes of the prior discrimination by the Cleveland Fire Department. Although some may argue that trends and circumstances in our society still limit the opportunities for minorities, there is absolutely no evidence that the Cleveland Fire Department has done anything over the last thirty plus years other than encourage and assist minority candidates who are interested in a career in firefighting. There is no evidence that minorities have anything less than an equal opportunity to pursue a career with the Fire Department, and the evidence suggests, in fact, that even without the Headen ratios in place they
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the lawsuit in 1973. Nonetheless, an extension of the 2000 amended consent decree would create a disadvantage for some non-minority candidates who have never received any benefit from prior discriminatory practices, but are nonetheless being prevented from obtaining employment based solely on the basis of their own race. There can be absolutely no doubt that significant changes have occurred in society, in the City and its leadership, and in the Fire Department itself that have eliminated many of the causes of the prior discrimination by the Cleveland Fire Department. Although some may argue that trends and circumstances in our society still limit the opportunities for minorities, there is absolutely no evidence that the Cleveland Fire Department has done anything over the last thirty plus years other than encourage and assist minority candidates who are interested in a career in firefighting. There is no evidence that minorities have anything less than an equal opportunity to pursue a career with the Fire Department, and the evidence suggests, in fact, that even without the Headen ratios in place they may have a greater opportunity than non-minority candidates through the establishment of the MLK firefighting program and the preference points offered to its graduates and to Cleveland City residents. Whether they take advantage of these opportunities is not a matter that is within the control of the Cleveland Fire Department, nor is that an issue that can be, or should be addressed by the terms of a consent decree. The Cleveland Fire Department has increased from 4% minority representation in 1973 to 26% representation in 2000. The 26% representation has remained level for over a decade now. Despite what can only be seen as extraordinary efforts to engage and nurture a larger pool of minority candidates over the course of the last thirty years, there is no indication that minority applications for the position of firefighter have increased over that time. At the latest exam, just over 35% of the applicants were minorities, and only 32% of the people who actually took the exam were minorities. This is compared with Dr. Sallings’s demographic finding that 60%
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may have a greater opportunity than non-minority candidates through the establishment of the MLK firefighting program and the preference points offered to its graduates and to Cleveland City residents. Whether they take advantage of these opportunities is not a matter that is within the control of the Cleveland Fire Department, nor is that an issue that can be, or should be addressed by the terms of a consent decree. The Cleveland Fire Department has increased from 4% minority representation in 1973 to 26% representation in 2000. The 26% representation has remained level for over a decade now. Despite what can only be seen as extraordinary efforts to engage and nurture a larger pool of minority candidates over the course of the last thirty years, there is no indication that minority applications for the position of firefighter have increased over that time. At the latest exam, just over 35% of the applicants were minorities, and only 32% of the people who actually took the exam were minorities. This is compared with Dr. Sallings’s demographic finding that 60% of the age eligible community in the City of Cleveland are minorities. Taking into account the broad and comprehensive recruiting efforts made by the City of Cleveland; the free tutoring programs sponsored by the City aimed at enhancing exam scores; the establishment of a firefighting program at the nearly exclusively minority high school; the preference points given to Cleveland City residents on the exam; the highly competitive nature of the exam; and the five point preference given to the MLK program graduates, the 32% minority turn out rate for the latest exam leads to the conclusion that nothing within the control of the City of Cleveland, including a heightened degree of recruitment, tutoring, training, or preference points has been, or likely will be effective in luring a- population proportionate number of minority candidates to sit for and pass the firefighters exam. This further leads to the conclusion that the sixth factor of the Gonzales test weighs against the continuation of the 2000' amended consent decree, as there is no evidence that would suggest an extension
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of the age eligible community in the City of Cleveland are minorities. Taking into account the broad and comprehensive recruiting efforts made by the City of Cleveland; the free tutoring programs sponsored by the City aimed at enhancing exam scores; the establishment of a firefighting program at the nearly exclusively minority high school; the preference points given to Cleveland City residents on the exam; the highly competitive nature of the exam; and the five point preference given to the MLK program graduates, the 32% minority turn out rate for the latest exam leads to the conclusion that nothing within the control of the City of Cleveland, including a heightened degree of recruitment, tutoring, training, or preference points has been, or likely will be effective in luring a- population proportionate number of minority candidates to sit for and pass the firefighters exam. This further leads to the conclusion that the sixth factor of the Gonzales test weighs against the continuation of the 2000' amended consent decree, as there is no evidence that would suggest an extension would increase the efficacy of the decree or further advance its goals. Based on all of the facts presented at the evidentiary hearings, all of the evidence submitted in support of the parties briefs, and a review of all of the relevant law, this Court finds that the City of Cleveland has substantially complied with the terms of the 2000 amended consent decree in all aspects except for a full implementation of the race-based hiring ratios originally contemplated in the 2000 amended consent decree. For the reasons set forth above, further use of these ratios under the current circumstances would be unconstitutional under the Equal Protection Clause of the United States Constitution. They are, therefore, unenforceable provisions and cannot be said to prevent a finding of full compliance. This Court further finds that the decree’s objectives have been achieved in so far as there is no evidence of continuing discrimination in the hiring practices of the Cleveland Fire Department and there is no evidence of any continuing repercussions resulting from the prior discrimination outlined in the
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would increase the efficacy of the decree or further advance its goals. Based on all of the facts presented at the evidentiary hearings, all of the evidence submitted in support of the parties briefs, and a review of all of the relevant law, this Court finds that the City of Cleveland has substantially complied with the terms of the 2000 amended consent decree in all aspects except for a full implementation of the race-based hiring ratios originally contemplated in the 2000 amended consent decree. For the reasons set forth above, further use of these ratios under the current circumstances would be unconstitutional under the Equal Protection Clause of the United States Constitution. They are, therefore, unenforceable provisions and cannot be said to prevent a finding of full compliance. This Court further finds that the decree’s objectives have been achieved in so far as there is no evidence of continuing discrimination in the hiring practices of the Cleveland Fire Department and there is no evidence of any continuing repercussions resulting from the prior discrimination outlined in the 1973 complaint and the 1975 Court Order which gave rise to the original consent decree and its future amendments. For these reasons, the requests for extension of the 2000 amended consent decree are denied. Conclusion For the reasons set forth above, this Court finds that the 2000 amended consent decree in the above captioned litigation is no longer necessary to advance the goals of that decree, and that the City has substantially complied with all enforceable terms of the decree. The race-based provisions are no longer needed to address past discrimination and arc, consequently, unconstitutional. Therefore, the City’s Motion for Extension of Time to Comply with the Headen Decree (ECF #44), the Vanguards of Cleveland’s Molion to Extend the Terms of the Second Amended Consent Decree (ECF # 45), and the Vanguards renewed Motion to Extend (ECF # 83) are denied. This case is terminated. IT IS SO ORDERED. JUDGMENT ORDER For the reasons set forth in this Court’s Memorandum Opinion, the Court finds that the 2000 amended consent decree in the above captioned litigation is no longer necessary
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1973 complaint and the 1975 Court Order which gave rise to the original consent decree and its future amendments. For these reasons, the requests for extension of the 2000 amended consent decree are denied. Conclusion For the reasons set forth above, this Court finds that the 2000 amended consent decree in the above captioned litigation is no longer necessary to advance the goals of that decree, and that the City has substantially complied with all enforceable terms of the decree. The race-based provisions are no longer needed to address past discrimination and arc, consequently, unconstitutional. Therefore, the City’s Motion for Extension of Time to Comply with the Headen Decree (ECF #44), the Vanguards of Cleveland’s Molion to Extend the Terms of the Second Amended Consent Decree (ECF # 45), and the Vanguards renewed Motion to Extend (ECF # 83) are denied. This case is terminated. IT IS SO ORDERED. JUDGMENT ORDER For the reasons set forth in this Court’s Memorandum Opinion, the Court finds that the 2000 amended consent decree in the above captioned litigation is no longer necessary to advance the goals of that decree, and that the City has substantially complied with all enforceable terms of the decree. The race-based provisions are no longer needed to address past discrimination and are, consequently, unconstitutional. Therefore, City’s Motion for Extension of Time to Comply with the Headen Decree (ECF # 44), the Vanguards of Cleveland’s Motion to Extend the Terms of the Second Amended Consent Decree (ECF # 45), and the Vanguards’ renewed Motion to Extend (ECF #83) are denied. This case is terminated. IT IS SO ORDERED. . At this point the case has been under Court supervision for over thirty-nine years. . Although the MLK program is facially race neutral, as set forth above, it is available only to full time students at MLK high school. The population of that school is nearly 100% minority. Therefore, the opportunity to participate and eventually obtain these preference points is available to far more minorities than non-minorities, should the students choose to take advantage of this opportunity. Only “five to six” of the approximately 500 graduates from
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to advance the goals of that decree, and that the City has substantially complied with all enforceable terms of the decree. The race-based provisions are no longer needed to address past discrimination and are, consequently, unconstitutional. Therefore, City’s Motion for Extension of Time to Comply with the Headen Decree (ECF # 44), the Vanguards of Cleveland’s Motion to Extend the Terms of the Second Amended Consent Decree (ECF # 45), and the Vanguards’ renewed Motion to Extend (ECF #83) are denied. This case is terminated. IT IS SO ORDERED. . At this point the case has been under Court supervision for over thirty-nine years. . Although the MLK program is facially race neutral, as set forth above, it is available only to full time students at MLK high school. The population of that school is nearly 100% minority. Therefore, the opportunity to participate and eventually obtain these preference points is available to far more minorities than non-minorities, should the students choose to take advantage of this opportunity. Only “five to six” of the approximately 500 graduates from the MLK firefighting program have been non-minority. (Dec. 19, 2012 Tr. at 27). . Two hundred and ninety-seven of the top 300 candidates on the eligibility list received ten preference points for City residency. Three received ten preference points for being a disabled veteran. (Ex. 93-D, 93-E). The post-hearing brief of the Vanguards and Headen Plaintiffs calculates that nearly fifteen percent more minorities receive City residency preference points than do non-minorities. (ECF # 98 at 5). . Chief Luke and Chief Brewington both testified that they hold a personal belief that the consent decree has been the impetus for the recruitment and educational changes that have been made. This is an indication that the consent decree has in fact served a positive purpose by bringing these changes to light and highlighting the importance of prioritizing minority recruitment and diversity in employment at the Fire Department. It is not, however, evidence that an extension of the 2000 amended consent decree is needed in the future to remedy past discrimination. Chief Brewington also expressed a personal belief that society
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the MLK firefighting program have been non-minority. (Dec. 19, 2012 Tr. at 27). . Two hundred and ninety-seven of the top 300 candidates on the eligibility list received ten preference points for City residency. Three received ten preference points for being a disabled veteran. (Ex. 93-D, 93-E). The post-hearing brief of the Vanguards and Headen Plaintiffs calculates that nearly fifteen percent more minorities receive City residency preference points than do non-minorities. (ECF # 98 at 5). . Chief Luke and Chief Brewington both testified that they hold a personal belief that the consent decree has been the impetus for the recruitment and educational changes that have been made. This is an indication that the consent decree has in fact served a positive purpose by bringing these changes to light and highlighting the importance of prioritizing minority recruitment and diversity in employment at the Fire Department. It is not, however, evidence that an extension of the 2000 amended consent decree is needed in the future to remedy past discrimination. Chief Brewington also expressed a personal belief that society has not yet risen to the level where discrimination can be avoided without the oversight of judicial enforcement. This too falls short of providing evidence that continued judicial enforcement of the 2000 amended consent decree is required to remedy past discrimination. It is, rather, an expression of a personal fear of future discrimination based on Chief Brewington’s experience and personal history that is understandable but not supported by the evidence presented in this case. Further, it should be noted that judicial enforcement of the equal right guarantees of the United States Constitution is always an available remedy for any future discrimination, and as such, is itself a deterrent to future discrimination. However, the fear of future discrimination does not justify the current imposition of race-based hiring criteria or "affirmative action” that itself violates the equal protection guarantees of the Constitution. . Although the Court will discuss the opinions rendered by Dr. Sailing, and does accept that he has provided relevant information regarding the facts underlying his opinions, he does not qualify as an "expert witness” in
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has not yet risen to the level where discrimination can be avoided without the oversight of judicial enforcement. This too falls short of providing evidence that continued judicial enforcement of the 2000 amended consent decree is required to remedy past discrimination. It is, rather, an expression of a personal fear of future discrimination based on Chief Brewington’s experience and personal history that is understandable but not supported by the evidence presented in this case. Further, it should be noted that judicial enforcement of the equal right guarantees of the United States Constitution is always an available remedy for any future discrimination, and as such, is itself a deterrent to future discrimination. However, the fear of future discrimination does not justify the current imposition of race-based hiring criteria or "affirmative action” that itself violates the equal protection guarantees of the Constitution. . Although the Court will discuss the opinions rendered by Dr. Sailing, and does accept that he has provided relevant information regarding the facts underlying his opinions, he does not qualify as an "expert witness” in this case. Dr. Sailing may qualify as an expert in geography, demographics, and possibly even statistical analysis. However, while these areas of expertise may shed light on the general context and make-up of the relevant community, they are not relevant to the base question of whether these statistical comparisons indicate any actual remaining ramifications of past discrimination by the Cleveland Fire Department, or whether there is any continuing discrimination being practiced by the Cleveland Fire Department. Dr. Sailing did not account for the effects of any of the many factors outside of discrimination by the Cleveland Fire Department that might affect whether minorities apply for, take, or receive passing grades on the firefighter entrance exam in numbers that are disproportionate to their representation in the general population of Cleveland. The Cleveland Fire Department cannot be held accountable for remedying or addressing any and all of those potential factors, nor does it have the power to force minorities to apply for, study for, take, and pass the exam when it is offered. Although Dr. Sailing articulated
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this case. Dr. Sailing may qualify as an expert in geography, demographics, and possibly even statistical analysis. However, while these areas of expertise may shed light on the general context and make-up of the relevant community, they are not relevant to the base question of whether these statistical comparisons indicate any actual remaining ramifications of past discrimination by the Cleveland Fire Department, or whether there is any continuing discrimination being practiced by the Cleveland Fire Department. Dr. Sailing did not account for the effects of any of the many factors outside of discrimination by the Cleveland Fire Department that might affect whether minorities apply for, take, or receive passing grades on the firefighter entrance exam in numbers that are disproportionate to their representation in the general population of Cleveland. The Cleveland Fire Department cannot be held accountable for remedying or addressing any and all of those potential factors, nor does it have the power to force minorities to apply for, study for, take, and pass the exam when it is offered. Although Dr. Sailing articulated what general ratios exist in the Department and in the City of Cleveland and surrounding areas, he made absolutely no determination as to what might cause these ratios to differ, nor does he have the expertise to do so. . In his report, Dr. Sailing projects that 46.8% of all applicants for the 2010 exam would be minorities. The parties have stipulated that 32% of the 2010 written exam takers were minorities, and 31% made it to the eligibility list. According to other declarations by Dr. Sailing, this is a statistically significant difference and it substantially skews his analysis. . The 33 and a third percent goal was not a mandatory requirement under the 2000 amended consent decree. This goal was set forth as a measure that, if achieved, would allow the 2000 amended consent decree to expire before three hiring cycles had been completed. It was not meant to be a reason for extending the duration of the 2000 amended consent decree. . The parties’ stipulations indicate that of the 1884 individuals taking the exam, 1403 names
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what general ratios exist in the Department and in the City of Cleveland and surrounding areas, he made absolutely no determination as to what might cause these ratios to differ, nor does he have the expertise to do so. . In his report, Dr. Sailing projects that 46.8% of all applicants for the 2010 exam would be minorities. The parties have stipulated that 32% of the 2010 written exam takers were minorities, and 31% made it to the eligibility list. According to other declarations by Dr. Sailing, this is a statistically significant difference and it substantially skews his analysis. . The 33 and a third percent goal was not a mandatory requirement under the 2000 amended consent decree. This goal was set forth as a measure that, if achieved, would allow the 2000 amended consent decree to expire before three hiring cycles had been completed. It was not meant to be a reason for extending the duration of the 2000 amended consent decree. . The parties’ stipulations indicate that of the 1884 individuals taking the exam, 1403 names made it to the hiring eligibility list. Of those taking the exam 609 were minority candidates and 429 of those minority candidates made the eligibility list. . Any larger discrepancy that may exist between the ratio of minorities to non-minorities in the general population of the relevant community and the ratio of minorities who actually choose to take the exam sheds no light on whether the exam and scoring procedures themselves have a discriminatory effect. As the original finding of discrimination was based on the effect of the exam and other scoring factors, determining whether this type of discrimination continues requires consideration of how minorities do on the exam in comparison to the overall pool of test takers, not whether or not minorities for whatever reason choose to take or refrain from taking the exam in the first place. This is especially true when all parties have presented evidence that the City’s recruitment efforts encouraging minority participation in the exam taking process have been extraordinary and above reproach. .In fact, two of the primary witnesses at the
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made it to the hiring eligibility list. Of those taking the exam 609 were minority candidates and 429 of those minority candidates made the eligibility list. . Any larger discrepancy that may exist between the ratio of minorities to non-minorities in the general population of the relevant community and the ratio of minorities who actually choose to take the exam sheds no light on whether the exam and scoring procedures themselves have a discriminatory effect. As the original finding of discrimination was based on the effect of the exam and other scoring factors, determining whether this type of discrimination continues requires consideration of how minorities do on the exam in comparison to the overall pool of test takers, not whether or not minorities for whatever reason choose to take or refrain from taking the exam in the first place. This is especially true when all parties have presented evidence that the City’s recruitment efforts encouraging minority participation in the exam taking process have been extraordinary and above reproach. .In fact, two of the primary witnesses at the most recent evidentiary hearings, Chief Luke and Johnny Brewington were minority firefighters who had achieved the rank of “Chief,” and who were committed to the ongoing recruitment of minority firefighters. Further, the current Cleveland Mayor is a minority as are the majority of the City Council members. . Although there is no evidence as to whether this was completed by the January 2008 deadline, the exam was re-evaluated using a professional consultant prior to the issuance of the first exam following the expiration of the Headen ratios. This would have been the first allowable time to implement any changes to the exam pursuant to the terms of the 2000 amended consent decree. . There is no reason to believe, based on the evidence presented that the City will not continue in its efforts to promote racial diversity in the Fire Department or that it will discriminate in any way in its future recruitment and hiring practices. However, even if future discrimination remains a fear by some of the parties to this litigation, the continued enforcement of the
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most recent evidentiary hearings, Chief Luke and Johnny Brewington were minority firefighters who had achieved the rank of “Chief,” and who were committed to the ongoing recruitment of minority firefighters. Further, the current Cleveland Mayor is a minority as are the majority of the City Council members. . Although there is no evidence as to whether this was completed by the January 2008 deadline, the exam was re-evaluated using a professional consultant prior to the issuance of the first exam following the expiration of the Headen ratios. This would have been the first allowable time to implement any changes to the exam pursuant to the terms of the 2000 amended consent decree. . There is no reason to believe, based on the evidence presented that the City will not continue in its efforts to promote racial diversity in the Fire Department or that it will discriminate in any way in its future recruitment and hiring practices. However, even if future discrimination remains a fear by some of the parties to this litigation, the continued enforcement of the 2000 amended consent decree is not justified by the fear of future discrimination. Racial classifications such as those contained in the 2000 decree can only be tolerated when they offer redress for past discrimination, they are not allowable as a preventative measure taken as insurance against potential future harms.
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MEMORANDUM OPINION AND ORDER ROBERT M. DOW, JR., District Judge. Following a jury trial, Melvin Newman was found guilty of fatally shooting Andy Dent in July 2001 and sentenced to a 47-year prison term. After launching an unsuccessful direct appeal of the verdict, Newman mounted a similarly unsuccessful collateral attack on his conviction in state court. Using the procedures called for in the Illinois Post-Conviction Act (725 ILCS 5/122-1(a)(1)), he raised three arguments. Only one of those arguments is pressed in this federal case, so there is no need to recount the others here. Newman’s remaining argument is that his lawyer failed to investigate and raise the issue of Newman’s fitness to stand trial, despite having received a two-inch-thick stack of diagnoses and other records from Newman’s mother and learning that Newman went to a “special school.” Those records included a document from the U.S. Social Security Administration (“SSA”) confirming that Newman had been found disabled in 1995 on the basis of mental retardation. Another document, an evaluation from a psychologist, stated that Newman had an IQ of 62, “yielding] a * * * national percentile rank of 1.” On June 21, 2006, the state trial court dismissed Newman’s post-conviction claims without holding an evidentiary hearing. The Illinois Appellate Court affirmed in a split decision, with Justice Wolfson dissenting on the ground that Newman had made a substantial showing of a constitutional violation and thus was entitled to an evidentiary hearing. After exhausting his post-conviction remedies in the Illinois state courts, Newman filed a habeas corpus petition in federal court alleging ineffective assistance of counsel [1], On September 21, 2010, 2010 WL 3780988, this Court issued an Order [31] concluding that Newman had established a prima, facie, case that his lawyer’s representation fell below the constitutional minimum and that Newman suffered prejudice as a result. Accordingly, the Court granted Newman’s request for an evidentiary hearing, which it held in the spring of 2011 [60, 61]. A few weeks after the hearing, on April 4, 2011, the Supreme Court issued its decision in Cullen v. Pinholster, - U.S. -, 131 S.Ct. 1388, 179 L.Ed.2d 557 (2011),
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62, “yielding] a * * * national percentile rank of 1.” On June 21, 2006, the state trial court dismissed Newman’s post-conviction claims without holding an evidentiary hearing. The Illinois Appellate Court affirmed in a split decision, with Justice Wolfson dissenting on the ground that Newman had made a substantial showing of a constitutional violation and thus was entitled to an evidentiary hearing. After exhausting his post-conviction remedies in the Illinois state courts, Newman filed a habeas corpus petition in federal court alleging ineffective assistance of counsel [1], On September 21, 2010, 2010 WL 3780988, this Court issued an Order [31] concluding that Newman had established a prima, facie, case that his lawyer’s representation fell below the constitutional minimum and that Newman suffered prejudice as a result. Accordingly, the Court granted Newman’s request for an evidentiary hearing, which it held in the spring of 2011 [60, 61]. A few weeks after the hearing, on April 4, 2011, the Supreme Court issued its decision in Cullen v. Pinholster, - U.S. -, 131 S.Ct. 1388, 179 L.Ed.2d 557 (2011), changing the landscape that applies to ineffective assistance of counsel habeas cases and limiting the circumstances in which district courts may hold evidentiary hearings and when they may consider evidence produced at those hearings. At the time of the post-hearing briefing, there was considerable uncertainty in regard to the proper application of Pinholster. However, the Seventh Circuit’s recent opinion in Mosley v. Atchison, 689 F.3d 838 (7th Cir.2012), provided clear guidance to district judges on how to proceed in a habeas case in the post-Pinholster world. Applying Mosley, the Court first assesses whether Newman has properly established a case under § 2254(d) looking only at the record before the state court. If Newman is successful under § 2254(d), the Court then may consider the additional evidence presented at the federal evidentiary hearing to determine whether Newman is entitled to relief. I. Legal Standard Federal courts are authorized to issue habeas corpus relief for persons in state custody pursuant to 28 U.S.C. § 2254, as amended by the Antiterrorism and Effective Death Penalty Act of 1996 (“AEDPA”). Section 2254(d)
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changing the landscape that applies to ineffective assistance of counsel habeas cases and limiting the circumstances in which district courts may hold evidentiary hearings and when they may consider evidence produced at those hearings. At the time of the post-hearing briefing, there was considerable uncertainty in regard to the proper application of Pinholster. However, the Seventh Circuit’s recent opinion in Mosley v. Atchison, 689 F.3d 838 (7th Cir.2012), provided clear guidance to district judges on how to proceed in a habeas case in the post-Pinholster world. Applying Mosley, the Court first assesses whether Newman has properly established a case under § 2254(d) looking only at the record before the state court. If Newman is successful under § 2254(d), the Court then may consider the additional evidence presented at the federal evidentiary hearing to determine whether Newman is entitled to relief. I. Legal Standard Federal courts are authorized to issue habeas corpus relief for persons in state custody pursuant to 28 U.S.C. § 2254, as amended by the Antiterrorism and Effective Death Penalty Act of 1996 (“AEDPA”). Section 2254(d) states: 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 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. Under § 2254(d), “federal courts are usually limited to deferential review of the reasonableness, rather than absolute correctness, of a state court decision.” Mosley, 689 F.3d at 844. For purposes of reasonableness review, “a state prisoner must show that the state court’s ruling on a claim being presented in federal court was so lacking in justification that there was an error well understood and comprehended in existing law beyond any possibility for fair-minded disagreement.”
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states: 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 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. Under § 2254(d), “federal courts are usually limited to deferential review of the reasonableness, rather than absolute correctness, of a state court decision.” Mosley, 689 F.3d at 844. For purposes of reasonableness review, “a state prisoner must show that the state court’s ruling on a claim being presented in federal court was so lacking in justification that there was an error well understood and comprehended in existing law beyond any possibility for fair-minded disagreement.” Harrington v. Richter, - U.S. -, 131 S.Ct. 770, 786-87, 178 L.Ed.2d 624 (2011). “Where the state court’s decision is ‘contrary to’ federal law, that decision is not entitled to usual AEDPA deference and is therefore reviewed de novo with the reviewing court applying the correct legal standard.” Mosley, 689 F.3d at 844 (citing Martin v. Grosshans, 424 F.3d 588, 592 (7th Cir.2005)). Federal review of a claim governed by § 2254(d) “is limited to the record that was before the state court that adjudicated the claim on the merits.” Pinholster, 131 S.Ct. at 1398. “It would be strange to ask federal courts to analyze whether a state court’s adjudication resulted in a decision that unreasonably applied federal law to facts not before the state court.” Id. at 1399. Therefore, under § 2254(d) “evidence later introduced in federal court is irrelevant.” Id. at 1400. If, however, § 2254(d) does not bar relief, then an evidentiary hearing may be needed to determine if the petitioner is being held in violation of the Constitution. Mosley, 689 F.3d at
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Harrington v. Richter, - U.S. -, 131 S.Ct. 770, 786-87, 178 L.Ed.2d 624 (2011). “Where the state court’s decision is ‘contrary to’ federal law, that decision is not entitled to usual AEDPA deference and is therefore reviewed de novo with the reviewing court applying the correct legal standard.” Mosley, 689 F.3d at 844 (citing Martin v. Grosshans, 424 F.3d 588, 592 (7th Cir.2005)). Federal review of a claim governed by § 2254(d) “is limited to the record that was before the state court that adjudicated the claim on the merits.” Pinholster, 131 S.Ct. at 1398. “It would be strange to ask federal courts to analyze whether a state court’s adjudication resulted in a decision that unreasonably applied federal law to facts not before the state court.” Id. at 1399. Therefore, under § 2254(d) “evidence later introduced in federal court is irrelevant.” Id. at 1400. If, however, § 2254(d) does not bar relief, then an evidentiary hearing may be needed to determine if the petitioner is being held in violation of the Constitution. Mosley, 689 F.3d at 844 (citing Pinholster, 131 S.Ct. at 1412 (Breyer, J., concurring in part and dissenting in part)). II. Analysis Newman claims that his trial lawyer rendered constitutionally ineffective assistance of counsel. To succeed on that claim, Newman must show (1) that counsel’s performance fell below an objective standard of reasonableness and (2) that he was prejudiced as a result. See Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984) (establishing the familiar two-part “performance” and “prejudice” test for ineffective assistance of counsel claims). Although in this case an evidentiary hearing was held before the Supreme Court decided Pinholster, the Court must decide whether the state court’s decision was contrary to or an unreasonable application of federal law based only on the evidence available to the state court when it made its decision. See Mosley, 689 F.3d at 844 n. 1. A. Section 2254(d) 1. Posl-Conviction State Court Proceedings Newman originally raised his ineffective assistance claim in state trial court pursuant to the Illinois Post-Conviction Act (725 ILCS 5/122—1(a)(1)). The trial court denied Newman’s claim in an
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844 (citing Pinholster, 131 S.Ct. at 1412 (Breyer, J., concurring in part and dissenting in part)). II. Analysis Newman claims that his trial lawyer rendered constitutionally ineffective assistance of counsel. To succeed on that claim, Newman must show (1) that counsel’s performance fell below an objective standard of reasonableness and (2) that he was prejudiced as a result. See Strickland v. Washington, 466 U.S. 668, 687, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984) (establishing the familiar two-part “performance” and “prejudice” test for ineffective assistance of counsel claims). Although in this case an evidentiary hearing was held before the Supreme Court decided Pinholster, the Court must decide whether the state court’s decision was contrary to or an unreasonable application of federal law based only on the evidence available to the state court when it made its decision. See Mosley, 689 F.3d at 844 n. 1. A. Section 2254(d) 1. Posl-Conviction State Court Proceedings Newman originally raised his ineffective assistance claim in state trial court pursuant to the Illinois Post-Conviction Act (725 ILCS 5/122—1(a)(1)). The trial court denied Newman’s claim in an oral ruling. Rather than addressing whether it was unreasonable for Newman’s lawyer to decline to investigate his client’s mental condition, the trial judge primarily discussed whether there was enough information available to the trial court such that it should have held a competency hearing on its own motion. To the extent that the trial judge made a finding that Newman was fit to stand trial, the court’s conclusions rested on a simplistic rationale: As to fitness, I personally had conversations with Mr. Newman; and I’m not inexperienced in this matter. And his responses were correct. If he was drooling or if his eyes were going someplace, counsel, I assure you, I would have sua sponte asked for a fitness hearing. His responses were appropriate. In fact, it wasn’t a yes-or-no mat ter when I asked him about the second degree murder instruction. He replied no. June 2006 Order at 17-18 (emphasis added); compare Am. Psychiatric Ass’n, Diagnostic and Statistical Manual of Mental Disorders 46 (4th ed. 1994) (“DSM-IV”) (diagnostic criteria for mental retardation are (a) significantly subaverage
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oral ruling. Rather than addressing whether it was unreasonable for Newman’s lawyer to decline to investigate his client’s mental condition, the trial judge primarily discussed whether there was enough information available to the trial court such that it should have held a competency hearing on its own motion. To the extent that the trial judge made a finding that Newman was fit to stand trial, the court’s conclusions rested on a simplistic rationale: As to fitness, I personally had conversations with Mr. Newman; and I’m not inexperienced in this matter. And his responses were correct. If he was drooling or if his eyes were going someplace, counsel, I assure you, I would have sua sponte asked for a fitness hearing. His responses were appropriate. In fact, it wasn’t a yes-or-no mat ter when I asked him about the second degree murder instruction. He replied no. June 2006 Order at 17-18 (emphasis added); compare Am. Psychiatric Ass’n, Diagnostic and Statistical Manual of Mental Disorders 46 (4th ed. 1994) (“DSM-IV”) (diagnostic criteria for mental retardation are (a) significantly subaverage intellectual functioning, (b) deficits in adaptive functioning in two of eleven specified areas, and (c) onset before age 18). No witness was called to testify in the state trial court, and Newman’s trial lawyer does not appear to have responded to the ineffective assistance allegation even in a subsequently filed affidavit. The trial court suggested that Newman’s answer of “no” to a question that did not call for a “yes” or “no” answer was evidence that Newman had given an “appropriate” response to the Court’s question. June 2006 Order at 18. Newman appealed the decision to dismiss his petition without an evidentiary hearing to the Illinois Appellate Court. In a 2-to-1 decision, the Appellate Court affirmed the lower court, ruling that the “defendant has failed to demonstrate that a bona fide doubt as to [Newman’s] fitness to stand trial existed at the time of trial.” People v. Newman, No. 1-06-1977, slip op. at 10 (Ill.App.Ct. Sept. 4, 2007). The Appellate Court did not reach the question of whether Newman’s trial counsel’s performance was constitutionally deficient; rather,
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intellectual functioning, (b) deficits in adaptive functioning in two of eleven specified areas, and (c) onset before age 18). No witness was called to testify in the state trial court, and Newman’s trial lawyer does not appear to have responded to the ineffective assistance allegation even in a subsequently filed affidavit. The trial court suggested that Newman’s answer of “no” to a question that did not call for a “yes” or “no” answer was evidence that Newman had given an “appropriate” response to the Court’s question. June 2006 Order at 18. Newman appealed the decision to dismiss his petition without an evidentiary hearing to the Illinois Appellate Court. In a 2-to-1 decision, the Appellate Court affirmed the lower court, ruling that the “defendant has failed to demonstrate that a bona fide doubt as to [Newman’s] fitness to stand trial existed at the time of trial.” People v. Newman, No. 1-06-1977, slip op. at 10 (Ill.App.Ct. Sept. 4, 2007). The Appellate Court did not reach the question of whether Newman’s trial counsel’s performance was constitutionally deficient; rather, it addressed only the issue of whether Newman suffered any prejudice as a result. Compare id. at 7 (“Where a defendant fails to show prejudice, the reviewing court need not determine whether the test of deficient performance was met”), with id. at 8-11 (reasoning that prejudice can be found only if there was, at the time of trial, bona fide doubt about fitness and concluding that no doubt about fitness existed). The court concluded that an expert report (the “Kavanaugh Report”), which indicated that Newman had an IQ within the “extremely low range” (meaning the 2.2 percentile), but which was prepared after Newman’s trial, was “irrelevant” because the facts as they existed at the time of trial were what mattered. In his dissenting opinion, Justice Wolfson expressed his view that Newman had “made a substantial showing of a constitutional violation” and thus should be entitled to an evidentiary hearing. Id. at 14. 2. Prejudice The Court begins its analysis with the only prong of the Strickland test that the state appellate court addressed on the merits —
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it addressed only the issue of whether Newman suffered any prejudice as a result. Compare id. at 7 (“Where a defendant fails to show prejudice, the reviewing court need not determine whether the test of deficient performance was met”), with id. at 8-11 (reasoning that prejudice can be found only if there was, at the time of trial, bona fide doubt about fitness and concluding that no doubt about fitness existed). The court concluded that an expert report (the “Kavanaugh Report”), which indicated that Newman had an IQ within the “extremely low range” (meaning the 2.2 percentile), but which was prepared after Newman’s trial, was “irrelevant” because the facts as they existed at the time of trial were what mattered. In his dissenting opinion, Justice Wolfson expressed his view that Newman had “made a substantial showing of a constitutional violation” and thus should be entitled to an evidentiary hearing. Id. at 14. 2. Prejudice The Court begins its analysis with the only prong of the Strickland test that the state appellate court addressed on the merits — prejudice. The Court reviews the Appellate Court’s decision under the AEDPA and looks only at the state court record. Pinholster, 131 S.Ct. 1388; Charlton v. Davis, 439 F.3d 369, 374 (7th Cir.2006) (explaining that the pertinent decision for review under the AEDPA is the last state court decision on the merits of the issue). Even if a lawyer’s representation was objectively unreasonable, a habeas petitioner is not entitled to relief unless he can show that the attorney’s deficient performance actually prejudiced the petitioner. Strickland, 466 U.S. at 687, 104 S.Ct. 2052; Eddmonds v. Peters, 93 F.3d 1307, 1319 (7th Cir.1996). To make the required showing, the petitioner “must show that there is a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different.” Strickland, 466 U.S. at 694, 104 S.Ct. 2052 (emphasis added) (teaching that a reasonable probability means “a probability sufficient to undermine confidence in the outcome”). In this case, that means that Newman must show that if his lawyer had investigated his mental condition, there is
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prejudice. The Court reviews the Appellate Court’s decision under the AEDPA and looks only at the state court record. Pinholster, 131 S.Ct. 1388; Charlton v. Davis, 439 F.3d 369, 374 (7th Cir.2006) (explaining that the pertinent decision for review under the AEDPA is the last state court decision on the merits of the issue). Even if a lawyer’s representation was objectively unreasonable, a habeas petitioner is not entitled to relief unless he can show that the attorney’s deficient performance actually prejudiced the petitioner. Strickland, 466 U.S. at 687, 104 S.Ct. 2052; Eddmonds v. Peters, 93 F.3d 1307, 1319 (7th Cir.1996). To make the required showing, the petitioner “must show that there is a reasonable probability that, but for counsel’s unprofessional errors, the result of the proceeding would have been different.” Strickland, 466 U.S. at 694, 104 S.Ct. 2052 (emphasis added) (teaching that a reasonable probability means “a probability sufficient to undermine confidence in the outcome”). In this case, that means that Newman must show that if his lawyer had investigated his mental condition, there is a reasonable probability that Newman would have been adjudged unfit to stand trial. Illinois law attaches a presumption of fitness; a defendant is only unfit if, “because of his mental or physical condition, he is unable to understand the nature and purpose of the proceedings against him or to assist in his defense.” 725 ILCS 5/104—10; see also Benefiel v. Davis, 357 F.3d 655, 659 (7th Cir.2004) (“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.’ ”) (quoting Dusky v. United States, 362 U.S. 402, 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960)). In the Appellate Court, the panel majority held that Newman “failed to demonstrate that a bona fide doubt as to his fitness to stand trial existed at the time of the trial” and thus he “failed to satisfy the prejudice prong.” People v. Neuman, slip, at 10. In
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a reasonable probability that Newman would have been adjudged unfit to stand trial. Illinois law attaches a presumption of fitness; a defendant is only unfit if, “because of his mental or physical condition, he is unable to understand the nature and purpose of the proceedings against him or to assist in his defense.” 725 ILCS 5/104—10; see also Benefiel v. Davis, 357 F.3d 655, 659 (7th Cir.2004) (“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.’ ”) (quoting Dusky v. United States, 362 U.S. 402, 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960)). In the Appellate Court, the panel majority held that Newman “failed to demonstrate that a bona fide doubt as to his fitness to stand trial existed at the time of the trial” and thus he “failed to satisfy the prejudice prong.” People v. Neuman, slip, at 10. In the context of a habeas petition governed by the AEDPA, this Court does not assess the adequacy of the state court’s reasoning, but rather the reasonableness of its judgment. Harrington, 131 S.Ct. at 785 (2011). Relief will be available only when “there is no possibility fair-minded jurists could disagree that the state court’s decision conflicts with [the Supreme Court’s] precedent.” Harrington, 131 S.Ct. at 786. Newman argues that, despite this high standard, the state court’s decision was unreasonable under both § 2254(d)(1) and (2). Specifically, Newman argues that under § 2254(d)(1) the state court unreasonably applied Strickland and its progeny when, after deeming “irrelevant” an unrebutted expert opinion indicating that Newman was unfit to stand trial, it concluded that Newman was “nothing more than academically challenged and a slow learner.” The Court agrees. The Appellate Court found that the Kavanaugh Report was “irrelevant” because it was produced after the trial. But the Kavanaugh Report is relevant evidence-a court cannot simply ignore a post-conviction report of a professional who opines that a defendant may have been unfit
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the context of a habeas petition governed by the AEDPA, this Court does not assess the adequacy of the state court’s reasoning, but rather the reasonableness of its judgment. Harrington, 131 S.Ct. at 785 (2011). Relief will be available only when “there is no possibility fair-minded jurists could disagree that the state court’s decision conflicts with [the Supreme Court’s] precedent.” Harrington, 131 S.Ct. at 786. Newman argues that, despite this high standard, the state court’s decision was unreasonable under both § 2254(d)(1) and (2). Specifically, Newman argues that under § 2254(d)(1) the state court unreasonably applied Strickland and its progeny when, after deeming “irrelevant” an unrebutted expert opinion indicating that Newman was unfit to stand trial, it concluded that Newman was “nothing more than academically challenged and a slow learner.” The Court agrees. The Appellate Court found that the Kavanaugh Report was “irrelevant” because it was produced after the trial. But the Kavanaugh Report is relevant evidence-a court cannot simply ignore a post-conviction report of a professional who opines that a defendant may have been unfit at the time of the trial. See Burt v. Uchtman, 422 F.3d 557, 570 (7th Cir.2005). The Kavanaugh Report addresses in detail whether Newman was competent to stand trial at the time of his conviction. Specifically, after interviewing and performing tests on Newman and interviewing others who interacted with him at the time of his trial, Dr. Kavanaugh opines that Newman’s limited intellectual ability “would have significantly interfered with his ability to assist in his defense and his [sic] understand the nature and purpose of the proceedings.” Kavanaugh Report at C576-77. Kavanaugh also offers her “clinical opinion that Mr. Newman cannot and was not able to assist in his own defense.” Id. at 77. The Appellate Court unreasonably refused to consider the Kavanaugh Report, which strongly supports Newman’s argument that had his counsel conducted a proper investigation and raised the issue of Newman’s mental deficits with the state trial court, there is a “reasonable probability” that Newman would have been unfit to stand trial. Strickland, 466 U.S. at 694, 104 S.Ct. 2052; see also Dusky
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at the time of the trial. See Burt v. Uchtman, 422 F.3d 557, 570 (7th Cir.2005). The Kavanaugh Report addresses in detail whether Newman was competent to stand trial at the time of his conviction. Specifically, after interviewing and performing tests on Newman and interviewing others who interacted with him at the time of his trial, Dr. Kavanaugh opines that Newman’s limited intellectual ability “would have significantly interfered with his ability to assist in his defense and his [sic] understand the nature and purpose of the proceedings.” Kavanaugh Report at C576-77. Kavanaugh also offers her “clinical opinion that Mr. Newman cannot and was not able to assist in his own defense.” Id. at 77. The Appellate Court unreasonably refused to consider the Kavanaugh Report, which strongly supports Newman’s argument that had his counsel conducted a proper investigation and raised the issue of Newman’s mental deficits with the state trial court, there is a “reasonable probability” that Newman would have been unfit to stand trial. Strickland, 466 U.S. at 694, 104 S.Ct. 2052; see also Dusky v. United States, 362 U.S. 402, 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960). Second, Newman argues that under § 2254(d)(2) the Appellate Court’s factual determinations were unreasonable. Again, the Court agrees with Petitioner. The Appellate Court’s opinion focused on selected statements out of a two-inch stack of reports, ignoring other statements that pointed toward a different conclusion. For instance, the records given to Newman’s attorney indicated that Newman had a first-grade reading level, possessed an IQ of 65, and had been declared mentally retarded by the SSA. As the most analogous Seventh Circuit case law holds, when key facts of record run contrary to the state court’s conclusions but are not addressed in the court’s decision, a major concern arises about the correctness of the disposition. See Julian v. Bartley, 495 F.3d 487, 494 (7th Cir.2007) (reversing district court’s denial of § 2254 petition raising ineffective assistance of counsel on grounds that state court’s unreasonably determined the facts because “[t]he state court simply ignored a key piece of evidence”); Hall v. Washington, 106 F.3d 742,
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v. United States, 362 U.S. 402, 402, 80 S.Ct. 788, 4 L.Ed.2d 824 (1960). Second, Newman argues that under § 2254(d)(2) the Appellate Court’s factual determinations were unreasonable. Again, the Court agrees with Petitioner. The Appellate Court’s opinion focused on selected statements out of a two-inch stack of reports, ignoring other statements that pointed toward a different conclusion. For instance, the records given to Newman’s attorney indicated that Newman had a first-grade reading level, possessed an IQ of 65, and had been declared mentally retarded by the SSA. As the most analogous Seventh Circuit case law holds, when key facts of record run contrary to the state court’s conclusions but are not addressed in the court’s decision, a major concern arises about the correctness of the disposition. See Julian v. Bartley, 495 F.3d 487, 494 (7th Cir.2007) (reversing district court’s denial of § 2254 petition raising ineffective assistance of counsel on grounds that state court’s unreasonably determined the facts because “[t]he state court simply ignored a key piece of evidence”); Hall v. Washington, 106 F.3d 742, 749 (7th Cir.1997) (reversing district court’s denial of a § 2254 petition alleging ineffective assistance of counsel on the grounds that the state courts had made an unreasonable determination of facts because state court findings were “inadequately supported by the record” and hence essentially “arbitrary”). In sum, this Court concludes that the Appellate Court unreasonably overlooked critical evidence in the record in rejecting Newman’s claim for post-conviction relief and issued an “inadequately supported” judgment that resulted in prejudice to Newman under § 2254(d)(1) and (2). Id. 3. Performance As mentioned above, the Illinois Appellate Court reached only the prejudice prong in its analysis and did not address the performance prong of Strickland. Accordingly, the Court reviews the performance prong de novo according to pre-AEDPA standards. See Pinholster, 131 S.Ct. at 1401 (noting that de novo standard applies when the “state court decision did not reach the question” presented by petitioner); Sussman v. Jenkins, 636 F.3d 329, 350 (7th Cir.2011) (“As noted previously, the state appellate court did not address the merits of Mr. Suss-man’s allegations of deficient
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749 (7th Cir.1997) (reversing district court’s denial of a § 2254 petition alleging ineffective assistance of counsel on the grounds that the state courts had made an unreasonable determination of facts because state court findings were “inadequately supported by the record” and hence essentially “arbitrary”). In sum, this Court concludes that the Appellate Court unreasonably overlooked critical evidence in the record in rejecting Newman’s claim for post-conviction relief and issued an “inadequately supported” judgment that resulted in prejudice to Newman under § 2254(d)(1) and (2). Id. 3. Performance As mentioned above, the Illinois Appellate Court reached only the prejudice prong in its analysis and did not address the performance prong of Strickland. Accordingly, the Court reviews the performance prong de novo according to pre-AEDPA standards. See Pinholster, 131 S.Ct. at 1401 (noting that de novo standard applies when the “state court decision did not reach the question” presented by petitioner); Sussman v. Jenkins, 636 F.3d 329, 350 (7th Cir.2011) (“As noted previously, the state appellate court did not address the merits of Mr. Suss-man’s allegations of deficient performance, but proceeded directly to the prejudice inquiry. Consequently, we review de novo Mr. Sussman’s claim of deficient performance.”). The performance standard provides significant latitude for what qualifies as permissible attorney conduct, and a prisoner “must overcome the presumption that, under the circumstances, the challenged action might be considered sound trial strategy.” Strickland, 466 U.S. at 689, 104 S.Ct. 2052 (internal quotations omitted). If the prisoner identifies specific errors or omissions made by counsel, the court then must determine “whether, in light of all the circumstances, the identified acts or omissions were outside the wide range of professionally competent assistance.” Id. at 690, 104 S.Ct. 2052. In this case, Newman argues that his counsel was ineffective when he failed to investigate obvious issues relating to Newman’s fitness for trial and ask the trial judge to conduct a competency hearing. Because the Seventh Circuit’s decision in Brown v. Sternes, 304 F.3d 677 (7th Cir.2002), arose in similar circumstances, it is instructive in evaluating Newman’s claim. In Brown, the petitioner was arrested and convicted of armed robbery. Five years
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performance, but proceeded directly to the prejudice inquiry. Consequently, we review de novo Mr. Sussman’s claim of deficient performance.”). The performance standard provides significant latitude for what qualifies as permissible attorney conduct, and a prisoner “must overcome the presumption that, under the circumstances, the challenged action might be considered sound trial strategy.” Strickland, 466 U.S. at 689, 104 S.Ct. 2052 (internal quotations omitted). If the prisoner identifies specific errors or omissions made by counsel, the court then must determine “whether, in light of all the circumstances, the identified acts or omissions were outside the wide range of professionally competent assistance.” Id. at 690, 104 S.Ct. 2052. In this case, Newman argues that his counsel was ineffective when he failed to investigate obvious issues relating to Newman’s fitness for trial and ask the trial judge to conduct a competency hearing. Because the Seventh Circuit’s decision in Brown v. Sternes, 304 F.3d 677 (7th Cir.2002), arose in similar circumstances, it is instructive in evaluating Newman’s claim. In Brown, the petitioner was arrested and convicted of armed robbery. Five years prior to his arrest, Brown had been incarcerated at the Menard Correctional Facili ty, where he was diagnosed with chronic schizophrenia and placed on numerous medications. He also had applied for Social Security benefits, at which point he received another diagnosis of chronic schizophrenia. Id. at 680-81. When Brown was arrested on the armed robbery charge in 1991, his trial lawyer did not know all the past details of Brown’s medical history, but a credible source (faculty at Northwestern University Law School’s legal clinic) told the lawyer that Brown had a history of mental illness. Id. at 682. Brown’s lawyer did ask for a competency hearing, but did not pursue the underlying medical records with particular zeal, and the court-appointed expert psychiatrists did not seek the records either (despite being advised of their existence and the integral nature of the records in diagnosing schizophrenia). Id. at 682, 696. After the experts opined that Brown was competent, his lawyer failed (1) to object to the experts’ conclusory reports, (2) to object to the judge’s conclusion, (3)
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prior to his arrest, Brown had been incarcerated at the Menard Correctional Facili ty, where he was diagnosed with chronic schizophrenia and placed on numerous medications. He also had applied for Social Security benefits, at which point he received another diagnosis of chronic schizophrenia. Id. at 680-81. When Brown was arrested on the armed robbery charge in 1991, his trial lawyer did not know all the past details of Brown’s medical history, but a credible source (faculty at Northwestern University Law School’s legal clinic) told the lawyer that Brown had a history of mental illness. Id. at 682. Brown’s lawyer did ask for a competency hearing, but did not pursue the underlying medical records with particular zeal, and the court-appointed expert psychiatrists did not seek the records either (despite being advised of their existence and the integral nature of the records in diagnosing schizophrenia). Id. at 682, 696. After the experts opined that Brown was competent, his lawyer failed (1) to object to the experts’ conclusory reports, (2) to object to the judge’s conclusion, (3) to inform the judge that Brown previously had been declared unfit to stand trial in a different case, and (4) to inform the judge that communicating with Brown had been difficult. Id. at 684. When Brown filed a petition for post-conviction relief, the state trial court declined to hold an evidentiary hearing. The Illinois Appellate Court affirmed, holding that there was “no compelling basis or reason for counsel to further investigate defendant’s mental health condition.” Brown, 304 F.3d at 688. The Seventh Circuit took issue with the Illinois Appellate Court’s analysis and conclusion, calling the “reasoning and comments” of the court “alarming, confusing and most surprising.” Brown, 304 F.3d at 689. The Seventh Circuit concluded that the state court had unreasonably applied clearly established precedent under 28 U.S.C. § 2254(d)(1). The Seventh Circuit then explained that “where it will be apparent from * * * conversations with the defendant, or from other sources of information not requiring fresh investigation, that the defendant has some mental or other condition that will require further investigation * * *
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to inform the judge that Brown previously had been declared unfit to stand trial in a different case, and (4) to inform the judge that communicating with Brown had been difficult. Id. at 684. When Brown filed a petition for post-conviction relief, the state trial court declined to hold an evidentiary hearing. The Illinois Appellate Court affirmed, holding that there was “no compelling basis or reason for counsel to further investigate defendant’s mental health condition.” Brown, 304 F.3d at 688. The Seventh Circuit took issue with the Illinois Appellate Court’s analysis and conclusion, calling the “reasoning and comments” of the court “alarming, confusing and most surprising.” Brown, 304 F.3d at 689. The Seventh Circuit concluded that the state court had unreasonably applied clearly established precedent under 28 U.S.C. § 2254(d)(1). The Seventh Circuit then explained that “where it will be apparent from * * * conversations with the defendant, or from other sources of information not requiring fresh investigation, that the defendant has some mental or other condition that will require further investigation * * * then the failure to investigate will be ineffective assistance.” Id. at 692; see also id. at 693 (noting that attorneys have an obligation to explore readily available sources of evidence that might benefit their clients). More recently, in a slightly different context, the Seventh Circuit in Wilson v. Gaetz ruled that a lawyer was constitutionally ineffective for obtaining an expert’s evaluation on fitness, but failing to obtain an additional evaluation on the issue of the petitioner’s sanity. 608 F.3d 347, 349-50, 356 (7th Cir.2010). In that case, the defendant did raise a sanity defense, but the expert called to testify on his behalf was “taken apart in cross-examination” by the prosecutor who forced the expert to concede that only three paragraphs of his 14-page fitness report concerned the defendant’s mental state when he had committed the murder (the rest of the report was about the defendant’s fitness during the expert’s interview). Id. at 350. On those facts, the Seventh Circuit held that defense counsel performed deficiently in presenting the insanity defense and remanded to the district
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then the failure to investigate will be ineffective assistance.” Id. at 692; see also id. at 693 (noting that attorneys have an obligation to explore readily available sources of evidence that might benefit their clients). More recently, in a slightly different context, the Seventh Circuit in Wilson v. Gaetz ruled that a lawyer was constitutionally ineffective for obtaining an expert’s evaluation on fitness, but failing to obtain an additional evaluation on the issue of the petitioner’s sanity. 608 F.3d 347, 349-50, 356 (7th Cir.2010). In that case, the defendant did raise a sanity defense, but the expert called to testify on his behalf was “taken apart in cross-examination” by the prosecutor who forced the expert to concede that only three paragraphs of his 14-page fitness report concerned the defendant’s mental state when he had committed the murder (the rest of the report was about the defendant’s fitness during the expert’s interview). Id. at 350. On those facts, the Seventh Circuit held that defense counsel performed deficiently in presenting the insanity defense and remanded to the district court for an evidentiary hearing on the prejudice prong of the ineffective assistance claim. 608 F.3d 347, 349-50, 356 (7th Cir.2010). As demonstrated in the cases discussed above, and reaffirmed in those cited below, the principle that a defense attorney provides ineffective assistance of counsel when he or she receives reliable information about a history of mental deficiencies but fails to investigate the matter and to seek a competency hearing if facts revealed during counsel’s investigation in dicate an issue for judicial determination is well established in the law of the Seventh Circuit and beyond. See Brown, 304 F.3d at 693 (citing Brewer v. Aiken, 935 F.2d 850, 857-58 (7th Cir.1991)); Eddmonds v. Peters, 93 F.3d 1307, 1325-26 (7th Cir.1996) (Flaum, J., concurring) (in death penalty case, “counsel’s decision not to initiate an investigation that was clearly called for by the evidence was not supported by reasonable professional judgment”); Seidel v. Merkle, 146 F.3d 750, 755-56 (9th Cir.1998) (petitioner was denied effective assistance of counsel by his trial attorney’s deficient performance in failing to conduct any
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court for an evidentiary hearing on the prejudice prong of the ineffective assistance claim. 608 F.3d 347, 349-50, 356 (7th Cir.2010). As demonstrated in the cases discussed above, and reaffirmed in those cited below, the principle that a defense attorney provides ineffective assistance of counsel when he or she receives reliable information about a history of mental deficiencies but fails to investigate the matter and to seek a competency hearing if facts revealed during counsel’s investigation in dicate an issue for judicial determination is well established in the law of the Seventh Circuit and beyond. See Brown, 304 F.3d at 693 (citing Brewer v. Aiken, 935 F.2d 850, 857-58 (7th Cir.1991)); Eddmonds v. Peters, 93 F.3d 1307, 1325-26 (7th Cir.1996) (Flaum, J., concurring) (in death penalty case, “counsel’s decision not to initiate an investigation that was clearly called for by the evidence was not supported by reasonable professional judgment”); Seidel v. Merkle, 146 F.3d 750, 755-56 (9th Cir.1998) (petitioner was denied effective assistance of counsel by his trial attorney’s deficient performance in failing to conduct any investigation into extent or possible ramifications of defendant’s psychiatric impairment); Williamson v. Ward, 110 F.3d 1508, 1517-18 (10th Cir.1997) (concluding that defense counsel was ineffective in failing to investigate defendant’s mental illness and seek competency hearing); Genius v. Pepe, 50 F.3d 60, 61 (1st Cir.1995) (finding counsel’s failure to investigate a possible complete defense as “an extraordinarily unbalanced choice,” regardless of whether counsel made the decision deliberately — as to which there was no evidence — or by default, particularly when there was evidence of a mental disturbance in the record); Bouchillon v. Collins, 907 F.2d 589, 597-98 (5th Cir.1990) (“It must be a very rare circumstance indeed where a decision not to investigate would be ‘reasonable’ after counsel has notice of the client’s history of mental problems”); Profitt v. Waldron, 831 F.2d 1245, 1248-49 (5th Cir.1987) (concluding that petitioner’s trial counsel was ineffective in failing to investigate prior mental history for insanity defense). The question is whether the performance of Newman’s counsel in this case fell below the minimum constitutional threshold articulated in these
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investigation into extent or possible ramifications of defendant’s psychiatric impairment); Williamson v. Ward, 110 F.3d 1508, 1517-18 (10th Cir.1997) (concluding that defense counsel was ineffective in failing to investigate defendant’s mental illness and seek competency hearing); Genius v. Pepe, 50 F.3d 60, 61 (1st Cir.1995) (finding counsel’s failure to investigate a possible complete defense as “an extraordinarily unbalanced choice,” regardless of whether counsel made the decision deliberately — as to which there was no evidence — or by default, particularly when there was evidence of a mental disturbance in the record); Bouchillon v. Collins, 907 F.2d 589, 597-98 (5th Cir.1990) (“It must be a very rare circumstance indeed where a decision not to investigate would be ‘reasonable’ after counsel has notice of the client’s history of mental problems”); Profitt v. Waldron, 831 F.2d 1245, 1248-49 (5th Cir.1987) (concluding that petitioner’s trial counsel was ineffective in failing to investigate prior mental history for insanity defense). The question is whether the performance of Newman’s counsel in this case fell below the minimum constitutional threshold articulated in these cases. Returning to the facts in this case, the evidence before the state court showed that Newman’s lawyer, Michael Johnson, was aware of multiple diagnoses of a serious mental health condition as well as information that his client may have been mentally retarded. There also is evidence that Johnson experienced difficulty communicating with his client but failed to raise the matter with the trial court. Indeed, it appears that counsel in Brown actually exerted greater effort on his client’s behalf than Johnson did; in Brown, counsel at least raised the issue of competence with the trial court, although counsel’s pursuit of the pertinent medical records was lackadaisical. Johnson, by contrast, would not have had to do much investigating, if any, to determine that Newman had severe mental deficits. Newman’s mother stated that, after her first meeting with Johnson, she gave him a two-inch-thick envelope of medical and other records — which Johnson acknowledges receiving. The records included an SSA verification that Newman had been diagnosed as mentally retarded, a school psychologist’s evaluation of Newman that pegged
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cases. Returning to the facts in this case, the evidence before the state court showed that Newman’s lawyer, Michael Johnson, was aware of multiple diagnoses of a serious mental health condition as well as information that his client may have been mentally retarded. There also is evidence that Johnson experienced difficulty communicating with his client but failed to raise the matter with the trial court. Indeed, it appears that counsel in Brown actually exerted greater effort on his client’s behalf than Johnson did; in Brown, counsel at least raised the issue of competence with the trial court, although counsel’s pursuit of the pertinent medical records was lackadaisical. Johnson, by contrast, would not have had to do much investigating, if any, to determine that Newman had severe mental deficits. Newman’s mother stated that, after her first meeting with Johnson, she gave him a two-inch-thick envelope of medical and other records — which Johnson acknowledges receiving. The records included an SSA verification that Newman had been diagnosed as mentally retarded, a school psychologist’s evaluation of Newman that pegged his IQ at 62, and an Individualized Education Program Plan stating that Newman was learning disabled and read at a first-grade level when he was 16. To be sure, not every document repeats that Newman was found to be mentally retarded. For instance, the school evaluation states that Newman was hospitalized with “Intermittent Explosive Disorder,” and the report that concludes that Newman had an IQ of 62 also notes that the measurement was lower than in past tests. There was, however, more than enough information making it clear that Newman had a history of serious mental deficiencies. Brown, 304 F.3d at 692-93. The Seventh Circuit cases in this realm instruct that the absolute bare minimum for a lawyer in these circumstances is to investigate and learn facts that reasonably “quiet[ ] the misgivings.” Galowski v. Berge, 78 F.3d 1176, 1180 (7th Cir.1996). Newman’s attorney, however, did very little to follow up on the red flags that had been raised for him. Moreover, even if the medical and diagnostic files had not literally been placed in Newman’s
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his IQ at 62, and an Individualized Education Program Plan stating that Newman was learning disabled and read at a first-grade level when he was 16. To be sure, not every document repeats that Newman was found to be mentally retarded. For instance, the school evaluation states that Newman was hospitalized with “Intermittent Explosive Disorder,” and the report that concludes that Newman had an IQ of 62 also notes that the measurement was lower than in past tests. There was, however, more than enough information making it clear that Newman had a history of serious mental deficiencies. Brown, 304 F.3d at 692-93. The Seventh Circuit cases in this realm instruct that the absolute bare minimum for a lawyer in these circumstances is to investigate and learn facts that reasonably “quiet[ ] the misgivings.” Galowski v. Berge, 78 F.3d 1176, 1180 (7th Cir.1996). Newman’s attorney, however, did very little to follow up on the red flags that had been raised for him. Moreover, even if the medical and diagnostic files had not literally been placed in Newman’s counsel’s hands, the record presents a strong circumstantial case that any reasonably competent lawyer would have been aware that Newman had severe cognitive issues immediately upon speaking with him. E.g., Galowski, 78 F.3d at 1178 (trial counsel provided adequate counsel where he sought a psychological evaluation of his client after the client told the lawyer that his mind “had been goin [sic] 100 miles and hour” and that he did not “know what [was] going on” and just “seemed to want to get the matter over with”). For example, one of Newman’s teachers from 2001 — the year that Dent was murdered — said that Newman could not understand complex or abstract concepts and needed to have things put to him in simple terms. Another teacher who offered personalized instruction stated that Newman had the worst reading skills of anyone she had taught, that he had memory problems, and that he talked to her about his legal case in a way that suggested a lack of understanding about the case. Furthermore, Newman’s post-conviction evaluation conducted
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counsel’s hands, the record presents a strong circumstantial case that any reasonably competent lawyer would have been aware that Newman had severe cognitive issues immediately upon speaking with him. E.g., Galowski, 78 F.3d at 1178 (trial counsel provided adequate counsel where he sought a psychological evaluation of his client after the client told the lawyer that his mind “had been goin [sic] 100 miles and hour” and that he did not “know what [was] going on” and just “seemed to want to get the matter over with”). For example, one of Newman’s teachers from 2001 — the year that Dent was murdered — said that Newman could not understand complex or abstract concepts and needed to have things put to him in simple terms. Another teacher who offered personalized instruction stated that Newman had the worst reading skills of anyone she had taught, that he had memory problems, and that he talked to her about his legal case in a way that suggested a lack of understanding about the case. Furthermore, Newman’s post-conviction evaluation conducted by Dr. Antoinette Kavanaugh placed his IQ between 35 and 70. The report indicated that Newman had the listening skills of someone aged 4 years and 8 months and concluded that his impairments would be obvious to one speaking with him in part because his limited vocabulary caused conversations to break down. Because Newman’s condition was obvious to his teachers and Dr. Kavanaugh, it is not a stretch for the Court to conclude that trial counsel, whose own affidavit says that he spoke with Newman “on many occasions about his case” [22-2] and “who was in the best position of any lay person to evaluate [Newman’s] competence” (Galowski, 78 F.3d at 1182), at least should have investigated to a far greater degree than he did. E.g., Galowski, 78 F.3d at 1180. Taking into consideration all of the evidence available to the state court at the time of the post-conviction proceedings, the Court finds that Attorney Johnson failed to fulfill his duty to investigate his client’s fitness. Consequently, Johnson’s performance fell below an objectively reasonable standard, as
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by Dr. Antoinette Kavanaugh placed his IQ between 35 and 70. The report indicated that Newman had the listening skills of someone aged 4 years and 8 months and concluded that his impairments would be obvious to one speaking with him in part because his limited vocabulary caused conversations to break down. Because Newman’s condition was obvious to his teachers and Dr. Kavanaugh, it is not a stretch for the Court to conclude that trial counsel, whose own affidavit says that he spoke with Newman “on many occasions about his case” [22-2] and “who was in the best position of any lay person to evaluate [Newman’s] competence” (Galowski, 78 F.3d at 1182), at least should have investigated to a far greater degree than he did. E.g., Galowski, 78 F.3d at 1180. Taking into consideration all of the evidence available to the state court at the time of the post-conviction proceedings, the Court finds that Attorney Johnson failed to fulfill his duty to investigate his client’s fitness. Consequently, Johnson’s performance fell below an objectively reasonable standard, as required in Strickland, and Newman has met his burden as to both performance and prejudice under § 2254(d). B. Section 2254(a) Because the Court concludes that the state court decision denying Newman re lief was contrary to or an unreasonable application of federal law, the Court now must determine whether under § 2254(a) Newman is in custody in violation of the Constitution or law or treaties of the United States. See Mosley v. Atchison, 689 F.3d 838, 853-54 (7th Cir.2012) (quoting Pinholster, 131 S.Ct. at 1412 (2011) (Breyer, J., concurring in part and dissenting in part)). In making this second determination, the Court may consider the evidence presented during the evidentiary hearing in March 2011. Id. 1. Federal habeas proceedings Over the course of the evidentiary hearing, Newman put forward additional evidence in support of his claim that his counsel was ineffective when he failed to investigate Newman’s fitness for trial and request a competency hearing. While there was an abundance of testimony presented and evidence produced, the relevant evidence and testimony can be summarized as follows. Daphne Whitington testified
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required in Strickland, and Newman has met his burden as to both performance and prejudice under § 2254(d). B. Section 2254(a) Because the Court concludes that the state court decision denying Newman re lief was contrary to or an unreasonable application of federal law, the Court now must determine whether under § 2254(a) Newman is in custody in violation of the Constitution or law or treaties of the United States. See Mosley v. Atchison, 689 F.3d 838, 853-54 (7th Cir.2012) (quoting Pinholster, 131 S.Ct. at 1412 (2011) (Breyer, J., concurring in part and dissenting in part)). In making this second determination, the Court may consider the evidence presented during the evidentiary hearing in March 2011. Id. 1. Federal habeas proceedings Over the course of the evidentiary hearing, Newman put forward additional evidence in support of his claim that his counsel was ineffective when he failed to investigate Newman’s fitness for trial and request a competency hearing. While there was an abundance of testimony presented and evidence produced, the relevant evidence and testimony can be summarized as follows. Daphne Whitington testified that she was a literacy specialist who worked with Newman at the Audy Home, the juvenile facility at which Newman stayed during his trial from 2001-2002. To be sure, Respondent’s comment that the Court should take Whitington’s testimony “with a grain of salt” is not unfounded. Whiting-ton obviously has a teacher’s fondness for a student who — by Whitington’s lights— struggled despite trying hard. She also plainly feels badly for Newman given his current incarceration and his limited mental abilities. While cognizant of Whiting-ton’s sympathy for Newman, the Court nevertheless found her testimony credible, largely because it was consistent with (1) the observations of others who interacted with Newman near the time of his trial and conviction and (2) the written record of his mental abilities and challenges at that time. According to Whitington, despite the fact that Newman “came every day ready to work,” her progress was “slower with him than with almost any other student” she had ever worked with, because “things that he seemed to have mastered the day before, he would have
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that she was a literacy specialist who worked with Newman at the Audy Home, the juvenile facility at which Newman stayed during his trial from 2001-2002. To be sure, Respondent’s comment that the Court should take Whitington’s testimony “with a grain of salt” is not unfounded. Whiting-ton obviously has a teacher’s fondness for a student who — by Whitington’s lights— struggled despite trying hard. She also plainly feels badly for Newman given his current incarceration and his limited mental abilities. While cognizant of Whiting-ton’s sympathy for Newman, the Court nevertheless found her testimony credible, largely because it was consistent with (1) the observations of others who interacted with Newman near the time of his trial and conviction and (2) the written record of his mental abilities and challenges at that time. According to Whitington, despite the fact that Newman “came every day ready to work,” her progress was “slower with him than with almost any other student” she had ever worked with, because “things that he seemed to have mastered the day before, he would have forgotten by the next day.” Ultimately, despite daily literacy instruction for a year from a highly acclaimed teacher, Newman was able to achieve only a kindergarten-level reading ability by the time he was convicted. Moreover, Whitington found that Newman had general cognitive delays that were readily apparent: he could not talk about abstract concepts and was easily lost by concepts such as justice. He also was unable to comprehend the role of the defense attorney and the prosecutor and unable to respond when Whitington asked him about his own trial. Dan Dillon, another one of Newman’s special education teachers at the Audy Home, reported similar troubles. Dillon testified credibly that Newman was “one of the lowest students” he had ever taught and that he was unable to read or spell simple four-letter words. Dillon also testified, like Whitington, that Newman was unable to retain whatever minimal academic progress he made from day-to-day. Dillon further testified that based on his experience teaching Newman, he did not believe that Newman could have understood phrases used by the Judge
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forgotten by the next day.” Ultimately, despite daily literacy instruction for a year from a highly acclaimed teacher, Newman was able to achieve only a kindergarten-level reading ability by the time he was convicted. Moreover, Whitington found that Newman had general cognitive delays that were readily apparent: he could not talk about abstract concepts and was easily lost by concepts such as justice. He also was unable to comprehend the role of the defense attorney and the prosecutor and unable to respond when Whitington asked him about his own trial. Dan Dillon, another one of Newman’s special education teachers at the Audy Home, reported similar troubles. Dillon testified credibly that Newman was “one of the lowest students” he had ever taught and that he was unable to read or spell simple four-letter words. Dillon also testified, like Whitington, that Newman was unable to retain whatever minimal academic progress he made from day-to-day. Dillon further testified that based on his experience teaching Newman, he did not believe that Newman could have understood phrases used by the Judge during the trial including: “constitutional right to testify,” “inference,” “consulting,” “second degree murder request,” and “second degree murder jury instruction.” Jerry South, Newman’s special education teacher at Menard, testified that when Newman arrived at the prison after his trial, he was functionally illiterate, could not tell time, and was unable to do basic arithmetic. In February 2004, shortly after arriving at the prison, Newman was tested by a team of psychologists and teachers, who diagnosed him as suffering from “mental retardation” — a diagnosis that South, who participated in the development of the testing process, found to be consistent with his observations of Newman. In sum, the testimony of all three teachers who worked with Newman shortly before and shortly after his trial paints a consistent picture of Newman as a person with significant and obvious mental impairments. The records made available to defense counsel further support that view. Petitioner Melvin Newman also testified at the evidentiary hearing. In the years since his conviction, Newman has shown improvement — at age 26, he now has a reading
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during the trial including: “constitutional right to testify,” “inference,” “consulting,” “second degree murder request,” and “second degree murder jury instruction.” Jerry South, Newman’s special education teacher at Menard, testified that when Newman arrived at the prison after his trial, he was functionally illiterate, could not tell time, and was unable to do basic arithmetic. In February 2004, shortly after arriving at the prison, Newman was tested by a team of psychologists and teachers, who diagnosed him as suffering from “mental retardation” — a diagnosis that South, who participated in the development of the testing process, found to be consistent with his observations of Newman. In sum, the testimony of all three teachers who worked with Newman shortly before and shortly after his trial paints a consistent picture of Newman as a person with significant and obvious mental impairments. The records made available to defense counsel further support that view. Petitioner Melvin Newman also testified at the evidentiary hearing. In the years since his conviction, Newman has shown improvement — at age 26, he now has a reading level of a sixth-grader. But according to Newman, at the time of his trial he struggled to comprehend the court’s instructions and the roles of the different parties — state’s attorney, his attorney, and the judge. He testified that he did not understand courtroom procedures, or phrases such as “constitutional right,” “consult with attorney,” “inference,” or “degree” — all terms that were used by the trial judge in colloquies with Newman. Even as of the time of the federal evidentiary hearing, several years removed from his trial and with the benefit of further education and development, it was evident that Newman lacked the mental abilities of even the least sophisticated witness of normal mental capacity. Attorney Johnson was called to testify at the evidentiary hearing. The opportunity to see and hear from Johnson was valuable in that the charges leveled against him by his former client raise important issues that turn at least in part on credibility determinations. In hearing Johnson’s side of the story and watching his demeanor as he testified, the Court was left
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level of a sixth-grader. But according to Newman, at the time of his trial he struggled to comprehend the court’s instructions and the roles of the different parties — state’s attorney, his attorney, and the judge. He testified that he did not understand courtroom procedures, or phrases such as “constitutional right,” “consult with attorney,” “inference,” or “degree” — all terms that were used by the trial judge in colloquies with Newman. Even as of the time of the federal evidentiary hearing, several years removed from his trial and with the benefit of further education and development, it was evident that Newman lacked the mental abilities of even the least sophisticated witness of normal mental capacity. Attorney Johnson was called to testify at the evidentiary hearing. The opportunity to see and hear from Johnson was valuable in that the charges leveled against him by his former client raise important issues that turn at least in part on credibility determinations. In hearing Johnson’s side of the story and watching his demeanor as he testified, the Court was left with the impression that Johnson’s shortcomings were not malicious. Rather, his deficiencies in representing Newman sprung from a failure to appreciate what should have been evident from sources within his grasp at the time of trial, including (1) what had been said to him about Newman, (2) what the available records revealed about Newman, and (3) his interactions with Newman himself. On the last point, by almost all accounts, Newman’s mental shortcomings would have been readily apparent from any prolonged engagement with Newman on any subject of seriousness or gravity— of which a murder trial certainly is an example. Thus, weighing Attorney Johnson’s credibility at the evidentiary hearing along with the other evidence presented, the reasonable conclusions to draw from the factual record include the following: (1) Johnson represented Newman at a very busy time in his professional career, (2) even if Johnson previously had represented clients with mental disabilities, he had neither spent enough time with the records nor with Newman to recognize that Newman fit into that category as well, and (3) Johnson
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with the impression that Johnson’s shortcomings were not malicious. Rather, his deficiencies in representing Newman sprung from a failure to appreciate what should have been evident from sources within his grasp at the time of trial, including (1) what had been said to him about Newman, (2) what the available records revealed about Newman, and (3) his interactions with Newman himself. On the last point, by almost all accounts, Newman’s mental shortcomings would have been readily apparent from any prolonged engagement with Newman on any subject of seriousness or gravity— of which a murder trial certainly is an example. Thus, weighing Attorney Johnson’s credibility at the evidentiary hearing along with the other evidence presented, the reasonable conclusions to draw from the factual record include the following: (1) Johnson represented Newman at a very busy time in his professional career, (2) even if Johnson previously had represented clients with mental disabilities, he had neither spent enough time with the records nor with Newman to recognize that Newman fit into that category as well, and (3) Johnson accordingly never realized that he could not treat the Newman case like the routine cases that he handled on a high volume basis at the time of Newman’s trial. Notably, there is neither any tangible evidence nor any recollection by lawyer, client, or anyone else of any meeting between Johnson and Newman that took place anywhere other than in the “pen” (a holding area adjacent to the courtroom where defendants in custody are placed prior to being brought into court) or in the courtroom itself contemporaneously with a scheduled court hearing. That suggests that Johnson never had a lengthy, private meeting with his client either to explore potential leads, trial strategy, or competence issues. True, Johnson met with Barbara Newman on many occasions and it would not be accurate to say that Johnson did nothing to prepare for trial or try to comprehend at least some of the records in his possession. But even if the Court were to accept his recent statement recalling some “concerns” about Newman’s fitness and disregard the absence of any evidence
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accordingly never realized that he could not treat the Newman case like the routine cases that he handled on a high volume basis at the time of Newman’s trial. Notably, there is neither any tangible evidence nor any recollection by lawyer, client, or anyone else of any meeting between Johnson and Newman that took place anywhere other than in the “pen” (a holding area adjacent to the courtroom where defendants in custody are placed prior to being brought into court) or in the courtroom itself contemporaneously with a scheduled court hearing. That suggests that Johnson never had a lengthy, private meeting with his client either to explore potential leads, trial strategy, or competence issues. True, Johnson met with Barbara Newman on many occasions and it would not be accurate to say that Johnson did nothing to prepare for trial or try to comprehend at least some of the records in his possession. But even if the Court were to accept his recent statement recalling some “concerns” about Newman’s fitness and disregard the absence of any evidence that he ever voiced any such concerns prior to the filing of the federal habeas case, the concrete actions that Johnson took to “quiet” those concerns (Galowski, 78 F.3d at 1180) were plainly inadequate under circuit law. For instance, the record contains precious little to support Johnson’s vague recollections of what he may have done to investigate the red flags in Newman’s records. Given the lapse of time since the trial, the absence of mental recollection is not as surprising as the dearth of any corroborating materials from Johnson’s files. Moreover, Johnson’s speculation as to certain doctors with whom he may have consulted (including Drs. Schwartz, Smith, and Guttman) and certain diagnoses that he may have considered (such as intermittent explosive disorder) was convincingly undercut by the interviews and research of Newman’s counsel. And again accepting at face value Johnson’s 2011 recollections that he considered Newman’s grades and his acceptance into the Lincoln’s Challenge program as counterindicators to the nota tions in the records of mental retardation and other profound mental challenges, those counterindicators were not
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that he ever voiced any such concerns prior to the filing of the federal habeas case, the concrete actions that Johnson took to “quiet” those concerns (Galowski, 78 F.3d at 1180) were plainly inadequate under circuit law. For instance, the record contains precious little to support Johnson’s vague recollections of what he may have done to investigate the red flags in Newman’s records. Given the lapse of time since the trial, the absence of mental recollection is not as surprising as the dearth of any corroborating materials from Johnson’s files. Moreover, Johnson’s speculation as to certain doctors with whom he may have consulted (including Drs. Schwartz, Smith, and Guttman) and certain diagnoses that he may have considered (such as intermittent explosive disorder) was convincingly undercut by the interviews and research of Newman’s counsel. And again accepting at face value Johnson’s 2011 recollections that he considered Newman’s grades and his acceptance into the Lincoln’s Challenge program as counterindicators to the nota tions in the records of mental retardation and other profound mental challenges, those counterindicators were not nearly strong enough to excuse further investigation of the red flags, which was not done in any meaningful way. At the end of the day, the best that can be said for Attorney Johnson is that he either hoped or guessed that Newman was fit to stand trial, but failed to take a number of reasonable (and readily available) steps to actually investigate whether that was so-and, following from that inaction, he failed to alert the state trial court to Newman’s mental deficits so that a judicial fitness determination could be made. Finally, the Court heard testimony from competing experts, Dr. Antoinette Kavanaugh, a psychologist who evaluated Newman in 2005, and Dr. Stafford Henry, a psychiatrist retained by the State who evaluated Newman in 2010. Both experts have appropriate (and impressive) qualifications and both provided useful insights in their testimony. Dr. Kavanaugh testimony largely tracked the opinions in her expert report — which were discussed in detail above. She noted that Newman’s cognitive deficits were apparent within minutes of meeting him and that he was unable to
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nearly strong enough to excuse further investigation of the red flags, which was not done in any meaningful way. At the end of the day, the best that can be said for Attorney Johnson is that he either hoped or guessed that Newman was fit to stand trial, but failed to take a number of reasonable (and readily available) steps to actually investigate whether that was so-and, following from that inaction, he failed to alert the state trial court to Newman’s mental deficits so that a judicial fitness determination could be made. Finally, the Court heard testimony from competing experts, Dr. Antoinette Kavanaugh, a psychologist who evaluated Newman in 2005, and Dr. Stafford Henry, a psychiatrist retained by the State who evaluated Newman in 2010. Both experts have appropriate (and impressive) qualifications and both provided useful insights in their testimony. Dr. Kavanaugh testimony largely tracked the opinions in her expert report — which were discussed in detail above. She noted that Newman’s cognitive deficits were apparent within minutes of meeting him and that he was unable to define important legal concepts like “witness” and “evidence” or give meaningful definitions of the roles of the judge, jury, and state’s attorney. Ultimately, Kavanaugh testified that, after considering her two interviews with Newman, her reviews of the records in this case, the tests she administered to him, interviews with other individuals who knew Newman at the time of his trial, Johnson’s interactions with Newman, and Newman’s inability to understand basic legal concepts, she concluded that Newman was not competent to stand trial in 2002. She further opined that Newman was mildly to moderately retarded and that his cognitive deficits would have been readily apparent to others at the time of trial. Dr. Henry, a forensic psychiatrist for more than fifteen years who met with Newman for approximately two hours more than eight years after trial, reached a very different conclusion than Kavanaugh. Henry’s approach was to openly challenge Newman during their two-hour session when he believed that Newman was lying. Henry opined that Newman was fit to stand trial in 2002 and was a malingerer —
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define important legal concepts like “witness” and “evidence” or give meaningful definitions of the roles of the judge, jury, and state’s attorney. Ultimately, Kavanaugh testified that, after considering her two interviews with Newman, her reviews of the records in this case, the tests she administered to him, interviews with other individuals who knew Newman at the time of his trial, Johnson’s interactions with Newman, and Newman’s inability to understand basic legal concepts, she concluded that Newman was not competent to stand trial in 2002. She further opined that Newman was mildly to moderately retarded and that his cognitive deficits would have been readily apparent to others at the time of trial. Dr. Henry, a forensic psychiatrist for more than fifteen years who met with Newman for approximately two hours more than eight years after trial, reached a very different conclusion than Kavanaugh. Henry’s approach was to openly challenge Newman during their two-hour session when he believed that Newman was lying. Henry opined that Newman was fit to stand trial in 2002 and was a malingerer — in other words, Henry believed that Newman has been feigning his deficits. He also testified that Newman gave accurate answers to questions about his trial, thus demonstrating an understanding of the process. Deciding which expert has the better assessment of Melvin Newman and, in particular, Newman’s fitness to stand trial as of 2002, is a difficult task. On balance, however, the Court is more persuaded by Dr. Kavanaugh’s evaluation, as it was more rigorous and comprehensive and took place much closer to the actual event in question — Newman’s 2002 trial. Kavanaugh conducted two interviews of Newman over a three-week period in 2005. During those interviews, she probed his basic cognitive skills, his ability to understand and comprehend matters relating to his trial and conviction, and his ability to retain information from one interview to the next. Most tellingly for present purposes, Kavanaugh determined that Newman was completely unable to explain what took place during to colloquies at trial when he waived his right to testify and his right to a second-degree murder instruction. If Newman
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in other words, Henry believed that Newman has been feigning his deficits. He also testified that Newman gave accurate answers to questions about his trial, thus demonstrating an understanding of the process. Deciding which expert has the better assessment of Melvin Newman and, in particular, Newman’s fitness to stand trial as of 2002, is a difficult task. On balance, however, the Court is more persuaded by Dr. Kavanaugh’s evaluation, as it was more rigorous and comprehensive and took place much closer to the actual event in question — Newman’s 2002 trial. Kavanaugh conducted two interviews of Newman over a three-week period in 2005. During those interviews, she probed his basic cognitive skills, his ability to understand and comprehend matters relating to his trial and conviction, and his ability to retain information from one interview to the next. Most tellingly for present purposes, Kavanaugh determined that Newman was completely unable to explain what took place during to colloquies at trial when he waived his right to testify and his right to a second-degree murder instruction. If Newman could not articulate the aspects of the trial where he had not only the advice of counsel, but the added protection of the Court’s interposition and inquiry, it is difficult to imagine how he would have understood other critical aspects of the trial that unfolded without that additional safeguard. Finally, given that she was conducting a retrospective analysis, Kavanaugh sensibly interviewed others who had known Newman around the time of his trial. Respondent argues that the Court should credit Dr. Henry’s opinions over Dr. Kavanaugh’s principally on the ground that Dr. Henry is far more experienced at conducting fitness evaluations than Dr. Kavanaugh is. If all other things were equal, the Court might be inclined to use cumulative experience as a tie-breaker, even though Dr. Kavanaugh’s credentials and experience are substantial. But, as noted above, all things are not equal in regard to the experts’ work in this case. To be sure, Dr. Henry is highly credentialed and he offered a comprehensible summation of the bases for his opinions. But when placed against the full record
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could not articulate the aspects of the trial where he had not only the advice of counsel, but the added protection of the Court’s interposition and inquiry, it is difficult to imagine how he would have understood other critical aspects of the trial that unfolded without that additional safeguard. Finally, given that she was conducting a retrospective analysis, Kavanaugh sensibly interviewed others who had known Newman around the time of his trial. Respondent argues that the Court should credit Dr. Henry’s opinions over Dr. Kavanaugh’s principally on the ground that Dr. Henry is far more experienced at conducting fitness evaluations than Dr. Kavanaugh is. If all other things were equal, the Court might be inclined to use cumulative experience as a tie-breaker, even though Dr. Kavanaugh’s credentials and experience are substantial. But, as noted above, all things are not equal in regard to the experts’ work in this case. To be sure, Dr. Henry is highly credentialed and he offered a comprehensible summation of the bases for his opinions. But when placed against the full record of documents and testimony in this case, Dr. Henry’s conclusion that Newman is a malingerer who has been feigning his deficits — made after a single two-hour session with Newman eight years after the critical events took place — strikes the Court as conclusory and even abrupt. The parties have argued the relative merits of Henry’s confrontational approach against Kavanaugh’s attempt to build rapport with her interviewee. In the Court’s view, Kavanaugh’s suggestion that Henry might have first tried building rapport with Newman before engaging in cross-examination of his answers has a certain common sense appeal, especially given that Henry was conducting his examination from the distance of eight years and had never previously met Newman. But Henry is an experienced professional, so the Court will not second guess his approach to interviewing Newman. What Henry’s opinion lacks, however, is support from other people who knew Newman in the relevant time frame or from documents in the record. Henry’s assessment of Newman as a malingerer stands as an outlier among the views of the many individuals who
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of documents and testimony in this case, Dr. Henry’s conclusion that Newman is a malingerer who has been feigning his deficits — made after a single two-hour session with Newman eight years after the critical events took place — strikes the Court as conclusory and even abrupt. The parties have argued the relative merits of Henry’s confrontational approach against Kavanaugh’s attempt to build rapport with her interviewee. In the Court’s view, Kavanaugh’s suggestion that Henry might have first tried building rapport with Newman before engaging in cross-examination of his answers has a certain common sense appeal, especially given that Henry was conducting his examination from the distance of eight years and had never previously met Newman. But Henry is an experienced professional, so the Court will not second guess his approach to interviewing Newman. What Henry’s opinion lacks, however, is support from other people who knew Newman in the relevant time frame or from documents in the record. Henry’s assessment of Newman as a malingerer stands as an outlier among the views of the many individuals who have worked with Newman over the time frame — more than a decade — encompassed within the record of this case. While some of those individuals, most notably Whiting-ton, may have become so attached to Newman that their views must be taken “with a grain of salt,” others who have had no role in the development of the habeas case — most notably Newman’s teachers in Chicago both before and after he was in custody as well as prison officials at Menard and Macon — reported cognitive deficiencies despite what they perceived to be Newman’s best efforts. In view of these reports in the record, the Court cannot help but conclude that while Henry’s two-hour examination of Newman in 2010 might have been the start of a comprehensive analysis leading to the conclusion that Newman is a malingerer, far more investi gation, analysis, and confirmation would be needed before the Court could accept that opinion over the opposite inference that is supported by the rest of the evidence. To be sure, Henry testified that he
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have worked with Newman over the time frame — more than a decade — encompassed within the record of this case. While some of those individuals, most notably Whiting-ton, may have become so attached to Newman that their views must be taken “with a grain of salt,” others who have had no role in the development of the habeas case — most notably Newman’s teachers in Chicago both before and after he was in custody as well as prison officials at Menard and Macon — reported cognitive deficiencies despite what they perceived to be Newman’s best efforts. In view of these reports in the record, the Court cannot help but conclude that while Henry’s two-hour examination of Newman in 2010 might have been the start of a comprehensive analysis leading to the conclusion that Newman is a malingerer, far more investi gation, analysis, and confirmation would be needed before the Court could accept that opinion over the opposite inference that is supported by the rest of the evidence. To be sure, Henry testified that he did consult collateral documents, even if he did not interview any other individuals. Still, on balance, Kavanaugh’s opinion rested on a more thorough study that was undertaken much closer to the trial and took into account a more diverse range of documents and viewpoints than Henry’s, and thus the Court credits Kavanaugh’s conclusion that Newman was not fit to stand trial over Henry’s view that he was. 2. Performance In assessing the totality of the record against the pertinent legal standards, the Court begins with the first prong of Strickland — whether the performance of Newman’s attorney was deficient when he failed to ask for a competency hearing. The State argues that Johnson took the appropriate steps to quell any doubts that he may have had as to Newman’s fitness and therefore his performance was sufficient. However, looking at the testimony and evidence presented at the federal evidentiary hearing, as well as the parties’ briefs, the Court concludes that Johnson’s failure to conduct further investigation in light of the information at his disposal amounted to deficient performance
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did consult collateral documents, even if he did not interview any other individuals. Still, on balance, Kavanaugh’s opinion rested on a more thorough study that was undertaken much closer to the trial and took into account a more diverse range of documents and viewpoints than Henry’s, and thus the Court credits Kavanaugh’s conclusion that Newman was not fit to stand trial over Henry’s view that he was. 2. Performance In assessing the totality of the record against the pertinent legal standards, the Court begins with the first prong of Strickland — whether the performance of Newman’s attorney was deficient when he failed to ask for a competency hearing. The State argues that Johnson took the appropriate steps to quell any doubts that he may have had as to Newman’s fitness and therefore his performance was sufficient. However, looking at the testimony and evidence presented at the federal evidentiary hearing, as well as the parties’ briefs, the Court concludes that Johnson’s failure to conduct further investigation in light of the information at his disposal amounted to deficient performance under Strickland. First, the Court finds that Johnson performed deficiently when he failed to follow up on the red flags contained within documents in his possession, which in all likelihood would have confirmed his “concerns” about Newman’s fitness for trial and led him to call those concerns to the court’s attention. Specifically, when Newman’s mother, Barbara Newman, handed Johnson a stack of records detailing Newman’s mental limitations — including a diagnosis of “mentally retarded” by the SSA — and told Johnson that Newman went to a “special school,” Johnson had a duty to investigate. See Brown, 304 F.3d at 692 (7th Cir.2002) (counsel’s “failure to investigate will be ineffective assistance” when it is apparent from “sources of information not requiring fresh investigation, that the defendant has some mental or other condition that will repay further investigation”); Strickland v. Washington, 466 U.S. 668, 691, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984) (not any investigation will suffice; rather counsel is obligated to conduct “reasonable investigations or to make reasonable decision that makes particular investigations unnecessary”). Any investigation that
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under Strickland. First, the Court finds that Johnson performed deficiently when he failed to follow up on the red flags contained within documents in his possession, which in all likelihood would have confirmed his “concerns” about Newman’s fitness for trial and led him to call those concerns to the court’s attention. Specifically, when Newman’s mother, Barbara Newman, handed Johnson a stack of records detailing Newman’s mental limitations — including a diagnosis of “mentally retarded” by the SSA — and told Johnson that Newman went to a “special school,” Johnson had a duty to investigate. See Brown, 304 F.3d at 692 (7th Cir.2002) (counsel’s “failure to investigate will be ineffective assistance” when it is apparent from “sources of information not requiring fresh investigation, that the defendant has some mental or other condition that will repay further investigation”); Strickland v. Washington, 466 U.S. 668, 691, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984) (not any investigation will suffice; rather counsel is obligated to conduct “reasonable investigations or to make reasonable decision that makes particular investigations unnecessary”). Any investigation that he did — the scope of which remains uncertain given his vague testimony and non-existent corroborating evidence — fell far short of what is required of counsel in circumstances like these. Respondent’s arguments that (1) Johnson’s doubts were put to rest when he met with Newman at the Audy Home and (2) that Johnson was capable of making the determination because he had experience representing other mentally compromised defendants fall short for multiple reasons. To begin with, Johnson’s testimony concerning his meetings with Newman is unconvincing because it rests solely on his recollection; there simply is nothing in the record to corroborate the meetings that Johnson claims to have had with Newman. See Brown, 304 F.3d at 688 (warning against the acceptance of “post-hoc, self-serving” claims from attorneys during ineffective counsel proceedings). Second, regardless of how many times Johnson actually met with Newman in the months leading up to trial, none of Johnson’s descriptions of their meetings explain how his interactions with Newman quieted his doubts or how Johnson was qualified to make the medical determinations
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he did — the scope of which remains uncertain given his vague testimony and non-existent corroborating evidence — fell far short of what is required of counsel in circumstances like these. Respondent’s arguments that (1) Johnson’s doubts were put to rest when he met with Newman at the Audy Home and (2) that Johnson was capable of making the determination because he had experience representing other mentally compromised defendants fall short for multiple reasons. To begin with, Johnson’s testimony concerning his meetings with Newman is unconvincing because it rests solely on his recollection; there simply is nothing in the record to corroborate the meetings that Johnson claims to have had with Newman. See Brown, 304 F.3d at 688 (warning against the acceptance of “post-hoc, self-serving” claims from attorneys during ineffective counsel proceedings). Second, regardless of how many times Johnson actually met with Newman in the months leading up to trial, none of Johnson’s descriptions of their meetings explain how his interactions with Newman quieted his doubts or how Johnson was qualified to make the medical determinations that he now claims to have made. To the extent that Johnson may have thought Newman suffered from ADD or ADHD, rather than mental retardation, again he was guessing, not making a reasoned assessment after adequate investigation. The other evidence that was available to Johnson indicated that Newman had an IQ of 62, scored in the lowest possible percentile on basic skills and intelligence test, consistently had trouble understanding abstract concepts, required numerous educational accommodations by the Chicago Public Schools, had been diagnosed mentally retarded by the SSA, and exhibited serious developmental problems, such as bed-wetting as a teenager. This information triggered an obligation on Johnson’s part to undertake a reasonable investigation into Newman’s fitness to stand trial and to bring any concerns in that regard to the trial court’s attention. See Strickland, 466 U.S. at 691, 104 S.Ct. 2052; Brown, 304 F.3d at 692; People v. Brown, 31 Ill.2d 415, 418, 201 N.E.2d 409 (Ill.1964). A reasonable lawyer would have developed a bona fide doubt as to Newman’s fitness, which obligated him to conduct further
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that he now claims to have made. To the extent that Johnson may have thought Newman suffered from ADD or ADHD, rather than mental retardation, again he was guessing, not making a reasoned assessment after adequate investigation. The other evidence that was available to Johnson indicated that Newman had an IQ of 62, scored in the lowest possible percentile on basic skills and intelligence test, consistently had trouble understanding abstract concepts, required numerous educational accommodations by the Chicago Public Schools, had been diagnosed mentally retarded by the SSA, and exhibited serious developmental problems, such as bed-wetting as a teenager. This information triggered an obligation on Johnson’s part to undertake a reasonable investigation into Newman’s fitness to stand trial and to bring any concerns in that regard to the trial court’s attention. See Strickland, 466 U.S. at 691, 104 S.Ct. 2052; Brown, 304 F.3d at 692; People v. Brown, 31 Ill.2d 415, 418, 201 N.E.2d 409 (Ill.1964). A reasonable lawyer would have developed a bona fide doubt as to Newman’s fitness, which obligated him to conduct further inquiry and alert the trial court so that medical professionals could assess and ultimately assist counsel and the court in determining whether Newman was in fact fit to stand trial. Johnson’s failure to adhere to that standard amounted to constitutionally deficient performance. 3. Prejudice Because the Court finds that Newman has fulfilled the deficient performance prong of Strickland, it must address whether Newman was prejudiced by Johnson’s failure to seek a fitness hearing. Taking all of the evidence into consideration, the Court finds that the evidence presented at the Court’s evidentiary hearing confirms that Newman indeed suffered prejudice under Strickland. In other words, Newman has proved that there was a reasonable probability that he would have been found unfit to stand trial. First, the evidence convincingly shows that Newman was unable to provide “meaningful assistance” to his attorney in his defense. Illinois law instructs courts to consider factors such as the defendant’s “knowledge and understanding of the charge, the proceedings, the consequences of a plea, judgment or sentence, and the functions of the participants in the trial process.”
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inquiry and alert the trial court so that medical professionals could assess and ultimately assist counsel and the court in determining whether Newman was in fact fit to stand trial. Johnson’s failure to adhere to that standard amounted to constitutionally deficient performance. 3. Prejudice Because the Court finds that Newman has fulfilled the deficient performance prong of Strickland, it must address whether Newman was prejudiced by Johnson’s failure to seek a fitness hearing. Taking all of the evidence into consideration, the Court finds that the evidence presented at the Court’s evidentiary hearing confirms that Newman indeed suffered prejudice under Strickland. In other words, Newman has proved that there was a reasonable probability that he would have been found unfit to stand trial. First, the evidence convincingly shows that Newman was unable to provide “meaningful assistance” to his attorney in his defense. Illinois law instructs courts to consider factors such as the defendant’s “knowledge and understanding of the charge, the proceedings, the consequences of a plea, judgment or sentence, and the functions of the participants in the trial process.” 725 ILCS 5/104-16(b)(1). The “ability to repeat legal terms and concepts” is not enough, as it does not indicate “a full understanding of the nature of the allegations.” People v. Lucas, 388 Ill.App.3d 721, 328 Ill.Dec. 362, 904 N.E.2d 124, 128 (2009). In Lucas, the court found that the petitioner was unfit because he “had no realistic idea of the severity of the charges” and could not explain things like “who picked the jury” or how it functioned. Id., 328 Ill.Dec. 362, 904 N.E.2d at 128, 130; see also United States. v. Williams, 113 F.3d 1155, 1160 (10th Cir.1997) (finding that defendant’s ability to recite the charges against her, list witnesses, and use legal terminology is insufficient “for proper assistance in the defense requires an understanding that is ‘rational as well as factual’ ”) (quoting Dusky, 362 U.S. at 402, 80 S.Ct. 788). Here, Newman’s only real involvement in his defense was identifying his girlfriend’s brother as a potential witness and his house in a photograph. Newman was unable to understand or explain the role
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725 ILCS 5/104-16(b)(1). The “ability to repeat legal terms and concepts” is not enough, as it does not indicate “a full understanding of the nature of the allegations.” People v. Lucas, 388 Ill.App.3d 721, 328 Ill.Dec. 362, 904 N.E.2d 124, 128 (2009). In Lucas, the court found that the petitioner was unfit because he “had no realistic idea of the severity of the charges” and could not explain things like “who picked the jury” or how it functioned. Id., 328 Ill.Dec. 362, 904 N.E.2d at 128, 130; see also United States. v. Williams, 113 F.3d 1155, 1160 (10th Cir.1997) (finding that defendant’s ability to recite the charges against her, list witnesses, and use legal terminology is insufficient “for proper assistance in the defense requires an understanding that is ‘rational as well as factual’ ”) (quoting Dusky, 362 U.S. at 402, 80 S.Ct. 788). Here, Newman’s only real involvement in his defense was identifying his girlfriend’s brother as a potential witness and his house in a photograph. Newman was unable to understand or explain the role of the jury and other essential legal concepts that critically bear on a defendant’s competency to stand trial. See Dusky, 362 U.S. at 402, 80 S.Ct. 788 (“[I]t is not enough for the [judge] to find that the defendant is oriented to time and place and has some recollection of events’, but that the test must be whether he has sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding — and whether he has a rational as well as factual understanding of the proceedings against him.”). Newman’s description of the jury was that they “sat in the courtroom. They sat there and listened. They left out. They came back in. Somebody stood up. They said I was guilty.” Newman’s assessment does not show an understanding of how the jury makes its decision or of how Newman could have tried to influence that decision with the assistance of his lawyer. See United States v. Hardy, 2008 WL 4682218, at *7 (N.D.Okla. Oct. 22, 2008) (defendant unfit where he understood that
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of the jury and other essential legal concepts that critically bear on a defendant’s competency to stand trial. See Dusky, 362 U.S. at 402, 80 S.Ct. 788 (“[I]t is not enough for the [judge] to find that the defendant is oriented to time and place and has some recollection of events’, but that the test must be whether he has sufficient present ability to consult with his lawyer with a reasonable degree of rational understanding — and whether he has a rational as well as factual understanding of the proceedings against him.”). Newman’s description of the jury was that they “sat in the courtroom. They sat there and listened. They left out. They came back in. Somebody stood up. They said I was guilty.” Newman’s assessment does not show an understanding of how the jury makes its decision or of how Newman could have tried to influence that decision with the assistance of his lawyer. See United States v. Hardy, 2008 WL 4682218, at *7 (N.D.Okla. Oct. 22, 2008) (defendant unfit where he understood that “the role of the jury is to say you’re guilty” without understanding “how a trial is conducted”). While the Court agrees with Respondent that Newman’s low IQ alone is not enough to render him unfit for trial, Newman’s low IQ in conjunction with the overwhelming evidence of his inability to understand basic legal concepts convinces the Court that there is a reasonable probability that Newman would have been found unfit had he been granted a competency hearing. In reaching this conclusion, the Court gives substantial weight to the testimony of those witnesses who had an opportunity to observe Newman closer to the time of his trial in 2001-2002. Their testimony and supporting documentation establish that Newman was mentally retarded and functionally illiterate at the time of his trial; at the age of 16, despite trying hard, Newman could not master the alphabet, read the clock, read simple words, or retain information from one day to the next. Each of the witnesses and the bulk of the records from that time period supported the proposition that the
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