Garcia v. Thaler, 2009 WL 4931069 (W.D.Tex.
2009) (Habeas)
MEMORANDUM OPINION AND ORDER DENYING RELIEF
XAVIER RODRIGUEZ, District Judge.
Petitioner Frank Martinez Garcia filed this
federal habeas corpus action pursuant to 28 U.S.C. Section 2254
challenging his February 2002, Bexar County capital murder
conviction and death sentence. For the reasons set forth
hereinafter, petitioner is entitled to neither federal habeas
corpus relief nor a Certificate of Appealability from this Court.
I. Statement of the Case
A. Factual Background
On the morning of March 29, 2001, petitioner
fatally shot uniformed San Antonio Police Officer Hector Garza and
petitioner's wife Jessica inside the home petitioner shared with
Jessica, their children, and petitioner's parents. FN1 There is no
genuine dispute about that fact. After subsequently firing several
shots at others outside the Garcia residence, wounding one person,
and causing damage to a nearby elementary school, petitioner
surrendered to police and gave a formal, written statement in
which he admitted to intentionally killing both officer Garza and
Jessica.FN2
FN1. The autopsy of Officer Garza revealed (1)
he died as a result of four gun shot wounds, each of which would
have been fatal alone, (2) the four shots struck Garza,
respectively, in the head, two in the back of the neck, and one in
the abdomen, which penetrated the lungs and aorta, (3) the shot
through Garza's chest was likely the first to strike him, (4) the
shots to Garza's chest and head came from a non-high-velocity
weapon, and (5) the two shots which struck Garza in the neck came
from a high velocity weapon, exited through the skull, and caused
massive damage to the brain and cranial vault. Statement of Facts
from petitioner's trial, Volume 18, testimony of Dr. Robert C. Bux,
at pp. 70-95.
The autopsy performed on the body of Jessica
Garcia revealed (1) she died as a result of three gunshot wounds,
only one of which would have been fatal alone, (2) the fatal
gunshot struck Jessica in the left forehead, fractured her orbital
area, and penetrated through the midbrain, (3) the two, non-fatal
shots struck her in the right cheek and her chin, (4) all the
gunshots which struck Jessica came from a non-high-velocity weapon,
and (5) the latter two gunshot wounds likely struck Jessica while
she was down on the floor. Id., at pp. 95-111. FN2. Several
witnesses testified to having personally witnessed petitioner
firing two different weapons at persons located outside the Garcia
residence on the morning of the fatal shootings.
A friend of Jessica testified (1) an emotional
Jessica called her on the morning of the fatal shootings and asked
her to help Jessica move out, (2) after securing assistance from
John and Rosario Luna, she rode with the Lunas to Jessica's
residence, (3) petitioner's mother interfered with their efforts
to help Jessica remove clothing and other personal items from the
Garcia residence, (4) she overheard Jessica telling petitioner
over the phone that Jessica was leaving him, (5) petitioner
arrived at the Garcia home before the police and petitioner
grabbed Jessica in a head lock and dragged her back inside the
Garcia home, (6) moments later a police officer walked inside the
Garcia home, (7) a few minutes after the officer entered the house,
she heard three-to-four shots in rapid succession come from inside
the house, (8) after a pause, she heard a second series of
approximately three shots come from inside the house, (9)
petitioner then emerged from the house, pointed a firearm, and
fired several shots, at least a few of which struck their vehicle,
(10) petitioner fired at her and John Luna as they attempted to
flee the scene toward a nearby elementary school, (11) petitioner
went back inside the house and she heard several more shots, (12)
petitioner emerged from the house a second time holding a big
rifle and fired that weapon, striking the truck behind which she
was hiding, i.e., the same truck petitioner had driven to the
scene, and (13) she saw petitioner chasing after John Luna as she
fled for the safety of the school. S.F. Trial, Volume 17,
testimony of Sylvia Duran, at pp. 69-113.
John Luna testified (1) he and his wife
assisted Jessica in carrying bags of clothing out of the Garcia
residence to the trunk of his car, (2) petitioner arrived at the
scene before the police, stopped his truck in the middle of the
street, leaped from the truck, and grabbed Jessica by the neck,
(3) petitioner dragged Jessica back inside the house, (4) he
flagged down an approaching police vehicle, (5) the police officer
went inside the Garcia residence, (6) he heard shots coming from
inside the house shortly thereafter, (7) he directed his wife to
call the police and inform them shots had been fired, (8)
petitioner emerged from the Garcia residence firing what appeared
to be an Uzi-like weapon, (9) he went to his car where he had a
handgun while petitioner went back inside, (10) when petitioner
next emerged from the Garcia residence, petitioner fired at Luna,
who was attempting to hide behind the Bill Miller truck petitioner
had abandoned in the middle of the street, (11) petitioner fired
at Luna, striking Luna once in the leg, and (12) Luna was allowed
to enter the school, where he later received medical care from EMS
personnel for his leg wound, which required Luna to spend a day
and a half in the hospital. S.F. Trial, Volume 20, testimony of
John Luna, at pp. 10-38.
The then-vice-principal of the nearby Emma Frey
Elementary School testified (1) she noticed a police vehicle in
front of the Garcia residence when she arrived at school around
7:30 that morning, (2) she later noticed the police vehicle was
gone when she saw Jessica outside the Garcia residence between
8:45 and 8:50, (3) around nine a.m. she was alerted to a problem
by other staff, (4) as she exited the campus building near the
Garcia residence, she saw a man later identified for her as John
Luna running toward her who was yelling “Get out of here. He's
shooting at everyone,” (5) she looked toward the Garcia residence
and saw a man in the yard holding a rifle, who then pointed it at
her or in her direction, (6) as she and Luna attempted to flee
away from the Garcia residence, she heard four shots, (7) the
school custodian let her and Luna inside the school, (8) once
inside the school, she climbed to the second floor, ordered the
school locked down, telephoned school district police, and looked
out and saw petitioner with the rifle in the front yard of the
Garcia residence walking away from the school, and (9) subsequent
examination of the school's exterior disclosed several
indentations in the front doors, as well as a hole in a window
screen that had not been present before the shootings. S.F. Trial,
Volume 22, testimony of Joyce St. John, at pp. 46-61.
The San Antonio Police Officer who arrested
petitioner testified (1) he knocked repeatedly and announced
himself before entering the Garcia residence, (2) he heard a box
of bullets hit the floor and footsteps running his direction, (3)
he heard a rifle racking and smelled gunpowder and blood, (4)
petitioner came out and pointed an assault rifle at him, (5) when
petitioner saw the officer's weapon, petitioner retreated, shouted
“I give up,” and threw down his rifle, and (6) petitioner
thereafter offered no resistance. S.F. Trial, Volume 19, testimony
of Robert Carter, at pp. 97-111. In his five-page, formal, written
statement executed only hours after the fatal shootings, admitted
into evidence as State Exhibit no. 115, which appears at S.F.
Trial, Volume 26, petitioner admits he deliberately fired at
officer Garza's head multiple times and then turned his weapon on
his wife. The petitioner's written statement was also read into
the record verbatim in open court and appears at S.F. Trial, 20,
at pp. 191-201. B. Indictment On September 18, 2001, a Bexar
County grand jury indicted petitioner in cause no. 2001-CR-4925 on
a single count of capital murder, to wit, intentionally and
knowingly causing the death of Hector Garza by fatally shooting
Garza with a firearm while Garza was acting in the discharge of
his official duty as a police officer. FN3. Copies of the
indictment against petitioner appear at various places in the
state court records relating to petitioner's trial, appeal, and
state habeas corpus proceeding. See, e.g., Trial Transcript,
Volume I of II, at p. 6; State Habeas Corpus Transcript, at pp.
117, 119.
C. Guilt-Innocence Phase of Trial
The guilt-innocence phase of petitioner's
capital murder trial commenced on February 4, 2002.FN4 In addition
to the testimony summarized above, petitioner's jury also heard
testimony from forensic and firearms experts regarding (1) the MAC-10
semiautomatic weapon and the Egyptian-made AK-47 assault rifle
petitioner used to shoot Officer Garza and Jessica, (2) ballistics
evidence about the shell casings and bullet fragments found at the
crime scene, and (3) testimony regarding the blood, blood spatter,
and other trace evidence recovered from the crime scene and
petitioner's clothing. The foregoing testimony corroborated those
portions of petitioner's written statement in which he admitted to
having emptied both the semi-automatic pistol and assault rifle
following his fatal shooting of Officer Garza and Jessica. The
defense presented no witnesses or other evidence during the guilt-innocence
phase of petitioner's capital murder trial. On February 8, 2002,
after deliberating less than three hours, petitioner's jury
returned a verdict of guilty.FN5
FN4. At trial, petitioner was represented by
attorneys Michael C. Gross and Joseph A. Esparza. The prosecutors
were Bexar County Criminal District Attorney Susan Reed, and
assistant District Attorneys James Blagg and Christopher DeMartino.
FN5. Trial Transcript, Volume II of II, at pp. 277-86, 288; S.F.
Trial, Volume 21, at pp. 37-39; State Habeas Transcript, at pp.
124-33, 135.
D. Punishment Phase of Trial
The punishment phase of petitioner's capital
murder trial commenced on the afternoon of February 8, 2002. The
prosecution presented evidence that showed (1) while being
transported to booking on the afternoon following the fatal
shootings, petitioner responded to a reporter's question with a
vitriolic epithet,FN6 (2) police found inside the Garcia residence
photographs of petitioner and Jessica each brandishing weapons,FN7
(3) when arrested with other gang members in 1992, petitioner
identified himself as a member of the “Angels of Sin” street gang,
an organization believed by police to have engaged in drive-by
shootings, drug-dealing, aggravated assaults, and other
felonies,FN8 (4) during his rampage, petitioner pointed and fired
his weapon at the vice-principal of the nearby elementary school,
striking the front door of the school,FN9 (5) on one occasion in
December 1994, Jessica Garcia sought the protection of the
Battered Women's Shelter after she claimed petitioner physically
assaulted and emotionally abused her,FN10 (6) petitioner once
threatened to shoot a teenage neighbor who petitioner believed had
fired at petitioner's vehicle, FN11 (7) one of Jessica's co-workers
saw marks and bruises on Jessica on several occasions and Jessica
once told her petitioner forcibly cut Jessica's hair,FN12 and (8)
Officer Garza's death had left a painful void in his family.FN13
FN6. S.F. Trial, Volume 22, testimony of Ben
Esquivel, at pp. 5-6. FN7. S.F. Trial, Volume 22, testimony of
Thomas Matjeka, at pp. 14-17. FN8. S.F. Trial, Volume 22,
testimony of John Schiller, at pp. 32-37, 41. FN9. S.F. Trial,
Volume 22, testimony of Joyce St. John, at pp. 46-61. FN10. S.F.
Trial, Volume 22, testimony of Joyce Coleman, at pp. 78-85. FN11.
S.F. Trial, Volume 23, testimony of Martin Galiano III, at pp.
3-10. FN12. S.F. Trial, Volume 23, testimony of Gloria Mireles, at
pp. 25-28. FN13. S.F. Trial, Volume 23, testimony of Gilda Garza,
at pp. 30-36.
The defense presented witnesses who testified
(1) petitioner had not engaged in any violent conduct while
detained awaiting trial,FN14 (2) petitioner was considered a “very
nice, responsible,” and “very loving person” by his former
supervisor, who also described petitioner as “somebody that could
get the job done when asked,” FN15 and (3) petitioner's priest
never saw any bruises on Jessica or anything that led him to
believe Jessica was afraid of petitioner.FN16
FN14. S.F. Trial, Volume 23, testimony of
Patrick Skillman, at pp. 37-41. FN15. S.F. Trial, Volume 23,
testimony of Delores Ortiz, at pp. 41-50. FN16. S.F. Trial, Volume
23, testimony of Dennis Darilek, at pp. 52-56.
On February 11, 2002, after deliberating
approximately four hours, petitioner's jury returned its verdict,
finding (1) there was a reasonable probability petitioner would
commit criminal acts of violence that would constitute a
continuing threat to society and (2) taking into consideration all
of the evidence, including the circumstances of the offense, the
petitioner's character and background, and the petitioner's moral
culpability, there were insufficient mitigating circumstances to
warrant a sentence of life imprisonment, rather than a death
sentence.FN17 Based on the jury's verdict, the state trial court
imposed a sentence of death.FN18
FN17. Trial Transcript, Volume II, at pp.
303-05; S.F. Trial, Volume 23, at pp. 81-83; State Habeas
Transcript, at pp. 49-51. FN18. S.F. Trial, Volume 23, at p. 85.
E. Direct Appeal
On December 2, 2002, petitioner filed his
appellant's brief, urging seven points of error.FN19 In an opinion
issued January 21, 2004, the Texas Court of Criminal Appeals
affirmed petitioner's conviction and sentence. Garcia v. State,
126 S.W.3d 921 (Tex.Crim.App.2004). Petitioner did not thereafter
seek further review of his conviction or sentence from the United
States Supreme Court via certiorari. FN19. As points of error on
direct appeal, petitioner argued (1) the trial court erred in
overruling defense counsel's objection to the prosecution's
opening statements commenting on petitioner's post-arrest silence
and failure to testify, (2) the trial court erred when it failed
to instruct the jury to disregard the prosecution's attack upon
the personal morals and trustworthiness of defense counsel, (3)
the trial court erred when it admitted hearsay-within-hearsay
consisting of business records from the Bexar County Battered
Women's Shelter during the punishment phase of petitioner's trial,
(4) the trial court erred when it admitted testimony regarding
petitioner's 1992 gang affiliation during the punishment phase of
petitioner's trial, (5) the trial court erred when it admitted
“victim impact” evidence in the form of John Luna's medical
records, and (6) the Texas death penalty scheme violates the
Eighth Amendment. Petitioner's state appellate counsel was
attorney Vincent D. Callahan.
F. State Habeas Corpus Proceeding
On September 22, 2003, petitioner filed his
state habeas corpus application, asserting therein various for
relief. FN20. As claims for relief in his state habeas corpus
application, petitioner argued (1) the trial court erred in
failing to adequately instruct petitioner's jury at the punishment
phase of trial, (2) more specifically, the trial court failed to
define various cryptic terms employed in the Texas capital
sentencing special issues, (3) Texas Code of Criminal Procedures
articles 44.251(a) and 37.071, § 2(e) are facially
unconstitutional because they fail to assign a burden of proof
beyond a reasonable doubt to the mitigation special issue, (4) the
Texas capital sentencing scheme fails to provide for
proportionality review, (5) the Texas statutory definition of
“mitigating evidence” is unconstitutionally narrow, (6) the Texas
capital sentencing scheme's mitigation special issue is facially
unconstitutional because it fails to place the burden of proof on
the prosecution and grants the jury open-ended discretion whether
to withhold the death penalty, (7) the Texas capital sentencing
scheme violates both the Texas and United States Constitutions,
(8) the Texas twelve/ten rule found in art. 37.071 of the Texas
Code of Criminal Procedure fails to inform the jury regarding the
impact of a single holdout juror, (9) petitioner's trial counsel
rendered ineffective assistance by failing to (a) adequately
investigate, develop, and present unidentified mitigating evidence,
(b) object to the prosecutor's statement during voir dire that she
had once been a judge, (c) object to the admission of the 911
tapes and transcripts, (d) request limiting instructions regarding
petitioner's gunfire after shooting the two victims, (e) request a
change of venue, (f) develop facts to support a sudden passion
defense, (f) request a “sudden passion” instruction at the
punishment phase of trial, and (g) investigate, develop, and
present evidence showing petitioner is mentally retarded, (10)
petitioner's due process rights were violated by the admission of
the 911 tape recordings and transcripts, and (11) the prosecution
improperly commented on petitioner's failure to testify.
Petitioner's state habeas counsel was attorney Richard Langlois.
On October 24, 2005, the state habeas trial
court held an evidentiary hearing and heard testimony from
petitioner's mother, sister, cousin, niece, and former lead trial
counsel. In an Order issued February 15, 2007, the state habeas
trial court issued its findings of fact, conclusions of law, and
recommendation that petitioner's sate habeas corpus application be
denied. FN21. State Habeas Transcript, at pp. 213-26.
On June 20, 2007, the Texas Court of Criminal
Appeals issued an unpublished Order in which it adopted the trial
court's findings and conclusions and denied petitioner's state
habeas corpus application. Ex parte Frank M. Garcia, 2007 WL
1783194 (Tex.Crim.App. June 20, 2007).
G. Proceedings in this Court
On June 11, 2008, petitioner filed his original
federal habeas corpus petition. Docket entry no. 8. On October 14,
2008, petitioner filed his first amended federal habeas corpus
petition. Docket entry no. 11. On January 29, 2009, respondent
filed his original answer to petitioner's first amended petition.
Docket entry no. 16. On March 16, 2009, petitioner filed his reply
to respondent's original answer. Docket entry no. 18. On November
9, 2009, petitioner filed his second amended federal habeas corpus
petition. Docket entry no. 31.
II. AEDPA Standard of Review
Because petitioner filed his federal habeas
corpus action after the effective date of the AEDPA, this Court's
review of petitioner's claims for federal habeas corpus relief is
governed by the AEDPA. Penry v. Johnson, 532 U.S. 782, 792, 121
S.Ct. 1910, 1918, 150 L.Ed.2d 9 (2001). Under the AEDPA standard
of review, this Court cannot grant petitioner federal habeas
corpus relief in this cause in connection with any claim that was
adjudicated on the merits in state court proceedings, unless the
adjudication of that claim either: (1) resulted in a decision that
was contrary to, or involved an unreasonable application of,
clearly established federal law, as determined by the Supreme
Court of the United States, or (2) resulted in a decision that was
based on an unreasonable determination of the facts in light of
the evidence presented in the state court proceeding. Brown v.
Payton, 544 U.S. 133, 141, 125 S.Ct. 1432, 1438, 161 L.Ed.2d 334
(2005); Williams v. Taylor, 529 U.S. 362, 404-05, 120 S.Ct. 1495,
1519, 146 L.Ed.2d 389 (2000); 28 U.S.C. § 2254(d).
The Supreme Court has concluded the “contrary
to” and “unreasonable application” clauses of 28 U.S.C. Section
2254(d) (1) have independent meanings. Bell v. Cone, 535 U.S. 685,
694, 122 S.Ct. 1843, 1850, 152 L.Ed.2d 914 (2002). Under the
“contrary to” clause, a federal habeas court may grant relief if
(1) the state court arrives at a conclusion opposite to that
reached by the Supreme Court on a question of law or (2) the state
court decides a case differently than the Supreme Court on a set
of materially indistinguishable facts. Brown v. Payton, 544 U.S.
at 141, 125 S.Ct. at 1438; Mitchell v. Esparza, 540 U.S. 12,
15-16, 124 S.Ct. 7, 10, 157 L.Ed.2d 263 (2003) (“A state court's
decision is ‘contrary to’ our clearly established law if it
‘applies a rule that contradicts the governing law set forth in
our cases' or it ‘confronts a set of facts that are materially
indistinguishable from a decision of this Court and nevertheless
arrives at a result different from our precedent.’ ”). A state
court's failure to cite governing Supreme Court authority does not,
per se, establish the state court's decision is “contrary to”
clearly established federal law: “the state court need not even be
aware of our precedents, ‘so long as neither the reasoning nor the
result of the state-court decisions contradicts them.’ ” Mitchell
v. Esparza, 540 U.S. at 16, 124 S.Ct. at 10.
Under the “unreasonable application” clause, a
federal habeas court may grant relief if the state court
identifies the correct governing legal principle from the Supreme
Court's decisions but unreasonably applies that principle to the
facts of the petitioner's case. Brown v. Payton, 544 U.S. at 141,
125 S.Ct. at 1439; Wiggins v. Smith, 539 U.S. 510, 520, 123 S.Ct.
2527, 2534-35, 156 L.Ed.2d 471 (2003). A federal court making the
“unreasonable application” inquiry should ask whether the state
court's application of clearly established federal law was
“objectively unreasonable.” Wiggins v. Smith, 539 U.S. at 520-21,
123 S.Ct. at 2535. The focus of this inquiry is on whether the
state court's application of clearly established federal law was
objectively unreasonable; an “unreasonable” application is
different from a merely “incorrect” one. Schriro v. Landrigan, 550
U.S. 465, 473, 127 S.Ct. 1933, 1939, 167 L.Ed.2d 836 (2007) (“The
question under the AEDPA is not whether a federal court believes
the state court's determination was incorrect but whether that
determination was unreasonable-a substantially higher threshold.”);
Wiggins v. Smith, 539 U.S. at 520, 123 S.Ct. at 2535; Price v.
Vincent, 538 U.S. 634, 641, 123 S.Ct. 1848, 1853, 155 L.Ed.2d 877
(2003) ( “it is the habeas applicant's burden to show that the
state court applied that case to the facts of his case in an
objectively unreasonable manner”).
Legal principles are “clearly established” for
purposes of AEDPA review when the holdings, as opposed to the
dicta, of Supreme Court decisions as of the time of the relevant
state-court decision establish those principles. Yarborough v.
Alvarado, 541 U.S. 652, 660-61, 124 S.Ct. 2140, 2147, 158 L.Ed.2d
938 (2004) (“We look for ‘the governing legal principle or
principles set forth by the Supreme Court at the time the state
court renders its decision.’ ”); Lockyer v. Andrade, 538 U.S. 63,
71-72, 123 S.Ct. 1166, 1172, 155 L.Ed.2d 144 (2003).
The AEDPA also significantly restricts the
scope of federal habeas review of state court fact findings. A
petitioner challenging state court factual findings must establish
by clear and convincing evidence that the state court's findings
were erroneous. Schriro v. Landrigan, 550 U.S. at 473-74, 127 S.Ct.
at 1939-40 (“AEDPA also requires federal habeas courts to presume
the correctness of state courts' factual findings unless
applicants rebut this presumption with ‘clear and convincing
evidence.’ ”); Rice v. Collins, 546 U.S. 333, 338-39, 126 S.Ct.
969, 974, 163 L.Ed.2d 824 (2006) (“State-court factual findings,
moreover, are presumed correct; the petitioner has the burden of
rebutting the presumption by ‘clear and convincing evidence.’ ”);
Miller-El v. Dretke, 545 U.S. 231, 240, 125 S.Ct. 2317, 2325, 162
L.Ed.2d 196 (2005) ( “[W]e presume the Texas court's factual
findings to be sound unless Miller-El rebuts the ‘presumption of
correctness by clear and convincing evidence.’ ”); 28 U.S.C. §
2254(e)(1).
However, the deference to which state-court
factual findings are entitled under the AEDPA does not imply an
abandonment or abdication of federal judicial review. See Miller-El
v. Dretke, 545 U.S. at 240, 125 S.Ct. at 2325 (the standard is
“demanding but not insatiable”); Miller-El v. Cockrell, 537 U.S.
322, 340, 123 S.Ct. 1029, 1041, 154 L.Ed.2d 931 (2003) (“Even in
the context of federal habeas, deference does not imply
abandonment or abdication of judicial review. Deference does not
by definition preclude relief.”). Finally, in this Circuit, a
federal habeas court reviewing a state court's rejection on the
merits of a claim for relief pursuant to the AEDPA must focus
exclusively on the propriety of the ultimate decision reached by
the state court and not evaluate the quality, or lack thereof, of
the state court's written opinion supporting its decision. See St.
Aubin v. Quarterman, 470 F.3d 1096, 1100 (5th Cir.2006) (holding
Section 2254(d) permits a federal habeas court to review only a
state court's decision and not the written opinion explaining that
decision), cert. denied, 550 U.S. 921, 127 S.Ct. 2133, 167 L.Ed.2d
869 (2007); Amador v. Quarterman, 458 F.3d 397, 410 (5th Cir.2006)
(holding the same), cert. denied, 550 U.S. 920, 127 S.Ct. 2129,
167 L.Ed.2d 866 (2007); Pondexter v. Dretke, 346 F.3d 142, 148
(5th Cir.2003) (holding the precise question before a federal
habeas court in reviewing a state court's rejection on the merits
of an ineffective assistance claim is whether the state court's
ultimate conclusion was objectively reasonable), cert. denied, 541
U.S. 1045, 124 S.Ct. 2160, 158 L.Ed.2d 736 (2004); Anderson v.
Johnson, 338 F.3d 382, 390 (5th Cir.2003) (holding a federal
habeas court reviews only a state court's decision and not the
opinion explaining that decision); Neal v. Puckett, 286 F.3d 230,
246 (5th Cir.2002) ( en banc ) (holding a federal court is
authorized by § 2254(d) to review only a state court's decision
and not the written opinion explaining that decision), cert.
denied, 537 U.S. 1104, 123 S.Ct. 963, 154 L.Ed.2d 772 (2003).
III. Atkins Claim
A. The Claim
Petitioner argues in his seventh claim herein
that he is mentally retarded and, thereby, exempt from the death
penalty pursuant to the Supreme Court's holding in Atkins v.
Virginia, 536 U.S. 304, 122 S.Ct. 2242, 153 L.Ed.2d 335 (2002),
which held the Eighth Amendment precludes the execution of
mentally retarded capital murderers. Petitioner's Second Amended
Application [sic] for Writ of habeas Corpus, filed November 9,
2009, docket entry no. 31, (henceforth “Second Amended Petition”),
at pp. 129-91.
B. State Court Disposition
Petitioner “fairly presented” this same Eighth
Amendment claim to the state court as claim twenty-one contained
in his state habeas corpus application. FN22 While respondent
correctly points out this particular claim was titled in
petitioner's state habeas pleading in a manner suggesting
petitioner was arguing exclusively that his trial counsel rendered
ineffective assistance in violation of the Sixth Amendment, even a
cursory review of the actual argument and authorities cited by
petitioner in support of his claim make evident petitioner was
also attempting to argue, albeit somewhat inarticulately and
ambiguously, he is, in fact, mentally retarded within the standard
alluded to by the Supreme Court in Atkins. Thus, petitioner
“fairly presented” his state habeas court with his Eighth
Amendment claim that he is mentally retarded. FN22. State Habeas
Transcript, at pp. 58-75.
During the evidentiary hearing held October 24,
2005, in petitioner's state habeas corpus proceeding, however,
petitioner presented the state habeas court with virtually no
evidence suggesting petitioner was, in fact, mentally retarded.
Petitioner's state habeas counsel introduced no school, medical,
or other mental health records establishing petitioner had ever
been diagnosed as mentally retarded. Petitioner's state habeas
counsel presented the state habeas court with no documents showing
petitioner had ever exhibited significantly subaverage
intellectual capabilities, in school or otherwise. Nor did
petitioner present any evidence suggesting petitioner ever
suffered from any significant deficiencies in adaptive behavior
prior to age eighteen. Petitioner's mother Eustacia Garcia,
petitioner's sister Letitia Martinez, petitioner's cousin Lucy
Lopez, and petitioner's niece all testified regarding petitioner's
childhood. None testified to any facts which established
petitioner was mentally retarded.
Petitioner's mother testified petitioner (1)
flunked the first and ninth grades, (2) was twenty-two years old
when he finally dropped out of high school in the twelfth grade,
(3) wore braces on his legs from an early age until just before he
began school, (4) fell a lot when he was a small child, (5)
watched a lot of television and spent a lot of time alone when he
was a child, (6) had artistic talent, (7) was never in Special
Education classes, (8) was never diagnosed as mentally retarded to
her knowledge, and was never treated by a physician for any head
injuries. FN23. Statement of Facts from State Habeas Corpus
Evidentiary Hearing, held October 24, 2005 (henceforth “S.F. State
Habeas Hearing”), testimony of Eustacia Martinez Garcia, at pp.
5-12.
Petitioner's sister Letitia Martinez testified
petitioner (1) was the youngest of five children, (2) had problems
with his legs when he was little which required him to wear leg
braces and, as a result, he fell a lot, (3) had difficulties in
school, (4) was in Special Education classes, (5) was not bright,
(6) flunked at least one grade but reached twelfth grade, (7)
lived with their parents even after he and Jessica married, (8)
chose to live at home so he could help their parents pay their
bills, (9) never received any medical attention for any head
injury as a child, and (10) was able to hold jobs and to obtain a
driver's license.FN24 She also testified she spoke about these
same subjects with petitioner's trial counsel prior to
petitioner's trial.FN25
FN24. S.F. State Habeas Hearing, testimony of
Letitia Martinez, at pp. 51-62. FN25. Id., at p. 61.
Petitioner's cousin Lucy Lopez testified (1)
she had known petitioner her whole life, (2) she grew up with
petitioner, (3) while petitioner had no difficulties in school of
which she was aware, petitioner was a “slow” student who stuttered
as a child, (4) petitioner was always drawing cars and cartoons,
(5) she baby-sat for petitioner, who was able to feed himself, (6)
petitioner's family spoke Spanish in the home and neither of his
parents spoke much English, (7) she never felt afraid of
petitioner, (8) to her knowledge, petitioner was never diagnosed
as retarded, and (9) petitioner was saving up to get his own
apartment or home and making car payments while he and Jessica
lived with petitioner's parents. FN26. S.F. State Habeas Hearing,
testimony of Lucy Lopez, at pp. 66-76.
Petitioner's niece Rosemary Avila testified (1)
she was one year younger than petitioner and spent many weekends
with petitioner while they were growing up, (2) she worked with
Jessica at Moll Industries, and (3) Jessica told her petitioner
treated her badly and once beat her. FN27. S.F. State Habeas
Hearing, testimony of Rosemary Avila, at pp. 77-90.
Petitioner's former lead trial counsel,
attorney Michael C. Gross, testified (1) the defense team's
initial plan was to present a psychological defense but, after the
defense's forensic psychologist examined petitioner, that option
“did not pan out,” (2) the defense's forensic psychologist
concluded petitioner's IQ was “normal,” (3) he had worked with the
defense's mental health expert, Dr. Jack Ferrell, previously and
had every confidence in Dr. Ferrell's opinion, (4) Dr. Ferrell
concluded petitioner's IQ was not something the defense could
employ in mitigation at the punishment phase of trial, (5) he
reviewed petitioner's school and employment records and was unable
to develop any evidence to support a finding of mental retardation
or an insanity defense, (6) the defense team interviewed between
fifty and sixty persons who knew petitioner but were unable to
find anyone who could testify that petitioner displayed deficits
in adaptive behavior while growing up, (7) none of petitioner's
family members offered anything of a mitigating nature regarding
petitioner's childhood, (8) he had no difficulty communicating
with petitioner or getting information from petitioner, who
communicated “extremely well,” (9) petitioner's whole family told
him petitioner had no problems in school, (10) none of
petitioner's family ever told him petitioner had been in Special
Education classes, (11) petitioner's family described petitioner's
childhood as normal, (12) Dr. Ferrell expressed opinions regarding
petitioner that were double-edged in nature, such as his opinions
that petitioner was remorseless, cold-blooded, and possessed an
antisocial personality, (13) some members of petitioner's family
had given interviews with the news media after the shootings in
which they described their own fear of petitioner, (14) he never
found any evidence suggesting petitioner suffered an abused or
neglected childhood, and (15) there was no evidence petitioner was
unable to perform his job. FN28. S.F. State Habeas Hearing,
testimony of Michael C. Gross, at pp. 21-50.
Significantly, petitioner's state habeas
counsel presented no testimony from any mental health professional,
educator, or other expert suggesting petitioner was, in fact,
mentally retarded. The state habeas trial court concluded (1)
petitioner's trial counsel conducted a meaningful mitigation
investigation but found no evidence suggesting petitioner is
mentally retarded, (2) the defense team's mental health expert,
Dr. Ferrell, tested petitioner and found petitioner to be in the
normal range for intelligence, (3) the defense team was unable to
locate any witnesses who could testify petitioner suffered from
deficits in adaptive behavior, (4) the defense team feared Dr.
Ferrell's opinion that petitioner lacked remorse would undermine
their mitigation strategy, (5) none of petitioner's family members
offered the defense team any mitigating evidence regarding
petitioner's upbringing or childhood, (6) several members of
petitioner's family gave interviews in which they indicated they
were afraid of petitioner, (7) there was no evidence available to
petitioner's trial counsel at the time of trial indicating
petitioner was mentally retarded, and (8) petitioner failed to
present the state habeas trial court with any evidence
establishing he is, in fact, mentally retarded. FN29. State Habeas
Transcript, at pp. 220-22.
The Texas Court of Criminal Appeals adopted the
foregoing findings and conclusions when it denied petitioner's
state habeas corpus application. Ex parte Frank M. Garcia, 2007 WL
1783194 (Tex.Crim.App. June 20, 2007).
C. Analysis
There are several analytical impediments to
this Court's application of the AEDPA's standard of review to
petitioner's Atkins claim. Chief among them is the fact the
Supreme Court's Atkins opinion did not specify a legal definition
of “mental retardation” but, rather, referred to a pair of
clinical definitions of mental retardation which leave the
determination open to some interpretation.
For purposes of this federal habeas corpus
proceeding, the issue before this Court is whether the state
habeas court's rejection on the merits of petitioner's Atkins
claim was either (1) contrary to, or involved an unreasonable
application of, clearly established federal law, as determined by
the Supreme Court of the United States, or (2) resulted in a
decision that was based on an unreasonable determination of the
facts in light of the evidence presented in the petitioner's state
habeas corpus proceeding. Williams v. Taylor, 529 U.S. at 404-05,
120 S.Ct. at 1519; 28 U.S.C. § 2254(d). Implicit in the first half
of AEDPA analysis is the assumption that clearly established
federal law exists defining the parameters of a federal
constitutional right. In the post- Atkins realm of mental
retardation, the existence of a constitutional right is clear but
its parameters are more difficult to discern.
The Supreme Court's Eighth Amendment analysis
in Atkins focused initially on current trends among state
legislatures regarding the imposition of the death sentence on
mentally retarded capital murderers. See Atkins v. Virginia, 536
U.S. at 311-17, 122 S.Ct. at 2246-50 (holding that the Eighth
Amendment draws its meaning from the evolving standards of decency
that mark the progress of a maturing society and that the clearest
and most reliable objective evidence of contemporary values is the
legislation enacted by state legislatures). The Supreme Court then
shifted its focus to the dual penological purposes served by the
death penalty: retribution and deterrence of capital crimes by
prospective offenders. Id., 536 U.S. at 318-21, 122 S.Ct. at
2250-52. With regard to retribution, the Court held an exclusion
from the death penalty for mentally retarded capital murderers was
warranted by virtue of “the lesser culpability of the mentally
retarded offender” when compared to “the culpability of the
average murderer.” Id., 536, U.S. at 319, 122 S.Ct. at 2251. The
Court next addressed the remaining penological purpose served by
capital sentencing:
With respect to deterrence-the interest in
preventing capital crimes by prospective offenders-“it seems
likely that ‘capital punishment can serve as a deterrent only when
murder is the result of premeditation and deliberation.’ ”
Exempting the mentally retarded from that punishment will not
affect the “cold calculus that precedes the decision” of other
potential murderers. Indeed, that sort of calculus is at the
opposite end of the spectrum from behavior of mentally retarded
offenders. The theory of deterrence in capital sentencing is
predicated upon the notion that the increased severity of the
punishment will inhibit criminal actors from carrying out
murderous conduct. Yet it is the same cognitive and behavioral
impairments that make these defendants less morally culpable-for
example, the diminished ability to understand and process
information, to learn from experience, to engage in logical
reasoning, or to control impulses-that also make it less likely
that they can process the information of the possibility of
execution as a penalty and, as a result, control their conduct
based upon that information. Atkins, 536 U.S. at 319-20, 122 S.Ct.
at 2251 (citations omitted). The Supreme Court ultimately
concluded that execution of mentally retarded criminals would not
measurably advance the deterrent or retributive purposes
underlying the death penalty and, therefore, the Eighth Amendment
prohibits such punishment. Atkins, 536 U.S. at 321, 122 S.Ct. at
2252.
However, the Supreme Court declined in Atkins
to furnish state and lower federal courts with a definitive legal
definition of “mental retardation” or “mentally retarded,” instead
offering two clinical definitions as possible options: The
American Association on Mental Retardation (AAMR) defines mental
retardation as follows: “Mental retardation refers to substantial
limitations in present functioning. It is characterized by
significantly subaverage intellectual functioning, existing
concurrently with related limitations in two or more of the
following applicable adaptive skill areas: communication, self-care,
home living, social skills, community use, self-direction, health
and safety, functional academics, leisure, and work. Mental
retardation manifests before age 18.” The American Psychiatric
Association's definition is similar: “The essential feature of
Mental Retardation is significantly subaverage general
intellectual functioning (Criterion A) that is accompanied by
significant limitations in adaptive functioning in at least two of
the following skill areas: communication, self-care, home living,
social/interpersonal skills, use of community resources, self-direction,
functional academic skills, work, leisure, health, and safety (Criterion
B). The onset must occur before age 18 years (Criterion C). Mental
Retardation has many different etiologies and may be seen as a
final common pathway of various pathological processes that affect
the functioning of the central nervous system.” FN30. Atkins v.
Virginia, 536 U.S. at 308 n. 3, 122 S.Ct. at 2245 n. 3 (citations
omitted).
Like most clinical definitions drawn from the
medical and biological sciences, the foregoing definitions cited,
but not specifically adopted, by the Supreme Court do not transfer
easily into the realm of law, where legally valid distinctions and
classifications must necessarily be based on more than a
subjective choice between the conflicting testimony of differing
diagnosticians. FN31. The Supreme Court and Texas Court of
Criminal Appeals have each noted the lack of confluence between
psychiatric definitions and legal ones. See Kansas v. Crane, 534
U.S. 407, 413, 122 S.Ct. 867, 871, 151 L.Ed.2d 856 (2002) (“the
science of psychiatry, which informs but does not control ultimate
legal determinations, is an ever-advancing science, whose
distinctions do not seek precisely to mirror those of the law.”),
quoted in Ex parte Briseno, 135 S.W.3d 1, 9 n. 30 (Tex.Crim.App.2004).
The lack of a clear definition of “mental
retardation” approved by the Supreme Court does not complicate the
resolution of this case, however, because, as the state habeas
court astutely pointed out, petitioner utterly failed to present
the state habeas court with any evidence suggesting petitioner
either (1) currently exhibits significantly sub-average
intellectual functioning or (2) displayed significant limitations
in adaptive functioning in any skill area prior to age eighteen.
Under the AEDPA, the focus of this Court's review of the state
habeas court's rejection of petitioner's Atkins claim on the
merits lies with the reasonableness of that determination in view
of clearly established federal law and the evidence presented to
the state habeas court. 28 U.S.C. § 2254(d). This federal habeas
proceeding is not a proper forum for re-litigating the issue of
petitioner's mental retardation de novo when petitioner was
afforded a full and fair opportunity to litigate that same claim
in the course of his state habeas corpus proceeding and did, in
fact, fully litigate his Atkins claim in that state forum.
The Supreme Court's opinion in Atkins urged
state courts to apply one or either of the two clinical
definitions of mental retardation discussed above, both of which
required a showing of significantly sub-average intellectual
functioning combined with a showing of significant deficits in
adaptive behavior demonstrated prior to age eighteen. The state
habeas court reasonably concluded that petitioner's state habeas
counsel failed to present the state habeas court with any evidence
showing petitioner satisfied either of these two criteria.
Moreover, the state habeas court also had
before it the trial testimony of petitioner's former supervisor,
who described petitioner as “very reliable,” “honest,” and
“somebody that could get the job done when asked.” FN32 Finally,
there was also evidence before the state habeas court establishing
petitioner had (1) obtained a driver's license, (2) been employed
in several different jobs during his adult life, (3) reached grade
twelve, (4) been married for several years, and (5) fathered two
children. Petitioner presented the state habeas court with no
evidence showing petitioner had ever been terminated from any
employment position for incompetence or that petitioner had ever
displayed any difficulty communicating in English that might be
unusual for a person raised in a Spanish-speaking household. In
the absence of any evidence showing petitioner had ever been
diagnosed by any mental health or education professional as
mentally retarded, there was absolutely nothing unreasonable about
the state habeas court's implicit conclusion petitioner was not
mentally retarded. FN32. S.F. Trial, Volume 23, testimony of
Delores Ortiz, at pp. 41-42.
D. Conclusions
The Texas Court of Criminal Appeals' rejection
on the merits of petitioner's Atkins claim was neither contrary to,
nor involved an unreasonable application of, clearly established
Federal law, as determined by the Supreme Court of the United
States, nor based on an unreasonable determination of the facts in
light of the evidence presented in the petitioner's state habeas
corpus proceeding. Petitioner's seventh claim herein does not
warrant federal habeas relief under the AEDPA.
IV. Constitutionality of the Texas Capital
Sentencing Scheme
A. The Claim
Petitioner argues in his sixth claim herein
that the Texas capital sentencing scheme violates the Eighth
Amendment because the Texas capital sentencing special issues (1)
employ a number of “undefined terms,” (2) fail to adequately
channel the capital sentencing jury's discretion, and (3) thereby
are contrary to the principles the Supreme Court announced in Ring
v. Arizona, 536 U.S. 584, 122 S.Ct. 2428, 153 L.Ed.2d 556 (2002).
Second Amended Petition, at pp. 112-28.
B. State Court Disposition
The state habeas court rejected these same
arguments for two reasons: first, the Texas Court of Criminal
Appeals had repeatedly rejected these same arguments; and, second,
these claims could and should have been raised on direct appeal
and, therefore, were not properly presented in a Texas habeas
corpus proceeding. FN33. State Habeas Transcript, at pp. 214-16.
C. Procedural Default
Petitioner procedurally defaulted on his claims
attacking the facial constitutionality of the Texas capital
sentencing scheme by failing to present those same arguments in
his direct appeal. While petitioner did include a generic attack
upon the death penalty as his seventh and final point of error in
his appellant's brief, petitioner did not attack the Texas capital
sentencing scheme's special issues in the same manner he
challenges them in this federal habeas corpus proceeding until he
filed his state habeas corpus application. See Dorsey v.
Quarterman, 494 F.3d 527, 532 (5th Cir.2007) (recognizing the
Texas Court of Criminal Appeals' rule in Ex parte Gardner, which
bars state habeas review of claims which should have been raised
on direct appeal, sets forth an adequate state ground capable of
barring federal habeas review), cert. denied, 552 U.S. 1232, 128
S.Ct. 1444, 170 L.Ed.2d 277 (2008); Brewer v. Quarterman, 466 F.3d
344, 347 (5th Cir.2006) (holding state court's finding that
petitioner should have, but failed, to raise a claim on direct
appeal foreclosed state habeas review and constituted a procedural
barrier to federal habeas review of the same claim), cert. denied
552 U.S. 834, 128 S.Ct. 63, 169 L.Ed.2d 52 (2007). Moreover, those
arguments possess no arguable merit.
D. AEDPA Review
1. Clearly Established Federal Law
In Apprendi v. New Jersey, 530 U.S. 466, 120
S.Ct. 2348, 147 L.Ed.2d 435 (2000), the Supreme Court struck down
on due process grounds a state scheme that permitted a trial judge
to make a factual finding based on a preponderance of the evidence
regarding the defendant's motive or intent underlying a criminal
offense and, based on such a finding, increase the maximum end of
the applicable sentencing range for the offense by a factor of one
hundred percent. Apprendi, 530 U.S. at 497, 120 S.Ct. at 2366. The
Supreme Court's opinion in Apprendi emphasized it was merely
extending to the state courts the same principles discussed in
Justice Stevens' and Justice Scalia's concurring opinions in Jones
v. United States, 526 U.S. 227, 252-53, 119 S.Ct. 1215, 1228-29,
143 L.Ed.2d 311 (1999): other than the fact of a prior conviction,
any fact that increases the penalty for a crime beyond the
prescribed statutory maximum must be submitted to a jury and
proved beyond a reasonable doubt. Apprendi, 530 U.S. at 490, 120
S.Ct. at 2362-63. Put more simply, the Supreme Court held (1) it
was unconstitutional for a legislature to remove from the jury the
assessment of facts that increase the prescribed range of
penalties to which a criminal is exposed and (2) all such findings
must be established beyond a reasonable doubt. Apprendi, 530 U.S.
at 490, 120 S.Ct. at 2363.
Two years later, in Ring v. Arizona, supra, the
Supreme Court applied the holding and its reasoning in Apprendi to
strike down a death sentence in a case in which the jury had
declined to find the defendant guilty of pre-meditated murder
during the guilt-innocence phase of a capital trial (instead
finding the defendant guilty only of felony murder) but a trial
judge subsequently concluded the defendant should be sentenced to
death based upon factual determinations that (1) the offense was
committed in expectation of receiving something of pecuniary value
(i.e., the fatal shooting of an armored van guard during a robbery)
and (2) the foregoing aggravating factor out-weighed the lone
mitigating factor favoring a life sentence (i.e., the defendant's
minimal criminal record).FN34 Ring, 536 U.S. at 609, 122 S.Ct. at
2443. The Supreme Court emphasized, as it had in Apprendi, the
dispositive question “is not one of form, but of effect”: [i]f a
State makes an increase in a defendant's authorized punishment
contingent on the finding of a fact, that fact-no matter how the
State labels it-must be found by a jury beyond a reasonable doubt.”
Ring, 536 U.S. at 602, 122 S.Ct. at 2439. “A defendant may not be
exposed to a penalty exceeding the maximum he would receive if
punished according to the facts reflected in the jury verdict
alone.” Ring, 536 U.S. at 602, 122 S.Ct. at 2439-40, quoting
Apprendi, 530 U.S. at 483, 120 S.Ct. at 2359. Because Ring would
not have been subject to the death penalty but for the trial
judge's factual determination as to the existence of an
aggravating factor, the Supreme Court declared Ring's death
sentence violated the right to trial by jury protected by the
Sixth Amendment. Ring, 536 U.S. at 609, 122 S.Ct. at 2443.
FN34. In point of fact, the Arizona trial judge
found a second aggravating factor applied in Ring's case, i.e.,
Ring's comments after the fatal shooting in which he chastised his
co-conspirators for their failure to praise Ring's marksmanship
rendered his offense “especially heinous, cruel, or depraved.” The
Arizona Supreme Court later held there was insufficient evidence
to support the trial judge's finding of depravity but nonetheless
re-weighed the remaining aggravating factor against the lone
mitigating factor and affirmed Ring's death sentence. Ring v.
Arizona, 536 U.S. at 595-96, 122 S.Ct. at 2435-36.
2. Punishment Phase of Petitioner's Trial
At the punishment phase of petitioner's capital
trial, the jury was faced with two special issues: the first
inquired whether the prosecution had established beyond a
reasonable doubt that a probability existed the petitioner would
commit criminal acts of violence constituting a continuing threat
to society; and the second inquired whether, without any express
or implicit burden of proof assigned, the mitigating evidence
warranted a sentence of less than death.FN35 This submission was
consistent with Section 2 of Article 37.071 of the Texas Code of
Criminal Procedure, which mandates the state carry the burden of
proving the defendant's future dangerousness “beyond a reasonable
doubt,” but imposes no similar burden of proof requirement for the
Penry or mitigation special issue. FN35. Trial Transcript, Volume
II of II, at pp. 294-305; State Habeas Transcript, at pp. 100-12.
3. Synthesis
Petitioner's arguments in support of this claim
equate his jury's negative answer to the Penry or mitigation
special issue included in the Texas capital sentencing scheme with
the Arizona trial judge's factual findings regarding the existence
of aggravated factors in Ring. However, petitioner misperceives
the true nature of the Texas capital sentencing scheme. The
Supreme Court explained in Tuilaepa v. California, 512 U.S. 967,
114 S.Ct. 2630, 129 L.Ed.2d 750 (1994), that the Eighth Amendment
addresses two different but related aspects of capital sentencing:
the eligibility decision and the selection decision. Tuilaepa, 512
U.S. at 971, 114 S.Ct. at 2634. The Supreme Court's analysis of
those two aspects of capital sentencing provides a comprehensive
system for analyzing Eighth Amendment claims:
To be eligible for the death penalty, the
defendant must be convicted of a crime for which the death penalty
is a proportionate punishment. To render a defendant eligible for
the death penalty in a homicide case, we have indicated that the
trier of fact must convict the defendant of murder and find one
“aggravating circumstance” (or its equivalent) at either the guilt
or penalty phase. The aggravated circumstance may be contained in
the definition of the crime or in a separate sentencing factor (or
both). As we have explained, the aggravating circumstance must
meet two requirements. First, the circumstance may not apply to
every defendant convicted of a murder; it must apply only to a
subclass of defendants convicted of murder. Second, the
aggravating circumstance may not be unconstitutionally vague.* * *
We have imposed a separate requirement for the selection decision,
where the sentencer determines whether a defendant eligible for
the death penalty should in fact receive that sentence. “What is
important at the selection stage is an individualized
determination on the basis of the character of the individual and
the circumstances of the crime.” That requirement is met when the
jury can consider relevant mitigating evidence of the character
and record of the defendant and the circumstances of the crime.
Tuilaepa, 512 U.S. at 971-73, 114 S.Ct. at 2634-35 (citations
omitted).
The Supreme Court clearly pronounced in
Tuilaepa that states may adopt capital sentencing procedures that
rely upon the jury, in its sound judgment, to exercise wide
discretion. Tuilaepa, 512 U.S. at 974, 114 S.Ct. at 2636. The
Supreme Court held further that, at the selection stage, states
are not confined to submitting to the jury specific propositional
questions but, rather, may direct the jury to consider a wide
range of broadly-defined factors, such as “the circumstances of
the crime,” “the defendant's prior criminal record” and “all facts
and circumstances presented in extenuation, mitigation, and
aggravation of punishment.” Tuilaepa, 512 U.S. at 978, 114 S.Ct.
at 2638.
In Loving v. United States, 517 U.S. 748, 116
S.Ct. 1737, 135 L.Ed.2d 36 (1996), the Supreme Court discussed the
first part of the Tuilaepa analysis, i.e., the eligibility
decision, as follows: The Eighth Amendment requires, among other
things, that “a capital sentencing scheme must ‘genuinely narrow
the class of persons eligible for the death penalty and must
reasonably justify the imposition of a more severe sentence on the
defendant compared to others found guilty of murder.’ ” Some
schemes accomplish that narrowing by requiring that the sentencer
find at least one aggravating circumstance. The narrowing may also
be achieved, however, in the definition of the capital offense, in
which circumstance the requirement that the sentencer “find the
existence of the aggravating circumstance in addition is no part
of the constitutionally required narrowing process.” Loving, 517
U.S. at 755, 116 S.Ct. at 1742 (citations omitted). FN36. The
Supreme Court subsequently elaborated on the distinction between
the narrowing function or eligibility decision and the selection
phase of a capital sentencing proceeding in Buchanan v. Angelone,
522 U.S. 269, 275-77, 118 S.Ct. 757, 761-62, 139 L.Ed.2d 702
(1998).
The Arizona capital sentencing scheme the
Supreme Court addressed in Ring relied upon a trial judge's
factual findings of “aggravating” factors and directed the trial
judge to weigh those aggravating factors against any mitigating
factors found to apply to the defendant. Thus the Arizona trial
judge's factual findings in Ring were part of the constitutionally-mandated
eligibility determination, i.e., the narrowing function.
In contrast, the Texas capital sentencing
scheme under which petitioner was tried, convicted, and sentenced
performed the constitutionally-required narrowing function
discussed in Tuilaepa and Loving at the guilt-innocence phase of
petitioner's trial and further narrowed the category of those
eligible for the death penalty by requiring a finding, beyond a
reasonable doubt, of future dangerousness. See Sonnier v.
Quarterman, 476 F.3d 349, 365-67 (5th Cir.2007) (recognizing the
Texas capital sentencing scheme, like the one upheld by the
Supreme Court in Kansas v. Marsh, 548 U.S. 163, 126 S.Ct. 2516,
165 L.Ed.2d 429 (2006), performs the constitutionally required
narrowing function through its statutory definition of capital
murder and further narrows the category of those eligible for the
death penalty by requiring an additional fact finding, beyond a
reasonable doubt, that there is a probability the defendant will
commit criminal acts of violence that would constitute a
continuing threat to society), cert. denied, --- U.S. ----, 128
S.Ct. 374, 169 L.Ed.2d 259 (2007).
Unlike Arizona's weighing scheme, the Texas
capital sentencing scheme performs the constitutionally mandated
narrowing function, i.e., the process of making the “eligibility
decision,” at the guilt-innocence phase of a capital trial by
virtue of the manner with which Texas defines the offense of
capital murder in Section 19.03 of the Texas Penal Code. See
Johnson v. Texas, 509 U.S. 350, 362-66, 113 S.Ct. 2658, 2666-68,
125 L.Ed.2d 290 (1993) (Texas capital sentencing scheme was not
constitutionally deficient in the means used to narrow the group
of offenders subject to capital punishment because the statute
itself adopted different classifications of murder for that
purpose); Lowenfield v. Phelps, 484 U.S. 231, 243-47, 108 S.Ct.
546, 554-55, 98 L.Ed.2d 568 (1988) (comparing the Louisiana and
Texas capital murder schemes and noting they each narrow those
eligible for the death penalty through narrow statutory
definitions of capital murder); Jurek v. Texas, 428 U.S. 262,
268-75, 96 S.Ct. 2950, 2955-57, 49 L.Ed.2d 929 (1976) ( plurality
opinion recognizing the Texas capital sentencing scheme narrows
the category of murders for which a death sentence may be imposed
and this serves the same purpose as the requirements of other
statutory schemes which require proof of aggravating circumstances
to justify the imposition of the death penalty).
The Texas capital sentencing scheme under which
petitioner was convicted and sentenced involved a significantly
different approach to capital sentencing than the Arizona scheme
involved in Ring. By virtue of (1) its guilt-innocence phase
determination beyond a reasonable doubt that the petitioner
committed capital murder, as defined by applicable Texas law, and
(2) its factual finding of future dangerousness, also made beyond
a reasonable doubt, petitioner's jury found beyond a reasonable
doubt the petitioner was eligible to receive the death penalty.
Sonnier v. Quarterman, 476 F.3d at 365-67. In contrast, Ring's
jury made no analogous factual findings. Instead, Ring's Arizona
jury found beyond a reasonable doubt only that Ring was guilty of
“felony murder,” a wholly separate offense from the offense of
capital murder as defined under Texas law.
The petitioner's first capital sentencing
special issue, i.e., the future dangerousness issue, included a
“beyond a reasonable doubt” burden of proof squarely placed on the
prosecution. Petitioner's jury's factual finding on the future
dangerousness special issue was an essential part of the
procedural process under Texas law for determining whether the
petitioner was eligible to receive the death penalty. In contrast,
the Penry or “mitigation” special issue employed at the punishment
phase of petitioner's capital trial was designed to address the
second aspect of capital sentencing discussed in Tuilaepa, i.e.,
the constitutional requirement that the jury be given an
opportunity “to render a reasoned, individualized sentencing
determination based on a death-eligible defendant's record,
personal characteristics, and the circumstances of his crime.”
Kansas v. Marsh, 548 U.S. at 172-75, 126 S.Ct. at 2524-25; Sonnier
v. Quarterman, 476 F.3d at 365. “The use of mitigation evidence is
a product of the requirement of individualized sentencing.” Kansas
v. Marsh, 548 U.S. at 174, 126 S.Ct. at 2525.
The Supreme Court has distinguished the
constitutional requirements of the eligibility decision, i.e., the
narrowing function, and the selection decision, i.e., the
individualized assessment of mitigating circumstances, holding the
latter requires only that the sentencing jury be given broad range
to consider all relevant mitigating evidence but leaving to the
states wide discretion on how to channel the sentencing jury's
balancing of mitigating and aggravating factors. See Kansas v.
Marsh, 548 U.S. at 174-75, 126 S.Ct. at 2525 (holding, in
connection with the selection phase of a capital sentencing
proceeding, the Constitution mandates only that (1) the defendant
has a right to present the sentencing authority with information
relevant to the sentencing decision and (2) the sentencing
authority is obligated to consider that information in determining
the appropriate sentence); Tuilaepa, 512 U.S. at 978, 114 S.Ct. at
2638 (holding, at the selection stage, states are not confined to
submitting to the jury specific propositional questions but,
rather, may direct the jury to consider a wide range of broadly-defined
factors, such as “the circumstances of the crime,” “the
defendant's prior criminal record” and “all facts and
circumstances presented in extenuation, mitigation, and
aggravation of punishment.”).
At the selection phase of a capital trial, the
Supreme Court has left to the states the decision whether to
channel a sentencing jury's weighing of mitigating evidence or
grant the jury unfettered discretion to consider all relevant
mitigating evidence and weigh same in any manner the jury deems
reasonable. See Kansas v. Marsh, 548 U.S. at 174, 126 S.Ct. at
2525 (“So long as a state system satisfies these requirements, our
precedents establish that a State enjoys a range of discretion in
imposing the death penalty, including the manner in which
aggravating and mitigating circumstances are to be weighed.”).
Likewise, the Supreme Court has not yet imposed a particular
burden of proof requirement with regard to a capital sentencing
jury's consideration of mitigating evidence when such
consideration occurs exclusively within the selection process.
“[D]iscretion to evaluate and weigh the circumstances relevant to
the particular defendant and the crime he committed” is not
impermissible in the capital sentencing process. “Once the jury
finds that the defendant falls within the legislatively defined
category of persons eligible for the death penalty, ... the jury
then is free to consider a myriad of factors to determine whether
death is the appropriate punishment.” Indeed, the sentencer may be
given “unbridled discretion in determining whether the death
penalty should be imposed after it has been found that the
defendant is a member of the class made eligible for that penalty.”
Tuilaepa, 512 U.S. at 979, 114 S.Ct. at 2639 (citations omitted).
“[T]here is no constitutional requirement of
unfettered sentencing discretion in the jury, and States are free
to structure and shape consideration of mitigating evidence ‘in an
effort to achieve a more rational and equitable administration of
the death penalty.’ ” Johnson v. Texas, 509 U.S. at 362, 113 S.Ct.
at 2666 ( quoting Boyde v. California, 494 U.S. 370, 377, 110 S.Ct.
1190, 1196, 108 L.Ed.2d 316 (1990)). “We have never held that a
specific method for balancing mitigating and aggravating factors
in a capital sentencing proceeding is constitutionally required.”
Kansas v. Marsh, 548 U.S. at 175, 126 S.Ct. at 2525. As explained
above, the “eligibility” decision required by the Constitution is
satisfied under Texas law by the jury's findings “beyond a
reasonable doubt” that (1) the defendant is guilty of capital
murder as defined under Section 19.03 of the Texas Penal Code and
(2) there is a probability the defendant will commit criminal acts
of violence that would constitute a continuing threat to society.
Sonnier v. Quarterman, 476 F.3d at 365-67. This is all the
Constitution requires to satisfy the concerns discussed by the
Supreme Court in Ring.
Consistent with the Supreme Court's holdings in
Kansas v. Marsh, Tuilaepa v. California, and Johnson v. Texas, a
Texas capital sentencing jury may be granted “unfettered
discretion” regarding how it should weigh the mitigating evidence,
if any, relevant to a particular defendant's background and
character against the aggravating circumstances of the defendant's
offense and the defendant's demonstrated propensity for future
dangerousness. Thus, the Texas Legislature's decision not to
assign a particular burden of proof on either party in connection
with the Texas capital sentencing scheme's Penry or mitigation
special issue falls well within the broad range of discretionary
authority a state may exercise in connection with the selection
phase of a capital trial.
The Arizona trial judge's affirmative factual
finding regarding the existence of an aggravating factor made in
Ring did not serve the same constitutionally-mandated purpose as
the jury's negative answer to the Penry special issue made at
petitioner's Texas capital murder trial. The Arizona trial judge's
factual findings were designed to satisfy the “eligibility”
requirement discussed in Tuilaepa. In jurisdictions such as Texas
(where the “eligibility” decision discussed in Tuilaepa is made at
the guilt-innocence phase of a capital trial) the only factual
issues before the jury at the punishment phase of a capital trial
address only the “selection” decision identified by the Supreme
Court in Tuilaepa. Even if Texas's future dangerousness special
issue could be construed as falling within the scope of the
constitutionally mandated eligibility decision, Texas law clearly
places the burden of proving same beyond a reasonable doubt on the
prosecution.
Thus, the procedural requirements applicable to
the eligibility decision in weighing jurisdictions such as Arizona
(where specific findings of aggravating factors are made during a
separate post-conviction proceeding and then weighed against any
“mitigating” factors also found by the sentencing authority) are
inapplicable to a Texas capital sentencing jury's selection
decision, i.e., its determination as to whether the mitigating
evidence in a particular case warrants a sentence of less than
death for a criminal defendant who has already been convicted
beyond a reasonable doubt of capital murder and already determined
beyond a reasonable doubt to pose a risk of future dangerousness.
See Scheanette v. Quarterman, 482 F.3d 815, 828 (5th Cir.2007)
(“[A] finding of mitigating circumstances reduces a sentence from
death, rather than increasing it to death.”); Sonnier v.
Quarterman, 476 F.3d at 363-67 (holding the deletion of the former
special issue inquiring into whether the defendant acted
“deliberately” in connection with the capital murder from the
Texas capital sentencing scheme did not render same vulnerable to
attack on Eighth Amendment grounds); Granados v. Quarterman, 455
F.3d 529, 537 (5th Cir.2006) (distinguishing Ring and Apprendi on
the ground that a jury's affirmative answer to the Texas capital
sentencing scheme's Penry or “mitigation” special issue reduces a
sentence from death rather than increasing it to death, as was the
case with the factual findings made by the trial judges in
Apprendi and Ring ), cert. denied, 549 U.S. 1081, 127 S.Ct. 732,
166 L.Ed.2d 568 (2006); Rowell v. Dretke, 398 F.3d 370, 379 (5th
Cir.2005) ( “No Supreme Court or Circuit precedent
constitutionally requires that Texas's mitigation special issue be
assigned a burden of proof.”), cert. denied, 546 U.S. 848, 126
S.Ct. 103, 163 L.Ed.2d 117 (2005). For the foregoing reasons, the
exercise of considerable discretion by a Texas capital sentencing
jury when confronting the Penry or mitigation special issue does
not violate Eighth Amendment principles. Bartee v. Quarterman, 574
F.Supp.2d 624, 704-05 (W.D.Tex.2008), CoA denied, 350 Fed. App'x
854, 2009 WL 2981896 (W.D.Tex. September 18, 2009); Moore v.
Quarterman, 526 F.Supp.2d 654, 730-31 (W.D.Tex.2007), CoA denied,
534 F.3d 454 (5th Cir.2008).
Finally, petitioner's complaint about the lack
of definitions of specific terms employed in the Texas capital
sentencing special issues, which petitioner deems to be
unconstitutionally vague, has been repeatedly rejected by both the
Fifth Circuit and this Court for the same reasons petitioner's
other facial challenges to the Texas capital sentencing scheme
lack arguable merit. See Turner v. Quarterman, 481 F.3d 292,
299-300 (5th Cir.) (rejecting arguments that the terms “probability,”
“criminal acts of violence,” and “continuing threat to society”
were so vague as to preclude a capital sentencing jury's
consideration of mitigating evidence), cert. denied, 551 U.S.
1193, 128 S.Ct. 34, 168 L.Ed.2d 810 (2007); Leal v. Dretke, 428
F.3d 543, 552-53 (5th Cir.2005) (listing the many Fifth Circuit
opinions rejecting complaints about the failure of Texas courts to
define the terms “probability,” “criminal acts of violence,” and
“continuing threat to society” in the first Texas capital
sentencing special issue), cert. denied, 547 U.S. 1073, 126 S.Ct.
1771, 164 L.Ed.2d 522 (2006); Bartee v. Quarterman, 574 F.Supp.2d
at 693-94 (listing Fifth Circuit opinions and opinions of this
Court rejecting complaints about the failure of Texas courts to
define various terms employed in the capital sentencing special
issues); Moore v. Quarterman, 526 F.Supp.2d at 720-21 (discussing
the long line of Fifth Circuit opinions, as well as numerous
opinions from this Court, rejecting the same arguments raised by
petitioner's twenty-second claim herein); Martinez v. Dretke, 426
F.Supp.2d 403, 530 (W.D.Tex.2006) (holding the Texas capital
sentencing special issues need not be accompanied by definitions
because the key terms therein are susceptible of a logical,
commonsense, interpretation by rational jurors and the Eighth
Amendment does not preclude granting a Texas jury unfettered
discretion (in the mitigation special issue) to withhold the death
penalty so long as the jury is permitted to consider all
mitigating evidence before it in so doing), CoA denied, 270 Fed.
Appx. 277, 2008 WL 698946 (5th Cir. March 17, 2008); Salazar v.
Dretke, 393 F.Supp.2d 451, 488-91 (W.D.Tex.2005) (holding the same),
aff'd, 260 Fed. App'x 643, 2007 WL 4467587 (5th Cir. December 20,
2007), cert. denied, --- U.S. ----, 128 S.Ct. 2963, 171 L.Ed.2d
893 (2008).
4. Conclusion
The Texas Court of Criminal Appeals' rejection
on the merits of petitioner's Ring challenge to the facial
constitutionality of the Texas capital sentencing scheme was
neither contrary to, nor involved an unreasonable application of,
clearly established federal law, as determined by the Supreme
Court of the United States, nor was it based on an unreasonable
determination of the facts in light of the evidence presented in
the petitioner's state trial court and state habeas corpus
proceedings. Petitioner's sixth claim herein does not warrant
federal habeas relief under the AEDPA.
V. Hearsay, Confrontation Clause, Dawson v.
Delaware, and Cumulative Error Arguments
A. The Claims
Petitioner argues in his first three claims
herein that his Fifth Amendment Due Process and Sixth Amendment
Confrontation Clause rights were violated when the state trial
court erroneously admitted hearsay evidence during the punishment
phase of petitioner's capital murder trial. Petitioner argues the
state trial court erroneously admitted evidence showing the
following: (1) that Jessica had once sought assistance from the
Bexar County Battered Women's Shelter after petitioner assaulted
her; and (2) petitioner once identified himself as a member of a
notorious street gang. Petitioner also argues the cumulative
effect of the admission of this evidence denied him a fair trial.
Second Amended Petition, at pp. 35-74.
B. State Court Disposition
Petitioner presented the first two of these
complaints to the Texas Court of Criminal Appeals as his fourth
and fifth points of error on direct appeal. The state appellate
court concluded (1) there was no error in the admission of
evidence showing petitioner's street gang affiliation and (2)
while it was error to admit the hearsay-within-hearsay evidence
contained in Jessica Garcia's Battered Women's Shelter admission
records, any error in connection with that admission was harmless
because there was ample evidence, including petitioner's fatal
assault upon Jessica, establishing petitioner's pattern of abusive
conduct toward Jessica and there was also ample evidence
supporting the jury's affirmative answer to the future
dangerousness capital sentencing special issue. Garcia v. State,
126 S.W.3d at 925-28.
Petitioner did not present his “cumulative
error” claim to the state courts in either his direct appeal or
state habeas corpus proceeding. However, respondent does not raise
petitioner's failure to exhaust state remedies as a basis for
denying petitioner's cumulative error claim.
C. AEDPA Analysis
1. Double Hearsay Within Battered Women's
Shelter Records
The state appellate court concluded the
erroneous admission of business records from the Bexar County
Battered Women's Shelter showing Jessica Garcia had sought
assistance from that facility in December 1994, after she was
physically and emotionally abused by petitioner, was harmless in
light of the other evidence properly admitted, including the
testimony of the San Antonio Police Officer who transported
Jessica to the Battered Women's Shelter in December 1994. Garcia
v. State, 126 S.W.3d at 927-28. In the course of reviewing state
criminal convictions in federal habeas corpus proceedings, a
federal court does not sit as a super-state appellate court.
Estelle v. McGuire, 502 U.S. at 67-68, 112 S.Ct. at 480; Lewis v.
Jeffers, 497 U.S. at 780, 110 S.Ct. at 3102; Pulley v. Harris, 465
U.S. at 41, 104 S.Ct. at 874. When a federal district court
reviews a state prisoner's habeas petition pursuant to 28 U.S.C. §
2254 it must decide whether the petitioner is “in custody in
violation of the Constitution or laws or treaties of the United
States.” The court does not review a judgment, but the lawfulness
of the petitioner's custody simpliciter. Coleman v. Thompson, 501
U.S. at 730, 111 S.Ct. at 2554.
A federal court may grant habeas relief based
on an erroneous state court evidentiary ruling only if the ruling
violates a specific federal constitutional right or is so
egregious it renders the petitioner's trial fundamentally unfair.
Goodrum v. Quarterman. 547 F.3d 249, 261 (5th Cir.2008), cert.
denied, --- U.S. ----, 129 S.Ct. 1612, 173 L.Ed.2d 1000 (2009);
Brown v. Dretke, 419 F.3d 365, 376 (5th Cir.2005), cert. denied,
546 U.S. 1217, 126 S.Ct. 1434, 164 L.Ed.2d 137 (2006). Thus, the
question before this Court is not whether the state trial court
properly applied state procedural rules but, rather, whether
petitioner's federal constitutional rights were violated by the
state trial court's finding of harmless error in the admission of
the hearsay-within-hearsay contained in the Battered Women's
Shelter's records in question. See Bigby v. Dretke, 402 F.3d 551,
563 (5th Cir.) (holding federal habeas review of a state court's
evidentiary ruling focuses exclusively on whether the ruling
violated the federal Constitution), cert. denied, 546 U.S. 900,
126 S.Ct. 239, 163 L.Ed.2d 221 (2005).
Petitioner's Confrontation Clause complaint is
likewise subject to harmless error analysis. See Delaware v. Van
Arsdall, 475 U.S. 673, 680-84, 106 S.Ct. 1431, 1436-38, 89 L.Ed.2d
674 (1986) (holding violation of the Confrontation Clause properly
subject to harmless error analysis); United States v. Stalnaker,
571 F.3d 428, 434 (5th Cir.2009) (Confrontation Clause violations
are subject to harmless error analysis). The federal standard for
harmless error, which this Court must apply in the context of a
federal habeas corpus proceeding, is whether the error had a
substantial and injurious effect on the jury's verdict. See Brecht
v. Abrahamson, 507 U.S. 619, 637, 113 S.Ct. 1710, 1722, 123 L.Ed.2d
353 (1993) (holding the test for harmless error in a federal
habeas corpus action brought by a state prisoner is “whether the
error had substantial and injurious effect or influence in
determining the jury's verdict”).
The state appellate court correctly concluded
there was ample evidence to support the jury's affirmative answer
to the future dangerousness special issue, as well as a plethora
of evidence that established petitioner's history of abusive
conduct toward his wife. During the guilt-innocence phase of
petitioner's capital murder trial, petitioner's jury heard
petitioner's written statement read into evidence. In his
statement, petitioner admitted that the night before the fatal
shootings, he and Jessica had a violent confrontation during which
he struck Jessica and shook her until their children began to cry.
FN37 Petitioner also admitted in his statement that (1) upon
returning home the morning of the murders, he grabbed his wife and
pulled her inside the house and (2) after fatally shooting officer
Garza, he fatally shot Jessica while she was kneeling on the
floor.FN38 The jury also heard testimony from multiple witnesses
that, when he arrived at the Garcia residence, petitioner grabbed
Jessica violently and dragged her back inside the house. FN39
Jessica's autopsy revealed she had been shot three times, the last
two likely when she was already lying face down on the floor.FN40
FN37. State Exhibit no. 115; S.F. Trial, Volume
20, testimony of Thomas Matjeka, at pp. 192-93. FN38. S.F. Trial,
Volume 20, testimony of Thomas Matjeka, at pp. 195-98. FN39. S.F.
Trial, Volume 17, testimony of Sylvia Duran, at p. 92; Volume 20,
testimony of John Luna, at p. 20. FN40. S.F. Trial, Volume 18,
testimony of Dr. Robert C. Bux, at pp. 95-111.
During the punishment phase of petitioner's
capital murder trial, one of Jessica's co-workers testified on
different occasions she witnessed (1) choke marks on Jessica's
neck, (2) Jessica with a busted lip and bruises, and (3) only a
few months before the fatal shooting, Jessica's hair, in which
Jessica took great pride, cut very short. FN41. S.F. Trial, Volume
23, testimony of Gloria Mireles, at pp. 25-28.
Given the record then-before petitioner's jury,
this Court independently concludes the erroneous admission of
hearsay-within-hearsay information contained within the records
from the Bexar County Battered Women's Shelter (indicating Jessica
had sought assistance from that facility several years before the
date of the fatal shooting following acts of physical abuse
perpetrated against her by petitioner) had no substantial and
injurious effect or influence in determining the jury's verdict
during the punishment phase of petitioner's capital murder trial.
Thus, there was nothing objectively unreasonable, in light of
clearly established federal law and the evidence then before the
state court, with the state appellate court's conclusion of
harmless error. Furthermore, admission of the hearsay-within-hearsay
information in question did not render the punishment phase of
petitioner's capital murder trial fundamentally unfair. Finally,
the admission of hearsay during the punishment phase of a capital
trial does not, standing alone, implicate Confrontation Clause
concerns. See United States v. Fields, 483 F.3d 313, 325-38 (5th
Cir.2007) (holding the Confrontation Clause does not apply to
complaints about the admission of hearsay evidence during the
punishment phase of a federal capital trial), cert. denied, 552
U.S. 1144, 128 S.Ct. 1065, 169 L.Ed.2d 814 (2008).
2. Evidence of Gang Affiliation
Petitioner complains the prosecution was
permitted to introduce evidence showing petitioner had informed a
police officer in 1992 that he (petitioner) was a member of a
street gang named the “Angels of Sin.” The state appellate court
found admission of this testimony was relevant to show
petitioner's bad character because the prosecution proved not
merely the petitioner's membership in the gang but also the gang's
violent and illegal activities. Garcia v. State, 126 S.W.3d at
928.
Petitioner does not identify any specific
federal constitutional procedural guarantee that was violated by
virtue of the admission of this testimony, other than the First
Amendment right recognized in by the Supreme Court in Dawson v.
Delaware, 503 U.S. 159, 112 S.Ct. 1093, 117 L.Ed.2d 309 (1992). In
Dawson v. Delaware, the Supreme Court specifically held that it is
proper for a capital sentencing jury to consider evidence of the
defendant's racial intolerance and subversive advocacy where such
evidence is relevant to the issues before the jury. Dawson v.
Delaware, 503 U.S. at 164-65, 112 S.Ct. at 1097. The particular
evidence in that case, however, i.e., Dawson's membership in the
Aryan Brotherhood, was unaccompanied by any showing Dawson's
capital offense was racially motivated or in anyway endorsed by
the Aryan Brotherhood and was not relevant to rebut any mitigating
evidence proffered by the defense. Therefore, the Supreme Court
concluded the evidence was irrelevant to any issue before the
sentencing jury. Id., 503 U.S. at 166-67, 112 S.Ct. at 1098-99.
The Supreme Court took great pains in Dawson, however, to explain
that the Constitution does not erect a per se barrier to the
admission of evidence concerning one's beliefs and associations at
sentencing simply because those beliefs and associations are
protected by the Constitution. Id., 503 U.S. at 165, 112 S.Ct. at
1097. The constitutional flaw in the prosecution's reliance on
Dawson's membership in the Aryan Brotherhood, the Supreme Court
explained, was the prosecution's failure to introduce other
evidence tying Dawson's membership to any of the considerations
before the sentencing jury. Id., 503 U.S. at 166-67, 112 S.Ct. at
1097-98. The Supreme Court also expressly recognized
“associational evidence might serve a legitimate purpose in
showing that a defendant represents a future danger to society.”
Id., 503 U.S. at 166, 112 S.Ct. at 1098.
In contrast to the circumstances of Dawson,
evidence of petitioner's membership in the Angels of Sin was
combined with testimony from a veteran police officer familiar
with gang activities during the time petitioner professed
membership in that gang, that established the Angels of Sin was a
violent street gang engaged in drug dealing, aggravated assaults,
auto theft, and numerous drive-by shootings targeting a rival gang
on neighboring soil. FN42 Under such circumstances, the
constitutional defect found in Dawson was absent from petitioner's
trial. Admission of the testimony establishing petitioner's
professed membership in a violent street gang in 1992 did not
render the punishment phase of petitioner's capital trial
fundamentally unfair. There was, therefore, no constitutional
error in the admission of the testimony regarding petitioner's
gang affiliation. Fuller v. Johnson, 114 F.3d 491, 498 (5th Cir.)
(evidence a defendant was a member of a violent gang that had
committed unlawful acts, including homicides, multiple stabbings,
drug dealing, and aggravated assaults was relevant to the jury's
answer to the future dangerousness special issue and did not
violate the defendant's First Amendment rights under Dawson ),
cert. denied, 522 U.S. 963, 118 S.Ct. 399, 139 L.Ed.2d 312 (1997).
FN42. S.F. Trial, Volume 23, testimony of John Schiller, at pp.
31-37.
Moreover, this Court independently concludes
the admission of the testimony by Officer Schiller identifying
petitioner as a member of a violent street gang in 1992, even if
constitutionally erroneous, did not have a substantial and
injurious effect or influence in determining the jury's verdict at
the punishment phase of petitioner's capital murder trial.
Petitioner was convicted on overwhelming evidence of fatally
shooting a uniformed San Antonio Police Officer. Equally
overwhelming evidence established petitioner fatally shot his own
wife, wounded another individual with a firearm, and shot up his
entire neighborhood, including a nearby elementary school while
school was in session. Petitioner's propensity for future violence
was firmly established by his numerous violent actions on the
morning of the murders in question and not rebutted by any
evidence showing petitioner had ever expressed any remorse for his
crimes.
3. Cumulative Error
Petitioner argues his constitutional rights
were violated by the cumulative effect of the allegedly erroneous
admission of his gang affiliation and Jessica's efforts years
before to seek assistance from the Battered Women's Shelter.
However, as explained above, admission of the testimony in
question did not deprive petitioner of any specific federal
constitutional right or of a fundamentally fair state capital
punishment hearing. Moreover, this Court has independently
concluded that any error in the admission of either of these bits
of evidence was harmless. Accordingly, there is simply no harm to
cumulate. Derden v. McNeel, 978 F.2d 1453, 1458 (5th Cir.1993),
cert. denied, 508 U.S. 960, 113 S.Ct. 2928, 124 L.Ed.2d 679
(1993). This Court independently concludes petitioner's cumulative
error claim does not warrant federal habeas corpus relief, even
when reviewed under a do novo standard.
D. Conclusions
The state appellate court's rejections on the
merits of petitioner's complaints about the admission of the
double hearsay within the Battered Women's Shelter's record and of
Officer Schiller's testimony regarding petitioner's professed
membership in the violent street gang known as the Angels of Sin
were neither contrary to, nor involved an unreasonable application
of, clearly established federal law, as determined by the Supreme
Court of the United States, nor were they based on an unreasonable
determination of the facts in light of the evidence presented in
the petitioner's state trial or direct appeal. Petitioner's
cumulative error claim does not warrant federal habeas relief
because any trial court error in connection with the admission of
the evidence in question was harmless, at best.
VI. Ineffective Assistance by Trial Counsel
A. The Claim
Petitioner argues in his fifth claim herein
that his trial counsel rendered ineffective assistance by failing
to adequately investigate, develop, and present potentially
mitigating evidence, including evidence of petitioner's mental
retardation and mental defects. Second Amended Petition, at pp.
91-111.
B. State Court Disposition
Petitioner presented this same claim as his
eleventh, twelfth, and twenty-first claims in his state habeas
corpus application. As was explained at length in Section III.B.
above, the state habeas trial court held an evidentiary hearing
and heard testimony regarding this aspect of petitioner's state
habeas claims. However, the state habeas trial court concluded, in
an eminently reasonable manner, (1) petitioner's trial counsel
extensively investigated petitioner's background and mental health,
consulted with a mental health expert who had examined petitioner,
and made a reasonable decision not to present psychological
mitigating evidence because to do would have necessarily meant
introducing double-edged evidence, (2) petitioner presented no
evidence showing either that petitioner was mentally retarded or
that any other, undiscovered, potentially mitigating, evidence was
available at the time of petitioner's trial, and (3) petitioner
had failed to satisfy either prong of the applicable Strickland v.
Washington standard.FN43 The Texas Court of Criminal Appeals
adopted these conclusions when it denied petitioner's state habeas
corpus application. Ex parte Frank M. Garcia, 2007 WL 1783194 (Tex.Crim.App.
June 20, 2007). FN43. State Habeas Transcript, at pp. 220-22.
C. AEDPA Analysis
1. The Constitutional Standard of Review
The constitutional standard for determining
whether a criminal defendant has been denied the effective
assistance of trial counsel, as guaranteed by the Sixth Amendment,
was announced by the Supreme Court in Strickland v. Washington,
466 U.S. 668, 687, 104 S.Ct. 2052, 2064, 80 L.Ed.2d 674 (1984): A
convicted defendant's claim that counsel's assistance was so
defective as to require reversal of a conviction or death sentence
has two components. First, the defendant must show that counsel's
performance was deficient. This requires showing that counsel made
errors so serious that counsel was not functioning as the
“counsel” guaranteed the defendant by the Sixth Amendment. Second,
the defendant must show that the deficient performance prejudiced
the defense. This requires showing that counsel's errors were so
serious as to deprive the defendant of a fair trial, a trial whose
result is reliable.
To satisfy the first prong of Strickland, i.e.,
establish that his counsel's performance was constitutionally
deficient, a convicted defendant must show that counsel's
representation “fell below an objective standard of reasonableness.”
Wiggins v. Smith, 539 U.S. 510, 521, 123 S.Ct. 2527, 2535, 156
L.Ed.2d 471 (2003); Williams v. Taylor, 529 U.S. 362, 390-91, 120
S.Ct. 1495, 1511, 146 L.Ed.2d 389 (2000). In so doing, a convicted
defendant must carry the burden of proof and overcome a strong
presumption that the conduct of his trial counsel falls within a
wide range of reasonable professional assistance. Strickland v.
Washington, 466 U.S. at 687-91, 104 S.Ct. at 2064-66. Courts are
extremely deferential in scrutinizing the performance of counsel
and make every effort to eliminate the distorting effects of
hindsight. See Wiggins v. Smith, 539 U.S. at 523, 123 S.Ct. at
2536 (holding the proper analysis under the first prong of
Strickland is an objective review of the reasonableness of
counsel's performance under prevailing professional norms, which
includes a context-dependent consideration of the challenged
conduct as seen from the perspective of said counsel at the time).
It is strongly presumed counsel rendered adequate assistance and
made all significant decisions in the exercise of reasonable
professional judgment. Strickland v. Washington, 466 U.S. at 690,
104 S.Ct. at 2066.
To satisfy the “prejudice” prong, a convicted
defendant must establish a reasonable probability that, but for
the objectively unreasonable misconduct of his counsel, the result
of the proceeding would have been different. Wiggins v. Smith, 539
U.S. at 534, 123 S.Ct. at 2542; Strickland v. Washington, 466 U.S.
at 694, 104 S.Ct. at 2068. A reasonable probability is a
probability sufficient to undermine confidence in the outcome of
the proceeding. Id. In evaluating prejudice, a federal habeas
court must re-weigh the evidence in aggravation against the
totality of available mitigating evidence. Wiggins v. Smith, 539
U.S. at 534, 123 S.Ct. at 2542.
In evaluating petitioner's complaints about the
performance of his counsel under the AEDPA, the issue before this
Court is whether the Texas Court of Criminal Appeals could
reasonably have concluded petitioner's complaints about his trial
counsel's performance failed to satisfy either prong of the
Strickland analysis. Schaetzle v. Cockrell, 343 F.3d 440, 444 (5th
Cir.2003), cert. denied, 540 U.S. 1154, 124 S.Ct. 1156, 157 L.Ed.2d
1050 (2004). In making this determination, this Court must
consider the underlying Strickland standard. Id. In those
instances in which the state courts failed to adjudicate either
prong of the Strickland test, this Court's review of the
unadjudicated prong is de novo. See Rompilla v. Beard, 545 U.S.
374, 390, 125 S.Ct. 2456, 2467, 162 L.Ed.2d 360 (2005) (holding de
novo review of the prejudice prong of Strickland was required
where the state courts rested their rejection of an ineffective
assistance claim on the deficient performance prong and never
addressed the issue of prejudice); Wiggins v. Smith, 539 U.S. at
534, 123 S.Ct. at 2542 (holding the same).
2. Burden to Overcome Presumption of
Reasonableness
A habeas petitioner has the burden to prove
both prongs of the Strickland ineffective assistance standard by a
preponderance of the evidence. Montoya v. Johnson, 226 F.3d 399,
408 (5th Cir.2000), cert. denied, 522 U.S. 1067 (2001). Under the
well-settled Strickland standard, the Supreme Court recognizes a
strong presumption that counsel rendered adequate assistance and
made all significant decisions in the exercise of reasonable
professional judgment. Bell v. Cone, 535 U.S. at 698, 122 S.Ct. at
1852; Strickland v. Washington, 466 U.S. at 690, 104 S.Ct. at
2066. Furthermore, under the AEDPA, in order to obtain federal
habeas relief on an ineffective assistance claim rejected on the
merits by a state court, the petitioner must do more than convince
the federal court that the state court applied Strickland
incorrectly-the petitioner must show that the state court applied
Strickland to the facts of his case in an objectively unreasonable
manner. Bell v. Cone, 535 U.S. at 699, 122 S.Ct. at 1852.
The fundamental analytical problem with
petitioner's complaint of ineffective assistance by his trial
counsel in this cause is the fact petitioner failed to present the
state habeas court with any evidence suggesting there was anything
objectively unreasonable about the failure of petitioner's trial
counsel to present evidence showing petitioner was mentally
retarded or otherwise suffered from any mental defect. Petitioner
did not present the state habeas court with any testimony, expert
reports, medical records, school records, or other evidence
showing petitioner had ever been diagnosed as mentally retarded or
as having any recognized mental defect. While petitioner's sister
did suggest petitioner struggled academically and was placed in
Special Education classes while in school, she failed to elaborate
on the basis for that assignment. Students are placed in Special
Education programs for many reasons unrelated to their
intellectual functioning level, including vision and hearing
impairments, physical handicaps, speech impediments, and a host of
learning disabilities such as dyslexia. Thus, petitioner's
purported assignment to Special Education classes does not,
standing alone, furnish any basis for a finding petitioner was
ever diagnosed as mentally retarded.
Moreover, attorney Michael C. Gross,
petitioner's former lead trial counsel, testified the defense
team's mental health expert, Dr. Jack Ferrell, examined petitioner
and reported to defense counsel that petitioner's IQ was within
the normal range. Petitioner offered the state habeas court no
evidence suggesting there was any deficiency in Dr. Ferrell's
analysis of petitioner's IQ prior to petitioner's trial.
Petitioner did not call Dr. Ferrell to testify during petitioner's
state habeas corpus hearing or otherwise challenge the
reasonableness of Dr. Ferrell's clinical findings or professional
opinions. Nor did petitioner offer the state habeas court any
other expert opinion testimony suggesting petitioner was
displaying significantly sub-average intellectual functioning
prior to petitioner's capital murder trial. Attorney Gross also
testified without contradiction during the state habeas hearing
(1) he had no difficulty communicating with petitioner, whom Gross
testified communicated “extremely well,” (2) the defense team
interviewed fifty-to-sixty persons who knew petitioner but found
“zero evidence” suggesting petitioner was mentally retarded or
suffered from any other mental defect, (3) Dr. Ferrell opined that
petitioner was remorseless, cold-blooded, and possessed an anti-social
personality, (4) there was no evidence suggesting petitioner had
been the victim of an abused or neglected childhood, and (5) based
upon the foregoing facts, the defense chose not to present any
psychologically-based mitigating evidence.FN44 Thus, petitioner
presented the state habeas court with no evidence sufficient to
overcome the presumption that the actions of petitioner's trial
counsel in not presenting mitigating evidence of petitioner's
allegedly low intellectual functioning was anything other
objectively reasonable given the information available to said
counsel at the time of petitioner's capital murder trial. Absent
some showing that a counsel's subjective decision-making was
objectively unreasonable in view of the information and evidence
available to said counsel, it is virtually impossible for a habeas
corpus petitioner to overcome the presumption of reasonableness
afforded his counsel's strategic and tactical decisions under
Strickland. See Gutierrez v. Dretke, 392 F.Supp.2d 802, 875-76 (W.D.Tex.2005),
CoA denied, 201 Fed. Appx. 196, 2006 WL 2711967 (5th Cir.
September 21, 2006) (recognizing the burden on a habeas petitioner
asserting a Wiggins claim includes demonstrating that, in light of
the potentially mitigating evidence and information available at
the time of trial, his trial counsel's efforts to investigate,
develop, and present potentially mitigating evidence were
objectively unreasonable), cert. denied, 549 U.S. 1227, 127 S.Ct.
1297, 167 L.Ed.2d 112 (2007). FN44. State Habeas Hearing,
testimony of Michael C. Gross, at pp. 24-29, 32, 34, 40-42, 47-49.
It is absolutely essential a habeas petitioner
asserting an ineffective assistance claim, arising from deficient
performance not manifested on the face of the trial or appellate
record, develop and present the state habeas court with evidence
establishing the objective unreasonableness of his trial counsel's
performance in light of the circumstances as they existed at the
time of the petitioner's trial. Id. This necessarily requires
inquiry into the quality of said trial counsel's subjective
thought processes and the objective reasonableness of same. See
Moore v. Quarterman, 526 F.Supp.2d at 694-96 (holding inquiry into
the subjective thought process of trial counsel was necessary to
support non-record-based ineffective assistance claims).
While petitioner presented the state habeas
court with a “non-record” ineffective assistance claim, i.e., a
claim asserting his counsel failed to present mitigating evidence
regarding petitioner's alleged mental retardation at the time of
petitioner's capital trial, petitioner failed to present the state
habeas court with any evidence showing, in fact, there was any
potentially mitigating evidence available at the time of
petitioner's capital murder trial that petitioner's trial counsel
could have presented to petitioner's capital sentencing jury to
prove petitioner was mentally retarded or mentally deficient. The
record before the state habeas court established Dr. Ferrell
examined petitioner and concluded petitioner was not mentally
retarded but of “normal intelligence.” Petitioner presented the
state habeas court with no evidence showing petitioner's trial
counsel acted unreasonably in relying upon Dr. Ferrell's
conclusions.
3. No Deficient Performance
A trial counsel's failure to investigate,
develop, and present mitigating evidence can rise to the level of
ineffective assistance. However, the appropriate standard for
reviewing such a claim requires examination of the objective
reasonableness of trial counsel's strategic and tactical decision-making
in light of the information known or otherwise available to said
counsel. Wiggins v. Smith, 539 U.S. at 523, 123 S.Ct. at 2536. It
is strongly presumed counsel rendered adequate assistance and made
all significant decisions in the exercise of reasonable
professional judgment. Strickland v. Washington, 466 U.S. at 690,
104 S.Ct. at 2066. As was explained at length above, during
petitioner's state habeas hearing, petitioner's former lead trial
counsel testified, without contradiction, that (1) the defense
team's initial plan was to present a psychological defense but,
after the defense's forensic psychologist examined petitioner,
that option “did not pan out,” (2) the defense's forensic
psychologist concluded petitioner's IQ was “normal,” (3) he had
worked with the defense's mental health expert, Dr. Jack Ferrell,
previously and had every confidence in Dr. Ferrell's opinion, (4)
Dr. Ferrell concluded petitioner's IQ was not something the
defense could employ in mitigation at the punishment phase of
trial, (5) he reviewed petitioner's school and employment records
and was unable to develop any evidence support a finding of mental
retardation or an insanity defense, (6) the defense team
interviewed between fifty and sixty persons who knew petitioner
but were unable to find anyone who could testify petitioner
displayed deficits in adaptive behavior while growing up, (7) none
of petitioner's family members offered anything of a mitigating
nature regarding petitioner's childhood, (8) he had no difficulty
communicating with petitioner or getting information from
petitioner, who communicated “extremely well,” (9) petitioner's
whole family told him petitioner had no problems in school, (10)
none of petitioner's family ever told him petitioner had been in
Special Education classes, (11) petitioner's family described
petitioner's childhood as normal, (12) Dr. Ferrell expressed
opinions regarding petitioner that were double-edged in nature,
such as his opinions that petitioner was remorseless, cold-blooded,
and possessed an antisocial personality, (13) some members of
petitioner's family had given interviews with the news media after
the shootings in which they described their own fear of petitioner,
(14) he never found any evidence suggesting petitioner suffered an
abused or neglected childhood, and (15) there was no evidence
petitioner was unable to perform his job. FN45. S.F. State Habeas
Hearing, testimony of Michael C. Gross, at pp. 21-50.
Equally significant is the fact petitioner made
no showing during his state habeas hearing that there was any
evidence available at the time of petitioner's trial to show
either (1) petitioner was mentally retarded, i.e., displayed
significantly sub-average intellectual functioning and had
demonstrated significant deficiencies in any adaptive behavior
areas prior to age eighteen, (2) petitioner suffered from any
other mental defect, or (3) showing there was any evidence
available at the time of trial to show petitioner had suffered an
abused or neglected childhood. Petitioner's trial counsel
testified without contradiction during petitioner's state habeas
hearing that the defense team had obtained the assistance of a
qualified mental health professional who examined and evaluated
petitioner prior to trial and concluded (1) petitioner's IQ was
normal and would not furnish a basis for mitigation and (2)
petitioner was a remorseless, cold-blooded, anti-social
personality. Petitioner offered the state habeas court no evidence
suggesting there was anything professionally deficient or
otherwise erroneous about Dr. Ferrell's opinions regarding
petitioner's intellectual capabilities or petitioner's lack of
remorse for his offenses. Nor did petitioner show the state habeas
court any other mental health professionals were available at the
time of petitioner's trial who could have given expert opinions
more helpful in mitigation than Dr. Ferrell's double-edged
opinions. Petitioner offered the state habeas court no evidence
suggesting there was anything objectively unreasonable with the
decision by petitioner's trial counsel not to pursue further
evidence regarding petitioner's mental health or intelligence
level.
Under such circumstances, there was nothing
objectively unreasonable with the decision of petitioner's trial
counsel not to further investigate, develop, or present
psychologically-based mitigating evidence, which necessarily would
have opened the door to testimony addressing the double-edged
nature of Dr. Ferrell's opinions. See Martinez v. Quarterman, 481
F.3d 249, 254-58 (5th Cir.2007) (strategic decision not to further
investigate or present evidence suggesting the defendant had
committed the offense during the course of a temporal lobe
epileptic seizure was objectively reasonable where such a tactic
would necessarily have disclosed double-edged evidence showing the
defendant suffered from a mental disorder which caused savage and
uncontrolled aggressiveness), cert. denied, --- U.S. ----, 128
S.Ct. 1072, 169 L.Ed.2d 816 (2008). It has long been recognized in
this Circuit that a tactical decision not to pursue and present
potentially mitigating evidence on the grounds it is double-edged
in nature is objectively reasonable and, therefore, does not
amount to deficient performance. St. Aubin v. Quarterman, 470 F.3d
at 1103; Hopkins v. Cockrell, 325 F.3d 579, 586 (5th Cir.), cert.
denied, 540 U.S. 968, 124 S.Ct. 430, 157 L.Ed.2d 314 (2003);
Foster v. Johnson, 293 F.3d 766, 778-79 (5th Cir.), cert. denied,
537 U.S. 1054, 123 S.Ct. 625, 154 L.Ed.2d 532 (2002); Rector v.
Johnson, 120 F.3d 551, 564 (5th Cir.1997), cert. denied, 522 U.S.
1120, 118 S.Ct. 1061, 140 L.Ed.2d 122 (1998). The state habeas
court acted in a reasonable manner when it concluded petitioner
had failed to satisfy the initial prong of the Strickland test.
4. No Prejudice
Finally, petitioner failed to present the state
habeas court with any evidence showing that, but for the failure
of his trial counsel to undertake a more thorough investigation
into petitioner's intelligence and mental health, additional
mitigating evidence might have been developed and become available
for presentation at the punishment phase of petitioner's capital
murder trial. As was explained in detail above, petitioner
presented the state habeas court with no evidence showing
petitioner had ever been diagnosed as mentally retarded, had ever
tested below the normal range on a standardized IQ testing
instrument, or had been identified as displaying significant
deficiencies in adaptive behavior prior to age eighteen. Nor did
petitioner present the state habeas court with any testimony,
medical or school records, or other evidence available at the time
of petitioner's capital trial showing petitioner suffered from any
recognized mental defect. See Anderson v. Collins, 18 F.3d 1208,
1221 (5th Cir.1994) (holding absent a specific, affirmative
showing of precisely what evidence or testimony was rendered
unavailable due to a trial counsel's failure to investigate,
develop, and present same, i.e., a showing of exactly what the
missing evidence or testimony would have been, a court cannot even
begin to apply the Strickland analysis because it is very
difficult to determine whether the defendant was prejudiced by any
such deficiencies in counsel's performance). Petitioner failed to
present any evidence to the state habeas court showing that, but
for the failure of his trial counsel to undertake a more thorough
investigation into petitioner's background, intelligence, or
mental health, additional mitigating evidence would have been
available for introduction at the punishment phase of petitioner's
capital murder trial.
The evidence before the jury during the
punishment phase of petitioner's trial included not merely
petitioner's written statement confessing to his having fatally
shot both Officer Garza and petitioner's wife, but compelling
eyewitness testimony establishing (1) petitioner also fired at
others with a high-powered weapon that same morning, (2)
petitioner fired at and struck John Luna in the leg as Luna
attempted to flee the scene, (3) petitioner's rampage caused
considerable damage to Luna's automobile parked outside the Garcia
residence, as well as to the same Bill Miller truck petitioner had
driven to the scene, and (4) petitioner's gunfire also left a hole
in a window screen and numerous indentations in the front doors of
a nearby elementary school. Following the murders, petitioner's
demeanor was described by law enforcement personnel as “cocky,” “arrogant,”
and “very calm.” FN46 To this date, there is no evidence
suggesting petitioner has ever expressed any remorse for his
capital offense. FN46. S.F. Trial, Volume 19, testimony of Robert
Carter, at p. 119; Volume 20, testimony of Thomas Matjeka, at pp.
182, 187. The state habeas court acted in an eminently reasonable
manner when it concluded there was no reasonable probability that,
but for the failure of petitioner's trial counsel to more fully
investigate, develop, and present evidence of petitioner's mental
health and intelligence level, the outcome of the punishment phase
of petitioner's capital murder trial would have been any different.
D. Conclusions
The Texas Court of Criminal Appeals' conclusion
in the course of petitioner's state habeas corpus proceeding that
petitioner's complaint about the failure of his trial counsel to
more fully investigate, develop, and present mitigating evidence
regarding petitioner's mental health and intelligence level failed
to satisfy either prong of the Strickland test was neither
contrary to, nor involved an unreasonable application of, clearly
established federal law, as determined by the Supreme Court of the
United States, nor was it based on an unreasonable determination
of the facts in light of the evidence presented in the
petitioner's state trial or direct appeal.
VII. Juror Bias & Ineffective Assistance by
Appellate Counsel
A. The Claims
Petitioner argues in his fourth claim herein
that his state appellate counsel rendered ineffective assistance
by failing to present a point of error on direct appeal
challenging the state trial court's failure to exclude a biased
juror from service on petitioner's jury. More specifically,
petitioner argues juror Maria Esparza was biased and unqualified
and should have been excluded. Petitioner argues Esparza's
presence on his petit jury deprived him of a fair trial because
Esparza stated during her voir dire examination that she had
formed the opinions the petitioner was guilty and a violent person
from media reports about the incident in question.
B. Failure to Exhaust Available State Court
Remedies
Petitioner did not “fairly present” either of
his complaints about Esparza's alleged bias or the failure of
petitioner's appellate counsel to raise a point of error
complaining about same to the state courts on direct appeal or in
the course of petitioner's state habeas corpus proceeding.
C. Procedural Default
Respondent correctly points out petitioner has
procedurally defaulted on both his ineffective appellate
assistance and biased juror claims by failing to present same to
the appropriate state courts.
1. The Duty to Exhaust Available State
Remedies
Before seeking federal habeas corpus relief, a
state prisoner must exhaust available state remedies, thereby
giving the state the opportunity to pass upon and correct alleged
violations of its prisoners' federal rights. Baldwin v. Reese, 541
U.S. 27, 29, 124 S.Ct. 1347, 1349, 158 L.Ed.2d 64 (2004);
O'Sullivan v. Boerckel, 526 U.S. 838, 842, 119 S.Ct. 1728, 1731,
144 L.Ed.2d 1 (1999); Duncan v. Henry, 513 U.S. 364, 365, 115 S.Ct.
887, 888, 130 L.Ed.2d 865 (1995); Picard v. Connor, 404 U.S. 270,
275, 92 S.Ct. 509, 512, 30 L.Ed.2d 438 (1971); 28 U.S.C. §
2254(b)(1). To provide the state with this necessary “opportunity,”
the prisoner must “fairly present” his claim to the appropriate
state court in a manner that alerts that court to the federal
nature of the claim. See Baldwin v. Reese, 541 U.S. at 29-32, 124
S.Ct. at 1349-51 (rejecting the argument that a petitioner “fairly
presents” a federal claim, despite failing to give any indication
in his appellate brief of the federal nature of the claim through
reference to any federal source of law, when the state appellate
court could have discerned the federal nature of the claim through
review of the lower state court opinion); O'Sullivan v. Boerckel,
526 U.S. at 844-45, 119 S.Ct. at 1732-33 (holding comity requires
that a state prisoner present the state courts with the first
opportunity to review a federal claim by invoking one complete
round of that state's established appellate review process); Gray
v. Netherland, 518 U.S. 152, 162-63, 116 S.Ct. 2074, 2081, 135
L.Ed.2d 457 (1996) (holding that, for purposes of exhausting state
remedies, a claim for federal relief must include reference to a
specific constitutional guarantee, as well as a statement of facts
that entitle the petitioner to relief and rejecting the contention
that the exhaustion requirement is satisfied by presenting the
state courts only with the facts necessary to state a claim for
relief). The exhaustion doctrine is designed to give the state
courts a full and fair opportunity to resolve federal
constitutional claims before those claims are presented to the
federal courts and, thereby, to protect the state courts' role in
the enforcement of federal law and prevent disruption of state
judicial proceedings. Carey v. Saffold, 536 U.S. 214, 220, 122
S.Ct. 2134, 2138, 153 L.Ed.2d 260 (2002); Duncan v. Walker, 533
U.S. 167, 179, 121 S.Ct. 2120, 2128, 150 L.Ed.2d 251 (2001);
O'Sullivan v. Boerckel, 526 U.S. at 845, 119 S.Ct. at 1732; Rose
v. Lundy, 455 U.S. 509, 518-19, 102 S.Ct. 1198, 1203, 71 L.Ed.2d
379 (1982).
Under the AEDPA, federal courts lack the power
to grant habeas corpus relief on unexhausted claims. Kunkle v.
Dretke, 352 F.3d 980, 988 (5th Cir.2003) (“28 U.S.C. § 2254(b)(1)
requires that federal habeas petitioners fully exhaust remedies
available in state court before proceeding in federal court.”),
cert. denied, 543 U.S. 835, 125 S.Ct. 250, 160 L.Ed.2d 56 (2004),;
Riley v. Cockrell, 339 F.3d 308, 318 (5th Cir.2003); Henry v.
Cockrell, 327 F.3d 429, 432 (5th Cir.) (“Absent special
circumstances, a federal habeas petitioner must exhaust his state
remedies by pressing his claims in state court before he may seek
federal habeas relief.”), cert. denied, 540 U.S. 956, 124 S.Ct.
408, 157 L.Ed.2d 293 (2003); Jones v. Jones, 163 F.3d 285, 299
(5th Cir.1998), cert. denied, 528 U.S. 895, 120 S.Ct. 224, 145
L.Ed.2d 188 (1999). However, 28 U.S.C. § 2254(b) (2) empowers a
federal habeas court to deny an exhausted claim on the merits.
Pondexter v. Quarterman. 537 F.3d 511, 527 (5th Cir.2008), cert.
denied, --- U.S. ----, 129 S.Ct. 1544, 173 671, 173 L.Ed.2d 671
(2009). The exhaustion of all federal claims in state court is a
fundamental prerequisite to requesting federal collateral relief
under 28 U.S.C. Section 2254. Wilder v. Cockrell, 274 F.3d 255,
259 (5th Cir.2001); Sterling v. Scott, 57 F.3d 451, 453 (5th
Cir.1995), cert. denied, 516 U.S. 1050, 116 S.Ct. 715, 133 L.Ed.2d
669 (1996); 28 U.S.C. § 2254(b)(1)(A).
In order to “exhaust” available state remedies,
a petitioner must “fairly present” all of his claims to the state
courts. Duncan v. Henry, 513 U.S. 364, 365, 115 S.Ct. 887, 888,
130 L.Ed.2d 865 (1995); Picard v. Connor, 404 U.S. at 270, 275-76,
92 S.Ct. 509, at 512-13, 30 L.Ed.2d 438 (1971); Kunkle v. Dretke,
352 F.3d at 988; Riley v. Cockrell, 339 F.3d at 318; Shute v.
State of Texas, 117 F.3d at 237 (“a habeas petitioner ‘must fairly
apprize the highest court of his state of the federal rights which
were allegedly violated.’ ”). In Texas, the highest state court
with jurisdiction to review the validity of a state criminal
conviction is the Texas Court of Criminal Appeals. Richardson v.
Procunier, 762 F.2d 429, 431-32 (5th Cir.1985).
More simply, the exhaustion doctrine requires
that the petitioner present his federal claim in a manner
reasonably designed to afford the state courts a meaningful
opportunity to address same. The exhaustion requirement is
satisfied when the substance of the federal habeas claim has been
“fairly presented” to the highest state court, i.e., the
petitioner presents his claims before the state courts in a
procedurally proper manner according to the rules of the state
courts. Baldwin v. Reese, 541 U.S. at 29-32, 124 S.Ct. at 1349-51
(holding a petitioner failed to “fairly present” a claim of
ineffective assistance by his state appellate counsel merely by
labeling the performance of said counsel “ineffective,” without
accompanying that label with either a reference to federal law or
a citation to an opinion applying federal law to such a claim);
Moore v. Cain, 298 F.3d 361, 364 (5th Cir.2002), cert. denied, 537
U.S. 1236, 123 S.Ct. 1360, 155 L.Ed.2d 202 (2003). However, the
petitioner need not spell out each syllable of the claim before
the state court for the claim to have been “fairly presented” and
thereby fulfill the exhaustion requirement. Riley v. Cockrell, 339
F.3d at 318; Fisher v. Texas, 169 F.3d 295, 303 (5th Cir.1999).
The presentation of claims for the first time
on discretionary review to the state's highest court does not
constitute “fair presentation” for exhaustion purposes. Castille
v. Peoples, 489 U.S. 346, 351, 109 S.Ct. 1056, 1060, 103 L.Ed.2d
380 (1989); Satterwhite v. Lynaugh, 886 F.2d at 92. Full
exhaustion of all claims presented is required before federal
habeas corpus relief is available. Rose v. Lundy, 455 U.S. 509,
518-22, 103 S.Ct. 1198, 1203-05, 71 L.Ed.2d 379 (1982). The
exhaustion requirement is not met if the petitioner presents new
legal theories or factual claims in his federal habeas petition.
Anderson v. Harless, 459 U.S. 4, 6-7, 103 S.Ct. 276, 277-78, 74
L.Ed.2d 3 (1982); Riley v. Cockrell, 339 F.3d at 318 (“It is not
enough that the facts applicable to the federal claims were all
before the State court, or that the petitioner made a similar
state-law based claim. The federal claim must be the ‘substantial
equivalent’ of the claim brought before the State court.”); Wilder
v. Cockrell, 274 F.3d at 259 (“where petitioner advances in
federal court an argument based on a legal theory distinct from
that relied upon in the state court, he fails to satisfy the
exhaustion requirement”); Finley v. Johnson, 243 F.3d 215, 219
(5th Cir.2001). Likewise, to have “fairly presented” his federal
claim, the petitioner must have reasonably alerted the state
courts to the federal nature of his claim. Wilder v. Cockrell, 274
F.3d at 260 (“A fleeting reference to the federal constitution,
tacked onto the end of a lengthy, purely state-law evidentiary
argument, does not sufficiently alert and afford a state court the
opportunity to address an alleged violation of federal rights.”).
2. Procedural Default on Unexhausted Claims
The Fifth Circuit has consistently held that
federal habeas review on unexhausted claims presented by a
convicted Texas criminal defendant is barred under the procedural
default doctrine. See, e.g., Aguilar v. Dretke, 428 F.3d 526, 533
(5th Cir.2005) (holding the Texas abuse of the writ rule
ordinarily is an adequate and independent procedural ground on
which to base a procedural default ruling), cert. denied, 547 F.3d
1136 (2006); Matchett v. Dretke, 380 F.3d 844, 848 (5th Cir.2004)
(holding the violation of the Texas writ-abuse rule ordinarily
furnishes an adequate and independent procedural ground which bars
federal habeas review of a claim), cert. denied, 543 U.S. 1124,
125 S.Ct. 1067, 160 L.Ed.2d 1074 (2005); Bagwell v. Dretke, 372
F.3d 748, 755-56 (5th Cir.2004) (holding a petitioner procedurally
defaulted by failing to “fairly present” a claim to the state
courts in his state habeas corpus application), cert. denied, 543
U.S. 989, 125 S.Ct. 498, 160 L.Ed.2d 374 (2004); Cotton v.
Cockrell, 343 F.3d 746, 755 (5th Cir.2003) (holding the Texas writ
abuse doctrine is an adequate and independent barrier to federal
habeas review of unexhausted claims), cert. denied, 540 U.S. 1186,
124 S.Ct. 1417, 158 L.Ed.2d 92 (2004).
Section 5 of Article 11.071 of the Texas Code
of Criminal procedure prohibits a successive state habeas corpus
application except in limited circumstances that do not apply to
petitioner's complaints of alleged juror bias or ineffective
assistance by petitioner's appellate counsel. See Art. 11.071, §
5, Tex.Code Crim. Proc. Ann. (Vernon Supp.2006) (barring
consideration on the merits of new claims contained in a
subsequent state habeas corpus application unless either (1) the
new claims could not have been presented in a previous application
because the legal or factual basis for the new claims were
unavailable at the time the previous application was filed; (2) by
a preponderance of the evidence, but for a violation of the United
States Constitution, no rational juror could have found the
applicant guilty beyond a reasonable doubt; or (3) by clear and
convincing evidence, but for a violation of the United States
Constitution, no rational juror would have answered in the state's
favor one or more of the capital sentencing special issues).
Absolutely nothing prevented petitioner from asserting his biased
juror claim in the course of his direct appeal or his complaint of
ineffective assistance during the course of his original state
habeas corpus proceeding. Likewise, petitioner alleges no facts in
this Court and presented the state habeas court with no evidence
that satisfies either of the final two exceptions to the Texas
writ-abuse barrier erected by Section 5 of Article 11.071. On the
contrary, the evidence of petitioner's guilt was overwhelming, as
was the evidence supporting the jury's answers to the petitioner's
capital sentencing special issues.
Nothing in petitioner's appellant's brief or
state habeas corpus application “fairly presented” the Texas Court
of Criminal Appeals with the same federal constitutional arguments
contained in petitioner's fourth claim for relief before this
Court. In short, nothing in petitioner's pleadings in any of his
state court proceedings to date “fairly presented” any state court
with the federal constitutional arguments underlying petitioner's
fourth claim herein. If petitioner were to attempt at this
juncture to return to state court and assert these new federal
constitutional arguments underlying his fourth claim herein in a
successive state habeas application, the applicable provisions of
the Texas writ-abuse statute would preclude him from doing so.
Thus, petitioner failed to exhaust available state remedies on his
fourth claim herein and, thereby, procedurally defaulted on same.
See Hughes v. Dretke, 412 F.3d 582, 594-95 (5th Cir.2005) (holding
petitioner procedurally defaulted on a jury misconduct claim by
presenting the state courts with purely state-law arguments
supporting same and waiting until he reached federal court to
first urge federal constitutional arguments), cert. denied, 546
U.S. 1177, 126 S.Ct. 1347, 164 L.Ed.2d 60 (2006); Beazley v.
Johnson, 242 F.3d 248, 264-68 (5th Cir.2001) (holding petitioner
procedurally defaulted on a claim by failing to present same to
the Texas Court of criminal Appeals either on direct appeal or in
a state habeas corpus application where claim was readily
available at the time petitioner filed his state habeas
application), cert. denied, 534 U.S. 945, 122 S.Ct. 329, 151 L.Ed.2d
243 (2001); Hicks v. Johnson, 186 F.3d 634, 637-38 (5th Cir.1999)
(petitioner procedurally defaulted on an unexhausted claim for
relief), cert. denied, 528 U.S. 1132, 120 S.Ct. 976, 145 L.Ed.2d
844 (2000).
3. Exceptions Inapplicable
The Supreme Court has recognized exceptions to
the doctrine of procedural default where a federal habeas corpus
petitioner can show “cause and actual prejudice” for his default
or that failure to address the merits of his procedurally
defaulted claim will work a “fundamental miscarriage of justice.”
Coleman v. Thompson, 501 U.S. at 750, 109 S.Ct. at 2565; Harris v.
Reed, 489 U.S. 255, 262, 109 S.Ct. 1038, 1043, 103 L.Ed.2d 308
(1989). To establish “cause,” a petitioner must show either that
some objective external factor impeded the defense counsel's
ability to comply with the state's procedural rules or that
petitioner's trial or appellate counsel rendered ineffective
assistance. Coleman v. Thompson, 501 U.S. at 753, 111 S.Ct. at
2566; Murray v. Carrier, 477 U.S. 478, 488, 106 S.Ct. 2639, 2645,
91 L.Ed.2d 397 (1986) (holding that proof of ineffective
assistance by counsel satisfies the “cause” prong of the exception
to the procedural default doctrine). A showing of ineffective
assistance can satisfy the “cause” prong of the “cause and actual
prejudice” exception to the procedural default doctrine. However,
petitioner does not argue or allege any specific facts suggesting
his state appellate counsel's failure to present the same federal
constitutional complaints about the trial court's rulings on the
challenges for cause in question somehow rendered said counsel's
performance ineffective under the standard of Strickland v.
Washington.
In order to satisfy the “miscarriage of justice”
test, the petitioner must supplement his constitutional claim with
a colorable showing of factual innocence. Sawyer v. Whitley, 505
U.S. 333, 335-36, 112 S.Ct. 2514, 2519, 120 L.Ed.2d 269 (1992). In
the context of the punishment phase of a capital trial, the
Supreme Court has held that a showing of “actual innocence” is
made when a petitioner shows by clear and convincing evidence that,
but for constitutional error, no reasonable juror would have found
petitioner eligible for the death penalty under applicable state
law. Sawyer v. Whitley, 505 U.S. at 346-48, 112 S.Ct. at 2523. The
Supreme Court explained in Sawyer v. Whitley this “actual
innocence” requirement focuses on those elements that render a
defendant eligible for the death penalty and not on additional
mitigating evidence that was prevented from being introduced as a
result of a claimed constitutional error. Sawyer v. Whitley, 505
U.S. at 347, 112 S.Ct. at 2523. Petitioner has alleged no specific
facts satisfying this “factual innocence” standard. Because
petitioner has failed to satisfy the “actual innocence” test, he
is not entitled to relief from his procedural defaults under the
fundamental miscarriage of justice exception to the procedural
default doctrine.
D. No Merits
Alternatively, petitioner's federal
constitutional complaints about juror Esparza's alleged bias and
the failure of petitioner's appellate counsel to present a point
of error on direct appeal complaining about same do not present
even an arguable basis for federal habeas relief. The AEDPA
permits this Court to deny relief on the merits, notwithstanding
the failure of the petitioner to exhaust available state court
remedies. 28 U.S.C. § 2254(b)(2).
1. Standard of Review
Because the state courts never addressed the
merits of petitioner's federal constitutional complaints of
ineffective appellate counsel and juror Esparza's alleged bias,
this Court's review of those un-adjudicated claims is necessarily
de novo. See Rompilla v. Beard, 545 U.S. 374, 390, 125 S.Ct. 2456,
2467, 162 L.Ed.2d 360 (2005) (holding de novo review of the
prejudice prong of Strickland was required where the state courts
rested their rejection of an ineffective assistance claim on the
deficient performance prong and never addressed the issue of
prejudice); Wiggins v. Smith, 539 U.S. at 534, 123 S.Ct. at 2542
(holding the same).
2. Biased Juror Claim
a. Esparza's Voir Dire testimony
During her voir dire examination by the
prosecution, venire member Maria Alvina Esparza testified, in
pertinent part, that (1) she had seen television and other media
reports on the shootings and, based upon the little information
she had heard about the case, believed petitioner had shot his
wife and the officer and was a violent person, (2) nonetheless,
she could keep an open mind and wait until she heard the evidence
before making a decision regarding the petitioner's guilt, (3) she
could render a verdict based upon the evidence, (4) she was
uncertain how she would feel about the petitioner's guilt once all
the evidence was in, (5) she could render a verdict based on the
evidence and disregard what she had heard prior to trial, (6) she
understood and could follow the burden of proof and presumption of
innocence as explained by the prosecutor, (7) she understood and
could follow the Fifth Amendment's command protecting the
defendant's right to remain silent at trial, (8) she understood
the concept of evidence beyond a reasonable doubt as explained by
the prosecutor, (9) she understood the capital sentencing special
issues as explained by the prosecutor, and (10) she understood the
need to base a punishment phase verdict on the evidence.FN47
During her examination by defense counsel, Ms. Esparza reiterated
that she would need to hear the evidence before rendering her
verdict and she understood the Fifth Amendment's command.FN48
Petitioner's trial counsel neither sought a challenge for cause
against Esparza nor exercised a peremptory strike against her.FN49
FN47. S.F. Trial, Volume 13, voir dire
examination of Maria Alvina Esparza, at pp. 99-146. FN48. Id., at
pp. 147-58. FN49. Id., at p. 157.
b. Clearly Established Federal Law
In Witherspoon v. Illinois, 391 U.S. 510,
521-23, 88 S.Ct. 1770, 1776-77, 20 L.Ed.2d 776 (1968), the Supreme
Court held that prospective jurors may not be excused from sitting
on a capital jury simply because they voiced general objections to
the death penalty or expressed conscientious or religious scruples
against its infliction. Rather, the Supreme Court held as follows:
The most that can be demanded of a venireman in this regard is
that he be willing to consider all of the penalties provided by
state law, and that he not be irrevocably committed, before the
trial has begun, to vote against the penalty regardless of the
facts and circumstances that might emerge in the course of the
proceedings. Witherspoon v. Illinois, 391 U.S. at 522 n. 21, 88
S.Ct. at 1777 n. 21.
In Adams v. Texas, 448 U.S. 38, 100 S.Ct. 2521,
65 L.Ed.2d 581 (1980), the Supreme Court emphasized the
limitations Witherspoon imposed on the ability of the State to
exclude members of a jury venire from service on a petit capital
jury and directly addressed jury selection in Texas capital murder
trials: a juror may not be challenged for cause based on his views
about capital punishment unless those views would prevent or
substantially impair the performance of his duties as a juror in
accordance with his instructions and his oath. The State may
insist, however, that jurors will consider and decide the facts
impartially and conscientiously apply the law as charged by the
court. Adams v. Texas, 448 U.S. at 45, 100 S.Ct. at 2526.
In Adams, the Supreme Court further discussed
the many practical consequences of its Witherspoon holding: If the
juror is to obey his oath and follow the law of Texas, he must be
willing not only to accept that in certain circumstances death is
an acceptable penalty but also to answer the statutory questions
without conscious distortion or bias. The State does not violate
the Witherspoon doctrine when it excludes prospective jurors who
are unable or unwilling to address the penalty questions with this
degree of impartiality. * * * [A] Texas juror's views about the
death penalty might influence the manner in which he performs his
role but without exceeding the ‘guided jury discretion” permitted
him under Texas law. In such circumstances, he could not be
excluded consistently with Witherspoon. The State could,
consistently with Witherspoon, use § 12.31(b) to exclude
prospective jurors whose views on capital punishment are such as
to make them unable to follow the law or obey their oaths. But the
use of § 12.31(b) to exclude jurors on broader grounds based on
their opinions concerning the death penalty is impermissible. * *
* [N]either nervousness, emotional involvement, nor inability to
deny or confirm any effect whatsoever is equivalent to an
unwillingness or an inability on the part of the jurors to follow
the court's instructions and obey their oaths, regardless of their
feelings about the death penalty. * * * Nor in our view would the
Constitution permit the exclusion of jurors from the penalty phase
of a Texas murder trial if they aver that they will honestly find
the facts and answer the questions in the affirmative if they are
convinced beyond a reasonable doubt, but not otherwise, yet who
frankly concede that the prospects of the death penalty may affect
what their honest judgment of the facts will be or what they may
deem to be a reasonable doubt. * * * [T]he State may bar from jury
service those whose beliefs about capital punishment would lead
them to ignore the law or violate their oaths. Adams v. Texas, 448
U.S. at 46-50, 100 S.Ct. at 2527-29 (citations omitted).
In Wainwright v. Witt, 469 U.S. 412, 105 S.Ct.
844, 83 L.Ed.2d 841 (1985), the Supreme Court further clarified
its holdings in Witherspoon and Adams, holding that the proper
inquiry when faced with a venire member who expresses personal,
conscientious, or religious views on capital punishment is
“whether the juror's views would prevent or substantially impair
the performance of his duties as a juror in accordance with his
instructions and his oath.” Wainwright v. Witt, 469 U.S. at 424,
105 S.Ct. at 852. In Wainwright v. Witt, the Supreme Court also
emphasized that considerable deference is to be given the trial
court's first-hand evaluation of the potential juror's demeanor
and that no particular magical incantation or word choice need
necessarily be followed in interrogating the potential juror in
this regard. Id., 469 U.S. at 430-35, 105 S.Ct. at 855-58. With
these principles in mind, this Court turns to the merits of
petitioner's Witherspoon-Witt claim.
c. Synthesis
The Sixth Amendment guarantees the defendant an
impartial jury and the presence of a biased juror may require a
new trial. Hatten v. Quarterman, 570 F.3d 595, 600 (5th Cir.2009),
cert. filed September 1, 2009 (09-7012). As was explained above, a
juror is biased if his views would prevent or substantially impair
the performance of his duties as a juror in accordance with his
instructions and his oath. Wainwright v. Witt, 469 U.S. at 424,
105 S.Ct. at 852; Hatten v. Quarterman, 570 F.3d at 600.
The Fifth Circuit recognizes three categories
of disqualifying jury bias. Actual bias exists when the juror
failed to answer a material question honestly on voir dire and a
correct response would have provided a valid basis for a challenge
for cause. Hatten v. Quarterman, 570 F.3d at 600; United States v.
Bishop, 264 F.3d 535, 554 (5th Cir.2001), cert. denied, 535 U.S.
1016, 122 S.Ct. 1605, 152 L.Ed.2d 620 (2002); McDonough Power
Equipment, Inc. v. Greenwood, 464 U.S. 548, 556, 104 S.Ct. 845,
850, 78 L.Ed.2d 663 (1984). Alleged bias is ordinarily addressed
in a hearing where the judge examines the juror and obtains
assurances of the juror's impartiality. Hatten v. Quarterman, 570
F.3d at 600; Brooks v. Dretke, 444 F.3d 328, 330 (5th Cir.2006);
Smith v. Phillips, 455 U.S. 209, 217-18, 102 S.Ct. 940, 946, 71
L.Ed.2d 78 (1982). Implied bias arises in a narrow category of
cases in which a juror can be presumed biased. Hatten v.
Quarterman, 570 F.3d at 600; Solis v. Cockrell, 342 F.3d 392,
395-98 (5th Cir.2003), cert. denied, 540 U.S. 1151, 124 S.Ct.
1149, 157 L.Ed.2d 1045 (2004). Petitioner alleges no facts
suggesting Esparza's bias falls within the actual or implied bias
categories. Instead, petitioner merely asserts Esparza's voir dire
answers themselves establish her bias.
Initially, Esparza candidly admitted that,
based upon the meager information about petitioner's offense she
had seen and heard on local media outlets, she had concluded
petitioner was guilty and was a violent person. Nonetheless, she
steadfastly insisted that she could set aside her original
opinions, disregard the information she had seen and heard about
the case, and decide the question of the petitioner's guilt based
solely upon the evidence presented during the trial. In such
cases, the Supreme Court has admonished federal habeas courts to
defer to the state trial judge's determination of a potential
juror's bias based on the trial court's firsthand examination of
the potential juror's demeanor. Uttecht v. Brown, 551 U.S. 1,
17-22, 127 S.Ct. 2218, 2229-31, 167 L.Ed.2d 1014 (2007);
Wainwright v. Witt, 469 U.S. at 430-35, 105 S.Ct. at 855-58. This
Court has carefully reviewed Esparza's voir dire examination in
its entirety and finds nothing unreasonable with the state trial
court's implicit factual determination that Esparza lacked
disqualifying bias under the federal constitutional standard
discussed above.
The state trial court's implicit factual
determination that Esparza lacked disqualifying bias was an
eminently reasonable determination of the facts. Moreover, this
Court's independent, de novo review of Esparza's voir dire
examination reaches the same conclusion under the federal
constitutional standard set forth in Wainwright v. Witt and
recently reiterated in Uttecht v. Brown. See Uttecht v. Brown, 551
U.S. at 17-22, 127 S.Ct. at 2229-31 (emphasizing the need to defer
to the trial court's broad discretion in making implicit factual
findings regarding a potential juror's “substantial impairment”);
Patton v. Yount, 467 U.S. 1025, 1036-37 & n. 12, 104 S.Ct. 2885,
2891 & n. 12, 81 L.Ed.2d 847 (1984) (recognizing that, even in the
pre-AEDPA context, while the question of a venire member's
disqualification is a mixed question of law and fact, a trial
judge's determination regarding a venire member's bias is
essentially a factual determination entitled to deference on
collateral review); Beazley v. Johnson, 242 F.3d 248, 262 (5th
Cir.2001) (recognizing a trial judge's finding of bias during voir
dire is a determination of fact subject to a presumption of
correctness on collateral review), cert. denied, 534 U.S. 945, 122
S.Ct. 329, 151 L.Ed.2d 243 (2001). This Court finds nothing
erroneous with the state trial court's implicit finding that
Esparza possessed no disqualifying bias under applicable federal
law.
d. Conclusions
Petitioner procedurally defaulted on his
federal constitutional challenge to the state trial court's
failure to sua sponte dismiss venire member Esparza for cause by
failing to make a contemporaneous objection (or challenge for
cause), failing to present a point of error on direct appeal, and
failing to present to the state habeas court a claim for relief
premised upon Esparza's alleged bias. This Court's independent, de
novo review of this federal claim yields no basis for federal
habeas corpus relief. Esparza repeatedly asserted she was able to
set aside the information about the case she had previously heard
or seen and render her verdict based solely upon the evidence
presented during trial and the law. This is all the Constitution
required.
3. Ineffective Assistance by State Appellate
Counsel
a. Constitutional Standard of Review
The same two-pronged standard for evaluating
ineffective assistance claims against trial counsel announced in
Strickland applies to complaints about the performance of counsel
on appeal. See Smith v. Robbins, 528 U.S. 259, 285, 120 S.Ct. 746,
764, 145 L.Ed.2d 756 (2000) (holding a petitioner arguing
ineffective assistance by his appellate counsel must establish
both (1) his appellate counsel's performance was objectively
unreasonable and (2) there is a reasonable probability that, but
for appellate counsel's objectively unreasonable conduct, the
petitioner would have prevailed on appeal); Henderson v.
Quarterman, 460 F.3d 654, 665 (5th Cir.2006) (holding Strickland
furnishes the proper standard for review of a complaint of
ineffective assistance by state appellate counsel), cert. denied,
549 U.S. 1252, 127 S.Ct. 1383, 167 L.Ed.2d 160 (2007); Amador v.
Quarterman, 458 F.3d at 410-11 (holding complaints of ineffective
assistance by state appellate counsel are governed by the
Strickland standard of review); Moreno v. Dretke, 450 F.3d 158,
168 (5th Cir.2006) (applying the dual prongs of Strickland
analysis to complaints of ineffective assistance by appellate
counsel), cert. denied, 549 U.S. 1120, 127 S.Ct. 935, 166 L.Ed.2d
717 (2007); Busby v. Dretke, 359 F.3d 708, 714 (5th Cir.) (holding
Strickland applies to a prisoner's claim his appellate counsel was
ineffective for failing to raise a certain issue on appeal), cert.
denied, 541 U.S. 1087, 124 S.Ct. 2812, 159 L.Ed.2d 249 (2004).
Thus, the standard for evaluating the
performance of counsel on appeal requires inquiry into (1) whether
appellate counsel's performance was deficient, i.e., whether
appellate counsel's conduct was objectively unreasonable under
then-current legal standards, and (2) whether appellate counsel's
allegedly deficient performance “prejudiced” petitioner, i.e.,
whether there is a reasonable probability that, but for appellate
counsel's deficient performance, the outcome of petitioner's
appeal would have been different. Smith v. Robbins, 528 U.S. at
285, 120 S.Ct. at 764; Henderson v. Quarterman, 460 F.3d at 665;
Busby v. Dretke, 359 F.3d at 714; Schaetzle v. Cockrell, 343 F.3d
at 444. Appellate counsel who files a merits brief need not and
should not raise every non-frivolous claim but, rather, may select
from among them in order to maximize the likelihood of success on
appeal. Smith v. Robbins, 528 U.S. at 288, 120 S.Ct. at 765; Jones
v. Barnes, 463 U.S. 745, 751, 103 S.Ct. 3308, 3313, 77 L.Ed.2d 987
(1983); Henderson v. Quarterman, 460 F.3d at 665; Busby v. Dretke,
359 F.3d at 714; Schaetzle v. Cockrell, 343 F.3d at 445.
The process of winnowing out weaker arguments
on appeal and focusing on those more likely to prevail is the
hallmark of effective appellate advocacy. Smith v. Murray, 477 U.S.
527, 536, 106 S.Ct. 2661, 2667, 91 L.Ed.2d 434 (1986); Jones v.
Barnes, 463 U.S. at 751-52, 103 S.Ct. at 3313. Nonetheless,
appellate counsel is obligated to research relevant facts and law
or to make an informed decision that certain avenues will not
prove fruitful. See Busby v. Dretke, 359 F.3d at 714 (a reasonable
attorney has an obligation to research relevant facts and law or
make an informed decision that certain avenues will not be
fruitful); United States v. Reinhart, 357 F.3d 521, 525 (5th
Cir.2004) (holding the same); Schaetzle v. Cockrell, 343 F.3d at
445 (failure to raise a discrete, purely legal issue, where the
precedent could not be more pellucid or applicable, denies
adequate representation). Likewise, solid, meritorious arguments
based on directly controlling precedent should be discovered and
brought to the appellate court's attention. United States v.
Reinhart, 357 F.3d at 525; Schaetzle v. Cockrell, 343 F.3d at 445.
Where, as in petitioner's case, appellate
counsel presented, briefed, and argued, albeit unsuccessfully, one
or more non-frivolous grounds for relief on appeal and did not
seek to withdraw from representation without filing an adequate
Anders brief, the defendant must satisfy both prongs of the
Strickland test in connection with his claims of ineffective
assistance by his appellate counsel. See Roe v. Flores-Ortega, 528
U.S. 470, 477 & 482, 120 S.Ct. 1029, 1034 & 1037, 145 L.Ed.2d 985
(2000) (holding the dual prongs of Strickland apply to complaints
of ineffective appellate counsel and recognizing, in cases
involving “attorney error,” the defendant must show prejudice);
Smith v. Robbins, 528 U.S. at 287-89, 120 S.Ct. at 765-66 (holding
petitioner who argued his appellate counsel rendered ineffective
assistance by failing to file a merits brief must satisfy both
prongs of Strickland ); Busby v. Dretke, 359 F.3d at 714-17 (applying
dual prongs of Strickland to a complaint about appellate counsel's
failure to present a point of error on appeal).
b. No Deficient Performance
Petitioner's trial counsel made no challenge
for cause against Esparza and failed to exercise a peremptory
challenge against her. Instead, petitioner's trial counsel advised
the trial court Esparza was acceptable as a juror.FN50 Thus, as
respondent correctly points out, under applicable Texas law (specifically
Rule 33.1 of the Texas Rules of Appellate Procedure), petitioner
failed to preserve for state appellate review any complaint of
alleged disqualifying bias against venire member Esparza. See
Buchanan v. State, 207 S.W.3d 772, 775 (Tex.Crim.App.2006) (“in
order to preserve an issue for appeal, a timely objection must be
made that states the specific ground of objection, if the specific
ground was not apparent from the context”). Under such
circumstances, there was nothing objectively unreasonable about
the decision of petitioner's state appellate counsel not to raise
a point of error which, in all reasonable likelihood, would have
been summarily dismissed by the state appellate courts.
Furthermore, for the reasons discussed at length in Section VII.D.2.
above, petitioner's state appellate counsel could reasonably have
concluded an appellate point of error accusing Esparza of
disqualifying bias possessed little realistic chance of success.
Under such circumstances, there was nothing objectively
unreasonable in a decision by petitioner's state appellate counsel
not to present a point of error arguing Esparza had disqualifying
bias. See Johnson v. Cockrell, 306 F.3d 249, 255 (5th Cir.2002)
(holding there was nothing deficient in counsel's failure to
object to the admission of psychiatric testimony that was
admissible under then-existing precedent), cert. denied, 538 U.S.
926, 123 S.Ct. 1573, 155 L.Ed.2d 319 (2003); Robison v. Johnson,
151 F.3d 256, 261 (5th Cir.1998) (nothing deficient regarding
trial counsel's failure to seek admission of a document the state
court concluded was inadmissible), cert. denied, 526 U.S. 1100,
119 S.Ct. 1578, 143 L.Ed.2d 673 (1999); Emery v. Johnson, 139 F.3d
191, 198 (5th Cir.1997) (failure to assert a meritless objection
cannot be the grounds for a finding of deficient performance),
cert. denied, 525 U.S. 969, 119 S.Ct. 418, 142 L.Ed.2d 339 (1998).
FN50. S.F. Trial, Volume 13, at p. 157.
c. No Prejudice Moreover, because petitioner
procedurally defaulted on his bias complaint against Esparza, and
for the reasons set forth in Section VII.D.2.c. above, there is no
reasonable probability that, but for the failure of petitioner's
state appellate counsel to challenge Esparza as biased on direct
appeal, the outcome of petitioner's direct appeal would have been
any different. The failure of petitioner's state appellate counsel
to raise a procedurally defaulted, meritless point of error on
direct appeal did not “prejudice” petitioner within the meaning of
Strickland. See United States v. Kimler, 167 F.3d 889, 893 (5th
Cir.1999) (holding a complaint about counsel's failure to raise a
meritless objection fails to satisfy the prejudice prong of
Strickland because the failure to make a meritless objection has
no impact on the outcome of the proceeding).
d. Conclusions
Petitioner procedurally defaulted on his
complaint of ineffective assistance by his state appellate counsel
by failing to fairly present that same claim to the state courts
during petitioner's state habeas corpus proceeding. This Court
independently concludes petitioner's complaint of ineffective
assistance by his state appellate counsel fails to satisfy either
prong of Strickland. Therefore, this complaint does not warrant
federal habeas relief. Petitioner's procedurally defaulted fourth
claim for relief herein lacks any arguable merit and, therefore,
does not warrant federal habeas relief.
VIII. Certificate of Appealability
The AEDPA converted the “certificate of
probable cause” previously required as a prerequisite to an appeal
from the denial of a petition for federal habeas corpus relief
into a “Certificate of Appealability” (“CoA”). See Hill v. Johnson,
114 F.3d 78, 80 (5th Cir.1997) (recognizing the “substantial
showing” requirement for a CoA under the AEDPA is merely a change
in nomenclature from the CPC standard); Muniz v. Johnson, 114 F.3d
43, 45 (5th Cir.1997) (holding the standard for obtaining a CoA is
the same as for a CPC). The CoA requirement supersedes the
previous requirement for a certificate of probable cause to appeal
for federal habeas corpus petitions filed after the effective date
of the AEDPA. Robison v. Johnson, 151 F.3d 256, 259 n. 2 (5th
Cir.1998), cert. denied, 526 U.S. 1100, 119 S.Ct. 1578, 143 L.Ed.2d
673 (1999); Hallmark v. Johnson, 118 F.3d 1073, 1076 (5th
Cir.1997), cert. denied sub nom. Monroe v. Johnson, 523 U.S. 1041,
118 S.Ct. 1342, 140 L.Ed.2d 502 (1998).
Under the AEDPA, before a petitioner may appeal
the denial of a habeas corpus petition filed under Section 2254,
the petitioner must obtain a CoA. Miller-El v. Johnson, 537 U.S.
322, 335-36, 123 S.Ct. 1029, 1039, 154 L.Ed.2d 931 (2003); 28
U.S.C. § 2253(c)(2). Likewise, under the AEDPA, appellate review
of a habeas petition is limited to the issues on which a CoA is
granted. Crutcher v. Cockrell, 301 F.3d 656, 658 n. 10 (5th
Cir.2002); Jones v. Cain, 227 F.3d 228, 230 n. 2 (5th Cir.2000);
Lackey v. Johnson, 116 F.3d 149, 151 (5th Cir.1997). In other
words, a CoA is granted or denied on an issue-by-issue basis,
thereby limiting appellate review to those issues on which CoA is
granted alone. Crutcher v. Cockrell, 301 F.3d at 658 n. 10; Lackey
v. Johnson, 116 F.3d at 151; Hill v. Johnson, 114 F.3d at 80;
Muniz v. Johnson, 114 F.3d at 45; Murphy v. Johnson, 110 F.3d 10,
11 n. 1 (5th Cir.1997); 28 U.S.C. § 2253(c)(3). A CoA will not be
granted unless the petitioner makes a substantial showing of the
denial of a constitutional right. Tennard v. Dretke, 542 U.S. 274,
282, 124 S.Ct. 2562, 2569, 159 L.Ed.2d 384 (2004); Miller-El v.
Johnson, 537 U.S. at 336, 123 S.Ct. at 1039; Slack v. McDaniel,
529 U.S. 473, 483, 120 S.Ct. 1595, 1603, 146 L.Ed.2d 542 (2000);
Barefoot v. Estelle, 463 U.S. 880, 893, 103 S.Ct. 3383, 3394, 77
L.Ed.2d 1090 (1983).
To make such a showing, the petitioner need not
show he will prevail on the merits but, rather, must demonstrate
that reasonable jurists could debate whether (or, for that matter,
agree) the petition should have been resolved in a different
manner or that the issues presented are adequate to deserve
encouragement to proceed further. Tennard v. Dretke, 542 U.S. at
282, 124 S.Ct. at 2569; Miller-El v. Johnson, 537 U.S. at 336, 123
S.Ct. at 1039; Slack v. McDaniel, 529 U.S. at 484, 120 S.Ct. at
1604; Barefoot v. Estelle, 463 U.S. at 893 n. 4, 103 S.Ct. at 3394
n. 4. This Court is authorized to address the propriety of
granting a CoA sua sponte. Alexander v. Johnson, 211 F.3d 895, 898
(5th Cir.2000).
The showing necessary to obtain a CoA on a
particular claim is dependent upon the manner in which the
District Court has disposed of a claim. If this Court rejects a
prisoner's constitutional claim on the merits, the petitioner must
demonstrate that reasonable jurists could find the court's
assessment of the constitutional claim to be debatable or wrong.
“[W]here a district court has rejected the constitutional claims
on the merits, the showing required to satisfy § 2253(c) is
straightforward: The petitioner must demonstrate that reasonable
jurists would find the district court's assessment of the
constitutional claims debatable or wrong.” Miller-El v. Johnson,
537 U.S. at 338, 123 S.Ct. at 1040 ( quoting Slack v. McDaniel,
529 U.S. at 484, 120 S.Ct. at 1604). Accord Tennard v. Dretke, 542
U.S. at 282, 124 S.Ct. at 2569. In a case in which the petitioner
wishes to challenge on appeal this Court's dismissal of a claim
for a reason not of constitutional dimension, such as procedural
default, limitations, or lack of exhaustion, the petitioner must
show jurists of reason would find it debatable whether the
petition states a valid claim of the denial of a constitutional
right and whether this Court was correct in its procedural ruling.
See Slack v. McDaniel, 529 U.S. at 484, 120 S.Ct. at 1604 (holding
when a district court denies a habeas claim on procedural grounds,
without reaching the underlying constitutional claim, a CoA may
issue only when the petitioner shows that reasonable jurists would
find it debatable whether (1) the claim is a valid assertion of
the denial of a constitutional right and (2) the district court's
procedural ruling was correct).
In death penalty cases, any doubt as to whether
a CoA should issue must be resolved in the petitioner's favor.
Foster v. Quarterman, 466 F.3d at 364; Dickson v. Quarterman, 462
F.3d 470, 476 (5th Cir.2006); Pippin v. Dretke, 434 F.3d at 787;
Bridgers v. Dretke, 431 F.3d 853, 861 (5th Cir.2005), cert. denied,
548 U.S. 909, 126 S.Ct. 2961, 165 L.Ed.2d 959 (2006). Nonetheless,
a CoA is not automatically granted in every death penalty habeas
case. See, e.g., Scheanette v. Quarterman, 482 F.3d at 828-29
(holding petitioner not entitled to a CoA on a Ring claim similar
to petitioner's second and third claims herein); Turner v.
Quarterman, 481 F.3d at 301-02 (holding petitioner eligible for
CoA on neither ineffective assistance, Ring, nor “failure to
inform jury of the effect of a hung jury” claims); Sonnier v.
Quarterman, 476 F.3d at 364-69 (denying CoA on a wide variety of
innovative challenges to the Texas capital sentencing scheme,
including many similar to those raised by petitioner in his sixth
through twelfth claims herein).
None of petitioner's claims herein satisfy the
standard for obtaining a CoA. The Texas Court of Criminal Appeals'
rejection on the merits of petitioner's Atkins is unassailable.
Petitioner presented the state habeas court with absolutely no
evidence from which a rational fact finder could have concluded
petitioner satisfied either of the two clinical criteria for a
finding of mental retardation referenced in the Supreme Court's
Atkins opinion. Whatever merit there might be to petitioner's
Atkins claim, there is no basis for finding unreasonable the Texas
Court of Criminal Appeals' rejection of this claim on the merits.
There was ample evidence in the state trial record, particularly
the testimony of petitioner's former supervisor, from which a
reasonable jurist could have concluded petitioner's mental
retardation assertion was frivolous.
The Texas Court of Criminal Appeals' rejection
on the merits of petitioner's ineffective assistance claims was
likewise unquestionably reasonable in view of petitioner's utter
failure to present any evidence casting doubt on the objective
reasonableness of his trial counsels' strategic decision-making.
Petitioner presented the state habeas court with no evidence
showing his trial counsel acted in an objectively unreasonable
manner. In fact, petitioner presented the state habeas court with
uncontradicted testimony from petitioner's former lead trial
counsel that established said counsel, together with his
investigator and forensic psychologist, were unable to find any
evidence whatsoever suggesting petitioner, who communicated very
effectively with trial counsel, was mentally retarded or suffered
from a mental defect. On the contrary, the state habeas court was
informed, without contradiction, that the court-appointed defense
expert concluded petitioner was a cold-blooded, remorseless, anti-social
personality. Petitioner presented the state habeas court with no
evidence establishing any additional mitigating evidence would
have been disclosed had petitioner's trial counsel undertaken a
more extensive investigation into petitioner's intelligence or
mental health. Under such circumstances, there was nothing
unreasonable in petitioner's trial counsels' decision not to
pursue further or present double-edged psychological mitigation
evidence. Nor was petitioner prejudiced by any failure on the part
of his trial counsel to further investigate petitioner's mental
health or intelligence. Petitioner presented the state habeas
court with no evidence raising a legitimate question about the
objective reasonableness of petitioner's trial counsel's
investigation of petitioner's background or said counsels'
tactical decisions regarding what type of mitigating evidence they
would present during the punishment phase of petitioner's capital
murder trial.
Petitioner's complaint with his appellate
counsel is likewise devoid of even arguable merit. The only
additional point of error petitioner now argues his appellate
counsel should have raised on direct appeal was procedurally
defaulted under state procedural rules long before the appointment
of petitioner's state appellate counsel. Furthermore, petitioner's
claim of alleged bias on the part of juror Esparza, based solely
on Esparza's voir dire examination, does not satisfy the federal
constitutional standard for disqualification of jurors. There was
nothing objectively unreasonable in the decision of petitioner's
state appellate counsel to forego presenting such a frivolous and
procedurally defaulted claim on direct appeal.
In view of the overwhelming evidence of
petitioner's guilt contained in petitioner's own written statement
and the horrific details of petitioner's capital offense,
petitioner's complaints about the admission of hearsay-within-hearsay
evidence showing Jessica Garcia once sought the services of the
Bexar County Women's Shelter and testimony showing petitioner once
advised police that he was affiliated with a street gang do not
rise above the level of harmless error. Moreover, admission of
this evidence during the punishment phase of petitioner's trial
pales in comparison with the evidence already before the jury
during the guilt-innocence phase of petitioner's trial. Reasonable
jurists could not disagree: admission of this evidence did not
render the punishment phase of petitioner's trial fundamentally
unfair.
The exact, same legal arguments underlying
petitioner's facial attack upon the constitutionality of the Texas
capital sentencing scheme have been rejected by the both the Fifth
Circuit and this Court on numerous occasions. There is no rational
basis for any argument over the continuing efficacy of the Texas
capital sentencing scheme in light of the Supreme Court's opinions
in Ring and Apprendi. Neither of those opinions addressed a
capital sentencing scheme, like the one in Texas, which narrowly
defines the offense of capital murder through strict statutory
criteria and requires the jury to make the “eligibility”
determination discussed in Tuilaepa beyond a reasonable doubt at
the guilt-innocence phase of trial. Texas further narrows the
class of persons eligible for the death penalty by requiring the
jury to find, beyond a reasonable doubt, there is a probability
the defendant will commit future acts of criminal violence posing
a threat to society. Thus, unlike the “aggravating factors”
discussed in many Supreme Court opinions addressing capital
sentencing in “weighing jurisdictions,” the mitigation or Penry
special issue employed in the Texas capital sentencing scheme
serves not to render the defendant eligible for the death penalty
or to “select” the defendant for execution; rather, it allows the
capital sentencing jury unfettered discretion to dispense an act
of grace to the otherwise condemned defendant.
None of petitioner's claims present even an
arguable basis for federal habeas relief under the AEDPA. There is
no room for disagreement among reasonable jurists as to any of the
foregoing conclusions. Petitioner is not entitled to a CoA for the
purpose of re-arguing claims, such as his Atkins claim, which he
failed to support with any evidence during his state habeas
proceeding. Therefore, petitioner is not entitled to a CoA in this
cause.