Alvin Urial Goodwin, III,
Petitioner-Appellant,
v.
Gary L. Johnson, Director, Texas Department of
Criminal Justice,
Institutional Division, Respondent-Appellee.
No. 95-20134
Federal
Circuits, 5th Cir.
January 15, 1998
Appeal from the
United States District Court for the Southern
District of Texas.
Before KING, JOLLY and DeMOSS,
Circuit Judges.
KING, Circuit Judge:
The opinion entered in this cause
on December 23, 1997, is withdrawn, and the
following opinion is substituted therefor.
Alvin Urial Goodwin, a Texas
death row inmate convicted of capital murder,
challenges the district court's denial of his
petition for a writ of habeas corpus. Goodwin has
alleged, among other things, that his appellate
counsel provided constitutionally ineffective
assistance because he failed to raise a state law
issue that would have required reversal on direct
appeal. We affirm the district court's denial of
habeas relief on this claim because the trial
court's error that formed the basis of this omitted
issue on appeal did not render Goodwin's trial
fundamentally unfair or its result unreliable.
We also affirm the judgment of
the district court denying relief in all other
respects, except that we vacate that portion of the
district court's judgment denying Goodwin habeas
relief on his Fifth Amendment claim and remand for
an evidentiary hearing to resolve the fact issue
underlying that claim.
I. FACTUAL BACKGROUND
On December 1, 1986, Montgomery
County Sheriff's deputies received a report of a
theft at the trailer house of James Douglas
Tillerson. Further investigation revealed that
Tillerson's trailer house had been ransacked and
that a VCR, some video cassettes, phonograph records,
and a bayonet were missing from the house. Tillerson
had not reported for work that morning and had not
been seen since the previous Sunday.
On January 17, 1987, trail riders
discovered Tillerson's body approximately two and
one-half miles from his trailer at the edge of the
woods near Fawnmist Road in Montgomery County. An
examination of Tillerson's body disclosed that he
had been dead for approximately one month and had
died from a gun-shot wound to the head. A second gun-shot
wound had been made by a bullet entering Tillerson's
right arm and exiting at the forearm. A bullet was
recovered from the body's clothing and fragments of
a bullet were later discovered in the immediate area
where the body had been found.
Friends of Tillerson informed
police that Tina Atkins, also a friend of the victim,
had told them that a VCR, bayonet, and several video
tapes from Tillerson's trailer were now at the house
where she lived with her father, Billy Dan Atkins,
Sr. Tina Atkins was able to name the titles of the
video tapes, which corresponded with the titles of
the tapes missing from Tillerson's trailer. Based on
the information that she provided, a search warrant
was issued for the residence of Billy Dan Atkins,
Sr., who informed police that he had retrieved the
items from the car of his son, Billy Dan Atkins, Jr.
(Atkins).
Further investigation revealed
that Atkins, Goodwin, Glenn Dierr, and Fred Meadows
had been arrested for unlawful possession of a
firearm by a felon on December 4, 1986, in The
Woodlands, Texas. Following the arrest, Dierr stated
during a police interview that he had been walking
in the woods near Huntsville, Texas with Goodwin on
December 5 when Goodwin showed him a fence post into
which Goodwin claimed he had fired several rounds of
a .357 magnum pistol. Goodwin also told Dierr that
he had "blown someone away" with the weapon five
weeks earlier and that the body was still in the
woods. Ballistics testing revealed that all of the
projectiles and hulls recovered on or near
Tillerson's body were fired from a Smith & Wesson
.357 magnum that had been found with Atkins,
Goodwin, Dierr, and Meadows at the time of their
arrest in The Woodlands.
On January 20, 1987, Texas law
enforcement officials were notified that Goodwin and
Atkins had been arrested and were in custody in
Burlington, Iowa. During an interview in Iowa on
January 21, the Texas officers told Goodwin that
they had found the weapon used to kill Tillerson and
that it was the same weapon taken from Atkins's car
on December 4, 1986. Goodwin then admitted to having
shot Tillerson and gave a videotaped confession to
that effect. Goodwin waived extradition and was
flown back to Montgomery County that evening.
The next morning, Texas law
enforcement officials interviewed Goodwin in
Montgomery County, and he later gave a written
confession. According to Goodwin's written
confession, on the night of the murder, he and
Atkins drove by Tillerson's trailer between 8:00 and
10:00 p.m. Atkins and Goodwin had discussed the
possibility of either obtaining a loan from
Tillerson or robbing him. When Tillerson answered
the door of his trailer home, Atkins and Goodwin
entered and drew handguns. Atkins ordered Tillerson
to sit down in a chair and demanded money. When
Tillerson claimed that he had no money, Atkins
ransacked the trailer. Unable to find more than some
change, Atkins collected other items from the
trailer. Atkins then ordered Tillerson to get
dressed. Goodwin held his gun on Tillerson while
Atkins loaded the items into his car. Atkins,
Goodwin, and Tillerson left in Atkins's car, with
Atkins driving, Tillerson in the back seat, and
Goodwin in the front seat, pointing his gun at
Tillerson. Atkins eventually stopped near a wooded
area where he ordered Tillerson to get out of the
car and walk ahead of Atkins and Goodwin into the
woods. Atkins raised his gun, aimed at Tillerson and
pulled the trigger two or three times, but the
weapon did not discharge. Goodwin raised his gun,
turned his head, and fired at Tillerson. Tillerson
fell to the ground screaming. Thinking that he had
only grazed the victim, Goodwin quickly raised his
weapon and fired a second shot. When Goodwin saw
blood coming out of Tillerson's head, he ran back to
Atkins's car.
II. PROCEDURAL POSTURE
A Texas jury found Goodwin guilty
of the murder of James Douglas Tillerson and
sentenced Goodwin to death. The Texas Court of
Criminal Appeals affirmed Goodwin's conviction, see
Goodwin v. State, 799 S.W.2d 719 (Tex.Crim.App.1990),
and the United States Supreme Court denied
certiorari, see Goodwin v. Texas,
501 U.S. 1259 , 111 S.Ct. 2913, 115 L.Ed.2d
1076 (1991).
Goodwin filed two petitions for
writ of habeas corpus in state district court. The
state district court declined to conduct an
evidentiary hearing on either petition and
recommended that both applications be denied. The
state district court's orders recommending the
denial of the petitions contain no findings of fact
or conclusions of law; they merely state that "the
Court ... finds that there are no controverted,
previously unresolved facts material to the
lawfulness of the confinement of applicant." The
Court of Criminal Appeals accepted the
recommendation of the state district court as to
both petitions and summarily denied relief without
findings of fact or conclusions of law.
On February 17, 1995, Goodwin
filed a motion to proceed in forma pauperis (IFP), a
motion for appointment of counsel in federal
district court, a motion for stay of execution
pending the completion of discovery and the
submission of a formal habeas petition, and a formal
motion for discovery. Goodwin's execution was
scheduled for March 7, 1995. The district court
granted the motions to proceed IFP and for
appointment of counsel and denied the motions for
stay and discovery.
Soon thereafter, Goodwin filed
his federal petition for habeas relief and again
filed motions for discovery, for a stay of execution
pending the disposition of his habeas petition, and
for an evidentiary hearing. The district court
denied these motions. Goodwin appealed the denial of
his second motion for a stay of execution, and we
reversed the district court's order denying the stay
and ordered the district court to enter an order
staying Goodwin's execution pending determination of
the merits of the claims presented in his federal
habeas petition. The district court accordingly
granted a stay.
Four days before Goodwin's
scheduled execution date, the state answered and
filed a motion for summary judgment on all of
Goodwin's claims. Goodwin filed a cross-motion for
partial summary judgment limited to his claim that
his legal representation on direct appeal was
unconstitutionally ineffective because his counsel
failed to raise a meritorious claim that was
properly preserved at trial.
The district court denied
Goodwin's habeas petition, explaining its decision
in a memorandum opinion. The district court also
denied Goodwin's request for a certificate of
probable cause to appeal (CPC) and lifted the stay
of execution that it had previously imposed. Goodwin
requested a CPC from this court to appeal the
district court's denial of his petition for habeas
relief. We granted a stay of execution, carried the
request for CPC with the case, directed the parties
to fully brief the appeal as on the merits, and
heard full oral argument. Having concluded that a
portion of the issues that Goodwin raises on appeal
"are debatable among jurists of reason," we now
grant the CPC and rule on the merits of the appeal.
See Barefoot v. Estelle, 463 U.S. 880, 893 n. 4, 103
S.Ct. 3383, 3395 n. 4, 77 L.Ed.2d 1090 (1983) (internal
quotation marks omitted); Woods v. Johnson, 75 F.3d
1017, 1026 n. 12 (5th Cir.), cert. denied, --- U.S.
----, 117 S.Ct. 150, 136 L.Ed.2d 96 (1996).
III. STANDARD OF REVIEW
The district court did not state
that it was granting the state's motion for summary
judgment when it denied Goodwin's habeas petition.
However, the district court's reference to documents
outside of Goodwin's habeas petition demonstrates
that the court implicitly granted the motion. See
FED.R.CIV.P. 12(c) (providing that the summary
judgment procedures of Federal Rule of Civil
Procedure 56 are applicable if matters outside the
pleadings are presented to, and not excluded by, the
court).
"We review a grant of summary
judgment de novo, applying the same criteria used by
the district court in the first instance." Texas
Manufactured Housing Ass'n v. City of Nederland, 101
F.3d 1095, 1099 (5th Cir.1996), cert. denied, ---
U.S. ----, 117 S.Ct. 2497, 138 L.Ed.2d 1003 (1997).
"Summary judgment is appropriate if the record is
devoid of a genuine issue of material fact." Harris
v. Johnson, 81 F.3d 535, 539 (5th Cir.), cert.
denied, --- U.S. ----, 116 S.Ct. 1863, 134 L.Ed.2d
961 (1996) (applying summary judgment standard in §
2254 case where habeas petitioner requested a CPC
and a stay of execution). In determining whether a
genuine issue of material fact exists, we consider
the facts contained in the summary judgment record
and the reasonable inferences drawn from them in the
light most favorable to Goodwin, as he is the non-movant.
See Id. IV. ANALYSIS
Goodwin posits five arguments for
reversal of the district court's judgment denying
habeas relief: (1) Goodwin's appellate counsel
rendered unconstitutionally ineffective assistance
by failing to raise on appeal the trial court's
refusal to give the jury a requested instruction
pursuant to article 38.23 of the Texas Code of
Criminal Procedure and by failing to provide the
Texas Court of Criminal Appeals with a complete
transcript of the suppression hearing to review in
evaluating Goodwin's direct appeal; (2) he is
entitled to an evidentiary hearing on his claim that
his confessions were inadmissible at trial because
Texas law enforcement officials obtained them in
violation of the judicially created rules
established to safeguard his Fifth Amendment
privilege against compelled self-incrimination; (3)
he is entitled to an evidentiary hearing on his
claims that the state intentionally withheld from
him exculpatory impeachment evidence and knowingly
introduced false testimony during trial; (4) he was
constitutionally entitled to funds with which to
hire a rehabilitation expert to testify at the
punishment phase of his trial; and (5) section
8.04(a) of the Texas Penal Code, which prevents
voluntary intoxication from serving as a defense to
the commission of a crime, unconstitutionally
restricted the jury's consideration of evidence of
Goodwin's intoxication that would have given him a
defense to the specific intent element of capital
murder and prohibited the trial court from
submitting a constitutionally required lesser-included
offense instruction on murder.
We address each of these arguments in turn.
A. Ineffective Assistance of Counsel on Direct
Appeal
Goodwin argues that his appellate
counsel rendered unconstitutionally ineffective
assistance by (1) failing to raise on appeal the
trial court's refusal to grant Goodwin's request to
amend the jury instruction given pursuant to article
38.23 of the Texas Code of Criminal Procedure and
(2) failing to provide the Court of Criminal Appeals
with a complete transcript of the pretrial
suppression hearing.
A criminal defendant is
constitutionally entitled to the effective
assistance of counsel on direct appeal as of right.
See Lombard v. Lynaugh, 868 F.2d 1475, 1479 (5th
Cir.1989). In Strickland v. Washington, 466 U.S.
668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984), the
Supreme Court held that, in order to prove that
counsel afforded unconstitutionally ineffective
assistance, a petitioner must show that his
attorney's performance was deficient and that such
deficiency prejudiced the defense. Id. at 687, 104
S.Ct. at 2064. The Strickland standard applies to
claims of ineffective assistance by both trial and
appellate counsel. See United States v. Merida, 985
F.2d 198, 202 (5th Cir.1993). Goodwin has failed to
demonstrate that he received unconstitutionally
ineffective assistance of counsel on appeal because
he has not demonstrated that any deficiency in his
counsel's performance resulted in prejudice.
1. Failure to raise issue on
appeal
Goodwin argues that his appellate
counsel's performance was both deficient and
prejudicial because he failed to raise on appeal the
trial court's refusal to instruct the jury pursuant
to article 38.23 of the Texas Code of Criminal
Procedure that, if it had a reasonable doubt as to
the legality of the traffic stop in The Woodlands
that led to the arrest of Atkins, Goodwin, Dierr,
and Meadows and the seizure of the murder weapon,
then it should not consider Goodwin's confessions,
which would not have occurred but for the illegal
stop.
Article 38.23 of the Texas Code
of Criminal Procedure provides in relevant part as
follows:
No evidence obtained by an
officer or other person in violation of any
provisions of the Constitution or laws of the State
of Texas, or of the Constitution or laws of the
United States of America, shall be admitted in
evidence against the accused on the trial of any
criminal case.
In any case where the legal
evidence raises an issue hereunder, the jury shall
be instructed that if it believes, or has a
reasonable doubt, that the evidence was obtained in
violation of the provisions of this Article, then
and in such event, the jury shall disregard any such
evidence so obtained.
TEX.CRIM.PROC.CODE ANN. art.
38.23 (Vernon Supp.1998).
The record in this case evinces a
fact question bearing upon the legality of the stop.
Montgomery County Sheriff's Deputy Daniel Torres,
the officer who arrested the occupants of the car in
which Goodwin was a passenger, testified at trial
that he stopped the car because Atkins, the driver
of the car, failed to use a turn signal while
leaving the area. Glen Dierr, one of Goodwin's
fellow passengers, testified that Atkins used his
turn signal. During a search incident to the stop of
the car, officers discovered several weapons in the
car, including the .357 magnum that was later
identified as the weapon used to kill Tillerson.
On January 20, 1987, Texas Ranger
Stanley Oldham and Montgomery County Sheriff's
Detective Tracy Peterson traveled to Burlington,
Iowa, where Goodwin and Atkins were in custody on an
unrelated matter, to execute a warrant on Atkins
regarding the Tillerson murder and to interview the
two men. When Peterson and Oldham interviewed
Goodwin on January 21, they informed him that they
had recovered what appeared to be the murder weapon
used to kill Tillerson and that it was the same
weapon taken from Atkins's car on December 4.
After hearing this information,
Goodwin said, "I'm twenty-three years old and
sitting on death row." When Oldham informed him that
this was not necessarily true, Goodwin said he knew
it would be true because he had pulled the trigger.
Peterson and Oldham then obtained a videotaped
confession to the murder from Goodwin. Later that
day, Oldham and Peterson escorted Goodwin back to
Texas, arriving at 9:00 p.m. The next morning,
Peterson obtained a written confession from Goodwin.
At trial, the jury received the
following instruction regarding its duty to
disregard illegally obtained evidence:
You are instructed that our law
provides that no evidence obtained from an accused
in violation of the Constitution or laws of this
state or of the United States nor evidence derived
from the use of such evidence may be considered
against him in his trial.
A peace officer may stop and
detain a person for any offense committed within his
presence or within his view. Failure to signal a
turn is an offense. A peace officer may also
temporarily detain a person for the purpose of
investigating possible criminal behavior when he has
specific and articulable facts which, in light of
his experience and personal knowledge taken together
with rational inferences from those facts, would
constitute a reasonable suspicion that some crime
has been or is about to be committed. Where the
facts relied upon by the police officer in
temporarily detaining a person are as consistent
with innocent activity as with criminal activity, a
detention based on those facts is unlawful.
You are therefore instructed that
if you find from the evidence beyond a reasonable
doubt, when Deputy Daniel Torres stopped and
detained the vehicle and the occupants of the
vehicle in which the defendant was a passenger that
the driver failed to signal a turn, or that Deputy
Torres, at the time of the stop and detention of the
vehicle and its occupants, had specific and
articulable facts which, in light of his experience
and personal knowledge taken together with rational
inferences from those facts, would constitute a
reasonable suspicion that some crime had been or was
about to be committed, then you may consider the
weapons and other items seized from said vehicle,
and any testimony relating to their seizure, testing
by firearms examiners, or identification as the
murder weapon.
Unless you so find beyond a
reasonable doubt, or if you have a reasonable doubt
thereof, you will not consider for any purpose the
weapons and other items seized from said vehicle,
and any testimony relating to their seizure, testing
by firearms examiners, or identification as the
murder weapon.
Defense counsel requested that
the words "and the confessions of the accused" be
added at the end of the last two paragraphs on the
ground that any illegality in the underlying search
that uncovered the .357 magnum would have tainted
Goodwin's confessions. The trial court denied
counsel's request.
Goodwin was entitled to an
article 38.23 instruction if the trial evidence
raised a factual issue concerning whether evidence
was obtained in violation of the U.S. Constitution,
other federal law, the Texas Constitution, or other
Texas law. See TEX.CRIM.PROC.CODE ANN. § 38.23
(Vernon Supp.1998); Thomas v. State, 723 S.W.2d 696,
707 (Tex.Crim.App.1986). Because the conflicting
trial testimony created a fact issue concerning
Torres's right to stop the vehicle, the trial court
appropriately granted an article 38.23 instruction
with respect to the murder weapon. See Stone v.
State, 703 S.W.2d 652, 655 (Tex.Crim.App.1986)
(holding that a fact issue arose concerning a peace
officer's right to stop a vehicle due to conflicting
testimony between the officer, who stated he stopped
the appellant's vehicle for erratic driving, and the
testimony of the appellant and another witness that
the appellant was driving in a prudent manner).
We assume without deciding that
Goodwin's confessions were not sufficiently
attenuated from the traffic stop so as to render any
illegality of the traffic stop irrelevant to the
admissibility of the confessions. In other words, we
assume without deciding that Goodwin was entitled to
an article 38.23 jury instruction regarding his
confessions because, in the event that the traffic
stop was illegal, the confessions were tainted by
such illegality.
We likewise assume that the trial court's refusal to
provide the requested article 38.23 instruction
would have required reversal of Goodwin's conviction
on direct appeal and a new trial.
Assuming that the trial court's
refusal to provide the requested article 38.23
instruction would have entitled Goodwin to reversal
of his conviction on direct appeal, Goodwin
nonetheless cannot establish that the failure of his
appellate counsel to raise this issue on direct
appeal resulted in prejudice.
"The essence of an ineffective assistance claim is
that counsel's unprofessional errors so upset the
adversarial balance between defense and prosecution
that the trial was rendered unfair and the verdict
rendered suspect." Kimmelman v. Morrison, 477 U.S.
365, 374, 106 S.Ct. 2574, 2582, 91 L.Ed.2d 305
(1986).
We are convinced that the trial
court's failure to provide the jury with an article
38.23 instruction regarding Goodwin's confessions in
no way rendered the trial unfair or the verdict
suspect. As such, the failure of Goodwin's appellate
counsel to present this issue on direct appeal was
not prejudicial because it did not "undermine[ ] the
reliability of the result of the proceeding."
Strickland, 466 U.S. at 693, 104 S.Ct. at 2067.
Prior to trial, Goodwin moved to
suppress his confessions on the ground that they
were tainted by the illegal stop and search of
Atkins's automobile in The Woodlands. He based this
motion in part on the argument that Atkins had not
failed to use his turn signal and thus that no basis
existed for the stop. The state district court
denied the motion to suppress and specifically found
that Atkins had not used his turn signal. Because
Goodwin alleges no defect in this fact-finding or
the procedure used at the suppression hearing to
obtain it, we accord the court's conclusion that
Atkins did not use his blinker a presumption of
correctness. See 28 U.S.C. 2254(d) (1994);
Harris, 81 F.3d at 539.
Goodwin has not argued that any
factual issues other than the issue of whether
Atkins used his turn signal bear upon the legality
of the traffic stop and the subsequent search that
resulted in the discovery and seizure of the murder
weapon. Goodwin does not dispute that the traffic
stop was perfectly legal if in fact Atkins failed to
use his blinker, nor can he do so. So long as a
traffic law infraction that would have objectively
justified the stop had taken place, the fact that
the police officer may have made the stop for a
reason other than the occurrence of the traffic
infraction is irrelevant for purposes of the Fourth
Amendment and comparable Texas law. See Whren v.
United States,
517 U.S. 806 , ----, 116 S.Ct. 1769, 1774, 135
L.Ed.2d 89 (1996) (concluding that a "pretextual"
traffic stop for a minor traffic infraction was
constitutional because " 'the fact that the officer
does not have the state of mind which is
hypothecated by the reasons which provide the legal
justification for the officer's action does not
invalidate the action taken as long as the
circumstances, viewed objectively, justify that
action' " (quoting Scott v. United States, 436 U.S.
128, 138, 98 S.Ct. 1717, 1723, 56 L.Ed.2d 168
(1978))); Crittenden v. State, 899 S.W.2d 668, 674 (Tex.Crim.App.1995)
("[A]n objectively valid traffic stop is not
unlawful under Article I, § 9 [of the Texas
Constitution, a provision analogous to the Fourth
Amendment of the U.S. Constitution], just because
the detaining officer had some ulterior motive for
making it."). Because the state district court
concluded that the state established by a
preponderance of the evidence that Atkins did not
use his blinker,
the introduction of Goodwin's confessions was fully
consistent with the Fourth Amendment exclusionary
rule. See United States v. Chavis, 48 F.3d 871, 872
(5th Cir.1995) (holding that the state bears the
burden of proving that a warrantless stop and search
is reasonable in order for evidence obtained
therefrom to be admissible); United States v.
Finefrock, 668 F.2d 1168, 1170 (10th Cir.1982)
(holding that the government must prove the
reasonableness of a warrantless search or seizure by
a preponderance of the evidence); United States v.
Collins, 863 F.Supp. 165, 169 n. 2 (S.D.N.Y.1994)
("[T]he government must show by a preponderance of
the evidence that the warrantless search does not
contravene the Fourth Amendment."); cf. United
States v. Matlock, 415 U.S. 164, 178 n. 14, 94 S.Ct.
988, 996 n. 14, 39 L.Ed.2d 242 (1974) ("[T]he
controlling burden of proof at suppression hearings
should impose no greater burden than proof by a
preponderance of the evidence.").
We simply cannot conclude that
the trial court's failure to give the jury an
opportunity to wholly disregard the confessions if
it believed, or had a reasonable doubt, that they
were obtained unlawfully--after the court had in
effect found during the pretrial suppression hearing
by a preponderance of the evidence that the
confessions were obtained in compliance with the
Fourth Amendment and analogous Texas law--rendered "the
result of the trial unreliable or the proceeding
fundamentally unfair." Lockhart v. Fretwell, 506
U.S. 364, 372, 113 S.Ct. 838, 844, 122 L.Ed.2d 180
(1993). Indeed, had the trial court given the
requested article 38.23 instruction in this case,
the reliability of the trial may very well have
decreased.
As the Supreme Court noted in
Stone v. Powell,
428 U.S. 465 , 96 S.Ct. 3037, 49 L.Ed.2d 1067
(1976), application of the Fourth Amendment
exclusionary rule "deflects the truthfinding process
and often frees the guilty" by excluding "reliable
and ... probative information bearing on the guilt
or innocence of the defendant." Id. at 490, 96 S.Ct.
at 3050.
The Texas exclusionary rule has
an even greater propensity for deflecting the
truthfinding process of the trial when applied to
evidence arguably obtained through an illegal search
or seizure because it requires the jury to disregard
such evidence, regardless of how probative, if the
jury "believes, or has a reasonable doubt, that the
evidence" was unlawfully obtained.
TEX.CRIM.PROC.CODE ANN. § 38.23(a) (Vernon Supp.1998).
Thus, the failure of Goodwin's appellate counsel to
raise this issue on appeal was not
unconstitutionally prejudicial.
Goodwin contends that he has
established Strickland prejudice if "there is a 'reasonable
probability' that the omitted article 38.23
instruction claim would have caused a reversal on
direct appeal had it been raised by [his] appellate
counsel." We disagree.
As an initial matter, the Supreme
Court has indicated that "an analysis focusing
solely on mere outcome determination, without
attention to whether the result of the proceeding
was fundamentally unfair or unreliable, is defective."
Fretwell, 506 U.S. at 369, 113 S.Ct. at 842.
Furthermore, the law of the Supreme Court and this
circuit lead us to conclude that the presence or
absence of prejudice, both with respect to claims of
ineffective assistance of counsel at the trial and
appellate levels, hinges upon the fairness of the
trial and the reliability of the judgment of
conviction resulting therefrom.
In Evitts v. Lucey, 469 U.S. 387,
105 S.Ct. 830, 83 L.Ed.2d 821 (1985), the Supreme
Court indicated that a criminal defendant's right to
effective assistance of counsel on his first appeal
as of right stems from the fact that, when a state
chooses to create appellate courts, appellate review
becomes " 'an integral part of the ... system for
finally adjudicating the guilt or innocence of a
defendant.' " Id. at 393, 105 S.Ct. at 834 (quoting
Griffin v. Illinois, 351 U.S. 12, 18, 76 S.Ct. 585,
590, 100 L.Ed. 891 (1956)).
The appellate process exists
solely for the purpose of correcting errors that
occurred at the trial court level. See id. at 396,
105 S.Ct. at 836 ("In bringing an appeal as of right
from his conviction, a criminal defendant is
attempting to demonstrate that the conviction, with
its consequent drastic loss of liberty, is unlawful.").
As such, we conclude that the right to effective
assistance of counsel, both at the trial and
appellate level, " 'is recognized not for its own
sake, but because of the effect that it has on the
ability of the accused to receive a fair trial.' "
Fretwell, 506 U.S. at 369, 113 S.Ct. at 842 (quoting
United States v. Cronic, 466 U.S. 648, 658, 104 S.Ct.
2039, 2046, 80 L.Ed.2d 657 (1984)).
This court's decision in Ricalday
v. Procunier, 736 F.2d 203 (5th Cir.1984), supports
our conclusion that the presence or absence of
Strickland prejudice as a result of
unconstitutionally deficient performance of counsel
at either the trial or appellate level hinges upon
the fairness of the trial and the reliability of its
outcome. In Ricalday, the habeas petitioner's
counsel failed to object to the trial court's
instruction of the jury regarding an unindicted
offense and did not raise this issue on appeal. See
id. at 205.
Pursuant to the Texas Penal
Code's definition of the offense of murder, the
trial court instructed the jury that it could
convict the petitioner of murder either if he " 'intentionally
or knowingly cause[d] the death of an individual' "
or if he " 'intend[ed] to cause serious bodily
injury and commit[ed] an act clearly dangerous to
human life that cause[d] the death of an
individual.' " Id. (quoting TEX.PEN.CODE ANN. §
19.02 (Vernon 1974)). However, the indictment only
charged the petitioner with "intentionally or
knowingly caus[ing] the death of an individual." Id.
(alteration in original). Under Texas law,
conviction of an unindicted offense constituted
"fundamental" error requiring reversal. See id. at
207 (citing Bentacur v. State, 593 S.W.2d 686 (Tex.Crim.App.1980)).
The court concluded that the
failure of the petitioner's counsel to object to the
trial court's inclusion of the unindicted offense in
the jury charge was not prejudicial because there
was "no reasonable probability that the factfinder
would have had a reasonable doubt concerning the
petitioner's intent to kill." Id. at 209. The court
then rejected the habeas petitioner's claim of
ineffective assistance of appellate counsel: "Because
the error at the appellate stage stemmed from the
error at trial, if there was no prejudice from the
trial error, there was also no prejudice from the
appellate error." Id. at 208.
The court therefore concluded "that
the proceedings were not fundamentally unfair and
that their result, and the finding of guilt, are
reliable." Id. at 209 n. 6 (emphasis added). We have
applied Ricalday's sound analysis in other cases as
well. See McCrae v. Blackburn, 793 F.2d 684, 688
(5th Cir.1986) (concluding that appellate counsel's
failure to raise an issue on appeal was not
prejudicial because the petitioner could not
demonstrate a reasonable probability that raising
the issue would have ultimately resulted in the
trial court's imposition of a different sentence);
Hamilton v. McCotter, 772 F.2d 171, 182 (5th
Cir.1985) (rejecting a claim of ineffective
assistance of appellate counsel because "the state
record reflect[ed] that the proceedings were
fundamentally fair, that their result and the
finding of guilt are reliable, and that no breakdown
of the adversarial process rendered them otherwise"
(emphasis added)).
Goodwin relies on Duhamel v.
Collins, 955 F.2d 962 (5th Cir.1992) for the
proposition that, "[i]n order to prove that his
appellate attorney's alleged error was prejudicial,
[a federal habeas petitioner] must show that the
neglected claim would have had a reasonable
probability of success on appeal." Id. at 967. While
Goodwin does not rely upon it, we acknowledge that,
in another Fifth Circuit case, Sharp v. Puckett, 930
F.2d 450 (5th Cir.1991), the court utilized a
similar prejudice analysis in disposing of a habeas
petitioner's claim of ineffective assistance of
appellate counsel. See id. at 453 (" 'The [petitioner]
must show that there is a reasonable probability
that, but for counsel's unprofessional errors, the
result of the [appeal] would have been different." (quoting
Strickland, 466 U.S. at 694, 104 S.Ct. at 2068) (alterations
in original)).
We note as an initial matter that
Duhamel and Sharp's focus on the outcome of the
appeal is inconsistent with the analysis advanced in
Ricalday. We are therefore bound to follow Ricalday,
an earlier panel decision, because "[i]t has long
been a rule of this court that no panel of this
circuit can overrule a decision previously made by
another." Ryals v. Estelle, 661 F.2d 904, 906 (5th
Cir. Nov. 1981).
Additionally, Duhamel and Sharp
are both pre-Fretwell decisions. Fretwell makes
clear that their limited focus on "mere outcome
determination" at the appellate level is "defective."
Fretwell, 506 U.S. at 369, 113 S.Ct. at 842.
Fretwell indicates that we must determine the
presence or absence of prejudice based upon the
fairness of the proceeding and the reliability of
its result. See id. at 369, 113 S.Ct. at 842.
To the extent that the appellate
process is merely a vehicle for correcting errors at
trial, the fairness and reliability of an appeal are
necessarily functions of the fairness and
reliability of the trial. Because the trial court's
refusal to provide the jury with an article 38.23
instruction regarding his confessions did not render
Goodwin's trial fundamentally unfair nor the
conviction and sentence resulting therefrom
unreliable, Goodwin was not prejudiced by his
appellate counsel's failure to raise this issue on
appeal. Therefore, the district court properly
concluded that he is not entitled to habeas relief
on this claim.
2. Failure to provide entire
record to appellate court
Goodwin argues that he was denied
a meaningful appeal due to his appellate counsel's
failure to provide the Texas Court of Criminal
Appeals with a full transcript of his pretrial
suppression hearing to review on direct appeal.
Goodwin's appellate counsel apparently neglected to
have two days of the suppression hearing transcribed
and therefore did not supply the Court of Criminal
Appeals with a complete transcript of the
suppression hearing. The missing portion of the
transcript contained the testimony of Atkins and
Dierr indicating that Atkins had used his turn
signal prior to the traffic stop in The Woodlands.
Goodwin contends that his
appellate counsel's failure to submit a complete
transcript of the pretrial suppression hearing
violated his right to effective assistance of
appellate counsel because the Court of Criminal
Appeals was thereby precluded from reviewing all of
the evidence pertaining to the legality of the
traffic stop and the propriety of the trial court's
denial of Goodwin's motion to suppress. We disagree.
Under Texas law, the trial court
is the sole fact-finder and judge of the credibility
of the witnesses as well as the weight to be given
their testimony at a hearing on a motion to suppress.
See Romero v. State, 800 S.W.2d 539, 543 (Tex.Crim.App.1990);
Hawkins v. State, 628 S.W.2d 71, 75 (Tex.Crim.App.1982).
Accordingly, the trial court may choose to believe
or disbelieve any or all of a witness's testimony.
See Luckett v. State, 586 S.W.2d 524, 527 (Tex.Crim.App.1979).
On appeal, the Court of Criminal
Appeals cannot disturb the trial court's findings so
long as they are supported by the record. See Green
v. State, 615 S.W.2d 700, 707 (Tex.Crim.App.1980).
If the Court of Criminal Appeals concludes that the
record supports the trial court's factual
conclusions, its review is limited to a
determination of "whether the trial court improperly
applied the facts to the law." Johnson v. State, 698
S.W.2d 154, 159 (Tex.Crim.App.1985).
Even if the Court of Criminal
Appeals had been privy to the testimony of Atkins
and Dierr, it would have been compelled to accept
the trial court's determination that Atkins failed
to use his blinker because the record contained
Officer Torres's testimony to that effect. The fact
that the Court of Criminal Appeals might have
considered the testimony of Atkins and Dierr more
credible than that of Officer Torres would have been
entirely irrelevant to the court's review of the
trial court's denial of the motion to suppress. See
Green, 615 S.W.2d at 707; Luckett, 586 S.W.2d at
527.
Goodwin therefore cannot
establish that his appellate counsel's failure to
provide the Court of Criminal Appeals with a full
transcript of the suppression hearing in any way
prejudiced him. Accordingly, he has not demonstrated
that he is entitled to habeas relief on this basis.
See Strickland, 466 U.S. at 687, 104 S.Ct. at 2064.
B. Violation of Judicially
Created Safeguards of the Fifth Amendment Privilege
Against Self-Incrimination
Goodwin argues that the district
court erred by failing to conduct an evidentiary
hearing on his claim that the admission of his
confessions as evidence at trial violated the
judicially created rules established to safeguard
his Fifth Amendment privilege against compelled self-incrimination.
In support of his claim, Goodwin offers his
affidavit, which states that, shortly after he was
arrested in Burlington, Iowa, Goodwin told police
that he did not wish to answer any questions in the
absence of counsel. Goodwin contends that his
confessions were therefore inadmissible at trial
because they are the product of interrogation
initiated by Texas law enforcement officials after
Goodwin's request for the assistance of counsel
during custodial interrogation.
1. Exhaustion of state
remedies and procedural default doctrine
The district court appears to
have based its denial of this portion of Goodwin's
petition for habeas relief on its belief that
Goodwin did not assert the claim in state court. The
district court's opinion states the following:
This is not a proper complaint
for habeas corpus review. Goodwin's affidavit comes
seven years after the incident. He was uniquely
aware of the alleged mistreatment before trial and
should have informed his attorney then. This issue
could have been litigated at the trial and is,
therefore, inappropriate to raise here for the first
time.
The district court mistakenly
concluded that Goodwin asserted his current Fifth
Amendment claim for the first time in his federal
habeas petition. Goodwin presented the Fifth
Amendment argument that he now asserts for the first
time in his second state habeas petition. Therefore,
he has not failed to exhaust his state remedies with
respect to this claim, and the state conceded as
much at the district court level. See Nobles v.
Johnson, 127 F.3d 409, 420 (5th Cir.1997) ("To have
exhausted his state remedies, a habeas petitioner
must have fairly presented the substance of his
claim to the state courts.").
Moreover, the state has not
argued, either at the district court level or on
appeal, that Goodwin's Fifth Amendment claim is
procedurally barred on the basis that he failed to
present the claim until his second state habeas
petition or on any other basis. In its response to
Goodwin's second state habeas petition, the state
likewise did not argue that Goodwin had procedurally
defaulted his claim by failing to assert it earlier.
Given that the state has not seen
fit to argue in this court, the district court, or
even its own courts that Goodwin's Fifth Amendment
claim is procedurally defaulted, we would advance no
interest in federalism or comity by raising the
issue ourselves. We therefore decline to do so and
proceed to the merits of Goodwin's Fifth Amendment
claim. See Trest v. Cain, --- U.S. ----, ----, 118
S.Ct. 478, 480, 139 L.Ed.2d 444 (1997) (holding that
a court of appeals reviewing a district court's
habeas corpus decision is not required to raise sua
sponte the petitioner's potential procedural default).
2. Goodwin's entitlement to an
evidentiary hearing
"When there is a 'factual
dispute, [that,] if resolved in the petitioner's
favor, would entitle [her] to relief and the state
has not afforded the petitioner a full and fair
evidentiary hearing,' a federal habeas corpus
petitioner is entitled to discovery and an
evidentiary hearing." Perillo v. Johnson, 79 F.3d
441, 444 (5th Cir.1996) (quoting Ward v. Whitley, 21
F.3d 1355, 1367 (5th Cir.1994)) (alterations in
original).
We conclude that Goodwin has
satisfied the above standard and is therefore
entitled to an evidentiary hearing to resolve the
factual issue of whether Goodwin informed the
Burlington police upon being taken to the Burlington
police station that he did not wish to be
interrogated in the absence of counsel. If Goodwin
so informed the Burlington police, then his
confessions later obtained through interrogation
initiated by Texas law enforcement officers were
inadmissible on Fifth Amendment grounds, and the
admission of those confessions was not harmless
error. We further conclude that the fact-finding
procedure utilized by the state district court in
resolving this factual issue was inadequate to
afford Goodwin a full and fair hearing. As such,
Goodwin is entitled to an evidentiary hearing on his
Fifth Amendment claim.
a. Fifth Amendment law
The Fifth Amendment guarantees
that "[n]o person ... shall be compelled in any
criminal case to be a witness against himself."
U.S. Const. amend. V, The Fifth Amendment
privilege against self-incrimination is "protected
by the Fourteenth Amendment against abridgment by
the States." Malloy v. Hogan, 378 U.S. 1, 6,
84 S.Ct. 1489, 1492, 12 L.Ed.2d 653 (1964). In
Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16
L.Ed.2d 694 (1966), the Supreme Court observed that
"the right to have counsel present ... [during
custodial] interrogation is indispensable to the
protection of the Fifth Amendment privilege." Id. at
469, 86 S.Ct. at 1625. In order to fully safeguard
the privilege, the Court held that, "[i]f the
individual [under interrogation] states that he
wants an attorney, the interrogation must cease
until an attorney is present." Id. at 474, 86 S.Ct.
at 1628.
As a corollary to the
prophylactic rule adopted in Miranda, the Court held
in Edwards v. Arizona, 451 U.S. 477, 101 S.Ct. 1880,
68 L.Ed.2d 378 (1981), that, once the accused
asserts this Fifth Amendment right to counsel
and thereby "expresse[s] his desire to deal with the
police only through counsel, [he] is not subject to
further interrogation by the authorities until
counsel has been made available to him, unless the
accused himself initiates further communication,
exchanges, or conversations with the police." Id. at
484-85, 101 S.Ct. at 1884-85; see also United States
v. Carpenter, 963 F.2d 736, 739 (5th Cir.1992). "If
the police do subsequently initiate an encounter in
the absence of counsel (assuming there has been no
break in custody), the suspect's statements are
presumed involuntary and therefore inadmissible as
substantive evidence at trial, even where the
suspect executes a waiver and his statements would
be considered voluntary under traditional
standards." McNeil v. Wisconsin,
501 U.S. 171 , 177, 111 S.Ct. 2204, 2208, 115
L.Ed.2d 158 (1991).
In Arizona v. Roberson, 486 U.S.
675, 108 S.Ct. 2093, 100 L.Ed.2d 704 (1988), the
Court made clear that the Edwards rule is not
offense specific.
See id. at 682-84, 108 S.Ct. 2098-2100; see also
McNeil, 501 U.S. at 177, 111 S.Ct. at 2208;
Carpenter, 963 F.2d at 739. Once a suspect invokes
his Fifth Amendment right to counsel with respect to
one offense, law enforcement officials may not
reapproach him regarding any offense unless counsel
is present. See McNeil, 501 U.S. at 177, 111 S.Ct.
at 2208; Roberson, 486 U.S. at 682-84, 687, 108 S.Ct.
at 2098-2100, 2101; Carpenter, 963 F.2d at 739;
United States v. Cooper, 949 F.2d 737, 741 (5th
Cir.1991).
This is true even when different
law enforcement authorities who may be unaware of
the suspect's prior invocation of his Fifth
Amendment right to counsel reapproach the suspect
regarding a different offense. See Roberson, 486
U.S. at 687, 108 S.Ct. at 2101 ("[W]e attach no
significance to the fact that the officer who
conducted the second interrogation did not know that
respondent had made a request for counsel.");
Minnick v. Mississippi, 498 U.S. 146, 148-49, 155,
111 S.Ct. 486, 488-89, 112 L.Ed.2d 489 (1990)
(holding that statements of the petitioner derived
from reinitiation of custodial interrogation by a
county deputy sheriff were inadmissible because the
petitioner had previously invoked his Fifth
Amendment right to counsel during interrogation by
FBI agents); Cooper, 949 F.2d at 741 ("Because the
Fifth Amendment right is not offense specific, the
Edwards rule applies even when the interrogation is
based on different offenses or is conducted by
different law enforcement authorities."); cf. United
States v. Webb, 755 F.2d 382, 389-90 (5th Cir.1985)
(holding that FBI agents obtained the defendant's
confession in violation of Edwards where the
defendant had previously invoked his right to
counsel and a state official erroneously informed
the FBI that the defendant had on his own initiative
requested the opportunity to make a statement to FBI
agents).
Proper application of the above
legal principles to Goodwin's Fifth Amendment claim
requires a synopsis of the factual circumstances
surrounding the confessions that Goodwin made at the
behest of Texas law enforcement officers. On January
17, 1987, Goodwin was arrested in Burlington, Iowa
for first degree burglary and going armed with
intent.
Burlington police officers took Goodwin to the
Burlington police station, where he was held in
custody through January 21.
On January 21, Texas law
enforcement officials interviewed Goodwin. During
the interview, Goodwin signed a waiver of rights
form, and subsequently provided the Texas law
enforcement authorities with a videotaped confession.
That evening, Goodwin flew back to Texas in the
custody of Texas law enforcement officials. The next
morning, Texas law enforcement officials brought
Goodwin before a magistrate who issued a
magistrate's warning and set Goodwin's bond. A law
enforcement officer later read Goodwin his rights
again, and Goodwin again agreed to waive them. He
then provided a written confession. He also made
incriminating oral statements identifying the
bayonet stolen from Tillerson and the gun used by
Atkins during the robbery and murder.
Goodwin contends that he invoked
his Fifth Amendment right to counsel following his
arrest in Burlington. In support of this contention,
he offers his own affidavit, which he submitted
along with his federal habeas petition and his
second state habeas petition. Goodwin's affidavit
states that, shortly after his arrest, a Burlington
police officer asked Goodwin to sign a form waiving
his Miranda rights. According to his affidavit,
Goodwin refused to do so and informed the officer
that he did not wish to answer any questions outside
the presence of an attorney.
If what Goodwin states in his
affidavit is true, his subsequent purported waivers
of this Fifth Amendment right to counsel prior to
interrogation by Texas authorities were
presumptively invalid even though the Texas
authorities informed Goodwin of his Miranda rights
prior to each waiver, and his confessions would be
inadmissible on this basis. See Roberson, 486 U.S.
at 682-84, 687, 108 S.Ct. at 2098-99, 2101; United
States v. Cruz, 22 F.3d 96, 98 (5th Cir.1994) ("
'[A] valid waiver of that right [to have counsel
present during custodial interrogation] cannot be
established by showing only that [the accused]
responded to further police-initiated custodial
interrogation even if [the accused] has been advised
of his rights.' " (quoting Edwards, 451 U.S. at 484,
101 S.Ct. at 1884)) (all alterations except second
in original).
b. Harmless error
Although admission of Goodwin's
confessions constituted constitutional error under
the factual scenario advanced by Goodwin, such error
cannot provide a ground for habeas relief, and thus
cannot provide a basis for an evidentiary hearing,
if the error was harmless. See Brecht v. Abrahamson,
507 U.S. 619, 622-23, 113 S.Ct. 1710, 1713-14, 123
L.Ed.2d 353 (1993) (observing that habeas relief
need not be granted when constitutional error is
harmless); Perillo, 79 F.3d at 444 (noting that an
evidentiary hearing is required only if the
petitioner establishes the existence of "a factual
dispute, that, if resolved in the petitioner's
favor, would entitle her to relief" (internal
quotation marks and brackets omitted)).
The Supreme Court has held that "trial
error"--that is, error that " 'occur[s] during the
presentation of the case to the jury' "--"is
amenable to harmless-error analysis because it 'may
... be quantitatively assessed in the context of
other evidence presented in order to determine [the
effect it had on the trial].' " See Brecht, 507 U.S.
at 629, 113 S.Ct. at 1716 (quoting Arizona v.
Fulminante, 499 U.S. 279, 307-08, 111 S.Ct. 1246,
1263-64, 113 L.Ed.2d 302 (1991)) (alterations in
original). The admission of confessions obtained in
violation of Edwards and its progeny constitutes
trial error, and is therefore amenable to harmless
error analysis. See United States v. Cannon, 981
F.2d 785, 789 n. 3 (5th Cir.1993) ("A harmless-error
analysis may be performed to examine the effect of
an Edwards violation."); United States v. Webb, 755
F.2d 382, 392 (5th Cir.1985) (applying harmless-error
analysis to statements admitted in violation of
Edwards ).
The harmless-error standard applicable in
conducting habeas review requires the granting of
habeas relief on the basis of constitutional trial
error only if the error " 'had substantial and
injurious effect or influence in determining the
jury's verdict.' " Brecht, 507 U.S. at 620, 113 S.Ct.
at 1712 (quoting Kotteakos v. United States, 328
U.S. 750, 776, 66 S.Ct. 1239, 1253, 90 L.Ed. 1557
(1946)).
If in fact Goodwin invoked his
Fifth Amendment right to counsel upon his arrival at
the Burlington police station, then the state
district court improperly admitted Goodwin's
videotaped confession, his written confession, and
his incriminating statements identifying the bayonet
stolen from Tillerson and the gun used by Atkins
during the robbery and murder. We are convinced that
the admission of this evidence, if improper, "had
substantial and injurious effect or influence in
determining the jury's verdict." Id. at 623, 113
S.Ct. at 1713 (internal quotation marks omitted).
While the state presented a
substantial amount of other evidence against
Goodwin, including the testimony of Dierr that
Goodwin told him that he shot someone in the woods
and ammunition found at the site of Goodwin's
confession to Dierr that was fired from the murder
weapon, Goodwin's statements doubtless had a
tremendous impact on the jury.
Goodwin's written confession
lengthily recounts how he and Atkins held Tillerson
at gunpoint while they searched Tillerson's trailer
for money, how they began taking items from the
trailer, how they drank all of Tillerson's beer
while they were there, how they made Tillerson get
dressed and go with them in Atkins's car to the
woods, and how Goodwin killed Tillerson. Goodwin's
videotaped confession contains similar factual
detail. Moreover, Goodwin's statements identifying
the weapon used by Atkins and the bayonet stolen
from Tillerson are highly probative of his guilt.
"A confession is like no other
evidence." Fulminante, 499 U.S. at 296, 111 S.Ct. at
1257. It "is probably the most probative and
damaging evidence that can be admitted against [a
criminal defendant]." Bruton v. United States, 391
U.S. 123, 139, 88 S.Ct. 1620, 1629, 20 L.Ed.2d 476
(1968) (White, J., dissenting). "While some
statements by a defendant may concern isolated
aspects of the crime or may be incriminating only
when linked to other evidence, a full confession in
which the defendant discloses the motive for and
means of the crime may tempt the jury to rely upon
that evidence alone in reaching its decision."
Fulminante, 499 U.S. at 296, 111 S.Ct. at 1257.
The possibility that the jury
focused solely on Goodwin's confessions in this case
is enhanced by the fact that the prosecution stated
in closing argument that Goodwin's confessions were
the "only evidence" that Goodwin killed Tillerson
"in the course of committing kidnapping [or] robbery,"
a fact that the state had to prove beyond a
reasonable doubt in order to support Goodwin's
conviction for capital murder. See TEX.PEN.CODE ANN.
§ 19.03(a)(2) (Vernon 1994). We therefore cannot say
that the state district court's admission of
Goodwin's two confessions, coupled with its
admission of his other highly incriminating
statements of identification, constituted harmless
error.
Because any error the state
district court committed in admitting Goodwin's
confessions and other incriminating statements was
not harmless, Goodwin has established the existence
of a fact issue that, if resolved in his favor,
would entitle him to habeas relief.
We turn now to the issue of whether the state court
afforded him a full and fair hearing for the
resolution of this fact issue.
3. Full and fair hearing in
state court
As demonstrated above, if the
factual dispute as to whether Goodwin ever invoked
his Fifth Amendment right to counsel is resolved in
Goodwin's favor, he is entitled to habeas relief.
For the reasons that follow, we conclude that the
state did not afford Goodwin a full and fair hearing
on this factual issue and that he is therefore
entitled to an evidentiary hearing in federal
district court to resolve it.
"There cannot even be the
semblance of a full and fair hearing unless the
state court actually reached and decided the issues
of fact tendered by the defendant." Townsend v. Sain,
372 U.S. 293, 313-14, 83 S.Ct. 745, 756-57, 9 L.Ed.2d
770 (1963). As such, when the state court did not
resolve a fact issue that would entitle the
petitioner to relief if resolved in his favor, the
petitioner is entitled to an evidentiary hearing on
the issue. See id. at 313, 83 S.Ct. at 756; Blackmon
v. Scott, 22 F.3d 560, 567 & n. 28 (5th Cir.1994) (concluding
that an evidentiary hearing on factual issues
underlying a habeas petitioner's federal claims was
required because the state court made no fact-findings
on the issues).
In determining whether the state
court reached the merits of a factual issue, the
district court may, in appropriate circumstances,
imply fact-findings from the state court's
disposition of a federal claim that turns on the
factual issue. In Townsend, the Supreme Court
observed:
If the state court has decided
the merits of the claim but has made no express
findings, it may still be possible for the District
Court to reconstruct the findings of the state trier
of fact, either because his view of the facts is
plain from his opinion or because of other indicia.
Townsend, 372 U.S. at 314, 83
S.Ct. at 757. The Court went on to state that
the coequal responsibilities of
state and federal judges in the administration of
federal constitutional law are such that we think
the district judge may, in the ordinary case in
which there has been no articulation, properly
assume that the state trier of fact applied correct
standards of federal law to the facts in the absence
of evidence ... that there is reason to suspect that
an incorrect standard was in fact applied.
Id. at 314-15, 83 S.Ct. at
757-58; Dempsey v. Wainwright, 471 F.2d 604, 606
(5th Cir.1973) ("[I]f the state court did not
articulate the constitutional standards applied, the
district court may presume that the state court
applied correct findings, in the absence of evidence
that an incorrect standard was applied.").
In this case, neither the state
district court nor the Court of Criminal Appeals
made any express findings of fact regarding whether
Goodwin requested the assistance of counsel during
custodial interrogation when first taken to the
Burlington police station. Furthermore, we conclude
that neither court made any implicit fact-findings
on this issue. In addressing Goodwin's habeas
petition, the state courts made no conclusions of
law regarding Goodwin's Fifth Amendment claim (or
any of his other claims) from which we could infer a
factual finding that Goodwin did not refuse police
interrogation in the absence of an attorney when
first taken to the Burlington police station.
Rather, the district court
recommended in a two-page order containing no legal
analysis of Goodwin's claims that Goodwin's request
for relief be denied, and the Court of Criminal
Appeals accepted the recommendation in an even more
summary fashion. A conclusion that the state courts'
summary denial of Goodwin's petition for habeas
corpus relief implies a finding that Goodwin never
invoked his Fifth Amendment right to counsel finds
no support in the Supreme Court's jurisprudence and
is contrary to this circuit's treatment of implied
fact-findings.
In the circumstances in which the
Supreme Court has held that a state court has made
implied findings of fact, the state court's written
disposition of the claim in question has contained
explicit conclusions of law. For example, in
Marshall v. Lonberger, 459 U.S. 422, 103 S.Ct. 843,
74 L.Ed.2d 646 (1983), the Court determined that a
state trial court's legal conclusion that a criminal
defendant's guilty plea was admissible into evidence
implied a factual determination that the defendant's
testimony that he had never been given an
opportunity to review the indictment for the charged
offense lacked credibility.
The Court observed that "[t]he
trial court's ruling allowing the record of
conviction to be admitted in evidence ... is
tantamount to a refusal to believe the testimony of
respondent." Id. at 434, 103 S.Ct. at 850. However,
the trial court's ruling that the confession was
admissible contained an express legal conclusion
that "the defendant intelligently and voluntarily
entered his plea of guilty." Id. at 429, 103 S.Ct.
at 847 (internal quotation marks omitted).
Similarly, in LaVallee v. Delle
Rose, 410 U.S. 690, 93 S.Ct. 1203, 35 L.Ed.2d 637
(1973), the court held that the trial court's legal
conclusion that a criminal defendant's "confessions
to the police and district attorney were, in all
respects, voluntary and legally admissible in
evidence at the trial" implied a fact-finding by the
trial court that the defendant's testimony that his
confessions resulted from police coercion lacked
credibility. Id. at 691, 93 S.Ct. at 1203.
The Court stated, "Although it is
true that the state trial court did not specifically
articulate its credibility findings, it can scarcely
be doubted from its written opinion that
respondent's factual contentions were resolved
against him." Id. at 692, 93 S.Ct. at 1204. In both
of the above cases, the state court had made an
express legal conclusion from which the reviewing
federal court could accurately reconstruct the
factual determinations that formed the basis of the
state court's legal conclusion.
The case law of this circuit
demonstrates that some indication of the legal basis
for the state court's denial of relief on a federal
claim is generally necessary to support a conclusion
that the state court has made an implied fact-finding
as to a factual issue underlying the claim.
In Armstead v. Scott, 37 F.3d 202 (5th Cir.1994),
the habeas petitioner alleged that his defense
counsel was unconstitutionally ineffective because
he falsely promised the petitioner that his wife
would receive probation if he pled guilty. See id.
at 205. The state habeas court made no express
findings of fact on this issue and merely denied
relief. See id. at 208. This court held that the
state court had made no fact-finding--express or
implied--on this issue. See id. at 208-09.
Likewise, in Blackmon v. Scott,
22 F.3d 560 (5th Cir.1994), we concluded that a
habeas petitioner was entitled to an evidentiary
hearing on a number of his claims for habeas relief,
the viability of which hinged upon resolution of
fact issues, because the state habeas court had not
entered fact-findings disposing of the underlying
fact issues in denying the petitioner's state habeas
petition. See id. at 566-67. We therefore conclude
that neither the state district court nor the Court
of Criminal Appeals made any implicit findings of
fact on the issue of whether Goodwin requested to
have an attorney present during custodial
interrogation when first taken to the Burlington
police station.
Because the state courts made no
fact-finding on this issue, they did not provide
Goodwin with a full and fair hearing for its
resolution. Goodwin is therefore entitled to an
evidentiary hearing so that the district court may
determine whether Goodwin invoked his Fifth
Amendment right to counsel, thereby rendering his
confessions inadmissible at trial. "This should not
be a wide-ranging fishing expedition, but a brief
adversarial hearing concerning a discrete [factual
issue]." Perillo, 79 F.3d at 445.
C. Withholding Exculpatory
Evidence and Knowing Use of Perjured Testimony by
Prosecution
Goodwin advances two arguments
relating to the testimony of Delbert Burkett, a
witness at Goodwin's trial who was Goodwin's
cellmate in the Montgomery County Jail during the
early part of 1987. Burkett testified at the
sentencing stage of Goodwin's trial that Goodwin had
bragged to him about the murder of Tillerson and
that Goodwin showed no remorse at having committed
the murder. Goodwin alleges that the prosecution (1)
knowingly failed to correct Burkett's perjurious
testimony during sentencing that he did not testify
in exchange for a deal from the state lessening his
sentence on a state crime for which he had been
previously convicted and (2) failed to inform
Goodwin of the existence of a deal between Burkett
and the state that would have constituted material
impeachment evidence at trial. Goodwin contends that
a genuine issue of material fact exists as to each
of the above claims, and that he is therefore
entitled to an evidentiary hearing on them. We
conclude that no such genuine issues of material
fact exist and that Goodwin is not entitled to an
evidentiary hearing on these claims.
1. Knowing use of perjured
testimony
"A state denies a criminal
defendant due process when it knowingly uses
perjured testimony at trial or allows untrue
testimony to go uncorrected." Faulder v. Johnson, 81
F.3d 515, 519 (5th Cir.) (citing Napue v. Illinois,
360 U.S. 264, 79 S.Ct. 1173, 3 L.Ed.2d 1217 (1959)),
cert. denied, --- U.S. ----, 117 S.Ct. 487, 136 L.Ed.2d
380 (1996). To obtain a reversal based upon a
prosecutor's use of perjured testimony or failure to
correct such testimony, a habeas petitioner must
demonstrate that "1) the testimony was actually
false; 2) the state knew it was false; and 3) the
testimony was material." See id.; Blackmon v. Scott,
22 F.3d 560, 565 (1994). False evidence is
"material" only "if there is any reasonable
likelihood that [it] could have affected the jury's
verdict." Westley v. Johnson, 83 F.3d 714, 726 (5th
Cir.1996) (internal quotation marks omitted), cert.
denied, --- U.S. ----, 117 S.Ct. 773, 136 L.Ed.2d
718 (1997).
On April 16, 1987, Burkett was
sentenced to five years imprisonment for possession
of a controlled substance, having violated the
conditions of his previous sentence of deferred
adjudication on the offense. That same day, two
other criminal charges pending against Burkett were
dismissed. At trial, Burkett testified that he had
received no promises of consideration from the state
in exchange for his testimony at Goodwin's trial as
of the time of his sentencing on the charge of
possession of a controlled substance. Burkett also
testified that he had no idea that the state desired
to have him testify until he was bench-warranted
from state prison back to Montgomery County in July
1987 to discuss the Goodwin case with prosecutors.
Goodwin claims that a fact issue
exists as to the falsehood of both of these pieces
of testimony as well as the state's knowledge of the
falsehood. He therefore argues that the district
court erred in denying him an evidentiary hearing to
explore these claims. We disagree.
Goodwin has presented no
competent summary judgment evidence creating a fact
issue as to the falsehood of Burkett's testimony
that the state had not offered him any sort of deal
in exchange for his testimony as of the time of
Burkett's sentencing on his charge of possession of
a controlled substance. In support of his claim that
this testimony was false, Goodwin offers the
affidavit of Kathryn Jean Burkett, Burkett's ex-wife.
Her affidavit states that Burkett informed her
before he was transported from county jail to the
Texas Department of Corrections to serve his five
year sentence that "he was going to get at least one,
and maybe more of his charges dismissed in exchange
for his testimony."
Burkett's alleged statement to
his ex-wife only creates a fact issue as to whether
he entered a deal with the state prior to April 16,
and therefore as to whether his testimony to the
contrary at trial was false, if the statement is
true. To that extent, Burkett's alleged statement is
hearsay, as it is an out-of-court statement offered
to prove the truth of the matter asserted.
See FED.R.EVID. 801(c). Because Goodwin has not
demonstrated that Burkett's alleged statement to his
wife fits any exception to the general rule that
hearsay is inadmissible, see FED.R.EVID. 802, 803,
the statement is incompetent summary judgment
evidence. See Barhan v. Ry-Ron Inc., 121 F.3d 198,
202 (5th Cir.1997).
None of the other summary
judgment evidence presented to the district court,
including the affidavits of the prosecuting
attorneys and the numerous affidavits of Burkett,
contradict Burkett's trial testimony that the state
had offered him no deal in exchange for his
testimony as of the time that his sentence for
possession of a controlled substance was imposed.
Because Goodwin has failed to demonstrate the
existence of a fact issue as to the falsehood of
Burkett's testimony at trial, he is not entitled to
an evidentiary hearing on this issue.
2. Failure to disclose the
existence of a deal
"The prosecution's suppression of
evidence favorable to the accused violates the Due
Process Clause if the evidence is material either to
guilt or to punishment." Kopycinski v. Scott, 64
F.3d 223, 225 (5th Cir.1995) (citing Brady v.
Maryland, 373 U.S. 83, 87, 83 S.Ct. 1194, 1196, 10
L.Ed.2d 215 (1963)). This includes evidence that may
be used to impeach a witness's credibility. See id.
(citing United States v. Bagley, 473 U.S. 667, 676,
105 S.Ct. 3375, 3380, 87 L.Ed.2d 481 (1985)). "[E]vidence
is material only if there is a reasonable
probability that, had the evidence been disclosed to
the defense, the result of the proceeding would have
been different." Bagley, 473 U.S. at 682, 105 S.Ct.
at 3383; Kopycinski, 64 F.3d at 225-26. If the
prosecution withholds evidence that satisfies the
above definition of materiality, then harmless-error
analysis is inapposite and habeas relief is
warranted. See Kyles v. Whitley, 514 U.S. 419, 435,
115 S.Ct. 1555, 1566, 131 L.Ed.2d 490 (1995) ("[O]nce
a reviewing court applying Bagley has found
constitutional error there is no need for further
harmless-error review. Assuming, arguendo, that a
harmless-error enquiry were to apply, a Bagley error
could not be treated as harmless, since a reasonable
probability that, had the evidence been disclosed to
the defense, the result of the proceeding would have
been different necessarily entails the conclusion
that the suppression must have had substantial and
injurious effect or influence in determining the
jury's verdict." (internal quotation marks and
citations omitted)).
Goodwin alleges that a fact issue
exists as to whether the state entered into a deal
with Burkett pursuant to which Burkett would receive
favorable treatment in exchange for his testimony at
the sentencing phase of Goodwin's trial. He contends
that, if such a deal existed and the state failed to
reveal it to him, he is entitled to a new trial on
Brady grounds. Goodwin therefore argues that the
district court improperly denied him an evidentiary
hearing to resolve the factual dispute of whether a
deal existed between the state and Burkett. Because
Goodwin has offered no competent summary judgment
evidence establishing a fact issue as to whether the
state had entered a deal with Burkett whereby he
would receive favorable treatment in exchange for
his testimony, Goodwin is not entitled to an
evidentiary hearing on this claim.
In support of his Brady claim,
Goodwin offers one of the three affidavits executed
by Burkett and an affidavit of Kathryn Burkett.
Burkett's affidavit does not establish a fact issue
as to the existence of a deal that would satisfy
Brady 's requirement of materiality. In his
affidavit, Burkett states that prosecutors indicated
"that they would look into pending criminal matters,
which included a probation revocation in Travis
County and assistance with [his] parole for the
Montgomery County charges."
Specifically, Burkett claims that
one of the prosecutors "told [him] she could not
promise anything concerning the Travis County
probation, because it was from another county, but
she said she would look into it if she could."
Assuming that such a statement by the prosecutor
constitutes an agreement, it is immaterial because
the potential benefit to Burkett was so marginal
that "it is doubtful it would motivate a reluctant
witness, or that disclosure of the statement would
have had any effect on his credibility." McCleskey
v. Kemp, 753 F.2d 877, 884 (11th Cir.1985) (en banc)
(concluding that a detective's promise to "speak a
word" for a witness in exchange for his testimony
was not reasonably likely to have changed the
judgment of the jury had it been disclosed).
We therefore conclude that, even
if the prosecutor made the "agreement" that Burkett
alleges, the agreement was immaterial because there
is no "reasonable probability that, had the evidence
been disclosed to the defense, the result of the [sentencing
stage of trial] would have been different." Bagley,
473 U.S. at 682, 105 S.Ct. at 3383. This conclusion
is bolstered by the district court's observation
that the jury, having been informed of Burkett's
status as a thrice-convicted felon, already had
ample reason to conclude that Burkett "was less than
a model of integrity."
The remainder of Burkett's
affidavit merely evidences a nebulous expectation of
help from the state; such an expectation is not
Brady material. See United States v. Nixon, 881 F.2d
1305, 1311 (5th Cir.1989) (holding that a witness's
impression that the government would help him obtain
a pardon in exchange for his testimony, in the
absence of "a specific promise to help," was not
Brady material).
Kathryn Burkett's affidavit
likewise fails to establish a genuine issue of
material fact with respect to Goodwin's Brady claim.
Her affidavit states that Burkett told her that he
had made a deal with the state pursuant to which he
would receive favorable treatment in exchange for
his testimony. However, as noted earlier, such
statements by Burkett are inadmissible hearsay, and
are therefore not competent summary judgment
evidence. See Barhan, 121 F.3d at 202.
Kathryn Burkett's affidavit also
indicates that she heard Burkett speaking with a
state investigator about a "deal," but it provides
no indication of the substance of the investigator's
statements. The only specific statements by the
investigator to which she refers consist of his
encouragement that she "stand by Delbert through his
prison sentence and ... make plans for [her] life
with Delbert after his short stay in prison." This
statement does not create a fact issue as to whether
the state had promised Burkett favorable treatment
in exchange for his testimony.
In sum, Goodwin has not
established a fact issue as to the existence of a
deal between the state and Burkett, the
nondisclosure of which would mandate a new
sentencing hearing under Brady. Goodwin is therefore
not entitled to an evidentiary hearing on his Brady
claim.
D. Violation of Constitutional
Right to Rehabilitation Expert
Goodwin contends that the
district court erred in denying him habeas relief on
his claim that the trial court violated his
Fourteenth Amendment right to due process by denying
his motion for funds to hire a rehabilitation expert
to testify at the punishment phase of his trial.
Prior to trial, defense counsel filed a motion
requesting funds for the purpose of retaining
certain expert witnesses, including "an expert in
the area of parole and rehabilitation." The trial
court did not grant the motion. Neither the state
nor the defense proffered psychiatric evidence at
sentencing.
In evaluating Goodwin's claim of
entitlement to a rehabilitation expert, the district
court appears to have applied the standard adopted
in this circuit for determining whether an indigent
defendant has a right of state-funded access to
nonpsychiatric experts. Under this standard, a
criminal defendant has no due process right to the
assistance of such an expert unless the expert
testimony to be obtained is " 'both critical to the
conviction and subject to varying expert opinion.' "
See Yohey v. Collins, 985 F.2d 222, 227 (5th
Cir.1993) (quoting Scott v. Louisiana, 934 F.2d 631,
633 (5th Cir.1991) (citation omitted)). Goodwin
contends that the district court erred in applying
this standard and should instead have evaluated his
claim under the standard articulated by the Supreme
Court in Ake v. Oklahoma, 470 U.S. 68, 105 S.Ct.
1087, 84 L.Ed.2d 53 (1985), for determining whether
an indigent defendant is constitutionally entitled
to the appointment of a psychiatric expert.
As support for this proposition,
Goodwin argues that, in the context of mental-health
evidence presented to the jury during the punishment
phase of the trial, there is "no significant
difference ... between the opinions offered by ...
rehabilitation counselors and expert opinions from a
mental health professional." Schneider v. Lynaugh,
835 F.2d 570, 571 (5th Cir.1988). Assuming arguendo
that Goodwin would have elicited the type of
testimony from a rehabilitation expert that would be
the functional equivalent of psychiatric testimony
and that this fact would bring his request for an
expert within the ambit of Ake, his claim is
nonetheless unavailing.
In Ake, the Supreme Court held
that an indigent defendant has a due process based
right to the appointment of a psychiatric expert to
present rebuttal evidence at sentencing "when the
State presents psychiatric evidence of the
defendant's future dangerousness." Ake, 470 U.S. at
83, 105 S.Ct. at 1096. The state presented no such
evidence in this case. Goodwin argues, however, that
Ake requires the appointment of a psychiatric expert
whenever the defendant's future dangerousness is "a
significant factor" at sentencing.
Goodwin acknowledges that his
proposed interpretation of Ake would entitle every
defendant in a Texas capital case to the appointment
of a psychiatrist because imposition of the death
penalty requires that the state prove, inter alia,
that "there is a probability that the defendant
would commit criminal acts of violence that would
constitute a continuing threat to society."
TEX.CRIM.PROC.CODE ANN. art. 37.071(b)(1) (Vernon
Supp.1998). This contention is unsupportable.
In Ake, the Court indicated that
the due process entitlement to the assistance of a
psychiatrist when the state presents psychiatric
evidence of future dangerousness is predicated upon
the notion that psychiatric testimony offered on
behalf of the defendant is uniquely capable of "uncover[ing],
recogniz[ing], and tak[ing] account of ...
shortcomings in predictions" made by the state's
psychiatrists. Ake, 470 U.S. at 84, 105 S.Ct. at
1096 (internal quotation marks omitted). It is
simply not the case that the types of nonpsychiatric
evidence of future dangerousness offered by the
state in this case, such as Goodwin's criminal
history and testimony that Goodwin bragged about
killing Tillerson, are uniquely capable of being
rebutted only by psychiatric testimony.
Moreover, subsequent Supreme
Court precedent indicates that Ake only creates an
entitlement to the assistance of a psychiatrist
during sentencing when the state offers psychiatric
evidence of the defendant's future dangerousness.
See Tuggle v. Netherland, 516 U.S. 10, 12, 116 S.Ct.
283, 284, 133 L.Ed.2d 251 (1995) ("[W]e held in Ake
... that when the prosecutor presents psychiatric
evidence of an indigent defendant's future
dangerousness in a capital sentencing proceeding,
due process requires that the State provide the
defendant with the assistance of an independent
psychiatrist." (emphasis added)); Simmons v. South
Carolina, 512 U.S. 154, 164, 114 S.Ct. 2187, 2193,
129 L.Ed.2d 133 (1994) ("[W]here the State presents
psychiatric evidence of a defendant's future
dangerousness at a capital sentencing proceeding,
due process entitles an indigent defendant to the
assistance of a psychiatrist for the development of
his defense...." (emphasis added)).
Goodwin relies upon Clisby v.
Jones, 960 F.2d 925, 929 n. 7 (11th Cir.1992), and
Liles v. Saffle, 945 F.2d 333, 340-41 (10th
Cir.1991), for the proposition that Ake may require
the appointment of a psychiatrist in some
circumstances in which the state offers only
nonpsychiatric evidence of future dangerousness.
However, even if we were to adopt the construction
of Ake that these cases advocate, Goodwin's claim
would nonetheless fail.
Those cases requiring the
appointment of a psychiatrist to aid the defendant
during sentencing when the state has offered only
nonpsychiatric evidence of the defendant's future
dangerousness have also required that the defendant
establish that "his mental condition could have been
a significant mitigating factor." Liles, 945 F.2d at
341; see also Clisby, 960 F.2d at 929 ("Ake requires
a state to provide the capital defendant with such
access to a competent psychiatrist upon a
preliminary showing to the trial court that the
defendant's mental status is to be a significant
factor at sentencing."). Goodwin has made no such
showing.
Goodwin concedes in his appellate
brief that, in evaluating his Ake claim, we should
consider only the evidence the trial court had
before it at the time of its ruling denying the
request for court appointment of a rehabilitation
expert. See Williams v. Collins, 989 F.2d 841, 844
n. 10 (5th Cir.1993). Goodwin's motion requesting
funds to hire a rehabilitation expert states the
following:
In the event the Defendant is
convicted, a punishment hearing would be conducted
to determine sentencing. Because all information
pertinent to sentencing must be introduced at the
punishment hearing, it will be necessary for the
Defendant's counsel to employ an expert in the area
of parole and rehabilitation to determine, in the
event the Defendant is convicted, whether he is
capable of rehabilitation. This information and
expert opinion would be admissible as a mitigating
circumstance under Texas Law. The Defendant's
counsel [has] no training or expertise in this field
and would be prohibited from testifying, in any
event. The estimated cost of such an expert would be
$500.00.
Goodwin's motion contains "little
more than undeveloped assertions that the requested
assistance would be beneficial." See Caldwell v.
Mississippi, 472 U.S. 320, 323 n. 1, 105 S.Ct. 2633,
2636 n. 1, 86 L.Ed.2d 231 (1985) (internal quotation
marks omitted). Goodwin did not present to the trial
court any explanation regarding either the purported
connection between his mental state and his
prospects of rehabilitation or the sort of
mitigating evidence relating to his mental condition
that the expert he proposed to hire would provide.
Accordingly, Goodwin has not made
a sufficient showing that he was constitutionally
entitled to the appointment of a rehabilitation
expert even under the expansive interpretation of
Ake advocated in Liles and Clisby. See Volanty v.
Lynaugh, 874 F.2d 243, 245 (5th Cir.1989) (holding
that a motion for the appointment of a psychiatric
expert based on an allegation that the defendant was
temporarily insane at the time of the offense as a
result of drug use was insufficient to support an
Ake claim absent additional supporting evidence);
Volson v. Blackburn, 794 F.2d 173, 176 (5th
Cir.1986) (holding that an attorney's "conclusional
allegation" that his client "was unable to
understand the difference between right and wrong at
the time of the offense" was insufficient to support
an Ake claim).
Such allegations are insufficient to demonstrate a
need for the assistance of a psychiatric expert. The
district court therefore properly denied Goodwin's
request for habeas relief on this claim.
E. Constitutionality of
Article 8.04(a) of the Texas Penal Code
Goodwin argues that section
8.04(a) of the Texas Penal Code, which provides that
"[v]oluntary intoxication does not constitute a
defense to the commission of crime," TEX.PEN.CODE
ANN. § 8.04(a) (Vernon 1994), is unconstitutional
and that its effect on his trial entitles him to
habeas relief on two bases. First, Goodwin contends
that the statute unconstitutionally restricted the
jury's consideration of evidence of his intoxication
that would have disproven the existence of the
specific intent element of capital murder as defined
by Texas law.
Second, he contends that the statute operated to
preclude the trial court's submission of a lesser-included
offense instruction to the jury in contravention of
Beck v. Alabama, 447 U.S. 625, 100 S.Ct. 2382, 65
L.Ed.2d 392 (1980). Both arguments lack merit.1.
Statutory preclusion of voluntary intoxication
defense
Goodwin's claim that section
8.04(a) unconstitutionally precluded the jury from
considering evidence of Goodwin's voluntary
intoxication in determining whether he had the
specific intent necessary to commit capital murder
is foreclosed by the Supreme Court's recent decision
in Montana v. Egelhoff, 518 U.S. 37, 116 S.Ct. 2013,
135 L.Ed.2d 361 (1996). In Egelhoff, the Court
upheld a Montana statute which provides, in relevant
part, that voluntary intoxication "may not be taken
into consideration in determining the existence of a
mental state which is an element of [a criminal]
offense," MONT.CODE ANN. § 45-2-203 (1997), against
a due process attack identical to the one advanced
by Goodwin. See id. at ----, 116 S.Ct. at 2024 (Scalia,
J., plurality opinion); id. at ----, 116 S.Ct. at
2026 (Ginsburg, J., concurring).
In that case, the petitioner
challenged his conviction of deliberate homicide on
the ground that the Montana statute precluded him
from offering evidence of his voluntary intoxication
that would have proven that he did not "purposely"
or "knowingly" cause the death of another person. Id.
at ---- - ----, 116 S.Ct. at 2016-17 (Scalia, J.,
plurality opinion).
The Court rejected this argument
on the ground that the Montana statute "does not
offend a 'fundamental principle of justice,' given
the lengthy common-law tradition [prohibiting the
defense of voluntary intoxication], and the
adherence of a significant minority of the States to
that position today." Id. at ----, 116 S.Ct. at 2025
(Ginsburg, J., concurring); see also id. at ---- -
----, 116 S.Ct. at 2017-20 (Scalia, J., plurality
opinion) (chronicling the common law's historical
treatment of voluntary intoxication and listing the
ten states that retain the historical prohibition on
the defense).
Goodwin advances the same
argument as the petitioner in Egelhoff: that section
8.04(a) violated his right to due process by
prohibiting him from offering evidence of his
voluntary intoxication in order to negate the
existence of the mens rea necessary to support his
conviction of capital murder under Texas law. This
claim therefore fails.
2. Statutory preclusion of
lesser-included offense instruction
Goodwin also claims that section
8.04(a) of the Texas Penal Code prohibited the trial
court from submitting to the jury a lesser included
offense instruction on murder in contravention of
Beck, 447 U.S. 625, 100 S.Ct. 2382, 65 L.Ed.2d 392.
He argues that, based on evidence of his voluntary
intoxication, the jury could have rationally
acquitted Goodwin of capital murder and convicted
him of noncapital murder. This argument lacks merit.
A defendant is entitled to a
lesser-included offense instruction only if "the
facts of the case and the laws of the State warrant
such an instruction." Andrews v. Collins, 21 F.3d
612, 629 (5th Cir.1994) (internal citation and
quotation marks omitted). The Supreme Court held in
Egelhoff that the states are free to prevent jurors
from considering evidence of voluntary intoxication;
Texas has chosen to do so. As such, the laws of the
state foreclose our finding a Beck violation on the
basis that evidence of Goodwin's voluntary
intoxication could have allowed a reasonable jury to
convict him of the lesser-included offense of murder.
Because the jury could not
consider evidence of Goodwin's voluntary
intoxication in determining whether he lacked the
specific intent necessary to commit capital murder
but possessed a less culpable mental state that
would allow conviction of murder, the jury could not
have rationally acquitted Goodwin of capital murder
and convicted him of noncapital murder. See Mann v.
Scott, 41 F.3d 968, 976 (5th Cir.1994). Goodwin was
therefore not constitutionally entitled to a lesser-included
offense instruction.
V. CONCLUSION
For the foregoing reasons, we
grant Goodwin's request for a CPC, VACATE that
portion of the district court's judgment denying
habeas relief on Goodwin's Fifth Amendment claim,
and REMAND for an evidentiary hearing on the issue
of whether Goodwin invoked his Fifth Amendment right
to counsel upon being taken to the Burlington police
station. We AFFIRM the judgment of the district
court in all other respects.
*****
We determine whether Goodwin has
established prejudice based on current law. See
Westley v. Johnson, 83 F.3d 714, 723 (5th Cir.1996)
("[P]rejudice ... is measured by current law and not
by the law as it existed at the time of the alleged
error."); Wilkerson v. Whitley, 28 F.3d 498, 507
(5th Cir.1994) (en banc) (observing that, on federal
habeas review, "[a] state can take advantage of
changes in the law occurring after a conviction
becomes final"). However, we express no opinion as
to whether the trial court's refusal to provide an
article 38.23 instruction regarding Goodwin's
confessions was harmless error under Texas law, but
rather assume for purposes of our analysis that it
was not and that the trial court's refusal to
provide the requested instruction would therefore
mandate reversal on direct appeal.
Although we have discussed the
performance component of an ineffectiveness claim
prior to the prejudice component, there is no reason
for a court deciding an ineffective assistance claim
to approach the inquiry in the same order or even to
address both components of the inquiry if the
defendant makes an insufficient showing on one. In
particular, a court need not determine whether
counsel's performance was deficient before examining
the prejudice suffered by the defendant as a result
of the alleged deficiencies. The object of an
ineffectiveness claim is not to grade counsel's
performance.
Strickland, 466 U.S. at 697, 104
S.Ct. at 2069; see also United States v. Vaquero,
997 F.2d 78, 92 n. 12 (5th Cir.1993).
Cronic-type prejudice results in
circumstances in which, although counsel is present,
counsel's ineffectiveness is so egregious that the
defendant is in effect denied any meaningful
assistance of counsel at all. See Childress v.
Johnson, 103 F.3d 1221, 1229 (5th Cir.1997). When
the defendant receives at least some meaningful
assistance, he must prove prejudice in order to
obtain relief for ineffective assistance of counsel.
Id. Goodwin cannot complain of a lack of meaningful
assistance on appeal and therefore is not entitled
to a presumption of prejudice. His lawyer filed an
appeal and advanced cogent arguments. The failure of
Goodwin's appellate counsel to read two days of the
trial record falls far short of establishing that
any deficiency in his performance precluded
meaningful appellate review entirely or in effect
constituted no assistance of appellate counsel at
all. See Hamilton, 772 F.2d at 181-82. Therefore, in
order to establish a claim of ineffective assistance
of counsel, Goodwin must prove that his appellate
counsel's failure to provide the Court of Criminal
Appeals with a full transcript of the suppression
hearing prejudiced him. See id. at 182. As
demonstrated above, he cannot do so.
When Goodwin appeared before the
Iowa magistrate, his Sixth Amendment right to
counsel had attached with respect to the charge of
first degree burglary. See Cooper, 949 F.2d at 741
n. 1 ("The Sixth Amendment right to counsel attaches
'at or after the initiation of adversary judicial
criminal proceedings--whether by way of formal
charge, preliminary hearing, indictment, information,
or arraignment.' " (quoting Kirby v. Illinois, 406
U.S. 682, 689, 92 S.Ct. 1877, 1882, 32 L.Ed.2d 411
(1972))). The record before us indicates that
Goodwin's request for counsel before the Iowa
magistrate constituted nothing more than the
invocation of his Sixth Amendment right to counsel
with respect to the burglary charge.
The Supreme Court held in McNeil
v. Wisconsin,
501 U.S. 171 , 111 S.Ct. 2204, 115 L.Ed.2d 158
(1991), that, as a matter of fact and policy,
the invocation of the offense-specific Sixth
Amendment right to counsel does not of itself
constitute the invocation of the non-offense
specific Fifth Amendment right to counsel. See id.
at 177, 111 S.Ct. at 2208. Rather, invocation of the
Fifth Amendment right to counsel occurs only when
the accused " 'ha[s] expressed ' his wish for the
particular sort of lawyerly assistance that is the
subject of Miranda." Id. at 178, 111 S.Ct. at 2208 (quoting
Edwards, 451 U.S. at 484, 101 S.Ct. at 1884) (alteration
in original); Cooper, 949 F.2d at 742. Moreover, it
is questionable whether an individual can
anticipatorily invoke his Fifth Amendment right to
counsel at an arraignment or other hearing at which
he is not subject to custodial interrogation. As the
Court observed in McNeil,
We have in fact never held that a
person can invoke his Miranda rights anticipatorily,
in a context other than "custodial interrogation"--which
a preliminary hearing will not always, or even
usually, involve. If the Miranda right to counsel
can be invoked at a preliminary hearing, it could be
argued, there is no logical reason why it could not
be invoked by a letter prior to arrest, or indeed
even prior to identification as a suspect. Most
rights must be asserted when the government seeks to
take the action they protect against. The fact that
we have allowed the Miranda right to counsel, once
asserted, to be effective with respect to future
custodial interrogation does not necessarily mean
that we will allow it to be asserted initially
outside the context of custodial interrogation, with
similar future effect.
McNeil, 501 U.S. at 182 n. 3, 111
S.Ct. at 2210 n. 3 (citations omitted). However, we
need not resolve the issue of whether anticipatory
invocation of Miranda rights outside the context of
custodial interrogation is possible here. Because
the record in this case is devoid of any indication
that Goodwin's request for counsel before the Iowa
magistrate included a "request that counsel
represent him in unrelated future custodial
interrogations," we conclude that this request for
counsel did not constitute an invocation of
Goodwin's Fifth Amendment right to counsel. Cooper,
949 F.2d at 742.
Goodwin argues that Rule 2(2) of
the Iowa Code of Criminal Procedure, pursuant to
which the magistrate admonished Goodwin prior to his
request for counsel, is similar to article 15.17 of
the Texas Code of Criminal Procedure, the statutory
provision that dictates the information with which a
magistrate must provide an accused person in a
similar proceeding in Texas. Compare
TEX.CRIM.PROC.CODE ANN. art. 15.17 (Vernon Supp.1998)
with IOWA CODE ANN. § 813.2 (1994). Goodwin contends
that Texas courts have concluded that an accused's
invocation of the right to counsel at an article
15.17 hearing necessarily constitutes an invocation
of the accused's Fifth Amendment right to counsel.
However, none of the authority cited by Goodwin
stands for this proposition. See Green v. State, 872
S.W.2d 717, 726 (Tex.Crim.App.1994) (Baird, J.,
concurring); Young v. State, 820 S.W.2d 180, 187 (Tex.App.--Dallas
1991, pet. ref'd) (noting that the state conceded
that the defendant invoked his Fifth Amendment right
to counsel at an article 15.17 hearing);
Higginbotham v. State, 769 S.W.2d 265, 269 (Tex.App.--Houston
[14th Dist.] 1989) (holding that a defendant's
request for counsel during an article 15.17 hearing
that took place prior to the attachment of the
accused's Sixth Amendment right to counsel served to
invoke the accused's Fifth Amendment right to
counsel), rev'd on other grounds 807 S.W.2d 732 (Tex.Crim.App.1991).
In fact, the Texas Court of Criminal Appeals has
expressly held to the contrary. See Green v. State,
934 S.W.2d 92, 97 (Tex.Crim.App.1996) (holding that
the appellant's request for counsel at a preliminary
hearing before a magistrate did not serve to invoke
his Fifth Amendment right to counsel because the
appellant was not subjected to custodial
interrogation during the hearing), cert. denied, ---
U.S. ----, 117 S.Ct. 1561, 137 L.Ed.2d 707 (1997).
While we are not bound to accept the conclusions of
the Court of Criminal Appeals regarding when a
federal right attaches within the context of Texas's
criminal procedural framework, we find the court's
conclusion consistent with pertinent federal
precedent. See McNeil, 501 U.S. at 177, 182 n. 3,
111 S.CT. at 2208, 2210 n. 3; Cooper, 949 F.2d at
742.
Goodwin's affidavit is competent
summary judgment evidence that creates a genuine
issue of material fact as to whether Goodwin refused
a request by Burlington police to waive his Miranda
rights and subsequently invoked his Fifth Amendment
right to counsel. See Transamerica Ins. Co. v.
Avenell, 66 F.3d 715, 722 (5th Cir.1995) (holding
that an attorney's detailed affidavit, which was
competent summary judgment evidence, demonstrated
the existence of a genuine issue of material fact
regarding a claim for attorney's fees). The state
has presented no evidence reflecting that Goodwin
initiated any conversations with police that would
have cut off the effectiveness of a previous
assertion of the Fifth Amendment right to counsel
and thus negated the materiality of the fact issue
raised by Goodwin's affidavit. The only other
evidence presented by the state was a conflicting
affidavit by Goodwin's trial attorney. Thus, a
genuine issue of material fact exists regarding
Goodwin's Fifth Amendment claim.
As noted above, in order to be
entitled to an evidentiary hearing in federal court,
a habeas petitioner must demonstrate the existence
of a "factual dispute, that, if resolved in the
petitioner's favor, would entitle her to relief."
Perillo, 79 F.3d at 444 (internal quotation marks
and brackets omitted). Were we to conclude that,
when a state habeas court denies a habeas petition
containing federal claims without written findings
of fact or conclusions of law, it has implicitly
made all of the factual findings necessary to
support its denial of the federal claims therein,
then we would be forced to conclude that the state
court has made implicit findings of fact any time a
habeas petitioner makes a threshold showing that he
is entitled to an evidentiary hearing. This is so
because we would be forced to conclude that, when
the petitioner demonstrates the existence of a
factual issue that would entitle him to relief if
resolved in his favor, the state court necessarily
must have resolved the issue against the petitioner
in order for its denial of relief on the federal
claim to be valid. Such an expansive approach to
implicit fact-findings would strip Townsend 's
admonishment that a habeas petitioner is entitled to
an evidentiary hearing if "the merits of the factual
dispute were not resolved in the state hearing" of
all meaning. Townsend, 372 U.S. at 313, 83 S.Ct. at
756.
Q: And, then you got five years
on a controlled substance out of Montgomery County?
A: Yes, sir.
...
Q: Had you already spoken to the
authorities about what you knew that Goodwin had
said when you plead for the five years?
A: No.
Q: Was there any arrangement or
deal at all where your sentence would be cut or you
would not be enhanced if you testified against
Goodwin?
Q: No, sir. The first I found out
about it was when I was bench-warranted back here on
July the 1st.
On direct examination by the
state before the jury, Burkett testified as follows:
Q: When did you receive your last
conviction?
A: This one now? April of this
year.
...
Q: At that time had I ever talked
to you?
A: No, ma'am.
Q: Had anyone ever talked to you
about Alvin Goodwin?
A: No, ma'am.
Q: Was there any promises made at
that time concerning testimony against Alvin Goodwin
at the time you pled?
A: No, ma'am.
Q: When did you first become
aware that we were aware that you might have some
testimony concerning Alvin Goodwin?
A: July the 1st.
Q: And, were you bench-warranted
back to Montgomery County for that purpose?
A: Yes, ma'am.
Q: At the time you were
bench-warranted, did you have any idea why you were
being bench-warranted?
A: Not until I got here and I
seen Guy Williams and he told me why.
Goodwin contends that Eighth
Amendment jurisprudence necessitates a broad
interpretation of Ake that would require the
appointment of rehabilitation experts in any
circumstance in which the state offers evidence of
future dangerousness. He argues that, "because death
is qualitatively different from any other punishment,"
the Eighth Amendment requires a correspondingly
higher degree of reliability in sentencing
determinations that impose death. However, Ake
itself involved a capital sentencing hearing. See
Ake, 470 U.S. at 73, 105 S.Ct. at 1090. As noted
above, Ake does not mandate the appointment of
experts in capital cases in which the state does not
offer psychiatric evidence of future dangerousness.
Moreover, to the extent that we are bound to
consider only the facts presented to the trial court
in determining Goodwin's entitlement to an expert,
Goodwin has made no showing that the appointment of
an expert in this case would have enhanced the
reliability of the sentencing determination.