Rosario v. Ercole

     08-5521-pr
     Rosario v. Ercole


 1                       UNITED STATES COURT OF APPEALS
 2
 3                               F OR THE S ECOND C IRCUIT
 4
 5
 6
 7                                August Term, 2009
 8
 9   (Argued: November 19, 2009                      Decided: April 12, 2010)
10
11                             Docket No. 08-5521-pr
12
13
14                                  R ICHARD R OSARIO,
15
16                                                        Petitioner-Appellant,
17
18                                        –v.–
19
20   S UPT. R OBERT E RCOLE, G REEN H AVEN C ORRECTIONAL F ACILITY, A TTORNEY G ENERAL
21                                    E LIOT S PITZER,
22
23                                                       Respondents-Appellees.
24
25
26
27   Before:
28                  C ABRANES, S TRAUB, W ESLEY, Circuit Judges.
29
30        Richard Rosario appeals from a judgment of the United
31   States District Court for the Southern District of New York
32   (Castel, J.), entered on October 23, 2008, denying his
33   petition for a writ of habeas corpus. We hold that the
34   state court’s review of Rosario’s ineffective assistance of
35   counsel claims was neither contrary to, nor an unreasonable
36   application of, Strickland v. Washington, 466 U.S. 668
37   (1984).
38
39        Affirmed. Judge Straub concurs in part and dissents in
40   part in a separate opinion.

                                    Page 1 of      69
 1
 2
 3             J ODI K. M ILLER, Morrison & Foerster, LLP, New York,
 4                   NY (Carl H. Loewenson, Morrison & Foerster,
 5                   LLP, New York, NY, and Jin Hee Lee, NAACP
 6                   Defense and Education Fund, Inc., on the brief
 7                   ), for Petitioner-Appellant.
 8
 9             J OSEPH N. F ERDENZI, Assistant District Attorney,
10                    Bronx, NY (Christopher J. Blira-Koessler,
11                    Assistant District Attorney, Bronx, NY for
12                    Robert T. Johnson, District Attorney, Bronx
13                    County), for Respondents-Appellees.
14
15
16
17   W ESLEY, Circuit Judge:

18        This case requires us to examine New York law and

19   analyze one sentence in a New York Court of Appeals opinion

20   that has troubled our circuit since its publication.

21                                Background

22        On June 19, 1996, George Collazo was shot and killed in

23   the Bronx while walking with his friend Michael Sanchez.

24   The daytime shooting followed an argument sparked by

25   Collazo’s racial epithet to two men as he and Sanchez passed

26   them.   Sanchez later identified appellant Richard Rosario as

27   Collazo’s assailant.      Robert Davis, a porter working at a

28   nearby building, witnessed the murder and also identified

29   Rosario as the shooter.      A third eyewitness was also



                                Page 2 of   69
1    present, but did not identify Rosario as a participant in

2    the crime.

3        Rosario was arrested for the murder on July 1, 1996,

4    after he voluntarily returned to New York from Florida.

5    From the time of his arrest, Rosario claimed he was in

6    Florida when Collazo was shot.   Rosario provided the police

7    with a statement, maintained his innocence, and listed the

8    names of thirteen people who could corroborate his alibi.

9        Before Rosario’s trial began, he was assigned Joyce

10   Hartsfield as counsel.   Hartsfield brought an application

11   before the court requesting funds for a private investigator

12   to travel to Florida and interview the potential alibi

13   witnesses.   The court granted the application.   Hartsfield

14   was eventually replaced as counsel by Steven Kaiser in

15   February of 1998.   Kaiser had a mistaken belief that the

16   application for investigation fees had been denied.    Kaiser

17   did not make a request for fees; no investigation of alibi

18   witnesses was done in Florida.

19       During the trial, the prosecution called Sanchez and

20   Porter, who identified Rosario as the shooter, and the third

21   eyewitness, who failed to identify Rosario.   The defense

22   presented two alibi witnesses — John Torres, a friend of

                              Page 3 of   69
1    Rosario, and Jenine Seda, John Torres’ fiancée.      Both

2    testified that Rosario was living with them in Florida when

3    the murder occurred.   They remembered the date because their

4    first child was born on June 20th, a day after the murder.

5        Rosario took the stand in his own defense and testified

6    that he was in Florida through June 30, 1996.      Rosario

7    stated he lived with a woman named Shannon Beane from

8    February through April of 1996.     The prosecution rebutted

9    this assertion with Rosario’s Florida arrest record, which

10   indicated that he was arrested in March of 1996 and

11   imprisoned until April of that year.      The jury convicted

12   Rosario of second degree murder, and the court sentenced him

13   to 25 years to life.

14       After Rosario’s unsuccessful direct appeal of his

15   conviction, see People v. Rosario, 733 N.Y.S.2d 405 (1st

16   Dep’t 2001), leave denied 97 N.Y.2d 760 (2002), he filed a

17   motion to vacate his conviction under Section 440.10(1) 1 of


         1
           The relevant part of the New York statute governing a
     motion to vacate a judgment reads: “At any time after the
     entry of a judgment, the court in which it was entered may,
     upon motion of the defendant, vacate such judgment upon the
     ground that: . . . (h) The judgment was obtained in
     violation of a right of the defendant under the constitution
     of this state or of the United States.” N.Y. Crim. Proc.
     Law § 440.10(1).

                             Page 4 of    69
1    the New York Criminal Procedure Law on the grounds that he

2    was deprived effective assistance of counsel at trial.     The

3    Bronx County Supreme Court held a hearing, at which

4    Rosario’s attorneys (Hartsfield and Kaiser), the private

5    investigator, and seven alibi witnesses testified.

6    Hartsfield testified that she did not pursue documentary

7    records to support Rosario’s alibi defense, including

8    records from Western Union that were subsequently destroyed

9    and a police field report detailing Rosario’s stop by

10   Florida police on May 30, 1996.     She also testified that,

11   though she retained a private investigator and received

12   funding from the court to send the investigator to Florida

13   to investigate the alibi witnesses, she did not instruct the

14   private investigator to do so.    She conceded there was no

15   strategic reason behind that choice.

16       Kaiser, for his part, stated that he did not know where

17   he got the misimpression that the court had denied

18   investigatory funds.   He testified that he did attempt to

19   locate or contact alibi witnesses in Florida, working from

20   New York alone.   When asked if the two alibi witnesses he

21   called were the best witnesses, he replied “they were the

22   only two,” and he would have preferred to call additional

                             Page 5 of    69
1    alibi witnesses.

2        Jesse Franklin, the private investigator, testified

3    that she had a meeting with Rosario where he provided her

4    with a list of names for alibi witnesses.   She attempted to

5    reach all the people on the list via telephone, though it

6    was difficult to do so because many of them had moved.

7    Franklin raised these difficulties with Hartsfield, who

8    instructed her to draft an affidavit detailing her

9    difficulties for an application to the court for additional

10   investigatory funds to send Franklin to Florida.     She

11   believed traveling to Florida was necessary to investigate

12   properly Rosario’s alibi.   She never heard from Hartsfield

13   again about the application and assumed that it had been

14   denied.   Despite not traveling to Florida, Franklin did

15   manage to contact two of the witnesses on the list, Fernando

16   and Robert Torres, both of whom told Franklin that they had

17   seen Rosario in Florida in late June of 1996.   Franklin did

18   not contact those men again.   However, Franklin did later

19   contact the two witnesses who were actually called at trial,

20   Jenine Seda and John Torres, and was told by John Torres

21   that he could provide the names of other alibi witnesses.

22   Franklin tried unsuccessfully to telephone other witnesses

                             Page 6 of   69
1    that Rosario had named.

2        At the end of the hearing, the state court concluded

3    that Hartsfield and Kaiser had provided Rosario with

4    “meaningful representation” under New York law.       The court

5    detailed the testimony of each witness, and concluded that

6    the two witnesses presented at trial were the “most credible

7    among the possible alibi witnesses.”       Rosario v. Ercole, 582

8    F. Supp. 2d 541, 550 (S.D.N.Y. 2008).       The court also

9    determined that the testimony of several of the proffered

10   alibi witnesses could have undermined Rosario’s alibi

11   defense in the eyes of the jury.

12       The state court noted that Rosario’s right to effective

13   assistance of counsel was guaranteed by both the federal and

14   state constitutions.   The court contrasted the federal

15   standard set forth in Strickland with the New York standard

16   employed under the state constitution.       After a lengthy

17   analysis under the New York constitutional standard, the

18   court concluded that Rosario had received “meaningful

19   representation” as required by New York’s Constitution.        The

20   court also concluded that the government’s case was

21   “strong”; that the prospective alibi witnesses “were, for



                               Page 7 of   69
1    the most part, questionable and certainly not as persuasive

2    as the two witnesses who did testify”; and that the verdict

3    was “unimpeached, and ‘amply supported by the evidence.’” 2

4          Rosario filed a petition for a writ of habeas corpus in

5    the United States District Court for the Southern District

6    of New York (Castel, J.).     Rosario v. Ercole, 582 F. Supp.

7    2d 541 (S.D.N.Y. 2008).     The district court requested a

8    report and recommendation from a magistrate judge (Pitman,

9    M.J.).    Id. at 545.   The magistrate judge and the district

10   court concluded that counsels’ performance was in fact

11   deficient under Strickland.     Id. at 551.   However, both

12   determined that the state court’s decision to deny Rosario’s

13   motion to vacate was not an unreasonable application of, nor

14   contrary to, clearly established federal law.      Id. at 552-

15   53.   This appeal followed.

16                               Discussion

17         Under the Antiterrorism and Effective Death Penalty Act



           2
           Upon appeal, the New York Appellate Division, First
     Department, did not address the ineffective assistance
     claim. People v. Rosario, 733 N.Y.S.2d 405 (1st Dep’t
     2001). The New York Court of Appeals denied leave to
     appeal. People v. Rosario, 97 N.Y.2d 760, 760 (2002)
     (Ciparick, J.).

                               Page 8 of   69
1    of 1996 (“AEDPA”), a federal court may only grant a writ of

2    habeas corpus for a claim that has been adjudicated on the

3    merits by a state court if the adjudication of the claim:

 4       (1) resulted in a decision that was contrary to, or
 5       involved an unreasonable application of, clearly
 6       established Federal law, as determined by the Supreme
 7       Court of the United States; or
 8       (2) resulted in a decision that was based on an
 9       unreasonable determination of the facts in light of the
10       evidence presented in the State court proceeding.

11   28 U.S.C. § 2254(d).

12       Rosario argues that the state court decision denying

13   his claim for ineffective assistance of counsel was both an

14   unreasonable application of, and contrary to, the clearly

15   established federal standard under the first subsection of §

16   2254(d).   Because the state court adjudicated the merits of

17   his claim, Rosario must prove that the state court either

18   identified the federal standard for ineffective assistance

19   but applied that standard in an objectively unreasonably

20   way, or that the state applied a rule that contradicts the

21   federal standard.   Lockyer v. Andrade, 538 U.S. 63, 73, 75-

22   76 (2003); Williams v. Taylor, 529 U.S. 362, 387-89 (2000).

23   We review the district court’s denial of the writ de novo.

24   Jones v. West, 555 F.3d 90, 95 (2d Cir. 2009).



                             Page 9 of   69
1        Rosario argues that the state court ran afoul of

2    federal law when it concluded that he had received effective

3    representation.   In Rosario’s view, counsels’ failure to

4    investigate Rosario’s alibi witnesses and documentary

5    evidence was a violation of his constitutional right to the

6    effective assistance of counsel, and any conclusion

7    otherwise misapprehends clearly established law.

8        In Williams v. Taylor, the Supreme Court determined

9    that Strickland v. Washington, the seminal case defining the

10   contours of the right to effective assistance of counsel,

11   qualified as “clearly established law” for purposes of

12   AEDPA.   529 U.S. at 390-91.    The Strickland test for

13   ineffective assistance has two necessary components: the

14   defendant must establish both that his attorney was

15   ineffective and that the attorney’s errors resulted in

16   prejudice to the defendant.     Id.; see also Strickland v.

17   Washington, 466 U.S. 668, 687 (1984).      Counsel is

18   ineffective when her efforts fall “‘below an objective

19   standard of reasonableness.’”     Williams, 529 U.S. at 390-91

20   (quoting Strickland, 466 U.S. at 688).      A defendant

21   satisfies the prejudice prong by proving that “‘there is a



                             Page 10 of    69
1    reasonable probability that, but for counsel’s

2    unprofessional errors, the result of the proceeding would

3    have been different.    A reasonable probability is a

4    probability sufficient to undermine confidence in the

5    outcome.’”    Id. at 391 (quoting Strickland, 466 U.S. at

6    694).

7        When a federal court reviews a state court decision

8    under § 2254, “[t]he question is not whether a federal court

9    believes the state court’s determination under the

10   Strickland standard was incorrect but whether that

11   determination was unreasonable — a substantially higher

12   threshold.”    Knowles v. Mirzayance, - - - U.S. - - - -, 129

13   S. Ct. 1411, 1420 (2009) (internal quotation marks omitted).

14   The Strickland standard itself is a “general standard,”

15   meaning its application to a specific case requires “a

16   substantial element of judgment” on the part of the state

17   court.   Yarborough v. Alvarado, 541 U.S. 652, 664 (2004);

18   accord Knowles, 129 S.Ct. at 1420.     Thus, state courts are

19   granted “even more latitude to reasonably determine that a

20   defendant has not satisfied that standard.”     Knowles, 129

21   S.Ct. at 1420.    In order to prevail, a petitioner must

22   overcome that substantial deference and establish that the

                              Page 11 of   69
1    state court’s decision on ineffective assistance was

2    contrary to, or an unreasonable application of, Strickland.

3        To be “contrary to” clearly established law, a state

4    court must reach a conclusion of law antithetical to a

5    conclusion of law by the Supreme Court, or decide a case

6    differently than the Supreme Court has when the two cases

7    have “materially indistinguishable facts.”     Williams, 529

8    U.S. at 412-13.   The state court examined Rosario’s claims

9    under New York’s constitutional standard for ineffective

10   assistance.   New York’s constitution, like the U.S.

11   Constitution, affords its citizens with the right to

12   competent representation by an attorney.     See U.S. Const.

13   amend. VI; N.Y. Const. art. I, § 6; see also People v.

14   Baldi, 54 N.Y.2d 137, 146 (1981).     However, as noted by the

15   state court, New York’s test for ineffective assistance of

16   counsel under the state constitution differs from the

17   federal Strickland standard.     The first prong of the New

18   York test is the same as the federal test; a defendant must

19   show that his attorney’s performance fell below an objective

20   standard of reasonableness.     People v. Turner, 5 N.Y.3d 476,

21   480 (2005).   The difference arises in the second prong of

22   the Strickland test.   Id.    In New York, courts need not find

                             Page 12 of    69
1    that counsel’s inadequate efforts resulted in a reasonable

2    probability that, but for counsel’s unprofessional errors,

3    the result of the proceeding would have been different.

4    Instead, the “question is whether the attorney’s conduct

5    constituted egregious and prejudicial error such that

6    defendant did not receive a fair trial.”       People v.

7    Benevento, 91 N.Y.2d 708, 713 (1998) (internal quotation

8    marks omitted).    Thus, under New York law the focus of the

9    inquiry is ultimately whether the error affected the

10   “fairness of the process as a whole.”      Id. at 714.     The

11   efficacy of the attorney’s efforts is assessed by looking at

12   the totality of the circumstances and the law at the time of

13   the case and asking whether there was “meaningful

14   representation.”    Baldi, 54 N.Y.2d at 147.

15       The New York Court of Appeals clearly views the New

16   York constitutional standard as more generous toward

17   defendants than Strickland.    Turner, 5 N.Y.3d at 480 (“Our

18   ineffective assistance cases have departed from the second

19   (‘but for’) prong of Strickland, adopting a rule somewhat

20   more favorable to defendants.” (citing cases)).       To meet the

21   New York standard, a defendant need not demonstrate that the

22   outcome of the case would have been different but for

                              Page 13 of   69
1    counsel’s errors; a defendant need only demonstrate that he

2    was deprived of a fair trial overall.       People v. Caban, 5

3    N.Y.3d 143, 155-56 (2005).     A single error by otherwise

4    competent counsel may meet this standard if that error

5    compromised the integrity of the trial as a whole.       Turner,

6    5 N.Y.3d at 480.

7           For our part, we have recognized that the New York

8    “meaningful representation” standard is not contrary to the

9    Strickland standard.     Eze v. Senkowski, 321 F.3d 110, 123-24

10   (2d Cir. 2003); Lindstadt v. Keane, 239 F.3d 191, 198 (2d

11   Cir. 2001).     However, some of our colleagues have cautioned

12   that there may be applications of the New York standard that

13   could be in tension with the prejudice standard in

14   Strickland.     Henry v. Poole, 409 F.3d 48, 70-71 (2d Cir.

15   2005).     The primary source of this consternation is a

16   sentence from a New York Court of Appeals decision,

17   Benevento, which notes that “whether defendant would have

18   been acquitted of the charges but for counsel’s errors is

19   relevant, but not dispositive under the State constitutional

20   guarantee of effective assistance of counsel.”       91 N.Y.2d at

21   714.     Of course, under Strickland, if a defendant would have

22   been acquitted but for counsel’s errors, that fact is both

                               Page 14 of   69
1    relevant and dispositive because it creates more than a

2    reasonable probability of a different outcome and thus

3    soundly passes the prejudice prong of the test.       See

4    Strickland, 466 U.S. at 694.

5        The problem is that focusing solely on this sentence

6    leads one to ignore the context in which it was written.

7    Benevento recognized that, like Strickland, “a claim of

8    ineffective assistance of counsel will be sustained only

9    when it is shown that counsel partook ‘an inexplicably

10   prejudicial course.’”   Benevento, 91 N.Y.2d at 713 (quoting

11   People v. Zaborski, 59 N.Y.2d 863, 865 (1983)).       However,

12   the New York Court of Appeals carefully noted that, prior to

13   Strickland, New York had “developed a somewhat different

14   test for ineffective assistance of counsel under article I,

15   § 6 of the New York Constitution from that employed by the

16   Supreme Court in applying the Sixth Amendment.”       Id.

17   (quoting People v. Claudio, 83 N.Y.2d 76, 79 (1993)).

18   Benevento explained that in New York “‘prejudice’ is

19   examined more generally in the context of whether defendant

20   received meaningful representation.”      Id.   Because the

21   concept of prejudice in New York’s ineffective assistance of

22   counsel jurisprudence focuses on the quality of

                             Page 15 of   69
1    representation provided and not simply the “but for”

2    causation chain, New York has “refused to apply the harmless

3    error doctrine in cases involving substantiated claims of

4    ineffective assistance.”   Id. at 714 (citing cases).    In New

5    York, even in the absence of a showing that but for

6    counsel’s errors the outcome would be different, a defendant

7    may still have an ineffective assistance claim under New

8    York’s constitution.   Even if the errors are harmless in the

9    sense that the outcome would remain the same, a defendant

10   may still meet the New York prejudice standard by

11   demonstrating that the proceedings were fundamentally

12   unfair.   See People v. Stultz, 2 N.Y.3d 277, 283-84 (2004).

13   This is not a novel view — New York state courts have

14   repeatedly asserted that the New York standard is, in

15   practice and in intent, more generous to defendants than the

16   federal standard.   See, e.g., People v. Ozuna, 7 N.Y.3d 913,

17   915 (2006); Turner, 5 N.Y.3d at 480 (collecting cases).

18   Federal courts faced with the New York standard should view

19   it as such.

20       The concern this Court expressed in dicta in Henry v.

21   Poole about the New York state standard was misplaced.     The

22   Henry panel wrote, “we find it difficult to view so much of

                             Page 16 of   69
1    the New York rule as holds that ‘whether defendant would

2    have been acquitted of the charges but for counsel’s errors

3    is . . . not dispositive,’ as not ‘contrary to’ the

4    prejudice standard established by Strickland.”      409 F.3d at

5    71 (internal citation omitted).      However, it is hard to

6    envision a scenario where an error that meets the prejudice

7    prong of Strickland would not also affect the fundamental

8    fairness of the proceeding.   The very opinion from which the

9    troublesome phrase was drawn — Benevento — affirmatively

10   stated that even a “harmless error” could undermine the

11   fairness of the process in such a way that violates the

12   state’s constitutional guarantee of effective assistance.

13   See Benevento, 91 N.Y.2d at 714.      What case, then, could

14   present the converse, an error so egregious that it most

15   likely influenced the outcome of the trial, but did not

16   cripple the fundamental fairness of the proceedings?      We can

17   think of none.   Fundamental fairness analysis by its nature

18   must always encompass prejudice.

19       The New York standard is not without its problems.         In

20   defining prejudice to include “the context of whether

21   defendant received meaningful representation,” Benevento, 91

22   N.Y.2d at 713, New York has, to some degree, combined the

                             Page 17 of     69
1    two prongs of Strickland.    Prejudice to the defendant,

2    meaning a reasonable possibility of a different outcome, is

3    but one factor of determining if the defendant had

4    meaningful representation.    New York courts look at the

5    effect of the attorney’s shortcomings as part of the

6    equation in deciding if the defendant received the benefit

7    of competent counsel.   This approach, and the language of

8    Benevento, creates a danger that some courts might

9    misunderstand the New York standard and look past a

10   prejudicial error as long as counsel conducted himself in a

11   way that bespoke of general competency throughout the trial.

12   That would produce an absurd result inconsistent with New

13   York constitutional jurisprudence and the mandates of

14   Strickland.   Properly applied, however, this standard is not

15   contrary to Strickland and, in the case before us, the court

16   properly applied the standard.

17       The trial court’s decision 3 addressing the ineffective

18   assistance of counsel claim did recite the troublesome

19   phrase from Benevento, and added a footnote that read: “The


         3
           Because the state court appeals did not address the
     ineffective assistance of counsel claim, we look to the
     trial court’s analysis of the issue. See Ylst v.
     Nunnemaker, 501 U.S. 797, 803 (1991).

                             Page 18 of   69
1    federal standard for allegations of ineffective assistance

2    of counsel, which was set forth in Strickland v. Washington,

3    requires a showing that the attorney’s performance was

4    deficient and that, but for the attorneys[’] errors, the

5    result of the proceeding would have been different, was

6    expressly rejected in this case.” (internal quotation marks

7    and citation omitted).    Rosario argues that this alone is

8    enough to establish his claim under Federal law.     But as

9    noted above, New York’s rejection of Strickland was in the

10   context of recognizing a state constitutional right that is

11   more protective of a defendant’s right to an effective

12   attorney, and not because Strickland is too generous.

13       As the Henry panel recognized, this Court has

14   repeatedly held that application of the New York state

15   standard is not contrary to Strickland.    See, e.g., Eze, 321

16   F.3d at 123-24.   And, as the Henry panel also recognized,

17   “in the absence of a contrary decision by this Court en

18   banc, or an intervening Supreme Court decision, we are bound

19   to follow the precedents . . . that the N.Y. Court of

20   Appeals standard is not ‘contrary to’ Strickland.”     Henry,

21   409 F.3d at 70.   We emphasize again that the New York state

22   standard for ineffective assistance of counsel is not

                              Page 19 of   69
1    contrary to Strickland.

2        The only avenue of reprieve available to Rosario then

3    is to establish that the state court unreasonably applied

4    Strickland.   A state court “unreasonably applies” clearly

5    established law when it identifies the correct legal

6    principle from Supreme Court jurisprudence, but unreasonably

7    applies the principle to the case before it.     Williams, 529

8    U.S. at 412-13.

9        In order to prevail, Rosario must first satisfy the

10   prongs of Strickland on de novo review of the merits.        See

11   Henry, 409 F.3d at 67.     The magistrate judge and the

12   district court concluded that Rosario had done so.        We see

13   no need to quibble with those conclusions because, like the

14   magistrate judge and the district court judge, we agree that

15   the New York court’s application of Strickland — albeit in

16   the terms of New York cases — was not an unreasonable

17   application of the federal standard.

18       For us to find that the state court unreasonably

19   applied Strickland, we must uncover an “increment of

20   incorrectness beyond error.”     Francis S. v. Stone, 221 F.3d

21   100, 111 (2d Cir. 2000).     The increment need not be great,

22   but simply disagreeing with the outcome is insufficient.

                               Page 20 of   69
1    Id.; see also Williams, 529 U.S. at 410.    This is so even

2    if, as here, we conclude both prongs of Stickland have been

3    met.    “[A] state prisoner seeking a federal writ of habeas

4    corpus on the ground that he was denied effective assistance

5    of counsel must show more than simply that he meets the

6    Strickland standard. . . . [T]he state court’s decision

7    rejecting his claim is to be reviewed under a more

8    deferential standard than simply whether that decision was

9    correct.”    Henry, 409 F.3d at 67.

10          As noted above, the state court conducted an extensive

11   hearing in response to Rosario’s motion to vacate his

12   conviction under New York Criminal Procedure Law § 440.10

13   due to ineffective assistance of counsel.    The hearing

14   lasted over a month.    After the hearing, Justice Davidowitz

15   issued a lengthy decision, reviewing the evidence presented

16   and detailing his conclusions on Rosario’s claims.    While we

17   may disagree with Justice Davidowitz’s findings (and indeed

18   our dissenting colleague does), we cannot say that he

19   unreasonably applied federal law.

20          As the district court stated: “[t]hough not delivered

21   in Strickland terminology, the state court opinion ruled

22   that 1.) Rosario was effectively represented in his alibi

                              Page 21 of   69
1    defense, and 2.) that his representation did not undermine

2    confidence in the jury’s verdict.”      Rosario, 582 F. Supp. 2d

3    at 553.     Examining both the efforts of counsel and the alibi

4    witnesses presented, Justice Davidowitz concluded: “By any

5    standard, Ms. Hartsfield and Mr. Kaiser represented

6    defendant in a thoroughly professional, competent, and

7    dedicated fashion and not in accord with the issues of

8    ineffectiveness. . . . [T]he errors or omissions suggested

9    by the defendant do not alter this finding or rise to that

10   level.” (emphasis added).     Justice Davidowitz noted that “an

11   investigation was conducted . . . and, most importantly, a

12   credible alibi defense was presented to the jury.”        He found

13   that the two witnesses presented at trial were Rosario’s

14   best alibi witnesses.     Justice Davidowitz labeled Kaiser’s

15   decision not to present the police reports detailing

16   Collazo’s fight a “perfectly reasonable and appropriate”

17   strategy.     To put it in terms of Strickland, Justice

18   Davidowitz did not find that the performance of counsel was

19   objectively unreasonable.

20       Justice Davidowitz then examined in great detail the

21   testimony of the alibi witnesses presented at the hearing.

22   The court noted that the two alibi witnesses that were

                               Page 22 of   69
1    presented at trial “had the best reason for remembering why

2    defendant was present in Florida on June 19[,] 1996 — the

3    birth of their son — an event that was more relevant for

4    them than the events relied upon by the other witnesses.”

5    He expressed skepticism as to the probative value of the

6    witnesses presented at the hearing, calling the evidence “in

7    some cases questionable and in others [raising] issues which

8    could have created questions for a deliberating jury.    For

9    example, two of the witnesses — Lisette Rivero[] and Denise

10   Hernandez — could not say where the defendant was on June 19

11   and 20.”    The judge “studied closely” the alibi witnesses

12   presented at the hearing, and concluded they were “for the

13   most part, questionable and certainly not as persuasive as

14   the two witnesses who did testify, and were rejected by the

15   jury” and the testimony they would have provided was

16   “largely” cumulative.    In spite of the failure to call the

17   alibi witnesses, Justice Davidowitz determined “this jury

18   verdict was unimpeached and amply supported by the

19   evidence.” (internal quotation marks omitted and emphasis

20   added).    Translated into the language of Strickland, Justice

21   Davidowitz concluded that there was not a reasonable

22   probability that the outcome of the trial would be different

                              Page 23 of   69
1    but for counsel’s errors.

2        Justice Davidowitz conducted a thorough hearing,

3    assessing the credibility of the potential witnesses first-

4    hand.   He concluded that the two witnesses called at trial

5    were the best witnesses to represent Rosario’s alibi

6    defense, and that the other witnesses were “questionable and

7    certainly not as persuasive as the two witnesses who did

8    testify, and were rejected by the jury.”    He considered the

9    prejudicial effect of the errors, and concluded that the

10   outcome of the trial would not have been different but for

11   those errors — the guilty verdict, in his words, remained

12   “unimpeached.”   He adhered to the New York state standard

13   and found counsel to have been effective.    Whether our own

14   cold reading of the record would lead us to this conclusion

15   is of no moment; we must presume the state court’s findings

16   of fact are correct and can only be rebutted by clear and

17   convincing evidence otherwise.   Lynn v. Bliden, 443 F.3d

18   238, 246 (2d Cir. 2006) (citing 28 U.S.C. § 2254(e)).

19       Justice Davidowitz’s analysis need not employ the

20   language of a federal court’s de novo review in order to

21   pass AEDPA muster.   See Coleman v. Thompson, 501 U.S. 722,

22   739 (1991).   While he did not explicitly review the evidence

                             Page 24 of   69
1    under the Strickland standard, the import was the same.

2    Conflating the two prongs of Strickland does not violate

3    AEDPA — different is not per se unreasonable.      Here, Justice

4    Davidowitz did not find that counsel’s performance was

5    objectively unreasonable, nor did he find that the

6    fundamental fairness of the trial was harmed by counsel’s

7    errors.      On this record, we cannot say that the state court

8    unreasonably applied the tenets of Strickland.      Therefore,

9    consistent with the standards of AEDPA, we agree with the

10   district court that the writ must be denied.

11         We have reviewed Rosario’s additional arguments and

12   find them to be without merit.

13                                Conclusion

14         The district court’s judgment of October 23, 2008,

15   denying the petition for the writ of habeas corpus is hereby

16   A FFIRMED.

17




                                Page 25 of     69
1    S TRAUB, Circuit Judge, dissenting in part, concurring in

2    part:

3        The principal issue in this appeal is whether the state

4    court ruling on Rosario’s motion to vacate his conviction

5    pursuant to New York Criminal Procedure Law § 440.10 was

6    objectively unreasonable in holding that Rosario received

7    effective assistance of counsel in accordance with the Sixth

8    Amendment of the United States Constitution under Strickland

9    v. Washington, 466 U.S. 668 (1984).       As I believe it was, I

10   must respectfully dissent.   Rosario raises two additional

11   claims on appeal.   Because I would conditionally grant

12   Rosario’s petition on the basis of ineffective assistance of

13   counsel, I believe it unnecessary to reach his claim under

14   Batson v. Kentucky, 476 U.S. 79 (1986).       I concur only in

15   the majority’s rejection of Rosario’s actual innocence

16   claim.

17       This appeal presents an extraordinarily troubling set

18   of circumstances.   During the pendency of his prosecution,

19   Rosario consistently maintained, both to the police and to

20   his criminal defense attorneys, that he was in Florida on

21   the day of the Bronx murder and on multiple occasions

22   provided a list of up to thirteen alibi witnesses to

                             Page 26 of   69
1    corroborate this claim.     Rosario’s defense attorneys

2    nevertheless failed to investigate his alibi defense

3    adequately and did not contact many of these potential

4    witnesses.    They offer no strategic reason for not doing so

5    and, indeed, concede that such an investigation was

6    essential to Rosario’s defense.        Their explanation for this

7    failure is that they mistakenly believed that the state

8    trial court had denied Rosario’s application for fees to

9    cover the investigatory expenses, when in fact the court had

10   clearly granted the application.        Such conduct plainly falls

11   below acceptable professional standards, satisfying

12   Strickland’s performance prong.        Strickland, 466 U.S. at

13   687.

14          As a result of this colossal failure, Rosario’s trial

15   counsel presented a relatively weak alibi defense,

16   consisting of only two alibi witnesses who were subject to

17   impeachment as interested witnesses because they were close

18   friends with Rosario.     It is now clear that had Rosario’s

19   defense attorneys followed through in investigating his

20   alibi defense, they would have had the opportunity to call

21   at least seven additional alibi witnesses at trial.        These

22   witnesses would have provided corroboration and supplied

                               Page 27 of    69
1    distinct facts relating to Rosario’s presence in Florida on

2    and around the day of the murder, adding further context and

3    credibility to his alibi defense; moreover, a number of

4    these additional witnesses would not have been as vulnerable

5    to impeachment as interested witnesses as were the two trial

6    witnesses because they are not as close with Rosario.

7    Moreover, the prejudice in this case is worsened because the

8    only evidence of Rosario’s guilt was the testimony of two

9    stranger eyewitnesses.   There is no question, in my opinion,

10   that had the additional alibi witnesses who were presented

11   in connection with Rosario’s post-conviction motion

12   testified at trial, there is a reasonable probability that

13   the jury’s verdict would have been different, satisfying the

14   prejudice prong of the Strickland analysis.   Id.

15       While the majority appears to agree with this much of

16   the analysis, our opinions diverge where I further conclude

17   that the state court’s holding to the contrary was not

18   merely error, but an unreasonable application of Strickland.

19   I come to this conclusion, as I must, because there exists

20   too much alibi evidence that was not presented to the jury,

21   and too little evidence of guilt, to now have any confidence

22   in the jury’s verdict.   In sum, I would conditionally grant

                              Page 28 of   69
1    the petition because it was objectively unreasonable both to

2    sanction counsel’s failure to investigate Rosario’s alibi

3    defense as reasonable and to find no reasonable probability

4    that the verdict would have been different if the jury had

5    heard the significant alibi evidence that Rosario’s defense

6    attorneys neither uncovered nor presented.

7    I.   Ineffective Assistance of Counsel

8         The majority does not dispute that Rosario received

9    constitutionally ineffective assistance of counsel under

10   Strickland, but views the state court’s decision to the

11   contrary as within the bounds of permissible error.

12   Engaging in the Strickland analysis is helpful to underscore

13   why I must disagree with the majority’s conclusion that the

14   state court did not unreasonably apply the precedent.

15        Under Strickland, to establish ineffective assistance

16   of counsel, Rosario “must (1) demonstrate that his counsel’s

17   performance fell below an objective standard of

18   reasonableness in light of prevailing professional norms;

19   and (2) affirmatively prove prejudice arising from counsel’s

20   allegedly deficient representation.”      Carrion v. Smith, 549

21   F.3d 583, 588 (2d Cir. 2008) (internal quotation marks

22   omitted).   “To satisfy the first prong – the performance

                             Page 29 of   69
1    prong – the record must demonstrate that ‘counsel made

2    errors so serious that counsel was not functioning as the

3    “counsel” guaranteed the defendant by the Sixth Amendment.’”

4     Wilson v. Mazzuca, 570 F.3d 490, 502 (2d Cir. 2009)

5    (quoting Strickland, 466 U.S. at 687).    “[S]trategic choices

6    made after thorough investigation of law and facts relevant

7    to plausible options are virtually unchallengeable,”

8    Strickland, 466 U.S. at 690, and even “strategic choices

9    made after less than complete investigation do not amount to

10   ineffective assistance – so long as the known facts made it

11   reasonable to believe that further investigation was

12   unnecessary,” Henry v. Poole, 409 F.3d 48, 63 (2d Cir. 2005)

13   (citing Strickland, 466 U.S. at 690-91), cert. denied, 547

14   U.S. 1040 (2006).   By contrast, “omissions [that] cannot be

15   explained convincingly as resulting from a sound trial

16   strategy, but instead arose from oversight, carelessness,

17   ineptitude, or laziness,” may fall below the constitutional

18   minimum standard of effectiveness.    Wilson, 570 F.3d at 502

19   (alteration in original) (quoting Eze v. Senkowski, 321 F.3d

20   110, 112 (2d Cir. 2003)).   To satisfy the second prong – the

21   prejudice prong – a “defendant must show that there is a

22   reasonable probability that, but for counsel’s

                             Page 30 of   69
1    unprofessional errors, the result of the proceeding would

2    have been different.    A reasonable probability is a

3    probability sufficient to undermine confidence in the

4    outcome.”    Strickland, 466 U.S. at 694.

5        A.      Performance Prong

6        Defense counsel has a “duty to make reasonable

7    investigations or to make a reasonable decision that makes

8    particular investigations unnecessary.”     Wiggins v. Smith,

9    539 U.S. 510, 521 (2003) (quoting Strickland, 466 U.S. at

10   690).    Rosario’s pre-trial and trial counsel did neither.

11   From his arrest to the present, Rosario has consistently

12   maintained that he was in Florida on the day of the murder.

13   At every juncture of this case, he has disclosed the

14   substance of his alibi defense and the names of the

15   individuals who could corroborate it, including in his post-

16   arrest statement on the day he voluntarily surrendered to

17   the police and to both of his defense counsel thereafter.

18   Nevertheless, his attorneys abdicated their duty to

19   investigate a majority of these individuals because of their

20   mistaken belief that the state trial court had denied the

21   application for fees to cover the expenses of such an

22   investigation.    This clearly satisfies the deficient

                               Page 31 of   69
1    representation prong of Strickland.

2        To be more specific, the record is undisputed that

3    Rosario’s first counsel, Joyce Hartsfield, retained

4    investigator Jessie Franklin, and, after Franklin’s

5    unsuccessful attempt to contact several potential alibi

6    witnesses by telephone, concluded that an on-the-ground

7    investigation in Florida was necessary.       Accordingly,

8    Hartsfield applied to the trial court for fees to cover the

9    cost of sending Franklin to Florida.       The court ultimately

10   granted the application, but Hartsfield failed to disclose

11   this fact to Franklin.   Franklin assumed the court had

12   denied the application because Hartsfield never informed her

13   otherwise and never ordered her to conduct the

14   investigation.   Steven Kaiser, Rosario’s second counsel,

15   similarly labored under the erroneous impression that the

16   court had denied the application and neglected to make any

17   further inquiry into the matter.      Whatever their reasons for

18   harboring this mistaken belief, an on-the-ground

19   investigation in Florida was never conducted.       The direct

20   and proximate result of this mistake was that Rosario’s

21   defense team never contacted most of Rosario’s alibi

22   witnesses.

                              Page 32 of   69
1        To be clear, neither Hartsfield nor Kaiser claim that

2    the failure to conduct this investigation was strategic;

3    they admit it was a mistake.     Hartsfield testified that in

4    this case it was “critical” for the investigator to be able

5    to meet the witnesses “in person and have a face-to-face

6    conversation,” and that had Hartsfield realized that the

7    application for fees had been granted she would have asked

8    Franklin to go to Florida.     Hartsfield unequivocally

9    confirmed that her failure to interview additional witnesses

10   was not strategic.   Kaiser likewise testified that he relied

11   upon the erroneous belief that the fee motion had been

12   denied in limiting his investigation of Rosario’s alibi to

13   evidence that could be gathered from New York, and

14   repeatedly testified to the effect that he would have “loved

15   to” call additional alibi witnesses if only they had been

16   available to him.

17       Under these circumstances, there is simply no question

18   that this mistake on the part of Rosario’s defense attorneys

19   – and their resulting failure to investigate Rosario’s alibi

20   properly – was constitutionally deficient under the Sixth

21   Amendment.   See, e.g., Williams v. Taylor, 529 U.S. 362, 396

22   (2000) (concluding that counsel’s failure to uncover and

                             Page 33 of   69
1    present voluminous mitigating evidence at sentencing could

2    not be justified as a tactical decision to focus on the

3    defendant’s voluntary confessions because counsel had not

4    “fulfill[ed] their obligation to conduct a thorough

5    investigation of the defendant’s background”); Pavel v.

6    Hollins, 261 F.3d 210, 220 (2d Cir. 2001) (noting that “an

7    attorney’s failure to present available exculpatory evidence

8    is ordinarily deficient, unless some cogent tactical or

9    other consideration justified it”); Maddox v. Lord, 818 F.2d

10   1058, 1061-62 (2d Cir. 1987) (concluding that counsel would

11   be constitutionally deficient if he “was aware of – but

12   failed” for non-strategic reasons “to interview – a

13   potential witness . . . who was prepared to testify . . .

14   that he had diagnosed [petitioner] as being extremely

15   emotionally disturbed prior to, and during, the commission

16   of the crime”); Garcia v. Portuondo, 459 F. Supp. 2d 267,

17   287-88 (S.D.N.Y. 2006) (“[T]here is no reasonable trial

18   strategy that would have excluded at least conducting

19   interviews of the alibi witnesses to determine whether they

20   could provide exculpatory evidence.”). 4


         4
           Kaiser’s deficiency extended beyond his failure to
     investigate. In his limited investigation, Kaiser was able

                             Page 34 of   69
1        B.   Prejudice Prong

2        I also conclude that Rosario has satisfied the

3    prejudice prong of Strickland.   Because of defense counsel’s

4    failure to properly investigate Rosario’s alibi defense, the

5    only two alibi witnesses presented at trial were John Torres

6    and Jenine Seda, who both testified that Rosario stayed with

7    them in Deltona, Florida from approximately the end of April

8    or beginning of May until about June 20, 1996.

9    Specifically, they testified that Rosario was in Florida on

10   June 19, 1996, the day of the murder, and that they

11   remembered this because it was the day before the birth of



     to contact a few individuals in Florida beyond the two
     witnesses he actually presented at trial. Specifically, he
     spoke with Fernando Torres – who, it will be seen, could
     have been an important witness – perhaps Fernando’s wife
     Margarita, and others whose names Kaiser could not recall.
     Kasier would have liked to call some of these witnesses; the
     limited recollection of the conversations he had, however,
     was that those he spoke with could not afford to come to New
     York and may have been reluctant to testify at least in part
     for financial reasons. Kaiser was unaware of a New York
     state statute providing reimbursement of certain expenses of
     out-of-state witnesses and, in any event, operating under
     the belief that the state court had denied the motion for
     fees to send Franklin to Florida, assumed that the court
     would have likewise declined to reimburse the witnesses any
     expenses. Thus, Kaiser’s decision not to pursue additional
     witnesses was also based on an erroneous belief rather than
     on any “plausible strategic calculus or an adequate pre-
     trial investigation” of the facts and law. Pavel, 261 F.3d
     at 222.

                            Page 35 of   69
1    their son.   John 5 further explained that on June 19, his car

2    broke down and he spent the day with Rosario looking for car

3    parts before they returned to his apartment together.       Seda

4    also testified that Rosario was at her apartment to see the

5    baby on June 21, 1996, when she returned from the hospital.

6    Rosario took the stand on his own behalf and testified that

7    he was in Florida on the day of the murder and was staying

8    with John and Seda for most of June 1996.

9        The prosecution successfully discredited the alibi

10   defense presented at trial by convincing the jury that John,

11   Seda and Rosario were lying.    The first words from the

12   prosecution during its summation were:       “You [the jury] have

13   to determine which witnesses were credible, which witnesses

14   were believable, which witnesses had an interest in the

15   outcome of this case.”   The prosecution went on to argue,

16   Rosario’s “saying he was in Florida.       Look at the testimony

17   to determine, can you rely on it?     Is it believable?    Is it

18   credible?”   Discrediting Seda and John, the prosecution

19   argued:




         5
           Because a number of relevant witnesses share the
     surnames “Torres” and “Ruiz,” I shall refer to those
     individuals by their first names.

                              Page 36 of   69
 1                  First the two witnesses we heard.
 2             Jenine Seda and John Torres, the
 3             defendant’s friends. I would suggest to
 4             you, ladies and gentlemen, that those
 5             witnesses are interested witnesses,
 6             interested because they have an interest
 7             in the outcome of the case. They don’t
 8             want to see their friend go to jail. They
 9             don’t want to see their friend in
10             trouble.
11
12   With respect to Rosario’s testimony, the prosecution noted

13   at the outset that “the Judge will instruct you he is an

14   interested witness.”   The proseuction also emphasized that

15   Rosario lied about staying with a woman in Florida during

16   March and April of 1996 named Shannon Beane, whom he claimed

17   to have been with every day, when in fact he had been

18   incarcerated between March 13 and April 12.   The prosecution

19   argued:

20                  Ladies and gentlemen, he took the
21             stand. He put his hand on the Bible. He
22             swore to tell the truth, and he told you
23             I was with Shannon [B]ean[e]. I was with
24             her daily, every day, and we know, ladies
25             and gentlemen, from Captain Bolton that’s
26             not true.
27
28                  Ladies and gentlemen, I would
29             suggest to you he doesn’t want you to
30             know the truth about June 19th because to
31             know the truth is to know that he was on
32             White Plains Road, to know that he was on
33             Turnbull Avenue, and to know that he was
34             pumping a bullet [into] the head of
35             George Collazo, and ending his life.

                             Page 37 of   69
 1
 2                 Ask yourself to what extent he would
 3            go to preventing you from knowing the
 4            truth. If he didn’t want you to know
 5            where he was in March and April of 1996,
 6            a time period which is insignificant
 7            since it has nothing to do with the
 8            commission of this crime, what would he
 9            do for the time period that really
10            matters?
11
12                . . . .
13
14                 Ladies and gentlemen, use your
15            common sense. Keep in mind that
16            [Rosario] has an interest in this case.
17
18       The prosecution thus presented the jury with a choice:

19   it could choose to believe two, disinterested eyewitnesses,

20   or it could believe Rosario and his two good friends.       It

21   was a credibility battle.   It is not shocking, therefore,

22   that the prosecution secured a conviction.    I conclude,

23   however, that if the jury had been presented with the

24   additional alibi evidence unearthed only by Rosario’s post-

25   conviction team, there is a reasonable probability that the

26   outcome at trial would have been different.

27       Rather than the slim alibi defense actually presented

28   at trial, the jury would have been presented with a much

29   stronger and more credible account of Rosario’s presence in

30   Florida on the day of the murder and in the immediately



                            Page 38 of   69
1    surrounding period.   Instead of disbelieving two alibi

2    witnesses who were good friends with Rosario and Rosario

3    himself, the jury would have had to discredit at least seven

4    additional witnesses, who would have corroborated Rosario’s

5    alibi, provided further context to his defense and testified

6    to additional facts that had not been elicited at trial.

7    Moreover, many of the additional witnesses are less

8    interested in the outcome of the trial than were the trial

9    witnesses and thus would have been less vulnerable to

10   impeachment as interested witnesses.

11       The following alibi evidence was presented in

12   connection with Rosario’s post-conviction motion.     First,

13   Chenoa Ruiz, neighbor of John and Seda and wife of John’s

14   brother Robert Torres, testified that she saw Rosario about

15   five times a week when he was living with John and Seda in

16   June 1996, but that he moved out of their house and in with

17   a friend named Ray who lived nearby when the baby was born.

18   Chenoa testified that on the night of June 18, 1996 (the

19   night prior to the murder), John, Seda, Robert and Rosario

20   were at her and Robert’s apartment when Seda began to have

21   contractions.   Chenoa and another woman took Seda to the

22   hospital without John, who chose instead to remain with

                             Page 39 of   69
1    Robert and Rosario.   Seda was not kept in the hospital that

2    night, but was told to return the next day for a scheduled

3    appointment.   The next morning (June 19, the day of the

4    murder), Chenoa saw Rosario when she arrived at John and

5    Seda’s apartment to take Seda to the doctor and saw him

6    again when she and Seda returned home several hours later.

7    Chenoa testified that she remembers this day in particular

8    because she was annoyed that John was “hanging out” with

9    Rosario instead of tending to his pregnant girlfriend.

10   Chenoa would have provided less interested testimony than

11   John and Seda because she did not consider Rosario a friend.

12       Second, Fernando Torres, John’s father, testified that

13   Rosario lived with John and Seda around the time that his

14   grandson was born on June 20, 1996.       Fernando testified that

15   he was with Rosario in Florida on June 19, 1996, the day of

16   the murder, because John’s car broke down and Fernando

17   accompanied John and Rosario to purchase car parts.

18   Fernando also saw Rosario in Florida the following morning:

19   early on June 20, Fernando went to his son’s house and

20   learned from Rosario that John and Seda were at the

21   hospital.   Finally, Rosario was again present at John and

22   Seda’s apartment when Fernando met his grandson for the

                             Page 40 of   69
1    first time on June 21, the day Seda returned from the

2    hospital.   Fernando invited Rosario to church that day.           In

3    addition to providing additional facts not supplied by

4    either John or Seda, a jury may have found Fernando more

5    credible because he was not a friend of Rosario and thus

6    undoubtedly a less interested witness.      Additionally,

7    Fernando is a generation older than Rosario, John and Seda,

8    who were all in their twenties, which may have further

9    bolstered his credibility over the trial witnesses.         See,

10   e.g., United States v. Liporace, 133 F.3d 541, 545 (7th Cir.

11   1998) (approving instruction to jury that it may consider a

12   witness’s age in assessing that witness’s credibility); cf.

13   Washington v. Schriver, 255 F.3d 45, 59-60 & n.10 (2d Cir.

14   2001) (implicitly approving same). 6

15       A third witness – Michael Serrano, a corrections


         6
           Margarita Torres, Fernando’s wife and John’s mother,
     filed an affidavit in connection with the post-conviction
     hearing stating that she saw Rosario in Florida on June 19,
     1996, the day of the murder, and again when Seda came home
     from the hospital with her grandson. Along with Fernando,
     Margarita invited Rosario to church that day. Though she
     did not testify at the post-conviction hearing, she
     indicated that she would be “more than willing” to testify
     on Rosario’s behalf. As with Fernando, had Margarita
     testified, a jury may have viewed her testimony as more
     credible than either John’s or Seda’s because she was not a
     friend of Rosario and is a generation older than they.

                             Page 41 of     69
1    officer – testified that in June of 1996, he saw Rosario two

2    or three times a week in the apartment complex where John,

3    Seda, Robert and Chenoa lived, including in the days prior

4    to the birth of John and Seda’s child.     Though he did not

5    know Rosario’s whereabouts on the day of the murder, Serrano

6    testified that on the night that the baby was born (i.e.,

7    the day after the murder), Serrano and several other people,

8    including Rosario, held an impromptu celebration in the

9    parking lot of the apartment complex to congratulate John

10   when he came home from the hospital. 7    As with Ruiz, Serrano

11   did not consider himself to be good friends with Rosario.

12       Fourth, Denise Hernandez, Rosario’s ex-girlfriend,

13   testified that she saw Rosario in Florida around the time of

14   the murder because they were dating throughout June 1996,

15   and recalled in particular a big argument at some point in

16   the middle to end of that month.     Hernandez explained that

17   one day, she and her friend were at her friend’s house

18   getting ready to go out to a movie when Rosario took her




         7
           According to Serrano, John alone came home briefly to
     get a change of clothes before returning to the hospital
     that night. Accordingly, his testimony does not contradict
     Fernando’s account that Seda and the baby remained in the
     hospital until the following day.

                             Page 42 of   69
1    car, without her permission, on a “joyride.”     Hernandez was

2    particularly upset because this incident occurred a few days

3    before her sister’s birthday, which is on June 26, and her

4    sister’s birthday present was in the car.    As a result of

5    this and other issues in their relationship, Hernandez broke

6    up with Rosario at some point between her sister’s birthday

7    and when Rosario returned to New York.    It is true that

8    Hernandez has maintained a close relationship with Rosario,

9    even visiting him in prison on several occasions, and thus

10   the prosecution presumably would have attacked her as an

11   interested witness.   Nevertheless, her testimony would have

12   provided additional and distinct facts relating to Rosario’s

13   whereabouts around the date of the murder and would have

14   provided further context to his alibi defense.

15       Furthermore, a fifth witness, Hernandez’s friend

16   Lyssette Rivera, testified that she was present when Rosario

17   took Hernandez’s car on the joyride and recalled the ensuing

18   argument between Hernandez and Rosario and its proximity to

19   Hernandez’s sister’s birthday (recalling that the argument

20   occurred between five days and a week prior to the sister’s

21   birthday).   Thus, to the extent that Hernandez would have

22   been subject to impeachment in light of her relationship

                             Page 43 of   69
1    with Rosario, defense counsel could have corroborated her

2    testimony with that of Rivera, who – though she also had

3    communicated with Rosario since his incarceration – did not

4    have as close a relationship with him.

5        Sixth, Ricardo Ruiz, the brother of Chenoa, testified

6    that he saw Rosario at John and Seda’s apartment during the

7    month of June 1996 “[a]ll the time,” including before and

8    after their baby was born.   In particular, he testified that

9    Rosario was in Florida “[a]t the time that [Seda] gave birth

10   to [the baby].”   He also testified that after Rosario moved

11   out of John and Seda’s apartment, Rosario moved in with a

12   friend named Ray, who lived across the street from John and

13   Seda.

14       The seventh witness – Minerva Godoy, Rosario’s ex-

15   fiancee – testified that Rosario left New York for Florida

16   in May 1996, to relocate and find a job, and she did not see

17   him again until the morning of July 1, 1996, when he claims

18   to have returned to New York.   Godoy testified that she was

19   in regular contact with Rosario while he was in Florida,

20   calling him at Fernando’s Florida telephone number and once

21   wiring him money in Florida via Western Union.   In

22   particular, she testified that Rosario called her from

                             Page 44 of   69
1    Florida the day after Seda gave birth and told her that he

2    was going to go see the baby. 8

3        Because the prosecution’s case hinged so much on

4    discrediting Rosario’s alibi defense, these additional

5    witnesses could have made all the difference in the world.

6    Godoy could have provided the necessary context by

7    testifying about Rosario’s departure from New York to

8    Florida in May 1996, essentially serving as the first

9    chapter of his alibi defense, and then about their meeting

10   on July 1, 1996, providing the final chapter immediately

11   prior to his surrender to the police.     All of the other

12   witnesses discussed above would have filled in the middle by

13   testifying that they saw Rosario in their Florida community

14   throughout June of 1996.   They would have provided specific

15   facts regarding where he lived and what he was doing at that

16   time.   Several witnesses could have corroborated each

17   other’s testimony that Rosario was in Florida on the exact

18   day of the murder and in the immediately surrounding days.

19   Chenoa would have testified that she saw Rosario both the


         8
           Another potential alibi witness – Jeremy David Guzman
     – filed a written statement in connection with the post-
     conviction hearing stating that he had spent “hours” with
     Rosario in Florida on June 19, 1996.

                             Page 45 of   69
1    night prior to the murder, when she took Seda to the

2    hospital, and twice throughout the day of the murder, both

3    before and after Seda’s doctor’s appointment.   John’s father

4    Fernando would have placed Rosario in Florida on three

5    consecutive days beginning with the day of the murder and

6    would have corroborated John’s testimony that Rosario was

7    with him looking for car parts on the nineteenth.   From

8    Chenoa and Fernando alone, the jury would have been provided

9    additional concrete facts that Rosario was in Florida the

10   night prior to, at various points the day of, and the

11   morning following the murder – indisputably critical data

12   points in establishing that Rosario was in Florida, and not

13   over 1000 miles away in New York, when the victim was

14   murdered.

15       Additionally, Serrano would have testified that he was

16   with Rosario in the parking lot of John and Seda’s apartment

17   complex on the night after the murder; Hernandez and Rivera

18   would have provided consistent testimony about the fight

19   between Hernandez and Rosario around the date of the murder;

20   and Ricardo could have further corroborated Rosario’s

21   general presence in Florida throughout June.

22       This additional evidence that the jury never heard

                            Page 46 of   69
1    would have provided the necessary context and corroboration

2    for Rosario’s alibi defense.    Moreover, as discussed, many

3    of these witnesses were not vulnerable to impeachment as

4    interested witnesses because they were not close friends

5    with Rosario. 9

6         I conclude that this evidence, taken together, clearly

7    establishes a reasonable probability that the outcome of the

8    trial would have been different had defense counsel

9    investigated and presented this additional alibi evidence,

10   satisfying Strickland’s prejudice prong.     “Overall,” as

11   Rosario argues, “if presented with the additional evidence

12   at trial, a jury must disregard nine witnesses, as opposed

13   to two, as mistaken or lying about seeing Rosario in Florida

14   on and about June 19, 1996, before convicting him of the

15   Bronx murder.”    Brief for Rosario at 34.   See Stewart v.

16   Wolfenbarger, 468 F.3d 338, 359 (6th Cir. 2006) (finding

17   prejudice when defense counsel failed to call two additional

18   alibi witnesses to corroborate the one alibi witness called

19   at trial who was impeached because of his close association


          9
           Nor would have impeachment for criminal history been
     an issue. Notably, Ricardo was the only witness at
     Rosario’s post-conviction hearing with any criminal record,
     consisting solely of misdemeanor convictions.

                              Page 47 of   69
1    with the defendant); Washington v. Smith, 219 F.3d 620, 634

2    (7th Cir. 2000) (finding prejudice when defense counsel

3    failed to call three additional alibi witnesses to

4    corroborate the one alibi witness at trial who had knowledge

5    of the defendant’s whereabouts during the robbery,

6    particularly when none of the additional witnesses, unlike

7    the trial witness, had a criminal record); Montgomery v.

8    Peterson, 846 F.2d 407, 415 (7th Cir. 1988) (finding

9    prejudice in failure to call additional, disinterested alibi

10   witness, noting that “the jury might well have viewed the

11   otherwise impeachable testimony of the twelve witnesses who

12   were presented at the . . . trial in a different light had

13   the jury also heard the testimony of this disinterested

14   witness”).

15       Further highlighting the prejudicial effect of defense

16   counsel’s error in this case is the paucity of the

17   prosecution’s case, which consisted of only two stranger

18   eyewitnesses.   We have consistently acknowledged that this

19   sort of evidence is “proverbially untrustworthy.”    Kampshoff

20   v. Smith, 698 F.2d 581, 585 (2d Cir. 1983); see also Gersten

21   v. Senkowski, 426 F.3d 588, 613 (2d Cir. 2005)

22   (characterizing direct evidence consisting only of

                             Page 48 of   69
1    eyewitness testimony as “underwhelming”), cert. denied sub

2    nom., Artus v. Gersten, 547 U.S. 1191 (2006); Lyons v.

3    Johnson, 99 F.3d 499, 504 (2d Cir. 1996) (“[T]his court has

4    noted on more than one occasion that eyewitness testimony is

5    often highly inaccurate.”).    Indeed, each year thousands of

6    defendants in the United States are convicted for crimes

7    that they did not commit, and many experts estimate that

8    eyewitness error plays a role in half or more of all

9    wrongful felony convictions.    Richard A. Wise, Clifford S.

10   Fishman & Martin A. Safer, How to Analyze the Accuracy of

11   Eyewitness Testimony in a Criminal Case, 42 C ONN. L. R EV.

12   435, 440 & n.12 (2009) (citing study showing that eyewitness

13   error accounts for nearly sixty percent of all wrongful

14   convictions).

15       In this case, there are reasons to be concerned with

16   the two eyewitnesses’ accounts: the porter, Robert Davis,

17   saw the shooter at a distance of more than two car lengths

18   for only a few seconds, and although Michael Sanchez

19   testified that he got a good look at the shooter, it was

20   only for a short moment under very stressful conditions. 10


         10
            A third eyewitness, Jose Diaz, believed that he might
     be able to identify the shooter, but failed to identify

                              Page 49 of   69
1    This is of course not to say there was insufficient evidence

2    to convict Rosario.   But Strickland makes clear that “a

3    verdict or conclusion only weakly supported by the record is

4    more likely to have been affected by errors than one with

5    overwhelming record support.”   466 U.S. at 696.   Such is the

6    case here.   See Lindstadt v. Keane, 239 F.3d 191, 204-05 (2d

7    Cir. 2001) (finding prejudice and reversing denial of writ

8    of habeas corpus where trial counsel failed to investigate

9    evidence that could have corroborated the petitioner’s alibi

10   claims, and where the prosecution’s case rested on only two

11   eyewitnesses and limited corroborating evidence); see also

12   Espinal v. Bennett, 588 F. Supp. 2d 388, 402, 407-08

13   (E.D.N.Y. 2008) (granting habeas relief when defense counsel

14   failed to investigate a statement provided by a potential

15   alibi witness who might have corroborated the petitioner’s

16   own testimony regarding his whereabouts on the day of the

17   murder in a prosecution consisting primarily of two

18   eyewitnesses, one of whose credibility was impeached),

19   aff’d, 342 F. App’x 711 (2d Cir. Aug. 18, 2009) (unpublished

20   disposition).




     Rosario in court.

                             Page 50 of   69
1    II.   Habeas Corpus Standards

2           The majority essentially concedes a Strickland

3    violation and that Rosario would be entitled to relief if

4    this case arose on direct review but denies the writ out of

5    deference to the state court.    Pursuant to 28 U.S.C. § 2254,

6    a federal court may not grant a writ of habeas corpus to a

7    state prisoner “with respect to any claim that was

8    adjudicated on the merits” by the state court unless the

9    state court’s decision “was contrary to, or involved an

10   unreasonable application of, clearly established Federal

11   law, as determined by the Supreme Court of the United

12   States.”    28 U.S.C. § 2254(d)(1).   Under this principle of

13   deference, habeas relief may not be granted merely upon a

14   “conclusion that counsel’s performance was constitutionally

15   inadequate.”    Carrion v. Smith, 549 F.3d 583, 591 n.4 (2d

16   Cir. 2008).    Rather, “petitioner must identify some

17   increment of incorrectness beyond error in order to obtain

18   habeas relief.”    Jones v. West, 555 F.3d 90, 96 (2d Cir.

19   2009) (quoting Sorto v. Herbert, 497 F.3d 163, 169 (2d Cir.

20   2007)).    Moreover, as the majority notes, “because the

21   Strickland standard is a general standard, a state court has

22   even more latitude to reasonably determine that a defendant

                              Page 51 of   69
1    has not satisfied that standard.”    Knowles v. Mirzayance,

2    556 U.S. __, 129 S. Ct. 1411, 1420 (2009).     Nevertheless,

3    “the increment of incorrectness beyond error need not be

4    great; otherwise, habeas relief would be limited to state

5    court decisions so far off the mark as to suggest judicial

6    incompetence.”   Georgison v. Donelli, 588 F.3d 145, 154 (2d

7    Cir. 2009) (internal brackets omitted) (quoting Hoi Man Yung

8    v. Walker, 468 F.3d 169, 176 (2d Cir. 2006)).

9        A close review of the state court’s decision makes it

10   entirely clear, however, that – even affording the state

11   court its due deference – its decision rejecting Rosario’s

12   claim was an unreasonable application of Strickland and

13   should not stand.

14       At the outset, I note that the state court’s use of the

15   “meaningful representation” standard led it to focus on

16   certain factors that have little bearing on a proper

17   Strickland analysis.   And it appears to have done so at the

18   expense of determining whether the undisputed mistakes made

19   by Rosario’s defense counsel fell below objectively

20   reasonable standards and, moreover, whether they caused him

21   prejudice, as required under Strickland.     Indeed, the state

22   court relied heavily upon its finding that Rosario’s pre-

                             Page 52 of   69
1    trial and trial attorneys “represented [him] in a thoroughly

2    professional, competent, and dedicated fashion.”     It

3    emphasized that “[b]oth attorneys filed all appropriate

4    motions; within the scope of the information that was then

5    available to them, an investigation was conducted; witnesses

6    were examined and cross-examined adeptly, professionally and

7    with clarity; Mr. Kasier’s opening and closing statements

8    were concise and to the point; and, most importantly, a

9    credible alibi defense was presented to the jury.”        The

10   state court went on to emphasize that counsel’s mistake as

11   to the denial of the application for investigative fees “was

12   not deliberate” and “does not alter the fact that both

13   attorneys represented defendant skillfully, and with

14   integrity and in accordance with the standards of

15   ‘meaningful representation’ defined by [the New York state]

16   appellate courts.”   It wrote:

17                 Defendant has tried to second-guess
18            his trial counsel at almost every level
19            of their representation. He has
20            questioned the depth of their
21            investigation, the scope and focus of
22            cross-examination and argued that his
23            alibi defense could have been better if
24            they had only followed through on [the
25            state trial court’s fee] order. His
26            criticisms ignore the fact that Ms.
27            Hartsfield and Mr. Kaiser ably, and

                             Page 53 of   69
 1            professionally represented him at every
 2            stage of the case with integrity and in
 3            ways that were consistent with the
 4            standards of ‘meaningful representation’
 5            described above.
 6
 7            . . . And Mr. Kaiser at trial was
 8            prepared, skillful, purposeful,
 9            thoughtful and creative.
10
11       This type of analysis is entirely at odds with

12   Strickland and is not dispositive of whether Rosario’s

13   defense counsel were ineffective under the Sixth Amendment.

14   It is axiomatic that, even if defense counsel had performed

15   superbly throughout the bulk of the proceedings, they would

16   still be found ineffective under the Sixth Amendment if

17   deficient in a material way, albeit only for a moment and

18   not deliberately, and that deficiency prejudiced the

19   defendant.   See, e.g., Henry v. Poole, 409 F.3d 48, 72 (2d

20   Cir. 2005) (“[R]eliance on counsel’s competency in all other

21   respects, . . . fail[s] to apply the Strickland standard at

22   all.” (internal citation and quotation marks omitted)),

23   cert. denied, 547 U.S. 1040 (2006); cf. Kimmelman v.

24   Morrison, 477 U.S. 365, 386 (1986) (noting that while “[i]t

25   will generally be appropriate . . . to assess counsel’s

26   overall performance throughout the case in order to

27   determine whether the identified acts or omissions overcome

                             Page 54 of   69
1    the presumption that a counsel rendered reasonable

2    professional assistance,” a “failure to make reasonable

3    investigations or to make a reasonable decision that makes

4    particular investigations unnecessary,” may be

5    constitutionally deficient irrespective of trial performance

6    (internal quotation marks omitted)).

7        It is far from clear whether the state court realized

8    this basic principle.   In fact, the state court noted in a

9    footnote that New York case law, in particular People v.

10   Benevento, 91 N.Y.2d 708 (1998), “expressly rejected”

11   Strickland’s requirement “that, but for the attorneys[’]

12   errors, the result of the proceeding would have been

13   different.”   This footnote, viewed in context with the

14   entirety of the court’s decision, begs the question whether

15   the state court understood that New York state’s

16   “ineffective assistance cases have departed from the second

17   (‘but for’) prong of Strickland,” only to “adopt[] a rule

18   somewhat more favorable to defendants.”   People v. Turner, 5

19   N.Y.3d 476, 480 (2005) (emphasis added) (citing People v.

20   Caban, 5 N.Y.3d 143, 155-56 (2005); People v. Stultz, 2

21   N.Y.3d 277, 284 (2004); Benevento, 91 N.Y.2d at 713-14).

22   That is, it is unclear whether the state court appreciated

                             Page 55 of   69
1    that even if prejudice in the Strickland sense is not shown,

2    a defense attorney can be found ineffective under the New

3    York State Constitution if his performance was so below par

4    that he did not provide “meaningful representation” to his

5    client.   See Caban, 5 N.Y.3d at 156 (“[U]nder our State

6    Constitution, even in the absence of a reasonable

7    probability of a different outcome, inadequacy of counsel

8    will still warrant reversal whenever a defendant is deprived

9    of a fair trial. . . .   [O]ur state standard thus offers

10   greater protection than the federal test . . . .”).

11       On a different note, at one point in the decision the

12   state court sharply detoured into an analysis regarding

13   newly discovered evidence.   It wrote:

14                  In order to prevail on a motion for
15             a new trial based on a claim of newly
16             discovered evidence, a defendant must
17             establish by a preponderance of the
18             evidence that evidence has been
19             discovered since the trial which could
20             not, with due diligence, have been
21             produced at trial, and which is of such a
22             character that, had it been presented at
23             trial, there is a probability that the
24             verdict would have been more favorable
25             for him . . . .
26
27                 . . . .
28
29                  . . . the existence of these
30             witnesses was not new evidence discovered

                              Page 56 of   69
 1               since the trial. They were known to
 2               defendant, who immediately gave their
 3               names to the police after his arrest, to
 4               his attorneys at their first and
 5               subsequent meetings, and to Jesse
 6               Franklin. Efforts were made to speak,
 7               and interview them and the substance of
 8               their testimony was known to the parties
 9               before the trial began.
10
11   It is unclear when, if ever, the court returned to the

12   ineffective assistance of counsel analysis, and, more

13   importantly, to what extent this detour infected that

14   analysis.     If this newly discovered evidence analysis did in

15   fact bleed over to the ineffective assistance of counsel

16   analysis, the harmful effect is patent, considering the

17   obvious tension between a newly discovered evidence claim

18   and an ineffectiveness claim based on an attorney’s failure

19   to investigate an alibi that was disclosed to him by his

20   client prior to trial.

21       It is true that a New York state court’s application of

22   the meaningful representation standard does not necessarily

23   result in error affording a petitioner habeas relief because

24   the standard, properly construed, is more favorable to

25   defendants.     See Henry v. Poole, 409 F.3d at 68-71.   It is

26   also true that we do not grant habeas relief when a state

27   court is merely inartful or unclear in its reasoning.      But,

                               Page 57 of   69
1    in this case, it is entirely unclear to what extent the

2    state court abandoned the Strickland analysis for a rule

3    less favorable to defendants.     Such an error would clearly

4    be “contrary to” Strickland.     28 U.S.C. § 2254(d)(1).

5        The majority aptly pinpoints the “danger” of New York’s

6    “meaningful representation” standard: though generally more

7    protective of defendants’ rights than Strickland, it risks

8    leading a court that “misunderstand[s] the New York

9    standard” to “look past a prejudicial error as long as

10   counsel conducted himself in a way that bespoke of general

11   competency throughout the trial.”     Ante at 18-19.   The state

12   court’s opinion provides strong indications that this is

13   precisely what happened here.     Yet the majority fails to

14   address the very real likelihood that the state court fell

15   victim to the danger it identified, merely concluding that,

16   in general, when properly applied, the New York standard is

17   not contrary to Strickland.     Id. at 19.

18       Nevertheless, I “need not make a determination under

19   the ‘contrary to’ clause, for [I] conclude that the . . .

20   Court’s rejection of [Rosario’s]

21   ineffective-assistance-of-counsel claim was at least an

22   objectively unreasonable application of Strickland.”       Henry,

                            Page 58 of    69
1    409 F.3d at 71.     It is clear from the record that the state

2    court not only unreasonably focused on counsel’s overall

3    performance and minimized their mistakes, but also

4    unreasonably discounted the alibi evidence adduced at the

5    post-conviction hearing and thus undervalued its prejudicial

6    effect.

7        In terms of Strickland’s performance prong, the state

8    court recognized that counsel’s failure to complete their

9    investigation was neither strategic nor the result of any

10   sound trial strategy, but rather a “mistake.”      The state

11   court – as well as the majority – appears to excuse this

12   mistake because it was “not deliberate,” counsel’s

13   performance was otherwise “skillful[],” and counsel

14   conducted some investigation leading to the presentation of

15   a putatively “credible” alibi defense.      But none of this

16   excuses the fact that counsel essentially turned a blind eye

17   to the existence of substantial potentially excuplatory

18   evidence of which it was aware and, moreover, did so not on

19   the basis of any “reasonable professional judgment,”

20   Strickland, 466 U.S. at 690, but rather as a result of pure

21   inadvertence.     Such conduct clearly falls below the

22   threshold of minimal competence and, to the extent the state

                               Page 59 of   69
1    court found otherwise, I conclude that was an unreasonable

2    application of Strickland.

3        With respect to prejudice, in relevant part, the state

4    court reasoned:

 5                 [A]n alibi defense was presented
 6            through the two witnesses who had the
 7            best reason for remembering why defendant
 8            was present in Florida on June 19[,] 1996
 9            – the birth of their son – an event that
10            was more relevant for them than the
11            events relied upon by the other witnesses
12            . . . . Moreover, the alibi evidence
13            offered by defendant at the hearing was
14            in some cases questionable and in others
15            raised issues which could have created
16            questions for a deliberating jury. For
17            example, two of the witnesses – Lisette
18            Rivero [sic], and Denise Hernandez –
19            could not say where defendant was on June
20            19 and 20. And Fernando Torres, when
21            questioned about the purchase of auto
22            parts years later, changed the date to
23            three or four days before his grandson
24            was born . . . .
25
26                 . . . It may not be cumulative to
27            evidence presented at the trial – which
28            largely was the case herein – and it must
29            not be merely impeaching evidence . . . .
30
31
32                 For instance, Chenoa Ruiz recalled
33            defendant’s presence in the Torres’
34            apartment on June 18 and 19, the two days
35            prior to the birth of their child. And,
36            Fernando Torres testified that he was
37            with defendant and his son the day before
38            his daughter-in-law gave birth. That
39            testimony was cumulative to his son

                            Page 60 of   69
 1            John’s trial testimony.
 2
 3                . . . .
 4
 5                 An investigator was not sent to
 6            Florida to interview witnesses.
 7            Nevertheless, the fact remains that the
 8            People’s case was strong, which was
 9            acknowledged by the Appellate Division
10            when it affirmed the conviction herein.
11            The prospective witnesses now before the
12            court, studied closely, were, for the
13            most part, questionable and certainly not
14            as persuasive as the two witnesses who
15            did testify, and were rejected by the
16            jury.
17
18       First, the state court’s finding that “a credible alibi

19   defense was presented to the jury” is hardly relevant to

20   whether there is a reasonable probability of a different

21   result had defense counsel presented a substantially more

22   credible alibi defense.    Second, the state court’s

23   recognition that “an alibi defense was presented through the

24   two witnesses who had the best reason for remembering why

25   defendant was present in Florida on June 19, 1996 – the

26   birth of their son – an event that was more relevant for

27   them than the events relied upon by the other witnesses”

28   also misses the point.    It overlooks the fact that John and

29   Seda were subject to impeachment as interested witnesses,

30   and at least seven additional witnesses were available, a



                               Page 61 of   69
1    number of whom were less interested in the outcome of the

2    trial, to corroborate their testimony, as well as add

3    additional facts.

4           Third, although the court did find that “the alibi

5    evidence offered by defendant at the hearing was in some

6    cases questionable and in others raised issues which could

7    have created questions for a deliberating jury,” it provided

8    just three examples from a voluminous record in support of

9    this finding, none of which bear scrutiny.        It noted that

10   “two of the witnesses – Lisette Rivero [sic], and Denise

11   Hernandez – could not say where defendant was on June 19 and

12   20.”    But, as discussed, these witnesses testified to

13   additional, non-cumulative facts that placed Rosario in

14   Florida around the day of the murder.        See ante at 46-48.

15   The relevancy of this evidence is indisputable.        The court

16   also noted that “Fernando Torres, when questioned about the

17   purchase of auto parts years later, changed the date to

18   three or four days before his grandson was born.”        This is

19   simply not supported by the record.        In fact, when asked

20   whether he told Rosario’s post-conviction counsel that he

21   went looking for car parts with his son and Rosario three or

22   four days before his grandson was born, Fernando responded,

                              Page 62 of   69
1    “No, I don’t recall that at all,” and maintained that the

2    excursion occurred on June 19.

3        Fourth, the state court found that the additional alibi

4    witnesses were “largely . . . cumulative.”   To the extent

5    that the additional alibi evidence corroborated John’s and

6    Seda’s testimony, it is only reasonable to conclude that

7    this militates in favor of a showing of prejudice.   Again,

8    John’s and Seda’s credibility was attacked by the

9    prosecution.   Corroboration was thus desperately needed.

10   See, e.g., Washington v. Smith, 219 F.3d 620, 634 (7th Cir.

11   2000) (“Evidence is cumulative when it ‘supports a fact

12   established by existing evidence,’ Black’s Law Dictionary

13   577 (7th ed. 1999), but Washington’s whereabouts on the day

14   of the robbery was far from established – it was the issue

15   in the case.   The fact that Pickens had already testified to

16   facts consistent with Washington’s alibi did not render

17   additional testimony cumulative.”).

18       Finally, the state court characterized the People’s

19   case as “strong.”   But, the fact remains that it was based

20   solely on the eyewitness accounts of two strangers – the

21   type of evidence that this Court has repeatedly

22   characterized as weak.

                              Page 63 of   69
1        At bottom, the problem with the state court’s decision

2    is its application of the reasonable probability standard.

3    Contrary to the state court’s apparent belief, this standard

4    does not require that the reviewing court be convinced of

5    Rosario’s alibi defense.   “[T]he reasonable-probability

6    standard is not the same as, and should not be confused

7    with, a requirement that a defendant prove by a

8    preponderance of the evidence that but for error things

9    would have been different.”   Wilson v. Mazzuca, 570 F.3d

10   490, 507 (2d Cir. 2009) (quoting United States v. Dominguez

11   Benitez, 542 U.S. 74, 83 n.9 (2004) (citing Kyles v.

12   Whitley, 514 U.S. 419, 434 (1995))).      “A reviewing court

13   looks instead to whether the probability of a different

14   result is sufficient to undermine confidence in the outcome

15   of the proceeding.”   Id. (internal quotation marks omitted)

16   (quoting Dominguez Benitez, 542 U.S. at 83 (quoting

17   Strickland, 466 U.S. at 694)); see also Porter v. McCollum,

18   558 U.S. __, 130 S. Ct. 447, 455-56 (2009) (per curiam) (“We

19   do not require a defendant to show ‘that counsel’s deficient

20   conduct more likely than not altered the outcome’ of his

21   penalty proceeding, but rather that he establish ‘a

22   probability sufficient to undermine confidence in [that]

                             Page 64 of   69
1    outcome.’” (alteration in original) (quoting Strickland, 466

2    U.S. at 693-94)).

3        Under the present circumstances, it is unreasonable to

4    conclude that the probability of a different result is not

5    sufficiently likely so as to undermine the confidence in the

6    verdict.   Defense counsel failed to investigate Rosario’s

7    alibi defense and, as a result, did not call at least seven

8    additional alibi witnesses.   Instead, they proceeded with

9    only two witnesses, both of whom were impeached as

10   interested.   In a credibility battle, such as this case,

11   there is, to some extent, power in numbers – that is, if

12   presented with the additional evidence at trial, the jury

13   would have had to disregard a total of at least nine defense

14   witnesses claiming to have seen Rosario in Florida on and

15   around the day of the murder, as opposed to just two

16   interested witnesses.   As discussed, the additional alibi

17   witnesses would have provided further context and

18   corroboration of Rosario’s alibi defense, would have

19   testified to non-cumulative facts, and a number of them

20   would have been less subject to impeachment than John and

21   Seda.

22       The prosecution’s principal argument is that the

                             Page 65 of   69
1    additional alibi witnesses are not as reliable or credible

2    as John and Seda.   It emphasizes that Fernando, Chenoa,

3    Rivera and Godoy provided less detailed accounts of their

4    recollection during interviews prior to the 440.10 hearing

5    than they did on the stand during the actual hearing.      We

6    have noted, however, that such “silence is so ambiguous that

7    it is of little probative force.”     Victory v. Bombard, 570

8    F.2d 66, 70 (2d Cir. 1978) (quoting United States v. Hale,

9    422 U.S. 171, 176 (1975)).   The prosecution also emphasizes

10   that Chenoa did not recollect certain facts, such as when

11   Rosario traveled back and forth between Florida and New York

12   during his previous trips and the precise date he left

13   Florida at the end of June 1996.     The fact that witnesses do

14   not remember all relevant details is hardly surprising and

15   certainly not dispositive as to whether they are reliable

16   witnesses to the ultimate fact at issue, such as Rosario’s

17   whereabouts on or about June 19, 1996 – particularly where,

18   as here, there is a significant independent event to anchor

19   memories surrounding the relevant date.     The prosecution

20   also argues that any harm created by defense counsel’s

21   failure to call additional alibi witnesses is overwhelmed by

22   the harm that Rosario caused himself by what it

                             Page 66 of   69
1    characterizes as lying on the stand when he did not disclose

2    that he was incarcerated for part of March and April of

3    1996.   This argument seems to cut the other way, however.

4    That is, to the extent that the jury believed that Rosario

5    was being deliberately deceptive, additional alibi witnesses

6    were all the more necessary.

7        At bottom, the prosecution’s brief takes each witness’s

8    testimony in isolation, picks it apart, and makes an

9    assessment as to whether there is a reasonable probability

10   that the inclusion of that particular witness’s testimony

11   would have affected the outcome of the trial.      We cannot

12   engage in such a piecemeal analysis.      Rather, we must

13   analyze the cumulative effect of counsel’s failure to call

14   any of the additional alibi witnesses.      See Lindstadt v.

15   Keane, 239 F.3d 191, 199 (2d Cir. 2001) (“Strickland directs

16   us to look at the ‘totality of the evidence before the judge

17   or jury’ . . . .   We therefore consider these errors in the

18   aggregate.” (quoting Strickland, 466 U.S. at 695-96)).         This

19   principle, which the majority’s analysis seems to overlook,

20   is essential to the proper application of Strickland, as we

21   were yet again reminded by the Supreme Court in Porter v.

22   McCollum, 558 U.S. __, 130 S. Ct. 447, 453-54 (2009) (per

                             Page 67 of   69
1    curiam).

2        I find defense counsel’s performance and the resulting

3    prejudice in this case very troubling.     “[T]here is nothing

4    as dangerous as a poorly investigated alibi.     An attorney

5    who is not thoroughly prepared does a disservice to his

6    client and runs the risk of having his client convicted even

7    where the prosecution’s case is weak.     A poorly prepared

8    alibi is worse than no alibi at all.”     2 G. Schultz, Proving

9    Criminal Defenses ¶ 6.08 (1991), quoted in Henry v. Poole,

10   409 F.3d 48, 65 (2d Cir. 2005), cert. denied, 547 U.S. 1040

11   (2006); cf. United States v. Parness, 503 F.2d 430, 438 (2d

12   Cir. 1974) (“It is axiomatic that exculpatory statements,

13   when shown to be false, are circumstantial evidence of

14   guilty consciousness and have independent probative

15   force.”), cert. denied, 419 U.S. 1105 (1975).     Defense

16   counsel put forth a half-baked alibi defense, leaving

17   substantial additional alibi evidence unexplored, and

18   Rosario is paying the price.   For all the foregoing reasons,

19   I would grant the writ of habeas corpus on a conditional

20   basis, providing the State with sufficient opportunity to

21   commence a new prosecution against Rosario prior to his

22   ordered release.   Accordingly, I respectfully dissent.

                             Page 68 of   69
1           I note that I agree with the majority’s implied denial

2    of habeas relief on the basis of Rosario’s actual innocence

3    claim.     While I conclude it is unreasonable to hold that

4    defense counsel performed adequately and that there is no

5    reasonable probability that the verdict would have been

6    different had the additional alibi witnesses testified at

7    trial, I do not think that Rosario has surmounted the

8    extraordinary hurdle required to succeed on an actual

9    innocence claim, assuming such a claim exists under federal

10   law.     Finally, I would not so quickly dismiss Rosario’s

11   claim of racial discrimination in the prosecutor’s use of

12   peremptory challenges; however, I need not reach the merits

13   of this claim, because I would grant a conditional writ of

14   habeas corpus based upon Rosario’s receipt of ineffective

15   assistance of counsel, which would warrant a new trial or

16   his release from custody – the same or greater relief that

17   would be provided by a successful Batson challenge.




                               Page 69 of   69