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Juan Raul Garza, 44, is scheduled to be executed on
June 19th. He will be the second federal prisoner to be executed since
1963.
In 1993 he was convicted under a 1988 federal law that permits the
imposition of the death sentence for murders resulting from large-scale
drug dealing.
The jury that sentenced Juan Garza to death was told
repeatedly and inaccurately by the federal prosecutor that Garza could
be released from prison in as little as twenty years if he were not
sentenced to death. But in fact, under the Federal Sentencing Guidelines,
the jury could have sentenced Garza to life in prison without the
possibility of release.
Juan Garza is the only inmate on federal death
row whose jury did not receive the "life in prison without the
posssibility of release" instruction. It is very possible that had the
jury received this instruction, Garza's life would have been spared.
In
a factually similar case in Michigan in which 11 death-eligible
defendants were prosecuted for four gang-related murders, the jury
sentenced all four defendants to life imprisonment (U.S. v. Bass, E.D.
Mich. 1997).
Garza's attorneys have raised this issue on appeal, but
thus far, no court has agreed that Garza's sentencing should be re-examined.
This is in spite of the fact that in March 2001, the U.S. Supreme Court
ruled that in a similar case arising out of South Carolina, the trial
court's failure to instruct the jury was an unconstitutional error (Shafer
v. South Carolina).
Garza's execution was originally scheduled for
December 12, 2000, but five days before that date President Clinton
granted him a six-month reprieve "to allow the Justice Department time
to gather and properly analyze more information about racial and
geographic disparities in the federal death penalty system." On May
30th, the U.S. Court of Appeals for the 5th Circuit denied Garza's
motion for a delay. His lawyers then asked President Bush to commute
Garza's sentence to life in prison without a chance for parole.
President Bush has not yet acted on the request.
The Justice Department's Federal Death Penalty Report
In September 2000, the Justice Department released
the results of an internal survey ordered by then Attorney General Janet
Reno that revealed stark racial and regional disparities in the
application of the death penalty in federal cases.
Of the 20 people on
federal death row, 17, or 85%, were minorities (14 Black; 3 Hispanic; 3
White). Between 1995 and 2000, 80 percent of all federal cases submitted
for the death penalty involved minority defendants (20% White; 48% Black;
29% Hispanic; 4% other); During that period, defendants were allowed to
plead guilty in exchange for a life sentence in 32% of all cases.
Of the
total number of guilty pleas, 40% were White defendants, 25% were Black,
28% were Hispanic, and 25% were other. In other words, Whites were much
more likely to escape a death sentence through plea bargaining than
minorities; The federal death penalty is geographically arbitrary since
the death penalty is pursued by only a handful of federal prosecutors.
Between 1995-2000, 42% of all federal cases in which a U.S. attorney
requested the death penalty were from only 5 of the 94 federal districts.
Cases prosecuted in the southern states of Texas, Virginia, Oklahoma,
Alabama, Florida, Louisiana and Georgia accounted for 65% of the total
federal death penalty prosecutions. Upon reviewing the report, President
Clinton concluded that "the examination of possible racial and regional
bias should be completed before the U.S. goes forward with an execution
in a case that may implicate the very questions raised by the Justice
Department's continuing study. In this area there is no room for error."
Attorney General Ashcroft's Switch
During his confirmation hearings, John Ashcroft
agreed that there was "a need for 'continuing study' of possible racial
and regional bias in the federal death penalty," and said that "a
thorough study of the system" was necessary. On June 6th, Attorney
General Ashcroft did an about face and said that there was "no evidence
of bias against racial or ethnic minorities" and that he would not
authorize further study of the matter. He also said "I know of no reason
not to proceed with the Garza execution."
Citizens For a Moratorium on
Federal Executions On June 4th, Citizens for Moratorium on Federal
Executions, the group of prominent Americans that had successfully
petitioned President Clinton to delay Juan Garza's execution in light of
the Justice Department's findings, sent an open letter to President Bush.
The letter asked the President to declare "an immediate moratorium on
all federal executions." Signatories included:
Dr. Mary Frances Berry, Chair, U.S. Commission on
Civil Rights
Harry Belafonte, Artist/Activist
Cardinal Roger Mahony, Archbishop, Roman Catholic Archdiocese of Los
Angeles
Mario G. Obledo, President, National Coalition of Hispanic Organizations
Arturo S. Rodriguez, President, United Farm Workers of America, AFL-CIO
Senator Paul Simon, U.S. Senate, 1984-1997
John Van de Kamp, California Attorney General, 1983-1991
Juan Raul Garza was sentenced to death under Federal
law on August 10, 1993, in the Southern District of Texas, and five
violations of drug and money laundering laws.
At sentencing, the Government introduced aggravating
factors evidence of four unadjudicated murders in Mexico, in which Garza
was involved.
Specifically, Garza was convicted of ordering the
murders of Thomas Albert Rumbo, Gilberto Matos, and Erasmo De La Fuente
in order to further his control over a major drug trafficking
organization.
In addition to his death sentence, Garza received a
life term for conspiracy to import into the United States a quantity
exceeding 1,000 Kilos of marijuana.
Juan Raul Garza, 43 years old, is one of six inmates
who have been convicted under the CCE statute and who have received a
death sentence. Garza has exhausted all direct and collateral appeals
for his conviction. In accordance with Federal regulations, the method
of execution will be by lethal injection. Garza was previously scheduled
for execution in December 2000 but received a stay from then-President
Clinton.
TERRE HAUTE, Ind. (AP) — With an apology for ``the
pain and grief that I have caused,'' convicted murderer and drug kingpin
Juan Raul Garza was executed Tuesday, eight days after Timothy McVeigh
became the first federal inmate put to death since 1963.
Garza died at 7:09 a.m. by chemical injection,
strapped to the same gurney where McVeigh was executed last week. He
nervously flexed his feet as Warden Harley Lappin tied the curtains back
on the witness rooms. As the chemicals entered his veins, he kept his
head cocked to the left, toward the room assigned to his own witnesses.
His eyes slowly closed half way and his lips turned a light blue.
He went to his death calmly and, unlike McVeigh, with remorse.
"I just
want to say that I'm sorry, and I apologize for all the pain and grief
that I have caused,'' he said. "I ask your forgiveness and God bless.''
As Garza was being executed, about 50 anti-death penalty activists
outside the U.S. Penitentiary sang ``We Shall Overcome'' and other
protest songs.
The scene was in stark contrast to the buzz of media
activity that met McVeigh's final days. Dan Dunne, a U.S. Bureau of
Prisons spokesman, said only about 75 reporters had registered for
credentials to cover Garza's death. More than 1,000 reporters had
credentials for the McVeigh execution.
Garza, 44, was convicted of
murdering a man by shooting him five times in the head and neck and
ordering the deaths of two other men. It was all part of Garza's
marijuana smuggling operation, which federal prosecutors say he ran
ruthlessly. He was the first person to be executed under the 1988
federal Anti-Drug Abuse Act, which imposes a death sentence for murders
stemming from a drug enterprise.
Despite lingering questions about the racial and
geographic equality of the federal death penalty, President Bush and the
U.S. Supreme Court refused Monday to delay Garza's execution. The court
rejected claims that the jury should have been told that the alternative
to a death sentence was life in prison with no possibility of release,
and that Garza's death sentence would violate two international treaties.
Following the two Supreme Court rulings, Bush turned down a clemency
request by Garza, a U.S.-born Mexican-American convicted in Bush's home
state of Texas in 1993. Garza attorney Gregory Wiercioch said an
upcoming report on the death penalty from Attorney General John Ashcroft
would someday be placed on the shelves next to the Dred Scott decision
and Plessy v. Ferguson, "as a shameful attempt to justify the
unjustifiable.'' "Some day this precise savagery will end, but not
today,'' Wiercioch said. "Today President Bush had the last word. But
he will not have the final say on the death penalty. History will.''
Death penalty opponents and some former Justice Department officials
wondered whether Garza would have been sentenced to death if he were
white or had committed his crimes elsewhere. Six of the 19 men now on
federal death row were sentenced in Texas; 17, including all six from
Texas, are minorities.
"There is a question of whether the way the system is
set up produces arbitrary and discriminatory results,'' said Robert Litt,
a former deputy assistant attorney general in the Clinton Justice
Department.
A Justice Department study released last year found wide
racial and geographical disparities in the use of the federal death
penalty. Because of that study, then-President Clinton delayed Garza's
December execution date, saying, ``In this area, there is no room for
error.''
A Justice Department review released earlier this month found
no evidence of bias in federal death penalty sentences. Ashcroft ordered
further study but said Monday there was no evidence of racial bias in
Garza's death sentence and no reason to delay his execution any further.
The original Justice Department study found that 80 percent of federal
defendants charged with capital offenses over a five-year period were
minorities.
The study also found that just nine of the 94 U.S. attorney
districts accounted for about 43 percent of all cases in which
prosecutors sought the death penalty. Garza's attorneys cited 26 cases
involving crimes similar to Garza's where prosecutors did not seek the
federal death penalty.
Garza spent Monday resting, reading, watching
television and visiting with his attorneys, said Jim Cross, executive
assistant at the prison. Garza also met with the warden, who explained
what the inmate could expect in the coming hours. His final requested
meal consisted of steak, french fries, onion rings, diet cola and three
slices of bread.
Early Tuesday, death penalty opponents arrived
together on a bus with a police escort. Some carried signs, some began
praying. One man sat by himself in a field about 600 yards from the
prison and lit a candle. Dwight Conquergood of Chicago said, ``It's a
personal outrage. I'm appalled and aghast. Judicial killing is theater.
It's planned, it's staged and it's deliberate.''
Ashcroft also said there was no racial bias in the case,
emphasizing the prosecutor was Hispanic, as were seven of the eight
victims. The Department of Justice, as well, said a recently completed
study found no racial bias in the federal system. Garza's attorney John
Howley strongly disagreed, saying "there's no question that race plays a
big part in every death sentence." "The fact is we only give out the
death penalty in this country to poor, to minorities, and to the
mentally retarded," he said.
The study also
found that just nine of the 94 U.S. attorney districts accounted for
about 43 percent of all cases in which prosecutors sought the death
penalty.
Witness describes Garza
execution
CNN.com
June 19, 2001
TERRE HAUTE, Indiana (CNN) --
Journalist Karen Grunden from the
Tribune-Star newspaper in Terre
Haute, Indiana, was one of the
media representatives who
witnessed Juan Raul Garza's
execution Tuesday. At a news
conference afterwards, she
described the execution:
"When we walked into the
media
witness room, the curtains were
closed. There are two windows in that
room, and a metal bar that comes out
from the window area that prevents us
from getting up right close to the
window. It was a bluish green curtain.
It opened at approximately 7:00 a.m.
today. We saw Mr. Garza on the
gurney. He had a white sheet draped on him,
draped down to the floor, to about
here. And there was a white sheet on the gurney
underneath him, as well. You
could see that he was wearing a white T-shirt.
"The warden did walk by our
window right after the curtain had opened. And
Mr. Garza seemed to look at someone, possibly,
in this inmate witness room
and give a nod before the drugs were
administered, before he gave his final
statement. He did look around a little bit,
seemed to look at each of the rooms a
bit, just to kind of gauge who was there, and
was given his opportunity to make
the final statement. You've already heard that.
"The sentencing information
was read by Warden
Lappin, and it was three counts of intentional
killing in a criminal conspiracy, I believe --
something to that effect.
"His hair was graying a bit.
He did blink a few
times, and this was after the first drug,
apparently, had already started. He looked
again at
the inmate witness room, and as he laid there,
his
eyes, at the end, did look towards the ceiling,
but his head was tilted toward that
inmate witness room so that he could kind of
look in there.
"He did swallow. His eyes
became drowsy. There was not really a point at any
time where you could actually say he died.
There was no final breath that we
noticed at all. Someone had said that his feet
had moved. His eyes were still
open, but his left eye seemed to droop more
closed than the other one.
The time of death, as has
been said, was 7:09."
Garza executed
By Rex W. Huppke, Associated
Press Writer
June 19, 2001
TERRE HAUTE, Indiana (AP) -
Convicted murderer and drug kingpin Juan
Raul Garza was executed Tuesday morning, eight
days after Timothy
McVeigh became the first federal inmate put to
death since 1963.
Garza died at 7:09 a.m. by
lethal injection, strapped to the same gurney
where McVeigh was executed last week.
The scene at the prison was
in stark contrast to the buzz of media
activity that met McVeigh's final days. Dan
Dunne, a U.S. Bureau of
Prisons spokesman, said only about 75 reporters
had registered for
credentials to cover Garza's death. More than
1,000 reporters had
credentials for the McVeigh execution.
Garza was the first person
to be executed under the 1998 Anti-Drug Abuse
Act, which imposes a death sentence for
murderers stemming from a drug
enterprise.
Despite lingering questions
about the racial and geographic equality of
the federal death penalty, President Bush and
the U.S. Supreme Court
refused Monday to delay Garza's execution.
The Supreme Court rejected
claims that the jury should have been told
that the alternative to a death sentence was
life in prison with no
possibility of release, and that Garza's death
sentence would violate
two international treaties.
Following the two Supreme
Court rulings, Bush turned down a clemency
request by Garza, who was convicted in Bush's
home state of Texas in
1993.
Garza's attorney Audrey
Anderson said she was "outraged" by the
government's refusal to delay the execution.
"There are significant
questions as to whether Mr. Garza was chosen for
federal capital punishment on the basis of his
ethnicity," Anderson
said. "Questions that the government thinks
should be investigated
further, but doesn't think are important enough
to stop this execution."
Garza, 44, was convicted of
murdering a man by shooting him five times
in the head and neck and ordering the deaths of
two other men. It was
all part of Garza's marijuana smuggling
operation, which federal
prosecutors say he ran ruthlessly.
Death penalty opponents and
some former Justice Department officials
wondered whether Garza, a Mexican-American born
in the United States,
would have been sentenced to death if he were
white or had committed his
crimes elsewhere.
Six of the 19 men on federal
death row were sentenced in Texas. All are
minorities.
"There is a question of
whether the way the system is set up produces
arbitrary and discriminatory results," said
Robert Litt, a former deputy
assistant attorney general in the Clinton
Justice Department.
A Justice Department study
released last year found wide racial and
geographical disparities in the use of the
federal death penalty.
Because of that study, then-President Clinton
delayed Garza's execution
date, saying, "In this area, there is no room
for error."
A Justice Department review
released earlier this month found no
evidence of bias in federal death penalty
sentences. Attorney General
John Ashcroft ordered further study but said
Monday there was no
evidence of racial bias in Garza's death
sentence and no reason to delay
his execution any further.
The original Justice
Department study showed that 80 percent of federal
defendants charged with capital offenses over a
five-year period were
minorities. The study also found that just 9
of the 94 U.S. attorney
districts accounted for about 43 percent of all
cases in which
prosecutors sought the death penalty.
Garza's attorney cited 26
cases involving similar crimes to Garza's
where prosecutors did not seek the federal
death penalty.
Garza spent Monday resting,
reading, watching television and visiting
with his attorneys, said Jim Cross, executive
assistant at the prison.
Garza also met with the warden, who explained
what the inmate could
expect in the coming hours.
His final requested meal
consisted of steak, french fries, onion rings,
diet cola, and three slices of bread.
Early Tuesday, death penalty
opponents arrived together on a bus with a
police escort. Some carried signs, some began
praying. One man sat
by himself in a field about 600 yards from the
prison and lit a candle.
Dwight Conquerwood of
Chicago said, "It's a personal outrage. I'm
appalled and aghast. Judicial killing is
theatre. It's planned, it's
staged and it's deliberate."
63 F.3d 1342
United States of America, Plaintiff-appellee,
v.
Manuel Flores, Defendant-appellant.
United States of America, Plaintiff-appellee,
v. Juan Raul Garza, Defendant-appellant
United States Court of Appeals,
Fifth Circuit.
Sept. 1, 1995
Appeals from the United States
District Court for the Southern District of Texas.
Before DAVIS, SMITH and WIENER,
Circuit Judges.
W. EUGENE DAVIS, Circuit Judge:
In this
consolidated appeal both Juan Raul Garza and
Manuel Flores challenge their convictions and
sentences. Juan Raul Garza was convicted of five
violations of various drug trafficking laws1,
operating a continuing criminal enterprise (CCE)2,
money laundering3,
and three counts of killing in furtherance of a
CCE.4
After a punishment hearing, the same jury
recommended a death sentence for the three
killings. Accordingly, the court sentenced Garza
to death for counts 7, 8, and 9, and to
concurrent terms of imprisonment for life (counts
1, 2, and 6), 40 years (counts 3 and 5) and 20
years (counts 4 and 10). Garza challenges both
his conviction and his sentence.
At a separate
trial, Manuel Flores was convicted of two counts
of killing in furtherance of Garza's CCE5,
one count of conspiring to import over 1,000
kilograms of marijuana6,
and one count of possession with intent to
distribute over 1,000 kilograms of marijuana7.
Flores was sentenced to life imprisonment for
each murder count and to 327 concurrent months'
imprisonment for the other counts. We find no
reversible error and affirm.
From the early
1980's until 1992, Juan Raul Garza built and
controlled an intricate drug trafficking
enterprise. Working with friends and associates
from the tough neighborhood of his youth, Garza
sold thousands of pounds of marijuana in Texas,
Louisiana and Michigan, reaping hundreds of
thousands of dollars in return. Garza originally
bought from a supplier who imported the
marijuana into the United States for him, but
eventually he sent his own workers into Mexico
to buy the drug and drive it across the border.
Garza
occasionally suffered setbacks when loads of
marijuana or cash were seized by law enforcement
agencies. In addition to putting a dent in
Garza's profit margin, these incidents made him
suspicious that certain of his workers and
associates were cooperating with the police.
Being the object of Garza's mistrust was not a
healthy condition--as the victims of Garza's
three murder convictions would attest.
Gilberto Matos
was the first of the three to be killed. Matos
was an associate of Erasmo De La Fuente, a drug
smuggler who worked with Garza. Garza suspected
that De La Fuente had tipped off the police
about a 1,350 pound shipment of marijuana that
had been seized from one of Garza's storage
houses. Garza commissioned some of his workers
to murder De La Fuente, but they ran into
trouble because De La Fuente was continually
surrounded by a small entourage, which included
Matos. When his patience wore thin, Garza
ordered Manuel Flores and Israel Flores to break
into Matos' auto repair shop and lie in wait for
either De La Fuente or Matos. If only Matos
appeared, they were to kill him as a forewarning
to De La Fuente. When the unlucky Matos arrived
at his shop alone, Israel and Manuel made him
lie face down on the floor and waited about 45
minutes in case De La Fuente might show up. When
their wait proved fruitless, Manuel shot Matos
in the back of the head. For their work, Garza
paid Israel and Manuel with cash and a car.
But Garza did
not abandon his plans to murder De La Fuente.
Five months later, Garza supplied Israel Flores
and Jesus Flores with guns and took them to De
La Fuente's nightclub to kill him.8
Nervous, Israel consumed too much liquor to help
with the murder and had to be dropped off in an
alley. Jesus picked up Manuel Flores and they
went back to the nightclub. When De La Fuente
left the club and got into his car, Manuel shot
him twice through the driver's window. Jesus
fired shots into the air to distract the police
from chasing Manuel, hid in a ditch for a few
hours, then called Garza, who picked him up.
Garza paid each of the Flores brothers $10,000.
The third victim was Thomas Rumbo. After
surveillance officers watched Rumbo help load
marijuana into a trailer, they stopped him and
told him what they had seen. Rumbo agreed to
cooperate and turned the entire 360 pound
shipment over to the officers. Rumbo tried to
disguise his infidelity by cutting a hole in the
fence surrounding the trailer and telling one of
Garza's associates that the drugs had been
stolen. Not fooled, Garza figured that Rumbo had
stolen his merchandise and went directly to
Rumbo's house, taking two of his workers with
him. Rumbo reluctantly got into Garza's pickup
truck and they drove to another worker's house,
where Garza picked up a gun. They stopped again
at Jesus Flores' house and Jesus, who owed Garza
money for cocaine, volunteered to go along. All
five got into Jesus' car and they drove around
while Jesus interrogated Rumbo. Rumbo stuck to
his story, so they drove out to a rural farm
road and Garza told Rumbo that he knew Rumbo had
taken the marijuana. Rumbo was told to get out
of the car and to walk home. Rumbo protested
that he was wearing new shoes but then climbed
out. Garza shot Rumbo in the back of the head
and Rumbo fell back into the car. Garza and
Jesus lugged Rumbo's body out into the brush and
Garza shot him four more times.
Gradually, law
enforcement agents tightened the net around
Garza's operations. They tapped Garza's phone
and surveilled his activities, seized more loads
of drugs and money, arrested some of his workers
and converted others into informants. At one
point, Garza himself was arrested after making a
delivery to an undercover agent. In February
1992, the U.S. Customs Service mounted a
sweeping interstate offensive, using an assault
helicopter, hundreds of agents and a S.W.A.T.
team to secure and search the homes of Garza and
his workers. As a result of this raid, most of
Garza's associates were indicted and arrested.
Garza himself fled to Mexico and could not be
found.
The
authorities finally located Garza when he ran
low on money and phoned one of his Michigan
associates to arrange a sale. Unknown to Garza,
this person was cooperating with the government
and allowed agents to tape record his
conversations with Garza. Agents traced the
calls and contacted the Mexican government,
which apprehended Garza and turned him over to
the U.S. Customs Service.
Following the
February 1992 raid, Garza and fifteen of his co-conspirators
were originally indicted with two drug
trafficking counts. While Garza was a fugitive,
the government made plea agreements with most of
these co-conspirators. In exchange for their
testimony against Garza, the government allowed
them to plead to lesser charges and promised to
recommend substantially reduced sentences. After
the plea agreements, Garza was reindicted with
the ten counts described above. Several months
before Garza's trial, Manuel Flores was tried
and convicted of the murders of Gilberto Matos
and Erasmo De La Fuente.
We turn now to
a consideration of the issues Garza raises in
this appeal.
As required by
21 U.S.C. Sec. 848, Garza's trial was divided
into a guilt phase and a punishment phase. Garza
raises several complaints about both phases of
his trial; we will address the guilt phase
issues first.
For several
reasons, Garza maintains that the district court
conducted voir dire in such a way as to deprive
him of critical information about the potential
jurors' views on capital punishment. The Supreme
Court has recently reminded us that:
Voir dire is conducted under
the supervision of the court and a great deal
must, of necessity, be left to its sound
discretion. Even so, part of the guaranty of a
defendant's right to an impartial jury is an
adequate voir dire to identify unqualified
jurors. Voir dire plays a critical function in
assuring the criminal defendant that his [constitutional]
right to an impartial jury will be honored.
Hence, the exercise of [the
trial court's] discretion, and the restriction
upon inquiries at the request of counsel, [are]
subject to the essential demands of fairness.
Morgan v.
Illinois, 504 U.S. 719, 729-30, 112 S.Ct. 2222,
2230, 119 L.Ed.2d 492, 503 (1992). On appeal, we
will not disturb the scope and content of voir
dire without a showing that there was
insufficient questioning to allow defense
counsel to exercise a reasonably knowledgeable
right of challenge. United States v. Shannon, 21
F.3d 77, 82 (5th Cir.), cert. denied, --- U.S.
----, 115 S.Ct. 260, 130 L.Ed.2d 180 (1994);
United States v. Rodriguez, 993 F.2d 1170, 1176
(5th Cir.1993), cert. denied, --- U.S. ----, 114
S.Ct. 1547, 128 L.Ed.2d 197 (1994).
1. Did the district court
err by limiting voir dire?
At the
district court's behest, the parties submitted
an agreed proposed procedure for jury selection.
The parties suggested that the clerk send the
venire a 19-page questionnaire, which included
questions on a juror's beliefs about the death
penalty. The parties further suggested that the
court question the venire as a group about most
issues and question jurors individually about
their attitudes toward the death penalty and
their exposure to pre-trial publicity;
Government and defense counsel would then be
given five or ten minutes per juror to ask
follow up questions on these subjects.
Before jury
selection, the district court informed counsel
that it would not permit such a long
questionnaire to be submitted and that in
particular, it would not allow the potential
jurors to be questioned through the mail about
their attitudes toward capital punishment.
Instead, the court approved a two page
questionnaire covering general facts about
jurors' backgrounds. The court also stated that
it would allow individual sequestered voir dire
about the death penalty and publicity, but only
of those jurors whose responses to general
questions indicated that they had a problem in
either area. The court ruled that it would give
two hours to each side (later expanded to three)
to question jurors about any topic they wished.
After this conference, Garza again asked the
court to permit him to examine each juror on the
death penalty and publicity. The court denied
this request.
Garza argues
that in light of the parties' agreement to
follow this procedure, the court erred in
refusing to allow him to question each juror on
the capital punishment issue. Garza emphasizes
that jurors may be particularly reluctant to
volunteer their opinions on such a personal and
emotional topic as capital punishment and argues
that individual questioning would be more likely
to elicit honest and detailed responses. Garza
also complains that the district court unduly
restricted the questions he could ask about
capital punishment and the time in which he had
to ask them.
Although we
are sympathetic to Garza's concerns, our role is
not to decide what voir dire procedure is best,
but to determine whether the procedure chosen by
the district court is sufficient. To do this, we
ask " 'whether the procedure used ... created a
reasonable assurance that prejudice would be
discovered if present.' " United States v.
Quiroz-Hernandez, 48 F.3d 858, 868 (5th
Cir.1995) (quoting United States v. Nell, 526
F.2d 1223, 1229 (5th Cir.1976)). When measured
against this standard, we are convinced that the
voir dire was adequate.
First, our
careful review of the record shows that the
group voir dire was sufficient to identify those
jurors who needed to be questioned further about
the death penalty. The court first asked jurors
to identify themselves if they were opposed to
the death penalty or would automatically impose
the death penalty. The court followed this with
several other questions about capital punishment
and encouraged all the jurors to ask any
questions they had. The court then privately
questioned in more detail the members of the
panel who responded. The court's questions were
carefully designed to put the jurors at ease and
encourage them to respond fully, and the jurors'
answers reflect that the court was successful in
obtaining a free flow of information from the
venire. The next day, the court permitted each
side to question the jurors for three hours.
Both the government and Garza asked the venire
about their feelings toward specific aggravating
and mitigating factors and about the penalty
process. These questions also elicited frank
responses from the venire. Throughout voir dire,
when a juror came forward with an answer
suggesting bias, the court questioned the juror
separately and individually and most often
allowed counsel to ask questions as well.
Garza makes
the related complaint that the court did not
allow him enough time to question each juror
about the death penalty and instructed him not
to ask certain questions. Our review of the
record leads us to conclude that the time and
questions allowed were adequate. Although Garza
lists a number of questions that the court
disapproved, the record reveals that the court
actually allowed Garza a great deal of latitude
in his questioning of individual jurors. Lastly,
because our review of the specific questions
Garza wished to ask shows that they were not
reasonably necessary to enable Garza to
challenge jurors over their views on capital
punishment, we conclude that the court did not
abuse its discretion in limiting them. Quiroz-Hernandez,
48 F.3d at 869.
As a whole,
the court's plan to question the venire as a
group, to allow individual sequestered
questioning of jurors who came forward and to
permit each side an additional three hours of
virtually unrestricted questioning was not an
abuse of discretion. See United States v. Guy,
924 F.2d 702, 707-08 (7th Cir.1991) (court did
not err by conducting similar group voir dire on
racial prejudice). Although not every juror was
ultimately questioned individually, the record
reflects that the two day voir dire reasonably
assured that the jurors' potential biases were
uncovered and explored.9
2. Did the court err by
refusing to permit Garza to individually
question Venire Members No. 11 and No. 19?
Garza
maintains that the court erred by dismissing
jurors No. 11 and No. 19 for their opposition to
the death penalty without allowing him a
sufficient opportunity to rehabilitate them.
These jurors both responded when the court
initially asked who was "against" the death
penalty. When the court asked the follow-up
question whether they could "envision any
setting, any case, not this one, any case, that
is just so heinous and so terrible and so
horrible, could you envision any case, in which
you could find yourselves voting for the death
penalty," both of these jurors unequivocally
responded that they could not (in contrast to a
number of other "opposed" jurors who stated that
they could). The court then asked if these
jurors could put aside their personal feelings
and "still follow the law," and again they
responded that they could not under any
circumstances. The court denied Garza's request
to question No. 11 and No. 19 further and
excused these jurors as having "resoundingly"
stated their disability in a capital case. We
see no error in the court's excusal of these
jurors. The district court, who observed these
jurors and heard their emphatic answers to his
questions, was entitled to conclude that further
examination by counsel was pointless.
3. Did the court err by
dismissing for cause jurors opposed to the death
penalty?
Garza contends
next that the district court erred by dismissing
for cause four jurors who indicated that they
could not impose the death penalty in his case.
A district court properly excuses a juror for
cause when:
the juror's views [on the
death penalty] 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. 412, 424, 105 S.Ct. 844, 852, 83
L.Ed.2d 841 (1985); Williams v. Collins, 16 F.3d
626, 633 (5th Cir.), cert. denied, --- U.S.
----, 115 S.Ct. 42, 129 L.Ed.2d 937 (1994). This
standard does not require the court to dismiss
only those jurors who would automatically vote
against the death penalty in every case. Stated
differently, the trial court has the discretion
to excuse a juror when it "is left with the
definite impression that a prospective juror
would be unable to faithfully and impartially
apply the law." Witt, 469 U.S. at 426, 105 S.Ct.
at 853. We give considerable deference to the
court's decision to excuse a juror on this
basis, because such decisions are based in large
part on its face-to-face credibility assessment
of the prospective jurors. See id., at 426-29,
105 S.Ct. at 853-55 (although in habeas context,
discussing universal reasons for deference);
United States v. Bryant, 991 F.2d 171, 174 (5th
Cir.1993) (decision to excuse juror for actual
bias reviewed for manifest abuse of discretion).
We first apply
this standard to the court's dismissal of jurors
Ms. Nieto and Ms. Martinez. After thorough
questioning by the district court and counsel,
both jurors stated that they would only impose
the death penalty if the defendant had abused
and murdered a very small child.10
Both jurors were unequivocal and the more the
district court tested their beliefs, the more
adamant they became in their opposition to
voting for death in any other case. In these
circumstances, the court did not abuse its
discretion by deciding that these jurors held
beliefs that would substantially impair them
from performing their duties as jurors. Russell
v. Collins, 998 F.2d 1287, 1293 (5th Cir.1993),
cert. denied, --- U.S. ----, 114 S.Ct. 1236, 127
L.Ed.2d 580 (1994) (juror might impose death
only if victim was small child); Bell v. Lynaugh,
828 F.2d 1085, 1092 (5th Cir.), cert. denied,
484 U.S. 933, 108 S.Ct. 310, 98 L.Ed.2d 268
(1987) (juror might impose death only if victim
was a family member); Antwine v. Delo, 54 F.3d
1357, 1369 (8th Cir.1995) (willingness to
consider death in extreme hypothetical
situations does not render [potential jurors]
immune from exclusion for cause).
The third
member dismissed was Mr. Narup, who told the
court that he could only impose death if the
defendant had confessed to the murder or if Mr.
Narup himself had witnessed it.11
Garza argues that the court inappropriately
dismissed Mr. Narup because "it is up to each
individual citizen to judge for himself the
degree of proof of guilt beyond a reasonable
doubt." However, Mr. Narup did not say that he
would hold the government to a high standard;
rather, he indicated that he would hold the
government to an impossible standard.
Essentially, Mr. Narup told the court that if
the defendant's life was at stake, no degree of
proof would be sufficient. The district court
did not abuse its discretion in concluding that
Mr. Narup would be unable to follow its
instructions. See Drew v. Collins, 964 F.2d 411,
417 (5th Cir.1992), cert. denied, --- U.S. ----,
113 S.Ct. 3044, 125 L.Ed.2d 730 (1993) (proper
to excuse juror who would hold government to
higher standard than reasonable doubt).
Lastly, we
consider the court's excusal of Mr. Flores. Mr.
Flores originally did not indicate that he was
opposed to the death penalty. Later, Mr. Flores
apparently became aware that some of the victims
in the case had been involved in drug
trafficking and informed the court that he could
never vote for the death penalty in any case in
which the victim was involved with drugs. The
court attempted to steer Mr. Flores away from
considering these particular circumstances of
Garza's trial, but Mr. Flores persisted. After
further questioning, Mr. Flores agreed with the
government's statement that "if the person who
is killed is another drug dealer or a competitor
or somebody else who is in the same organization
or something like that, in those situations [he]
would never consider the death penalty, [and]
would never impose the death penalty." The
following discussion ensued:
GOVT: In other words, if [the
victim] was a person who was in drugs ... and
the law says whether or not the person--whether
or not the victim is one, you should still be
able to consider assessing the death penalty,
you would not be able to follow that law.
FLORES: I would not be able
to give the death penalty to someone that is in
the same thing that he [Garza] is doing. They
are both in drugs.
COURT: Let's ask it this way.
Let us say that the law does not distinguish
whether the person that was killed was in drugs
or not in drugs. Are you saying that under no
circumstances, if he was, that you could not
follow that law and give death under those
circumstances?
FLORES: Right, that is what I
am saying.
After
repeating several more times that he could not
impose death in a drug-related killing, Mr.
Flores was excused.
As Garza
points out, Mr. Flores was in a slightly
different position than Ms. Nieto and Ms.
Martinez. Rather than identifying the only case
in which he could impose death, Mr. Flores
indicated that only in a case like Garza's could
he not impose death. Garza contends that this
difference is one of constitutional dimension;
that even if Witt permits the court to dismiss
Ms. Nieto and Ms. Martinez, it does not support
the dismissal of Mr. Flores. We cannot agree.
While the process of qualifying jurors to sit in
a capital case is of particular importance, "[h]ere,
as elsewhere, the quest is for jurors who will
conscientiously apply the law and find the facts."
Witt, 469 U.S. at 423, 105 S.Ct. at 851-52. The
district court is not limited to disqualifying
only those jurors who would never vote for the
death penalty, id. at 421, 105 S.Ct. at 850-51,
but can excuse those who cannot set aside their
own predilections in deference to the rule of
law. Lockhart v. McCree, 476 U.S. 162, 176, 106
S.Ct. 1758, 1766-67, 90 L.Ed.2d 137 (1986).
In Mr. Flores'
case, the source of his bias was not the death
penalty in the abstract, or in some irrelevant
hypothetical case. Mr. Flores volunteered that
he would not be able to overcome his bias and
vote in favor of the death penalty where the
victim was a co-conspirator in a drug
trafficking case. The district court was not
required to ignore this bias and did not abuse
its discretion by excusing Mr. Flores.
4. Did the court err by
denying Garza's for-cause challenges to certain
jurors?
During voir
dire, Garza challenged for cause two jurors for
their exposure to pretrial publicity and six for
their relationships to government witnesses and
law enforcement officers.12
The district court denied these challenges.
a. Pretrial
publicity
Garza contends
that the district court erred by not excusing
Ms. Esparza and Mr. Krell, both of whom had
heard some publicity about Garza's upcoming
trial. Ms. Esparza told the court that she had
seen a recent article in the newspaper that had
mentioned that Garza was to be tried for drug
trafficking. She did not remember any reference
to alleged killings or deaths. When the court
asked her if the article had caused her to form
an opinion, she stated that it had, "[b]ecause
there is so much of that [drugs] in our
community. And we have so many young children.
And I have grandchildren." When the court asked
if she would have trouble being fair and
impartial in a drug case, she replied "But I
don't have the facts, you see. I would have to
see what exactly is presented and then I would
be able to." After thorough questioning, Ms.
Esparza assured the court that she could be
fair, that she did not already believe that
Garza was guilty and that she would only make a
determination after all the facts had been
presented to her. Lastly, the court asked her if,
despite the article, she could view the evidence
with a clean and open mind, and she replied that
she could.
Mr. Krell
informed the court that he had been in a scuba
diving class with Thomas Rumbo twenty years
earlier and had heard that he had been shot. Mr.
Krell stated that he had not known Rumbo
personally and had not heard anything further
about his death. When the court asked Mr. Krell
if he had any information about how Rumbo had
died, Mr. Krell responded "I don't know anything
about what happened." During a number of follow-up
questions, Mr. Krell said that he would be able
to be impartial and that he could make a
decision based solely on the evidence.
As we have
previously stated, "[a] person is not
automatically rendered unqualified to serve as a
juror merely because he has been exposed to
media coverage of the charged crime. The issue
becomes whether exposure to media publicity will
preclude the individual from returning a verdict
based solely on the person's application of the
law as stated to the evidence presented." Bell,
828 F.2d at 1093. The district court must decide
this question after observing "the demeanor and
response of the prospective jurors and [evaluating]
any possible prejudice." United States v.
Doggett, 821 F.2d 1049, 1051 (5th Cir.1987). We
will only second-guess the court's decision that
a juror is unbiased if there is an abuse of
discretion. Id.
We see no
abuse of discretion in the court's conclusion
that neither Ms. Esparza nor Mr. Krell was
biased by what they had heard. The court
carefully and thoroughly questioned both jurors
and allowed counsel to question them as well.
The court was entitled to find that these panel
members were not tainted by media coverage and
were able to serve as jurors.13
b. Law
enforcement connections
Garza also
argues that the court should have excused a
number of jurors who were acquainted with
government witnesses or members of law
enforcement. Garza complains about Ms. Scheiner,
who was a friend of Jim Parker, a potential
government witness from the district attorney's
office14;
Ms. Casas, who had several distant connections
to law enforcement15;
Mr. Robles, who had friends who worked for law
enforcement and knew a government witness16;
Mr. Guevara, who worked at the Cameron County
tax office and knew several witnesses17;
Mr. Medill, who was friends with several police
officers that he saw every three or four months;
and Mr. Moreno, who was friends with a law
enforcement witness but had not seen him in two
years. The district court specifically found
that Guevara, Medill and Moreno would not bring
any pro-law enforcement bias to their jobs as
jurors and denied Garza's challenges to all six
of these jurors.
Again, we
review the court's determination of a juror's
actual bias only for manifest abuse of
discretion. Bryant, 991 F.2d at 174. After
carefully reviewing the voir dire record, we
conclude that the court did not err.
1. Did the court err by
admitting tape recorded conversations?
For two
reasons, Garza contends that the district court
should have excluded four tape recorded
conversations between himself and a co-conspirator,
Daniel Bordayo. Bordayo had been arrested in the
February 1992 raid on Garza's operations and had
pled guilty to several drug-related charges.
Bordayo got word that Garza was trying to
contact him from Mexico, in hopes of raising
cash and revitalizing his decimated drug
enterprise. Bordayo volunteered this information
to the government and consented to having the
phone calls with Garza recorded. The record
reveals that the government's primary objective
was to learn Garza's whereabouts by tracing
these calls. At trial, the government introduced
four of these tape recorded conversations, in
which Garza proposes a sale of "commodities" and
discusses the details with Bordayo.
First, Garza
contends that the government violated his Sixth
Amendment right to counsel by using Bordayo to
elicit incriminating statements following his
February 1992 indictment. However, Garza did not
raise this objection below. The record reveals
that Garza instead objected on grounds that the
conspiracy had ended when the statements were
made. Thus, we apply the plain error standard.
United States v. Calverley, 37 F.3d 160 (5th
Cir.1994).
The district
court's decision to admit these tapes was not
plain error. Assuming without deciding that
Bordayo was acting as a government agent, Garza
has not met his burden of showing either that
the admission of the tapes affected the outcome
of his proceedings or that it seriously affected
the fairness, integrity, or public reputation of
judicial proceedings. Calverley, 37 F.3d at 164.
These tapes were conceivably relevant only to
Counts One and Two (conspiracy to import
marijuana and conspiracy to possess with intent
to distribute). The government offered
overwhelming evidence on these charges,
including testimony from numerous cooperating
conspirators and law enforcement agents,
supported by many items of seized physical
evidence and photographs. Given the many legs
upon which the guilty verdicts stood, Garza's
general assertion that the tapes prejudiced the
jury against him is insufficient.
Garza next
argues that both his and Bordayo's statements
were inadmissible hearsay because they were not
made in furtherance of the conspiracy. This
argument is entirely meritless, because Garza's
statements were admissible not as co-conspirator
statements but as the admissions of a party-opponent.
Fed.R.Evid. 801(d)(2)(A); United States v.
Clemons, 676 F.2d 122, 123 (5th Cir.1982).
Bordayo's statements were reciprocal and
integrated utterances and were admissible to put
Garza's own statements in context. United States
v. Gutierrez-Chavez, 842 F.2d 77, 81 (5th
Cir.1988). Even if Garza could no longer
conspire with Bordayo, because Bordayo had been
arrested, Garza's statements were also relevant
and admissible to confirm the earlier conspiracy.18
United States v. Goff, 847 F.2d 149, 168 n. 27
(5th Cir.), cert. denied, 488 U.S. 932, 109 S.Ct.
324, 102 L.Ed.2d 341 (1988).
2. Did the district court
err by allowing non-expert witnesses to testify
as to certain tape recordings?
Garza
maintains that the court erred by allowing three
members of the conspiracy, Angel Berndt Garcia,
Jesus Flores and Daniel Bordayo, to testify
about the parties to and meanings of tape
recorded conversations between other
conspirators.
Garza first
complains that the district court allowed Berndt
Garcia to testify about several conversations
even though he could only identify one of the
speakers. Garza's characterization is not quite
accurate. While Berndt Garcia could only
identify one of the speakers (Garza) with
absolute certainty, he did identify the other
speaker, although with less certainty. In such
cases, the district court is given broad
discretion to admit the tape and let the jury
decide what value to place on the identification.
United States v. Singh, 922 F.2d 1169, 1174 (5th
Cir.), cert. denied, 500 U.S. 938, 111 S.Ct.
2066, 114 L.Ed.2d 471 (1991) (conclusive proof
of authenticity not required to admit disputed
evidence); United States v. Lance, 853 F.2d
1177, 1181 (5th Cir.1988) (once minimally
authenticated, issue becomes weight of evidence,
not admissibility). The district court did not
abuse its discretion in admitting this tape.
Garza next
argues that these co-conspirators should not
have been allowed to explain the secret meanings
of the conversations both because they are not
experts and because the meaning was already
clear. Fed.R.Evid. 701 allows lay witnesses to
testify about conversations consisting of "unfinished
sentences and punctuated with ambiguous
references to events that are clear only to [the
participants]." United States v. De Peri, 778
F.2d 963, 977 (3d Cir.1985), cert. denied, 475
U.S. 1110, 106 S.Ct. 1518, 89 L.Ed.2d 916
(1986). The district court may admit such
opinions if they are (a) rationally based on
first hand knowledge and (b) helpful to a clear
understanding of the witness' testimony or the
determination of a fact in issue. United States
v. Garcia, 994 F.2d 1499, 1506-07 (10th
Cir.1993) (agent who tapped phone conversation
between conspirators could testify about hidden
meanings); United States v. Simas, 937 F.2d 459,
462 (9th Cir.1991). In Garza's case, the
witnesses met these criteria.
By listening
to the tapes, the conspirators gained first hand
knowledge of these conversations, which were
admissible as co-conspirator statements in
furtherance of the conspiracy. Garcia, 994 F.2d
at 1507 (in-court perception of admissible out
of court statements constitutes first hand
knowledge). Their opinions had a rational
connection to this factual basis because they
were members of the conspiracy and familiar with
the events being discussed. The district court
ensured this rational connection by repeatedly
instructing the witnesses to testify only to
what they actually knew, thus preventing
speculation and inference.
The co-conspirators'
testimony was also helpful to the jury because,
contrary to Garza's assertion, these tapes did
not always speak for themselves. Hoping to
disguise the topic of discussion, the
conspirators peppered their discourse with code
phrases and oblique references.19
The witnesses' testimony on the true meaning of
these phrases was helpful, if not essential, to
the jury's understanding of this evidence. The
district court policed this testimony and, for
the most part, kept the government from asking
about segments of the conversations that were
easily understood. See De Peri, 778 F.2d at 978.
In such circumstances, the district court did
not abuse its discretion by allowing the co-conspirators
to testify about the meaning of the tapes for
the jury. Garcia, 994 F.2d at 1507.
Garza argues
that the district court erred by acting as an
advocate for the government throughout his guilt
and punishment hearings. To constitute error, "the
district judge's actions, viewed as a whole,
must amount to an intervention that could have
led the jury to a predisposition of guilt by
improperly confusing the functions of judge and
prosecutor." United States v. Bermea, 30 F.3d
1539, 1569 (5th Cir.1994), cert. denied, ---
U.S. ----, 115 S.Ct. 1113, 130 L.Ed.2d 1077
(1995). To meet this test, "the judge's
intervention must be quantitatively and
qualitatively substantial." Id.
Garza
complains of two instances in which the district
court elicited evidence from witnesses that was
harmful to him. First, he complains that the
district court elicited harmful information from
the government's pathologist, Dr. Lawrence Dahm.
Second, Garza complains that the court impeached
Elizabeth Murillo, a psychotherapist who
testified as Garza's expert mitigation witness.
We have carefully reviewed the record of the
exchanges the district court had with these
witnesses and find that the court did not exceed
its proper role in either incident.20
1. Was Count Ten of the
indictment sufficient?
Garza contends
that Count Ten of the indictment did not
sufficiently allege a violation of 18 U.S.C.
Sec. 1956(a)(1)(A)(i), the money-laundering
statute. Garza repeatedly asked the district
court to dismiss this count, but the district
court denied his requests. Count Ten alleged:
On or about November 14, 1989
... the Defendant, JUAN RAUL GARZA, with the
intent to promote the carrying on of drug
dealing in violation of Title 21, United States
Code, Sections 846 and 841(a)(1), and knowing
that approximately $273,644.00 in United States
currency in fact represented the proceeds of
that unlawful drug dealing, conducted and
attempted to conduct a financial transaction
with that money in that the Defendant attempted
to move that money.
Garza asserts
that the indictment fails because the phrase "move
that money" does not state an act that
constitutes a financial transaction.
We review the
sufficiency of the indictment de novo. United
States v. West, 22 F.3d 586, 590 (5th Cir.),
cert. denied, --- U.S. ----, 115 S.Ct. 584, 130
L.Ed.2d 498 (1994). We will find that the
indictment is sufficient if it "(1) enumerates
each prima facie element of the charged offense,
(2) notifies the defendant of the charges filed
against him, and (3) provides the defendant with
a double jeopardy defense against future
prosecutions." United States v. Nevers, 7 F.3d
59, 62 (5th Cir.1993), cert. denied, --- U.S.
----, 114 S.Ct. 1124, 127 L.Ed.2d 432 (1994). We
will not reverse Garza's conviction for minor
deficiencies in the indictment that caused no
prejudice. United States v. Shelton, 937 F.2d
140, 142 (5th Cir.1991), cert. denied, 502 U.S.
990, 112 S.Ct. 607, 116 L.Ed.2d 630 (1991).
While Garza is
correct that the phrase "move the money" does
not describe in detail the financial transaction
relied upon, we conclude that the indictment was
nevertheless sufficient. The indictment tracks
the statutory language for each of the elements
of money laundering, which are that the
defendant "(1) conducted or attempted to conduct
a financial transaction, (2) which the defendant
knew involved the proceeds of unlawful activity,
(3) with the intent [either] to promote or
further unlawful activity." West, 22 F.3d at
590. In addition to these statutory bare bones,
the indictment was "accompanied with such a
statement of the facts and circumstances as ...
informed the accused of the specific offense ...
with which he [was] charged." Hamling v. United
States, 418 U.S. 87, 117, 94 S.Ct. 2887, 2908,
41 L.Ed.2d 590 (1974). The indictment specified
the date on which the event occurred, the exact
dollar amount involved and the fact that the
general type of transaction at issue was the
movement of this money. See Sec.
1956(c)(4)(A)(i). This description fairly
informed Garza of the charge he would have to
meet. It is also sufficient to bar future
prosecutions for this same offense. We conclude
that the district court did not err by refusing
to dismiss Count 10.
Garza also
suggests that the evidence was insufficient to
prove that he conducted a financial transaction.
The government can prove a financial transaction
by establishing the transfer or delivery of
money, Sec. 1956(c)(3), which can include giving
it "over to the care or possession of another."
United States v. Puig-Infante, 19 F.3d 929, 938
(5th Cir.), cert. denied, --- U.S. ----, 115
S.Ct. 180, 130 L.Ed.2d 115 (1994). The trial
evidence established that Garza received this
money from Richard Bordayo in Michigan and
delivered an Oldsmobile Toronado containing this
money to Israel Flores to drive back to Texas.
Garza emphasizes that Israel originally told
Texas Department of Public Safety (DPS) troopers
that he did not know of the money in the car and
that Garza himself denied knowing of the money.
However, Garza conveniently ignores both
Israel's trial testimony that he knew he was
transporting money for Garza and Trooper Jorge
Castillo's testimony strongly suggesting that
Garza was angry with Israel for losing the money
to the police. The evidence was sufficient to
establish a financial transaction.
2. Did the district court
err by denying a motion to suppress?
Garza contends
that the court erred by admitting the money
seized from the Toronado driven by Israel
Flores, Flores' statement to the Texas DPS
troopers and Garza's own statements to Trooper
Castillo. After a pre-trial hearing, the
district court denied the motion to suppress.
Garza challenges this ruling and contends that
this evidence should have been excluded.
Approximately
two weeks before the stop, Trooper Castillo was
contacted by a confidential informant (CI) with
whom he had worked before. The CI told Castillo
that she was friends with Garza and that Garza
was involved in drug trafficking. A week later,
the CI phoned Trooper Castillo again and told
him that she had travelled to Michigan with
Garza and that they had brought back money. The
CI also stated that they planned to return to
Lansing, Michigan to pick up more money. Several
days later, Castillo heard from relatives of the
CI that a black Oldsmobile Toronado loaded with
money was being driven from Michigan by Flores.
Trooper Castillo was given a specific license
number and given the approximate time that the
car would be on U.S. Highway 77 in Texas.
Castillo
arranged for surveillance along Highway 77 and
the Toronado was spotted by agents at about 7:00
pm on November 14, 1989. Officers followed the
Toronado in unmarked cars until 8:20 pm, when
they had a marked police car pull it over for
speeding. Trooper Castillo candidly testified
that "the reason the trooper stopped him besides
the speeding is because I asked him to." The
officer agreed. Flores drove the Toronado to a
DPS outpost, where the search began at 8:30 pm.
Within ten minutes of starting the search,
officers discovered $274,540 in cash hidden
behind the vents in the back interior panels of
the car. At some point, Flores was issued a
warning for speeding.
Trooper
Castillo advised Flores of his Miranda rights
and took his statement. Flores told Trooper
Castillo that he was unaware of the money in the
car and that he was going to deliver the car to
Garza. In the meantime, officers had also
confirmed that the car was registered to Garza.
Trooper Castillo drove to Garza's home where he
informed Garza that he was an officer with the
DPS, told him of the seizure and gave Garza a
Miranda warning. Castillo then questioned Garza
about the money and Garza denied that it was his.
Garza refused to make a written statement and
Castillo left, as Israel Flores arrived at
Garza's house.
The district
court found, inter alia, that Flores was in fact
speeding at the time that he was pulled over,
that Flores made a valid consent to the search,
that Trooper Castillo gave proper Miranda
warnings to Garza and Garza had made statements
to Castillo freely and without coercion.
a. The stop
Garza first
maintains that, because the Texas troopers
stopped the Toronado on the pretext that it was
speeding but for the actual purpose of
investigating the CI's tip, the stop was illegal.
This argument is foreclosed by United States v.
Roberson, 6 F.3d 1088 (5th Cir.1993), cert.
denied, --- U.S. ----, 114 S.Ct. 1322, 127 L.Ed.2d
671 (1994) (relying on United States v. Causey,
834 F.2d 1179 (5th Cir.1987) (en banc)). Under
Roberson, "while we do not applaud what appears
to be a common practice of some law enforcement
officers to use technical violations as a cover
for exploring more serious violations, we may
look no further than the court's finding that [the
officer] had a legitimate basis for stopping the
[vehicle]." 6 F.3d at 1092. Garza does not
dispute that Flores was speeding, a factual
finding which is supported by Trooper Castillo's
uncontradicted testimony at the suppression
hearing. As Roberson makes clear, this is the
end of our inquiry.21
b. The
search
Garza next
maintains that the search of the Toronado was
illegal because the troopers did not obtain a
warrant. However, the district court found that
Flores gave a valid, uncoerced consent to the
search and concluded that the consensual search
was constitutional under United States v.
Matlock, 415 U.S. 164, 94 S.Ct. 988, 39 L.Ed.2d
242 (1974). Garza argues that the consent was
not valid because it was tainted by an illegally
pretextual stop. Because we have concluded that
the stop was not unlawful, we also conclude that
the consent was not tainted.
On appeal,
Garza asserts that the scope of the search
exceeded Flores' consent.22
Garza never presented this argument to the
district court; we review for plain error.
Calverley. We measure the scope of consent by
asking " 'what would the typical reasonable
person have understood by the exchange between
the officer and the [consenter].' " United
States v. McSween, 53 F.3d 684, 687 (5th
Cir.1995) (quoting Florida v. Jimeno, 500 U.S.
248, 251, 111 S.Ct. 1801, 1803-04, 114 L.Ed.2d
297 (1991)). Using this standard, we conclude
that the district court did not plainly err.
Before the
troopers asked for his consent to search, they
told Flores that they believed contraband had
been placed in the vehicle. Flores then signed a
written consent that permitted the troopers to
search the "vehicle" including the "containers
and contents." Flores was present during the
search and did not attempt to stop or restrict
the search at any time. McSween, 53 F.3d at 688
(failure to object to breadth of search
indicates that search was within scope of
consent). Contrary to Garza's description of the
search as a "dismantling" or "dissection" of the
car, the record reveals that troopers merely
unscrewed two screws and removed two vent covers
from the interior panels. Compare United States
v. Ibarra, 965 F.2d 1354 (5th Cir.1992) (evenly
divided en banc court) (agents used sledgehammer
to smash open securely boarded-up attic). Given
these circumstances, we have no doubt that the
district court did not plainly err by admitting
this evidence as the product of a valid consent.233.
Garza's statements.
Garza first
asserts that his statements were the fruits of
an illegal search and seizure. This argument is,
of course, precluded by our conclusions above.
Garza next
complains that he did not waive his Miranda
rights. We uphold the district court's findings
of fact related to this issue unless they are
clearly erroneous, but we make a de novo review
of the ultimate conclusion of voluntariness.
United States v. Rojas-Martinez, 968 F.2d 415,
418 (5th Cir.), cert. denied, --- U.S. ----, 113
S.Ct. 828, 121 L.Ed.2d 698 (1992). With these
standards in mind, we conclude that Garza's
statement was voluntary. Garza does not dispute
the facts as we explained them above, but
emphasizes that Trooper Castillo began asking
questions immediately after he finished reading
Garza his rights; that Garza was not given a
written waiver form; that Garza was reluctant to
answer some of Castillo's questions and refused
to make a written statement. However, contrary
to Garza's suggestion, his refusal to make a
written statement after having already made
verbal statements supports a conclusion that,
had he wished to remain silent earlier, he would
have done so. The fact that Trooper Castillo did
not try to further question Garza after Garza
declined to make a written statement also
supports the court's finding that Garza was not
coerced. In view of the circumstances, the
district court did not err in deciding that
Garza's statements were voluntary.
In sum, we
conclude that the district court did not err by
admitting the evidence obtained through the stop
and search of the Toronado on November 14, 1989.
1. Did the court err by
admitting photographs of lost evidence?
Garza
complains that the court should not have
admitted a photograph of the interior of
Gilberto Matos' car, which showed a set of keys
and two pairs of gloves that the government lost
before trial. This photo bolstered Israel
Flores' testimony that he and Manuel Flores wore
gloves when they murdered Matos and that they
left the gloves in Matos' car. It also supported
the investigating officer's testimony that they
found gloves in the car at the crime scene. The
district court admitted the photo as an accurate
representation of what the investigator saw when
he looked inside Matos' car.24
The government properly authenticated the photo
and the court did not err by admitting it.
Fed.R.Evid. 901(a); United States v. Mojica, 746
F.2d 242, 245 (5th Cir.1984).
Garza next
argues that, by losing the gloves and keys, the
government violated its duty to preserve
evidence that might have exculpated him. However,
Garza does nothing more than state generally
that the lost keys and gloves might have helped
him and never even theorizes as to how they
would have assisted him. Under Fifth Circuit
precedent, such unfocused speculation is not
enough and this argument must fail. United
States v. Binker, 795 F.2d 1218, 1230 (5th
Cir.1986), cert. denied, 479 U.S. 1085, 107 S.Ct.
1287, 94 L.Ed.2d 144 (1987) (evidence must
possess exculpatory value that is apparent
before its loss).
2. Did the district court
commit pretrial error and allow government
misconduct?
Garza raises a
number of issues concerning the manner in which
the district court managed discovery and
scheduling. Garza first contends that the
district court deprived him of his right to
effective counsel by refusing to grant him an
additional one month's continuance. Garza was
indicted on January 5, 1993 and was given
several continuances over the following months.
On May 28, Garza filed a motion asking the court
to continue his trial date thirty days after the
already rescheduled June 30 trial date. The
court instead gave Garza an additional week and
jury selection commenced on July 6, 1993.
We will find
that the district court abused its discretion in
refusing a continuance only if Garza can show
that he was seriously prejudiced by the denial.
United States v. Ross, 58 F.3d 154, 159 (5th
Cir.1995). When he moved for this continuance,
Garza emphasized the vast amount of evidence
that the government produced, the number of
aggravating murders that the government alleged
and that much of the documentary evidence of the
Mexican murders was written in Spanish; on
appeal he reiterates these same factors. However,
even after this motion, Garza had over one month
in which to prepare for trial. Garza makes no
effort to explain what he was unable to
accomplish in this time or what more he would
have done had he been given the extra three
weeks. In short, Garza has not shown that he was
prejudiced. For this reason, we find that the
court did not err in limiting its continuance to
one week.
Garza next
argues that the government purposefully inflated
its witness list in order to prevent him from
preparing for trial. Approximately one week
before jury selection, the government gave Garza
a list containing more than 400 names. Garza
complained that the government could not
honestly expect to call this number of witnesses
and the court asked the government to provide a
list of witnesses which the government would "call
for certain." Four days before the government
began presenting evidence, the government gave
Garza a revised list of approximately 200
witnesses. At trial, the government called
approximately 60-70 of these witnesses.25
We see no
error in the manner in which the district court
handled this issue. When Garza brought his
objection to the court's attention, the court
appropriately directed the government to submit
a more limited list. The government readily
complied and Garza did not renew his complaint
after receiving the revised list. Garza has not
shown that the court's remedy was insufficient
to protect his rights or that it affected the
outcome of his trial. United States v. Neal, 27
F.3d 1035, 1049 (5th Cir.1994).
Garza also
complains that the government did not provide
him with the criminal records of Trooper
Castillo's confidential informant who testified
as part of the government's case, in violation
of Brady v. Maryland, 373 U.S. 83, 83 S.Ct.
1194, 10 L.Ed.2d 215 (1963). However, the record
shows that Garza discovered the witness'
criminal record. He was able to impeach this
witness on cross-examination with the
information that she had been convicted of
helping her husband steal a truck. Therefore, we
find no Brady violation. Lawrence v. Lensing, 42
F.3d 255, 257 (5th Cir.1994) (when defendant is
able to take advantage of essential information,
no violation).
Additionally,
Garza complains that the government gave him
insufficient notice of the facts and information
underlying the aggravating factors in general
and of two of the alleged aggravating homicides
in particular. However, Garza does not point to
any failure of the government to comply with the
district court's discovery orders and does not
argue that the court erred by failing to order
discovery of aggravating evidence. Garza has
shown no error.
Next, Garza
complains that the government did not specify
which people on its witness list were
confidential informants. There is no merit to
this point, given that the record demonstrates
that prior to trial, Garza's attorney informed
the court that the defense knew who the
confidential informant was.26
3. Did the court err by
denying Garza's request for Jencks Act and Brady
material?
Garza contends
that the government withheld the statements of
three witnesses to which he was entitled under
the Jencks Act, 18 U.S.C. Sec. 3500, and Brady
v. Maryland, 373 U.S. 83, 83 S.Ct. 1194, 10 L.Ed.2d
215 (1963). These witnesses were cooperating co-conspirators
who had been debriefed by government agents
prior to their plea negotiations. None of these
witnesses had made formal statements, but
government agents had taken notes during their
interviews. Garza maintains that he is entitled
to these notes.
a. Jencks
Act
A Jencks Act
statement is either (1) "a written statement
signed or otherwise adopted or approved by the
witness," or (2) "a 'substantially verbatim
recital' of an oral statement made by the
witness." United States v. Thomas, 12 F.3d 1350,
1364 (5th Cir.), cert. denied, --- U.S. ----,
114 S.Ct. 1861, 128 L.Ed.2d 483 (1994). When an
agent takes notes while interviewing a witness,
those notes are not statements "unless the
witness 'signed, read, or heard the entire
document read.' " Id. (quoting United States v.
Pierce, 893 F.2d 669, 675 (5th Cir.1990), cert.
denied, --- U.S. ----, 113 S.Ct. 621, 121 L.Ed.2d
554 (1992)). The record supports the district
court's conclusion that the government had not
obtained a "statement" from any of these
witnesses.
b. Brady
material
Garza also
asserts that these notes should have been
disclosed to him as Brady material. However,
Garza never made a specific Brady request for
these notes and, until his appeal, never
suggested that these notes might contain Brady
material. In these circumstances, the district
court did not err in accepting the government's
representation that it has furnished the
defendant with all Brady materials. The district
court was under no duty to make an independent
sua sponte inquiry to determine whether these
notes might contain exculpatory information. See
United States v. Gaston, 608 F.2d 607, 614 (5th
Cir.1979).
4. Did the court err by
admitting a statement not disclosed in discovery?
Garza contends
that the district court erred by admitting a
statement of his that the government had not
disclosed during pretrial discovery. Because
Garza was not entitled to this statement under
the discovery rules, the court did not err in
admitting the statement.
Garza made
this statement after Trooper Castillo came to
his house to ask him about the money that
troopers had discovered in the Toronado driven
by Israel Flores. Garza first denied that the
money was his, then reconsidered and said that
since he owned the car and the money was inside
it, he figured the money should belong to him.27
Just as the troopers were leaving the house,
Israel Flores arrived. Garza flew off the handle
and yelled at Flores in Spanish, "What happened,
fool?", an inculpatory statement suggesting that
Garza knew that the money was in the car all
along.
Before trial,
the district court ordered the government to
produce any "statements" that Garza had made.
The government disclosed everything that Garza
had said to the troopers but did not reveal
Garza's angry exclamation to Flores. When
Trooper Castillo testified about this incident,
the court overruled Garza's objection that the
statement should have been produced during
discovery.
Relying on
United States v. Alvarez, 987 F.2d 77, 84-86
(1st Cir.), cert. denied, --- U.S. ----, 114
S.Ct. 147, 126 L.Ed.2d 109 (1993), Garza
contends that the district court erred by not
suppressing this statement. However, the
statement in Alvarez was covered under
Fed.R.Crim.P. 16(a), which, among other things,
requires the government to disclose those oral
statements it plans to use at trial that the
defendant made in response to interrogation by
any person then known to the defendant to be a
government agent.
Garza's
statement is different because Garza did not
make his statement to Trooper Castillo or any
other government agent; he made it to Israel
Flores in Trooper Castillo's presence. Not only
was this not a statement made to a government
agent, it was also not made in response to
interrogation. See United States v. Kusek, 844
F.2d 942, 947 (2d Cir.), cert. denied, 488 U.S.
860, 109 S.Ct. 157, 102 L.Ed.2d 128 (1988) (voluntary
outbursts not covered by rule). Thus, Rule 16(a)
does not apply and the court did not abuse its
discretion by admitting evidence of this
statement.
5. Did the court err by
allowing the government to object during Garza's
closing argument?
Garza argues
next that the government objected so often
during his closing argument that he was "deprived
of his procedural rights to rebut the
government's accusations." The record does not
support this argument. Garza was given 1.5 hours
to close, which occupied 60 pages of transcript.
During Garza's argument, the government objected
eight times on the grounds that Garza
mischaracterized either the law or the evidence.
On most occasions, the court instructed the jury
to disregard any statements of law made by the
attorneys that were inconsistent with the
court's charge or to consider the evidence as
the jury remembered it. Our review shows that
while these objections were not entirely
fruitful, they were also not frivolous. As the
record reveals, the district court did not err,
plain or otherwise, by failing to curb the
government's objections.
Garza
complains in more detail that through one of
these objections, the government commented on
his failure to testify. This objection occurred
during the following exchange:
ATTORNEY FOR GARZA: Now, Mr.
Garza did not testify. And the reason he didn't
testify, ladies and gentlemen, is because that
decision was mine. He doesn't have--
GOVT: Objection, Your Honor.
That is a misstatement of the law. The
individual--
COURT: The objection is
overruled.
It is obvious
to us that the government did not manifestly
intend to comment on Garza's silence by this
objection, when Garza's silence had already been
raised by Garza's counsel. The government was
objecting to what it perceived as Garza's
implication that the decision not to testify is
made solely by the defendant's attorney.
Additionally, the jury would most naturally
construe this objection as a comment on Garza's
closing argument, rather than on his choice not
to testify. Garza's contention that the
government's brief objection highlighted his
decision to remain silent after he undertook to
raise the issue and explain his silence is
meritless. United States v. Mackay, 33 F.3d 489,
495 (5th Cir.1994).
The day after
the jury's guilty verdict, the district court
convened the penalty hearing. The jury made a
binding recommendation of a death sentence for
each of Garza's Sec. 848(e) convictions after
taking steps required by the statute.28
First, as to each murder, the jury was asked to
decide whether the government had established at
least one of the four aggravating "intent"
factors in Sec. 848(n)(1).29
Sec. 848(j). For the De La Fuente murder, the
jury found that Garza had intentionally killed
De La Fuente, (n)(1)(A), and that Garza had
intentionally engaged in conduct intending that
De La Fuente be killed and/or that lethal force
be employed against him, (n)(1)(C). For the
Rumbo murder, the jury again found both
(n)(1)(A) and (n)(1)(C) and for the Matos murder,
the jury found only (n)(1)(C). If the jury had
not unanimously found one of these factors to
exist for a murder, it could not have
recommended a death sentence for that murder.
Sec. 848(k).
Having found
the requisite aggravating intent for all three
killings, the jury then considered the second
category of statutory aggravating factors
derived from Sec. 848(n)(2)-(12). In this step,
the jury found that Garza had committed all
three murders after substantial planning and
premeditation, (n)(8), and that Garza procured
De La Fuente and Matos' killing by payment of
something of pecuniary value, (n)(6). Again, if
the jury had not unanimously found at least one
of these enumerated factors for any of these
killings, it could not have recommended death
for that particular murder. Sec. 848(k).
Having found
these second tier statutory aggravators to exist,
the jury was directed to determine whether the
government had proven any of its non-statutory
aggravators. In response to this inquiry, the
jury found that Garza was responsible for five
additional killings, that he procured two of
these killings by payment of something of
pecuniary value, that four of these killings
were committed after substantial planning and
premeditation, that two of these killings were
committed in furtherance of the CCE, and that
Garza represented a continuing danger to the
lives of others based upon his pattern of
violent and brutal acts.
The jury next
considered whether Garza had proven any
mitigating factors. Garza's jury found that
Garza had established the statutory mitigators
that he was under unusual and substantial duress,
that he was youthful, that other defendants who
were equally culpable would not be punished by
death and that the victims consented to the
criminal conduct that resulted in their deaths.
Although it did not specify which one, the jury
also found at least one mitigator from the list
of non-statutory mitigators that Garza had
introduced.
After making
these findings, the jury was instructed to
balance the aggravators against the mitigators.
The jury could recommend death only if it
unanimously found that the aggravators
sufficiently outweighed the mitigators to
justify a sentence of death. Even if it found
the aggravators sufficiently weighty, the jury
was never required to recommend death. After
considering the questions required by the
statute, Garza's jury recommended a death
sentence. Pursuant to Sec. 848(o ), the jurors
certified that they arrived at this decision
without considering the race, color, religion,
national origin or sex of Garza or his victims.
After the jury recommended death, the district
court imposed a death sentence as the statute
mandated. Sec. 848(l ).
1. Did Garza have a right
to have the jury informed that life imprisonment
without parole was the only alternative to a
death sentence?
a. Simmons
v. South Carolina
Garza contends
that the jury should have been told that if they
decided against a death sentence, his only
alternative sentence would be life imprisonment
without possibility of parole. Instead, Garza's
jury was informed that life without parole was a
possible sentence, but not the only other
sentence that the court could impose. Garza
relies on Simmons v. South Carolina, --- U.S.
----, 114 S.Ct. 2187, 129 L.Ed.2d 133 (1994),
which holds that when a defendant is legally
ineligible for parole and the government uses
the defendant's future dangerousness as an
aggravator, due process requires that the jury
be informed that if he is not executed, the
defendant will spend the rest of his life in
prison. Garza maintains his situation was
analogous to Simmons because he was ineligible
for anything less than a life sentence. For the
following reasons, we disagree.
1)
Alternative sentence
Under Sec.
848(e), if the jury had not recommended a death
sentence, the district court could have
sentenced Garza to "any term of imprisonment,
which shall not be less than 20 years, and which
may be up to life imprisonment." The district
court would then have been required to follow
the Sentencing Guidelines to arrive at an
appropriate sentence. Garza correctly points out
that under the base offense level for Sec.
848(e) murders, the available sentence is life
imprisonment. See U.S.S.G. Sec. 2A1.1 and
Sentencing Table. However, the Guidelines also
allow a district court to depart from the
assigned offense levels and impose a lesser
sentence.
Garza
acknowledges this point but contends that the
Guidelines would not have permitted a departure
in his case. Garza first argues that because the
jury made the aggravating findings that he
intentionally killed (or caused to be killed)
Matos, De La Fuente and Rumbo, Sec. 848(n)(1)(A)
and (n)(1)(C) made Garza ineligible for
departure under Sec. 2A1.1. He relies on comment
(n. 1) to Sec. 2A1.1 which provides that a
departure may be warranted if defendant did not
cause death intentionally. However, assuming
without deciding that the jury's findings of
intentional killing would be binding on the
sentencing judge and therefore prevent a
downward departure, the court could not predict
before the jury begins its deliberation whether
it is going to find the necessary intent. Thus,
when the attorneys make their final arguments in
the penalty phase and when the court gives its
penalty instructions, no one would know whether
life imprisonment would be the only permissible
sentence.
Garza also
contends that he does not qualify for departure
because none of the Guidelines' enumerated
grounds for departure (substantial assistance,
etc.) exist in his case. This contention is both
incorrect and insufficient. Garza's jury found
as a mitigator the fact that Garza was under
unusual and substantial duress, which might
qualify Garza for downward departure under Sec.
5K2.12. Further, Sec. 5K2.0 gives the district
court broad discretion to depart for any "mitigating
circumstance of a kind, or to a degree, not
adequately taken into consideration" by the
Guidelines. Thus, even if Garza did not fall
within an express departure category, the court
would not have been legally barred from finding
a different, legitimate reason to reduce his
sentence. In sum, because the Sentencing
Guidelines vest the district court with
discretion to adjust a life sentence downward, a
life sentence was not the only legal sentence
other than death that Garza might receive. In
such circumstances, the district court did not
err by preventing Garza from informing the jury
to the contrary either in voir dire or in his
closing argument, or by failing to tell them so
itself. Allridge v. Scott, 41 F.3d 213, 221-22
(5th Cir.1994), cert. denied, --- U.S. ----, 115
S.Ct. 1959, 131 L.Ed.2d 851 (1995); Kinnamon v.
Scott, 40 F.3d 731, 733 (5th Cir.), cert. denied,
--- U.S. ----, 115 S.Ct. 660, 130 L.Ed.2d 595
(1994).
2) Reliance
on future dangerousness
Garza further
urges that, even if the government did not
violate the express holding of Simmons, its
emphasis on future dangerousness was
inappropriate because it knew that anything less
than a life sentence was unlikely. However, the
record clearly shows that the government
primarily focused on the danger Garza would pose
while still in prison, making Garza's case
materially different than Simmons. Allridge, 41
F.3d at 222 n. 12 (citing Simmons, --- U.S. at
----, 114 S.Ct. at 2194). The government did
comment briefly on Garza's potential non-death
sentence after Garza himself repeatedly urged
the jury that life imprisonment would be
sufficient punishment. In rebuttal, the
government stated "The defense says, well, he is
going to die in prison, but the law is twenty
years to life. We don't know that he is going to
die in prison. The Judge can give him any term.
The only people who can give him the death
penalty is you." While Garza places great weight
on the reference to "any term", we are confident
that, in the context of the entire penalty phase,
the jury did not misunderstand the government's
statement. Garza also complains that by having
his cooperating co-conspirators testify about
their reduced sentences, the government
impressed the jury with the "revolving-door"
nature of the penal system. But Garza himself
repeatedly emphasized these witnesses' reduced
sentences in order to attack their credibility;
he cannot fairly claim now that such information
contributed to a Simmons violation.
This does not
mean that district courts should allow the
government to freely hammer away on the theme
that the defendant could some day get out of
prison if that eventuality is legally possible
but actually improbable. By this point in any
penalty hearing, the judge will have heard the
same evidence as the jury and will ordinarily
know whether he would consider a downward
departure if the jury declines to recommend
death. If the court knows that a twenty-year
sentence is highly unlikely, it should, in its
discretion, preclude the government from arguing
that the defendant may be free to murder again
two decades hence. But that is not what happened
in Garza's case, and we see no error in the way
the district court handled the issue.
b. Jury's
power to recommend a specific non-death
sentence.
Garza
maintains that the jury should have been given
accurate information about the non-death
sentencing alternatives because under Sec.
848(k), it was within the jury's power to
recommend a sentence of life imprisonment.30
First, we are satisfied, as indicated above,
that the jury was given accurate information
about the legally available non-death sentences.
Garza's
contention also rests on a misinterpretation of
Sec. 848(k) and the jury's role in sentencing
under that statute. According to Garza, the
legislative history of Sec. 848 requires us to
conclude that the jury has the power to
recommend a specific non-death sentence that is
binding on the court. However, we agree with the
Eleventh Circuit's well-reasoned interpretation
of the plain language of the statute and agree
that Sec. 848(k) is clear enough to be
interpreted without resort to legislative
history. Chandler,
996 F.2d at 1084-85. Section 848(k) must be
read in harmony with the rest of the statute,
particularly Secs. 848(l ) and 848(p), which
respectively read:
Upon the recommendation that
the sentence of death be imposed, the court
shall sentence the defendant to death. Otherwise
the court shall impose a sentence, other than
death, authorized by law;
If a person is convicted for
an offense under subsection (e) of this section
and the court does not impose the penalty of
death, the court may impose a sentence of life
imprisonment without possibility of parole.
Therefore, we
conclude that Sec. 848(k) does not allow the
jury to make a binding recommendation on any
sentence other than that of death.
Garza attempts
to distinguish Chandler because a Simmons issue
was not present in that case. This difference
has no bearing on whether Chandler properly
construed Sec. 848(k). Garza also asserts that
we must accept his interpretation of Sec. 848(k)
because it avoids the constitutional problem in
Simmons. But we need not construe a statute to
avoid a problem we have determined does not
exist. Additionally, since Simmons can be
satisfied with an appropriate jury instruction
in the appropriate case, Simmons need not inform
our construction of Sec. 848(k).
Lastly, Garza
points out that the recently adopted Federal
Death Penalty Act of 1994 gives the jury the
power to recommend either a death sentence or a
life sentence without parole. 18 U.S.C. Sec.
3593(f). However, under the law in effect at the
time of Garza's sentencing, the jury's only
responsibility was to recommend for or against
death and Garza advances no persuasive argument
for applying the 1994 Act. Therefore, we
conclude that Sec. 848(k) did not require the
jury to be informed that it could recommend a
sentence other than death.
2. Are the Sec. 848(n)(1)
findings and factors unconstitutional?
a. The
narrowing requirement
Garza argues
that the Sec. 848 sentencing scheme is
unconstitutional because the (n)(1) aggravators
do not narrow the class of defendants eligible
for the death penalty. As we previously
described, Sec. 848(n)(1) requires that the jury
find that the defendant either:
(A)
intentionally killed the victim,
(B)
intentionally inflicted serious bodily injury
which resulted in the death of the victim,
(C)
intentionally engaged in conduct intending that
the victim be killed or that lethal force be
employed against the victim, which resulted in
the death of the victim, or
(D)
intentionally engaged in conduct which:
(i) the
defendant knew would create a grave risk of
death to a person, other than one of the
participants in the offense; and
(ii) resulted
in the death of the victim.
These factors
act as both a gateway and as aggravators. If the
jury does not find at least one of these
factors, its consideration of a penalty of death
must stop; once the jury finds an (n)(1) factor,
it must later weigh that factor (along with
other aggravators) against any mitigating
factors. For the three murder convictions in
Garza's case, the jury found a total of five
(n)(1) factors.
Garza and the
government agree that these factors are taken
from Enmund v. Florida,
458 U.S. 782, 102 S.Ct. 3368, 73 L.Ed.2d
1140 (1982) and Tison v. Arizona,
481 U.S. 137, 107 S.Ct. 1676, 95 L.Ed.2d 127
(1987). In these decisions, the Supreme Court
described the minimal level of homicidal intent
that the Eighth Amendment requires before a
state may execute a defendant for murder. Taken
together, Enmund and Tison stand for the rule
that the state may not put to death a defendant
who did not "himself kill, attempt to kill, or
intend that a killing take place or that lethal
force will be employed," Enmund,
458 U.S. at 797, 102 S.Ct. at 3376, or
significantly participate in a felony with
reckless indifference to human life, Tison,
481 U.S. at 158, 107 S.Ct. at 1688. While
every state or federal capital punishment scheme
must provide for a factfinder to decide whether
the defendant is sufficiently culpable under
Enmund/ Tison, the Sec. 848 procedure is the
only scheme we have found which also uses the
Enmund/ Tison factors as aggravating
circumstances.
Garza contends
that the constitution does not permit an Enmund
/ Tison finding to be used as an aggravator
because the Enmund/ Tison culpability
requirement must be met in every case in which
the defendant can lawfully be executed. Thus,
Garza argues, "a sentencer fairly could conclude
that [it] applies to every defendant eligible
for the death penalty [and it] is
constitutionally infirm." Arave v. Creech, ---
U.S. ----, ----, 113 S.Ct. 1534, 1542, 123
L.Ed.2d 188 (1993). Although this argument is
appealing on its face, it ultimately must fail.31
The answer to
this issue lies in determining what the Creech
Court meant when it spoke of defendants who are
"eligible" for the death penalty. In other
words, to figure out whether an aggravator
narrows, we must first understand what class or
category of offenses or offenders it must narrow
from. Garza's argument necessarily depends on
the presumption that this class is defined in
part by Enmund/ Tison. But this is not the case.
Although
Lowenfield v. Phelps dealt with a different
issue, the Court's analysis there informs our
decision here. Like Sec. 848, the aggravating
circumstance in Lowenfield was included both as
an element of the crime and as an aggravator at
sentencing. Lowenfield was convicted of three
counts of first-degree (capital) murder, which
was defined as "the killing of a human being ...
(3) when the offender has a specific intent to
kill or to inflict great bodily harm upon more
than one person."
484 U.S. at 241-42, 108 S.Ct. at 553 (citing
La.Rev.Stat.Ann. Sec. 14:30 A). As the sole
aggravator, the jury found that "the offender
knowingly created a risk of death or great
bodily harm to more than one person." Id. To
determine whether this aggravator performed the
required narrowing function, the Lowenfield
Court looked to the larger class of all
murders--even though this class included felony
murders for which the death sentence could not
necessarily be imposed under Enmund/ Tison.
484 U.S. at 241 and 246, 108 S.Ct. at 553
and 555. Because the larger class included
defendants to whom the aggravator did not apply,
the Court concluded that the aggravator
narrowed.32
Garza was
convicted under Sec. 848(e), which reads in
part:
any person engaging in or
working in furtherance of a continuing criminal
enterprise ... who intentionally kills or
counsels, commands, induces, procures, or causes
the intentional killing of an individual, and
such killing results ... may be sentenced to
death.
The (n)(1)
factors roughly duplicate the statute's "intentionally
kills" element, so in order to determine whether
the (n)(1) factors narrow the class of
defendants eligible for the death penalty, we (like
the Lowenfield Court) contrast them to federally-defined
murders generally. Under 18 U.S.C. Sec. 1111:
Murder is the unlawful
killing of a human being with malice
aforethought. Every murder perpetrated by poison,
lying in wait, or any other kind of willful,
deliberate, malicious, and premeditated killing;
or committed in the perpetration of, or attempt
to perpetrate, any arson, escape, murder,
kidnapping, treason, espionage, sabotage,
aggravated sexual abuse or sexual abuse,
burglary, or robbery ... is murder in the first
degree. Any other murder is murder in the second
degree.
Section 1111
includes simple felony murder; to be guilty of
first degree murder, the defendant need only
have intended to commit the underlying felony.
No other mens rea is required. United States v.
Thomas,
34 F.3d 44, 48-49 (2d Cir.), cert. denied,
--- U.S. ----, 115 S.Ct. 527, 130 L.Ed.2d 431
(1994); United States v. Chischilly,
30 F.3d 1144, 1159-60 (9th Cir.1994), cert.
denied, --- U.S. ----, 115 S.Ct. 946, 130
L.Ed.2d 890 (1995). See also United States v.
Browner,
889 F.2d 549, 552 n. 2 (5th Cir.1989)
(aspects of traditional felony-murder rule
survive in Sec. 1111). Thus, Sec. 1111
encompasses defendants that would not
necessarily qualify for the death penalty under
Enmund and Tison.
By selecting
out only those defendants who were at least
reckless of killing, the (n)(1) factors
genuinely narrow the class of defendants who
have committed murder. This is precisely what
the constitution requires. Tuilaepa v.
California, --- U.S. ----, 114 S.Ct. at 2634,
129 L.Ed.2d 750 ("[t]o render a defendant
eligible for the death penalty in a homicide
case ... the trier of fact must convict the
defendant of murder and find one [aggravator] at
either the guilt or penalty phase"); Zant v.
Stephens,
462 U.S. 862, 877, 103 S.Ct. 2733, 2742, 77
L.Ed.2d 235 (1983) (capital sentencing scheme
must "genuinely narrow that class of persons
eligible for the death penalty and must justify
the imposition of a more severe sentence on the
defendant compared to others found guilty of
murder"). That the federal definition of murder
does not include the Enmund/ Tison culpability
requirement is not of constitutional concern.
What Lowenfield suggests in operation, the
Supreme Court has stated elsewhere directly:
Enmund "does not affect the state's definition
of any substantive offense, even a capital
offense" and "does not supply a new element of
the crime of capital murder that must be found
by the jury." Cabana v. Bullock,
474 U.S. 376, 385 and n. 3, 106 S.Ct. 689,
696 and n. 3, 88 L.Ed.2d 704 (1986).33
If we were to
agree with Garza's argument on this point we
would also have to ignore the "settled
principle" that "the sentencer should consider
the circumstances of the crime in deciding
whether to impose the death penalty." Tuilaepa,
--- U.S. at ----, 114 S.Ct. at 2637. And lastly,
we find significant the fact that we are dealing
with a statute that includes an additional
narrowing factor (killing in furtherance of a
CCE ) and requires the jury to find not just
Enmund/ Tison culpability but at least one other
narrowing aggravator. Sec. 848(n)(2)-(12).
We conclude
that the Enmund/ Tison culpability factors only
apply to a subclass of defendants that may be
sentenced to death. For this reason, we hold
that the (n)(1) aggravating factors narrow the
class of defendants eligible for the death
penalty and are constitutionally sound.
b. Sufficiency
of the evidence
Garza contends
next that two of his death sentences are invalid
because they are based on multiple (n)(1)
factors. As we have already said, for the Rumbo
and De La Fuente murders, the jury found that
Garza intentionally killed the victims,
(n)(1)(A), and also that he intentionally
engaged in conduct intending that the victims be
killed or that lethal force be employed against
the victims, which resulted in the death of the
victims, (n)(1)(C). Garza maintains both that
these findings violate the prohibition on the
use of redundant aggravators and as to the De La
Fuente murder, the (n)(1)(A) aggravator is
unsupported by the evidence.
In support of
his first argument, Garza relies on numerous
state court decisions vacating death sentences
where the jury's verdict was predicated on
multiple aggravators based on the same
underlying evidence. For example, in Randolph v.
State, 463 So.2d 186, 193 (Fla.1984), cert.
denied,
473 U.S. 907, 105 S.Ct. 3533, 87 L.Ed.2d 656
(1985), the court held that it was error to find
as separate aggravators the facts that the
murder was (1) committed during the commission
of a robbery and (2) committed for pecuniary
gain. The court reasoned that these factors
overlapped and really constituted only one
aggravating circumstance. Garza argues that the
multiple (n)(1) findings are invalid for the
same reason.
We find these
cases inapposite. In cases like Randolph, the
aggravators simply described the same conduct or
motive in two different ways (i.e., a defendant
who robs is usually seeking pecuniary gain).
However, intentionally killing and intentionally
engaging in conduct intending that the victim be
killed are not necessarily identical conduct. A
defendant who personally murders a victim has a
different mental state than one who pays others
to kill. Similarly, a defendant who personally
kills and hires others to assist him during the
killing has more than one blameworthy intention.
Although the ultimate goal is the same--the
victim's death--the defendant's intentions as to
how he will achieve that goal are not singular.
It is not irrational for Congress to decide that
a defendant with such dual intent should be
treated as more deserving of death than a
defendant with only one.
Garza also
maintains that the evidence does not support the
jury's (n)(1)(A) finding that he intentionally
killed De La Fuente.34
In brief, the evidence showed that on the night
of the murder, Garza gave Jesus Flores and
Israel Flores a handgun, drove them to De La
Fuente's nightclub, where De La Fuente would be
that night, and told them to kill De La Fuente
when he left the club. Garza contends that
because he did not perform the act that
immediately resulted in De La Fuente's death,
the jury erred by finding that he "intentionally
killed the victim." However, under the
particular facts of this killing, we find that
the jury could legitimately find that Garza
intentionally killed De La Fuente.
Although the
term "killed" is not defined in Sec. 848, we
have no doubt that Congress did not intend to
limit that term to one who kills alone without
help or assistance. Thus, we are persuaded that
"killed" includes one who actively participates
with others in a killing. Although Garza was not
present at the very moment of De La Fuente's
death, the jury was entitled to conclude that he
actively participated in it by furnishing the
weapon, determining when, where and how the
victim would be killed, bringing his hit men to
the scene, and giving them explicit
instructions. Garza both contracted for this
killing and actively participated in it. For
this reason, the jury was entitled to conclude
that Garza had two roles in this murder--he
helped to kill the victim and he engaged in
"conduct intending that the victim be killed."
We conclude that the evidence supports both the
(n)(1)(A) and (n)(1)(C) findings for the De La
Fuente killing.
3. Is the Sec. 848(n)(8)
"substantial planning" aggravator
unconstitutionally vague?
Under Sec.
848(n)(8), the government may prove as an
aggravating factor that "[t]he defendant
committed the offense after substantial planning
and premeditation." Garza maintains that this
factor is invalid because it is
unconstitutionally vague. At sentencing, the
government sought to prove and the jury found
that the (n)(8) aggravator existed for all three
of the substantive murder convictions and four
of the aggravating murders.
Garza argues
that the (n)(8) aggravator is unconstitutionally
vague and that the district court's instructions
failed to cure this defect. Before trial, Garza
made the unsuccessful objection that the (n)(8)
factor was vague and facially unconstitutional.
The government now argues that Garza never
requested the district court to further define
"substantial planning" and urges us to apply the
plain error standard to the jury instructions.
Our review of the record reveals that the
district court was fully aware of Garza's
objection to this factor and told Garza that he
had preserved his objection in full. The plain
error standard is therefore not appropriate in
this circumstance.
An aggravating
factor must "channel the sentencer's discretion
by [a] clear and objective standard[ ] that
provide[s] specific and detailed guidance,"
Creech, --- U.S. at ----, 113 S.Ct. at 1540, and
adequately "inform juries what they must find to
impose the death penalty," Maynard,
486 U.S. at 361-62, 108 S.Ct. at 1858. As
the Supreme Court has recently explained,
"Because the 'proper degree of definition' of
[aggravating and mitigating] factors often 'is
not susceptible of mathematical precision,' our
vagueness review is quite deferential."
Tuilaepa, --- U.S. at ----, 114 S.Ct. at 2634
(quoting Walton,
497 U.S. at 655, 110 S.Ct. at 3058). We will
uphold an aggravating factor "if it has some
'common-sense core meaning ... that criminal
juries should be capable of understanding.' "
Id. (quoting Jurek v. Texas,
428 U.S. 262, 96 S.Ct. 2950, 49 L.Ed.2d 929
(1976) (White, J., concurring in judgment)).
Garza
maintains that the term "substantial" is vague
because it is subjective and has different
meanings: it can be used to refer either to
something of high magnitude or to something that
is not imagined or fanciful. However, we agree
with the Northern District of Illinois, which
upheld the (n)(8) aggravator against exactly
this challenge and concluded that "the
'substantiality' requirement is frequently
encountered and readily understood in a number
of contexts in criminal law." Cooper, 754
F.Supp. at 623. See, e.g., United States v.
Sutton,
961 F.2d 476, 478 (4th Cir.), cert. denied,
--- U.S. ----, 113 S.Ct. 171, 121 L.Ed.2d 118
(1992) ("substantial step" not vague); United
States v. Rovetuso,
768 F.2d 809, 821 (7th Cir.1985), cert.
denied,
474 U.S. 1076, 106 S.Ct. 838, 88 L.Ed.2d 809
(1986) (same); United States v. Johnson,
575 F.2d 1347, 1357 (5th Cir.1978), cert.
denied,
440 U.S. 907, 99 S.Ct. 1213, 59 L.Ed.2d 454
(1979) ("substantial income" not vague). In each
of these cases, the term "substantial" was used
to denote a thing of high magnitude and each of
these courts concluded that the term alone,
without further explanation, was sufficient to
convey that meaning and to enable the jury to
make an objective assessment. Cf. Blystone v.
Pennsylvania,
494 U.S. 299, 307-09, 110 S.Ct. 1078, 1084,
108 L.Ed.2d 255 (1990) (upholding against a
different challenge "substantial impairment" as
a mitigator).35
Garza argues
that Maynard supports his position because it
holds that the term "especially" failed to guide
the sentencer's discretion. However, we agree
with the government that the Maynard Court
condemned the phrase "especially heinous" not
because "especially" is vague but because
"heinous" was, and adding "especially" did not
cure that problem.
486 U.S. at 364, 108 S.Ct. at 1859.
In sum, we
conclude that the (n)(8) aggravator is
sufficiently definite and objective to pass
constitutional muster. The district court did
not err by submitting this factor to the jury or
by failing to further define the term
"substantial."
4. Did the penalty
instructions misstate the law?
Garza next
challenges the verdict form and several penalty
phase instructions.36
Before we consider each alleged error
individually, we pause to express the general
standards that will guide our analysis. A
district court has substantial latitude in
framing its instructions to the jury. United
States v. McKinney,
53 F.3d 664, 676 (5th Cir.1995); United
States v. Willis,
38 F.3d 170, 179 (5th Cir.), cert. denied,
--- U.S. ----, 115 S.Ct. 2585, 132 L.Ed.2d 834
(1995). When reviewing challenges to jury
instructions, we take into account the court's
charge as a whole and the surrounding context of
the trial, including arguments made to the jury.
Id.; McKinney,
53 F.3d at 676. Assuming that the defendant
raised the error below, we will reverse only if
the instructions do not correctly reflect the
legal issues. Id. Thus, even if a portion of the
instruction is not technically perfect, we will
affirm if the charge in its entirety presents
the jury with a reasonably accurate picture of
the law. United States v. Branch,
46 F.3d 440, 442 n. 2 (5th Cir.1995). If the
defendant did not object below, however, we
review for plain error. Willis,
38 F.3d at 179.
a. The
unanimity requirement
Garza first
argues that the verdict form created a
substantial possibility that the jury believed
that any decision rejecting the death penalty
had to be unanimous. Specifically, Garza objects
to the portion of the form which read:
We, the Jury, unanimously
find that the aggravating factors presented in
this case sufficiently outweigh any mitigating
factor or factors that have been found to exist,
or in the absence of mitigating factors, the
aggravating factors are themselves sufficient,
and recommend that a sentence of death shall be
imposed.
Answer "Yes" or "No".
ANSWER: _____
The form then
included a line for each juror to sign.
Garza
complains that the word "unanimously" should not
have been included in this instruction. Garza
posits that the question led the jury to believe
that they could not answer "No" unless they
unanimously did not recommend a death sentence.
In other words, Garza argues that the jury could
have understood this form to mean that all
twelve jurors had to agree not to impose the
death penalty, an understanding that is
obviously inconsistent with Sec. 848(k).37
Garza also complains that the form did not
contain a statement informing the jury that they
were never required to recommend death.
If Garza's
interpretation is one that "a reasonable jury
could have drawn from the instructions given by
the trial judge and from the verdict form
employed in this case," we would find that the
district court erred. Mills v. Maryland,
486 U.S. 367, 375-76, 108 S.Ct. 1860, 1866,
100 L.Ed.2d 384 (1988). And if this form was the
only guidance the jury received on this point,
reversal might be required. However, when we
consider the verdict form as supplemented by the
court's charge, we have no doubt that the jury
did not interpret the verdict form in this
fashion.
At the very
outset of the punishment phase, the court twice
told the jury that "the jury does not ever have
to make [a death penalty] recommendation." Later
during its introductory remarks, the court
informed the jury that it did not unanimously
have to agree on the mitigating factors, that
"[o]ne of you is all that is required." The
court stated that while all twelve jurors had to
agree to recommend death, "[i]f any one of you
... do not recommend death" then the court would
perform the sentencing.
At the close
of the punishment phase evidence, the court
again repeatedly told the jury that "[a]ll
twelve of you do not have to agree as to a
mitigating factor. Only one of you has to be
persuaded ..." The court stressed several times
that "under no circumstances do you ever have to
recommend death. Under no circumstances. In
order for death to be recommended, all twelve of
you must agree." The court also stated that "any
member who finds by a preponderance of the
evidence the existence of a mitigating factor
may consider such factor established for his or
her weighing of aggravating and mitigating
factors regardless of the number of other jurors
who agree that such mitigating factor has been
established." During his closing argument,
Garza's attorney likewise emphasized that the
jury was never required to impose a death
sentence and that if only one juror disagreed,
the jury could not recommend death.
Our review of
the record leaves us firmly convinced that no
reasonable juror would interpret the verdict
form to require that the decision not to
recommend death must be unanimous or that the
jury was somehow required to impose death. Thus,
the court did not abuse its discretion by
tendering this verdict form to the jury.
b.
Reinstruction on Garza's failure to testify
Garza contends
that the district court erred by failing to tell
the jury that they were to draw no unfavorable
inference from Garza's failure to testify at the
sentencing hearing. Carter v. Kentucky,
450 U.S. 288, 101 S.Ct. 1112, 67 L.Ed.2d 241
(1981). Garza requested such an instruction at
the guilt phase and the district court gave it.
Garza never asked the court to give such an
instruction at the sentencing phase and did not
object to the court's proposed punishment
instructions even though they did not include
this charge. Accordingly, we review for plain
error. United States v. Gibson,
55 F.3d 173, 180 (5th Cir.1995).
We conclude
that the district court did not plainly err by
not spontaneously giving another Carter
instruction at Garza's punishment hearing. As
the Carter Court itself clarified, "a criminal
trial judge must give a 'no-adverse-inference'
jury instruction when requested by a defendant
to do so."
450 U.S. at 300, 101 S.Ct. at 1119. Garza
attempts to persuade us that the rights
safeguarded by Carter are sufficiently important
that the failure to give such an instruction can
never be harmless. This is clearly not the case.
United States v. Gomez-Olivas,
897 F.2d 500, 501-02 (10th Cir.1990)
(because court is only required to give
"no-adverse-inference" instruction when
requested, failure to give unrequested
instruction that defendant could not be
compelled to testify was also not error).
Garza has not
shown that, in his own case, the lack of a
Carter instruction affected his substantial
rights. In spite of Garza's silence, the jury
found several mitigating factors on his behalf
and declined to find several of the aggravating
factors that the government had attempted to
prove. Both these facts strongly imply that the
jury evaluated the evidence fairly and
objectively without the instruction and did not
make its findings on the basis of an unfair
prejudice. The record also reveals that no party
made reference to Garza's failure to testify at
his penalty hearing. Moreover, we note that the
punishment phase evidence against Garza was
overwhelming and egregious and included five
aggravating murders. In these circumstances, the
fact that the jury was not given a second Carter
instruction did not amount to plain error.
c. Standard of
proof
Lastly, Garza
maintains that the district court erred by
instructing the jury that the aggravators had to
"sufficiently outweigh" the mitigators in order
for the jury to recommend death, instead of
instructing them that the aggravators had to
outweigh the mitigators beyond a reasonable
doubt. Again, Garza did not object to this
portion of the verdict form or the charge.
Garza's failure to object is particularly
noteworthy considering that during verdict form
conference, the court expressly deleted the
reasonable doubt standard and substituted the
"sufficiently outweigh" standard, asked for
objections and received none. Thus, the plain
error standard applies.
Under any
standard, however, the district court committed
no error. The court took the "sufficiently
outweigh" language directly from Sec. 848(k).
Although Garza fervently argues that the
reasonable doubt standard is most appropriate in
cases where the defendant's life is on the line,
he provides no authority that establishes that
the Constitution requires this standard. Indeed,
the Supreme Court has "never held that a
specific method for balancing mitigating and
aggravating factors in a capital sentencing
proceeding is constitutionally required."
Franklin v. Lynaugh,
487 U.S. 164, 179, 108 S.Ct. 2320, 2330, 101
L.Ed.2d 155 (1988) (plurality); Zant v.
Stephens,
462 U.S. 862, 875-876 n. 13, 103 S.Ct. 2733,
2742 n. 13, 77 L.Ed.2d 235 (1983); Sonnier v.
Maggio,
720 F.2d 401, 408 (5th Cir.1983), cert.
denied,
465 U.S. 1051, 104 S.Ct. 1331, 79 L.Ed.2d
726 (1984). Thus, we conclude that the court's
penalty instruction based on the language of
Sec. 848(k) is constitutionally valid. Accord
Chandler,
996 F.2d at 1091-92.38
As we stated
earlier, Manuel Flores was convicted of
murdering Gilberto Matos and Erasmo De La Fuente
in furtherance of Garza's CCE and of conspiring
to import and possess over 1,000 kilograms of
marijuana. Flores raises two evidentiary issues.
Flores first
argues that the district court erred by
admitting his oral confession. While Flores was
incarcerated for a previous conviction, he was
twice visited by United States Customs Service
Agent Mark Reich. During Agent Reich's first
visit, Flores denied that he had anything to do
with murdering Matos or De La Fuente. When Agent
Reich called on him a second time, however, he
confessed to both murders. Before trial, Flores
moved to suppress his confession, arguing that
he had not been properly informed of his Miranda
rights and that the confession was unreliable
because it was not tape recorded or witnessed by
anyone other than Agent Reich. After a hearing,
the district court found that Agent Reich had
given Flores oral Miranda warnings and denied
the motion to suppress.
Flores now
argues that under Fed.R.Evid. 403, the district
court should have excluded his confession
because it was so unreliable that its probative
value was outweighed by the danger of unfair
prejudice. Flores is not arguing that his
confession is unreliable because it was coerced;
nor does he contest the district court's factual
findings that he received adequate Miranda
warnings and was not threatened or intimidated.
Indeed, Flores produced no evidence suggesting
that Agent Reich's testimony is inaccurate.
Instead, Flores essentially argues that without
a written waiver, a recording, or more than one
witness, an out-of-court confession should be
excluded because it is unreliable as a matter of
law.
When the
evidentiary value of an out-of-court confession
depends on the credibility of the officer who
repeats it, the court correctly allows the jury
to make this call. United States v. Rico,
51 F.3d 495, 507 n. 33 (5th Cir.1995).
Flores has not provided any reason why the
district court should have excluded Flores'
confession as either unreliable or unfairly
prejudicial. The district court did not err in
admitting Flores' oral confession.
In two
conclusory sentences, Flores also asserts that
his conviction was based solely on an
un-corroborated oral confession. Flores has
failed to sufficiently brief this argument and
we consider it waived. McKethan,
996 F.2d at 739 n. 9. Additionally, our
review of the record shows that Flores'
confession was corroborated by other evidence,
including the co-conspirator statements that are
the subject of his next argument.
Flores argues
that the district court erred by permitting
Baldomero Medina-Garza (Medina), Rolando
Vasquez, Jorge Vela-Garcia and Gregory Strader
to testify to out-of-court statements made by
other conspirators about the murders of De La
Fuente and Matos. The court allowed their
testimony over Flores' hearsay objections. On
appeal, Flores maintains that these statements
were not admissible under Fed.R.Evid.
801(d)(2)(E) because they were not made in
furtherance of the conspiracy, but instead were
idle chatter and bragging. We review the
district court's decision to admit this
testimony for abuse of discretion. United States
v. McConnell,
988 F.2d 530, 533 (5th Cir.1993).
Flores first
maintains that Medina should not have been
allowed to testify that Juan Garza had told him
that Garza arranged for Matos and De La Fuente
to be killed. Flores argues that because Medina
believed that Garza made this statement out of
overweening pride, the statement was simple
boasting and not in furtherance of the
conspiracy. However, the district court was
entitled to conclude that Garza made these
statements in order to encourage loyalty and
obedience among the conspirators, a purpose
clearly in furtherance of the conspiracy.
Flores next
asserts that Vela-Garcia should not have been
allowed to testify that Jesus Flores told him
that Jesus and Manuel Flores had killed De La
Fuente and that Garza had paid Jesus for the
job. However, this statement is also in
furtherance of the conspiracy; not only did it
inform Vela-Garcia of the progress of the
conspiracy, it provided a money incentive for
Vela-Garcia to assist the conspiracy in future
murders. See United States v. Pool,
660 F.2d 547, 562 (5th Cir.1981) (statement
keeping others abreast of conspiracy's status is
in furtherance); United States v. Simmons,
923 F.2d 934, 945 (2d Cir.1991), cert.
denied,
500 U.S. 919, 111 S.Ct. 2018, 114 L.Ed.2d
104 (1992) (statements inducing assistance are
in furtherance). Flores does not tell us what
other specific statements he believes should
have been excluded, but our review of the entire
record shows that all of the admitted
conspirator statements furthered the conspiracy
in similar ways. We conclude that the district
court did not abuse its discretion by allowing
this testimony.
For the
reasons stated above, the convictions and
sentences of Garza and Flores are AFFIRMED.
Count 1: conspiracy to import
more than 1,000 kilograms of marijuana into the
U.S. from Mexico, 21 U.S.C. Secs. 963, 952(a)(2)
and 960(b)(1)(G);
Count 2: conspiracy to
possess with intent to distribute more than
1,000 kilograms of marijuana, 21 U.S.C. Secs.
846, 841(a)(1) and 841(b)(1)(A)(vii);
Count 3: possession with
intent to distribute approximately 163.6
kilograms of marijuana, 21 U.S.C. Secs.
841(a)(1) and 841(b)(1)(B)(vii); 18 U.S.C. Sec.
2;
Count 4: possession with
intent to distribute approximately 95.4
kilograms of marijuana, 21 U.S.C. Secs.
841(a)(1) and 841(b)(1)(C); 18 U.S.C. Sec. 2;
Count 5: possession with
intent to distribute approximately 596.3
kilograms of marijuana, 21 U.S.C. Secs.
841(a)(1) and 841(b)(1)(B)(vii); 18 U.S.C. Sec.
2.
We are unsure whether Garza
means to challenge the court's failure to
individually question each juror about pretrial
publicity. However, our review of the record
discloses that the group questioning on this
topic elicited a large number of responses and
that the court followed this up with thorough
individual questioning of the responding jurors.
We see no abuse of discretion on this issue,
either
Garza also criticizes the
court for refusing the proposed questionnaire
and for substituting one that contained no
questions on the death penalty or pretrial
publicity. However, because the court provided
for adequate questioning on all issues during
jury selection, the court's limitation on the
questionnaire was not an abuse of discretion.
Ms. Nieto stated that she
could only impose the death penalty if the case
"involved a rape and the murder of a small child
two or three years old." When the court
questioned her further, she said "Under no other
circumstances. Only if it involved a small
child." Later, when the court asked Ms. Nieto if
she could follow the law, she replied, "Oh, I
would only follow the law if it involved a case
such as I stated; otherwise, no." The court then
sustained the government's for-cause challenge
Ms. Martinez initially told
the court that she was not in favor of the death
penalty, no matter how terrible the crime. When
the court asked her about a hypothetical case
involving the abuse of a three year old child,
she stated that she might change her mind if the
victim was a child. The court asked if she could
envision imposing death in any other case and
she replied that she could not. The court then
proposed the murder of a 20 year old disabled
victim who was abused and murdered and Ms.
Martinez answered, "When I say the death
penalty, it makes me shake my body all over."
After persistent questioning from the court and
counsel, Ms. Martinez apparently became
distraught and said, "It is very hard for me to
answer because it is the same question. Death
penalty." After the court noted several times on
the record that Ms. Martinez was becoming
emotional it gently excused her.
Mr. Narup stated that he
would not be able to believe even an eye witness
to a murder. As Mr. Narup himself put it, "They
make erasers on pencils but they don't make an
antidote for a lethal injection." The court
carefully explained the reasonable doubt
standard and Mr. Narup responded:
I would probably always have
a reasonable doubt. That is the problem. Again,
... I am not strict against the death penalty.
If I saw somebody committing a murder and I had
a gun, I would shoot him. I am not against that,
but I am against shooting the guy whenever he
may not have done it. Somebody else comes over
and said he did it. I don't know that he did or
not. I don't know this guy's motives. I would
have a reasonable doubt in my head.
Defense counsel attempted to
rehabilitate Mr. Narup by asking whether he
could sit in judgment of a defendant who had
killed the President, to which Mr. Narup
retorted, "If Oswald hadn't been shot they would
have executed him, wouldn't they? Right now they
still don't know whether he did it or not."
Only two of these venire
members went on to serve as jurors. However, the
record does not reveal whether Garza had to use
peremptory challenges to have the others
excluded
In a footnote, Garza asserts
that the district court's denial of his motion
for a change of venue was an abuse of
discretion. Garza has pointed to nothing in the
record in support of this argument; thus, we
find that Garza has insufficiently presented
this issue for review. McKethan v. Texas Farm
Bureau,
996 F.2d 734, 739 n. 9 (5th Cir.1993), cert.
denied, --- U.S. ----, 114 S.Ct. 694, 126
L.Ed.2d 661 (1994)
Ms. Scheiner stated that her
children had grown up with Parker's and that
during that time, she travelled with Parker's
wife to Mexico. Ms. Scheiner also clarified that
in the past ten years, their children had gone
separate ways and it had been a long time since
she had seen Parker
Ms. Casas had children who
grew up with the children of Luis Romero, a
witness from the Texas Department of Public
Safety; had a niece-in-law whom she thought
worked for Immigration and whom she had not seen
in three or four years; and had relatives on
various police forces
Mr. Robles had friends who
worked for Immigration, the Brownsville Police
Department, and as a Justice of the Peace. He
also knew Tony Torres, a prosecution witness,
but stated that he would not give his testimony
any greater weight
For example, one conspirator
told Garza "The comrade, the one who doesn't
drink, is over there looking at the nest."
Berndt Garcia testified that this meant that
another conspirator was out surveying a landing
strip for Garza's plane
In passing, Garza also
suggests that because the vehicle was moved from
the side of the highway (the location named in
Flores' written consent), the consent was no
longer valid. As the evidence shows that Flores
agreed to move the car and, in fact, moved it
himself, this argument is meritless
Because we uphold the search
on this ground, we do not address Garza's
arguments that the troopers lacked probable
cause to search the Toronado and that the
circumstances did not justify the troopers'
failure to obtain a warrant
Garza also states that the
government did not include the witnesses'
addresses on this list as required by 18 U.S.C.
Sec. 3432. However, because Garza did not raise
this issue below or include the witness list in
the record, we are unable to review this issue.
See United States v. Carrillo-Figueroa,
34 F.3d 33, 39 (1st Cir.1994); United States
v. Vasquez,
985 F.2d 491, 494-95 (10th Cir.1993)
Garza also complains that the
government interfered with his attempts to
interview a prosecution witness. However, while
this witness was generally uncooperative, the
record contains nothing to show that the
government itself did anything to hinder his
attempts to talk with her
This about-face apparently
happened when Trooper Castillo told Garza, in
effect, that since the money was not his, he
surely would not mind signing a form releasing
the money to the state
For an additional overview of
the Sec. 848 scheme, see U.S. v. Chandler,
996 F.2d 1073, 1082-83 (11th Cir.1993),
cert. denied, --- U.S. ----, 114 S.Ct. 2724, 129
L.Ed.2d 848 (1994)
As Garza is zealous to point
out, this is a different issue than other courts
have confronted in upholding the (n)(1) factors.
Compare Chandler,
996 F.2d at 1092-93; United States v.
Pitera, 795 F.Supp. 546, 556-57 (E.D.N.Y.1992);
United States v. Pretlow, 779 F.Supp. 758,
771-73 (D.N.J.1991); United States v. Cooper,
754 F.Supp. 617, 621-22 (N.D.Ill.1990), aff'd.,
19 F.3d 1154 (1994). In each of these cases,
the defendant argued that the (n)(1) factor
unconstitutionally duplicated an element of the
offense. These courts correctly rejected this
argument for the reasons given in Lowenfield v.
Phelps,
484 U.S. 231, 108 S.Ct. 546, 98 L.Ed.2d 568
(1988). In contrast, Garza's argument does not
hinge on the fact that Enmund culpability is
both an aggravator and a statutory element; his
argument would be the same even if intent was
not part of capital murder under Sec. 848(e)
Indeed, in Creech itself, the
Court compared the disputed aggravator against a
class that was defined without regard to Enmund/
Tison. To determine whether the factor
"cold-blooded, pitiless slayer" narrowed, the
Creech Court contrasted it with the broad class
of state-defined capital murders, which, again,
encompassed certain kinds of simple felony
murder. --- U.S. at ----, 113 S.Ct. at 1543
For these reasons alone, we
are satisfied that the (n)(1) factors perform
the constitutionally required narrowing
function. However, as Garza relies heavily on
principles taken from Godfrey v. Georgia,
446 U.S. 420, 100 S.Ct. 1759, 64 L.Ed.2d 398
(1980), and Maynard v. Cartwright,
486 U.S. 356, 108 S.Ct. 1853, 100 L.Ed.2d
372 (1988), we stop to explain why these
opinions do not alter our decision on this
issue. In the first place, Godfrey and Maynard
were primarily concerned with aggravators which
were unconstitutional because they were vague.
See Godfrey,
446 U.S. at 428, 100 S.Ct. at 1764-65
("outrageously or wantonly vile, horrible or
inhuman"); Maynard,
486 U.S. at 363-64, 108 S.Ct. at 1859
("especially heinous, atrocious, or cruel").
However, the difference between those
aggravators on the one hand and the (n)(1)
aggravators on the other is not simply that
those terms were vague while the (n)(1) terms
are not. The Godfrey and Maynard aggravators
were simply descriptive--adjectives that a jury
could impose on the facts of any murder. In
contrast, the (n)(1) factors are objective facts
that not every jury will find in every murder,
even murders under Sec. 848(e). Cf. U.S. v.
Villarreal,
963 F.2d 725 (5th Cir.), cert. denied, ---
U.S. ----, 113 S.Ct. 353, 121 L.Ed.2d 267 (1992)
(defendant was guilty of Sec. 848(e) capital
murder because he aided and abetted the killer,
but jury found no (n)(1) factor). While all
murders may be heinous, not all murderers intend
to kill
Under Sec. 848(q)(3)(B), we
affirm Garza's sentence if we determine that "the
information supports the special finding of the
existence of every aggravating factor upon which
the sentence was based...."
Victor v. Nebraska, --- U.S.
----, 114 S.Ct. 1239, 127 L.Ed.2d 583 (1994),
and Arnold v. State, 236 Ga. 534, 541-42, 224
S.E.2d 386 (1976), relied on by Garza, do not
support a contrary conclusion
In one gargantuan footnote,
Garza asserts a laundry list of faults in the
verdict form, most of which were not briefed
elsewhere. Other than citing the Fifth, Sixth
and Eighth Amendments to the U.S. Constitution,
Garza provides nothing to support his bald claim
that because of these characteristics, the
verdict form as a whole deprived Garza of due
process of law. These issues are not adequately
briefed to merit consideration. McKethan,
996 F.2d at 739 n. 9. See also Fed.R.App.P.
28(a)(6)
Garza's interpretation of the
verdict form gains support from the district
court's own actions during the conference. At
one point, the court stated:
We will modify it to reflect,
"We, the jury, having found"--well, We, the jury,
find that the aggravating factors sufficiently
outweigh any--
Well, it is not unanimous
because "No" doesn't require. I don't want
unanimously in there.
I will tell them that. I am
saying, I don't want to--"No" doesn't require
unanimous.
This statement was directed
in part to the court clerk, who later asked the
court to clarify how it wanted the form to read.
From the record, it appears that the court
wanted the term "unanimously" deleted but the
clerk accidentally left it in the form that was
eventually given to the jury.
Garza lastly contends that
the district court erred by admitting hearsay,
in the form of a newspaper article, during the
punishment hearing. This argument is meritless.
Sec. 848(j)