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Rudy Ramos ESQUIVEL
Rape
Date of Execution:
Offender:
Last Statement:
On June 8, 1978, Esquivel fatally shot undercover
police Officer Timothy Hearn, 28, as he attempted to arrest him and
two women for possessing heroin outside a Harrisburg-area restaurant.
Esquivel, sentenced to 99 years in prison for a
gang rape in 1953, had a history of burglary, robbery, abduction and
assault that dated to his youth.
Court Reinstates Sentence Of Man Condemned to
Death
The New York Times
June 8, 1986
A Federal appeals court today reinstated the scheduled execution
Monday of Rudy Ramos Esquivel, sentenced to die for killing an
undercover narcotics officer in Houston.
His lawyers appealed the ruling, by the United
States Court of Appeals for the Fifth Circuit, to the United States
Supreme Court.
The appeals court, in New Orleans, reversed a
ruling Friday by Federal District Judge Carl Bue, who granted Mr.
Esquivel's request for a stay of execution. Mr. Esquivel, who says
he was framed, sought more time for his lawyers to prepare evidence
to support their assertion that Hispanic Americans were improperly
excluded from the jury at his trial.
Earlier Friday, the Texas Court of Criminal
Appeals refused to block Mr. Esquivel's execution, saying his
assertions on the jury were without merit.
580 F.2d 814
Rudy
R. Esquivel, Petitioner-appellant,
v.
W. J. Estelle, Jr., Director, Texas Department Of
Corrections,
Respondent-appellee
No. 74-2785
United States Court of Appeals,
Fifth Circuit.
Sept. 22, 1978
Appeal from the United States
District Court for the Southern District of
Texas.
Before THORNBERRY, GOLDBERG
and CLARK, Circuit Judges.
THORNBERRY, Circuit Judge:
Defendant-petitioner
RudyEsquivel appeals
from the district court's denial of his
habeas corpus petition.
Esquivel sought habeas corpus
claiming that after his 1953 rape conviction
he was not represented by counsel at the
sentencing phase of his trial and that he
was not fully informed of his right to
appeal.1
The district court adopted the state court's
factual findings. Townsend v. Sain, 372 U.S.
293, 83 S.Ct. 745, 9 L.Ed.2d 770 (1963);
Lavalle v. Delle Rose, 410 U.S. 690, 93 S.Ct.
1203, 35 L.Ed.2d 637 (1973); 28 U.S.C. §
2254. It found that
Esquivel's counsel was present during
sentencing and that under Daniels v.
Alabama, 487 F.2d 887 (5 Cir. 1973),
Esquivel had been
adequately informed of his right to appeal
because the state trial judge told him that
he could appeal his case. We find no merit
in Esquivel's
contentions and affirm the district court.
A finding
that an attorney was present is a specific
historical fact. The district court was
bound to accept the state court's finding
that Esquivel's
counsel was present at the sentencing phase
unless the record showed that there was an
inadequate basis for that finding. Trahan v.
Estelle, 544 F.2d 1305, 1315 (5 Cir. 1977)
(Goldberg, J., specially concurring). See
also 28 U.S.C. § 2254(d)(8).
The state
habeas court heard both
Esquivel's testimony and that of two
former district attorneys. One of the
district attorneys did not remember whether
the defense attorney was present. The other
assistant district attorney, Mr. Cahoon,
testified that Esquivel's
attorney was present. Cahoon also gave
evidence that in potential capital cases,
such as Esquivel's,
there was an established practice in Harris
County of having the defense attorney
present at the sentencing.
The
federal habeas court, with due regard for
the seriousness of the petitioner's
contentions, made an effort to uncover old
newspaper reports that might have shown
whether the defense attorney was present at
the sentencing. None were available. The
legal destruction of the state court records
proved another impediment to resolution of
this issue. The state habeas court gave the
petitioner a full opportunity to present his
claim. On the record before us we cannot say
that there was any inadequacy underlying the
state court's determination that counsel was
present or in the district court's adoption
of that factual finding.
We also
reject Esquivel's
argument that he was not adequately informed
of his appeal rights. This court recently
held in Bonds v. Wainwright, 5 Cir. 1978,
579 F.2d 317, that the standard announced in
Lumpkin v. Smith, 439 F.2d 1084 (5 Cir.
1971), which spelled out the information
that must be imparted to an indigent
defendant by an appointed counsel does not
apply retroactively. Rather we review
convictions prior to Lumpkin's finality
under the then prevailing standard. Bonds,
supra 579 F.2d at 321.2
The
standard prevailing at the time of
Esquivel's
conviction required that an appointed
attorney tell his client that the client had
a right to appeal. Bonds, supra at 320. It
did not require more. The district court
found that the state trial judge told
Esquivel that he
had a right to appeal. Although the state
trial court was not required to so inform
Esquivel, Loter v.
Estelle, 546 F.2d 151 (5 Cir. 1977), we
think that the information it gave him is
sufficient to bar habeas relief. We have
previously held that a defendant who takes a
state coram nobis writ, which is treated as
a statutory appeal, may not claim a sixth
amendment deprivation because his counsel
did not tell him that he had a right to
appeal. Haggard v. Alabama, 550 F.2d 1019 (5
Cir. 1977). The fact that the state trial
court informed Esquivel
of his right to appeal reduces the default,
if any, of his appointed counsel to harmless
error. We affirm the district court's denial
of habeas corpus.
Esquivel was represented at his state
trial by an appointed attorney who is now
dead. No appeal was taken. Twenty years
later Esquivel
sought state habeas relief. The state court
originally denied the petition without a
hearing. The Texas Court of Criminal Appeals
remanded the case to the state district
court for a hearing. After the state court
had made specific factual findings, the
Texas Court of Criminal Appeals denied
Esquivel's petition
without an opinion
Lumpkin thus applies only
to convictions final after March 17, 1971
777 F.2d 956
RudyRamos
Esquivel, Petitioner-appellant, v.
O.L. Mccotter, Director, Texas Department of
Corrections, respondent-appellee
United States Court of Appeals,
Fifth Circuit.
Nov. 19, 1985
Appeal from the United States
District Court for the Southern District of
Texas.
Before REAVLEY, POLITZ, and
HIGGINBOTHAM, Circuit Judges.
POLITZ, Circuit Judge:
Under
capital sentence for the murder of a police
officer, Texas state prisoner
RudyRamosEsquivel appeals
the denial of his petition for habeas
corpus, 28 U.S.C. Sec. 2254. Being in full
accord with the trial court's ruling, we
affirm.
Esquivel was
indicted in 1978 for the murder of Houston
police officer Timothy Hearn during an
incident in which Esquivel
also wounded Hearn's partner, officer Murry
Jordan. Esquivel
pleaded self-defense and presented witnesses
in support of that claim. The jury convicted
him and sentenced him to death. The Texas
Court of Criminal Appeals, en banc, affirmed
the conviction and sentence, 595 S.W.2d 516
(1980), and the Supreme Court denied
certiorari, 449 U.S. 986, 101 S.Ct. 408, 66
L.Ed.2d 251 (1980).
Esquivel sought post-conviction
review in the Texas courts and, after an
evidentiary hearing, was denied relief.
With state
remedies exhausted,
Esquivel invoked 28 U.S.C. Sec. 2254
seeking a federal writ of habeas corpus.
After a hearing before a magistrate, the
district court denied the writ but granted a
certificate of probable cause.
On appeal
Esquivel claims
that his trial was constitutionally infirm
because the state trial judge would not
permit his counsel to interrogate
prospective jurors during voir dire as to
their understanding of the words "deliberately"
and "probability" as used in Tex.Code
Crim.Proc.Ann. art. 37.071(b)(1) & (2)
(Vernon 1981).1
We recently addressed that contention and
held contrary to the position now urged by
Esquivel. Our
holding in Milton v. Procunier, 744 F.2d
1091 (5th Cir.1984), cert. denied, --- U.S.
----, 105 S.Ct. 2050, 85 L.Ed.2d 323, reh.
denied, --- U.S. ----, 105 S.Ct. 2667, 86
L.Ed.2d 283 (1985), resolves this issue and
forecloses this argument.
Esquivel's trial was not fatally
tainted by the challenged cabining of the
voir dire examination.
Esquivel's second
claim is that the Texas death-penalty scheme
does not pass constitutional muster because
it fails to provide the jury with adequate
guidance in its consideration of mitigating
circumstances. It cannot be gainsaid that to
be constitutional a death-penalty statute
must permit a jury to consider mitigating
factors during the penalty phase of a
capital trial. Esquivel's
argument that the Texas statute, generally,
and the procedure followed in his trial, in
particular, contravened the Constitution
ignores controlling precedent and the record
of this case. The Texas statute was reviewed
and approved by the Supreme Court. Jurek v.
Texas, 428 U.S. 262, 96 S.Ct. 2950, 49 L.Ed.2d
929 (1976). On the fact side of the ledger,
it appears certain that the jury did
consider the mitigating self-defense factors
Esquivel now
advances. As required by Tex.Code
Crim.Proc.Ann. art. 37.071(b)(3) (Vernon
1981), during the sentencing phase the jury
was asked "whether the conduct of the
defendant in killing the deceased was
unreasonable in response to the provocation,
if any, of the deceased." The jury answered
that inquiry adverse to
Esquivel.
Esquivel seeks to
buttress and shield his argument by
maintaining that in the absence of detailed
instructions guiding its consideration of
mitigating factors, a jury will be disposed
to focus improperly on aggravating factors.
This argument is foreclosed by Zant v.
Stephens, 462 U.S. 862, 103 S.Ct. 2733, 77
L.Ed.2d 235 (1983), wherein the Supreme
Court held that the Constitution does not
require trial judges to guide jury
consideration of aggravating and mitigating
circumstances by specifically instructing
jurors on how to balance those circumstances.
See also id. at 893, 103 S.Ct. at 2751, 77
L.Ed.2d at 260 (Rehnquist, J., concurring in
the judgment); see generally Weisberg,
Deregulating Death, 1983 Sup.Ct.Rev. 305 (criticizing
Zant ). Zant validated our precedents in
which we have found this claim to be
frivolous. See e.g., Sonnier v. Maggio, 720
F.2d 401 (5th Cir.1983), cert. denied, 465
U.S. 1051, 104 S.Ct. 1331, 79 L.Ed.2d 726
(1984); Gray v. Lucas, 677 F.2d 1086 (5th
Cir.1982), cert. denied, 461 U.S. 910, 103
S.Ct. 1886, 76 L.Ed.2d 815, reh. denied, 462
U.S. 1124, 103 S.Ct. 3099, 77 L.Ed.2d 1357
(1983).
Our
decision today upholding the Texas capital
sentencing scheme is compelled by Jurek and
Zant and is consistent with our dictum in
Spivey v. Zant, 661 F.2d 464, 471 & n. 10
(5th Cir.1981), cert. denied, 458 U.S. 1111,
102 S.Ct. 3495, 73 L.Ed.2d 1374 (1982), in
which we referred to Tex.Code Crim.Proc.Ann.
art. 37.071(b) as providing juries with the
"requisite guidance ... without explicit
discussion of mitigating circumstances."
The
judgment of the district court is,
accordingly, AFFIRMED.
(b) On conclusion of the
presentation of the evidence, the court
shall submit the following issues to the
jury:
(1) whether the conduct
of the defendant that caused the death of
the deceased was committed deliberately and
with the reasonable expectation that the
death of the deceased or another would
result;
(2) whether there is a
probability that the defendant would commit
criminal acts of violence that would
constitute a continuing threat to society....
(Emphasis added.)
791 F.2d 350
Rudy Ramos
ESQUIVEL, Petitioner-Appellee, v.
O.L. McCOTTER, Director, Texas Department of Corrections,
Respondent-Appellant.
No. 86-2411.
United States Court of Appeals, Fifth Circuit.
June 7, 1986.
Appeal from the United States
District Court for the Southern District of Texas.
Before REAVLEY, POLITZ and
HIGGINBOTHAM, Circuit Judges.
POLITZ, Circuit Judge:
This matter is before the
court on the motion of O.L. McCotter, Director, Texas Department
of Corrections, asking that we vacate the order entered by the
district court for the Southern District of Texas on June 6,
1986, staying the execution of Rudy Ramos Esquivel scheduled for
June 9, 1986. After considering the filings by the parties, the
pertinent parts of the state trial record, the prior opinions of
the courts, the latest order of the Texas Court of Criminal
Appeals, and the oral arguments of counsel in a conference call
with the court, we conclude that the trial court erred and
abused its discretion in entering the stay order. Accordingly,
for the reasons assigned, we vacate and annul that order.
Esquivel was sentenced to
death by a jury for the murder of a police officer. His
conviction was affirmed on appeal by the Texas Court of Criminal
Appeals, 595 S.W.2d 516 (1980), and the Supreme Court denied
certiorari, 449 U.S. 986, 101 S.Ct. 408, 66 L.Ed.2d 251 (1980).
State habeas relief was denied after an evidentiary hearing.
Esquivel then sought federal habeas relief, 28 U.S.C. Sec. 2254.
Following an evidentiary hearing before a magistrate, the
district court denied the writ. We affirmed. Esquivel v.
McCotter, 777 F.2d 956 (5th Cir.1985), cert. denied, --- U.S.
----, 106 S.Ct. 1662, 90 L.Ed.2d 204 (1986).
On June 5, 1986, Esquivel
filed an application for stay of execution and an original
application for writ of habeas corpus with the Texas Court of
Criminal Appeals. He therein alleged that the State of Texas
exercised its peremptory challenges in such a manner as to
systematically exclude Hispanics from the jury in violation of
Batson v. Kentucky, 476 U.S. ----, 106 S.Ct. 1712, 90 L.Ed.2d 69
(1986), rendered by the Supreme Court on April 30, 1986. On June
6, 1986, the Texas Court of Criminal Appeals denied the stay of
execution and all relief requested in the writ application
declaring:
The Court is of the opinion
that no prima facie showing has been made by applicant of any
violation of Batson v. Kentucky, supra. Additionally, an
examination of the transcript in the case reveals that no
Spanish-surnamed individuals were peremptorily challenged by the
State at applicant's trial.
The sole allegation of
constitutional infirmity asserted by Esquivel in his present
application for federal habeas relief, his second such
application, is that prospective jurors of Mexican-American
descent and those with Spanish surnames were excluded from the
petit jury by the state's selective use of its peremptory
challenges, in violation of the teachings of Batson v. Kentucky.
Petitioner's counsel informs the court that this allegation is
"[b]ased on information received by counsel from Jim Keegan,
attorney employed by the Staff Counsel for Inmates at the Texas
Department of Corrections," and on an affidavit of Esquivel
filed under separate cover and not seen by counsel prior to the
filing of the state and federal habeas applications. Esquivel's
affidavit contains the general statement that the state struck
prospective jurors with Spanish surnames. No details were given.1
The allegations in the
petition and the general attestation in Esquivel's affidavit are
not supported by the record of the state trial, as found by the
Texas Court of Criminal Appeals, and as confirmed in an
examination of the state trial transcript by a member of this
panel. The state exercised 11 of its 15 peremptory challenges.
None was of a person with a Spanish surname. The record reflects
that all but two listed a religious preference of Protestant.2
The defendant exercised all 15 of his challenges, none having
been used against a person with a Spanish surname. Just over a
score of the venire members were excused for cause, either at
the request of the state or of the defendant, or by the court
sua sponte. Three bore Spanish surnames.
The factual finding by the
Court of Criminal Appeals that no Spanish-surnamed individual
was peremptorily challenged by the state is presumed to be
correct. 28 U.S.C. Sec. 2254(d); Sumner v. Mata, 449 U.S. 539,
101 S.Ct. 764, 66 L.Ed.2d 722 (1981).
Were we to conclude that the
rule of Batson v. Kentucky is to be retroactively applied to
collateral federal proceedings, we would agree with the Texas
Court of Criminal Appeals that Esquivel has failed to make a
prima facie showing of a violation that would warrant an
evidentiary hearing or any other relief. The application
contains mere conclusionary allegations, supported only by
compounded hearsay and by an inadequate, generalized affidavit.
The application, read in the most liberal light, would be
inadequate to trigger the Batson v. Kentucky rubric, if it were
applicable.
Counsel's explanation that the
lack of specificity in the application, as well as the
speculation and surmise apparent therein, was caused by non-access
to the trial transcript prior to filing the state and federal
applications. That explanation is inadequate for two reasons.
The record was available. The claimed non-access was actually a
matter of inconvenience caused or exacerbated by geographic
separation and the eleventh-hour undertaking of representation
by Esquivel's present counsel. Secondly, the record belies the
allegation of systematic exclusion of Hispanics by the state. No
Spanish-surnamed venireman was peremptorily challenged. The
three who were excused were excused for cause.
We conclude, however, that
Batson v. Kentucky is not to be given retroactive application in
federal habeas proceedings. Although the test for retroactive
application of decisions to cases pending on direct appeal has
been subject to recent modification, see Shea v. Louisiana, ---
U.S. ----, 105 S.Ct. 1065, 84 L.Ed.2d 38 (1985); United States
v. Johnson, 457 U.S. 537, 102 S.Ct. 2579, 73 L.Ed.2d 202 (1982),
the standard for retroactive application to cases on collateral
review has remains as elucidated in Linkletter v. Walker, 381
U.S. 618, 85 S.Ct. 1731, 14 L.Ed.2d 601 (1965), and Stovall v.
Denno, 388 U.S. 293, 87 S.Ct. 1967, 18 L.Ed.2d 1199 (1967).
Solem v. Stumes, 465 U.S. 638, 104 S.Ct. 1338, 79 L.Ed.2d 579
(1984).3
"The criteria guiding
resolution of the [retroactivity] question [in collateral
proceedings] implicate (a) the purpose to be served by the new
standards, (b) the extent of the reliance by law enforcement
authorities on the old standards, and (c) the effect on the
administration of justice of a retroactive application of the
new standards." Stovall v. Denno, 388 U.S. at 297, 87 S.Ct. at
1970.
In light of these factors, "[c]omplete
retroactive effect is most appropriate where a new
constitutional principle is designed to enhance the accuracy of
criminal trials." Solem, 465 U.S. at 643, 104 S.Ct. at 1342, 79
L.Ed.2d at 587 (citing Williams v. United States, 401 U.S. 646,
653 & n. 6, 91 S.Ct. 1148, 1152 & n. 6, 28 L.Ed.2d 388 (1971) (plurality
opinion)). The core premises of Batson are not involved with
enhancing the truth-finding functions of the jury system. Batson
primarily is concerned with the role of discrete minorities in
the polity of the United States and with "safeguarding a person
accused of crime against the arbitrary exercise of power by
prosecutor or judge." Batson, --- U.S. ----, ----, 106 S.Ct.
1712, 1717, 90 L.Ed.2d 69, 81.
In support of this latter
principle, the Court cites Duncan v. Louisiana, 391 U.S. 145, 88
S.Ct. 1444, 20 L.Ed.2d 491 (1968), which it discusses in detail
in footnote 8, Batson, ------ U.S. ------, 106 S.Ct. at 1717 n.
8, 90 L.Ed.2d at 81 n. 8. . The concerns noted are with the
allocation of power and function between judge and jury. Duncan
was held not to apply retroactively in DeStefano v. Woods, 392
U.S. 631, 88 S.Ct. 2093, 20 L.Ed.2d 1308 (1968). Likewise,
Taylor v. Louisiana, 419 U.S. 522, 95 S.Ct. 692, 42 L.Ed.2d 690
(1975), forbidding systematic exclusion of women from jury
panels, was held not to apply retroactively in Daniel v.
Louisiana, 420 U.S. 31, 95 S.Ct. 704, 42 L.Ed.2d 790 (1975). See
Batson, --- U.S. at ----, 106 S.Ct. at 1725, 90 L.Ed.2d at 90-91
(White, J., concurring). A telling indication that Batson does
not implicate the enhancement of the accuracy of criminal trials
is reflected by the fact that it was decided under the equal
protection clause. The Court expressly pretermitted
consideration of Batson's sixth amendment claims. Id. at ---- n.
4, 106 S.Ct. at 1716 n. 4, 90 L.Ed.2d at 79 n. 4.
In considering the Stovall
reliance factor, the Court has "looked primarily to whether law
enforcement authorities and state courts have justifiably relied
on a prior rule of law said to be different from that announced
by the decision whose retroactivity is at issue." Solem, 465
U.S. at 645-46, 104 S.Ct. at 1343, 79 L.Ed.2d at 589. This test
is frequently shortened to an inquiry whether the new rule is "a
clear break with the past." Id. at 646, 104 S.Ct. at 1343, 79
L.Ed.2d at 589. Batson expressly overrules Swain v. Alabama, 380
U.S. 202, 85 S.Ct. 824, 13 L.Ed.2d 759 (1965). It qualifies as
"a clear break with the past" which should not be applied
retroactively. Batson, --- U.S. at ----, 106 S.Ct. at 1725 n.
25, 90 L.Ed. at 90 n. 25.
The disruptive effect on the
administration of justice requires scant comment. Nearly 100 of
the prisoners on death row in Texas belong to recognized
minorities.
Four justices expressly stated
that Batson v. Kentucky should not be given retroactive effect.
The other five justices did not address the issue. Applying well-settled
precedent, we are persuaded that Batson v. Kentucky should be
given prospective application only in federal habeas proceedings.
Esquivel's application for
habeas relief is without merit. No relief may be granted.
Accordingly, no stay pending consideration of habeas relief is
appropriate. The order of the district court staying the
execution of Rudy Ramos Esquivel is VACATED.
The entirety of the text of the affidavit
declares:
My name is Rudy Ramos Esquivel, and in
1978 I was convicted in Harris County, Texas under Cause No.
280748, of Capital Murder. There were Hispanics and/or
Mexican Americans on the jury panel from which the jury
which tried and convicted me was selected, but all the
Hispanics and/or Mexican Americans were stricken by the
State. There were no Hispanics and/or Mexican Americans on
the jury which tried and convicted me.
The Linkletter-Stovall tests are not
applicable to cases announcing a new rule concerning
fundamental guarantees like double jeopardy or the eighth
amendment's prohibitions, and limitations on capital
punishment. See Jones v. Thigpen, 741 F.2d 805, 810 (5th
Cir.1984)