Murderpedia has thousands of hours of work behind it. To keep creating
new content, we kindly appreciate any donation you can give to help
the Murderpedia project stay alive. We have many
plans and enthusiasm
to keep expanding and making Murderpedia a better site, but we really
need your help for this. Thank you very much in advance.
Accomplice Neville was executed on February 8,
2006 for the capital murder of Amy Robinson
Citations:
Hall v. State, 67 S.W.3d 870 (Tex.Crim.App. 2002). (Direct
Appeal) Hall v. Texas, 537 U.S. 802, 123 S.Ct. 70 (2002). (Remand) Hall v. State, 160 S.W.3d 24 (Tex.Crim.App. 2004). (Direct
Appeal After Remand) Hall v. Quarterman, 534 F.3d 365 (5th Cir. 2008). (Habeas)
Final/Special Meal:
Chicken cooked three different ways, pizza, brownies, sweet iced
tea, milk and vanilla pudding.
Last Words:
"I would like to give my sincere apology to Amy's family. We
caused a lot of heartache, grief, pain, and suffering, and I am
sorry. I know it won't bring her back." He continued speaking,
saying he was changed by Christ and was not the same person
anymore, and asked for forgiveness. "I am sorry for everything. I
wish I could take it back, but I can't."
Name
TDCJ Number
Date of Birth
Hall,
Michael Wayne
999346
04/06/1979
Date Received
Age (when
Received)
Education Level
03/02/2000
20
9
Date of Offense
Age (at the Offense)
County
02/15/1998
18
Tarrant
Race
Gender
Hair Color
White
Male
Brown
Height
Weight
Eye Color
6' 2"
218
Hazel
Native County
Native State
Prior
Occupation
Dallas
Texas
Laborer
Prior Prison
Record
None
Summary of
incident
On
02/15/98, Hall and one co-defendant abducted a 19-year old white
female from a public street and drove her to a remote location.
Hall and the co-defendant shot the victim several times with a
pellet pistol and several times with a .22-caliber pistol.
They
were caught at the border when they were attempting to leave the
state.
Co-defendants
Neville, Robert James Jr.
Race and Gender
of Victim
White
female
Hall, Michael Wayne
Date of Birth: 04/06/1979
DR#: 999346
Date Received: 03/02/2000
Education: 9 years
Occupation: Laborer
Date of Offense: 02/15/1998
County of Offense: Tarrant
Native County: Dallas
Race: Black
Gender: Male
Hair Color: Brown
Eye Color: Hazel
Height: 6' 02"
Weight: 218
Prior Prison Record: None.
Summary of incident: On 02/15/98, Hall and one
co-defendant abducted a 19-year old white female from a public
street and drove her to a remote location. Hall and the co-defendant
shot the victim several times with a pellet pistol and several
times with a .22-caliber pistol. They were caught at the border
when they were attempting to leave the state.
Co-Defendants: Neville, Robert James Jr.
Texas Attorney General
Tuesday, February 8, 2011
Media Advisory: Michael Wayne Hall scheduled
for execution
AUSTIN – Texas Attorney General Greg Abbott
offers the following information about Michael Wayne Hall, who is
scheduled to be executed after 6 p.m. on Tuesday, February 15,
2011. Hall was sentenced to die for the 1998 Tarrant County
kidnapping and murder of nineteen-year-old Amy Robinson.
FACTS OF THE CRIME
Hall was angry with his life, so he and his
friend Robert Neville decided to kill someone.
On Feb. 15, 1998, Hall and Neville saw 19-year-old
Amy Robinson riding her bicycle to a grocery store in Arlington
where she worked. The two men offered Robinson a ride and took her
to a rural field in Fort Worth.
Hall and Neville got out of the car and walked
into the field while Amy waited in the car listening to the radio.
At some point, Hall persuaded Amy to get out of the car, and Hall
shot her in the back of her leg with his pellet gun. Hall and
Neville laughed while Amy cried in pain. Meanwhile, Neville
returned to the car and got his .22 caliber rifle and shot Amy in
the chest. Hall then shot her in the chest “three or four or six
times”with the pellet gun. Amy fell to the ground making loud
noises and shaking. Hall stood over her and stared for five to ten
minutes, then Neville shot her in the head, killing her.
HUNTSVILLE -- Michael Wayne Hall, convicted in
the 1998 torture-slaying of a 19-year-old mentally challenged
Arlington woman, apologized profusely Tuesday minutes before he
was executed. Hall, 31, received a lethal injection less than an
hour after the U.S. Supreme Court refused to stop his punishment
for the abduction and murder of Amy Robinson. Hall was pronounced
dead at 6:23 p.m. at the Huntsville Unit of the Texas Department
of Criminal Justice. The other man convicted in Robinson's death,
Robert Neville, was executed in 2006.
"I would like to give my sincere apology to
Amy's family," Hall said as he was strapped to the death chamber
gurney. "We caused a lot of heartache, grief, pain and suffering,
and I am sorry. I know it won't bring her back." Speaking just
above a whisper, his voice shaking and eyes watery, the Arlington
man said he wasn't the same person and repeatedly asked for
forgiveness. Relatives of his victim stood a few feet away,
looking through a window. "I am sorry for everything," Hall said.
"I wish I could take it back, but I can't." Nine minutes later, he
was pronounced dead.
Robinson's sister Amanda refused to forgive him
and said she attended the execution Tuesday night so her face
would be the last face Hall saw. "It was fake; he wasn't sincere,"
she said of Hall's apology. "He was really scared. You could tell.
... I just don't think he was remorseful. What about the pain he
caused Amy? I'm glad [the execution] was on Feb. 15, but it should
have been a lot sooner."
Hall was executed 13 years to the day Robinson
was killed. "They turned a bad day into a good day," said Ruth,
another sister. "I feel like a weight's been lifted off my
shoulder."
'Target practice'
Lawyers for Hall argued that he was mentally
impaired and ineligible for the death penalty under a Supreme
Court ruling that bars capital punishment for those with an IQ
under 70. "Mr. Hall's history of mental retardation reaches back
to his childhood," attorney Bryce Benjet said in his appeal.
Hall's lawyers went to the Supreme Court a day
after the Texas Court of Criminal Appeals -- the state's highest
criminal court -- refused to stop the punishment. Similar appeals
also failed in other courts.
Hall was 18 when evidence showed that he and
Neville, a 23-year-old paroled burglar, decided to abduct and kill
Robinson, who worked at a Kroger in Arlington. The men had been
fired from jobs at the same supermarket.
Robinson had a rare genetic disorder called
Turner syndrome, which occurs only in women and is characterized
by short stature and lack of sexual development at puberty.
Prosecutors described her as mentally challenged and trusting.
Authorities said Hall and Neville stopped Robinson along the bike
route they knew she took to work and offered her a ride. She
accepted.
They drove her about 12 miles to a remote area
of Tarrant County where Neville shot at her repeatedly with a
crossbow but missed. They also shot her numerous times with a
pellet gun and a .22-caliber rifle, prosecutors said.
"Target practice," they bragged to reporters
after they were arrested two weeks later trying to cross into
Mexico near Eagle Pass. They also told reporters how they laughed
as Robinson pleaded for her life. After their arrests, Neville
told the Star-Telegram that he and Hall wanted to become serial
killers whose victims were minorities. Robinson was part American
Indian. "We had a bet going to see who could shoot and kill the
most people between the two of us," Neville said.
Hall said they returned to her body a few days
later and took her keys and $4 or $5 from her pocket. Then he and
Neville shot her several more times.
A limited existence
In an interview last week, one of Hall's trial
lawyers, Bill Harris, said he believes that Neville was the person
who killed Robinson and "cooked up the whole scheme." "I'm
personally convinced Michael is mentally retarded, that he fits
the classic definition," Harris said. "If you got to know Michael
for very long, you got to understand he was pretty profoundly
limited. Half the time he didn't remember my name."
Harris said that even if Hall was moved from
Death Row to the general prison population, life would not be easy.
"People with his mental limitations frequently are targets of some
abuse and can be taken advantage of by other prisoners," he said.
At least four other Texas inmates have
executions scheduled in the coming months. Timothy Wayne Adams is
set to die next week for fatally shooting his 19-month-old son
during an argument with his estranged wife in Houston.
Texas executes Hall for 1998 torture killing
By Tori Brock - ItemOnline.com
February 15, 2011
As he lay on the gurney in the Death House in Huntsville, Hall,
31, made a lengthy and tearful last statement in which he
apologized to the family of Amy Robinson, his victim, and to his
family and asked for his family’s forgiveness. “First of all, I
would like to give my sincere apology to Amy’s family. We caused a
lot of heartache, grief, pain and suffering and I am sorry.”
Weeping, Hall also spoke of his faith in Jesus Christ. “Even
though I have to die for my mistake, he paid for mine by wages I
could never pay. Here I am a big strong youngster, crying like a
baby. I am man enough to show my emotions and I am sorry. I wish I
could take it back but I can’t. I can’t take it back.”
Before his execution, Hall asked to watch the
2004 movie “The Passion of the Christ,” but prison officials were
unable to locate a rental copy. For his last meal, Hall ordered
chicken cooked three different ways, pizza, brownies, sweet iced
tea, milk and vanilla pudding.
The victim’s sisters Amanda and Ruth Ann
Robinson and two of the victim’s friends witnessed the execution,
along with two friends of the condemned.
The lethal doses of sodium thiopental,
pancromium bromide and potassium chloride were administered to
Hall at 6:14 p.m. He was pronounced dead at 6:23 p.m.
The pair, 23-year-old Neville and 18-year-old Hall, drove her to a
remote spot 12 miles away, where Neville shot her with a crossbow
and Hall fired on her with a pellet gun. Neville finally shot
Robinson in the head with a rifle to stop her from making noises
that he feared might attract attention, according to testimony.
They returned to her as yet undiscovered body, stole a few dollars
and her keys from Robinson’s pocket and fired on the body several
more times.
Both men, after having lost their jobs at the
supermarket where their victim worked, decided to kill someone,
they told reporters, and intended to target minorities, killing as
many people as they could — “anybody as long as they weren’t our
color,” Neville told the Fort Worth Star Telegram after Robinson’s
slaying.
Robinson was part American Indian and suffered
from Turner’s syndrome, a rare genetic disorder characterized by a
lack of sexual development at puberty, which made her “easy prey,”
prosecutors said.
Neville and Hall bragged to reporters during
jailhouse interviews soon after the crime, making fun of Robinson
for begging for her life before they killed her. Prosecutors
played a videotape of Hall describing the murder. “He talked about
the killing of this young woman the way a kid might talk about
having the toughest football team, kind of braggadocio and matter
of fact, said Bill Harris, who represented Hall at his trial. “I
watched the jury...You could see the door slamming shut. From
standpoint of a human being, I can understand.”
Hall’s lawyers claimed he was mentally impaired
and heavily influenced by the older Neville, whom he admired.
At his execution five years ago, Neville also
apologized to Robinson’s relatives and his parents.
There are four more executions scheduled so far
in 2011. Three of the condemned inmates were convicted in Tarrant
County, one in Harris County and one in Bexar County.
Michael
Wayne Hall
ProDeathPenalty.com
Eighteen-year-old Michael Wayne Hall and his
friend Robert Neville decided to kill someone because Hall was
angry that he had a "sucky-ass" life. They started searching for
the right victim and preparing for their crime by obtaining
rifles, pellet guns, a crossbow, and ammunition.
After much looking, Hall and Neville finally
chose nineteen-year-old Amy Robinson, a friend and former coworker,
because she trusted them and they "didn't have to put bruises on
her to get her in the car." The evidence also revealed that Amy
had a genetic disorder that made her small and mentally and
physically slow. She stood four feet five inches tall and had the
mental capacity of a third or fourth grader. On February 15, 1998,
Hall and Neville went looking for Amy in order to carry out their
murderous plan. They checked her schedule at the Kroger grocery
store and then lay in wait for her to ride by on her bicycle on
her way to work. When the pair saw Amy, they coaxed her into the
car, promising to drop her at work after they circled around in
the country.
As Neville drove, Amy complained that she did
not want to be late for work. Neville then pretended to have a
flat tire and pulled the car over on a dirt road by a remote field.
Hall and Neville got out of the car and walked into the field
carrying their weapons while an unsuspecting Amy waited in the car
listening to the radio. At some point, Hall persuaded Amy to get
out of the car, telling her she needed to go talk to Neville near
a tree. As Amy walked toward Neville, he fired a crossbow at her
several times. Neville missed each shot, but Amy became angry when
the last arrow grazed her hair. When Amy started walking back to
the car, Hall shot her in the back of her leg with his pellet gun.
Hall and Neville laughed while Amy cried in pain. Meanwhile,
Neville returned to the car and got his .22 caliber rifle. When
Hall managed to maneuver Amy back into the field, Neville shot her
in the chest. Hall then shot her in the chest "three or four or
six times" with the pellet gun. Amy fell to the ground making loud
noises and shaking. Hall then stood over her and stared for five
to ten minutes. The pair worried that someone would hear Amy, so
Neville shot her in the head, killing her instantly. Hall and
Neville then left Amy and her bicycle in an area where they would
not be easily discovered.
A few days later, they returned to the scene.
Neville fired shots into Amy's dead body, and Hall took keys and
money from her pocket. When Amy's family and coworkers realized
she was missing, a massive search ensued. More than two weeks
later, authorities focused on Hall and Neville. Fearing they would
be caught, the pair fled Arlington but were soon arrested when
they attempted to cross the border into Mexico. The authorities
found Amy's body on the day of the arrest.
Michael Wayne Hall, 31, was executed by lethal
injection on 15 February 2011 in Huntsville, Texas for the
abduction and murder of a 19-year-old woman.
After driving about twelve miles from the store, Neville pretended
to have a flat tire and pulled the car over on a dirt road by a
field in east Fort Worth. Hall grabbed a pellet gun, Neville took
the crossbow, then they both got out of the car and walked into
the field while Robinson stayed in the car and listened to the
radio. At some point, Hall persuaded Robinson to exit the car,
telling her she needed to go talk to Neville.
As Robinson walked toward Neville, he fired a
crossbow at her several times. All of his shots missed, but the
last arrow grazed her hair, making her angry. As she started
walking back to the car, Hall shot her in the back of the leg with
his pellet gun. He and Neville laughed at Robinson when she cried
in pain. Neville then obtained a .22-caliber rifle from the car
and shot her in the chest. Hall then shot her in the chest "three
or four or six times" with the pellet gun. Robinson fell to the
ground, making loud noises and shaking. Hall stood over her for
five to ten minutes, watching. Neville then became concerned that
someone would hear the loud noises Robinson was making, so he
killed her with a shot to the head. They left the victim and her
bicycle where they would not be easily discovered, then left.
That day, a store employee called Robinson's
family to notify them that she had not shown up for work. The
family then called the police, who questioned Hall and Neville.
Neville told the police that he used to work with Robinson and
knew her socially, but had not seen her in a couple of months.
A few days later, Hall and Neville returned to
the scene of the killing. Neville fired shots into Robinson's body.
Hall took keys and money from her pocket. Two weeks later, Hall's
mother reported to the police that he had been missing for several
days. Hall's stepbrother told the police that Hall told him he and
Neville abducted and killed Amy Robinson. Hall and Neville were
arrested in Eagle Pass on 3 March while trying to cross the border
into Mexico. Robinson's body was discovered the same day.
Hall told authorities that he decided to kill
someone because he was angry that the had a "sucky-ass" life. He
and Neville began obtaining weapons and decided upon a victim.
They initially wanted to kill a black person, but they chose
Robinson because she trusted them and they "didn't have to put
bruises on her to get her in the car." Robinson, who was part
Native American, also suffered from Turner's syndrome, a genetic
disorder that made her physically small and slow and mentally
retarded. She stood four feet five inches tall and had the mental
capacity of a third or fourth grader.
In television interviews after their arrests,
the two men bragged about the killing. Hall boasted that he was
the one who persuaded the victim to trust them, and that she would
have escaped had Neville tried to kill her by himself. When asked
how he felt about the way Robinson died, he expressed no remorse,
but said, "Well, I wouldn't want to be in her place. She had to
take a lot of pain." Hall also told the media that he and Neville
wanted to become serial killers and kill one to five people per
week. They also wanted to become white supremacists and kill
minorities. "We had a bet going to see who could shoot and kill
the most people between the two of us," Hall said. "No matter if
it was blacks or Mexicans - anybody as long as they weren't our
color."
Hall had no prior criminal history. At his
trial, there was some discussion of his mental capacity. Several
defense witnesses testified that Hall had difficulty in school and
in performing simple daily tasks, such as counting change or
cutting meat with a knife. Tamara Campbell, Hall's former
supervisor at Kroger, testified for the state that Hall was "lazy",
but not mentally challenged. Witnesses from both sides agreed that
Hall's writing and math skills were on an elementary school level,
but that he could read well enough to pass his driver's license
test, and he had no difficulty communicating verbally. Cheryl
Conner, one of Hall's teachers in high school, testified that he
was inattentive in class, and would sometimes drool, fall asleep,
or simply sit and stare. On the other hand, Conner and other
witnesses testified that he was good at tasks he was motivated in,
such as playing video games.
A tape of Hall's interview with Fox 4 News was
played to the jury.
A jury convicted Hall of capital murder in
February 2000 and sentenced him to death. The Texas Court of
Criminal Appeals affirmed the conviction and sentence in January
2002. In June of that year, the U.S. Supreme Court ruled that
executing mentally retarded prisoners was unconstitutional. In
October, the Supreme Court ordered Texas to review Hall's death
sentence in light of that ruling.
A Texas state district court held a hearing
regarding Hall's mental retardation claims. In December 2002, the
court ruled that Hall was not retarded. The Texas Court of
Criminal Appeals affirmed this finding in February 2003 and again
in May 2004. In the latter hearing, the appeals court noted the
trial court's discussion of a pro se motion Hall prepared and
filed himself, asking for his attorneys' removal. In an ex parte
hearing outside of the prosecuting attorney's presence, Judge
Cooke commented that Hall's motion was "well-drafted" and that he
could "name some attorneys that can't draw an instrument any
better than this right now". Cooke advised the defense that the
document would damage the their trial strategy if the state
discovered it.
The case then went back to the federal courts.
A U.S. district court denied Hall's appeal in August 2006, but
then in June 2008, the U.S. Fifth Circuit Court of Appeals ordered
the district court to hold an evidentiary hearing regarding Hall's
mental retardation claim. After conducting a live hearing, the
district court ruled in March 2009 that Hall had not proven that
he was retarded. Hall appealed from there to the Fifth Circuit and
Supreme Courts again, but this time, they denied his appeals.
Robert James Neville Jr. was also convicted of
capital murder and sentenced to death. He was executed in February
2006. He apologized for the murder in his last statement and asked
for forgiveness from both the victim's family as well as his own
parents. "I would like to give my sincere apology to Amy's family,"
Hall said in his last statement. "We caused a lot of heartache,
grief, pain, and suffering, and I am sorry. I know it won't bring
her back." He continued speaking, saying he was changed by Christ
and was not the same person anymore, and asked for forgiveness. "I
am sorry for everything," he concluded. "I wish I could take it
back, but I can't." The lethal injection was then started. He was
pronounced dead at 6:23 p.m.
Two of Robinson's sisters, Amanda and Ruth,
witnessed Hall's execution. "It was fake; he wasn't sincere,"
Amanda said of Hall's apology. "He was really scared ... I just
don't think he was remorseful." Ruth said, "They just turned a bad
day into a good day. I feel like a weight's been lifted off my
shoulder."
Hall v. State, 67 S.W.3d 870 (Tex.Crim.App.
2002). (Direct Appeal)
Defendant was convicted in the 371st District
Court, Tarrant County, Sharen Wilson, J., of capital murder and
sentenced to death. On automatic appeal, the Court of Criminal
Appeals, Keasler, J., held that: (1) evidence was legally
sufficient to support the jury's finding at punishment stage that
defendant would continue to be a threat to society; (2) reporters
were not acting as state agents when they conducted interviews of
defendant; (3) danger of unfair prejudice in admitting tape did
not outweigh its probative value; and (4) infliction of death
penalty did not constitute a violation of due process and cruel
and unusual punishment. Affirmed.
KEASLER, J., delivered the opinion of the Court
joined by KELLER, P.J., and MEYERS, WOMACK, HERVEY, and COCHRAN,
J.J.
Michael Hall was convicted of capital murder
and sentenced to death. FN1 Direct appeal to this Court is
automatic.FN2 Hall raises thirteen points of error including a
challenge to the sufficiency of the evidence supporting the jury's
finding on the article 37.071 section 2(b) punishment issue.FN3 We
find Hall's claims meritless and affirm the judgment of the trial
court.
FN1. Tex. Penal Code Ann. § 19.03(a); Tex.Code
Crim. Proc. art. 37.071, § 2(g). Unless otherwise indicated all
references to Articles refer to the Code of Criminal Procedure.
FN2. Art. 37.071, § 2(h). FN3. See Art. 37.071, § 2(b).
STATEMENT OF FACTS
Eighteen-year-old Hall and his friend Robert
Neville decided to kill someone because Hall was angry that he had
a “sucky-ass” life. They started searching for the right victim
and preparing for their crime by obtaining rifles, pellet guns, a
crossbow, and ammunition. After much looking, Hall and Neville
finally chose nineteen-year-old Amy Robinson, a friend and former
coworker, because she trusted them and they “didn't have to put
bruises on her to get her in the car.” The evidence also revealed
that Amy had a genetic disorder that made her small and mentally
and physically slow. She stood four feet five inches tall and had
the mental capacity of a third or fourth grader.
On February 15, 1998, Hall and Neville went
looking for Amy in order to carry out their murderous plan. They
checked her schedule at the Kroger grocery store and then lay in
wait for her to ride by on her bicycle on her way to work. When
the pair saw Amy, they coaxed her into the car, promising to drop
her at work after they circled around in the country. As Neville
drove, Amy complained that she did not want to be late for work.
Neville then pretended to have a flat tire and
pulled the car over on a dirt road by a remote field. Hall and
Neville got out of the car and walked into the field carrying
their weapons while an unsuspecting Amy waited in the car
listening to the radio. At some point, Hall persuaded Amy to get
out of the car, telling her she needed to go talk to Neville near
a tree. As Amy walked toward Neville, he fired a crossbow at her
several times. Neville missed each shot, but Amy became angry when
the last arrow grazed her hair. When Amy started walking back to
the car, Hall shot her in the back of her leg with his pellet gun.
Hall and Neville laughed while Amy cried in pain.
Meanwhile, Neville returned to the car and got
his .22 caliber rifle. When Hall managed to maneuver Amy back into
the field, Neville shot her in the chest. Hall then shot her in
the chest “three or four or six times” with the pellet gun. Amy
fell to the ground making loud noises and shaking. Hall then stood
over her and stared for five to ten minutes. The pair worried that
someone would hear Amy, so Neville shot her in the head, killing
her instantly. Hall and Neville then left Amy and her bicycle in
an area where they would not be easily discovered.
A few days later, they returned to the scene.
Neville fired shots into Amy's dead body, and Hall took keys and
money from her pocket. When Amy's family and coworkers realized
she was missing, a massive search ensued. More than two weeks
later, authorities focused on Hall and Neville. Fearing they would
be caught, the pair fled Arlington but were soon arrested when
they attempted to cross the border into Mexico. The authorities
found Amy's body on the day of the arrest.
SUFFICIENCY OF THE EVIDENCE AT PUNISHMENT
In his sixth point of error, Hall claims that
the evidence presented at trial was legally insufficient to
support the jury's finding that he would be a continuing threat to
society.FN4 In reviewing the sufficiency of the evidence at
punishment, we look at the evidence in the light most favorable to
the verdict. We determine whether any rational trier of fact could
have believed beyond a reasonable doubt that Hall would probably
commit criminal acts of violence constituting a continuing threat
to society.FN5 The facts of the crime alone can be sufficient to
support the affirmative finding to the special issue.FN6
Additionally, we have consistently defined “society” as
encompassing both the prison population and the free
population.FN7
FN4. See Art. 37.071, § 2(b)(1). FN5. Jackson
v. Virginia, 443 U.S. 307, 99 S.Ct. 2781, 61 L.Ed.2d 560 (1979);
Allridge v. State, 850 S.W.2d 471 (Tex.Crim.App.1991), cert.
denied, 510 U.S. 831, 114 S.Ct. 101, 126 L.Ed.2d 68 (1993). FN6.
Allridge, 850 S.W.2d at 488. FN7. See Griffith v. State, 983 S.W.2d
282, 288 n. 9 (Tex.Crim.App.1998), cert. denied, 528 U.S. 826, 120
S.Ct. 77, 145 L.Ed.2d 65 (1999).
The facts of this case support the jury's
affirmative finding that Hall would continue to be a threat. The
evidence did not show a hastily conceived murder plan, but a
methodical, premeditated scheme. In addition, once Hall and
Neville had made their plans and chosen their mentally challenged
victim, they taunted and tormented her, reveling in her confusion
and agony. Finally, Hall boasted in his media interview that he
was the one who got Amy to trust him, and she would have escaped
had Neville tried to commit the offense without him. Indeed, Hall
told the media that he had no remorse for Amy's death. When asked
how he felt about Amy dying the way she did, Hall snickered,
“Well, I wouldn't want to be in her place. She had to take a lot
of pain.” After his arrest, Hall told law enforcement and the
media that he and Neville had wanted to become serial killers and
kill one to five people a week. They also wanted to become white
supremacists and kill African Americans.
In addition to the facts of the crime and the
circumstances surrounding Hall's arrest, the State presented
evidence that Hall told one of his teachers about violent
fantasies he had about injuring others. Hall also admitted to the
defense psychologist that he had violent, demonic, bloody dreams,
which the psychologist testified was common for potential killers.
The State's psychologist testified that there was no indication
that Neville had duped Hall into committing this crime.
A rational jury could reasonably have concluded
that Hall would continue to be a threat to society, given the
facts of the case and the psychological evidence. Accordingly, we
hold the evidence legally sufficient to support the jury's
affirmative answer to the future dangerousness issue. Point of
error six is overruled.
ADMISSION OF VIDEOTAPED STATEMENT
In his first five points of error, Hall claims
that the trial court erred in admitting into evidence a videotaped
statement he gave to reporters. Specifically, in his first two
points of error, Hall complains that the admission of this
statement violated both due process and the effective assistance
of counsel under the Fifth, Sixth, and Fourteenth Amendments to
the United States Constitution and Article I, sections 10, 14, 19,
and 29 of the Texas Constitution.
Hall offers no reason for construing the Texas
Constitution as conferring greater protection in this area of law
than the federal constitution. Therefore, we will not address his
state constitutional arguments.FN8 Hall also fails to distinguish
between his rights under the Fifth Amendment and those under the
Sixth Amendment. So, we will assume that Hall had been formally
charged at the time of the media interview, and we will combine
our analysis of these points.
FN8. See Muniz v. State, 851 S.W.2d 238, 251-52
(Tex.Crim.App.1993), cert. denied, 510 U.S. 837, 114 S.Ct. 116,
126 L.Ed.2d 82 (1993); Heitman v. State, 815 S.W.2d 681, 690-91 n.
23 (Tex.Crim.App.1991).
In Maine v. Moulton,FN9 the United States
Supreme Court re-emphasized that after the initiation of formal
charges, the Sixth Amendment guarantees the accused the right to
rely on counsel as a “medium” between the State and the accused.
This guarantee includes the State's affirmative obligation not to
act in a manner that circumvents the protections accorded the
accused by invoking this right. The Sixth Amendment is violated
when the State obtains incriminating statements by knowingly
circumventing the accused's right to have counsel present in a
confrontation between the accused and a state agent.FN10
During a pre-trial hearing on a motion to
suppress the complained-of statement, the television reporter who
conducted the interview testified that she and a television
photographer went to the sheriff's office early that morning and
talked to deputies about her desire to interview Hall and his co-defendant.
The sheriff was not in the office at the time so they were told to
come back later. When the two returned shortly before lunch, the
sheriff informed the reporter that her request would be presented
to Hall and Neville and that she should check back later. A Fort
Worth newspaper reporter and a newspaper photographer were also at
the sheriff's office at that time and made a similar request to
interview the suspects.
When the television reporter and photographer
returned to the office, a deputy came out holding a note which he
indicated was a signed consent to the reporter's request for an
interview. But, the reporter stated that she had not written such
a note. Upon request, she then wrote a note to the suspects with
her request for an interview. A deputy took it to them and told
them that they could sign the request or not. Both signed. It is
not clear who generated the first written request.
The two reporters and the two photographers
were directed to an interview room with a counter and fencing
separating them from the suspects' seating area. Neville and Hall
were then interviewed separately. Both reporters testified at the
hearing that no authority ever suggested that they conduct the
interview, nor did authorities suggest any questions for them to
ask the suspects. Both reporters also testified that they did not
provide authorities with copies of their resulting interviews.
We find no evidence that the authorities
prompted the interview. We conclude that the reporters were not
acting as state agents when they conducted the interviews and
Hall's rights were not violated when the evidence was presented at
trial. Points of error one and two are overruled.
In his third point, Hall argues that the trial
court erred in admitting the videotape because it showed him in “a
cage” and therefore, “reversed his right to be presumed innocent”
under the due process clause of the federal and state
constitutions. But Hall did not object on this basis at trial. To
preserve a complaint for appellate review, the record must show
that the complaint was made to the trial court.FN11 Here, it does
not. Hall's third point of error is overruled. FN11. Tex.R.App. P.
33.1.
Hall claims in point four that the prejudicial
effect of the tape “clearly outweighed” any probative value the
tape might have had in violation of Texas Rules of Evidence 401
and 403. The trial court has broad discretion in conducting a Rule
403 balancing test, and we will not lightly disturb the decision
rendered. FN12. See, e.g., Moreno v. State, 22 S.W.3d 482, 489 (Tex.Crim.App.1999).
In this case, the videotape's probative value
was that it allowed the jury to see Hall's behavior and hear his
rendition of the facts of the offense firsthand. These are also
the factors which make the evidence prejudicial. But we find that
the videotape simply reflects the reality of the crime committed
and Hall's lack of remorse. In short, the prejudicial effect of
this evidence comes from nothing more than what Hall himself has
done. He cannot successfully say, “You must not be outraged by my
outrageous behavior.”
For otherwise relevant evidence to be excluded
under Texas Rule of Evidence 403, the record must show that the
danger of unfair prejudice substantially outweighs the probative
value of the complained-of evidence. This videotape, though
prejudicial, was not unfairly so. The trial judge did not abuse
his discretion in overruling Hall's objection. Point of error four
is overruled.
Finally on this issue, Hall complains that a
duplicate version of his videotaped statement that had been edited
by the Tarrant County District Attorney's office was not properly
authenticated under Texas Rule of Evidence 1003. The Rule provides
that a duplicate is admissible to the same extent as an original
unless a question is raised as to the authenticity of the original
or in the circumstances it would be unfair to admit the duplicate
in lieu of the original.
Hall argues that the edited copy of the tape
had been created in a manner that was “orchestrated for the
greatest theatrical effect” and that the questions and the order
of the answers from the original tape were changed. The edited
version of the tape was admitted into evidence at the guilt-innocence
phase of the trial, while an unedited version of the tape was
admitted into evidence at punishment.
During the pre-trial suppression hearing, the
television reporter stated that she watched the entire taped
interview as it was being duplicated. She testified that the
unedited duplicate tape accurately reflected her memory of the
interview with Hall which she had personally conducted. The
television reporter also stated that she had watched the edited
tape, and except for some portions of the interview being deleted
and other portions being rearranged, it also accurately reflected
the events of the interview. Although the newspaper reporter had
not participated in the copying or editing of the videotape, he
also testified that both tapes accurately reflected what had
occurred during the live interview.
After viewing both tapes, we find no evidence
that Hall's statements were taken out of context or substantially
altered in the edited version. The only portions of Hall's
interview excluded from the edited tape concerned information
about his family, his future plans with Neville, and statements
about an extraneous bad act. Much of this information would have
been inadmissible at the guilt-innocence stage of the trial.
Furthermore, Hall never attempted to admit the remainder of the
tape into evidence under Rule 106.FN13 The judge did not abuse his
discretion in admitting the tapes.FN14 Point of error five is
overruled.
FN13. See Tex.R. Evid. 106. FN14. Tex.R. Evid.
1003; see also Ladd v. State, 3 S.W.3d 547, 571 (Tex.Crim.App.1999),
cert. denied, 529 U.S. 1070, 120 S.Ct. 1680, 146 L.Ed.2d 487
(2000).
CONSTITUTIONALITY OF DEATH PENALTY AND ARTICLE
37.071
In his seventh through thirteenth points of
error, Hall complains that Article 37.071 is unconstitutional or
operates unconstitutionally as to him for a variety of reasons.
Specifically, Hall asserts in his seventh point of error that
Article 37.071 gives the jury too much discretion and insufficient
guidance “to avoid the improperly capricious imposition of the
death penalty.” This Court has consistently decided this issue
adversely to Hall's position.FN15 Point of error seven is
overruled.
FN15. See, e.g., Raby v. State, 970 S.W.2d 1, 7
(Tex.Crim.App.1998), cert. denied, 525 U.S. 1003, 119 S.Ct. 515,
142 L.Ed.2d 427 (1998); Pondexter v. State, 942 S.W.2d 577, 586-87
(Tex.Crim.App.1996), cert. denied, 522 U.S. 825, 118 S.Ct. 85, 139
L.Ed.2d 42 (1997).
In points ten through thirteen, Hall argues
that the mitigation question included in the death penalty statute
unconstitutionally limited the jury's consideration of the
mitigating evidence and otherwise failed to adequately guide the
jury in considering the evidence.FN16 This question is a statutory
codification of the dictates handed down by the United States
Supreme Court in Penry v. Lynaugh.FN17 We have previously held
this provision to be constitutional, and Hall has presented no new
arguments here. FN18 Points of error ten through thirteen are
overruled.
FN16. See Art. 37.071, § 2(e). FN17. 492 U.S.
302, 109 S.Ct. 2934, 106 L.Ed.2d 256 (1989). FN18. See Shannon v.
State, 942 S.W.2d 591, 598 (Tex.Crim.App.1996).
In his eighth and ninth points of error, Hall
asserts that it is a violation of due process and cruel and
unusual punishment to inflict the death penalty on the mentally
retarded. In arguing these two points, Hall does not distinguish,
nor does he provide authority distinguishing, between his due
process rights and the prohibition against cruel and unusual
punishment included in the Eighth Amendment. We will likewise
answer the two issues together without distinction. FN19. See
Tex.R.App. P. 38.1(h).
We note that the United Supreme Court has
granted certiorari twice this year on the issue of whether the
Eighth Amendment prohibits the imposition of the death penalty of
the mentally retarded. On September 25, 2001, the Supreme Court
dismissed as improvidently granted the writ of certiorari granted
in McCarver v. North Carolina.FN20 The case of Atkins v. Virginia
FN21 is still pending. FN20. 533 U.S. 975, 122 S.Ct. 22, 150 L.Ed.2d
804 (2001). FN21. 533 U.S. 976, 122 S.Ct. 24, 150 L.Ed.2d 805
(2001).
Hall argues that his cognitive abilities
necessarily reduce his culpability to such a level that the
assessment of death is a disproportionate punishment. In support
of his point, Hall points out testimony from his own expert,
clinical and forensic psychologist Dr. Mark Cunningham, who
testified that Hall was mildly retarded and generally functioned
at the level of an eight- to ten-year-old child. Hall then notes
that Texas law does not allow the execution of children who are
eight to ten chronological years old, and in fact, does not even
prosecute children of that age. Thus, he argues, the law should
not allow the execution of a person with the “mental age” of a
child.
The United States Supreme Court answered this
question in Penry when it addressed whether it is cruel and
unusual punishment under the Eighth Amendment to execute a
mentally retarded person “with Penry's reasoning ability.” FN22
The Supreme Court reasserted the principle that punishment should
be directly related to the personal culpability of the criminal
defendant, and defendants who commit criminal acts “that are
attributable to a disadvantaged background, or to emotional and
mental problems, may be less culpable than defendants who have no
such excuse.” FN23 Indeed, the Court agreed that mental
retardation has long been regarded as a factor that may diminish
an individual's culpability for a criminal act.FN24 However, the
Court could not conclude that all mentally retarded people, by
virtue of their mental retardation alone and apart from any
individualized consideration of their personal responsibility,
inevitably lack the cognitive, volitional, and moral capacity to
act with the degree of culpability associated with the death
penalty.FN25 In other words, mentally retarded persons are
individuals whose abilities and experiences can vary significantly.
And, although retarded persons often have difficulty learning from
experience, some are fully capable of learning, working, and
living in their communities.FN26 In light of these diverse
capacities and life experiences, the Court concluded that it could
not be said that all mentally retarded people, by definition, can
never act with the level of culpability associated with the death
penalty.FN27
FN22. Penry, 492 U.S. at 313. FN23. Penry, 492
U.S. at 319. FN24. Id. at 337. FN25. Penry, 492 U.S. at 338. FN26.
Id. FN27. Id. at 338-39.
The principle set forth in Penry applies with
equal force today. Although Hall presented evidence that he
generally functions at the level of an eight-to ten-year-old child,
the jurors were required to consider this evidence only in light
of all of the evidence presented. So long as the sentencers could
consider and give effect to mitigating evidence of mental
retardation in imposing sentence, and make an individualized
determination whether “death is the appropriate punishment” in
this particular case, the Eighth Amendment does not preclude the
assessment of a death sentence. FN28. See Penry, 492 U.S. at 340.
The jurors not only had Dr. Cunningham's
assessment that Hall functioned as a child, but they also had his
concession that Hall would be considered only “mildly retarded.”
Furthermore, the jury had the testimony of the State's expert, Dr.
Randall Price, who was not convinced that Hall was retarded.
Instead, Price testified that Hall could be mildly retarded, but
he also might be of borderline intelligence. Price further noted
that, in his professional opinion, Hall functioned more in the
adolescent to young adult stage. Additionally, persons who had
worked with Hall at Kroger testified that he did not appear
mentally challenged-just lazy. Finally, the jury was able to
observe Hall's behavior first-hand in the videotaped interview he
gave the press. FN29. See also Ex parte Tennard, 960 S.W.2d 57,
60-63 (Tex.Crim.App.1997), cert. denied, 524 U.S. 956, 118 S.Ct.
2376, 141 L.Ed.2d 743 (1998).
In light of this evidence, we cannot say that
Hall's due process rights have been violated or that he has been
subjected to cruel and unusual punishment. Points of error eight
and nine are overruled.
We affirm the judgment of the trial court.
PRICE, JOHNSON and HOLCOMB, JJ. concurred in
the result.
Hall v. Texas, 537 U.S. 802, 123 S.Ct.
70 (2002). (Remand)
On petition for writ of certiorari to the Court
of Criminal Appeals of Texas. Motion of petitioner for leave to
proceed in forma pauperis and petition for writ of certiorari
granted. Judgment vacated, and case remanded to the Court of
Criminal Appeals of Texas for further consideration in light of
Atkins v. Virginia, 536 U.S. 304, 122 S.Ct. 2242, 153 L.Ed.2d 335
(2002).
No. 73, 787
Michael Wayne Hall, Appellant, v.
The State of Texas
O P I N I O N
In January of 2000, appellant's trial for capital murder began. At
trial, evidence was introduced by both parties regarding whether
appellant was mentally retarded. This evidence was introduced
primarily in the punishment phase in connection with a
determination of the mitigation special issue. At no point did
appellant request that the trial judge or the jury make a specific
fact-finding as to whether appellant was in fact mentally retarded.
Appellant was subsequently convicted of capital murder and
sentenced to death. In his eighth and ninth points of error on
direct appeal, he alleged that inflicting the death penalty on the
mentally retarded violates due process and constitutes cruel and
unusual punishment under the United States Constitution. On
January 16, 2002, this Court affirmed his conviction and sentence.
(3) In a
published opinion, we held that there was no per se bar
to executing mentally retarded persons.
(4) We also
pointed out that the State presented some evidence that appellant
was not mentally retarded and that the jury had the
opportunity to observe appellant's behavior first-hand in a
videotaped interview.
(5)
After our decision was handed down, appellant petitioned the
United States Supreme Court for a writ of certiorari. He
also filed a state application for writ of habeas corpus, pursuant
to Article 11.071.
(6) In both of
these proceedings, he pursued his mental retardation claim. On
June 20, 2002, the Supreme Court decided Atkins.
(7) On August 5,
2002, in the habeas action, the trial court designated the issue
of whether appellant was mentally retarded as a previously
unresolved fact issue and ordered a hearing by way of affidavits.
On October 7, 2002, the Supreme Court vacated our judgment on
direct appeal and remanded the case to us for reconsideration in
light of Atkins.
(8) On December
3, 2002, after reviewing the trial record and the affidavits
submitted by the parties, and relying upon personal recollection
of the events occurring at trial,
(9) the habeas
trial court adopted the State's proposed findings of facts and
conclusions of law, concluding that appellant is not, in fact,
mentally retarded. On February 26, 2003, we denied relief on the
habeas application in an order adopting the trial court's findings.
2. Habeas corpus
Appellant
submitted the affidavits of two additional psychologists who
opined that appellant was mentally retarded. Sally Church, a
licensed professional counselor, licensed marriage and family
therapist, and nationally certified school psychologist, licensed
in Oklahoma, evaluated appellant's condition based upon his family
history; school, medical, employment, jail, and prison records;
previous evaluations; investigator's reports; court testimony and
affidavits; and a psychodiagnostic evaluation of appellant
conducted by her at the prison. Church testified that appellant's
mother drank alcohol while she was pregnant, had difficulty with
depression, was served in special education during public school,
and was an overwhelmed, frustrated, abusive, and neglectful parent.
Church further testified that appellant was identified in
kindergarten as being behind his age norm developmentally, that he
was served in special education throughout his public school
attendance, that he dropped out in eleventh grade, that the school
recommended that he be identified as Mentally Handicapped but his
mother declined - wanting him identified as Learning Disabled -
and that he was never able to learn reading, math, spelling, and
writing beyond the third grade level. She noted that he had vision
problems that could be largely corrected with glasses and that he
was assessed as having a hearing problem in elementary school, but
there was no follow-up on the extent of his hearing loss. She
stated that, by the age of ten, appellant had "experienced eleven
head injuries, several of which resulted in concussions." She also
noted that appellant had been prescribed Ritalin for inattention,
impulsivity, and hyperactivity. In her opinion appellant is
mentally retarded, being less intelligent than 98 percent of the
human population, with an IQ score of 67. She stated that
appellant has critical deficits in adaptive skills and behaviors
and that it is "highly doubtful that he alone could meet the needs
of his day to day life."
She also
stated that appellant's physical appearance was unusual. She
characterized his appearance as typical of Fetal Alcohol Syndrome
or Fetal Alcohol Effect. She stated that he also exhibited
characteristics that resemble other genetic disorders such as XXY,
Kleinfelter Syndrome; YYX, Extra Y Chromosome; or Fragile X
Syndrome. She noted that all of these disorders are related to
mental retardation and are present at birth.
Dr. George Denkowski, a psychologist licensed by the State of
Texas and certified by the Texas Department of Mental Health and
Mental Retardation to conduct evaluations for the purpose of
diagnosing mental retardation, also expressed the opinion that
appellant is mentally retarded. He noted that a WISC-R test
administered to appellant in 1991 (at age twelve) resulted in a
full-scale IQ score of 71, a TONI-2 test administered at age 16
resulted in a score of 84, and a TONI-3 test administered at age
20 resulted in a score of 77. However, he considered the TONI
tests to be "unreliable indices of general intellectual
functioning." Dr. Denkowski also relied upon Dr. Cunningham's
adaptive deficits evaluation based upon interviews with Conner and
Bybee. And he relied upon the WRAT-III administered by Dr.
Cunningham and the K-FAST
(17) test
administered by Dr. Price to show that appellant's academic skills
were seriously deficient. The K-FAST test results indicated that
appellant's arithmetic skills and reading skills were less
proficient than those of 99 percent and 95 percent of same-aged
persons, respectively. Finally, Dr. Denkowski criticized the
Street Skills Survival Questionnaire as being an inaccurate tool
for diagnosing mental retardation in an adult. Dr. Denkowski did
not personally interview appellant.
Appellant
also submitted affidavits from his trial attorneys, a fellow death-row
inmate, two defense private investigators, and a former teacher.
All of these people opined that appellant was mentally retarded.
William Harris, one of the trial attorneys, stated that he had
numerous opportunities to observe appellant's mental limitations.
Harris found that, even after multiple explanations, appellant
could not grasp the law of parties and why the law of parties made
him liable for capital murder. Appellant also had little or no
sense of what things cost or what may or may not be available to a
jail inmate. Harris also commented that appellant "was fairly
adept at masking his mental retardation if you only deal with him
superficially."
Paul Conner,
appellant's other trial attorney, stated that appellant would ask
the same questions day after day - showing an inability to
remember or grasp the answers. Appellant would mask his
retardation by not asking questions. He would sometimes sound more
informed on a subject than expected, but this was because he would
parrot words and phrases that he heard, without grasping their
meanings.
Bill Coble,
a fellow death row inmate, occupied a cell immediately adjacent to
appellant's. Coble remarked that appellant was called "Half-Deck"
by the prison guards and other inmates on death row. He
characterized appellant as slow in his thinking and "worse off
than Johnny Penry" whom he also knew about. Appellant could not
learn the meanings of new words, even when told their meanings
over and over again. Due to his lack of understanding of money, he
could not handle buying items from the prison commissary.
Appellant had to be reminded every day to wash himself, shave, and
clean the toilet. He also had to be reminded how to keep his food
container and his bedding clean. Appellant would often "space out"
and forget what he had just done. He listened to cartoons on the
radio (on a television sound setting) and could parrot what he
heard, if it was something he has heard over and over again. Coble
stated that appellant was very upset to learn about a civil suit
against himself and Kroger regarding Robinson's death. Appellant
thought he could get another death penalty from the civil suit.
Joseph Ward,
a private investigator appointed to assist the defense in habeas
corpus proceedings, stated that appellant's ability to understand
the subject of conversation appeared to be significantly less than
that of others his age. Appellant's demeanor was childlike, and he
acted inappropriately for someone his age. He could not recall or
meaningfully relate events surrounding his arrest. He had
difficulty remembering the other private investigator's name even
though he had just been told the name. Appellant did not know the
meanings of many words, would use words inappropriately, and would
mispronounce them. The other private investigator, John Ladd,
stated that appellant had an attention span of five minutes and
talking to him was like talking to a six- or seven-year-old child.
Stephen
Dollar, a licensed attorney at the time of the habeas action, was
appellant's world history teacher during the 1995-96 school year.
Dollar testified that appellant could not follow instructions or
complete assignments as distributed. Appellant displayed no
cognitive ability in the classroom and demonstrated behaviors
similar to those of a child with a diagnosis of mental retardation.
He would not respond to his own name when called upon and would
stare out the window and drool most of the class hour. Appellant
could not accomplish the most menial of tasks, even when they were
simplified to accommodate his special education needs. He appeared
to have no friends, and he was an object of ridicule by his fellow
students.
The State
presented controverting affidavits. Five prison guards - Brandon
Daniel, Julie Perego, Suzanne Prosperie, Todd Tatum, and Darrell
White - averred that appellant is not mentally retarded. Daniel,
who was assigned to appellant's area about one day a week, said
that appellant "acts as normal as anyone in his pod." He further
stated that he "had been around people who were slow mentally" but
had "not seen that in" appellant. Further, there was no indication
that appellant did not understand how to obey orders and follow
prison rules. Under Daniel's observations, appellant was "just a
normal inmate."
Since Perego
arrived at the prison unit in June of 2001, she saw "nothing
unusual" in appellant's conduct that was "different from [that of]
the other inmates." She characterized his behavior as "normal" and
said that she never had to tell him what to do more than once. She
further stated, "I have never seen anything that would make me
think Michael Hall is mentally retarded and he seems pretty normal
to me in my observations of him."
Prosperie
saw appellant, on average, two days a week. Hall seemed like "just
a normal inmate." He socialized with other inmates, and there was
nothing unusual about his conduct or attitude. She remarked that
his cell was filthy, but it was so by his choice. She stated that
she had not seen any signs of mental retardation or illness since
she had been around him, and she had some experience with mental
retardation because her neighbor's daughter was mentally retarded.
She had never heard appellant referred to as "Half Deck" by anyone.
In his three
months around appellant, Tatum "observed nothing unusual" about
him. Although appellant's hygiene was not the best, he had "learned
the system here" and understood what he was doing. Tatum knew some
children in school with Down's syndrome, but he had not seen
anything in appellant to indicate that he is mentally retarded.
White had
also worked around appellant for three months. He stated that he
had not observed anything unusual about appellant's conduct and
that appellant appeared to be "just a normal inmate." He had no
problems with appellant failing to understand anything he told
appellant to do. Appellant took showers, brushed his teeth, and
did other normal activities. White had an uncle who was mentally
retarded and had to be told repeatedly what to do, and appellant
was nothing like his uncle. White further stated, "I have seen
nothing in my observations of Michael Hall that makes me think he
is mentally retarded."
The State
also presented affidavits of Dr. Price. Referring to his opinion
given at trial, Dr. Price stated that appellant's "intelligence
fell either in the borderline range of intellectual functioning
(IQ = 70-84) or in the upper end of mild mental retardation (IQ =
50-55 to 70). Based upon his review of various tests and records,
Dr. Price opined that appellant was a poor student but does not
have significant adaptive deficits. He concluded: "My review of
this case does not clearly indicate that Michael Hall is mentally
retarded." In response to Dr. Church's affidavit, Dr. Price stated
that appellant did not exhibit signs or symptoms
associated with genetic disorders such as Fetal Alcohol Syndrome,
Kleinfelter's Syndrome, Extra Y Chromosome, or Fragile X Syndrome.
II. ANALYSIS
A. General considerations
In Atkins, the Supreme Court held that the Eighth
Amendment's "cruel and unusual punishments" clause prohibits the
execution of mentally retarded persons.
(18) The Supreme
Court left to the States the task of fashioning appropriate
procedures for determining who is in fact mentally retarded:
To the extent there is serious disagreement about the execution of
mentally retarded offenders, it is in determining which offenders
are in fact retarded. In this case, for instance, the Commonwealth
of Virginia disputes that Atkins suffers from mental retardation.
Not all people who claim to be mentally retarded will be so
impaired as to fall within the range of mentally retarded
offenders about whom there is a national consensus. As was our
approach in Ford v. Wainwright, with regard to insanity,
"we leave to the State the task of developing appropriate ways to
enforce the constitutional restriction upon its execution of
sentences."
(19)
In the habeas context, we recently adopted temporary guidelines,
to be used during the legislative interregnum, for determining
whether a defendant is mentally retarded.
(20) Under these
guidelines, a person is considered mentally retarded if he has
these three characteristics: (1) "significantly subaverage general
intellectual functioning" (an IQ of about 70 or below), (2) "related
limitations in adaptive functioning," and (3) onset of the above
two characteristics before age eighteen.
(21) Expert
testimony is relevant to a fact-finder's determination of these
factors but is not necessarily conclusive.
(22) A separate
jury determination of mental retardation is not required,
(23) and at least
on habeas corpus, the defendant shoulders the burden of showing
his mental retardation by a preponderance of the evidence.
(24) And we
afford almost total deference to the trial judge's findings of
fact, especially when those findings of fact are based upon
credibility and demeanor.
(25)
Unlike Briseno, the present case is still pending on
direct appeal. Issues are often evaluated differently in the
habeas corpus and direct appeal contexts. Some claims fail on
direct appeal because the record is not sufficiently developed to
evaluate the claims. This occurs most often with ineffective
assistance of counsel claims.
(26) Other claims
may be evaluated under a different (more onerous) standard in the
habeas context than in the direct appeal context.
(27) Neither of
these differences are material to the case at hand.
B. The habeas record and judicial notice
Had
Atkins been handed down before our original opinion on direct
appeal, a serious question about the adequacy of the direct appeal
record would have been before us. While the parties introduced a
significant amount of evidence regarding whether appellant was
mentally retarded, mental retardation was not considered as a
discrete issue by the trial judge or the jury. Although the
parties certainly had incentive to litigate the question of
appellant's intelligence, the litigation occurred as a question of
degree: defense counsel could contend that appellant's low
intelligence mitigated his moral culpability even if it did not
amount to mental retardation, while the State could contend that,
even if appellant were in the mental retardation range, he
appreciated the consequences of his actions to a sufficient degree
to deserve the death penalty. Had mental retardation been an
ultimate issue, the parties may well have litigated the issue even
more robustly than they did, as the issue would be a question of
kind (which side of the mental divide appellant was on) rather
than degree (how much did appellant appreciate the immorality of
his conduct).
We did not
address the adequacy of the direct appeal record on original
submission because, at that time, we did not perceive mental
retardation as a bar to execution. But the trial court and this
Court did have the benefit of Atkins during the habeas
proceedings. The parties had ample opportunity to present evidence
at that time on the specific issue of mental retardation.
And we can consider the habeas proceedings and evidence in the
current posture of this appeal. Over three decades ago, we
addressed one of those rare instances in which we considered a
particular issue on direct appeal after evidence had been obtained
on that issue in habeas proceedings.
(28) In
Huffman v. State, the defendant filed a motion for new trial,
alleging newly discovered evidence.
(29) This motion
was not accompanied by affidavits supporting the allegation.
(30) While his
appeal was pending, the defendant was released from custody due to
an oversight.
(31) This Court
dismissed the appeal on the ground that the defendant's absence
from custody was the equivalent of an escape.
(32) The
defendant was subsequently granted an out-of-time appeal by the
Fifth Circuit.
(33) After the
right to appeal was granted but before the appeal was filed, a
hearing was held on a state application for writ of habeas corpus
challenging the same conviction.
(34) Evidence not
contained in the appellate record was presented at this hearing,
including the alleged newly discovered evidence and evidence that
the defendant was not represented by counsel at the time the
motion for new trial was filed.
(35)
We held that this Court could properly take judicial notice on
direct appeal of the habeas proceedings and consider the evidence
developed at the habeas hearing.
(36) Finding that
the defendant was without counsel when the motion for new trial
was filed, we considered the merits of his newly discovered
evidence claim in light of the habeas record and overruled his
points of error.
(37)
The present case is on all fours with Huffman: as in that
case, we are faced in a direct appeal with an issue that has
already been presented to us on habeas corpus. Consequently, we
address appellant's mental retardation in light of both the direct
appeal and the habeas records. In this vein, we reject any notion
that the direct appeal record in this case must be viewed in
isolation. The additional, habeas evidence is before us; taking it
into account is necessary for a complete and accurate view of
appellant's intellectual capabilities.
(38)
C. Burdens of proof and standards of review
That standards for evaluating a claim sometimes differ from appeal
to habeas is also of no concern here. While direct appeal
standards may apply to a claim on direct appeal even though the
claim is supported by evidence obtained in judicially noticed
habeas corpus proceedings,
(39) if a
substantive component of a particular type of claim already
contains a standard that equals or exceeds the applicable standard
on habeas corpus, then the inquiry collapses to analyzing the
claim by its components.
(40) In the
present case, we decide that mental retardation is comparable to
an affirmative defense, and thus, the burden is always upon the
defendant to prove that condition by a preponderance of the
evidence. So, the standards for proving mental retardation at
trial and on habeas are the same, and the resulting standard of
review of a trial court's findings against the defendant are also
the same in both contexts.
The groundwork for this conclusion has already been laid in
Briseno. There we observed that the issue of mental
retardation is similar to the issues of insanity, competency to
stand trial, and competency to be executed - all of which impose
upon the defendant a preponderance of the evidence burden of proof.
(41) We now also
observe that the mental retardation issue could be described as a
confession-and-avoidance type of punishment- mitigating factor,
which would make it like several statutory punishment- mitigating
factors that carry the same proof standard as affirmative defenses:
sudden passion in the murder context,
(42) release in a
safe place for the offense of aggravated kidnapping,
(43) imperfect
renunciation for the offense of organized criminal activity,
(44) and, at
least arguably, imperfect renunciation for inchoate offenses.
(45) The counter-example
would be the mitigation special issue in capital cases, for which
the Legislature has prescribed no burden of proof.
(46) But the
mitigation special issue is a very broad issue, capable of taking
into account a wide range of circumstances. By contrast, mental
retardation is a single, discrete fact that by itself mitigates
the penalty for capital murder, just as sudden passion, release in
a safe place, and renunciation all are discrete facts that by
themselves mitigate the penalty for their respective crimes. Given
the legislative backdrop for similar affirmative defenses and
analogous punishment mitigating factors, we find, absent further
legislative guidance, that mental retardation is the type of issue
that must be proven by the defendant by a preponderance of the
evidence - regardless of when the claim is presented.
From that conclusion, it follows that the standard of review is
also the same. Giving "almost total deference to a trial judge's
determination of the historical facts supported by the record"
(47) in the
habeas context is essentially the same as Jackson v. Virginia's
requirement that the evidence be viewed "in the light most
favorable to the prosecution" when the findings are adverse to the
defendant.
(48) Given the
same burden, the standard of deference will also be the same,
whether the Court conducts a sufficiency review of a mental
retardation claim decided at trial or a legal review of a trial
court's recommendation on habeas corpus.
D. The mental retardation claim
We now turn
to the merits of appellant's claim. His claim has already been
addressed on habeas corpus and found to be without merit. The
trial court considered the entire trial record and the additional
evidence presented in the habeas proceedings. The trial court made
its findings after Atkins was decided and after the
Supreme Court had remanded the direct appeal in this case. The
trial court's consideration of the mental retardation claim and
our review in the habeas proceedings satisfied the mandate of
Atkins, and we believe that taking judicial notice of the
habeas proceeding and its outcome satisfies the Supreme Court's
remand order in the present case. Because the burden of proof and
the standard of review are the same on this issue on direct appeal
and in habeas proceedings and because we can properly notice the
habeas evidence on direct appeal, our conclusion on direct appeal
is necessarily the same as our conclusion in the habeas
proceedings.
In an abundance of caution, however, we have re-reviewed the
evidence, and the result of that review is that our conclusion has
not changed. While appellant supported his claim of mental
retardation with the testimony of three psychologists, his mother,
his brother, his trial attorneys, two private investigators, four
teachers, and a fellow death row inmate, the State controverted
his claim with the testimony of a psychologist, five prison guards,
a waitress, appellant's former work supervisor, a former co-worker,
and a police detective. The State also controverted the claim
through cross-examination, pointing to school records indicating
that appellant was not mentally retarded. There is also the
videotaped interview, the hearing on the defendant's pro se
motion to remove his attorneys, and of course, the
circumstances of the crime itself. While there was significant
evidence in favor of a finding of mental retardation, there was
also significant evidence against such a finding. The trial judge,
who presided over the trial and the habeas proceedings, was in the
best position to evaluate the conflicting evidence. Her findings,
which we have judicially noticed in the current direct appeal,
deserve great deference. Because the trial court's conclusion that
appellant is not mentally retarded is supported by the record, we
should and do defer to that conclusion.
(49)
The judgment
of the trial court is affirmed.
*****
PRICE, J., filed a concurring opinion in which
COCHRAN, J., joined. JOHNSON, J., filed a dissenting opinion in
which HOLCOMB, J., joined. HOLCOMB, J., filed a dissenting opinion.
PRICE, J., concurring, in which COCHRAN, J.,
joined.
I agree with the majority that we may consider
the habeas record in deciding this direct appeal on remand from
the United States Supreme Court. I also agree that the record in
this case supports the trial court's conclusion in habeas
proceedings that the appellant is not mentally retarded. I write
separately to point out that, generally, for the review of a
contested Atkins v. VirginiaFN1 claim, the trial court will need
to hold a live hearing and not base its decision solely on
affidavits submitted by the parties.
FN1. 536 U.S. 304, 122 S.Ct. 2242, 153 L.Ed.2d
335 (2002). The habeas proceedings in this case of which we took
judicial notice were conducted by affidavit without a live hearing.
In this case, the extensive affidavits provide ample evidence from
which the trial court could make its findings that the applicant
is not mentally retarded. But this is a unique case.
When an applicant's status as a mentally
retarded person is contested, a hearing by affidavit will
generally be inadequate. The main reason we defer to a trial
judge's findings is that he is in a better position to determine
credibility and determination by seeing and hearing a witness
testify. We often say that because we have only a cold record,
reviewing courts do not have the best vantage point from which to
make factual determinations.FN2 Live testimony allows the
convicting court to observe a witness's demeanor, which can add
significant information to credibility determinations. Also,
opposing counsel may cross-examine witnesses to test the content
of a witness's testimony. These valuable aspects of live testimony
are not available in a hearing by affidavit.
FN2. See Manzi v. State, 88 S.W.3d 240, 254 (Tex.Crim.App.2002)
(Cochran, J., concurring). Code of Criminal Procedure Article
11.071, Section 9(a) states the “[t]o resolve the [previously
unresolved] issues [of fact] the [convicting] court may require
affidavits, depositions, interrogatories, and evidentiary hearings
and may use personal recollection.” But, if the convicting court
conducts a hearing by affidavit, and the affidavits are inadequate
for us to review the convicting court's findings, we will be
forced to remand to the convicting court for a live hearing,
especially if the parties voice objections to the convicting
court's findings. The best course to resolve a contested Atkins
claim is to hold a hearing at which live testimony is received.
With these comments, I join the majority.
JOHNSON, J., dissenting, joined by HOLCOMB, J.
I respectfully dissent. Retardation, like
insanity, is a question of fact, not law. We may speak of
satisfying the legal standard for insanity, but we assign the task
of determining if a defendant was insane at the time of the
offense to the finder of fact, usually the jury. In this case, the
trial court made a finding of fact (applicant is not retarded)
based solely on affidavits (written factual statements) and from
that finding of fact drew a legal conclusion (under Atkins v.
Virginia, 536 U.S. 304, 122 S.Ct. 2242, 153 L.Ed.2d 335 (2002), it
is not unconstitutional to execute him).
This case was tried before the United States
Supreme Court decided Atkins v. Virginia, 536 U.S. 304, 122 S.Ct.
2242, 153 L.Ed.2d 335 (2002), and radically changed the law. We
are not free to ignore that change.
Almost all of the evidence that has been
brought forward by either side was adduced during the punishment
phase of the original trial. At that time, mental retardation was
a mitigating factor, not a dispositive issue as to ineligibility
for the death penalty; the convicting jury was limited to
considering it as part of the special issues, particularly on the
issue of future dangerousness. No trier of fact in this case has
ever heard live testimony, subject to testing on cross-examination,
on the specific issue of whether appellant is mentally retarded.
The hearing at issue here was had on affidavits only, thus
Appellant's claim that he is mentally retarded, and therefore is
not subject to execution, has never been directly and thoroughly
litigated.
That a live, contested hearing is necessary is
clear from an examination of the conflicting evidence adduced at
trial. A short summary of the testimony from the punishment phase
of appellant's trial illustrates this.
Of the fourteen defense witnesses whose
testimony about appellant's mental abilities was considered at the
hearing on the writ of habeas corpus, five also testified at trial
and had extensive contact with appellant: his mother, Karen Hall;
his brother, Damon Hall; and teachers Ken Traynor, Cheryl Conner,
and Chris Bryce. A psychologist, Dr. Mark Cunningham, also
testified at trial. Four others with extensive contact with
appellant testified by affidavits on the writ of habeas corpus; a
teacher, Stephen Dollar; appellant's trial attorneys, William
Harris and Pat Conner; and another death-row inmate, Bill Coble.
The other affiants were two private investigators hired by
appellant's trial attorneys, Joseph Ward and John Ladd, and two
psychologists, Dr. George Denkowski, and Dr. Sally Church. Linda
Akin, an employee of the school district, did not testify at trial
or submit an affidavit. She was mentioned in Dr. Conner's trial
testimony in response to a question from the prosecutor during
cross-examination of Dr. Conner regarding the IQ test that was
done by Garland schools as part of the comprehensive individual
assessment. FN1 It is not even certain that Ms. Akin wrote the
assessment under discussion, and in any case, that assessment was
not admitted into evidence.
FN1. Q: Okay. Now, one other thing I wanted to
ask you about. On the assessment that was done during the testing,
it says,-and maybe you can interpret this for me,-“The student's
adaptive behavior was assessed using informal measures. Results
showed that the student's level of intellectual functioning is
consistent with his or her adaptive behavior, with no significant
deficits in either area.” Do you know what they meant by that? A:
Yes, I do. Q: Okay, do you agree with it? A: No. Q: Okay. Do you
know who prepared that report? A: I believe the last one was
prepared by Linda Akin. Q: Who? I'm sorry. A: Linda Akin. Q: Okay.
And is she with the school district? A: Yes, she is. Of particular
interest here are the affidavits of appellant's attorneys and
others who helped prepare appellant's case for trial. Both
attorneys attested that appellant would ask a question, listen to
the answer, say that he understood, then re-ask the same question
within a very short time, sometimes within minutes; he showed
little to no understanding of many of the aspects of trial. They
soon recognized that appellant “bitterly did not want people to
think him ‘dumb’ ” and would parrot words and phrases he had heard
in an effort to avoid appearing so. Both investigators attested
that appellant behaved in ways inappropriate to his age and did
not seem to be able to recall events such as his arrest. Mr. Ladd
recounted that appellant thought himself very clever for being
able to get extra food for an evening snack when, in reality, he
was merely saving some of his supper for later.
Bill Coble has occupied the cell next to
appellant as long as appellant has been on death row. Mr. Coble
has been on death row for a long time, knows Johnny Paul Penry,
and in his opinion, appellant “is worse off than Johnny Penry.”
Of the ten state witnesses who claimed personal
contact with appellant, none had extensive or lengthy contact with
appellant. Dr. Randall Price, a psychologist, had a single
interview with appellant. Al Boles said that appellant taught him
how to perform the simple task of bagging groceries. His testimony,
under questioning by the state, consisted largely of a comparison
of the mental limitations of appellant and those of the victim.
Monica Zepeda was a waitress who had a single contact with
appellant. The state represented to the trial court that she was
able to testify that appellant showed no remorse; no such
testimony was elicited. Richard Nutt, a detective, testified that
he had read the Miranda warnings to appellant, and that he
believed that appellant understood them because he had looked Nutt
in the eye and said he understood.
The affidavits of the five prison guards each
consist of a few conclusory statements, which are not infrequently
repetitive. Many of the statements in these affidavits, such as “I
have heard Michael Hall's radio on in his cell,” are not helpful
in assessing appellant's mental abilities. Brandon Daniel worked
on death row once a week. Suzanne Prosperie worked on death row
twice a week. Todd Tatum and Darrell White worked on death row for
three months. The affidavit of Julie Perego consists of 6 general,
conclusory statements, including “I have been on this unit since
June 2001 and I have been around Michael Hall at different times.”
Mental retardation can arise in many ways. The
National Center on Birth Defects and Developmental Disabilities
FN2 states that retardation may occur before birth,FN3 during
birth,FN4 or after birth from disease or injury.FN5 The United
States National Library of Medicine lists more than forty causes,
the largest category being unexplained.FN6 Many persons who are,
in fact, mentally retarded may appear normal to the untrained eye
or on casual contact and are not identifiable by their manner of
speech or their appearance. A single casual contact, such as
waiting on a mildly mentally retarded person in a restaurant, has
a high probability of not revealing the retardation.
FN2. http://www.cdc.gov/ncbdd/dd/ddmr.htm. FN3.
Such causes include: an error in number of chromosomes (Down's
syndrome), defects in chromosomes (fragile X, Angelman and Prader-Willi
syndromes), missing chromosomes (Cri-du-chat syndrome), mis-located
chromosomes, metabolic disorders (phenylketonuria), maternal
disease or drug use (rubella, fetal alcohol syndrome, cocaine or
amphetamine abuse), maternal malnutrition, and physical
abnormalities (hydrocephalus). FN4. Such causes include: HIV,
asphyxia, and birth trauma. FN5. Such causes include: head injury,
stroke, meningitis, lead poisoning, malnutrition, very high
bilirubin levels, and abuse such as shaking. FN6. http://www.nlm.nih.gov/medlineplus/ency/article/001523/htm.
Lay persons often have unrealistic ideas about what mentally
retarded persons look like and how they act. There is a wide range
of abilities encompassed by the term “mentally retarded”; the term
applies equally to those whose are able to live successful
independent lives and to those who live and die in a vegetative
state. Mr. Tatum attested that he “knew some kids in school with
Down's syndrome” and that appellant is not retarded. It is well
known that Down's syndrome creates a distinctive physical
appearance. If Down's syndrome is Mr. Tatum's standard for
diagnosing mental retardation, then of course, appellant is not
retarded in his eyes. Ms. Prosperie claimed to know that appellant
is not retarded because her neighbor's daughter is retarded. We do
not know the extent of that child's retardation or how it
manifests in appearance and behavior. Mr. White said that
appellant is not retarded because his uncle is retarded, and
appellant is not like his uncle. Mr. Boles, looking back to the
time of the offense, says that appellant is not retarded, and the
state asserts that Boles is qualified to make that judgment
because he now works with mentally challenged children. Each of
these lay witnesses appear to have judged appellant's mental
capacity by personal standards formed by personal experience with
a very small number of retarded persons. Given the wide range of
manifestations of mental retardation, these witnesses, although
sincere, do not have the experience or training to make any
assessment of the mental abilities of appellant.
Even the state's psychologist, Dr. Price,
appeared to be uncertain as to appellant's mental abilities. He
did not testify that appellant is not mentally retarded but rather
that his “review of this case does not clearly indicate that [appellant]
is mentally retarded,” and he conceded that appellant's
intelligence “fell either in the borderline range of intellectual
functioning (IQ = 70-84) or in the upper end of mild mental
retardation (IQ =50-55 to 70).” Our definition of mental
retardation encompasses parts of both ranges. Dr. Price also
stated that “[t]here is no doubt that Mr. Hall has low
intelligence and poor academic abilities....”
The state argues that appellant's assignment to
special education classes was based on “learning disabilities,” a
claim that is refuted by school records that indicate that the
school wished to designate him as mentally retarded, but did not
do so at his mother's request. The state conceded in its answer to
appellant's application for writ that appellant had passed the
written portion of the driving license examination only after his
mother worked with him for three days.FN7 The state further urged
that the trial court should entirely ignore the testimony of Dr.
Church because, although having appropriate credentials, she was
licensed as a psychologist only in Oklahoma.
FN7. In his affidavit, Dr. Denkowski attests
that appellant passed on the third try but was never able to pass
the driving test. I am loathe to find that appellant is not
mentally retarded when that finding is based largely on the lay
opinions of a store supervisor, a waitress, a bag boy, and five
prison guards, and the expert opinion of a psychologist who could
not reach a definite conclusion, especially when all had limited
contact with appellant. I am unpersuaded that bragging or using
big words and claiming to read classic literature establishes that
appellant is not retarded. If appellant is, in fact, retarded, his
statements may establish only that he, like many retarded persons,
wishes to be regarded as “normal” and “smart” and that he will
behave in ways that he thinks will cause others to regard him as
such, just as persons with normal intelligence will behave in ways
that are perceived as producing acceptance. As Dr. Church noted in
her affidavit, appellant “had difficulty with the requirements of
doing the work of a ‘stocker’ and was demoted to bagging groceries.”
She also stated, “His main motivation is not to appear to be a
‘dummy’ in order to mask his deficits. He tends to say what he has
heard others say and/or to say what he thinks others expect him to
say. This is not at all unusual as a coping mechanism for the
mentally retarded population.”
Nor are persons with limited mental abilities
immune from other human foibles, such as lying. A well-drafted
motion may be the product of a skilled jailhouse writ writer.
Persons with limited mental ability often do extremely well in
structured environments, and I cannot think of a more structured
environment than death row.
It may very well be that a full hearing on
appellant's claim of mental retardation, with the opportunity to
cross-examine witnesses and argue the significance of their
testimony, would establish that appellant is not retarded. However,
we will never know unless we order that full hearing and have
before us both the tested testimony of persons who are
knowledgeable in the mental-health field and relevant lay
testimony about his adaptive behavior.
I respectfully dissent.
HOLCOMB, J., dissenting.
I do not dispute that, in general, this Court
can properly take judicial notice on direct appeal of a habeas
proceeding, consider the evidence developed at a hearing on
habeas, and afford almost total deference to a trial judge's
determination of the historical facts supported by the record.
However, in this case, determining appellant's claim of mental
retardation by considering the evidence developed on habeas in
addition to that adduced at trial does not provide appellant with
a constitutionally sufficient opportunity and process to resolve
his claim. Also, based on the deficiencies in the habeas
proceeding, we should not, in this case, afford the trial court's
finding on habeas almost total deference.
I discussed many of my reasons for these
conclusions in my dissent in Ex parte Briseno, including the fact
that Ring v. Arizona, 536 U.S. 584, 122 S.Ct. 2428, 153 L.Ed.2d
556 (2002), requiring a jury determination of certain issues,
applies to mental retardation. Recognizing that this Court's
majority holding in Briseno is now the law, I continue to find
deficiencies in the habeas proceeding on which this Court relies
in deferring to the trial court's determination and in arriving at
its own conclusion.
Nowhere in Hall's habeas proceeding was there a
burden of proof or standard of review enunciated. The convicting
court made findings and conclusions, but we do not know under what
standard of proof the court made its conclusions-preponderance of
the evidence, clear and convincing evidence, or beyond a
reasonable doubt. Furthermore, Hall was not provided with a live
evidentiary hearing. Hall was not able to cross examine the
affiants and the judge was not able to evaluate their credibility.
By according almost complete deference to the trial court's
determination based on the procedure used on habeas, and by
reaching our own conclusions based in part on the evidence adduced
by affidavit on habeas, we fail to provide a procedure that
reflects the need for heightened procedural requirements in
determining whether a defendant may be put to death.
I think this Court should reconsider, sua
sponte, our determination on Hall's writ of habeas corpus and
order the convicting court to conduct a live evidentiary hearing
and evaluate the evidence under the preponderance of the evidence
standard articulated in Briseno. Barring that course of action, I
would find that a rational jury could have found that the
significant evidence adduced in favor of a finding of mental
retardation outweighed the significant evidence adduced against
such finding. I would therefore find that appellant has met his
burden to be granted the relief he seeks, commutation to a life
sentence. Because this Court follows neither course I have laid
out, I respectfully dissent.
2. Appellant did not contend
in his original appellate brief or his brief on remand that he
ever made such a request, no such request is contained in the
record references supplied in the brief, the State does not
contend that such a request was made, and we have not seen such a
request in what appear to be the pertinent portions of the record.
Appellant shoulders the responsibility of citing all the
applicable facts and the record references supporting those facts.
TEX. R. APP. P. 38.1(f).
3. Hall v. State,
67 S.W.3d 870 (Tex. Crim. App. 2002).
9. Judge Sharen Wilson
presided at both the trial and the habeas proceedings.
10. Ex Parte Hall,
No. 53,668-01, slip op. at 1-2 (Tex. Crim. App., February 26,
2003)(not designated for publication).
11. Dr. Cunningham recited
that appellant "tore his pork chop or his meat apart with his
fingers unless his mom cut it for him." Although Dr. Cunningham
did not cite Karen Hall as one of his sources for determining
adaptive deficits, he apparently relied upon her to some degree -
perhaps from her trial testimony. Dr. Cunningham was exempted from
the rule and Karen had testified before him.
12. Diagnostic and
Statistical Manual of the American Psychiatric Association, fourth
edition.
14. Due to a phenomenon
known as the "practice effect," Dr. Price could not conduct his
own testing. The "practice effect" occurs where a subject's
knowledge of a previous IQ test affects the results of a test
administered shortly thereafter. According to Dr. Price, a six-month
interval between testing is deemed necessary to avoid this
phenomenon and to yield a valid set of findings.
15. Dr. Price examined in
detail what appears to be a subcategory of one of these,
denominated "the use of appliances, kitchen tools, and utensils,"
in which appellant was found to be average.
16. A copy of the hearing
transcript was available during the habeas proceedings although a
sealed version was also included in the direct appeal record.
26. Thompson v. State,
9 S.W.3d 808, 813-814 (Tex. Crim. App. 1999)(direct appeal record
often inadequate in the ineffective assistance of counsel context,
especially when counsel is not asked for his reasons for his
conduct).
27. Ex parte Fierro,
934 S.W.2d 370, 372 (Tex. Crim. App. 1996), cert. denied,
521 U.S. 1122 (1997)(standard of harm more onerous on the
defendant); compare Ex parte Elizondo, 947 S.W.2d 202,
209 (Tex. Crim. App. 1996)(on habeas, newly discovered evidence
must unquestionably establish innocence) and Wallace v. State,
106 S.W.3d 103, 108 (Tex. Crim. App. 2003)(in motion for new trial
context, newly discovered evidence must be "probably true" and "will
probably bring about a different result on retrial").
38. Moreover, appellant can
hardly complain about an appellate court's failure to limit its
review to the direct appeal record when he did not request a
finding on the issue at trial, and thus, did not attempt to ensure
that the direct appeal record would contain a comprehensive
litigation of the issue. SeeMartinez v. State,
867 S.W.2d 30, 33-34 (Tex. Crim. App. 1993), cert. denied,
512 U.S. 1246 (1994)(defendant could not rely upon evidence of
prior adjudication of insanity to establish insanity when he
failed to give notice at trial that he wanted to pursue an
insanity defense).
39. See Huffman,
479 S.W.2d at 68-69 (applying motion for new trial standard for
newly discovered evidence).
45. TEX. PEN. CODE
§15.04(d)(no explicit burden placed in the subsection but
contained within section that describes successful renunciation as
an "affirmative defense").
46. See Art.
37.071, §2(e)(1); Mosley v. State, 983 S.W.2d 249, 264 (Tex.
Crim. App. 1998), cert. denied, 526 U.S. 1070 (1999).
48. See Jackson v.
Virginia, 443 U.S. 307, 319 (1972)("Instead, the relevant
question is whether, after viewing the evidence in the light most
favorable to the prosecution, any rational trier of fact could
have found the essential elements of the crime beyond a reasonable
doubt....This familiar standard gives full play to the
responsibility of the trier of fact fairly to resolve conflicts in
the testimony, to weigh the evidence, and to draw reasonable
inferences from basic facts to ultimate facts.").
49. Although appellant is
not entitled to a review limited to the trial record, we note that
our holding would not change if we considered only the evidence
submitted at trial. A conclusion that appellant is not mentally
retarded is supported by the trial record.
PATRICK E. HIGGINBOTHAM, Circuit Judge,
concurring in part and dissenting in part:
The Supreme Court left implementation of Atkins
to the states, a license that implicitly insists upon faithfulness
to its core holding and the constitutional constraints of due
process. I am persuaded that because the state denied Hall the
right to confront and cross examine state witnesses in the
adjudication of his claim of retardation, Hall's death sentence
was contrary to and involved an unreasonable application of the
clearly-established federal law of due process as determined by
the Supreme Court of the United States.
Michael Wayne Hall was convicted of capital
murder by a Texas jury and sentenced to death in 2000. Much of his
mitigation case rested on the claim that Hall suffered from a
learning disability. The Texas Court of Criminal Appeals affirmed
the conviction and sentence, rejecting Hall's Penry argument that
the jury could not give expression to his mitigation evidence and
his claim that execution of mentally retarded persons is
unconstitutional. Hall filed a petition for certiorari with the
Supreme Court and sought collateral habeas review with the state
court.FN1 There he continued his contention that it was
unconstitutional to execute a mentally retarded individual-the
issue presented in the Atkins case-which was then sub judice in
the Supreme Court. Before the state answered his state habeas
petition, the Supreme Court held in Atkins that executing mentally
retarded individuals violates the Eighth Amendment. Despite Atkins,
the trial court on habeas refused over Hall's objection to conduct
an evidentiary hearingFN2 to determine whether Hall was mentally
retarded, refusing Hall the opportunity to cross examine witnesses
. Rather, it recommended that the CCA reject Hall's state habeas
claim, relying upon the record from his original trial and
affidavits submitted by order of the trial court. No live
testimony was taken, and Hall was not allowed to cross examine any
of the affiants despite the introduction of many new affiants and
claims that had not been tested at trial. In May of 2004,
addressing the Supreme Court's opinion vacating and remanding the
judgment of the CCA,FN3 which had rejected the Atkins claim on
Hall's direct appeal, a divided CCA repaired to the same record
and again concluded that Hall was not mentally retarded. Hall
again petitioned the Supreme Court for certiorari, which the
Supreme Court denied in June of 2005. Hall then filed his federal
habeas claim, again requesting a hearing on the Atkins issue.
Without holding a federal evidentiary hearing, the U.S. district
court deferred to the state adjudication.
FN1. He filed his petition for certiorari in
June of 2002 and his state application for writ of habeas corpus
in January of 2002. FN2. Of course a proceeding before a state or
appellate court where the parties may argue an issue is a “hearing.”
See Sumner v. Mata, 449 U.S. 539, 546, 101 S.Ct. 764, 66 L.Ed.2d
722 (1981). But Sumner addressed 28 U.S.C. § 2254(d) and the
deference due findings of fact by a state court in federal habeas,
and did not address the elements of a hearing the state was
constitutionally compelled to provide to sustain a criminal
conviction. FN3. The Supreme Court's opinion granting certiorari
and vacating and remanding the CCA's judgment was decided on
October 7, 2002, but the CCA decided Hall's state habeas claim
first, in February of 2003, not addressing the remand from the
Supreme Court until 2004.
I
Michael Wayne Hall was 18 years old when he
killed Amy Robinson, a mentally retarded co-worker at a grocery
store.FN4 Hall had low intelligence and lived in a chaotic family
environment. He had never been incarcerated, although he had
participated in minor shoplifting incidents with other individuals.
Hall often associated with people younger than his age but he met
an older friend, Robert Neville, in 1997. He appreciated Neville's
friendship and attention and spent many hours with him, accepting
his offers of gifts, rides, and places to stay, and imitating his
style of dress. Neville persuaded Hall to quit his job so they
could work together at a grocery store. They decided to kill
someone. With purchased weapons, they killed Amy, an easy target.
Police arrested them attempting to walk to Mexico several hundred
miles away.
FN4. To provide context, much of this account
of the case history will repeat the recitation of the panel
opinion. The trial commenced in February of 2000. The state
presented, inter alia, a videotape that the media had taken of
Hall, Hall's written statement to the police, the arrest warrant,
the weapons, photographs of the area where the victim was found,
and testimony of the agents and detectives who questioned Hall and
took his statement. There were vague references to Hall's acuity
throughout this portion of the trial, but they were not drawn out.
At one point, an agent indicated that detectives had asked Hall to
take a polygraph test, but he said that “he couldn't take it, his
mind was kind of messed up.” The attorney cross examining the
agent asked if Hall had expanded on this statement, but the agent
replied in the negative. The attorney also inquired about the
competency of the writing-grammar and spelling, for example-in
Hall's statement, as well as Hall's ability to communicate with
the agent (whether there was anything “unusual about his
understanding of events or how he told them” to the agent). The
defense asked a detective involved in the case whether Hall's
family members had indicated that Hall had any mental disabilities
and if this was consistent with the detective's impressions of
Hall. The detective replied briefly that, “[i]f I recall, [Hall's
stepbrother] said he was slow,” and that according to the
detective, “he was not the most intelligent person I had ever seen,
but he's also not the dumbest person I had ever seen, either.” On
the third day of trial, the jury found Hall guilty.
In the sentencing phase of the trial, the
defense offered evidence of Hall's learning disability. Hall's
mother and brother testified about mental problems and learning
disabilities in the family, Hall's struggles to perform typical
childhood tasks, childhood injuries to his head, and later
difficulties when he started work and attempted to socialize with
colleagues. FN5 In addition to testimony from Hall's family,
Hall's teachers and psychologists discussed his mental capacity at
school.FN6 The school psychologist and experts discussed various
results from Hall's IQ tests, ranging from 67 to 71 for full-scale
IQ testsFN7 but differed as to their significance, reliability,
relevance, and margin of error.FN8 Several experts also testified
generally as to Hall's adaptive functioning and knowledge, and his
academic abilities. Dr. Cunningham assessed Hall's adaptive
functioning,FN9 concluding that the tests indicated that Hall was
learning disabled, with “significant academic deficiency.” Dr.
Price assessed Hall's adaptive knowledge (not adaptive functioning,
which is the applicable issue under the BrisenoFN10 test for
Atkins mental retardation) using a Street Survival Skills
Questionnaire,FN11 indicating that Hall was “slow on a lot” of the
questions but that his intelligence was “either borderline, right
at the level of mild mental retardation, or he's mildly mentally
retarded.” Dr. Price concluded, “it's sort of a judgment call.”
FN5. Mrs. Hall discussed mentally retarded
cousins, Hall's grandfather who was mentally ill and hospitalized,
and three of Hall's father's siblings who were “learning disabled
and received special education assistance.” As a child, Hall had
trouble doing simple tasks such as stacking blocks, and when he
got older, he often associated with younger children because
children of his own age would “call him stupid and retarded.” When
Hall was a child, a pickup truck converted to a trailer fell on
Hall's head, another child struck him on the head with a baseball
bat, Hall once struck his head when he fell out of a car, and he
received stitches over his eye after an incident in a rocking
chair. As an adult, he is unable to tell time from an analog clock,
he drools when he eats, and tears his food apart with his hands
rather than cutting it with a knife. He was demoted from his job
as stocker at the grocery store to the position of “bagger,” since
he was unable to properly stack small boxes of food on the shelves.
Although he had a driver's license, he had initially failed the
written test and only passed after his mother worked with him
closely for three days. Hall's brother testified that Hall became
lost and disoriented when his brother drove him several blocks
from his house and dropped him off at a friend's mother's house.
FN6. His wood shop instructor indicated that Hall had difficulty
with “simple tasks.” While most of his special education students
were able to complete an assignment within three weeks, it took
Michael approximately eight weeks. Dr. Conner, the school
psychologist, indicated that although Hall tried to talk in class,
he would often only repeat phrases that he had heard students say
in the hallway. Hall read at approximately a third-grade level and
had a comprehension level of a first grader. When Dr. Conner
recommended additional psychological testing, Hall's mother
resisted the testing. A special education teacher testified that
Hall did subtraction using “stick figures.” This teacher “guessed”
that Hall's IQ was in the upper 60's.
FN7. Dr. Conner, Hall's school psychologist,
testified that the school had classified Hall first as mentally
retarded and later as learning disabled, and that his IQ was 84 on
the Test of Non-verbal Intelligence (a non-full scale IQ test,
which she testified is usually ten points higher than a nonverbal
intelligence test) and a 71 on the Weschsler Intelligence Scale
for Children Revised test in 1991. Dr. Cunningham, Hall's expert
witness, administered a WAIS-III IQ Test when Hall was 20 years
old and shared the test with Dr. Price, the state's expert
psychologist. The test indicated that Hall's IQ score was 67, and
with standard error, fell within a range of 64 to 70. FN8. Dr.
Cunningham indicated that the school's initial classification of
Hall as mentally retarded in 1988, followed by a re-classification
to learning disabled in 1991-when he received an IQ score of 71 (with
a 90 percent likelihood that the score ranged from 66 to 76)-may
have resulted from the school's erroneous interpretation of the
margin of error for the 1991 test. He also discussed the danger of
relying on the TONI test as an IQ score. Dr. Price, the state's
expert, testified that the confidence range for the school's WAIS-III
test from 1991 was, assuming a 90 percent confidence interval,
approximately 68 to 74 for the full-scale IQ (not 66 to 76, as Dr.
Cunningham had described the score results), and that Dr.
Cunningham's IQ test results for Hall at age 20, in a “fuzzy”
range, could have been “a 70” “[o]r a 71.”
FN9. Dr. Cunningham assessed adaptive
functioning based on interviews with three informants and
concluded that his composite standard score for the test was a 59-lower
than the IQ of 67 that he assessed when Hall was 20. FN10. Ex
Parte Briseno, 135 S.W.3d 1, 7 (Tex.Crim.App.2004). FN11. On cross
examination, he admitted that “adaptive functioning,” as assessed
by Dr. Cunningham, and “adaptive knowledge,” which he tested, are
distinct types of evaluation.
Finally, the state presented lay witnesses who
had some past contact with Hall. A fellow grocery store employee
of Hall's testified that Hall taught him how to bag groceries,
said that he had worked with mentally challenged children, and
indicated that he did not notice anything slow about Hall. A
waitress who had once served food to Hall and Neville in a
restaurant after the murder testified that Hall ordered food for
himself and that she did not notice him picking up food with his
hands, although she did not discuss whether or not he was able to
use a knife.
In their closing arguments to the jury, the
state and the defense focused exclusively on Hall's mental
capacity as it related to mitigation. The state argued that Hall
was “at worst mildly retarded” and that this was not mitigating,
since he was “smart enough” to choose a trusting victim. Hall's
attorney only discussed his IQ in the broad sense (discussing one
teacher's estimation that it was “somewhere in the 60s,” and how
the experts could not agree on a “precise” IQ number) and
emphasized Hall's mental capacity in light of his inability to
understand the wrongness or “grasp the horribleness” of his crime.
The state, in its final rebuttal, argued: “does it really matter
to us, other than for labeling purposes, whether he's labeled as
mild mentally retarded or low normal? Does that really tell us
anything that we need to know or help us in determining is this a
mitigating factor?”
The jury answered “no” to the question of
whether there were mitigating circumstances to spare Hall's life.
On automatic appeal, the CCA affirmed the trial court's conviction
and sentence on January 16, 2002,FN12 rejecting Hall's contention
that it is unconstitutional to execute mentally retarded persons.
On January 17, 2002, Hall filed a state application for a habeas
writ, re-emphasizing his argument that “[t]o inflict a death
sentence on a person suffering from mental retardation” violates
Article 1, § 12 of the Texas Constitution and Eighth Amendment of
the U.S. Constitution, an issue that was then before the Supreme
Court in Atkins. He requested a full and fair hearing, a “live”
hearing.FN13
FN12. Hall v. State, 67 S.W.3d 870, 872 (Tex.Crim.App.2002).
FN13. Specifically, Hall requested an “evidentiary hearing” in his
original state habeas petition and a “live hearing” in his
objection to the state trial court's writ hearing procedure. On
June 10, 2002, Hall petitioned the Supreme Court for a writ of
certiorari on the mental retardation issue, seeking review of the
CCA's judgment on direct appeal affirming his conviction and
sentence. On June 20, 2002, the U.S. Supreme Court in Atkins held
that the “[Eighth Amendment of the] Constitution ‘places a
substantive restriction on the State's power to take the life’ of
a mentally retarded offender,”FN14 thus setting a constitutional
bar against the execution of mentally retarded individuals.FN15
FN14. Atkins v. Virginia, 536 U.S. 304, 321,
122 S.Ct. 2242, 153 L.Ed.2d 335 (2002). FN15. The Supreme Court
granted Hall's petition on October 7, 2002. The state filed its
reply to Hall's state habeas application on July 16, 2002,
acknowledging the Atkins decision but maintaining that the trial
court's procedure for determining mental retardation was
adequate.FN16 The habeas trial judge, who had also presided over
the original trial, refused to order a hearing or to allow cross
examination of experts on the new Atkins issue, announcing that
the issue would be submitted based on affidavits and the trial
record. Hall again objected, urging that the court conduct a live
hearing. The parties submitted affidavits from Dr. Price and Dr.
Cunningham, as well as affidavits from many individuals who had
not testified at trial, including psychologists Dr. Denkowski and
Dr. Church, an advocate for mentally retarded death row inmates,
prison guards, a mitigation specialist, investigators who assisted
Hall with his habeas claim, an inmate who resided next to Hall on
death row, more of Hall's teachers, and Hall's trial counsel.
FN16. In its original reply to Hall's habeas
petition, the state urged that “[t]he Court expressly left to the
states the task of developing appropriate ways to enforce the
constitutional restriction ... and offered no guidance for
determining which capital offenders fall within its purview.” In
response to Hall's motion to stay the state proceeding, the state
continued, “The mitigation special issue allowed the jury to
consider whether Applicant's mental retardation, if any, was of
such a degree to avoid imposition of the death penalty ....” Free
of cross examination, experts presented new evidence of Hall's IQ
and further disputed the margin of error associated with the
various IQ scores. These IQ scores included the school's WISC-R
result of 71 with a measurement error of 2.6, when Hall was 12 1/2
years old; Dr. Cunningham's WAIS-III test, which resulted in
Hall's score of 67 at age 20; Dr. Church's WAIS-III test at age
22, which again showed a score of 67 (wrongly reported by Dr.
Denkowski as a 72); and TONI-2 and TONI-3 scores of 84 and 77 at
ages 16 and 20, respectively (with associated information that the
TONI “yields a 7-point higher score than the WISC-R Full Scale IQ”
and does not measure general intellectual functioning). Dr.
Price's affidavit discussed the IQ findings from the original
trial but presented new allegations regarding the proper standard
for determining mental retardation under Atkins, and how his
testing related to this standard. He criticized Dr. Denkowski for
basing his affidavit on records rather than a personal examination
of Hall but indicated that he and Dr. Denkowski “basically agree
on the current working definition of mental retardation that is
used by the psychological community (i.e., IQ below approximately
70 with measurement error considered, significant adaptive
behavior deficits in 2 or 3 skill areas, and origination of these
factors in the developmental period.)” Dr. Price also described
the results of his adaptive knowledge testing of Hall. He alleged
that “Mr. Hall's knowledge of adaptive behavior ranged from the
borderline level (16th percentile) in several areas (understanding
and telling time, handling money, and using common measurements)
to the average level (8th to 63rd percentile) in other areas”
(“recognizing and understanding basic spatial/quantitative
concepts, functional signs, tools, kitchen utensils, hygiene,
safety skills, and the use of public services”). He did not
indicate whether any of the tests demonstrated that Hall was below
borderline. Dr. Price also alleged: “It is very important to note
that Michael Hall was placed in special education due to having
been classified as having a learning disability-not mental
retardation .... [M]y review of this case does not clearly
indicate that Michael Hall is mentally retarded.” Yet he concluded
elsewhere that “[i]t is obvious that the issue of the diagnosis of
mild mental retardation is controversial and determining whether
or not someone receives that diagnosis can literally turn on a
word or a number.”FN17
Dr. Denkowski's affidavit explained that he did
not interview Hall because a meeting in a high security prison
would “not provide reliable information for gauging [Hall's]
functional status.” He contested Dr. Price's IQ data, indicating
that “Dr. Price ... misrepresented Mr. Hall's SSSQ [adaptive
behavior] data through tacit implication that they were contrasted
with those of typical adults,” whereas in reality the test derives
“adult norms” from “two secondary school prevocational programs in
Indiana and Texas.” Dr. Denkowski concluded that “how Dr. Price
presents SSSQ data is unacceptable for any diagnostic purpose,
even outside the courtroom” and that Dr. Price's other adaptive
skills test, the K-FAR, showed that Hall's math skills were “less
competent than those of 99% of typical same-aged persons” and that
his reading skills were “less proficient than 95% of people of his
age.” Dr. Denkowski also examined relevant authorities that
determine mental retardation under Atkins in Texas, concluding
that the relevant numbers required for a finding of mental
retardation of a defendant in Texas are a “WAIS-III full scale IQ”
below 75,FN18 “significant adaptive behavior deficits must exist
in three skills areas and the measurement error adjusted standard
score for the overall instrument must be below 71,” and “[t]hese
impairments must have originated prior to the 18-22 age range.”
Further, he found that “[s]ince Mr. Hall's IQ and adaptive
behavior quality plainly fall within the area that the DSM-IV and
Texas law consider to define mental retardation, it seems
reasonable to express confidence in his diagnosis of mental
retardation.” Hall's adaptive behavior tests indicated that his
behavior was “of the quality of higher-level mentally retarded
adults.” Dr. Denkowski also emphasized that Texas's definition of
mental retardation recognized only a WAIS test for IQ
determination, since only that test “yield [s] a ‘full scale
intelligence quotient’ ” and that the TONI test (which had been
discussed at trial) does not yield an actual IQ or assess general
intellectual function, thus making it useless for diagnosing
mental retardation in Texas. Most significantly, Denkowski's
affidavit, upon which the trial court relied in finding that Hall
was not mentally retarded, indicated incorrectly that Dr. Church's
examination of Hall produced an IQ score of 72; the score was in
fact a 67. Dr. Denkowski's affidavit, in addition to commenting on
other experts' evaluations of Hall, discussed the weaknesses of
the state's lay witness affidavits as well as some of the state's
claims regarding mental retardation.
FN18. This is, of course, not the Atkins
standard that Briseno later established. There were gaps and
inconsistencies throughout the record; we mention only a small
sample here. The state posited in its reply to Hall's state habeas
petition that Hall, while in prison, wrote a note that said, “You
have to get me out of here because there's no call button. The
sink is stopped up. Also there are roaches and a small ass bed. My
feet go all the way to the wall because I'm six feet four.” The
document actually reads, as Hall's attorneys point out in their
briefing: “you half to get out of here because there is No call
button, the senk is stopd up also rauch's and small ass bed by
feet go all the way to the wall because I am 6f4”.” This cleaning
up of a statement lies buried in the paper records but would have
been brought to light by any trial lawyer given the opportunity to
cross examine the opposing party. Mr. Harris, one of Hall's trial
attorneys, indicated in an affidavit that Hall's defense team had
chosen not to reveal the victim's IQ score, since she was clearly
an innocent victim. However, the state at trial had focused
strongly on how Amy was mentally impaired and was clearly more
mentally impaired than Hall.FN19 In fact, as Mr. Harris's
affidavit reveals, her IQ of approximately 83 (the exact number
remains unclear, as it was only put forth on paper) was
meaningfully higher than Hall's.
FN19. The state asked a fellow grocery store
worker if Amy had the “same capabilities” as Mr. Hall, in terms of
bagging groceries and carrying them to customers' cars and asked,
“So when you compare the two of them, who was slower?” and
“Mentally, what kinds of things did you see about her that were
slow?” The state asked the jury in its closing arguments, “[I]sn't
it interesting that the very quality, the very quality that made
Amy Robinson the perfect target, the very quality that enabled
this Defendant to deceive ... someone who truly was mentally
challenged, that very quality is now the quality he wants to cling
to .... That he chooses someone who was more mentally challenged
by everyone's account, by everyone's account, but himself ....”
Hall's affidavits from teachers alleged that he drooled in class,
that he had “extreme difficulty speaking complete sentences,” and
that he had trouble spelling his own name. An affidavit of a
mitigation specialist appointed to Hall's case indicated that Hall
did not understand the appeal or how the attorney would help him
with the appeal. He could only communicate basic information about
himself, such as his name and his mother's name, and that, during
the interview, “Hall would agree with or go along with whatever he
thought [the mitigation specialist] wanted him to say.” Finally,
he indicated that Hall mispronounced words or used them out of
context and appeared to use words that he did not understand “in
an attempt to mask or hide his disabilities.”
The state filed “affidavits” of prison staff,
all of which appeared to have been similar “fillable forms”
employed by a state investigator. The affidavits alleged that Hall
appeared “normal” to the guards and that he could follow
instructions. To demonstrate experience with mental illness, one
guard wrote that he “knew some kids in school with Down's syndrome,”
while another said that he had an uncle who was mentally retarded.
Dr. Denkowski pointed out that the observations of teachers and
prison guards, indicating that Hall was able to obey, follow
rules, and function and cope, were painted by the state as
indications of Hall's mental capacity but in fact simply affirm
that “Hall has long demonstrated the capacity to learn and abide
by institutional rules and expectations,” as many mildly mentally
retarded persons are capable of doing.
Additional papers presented by affidavit
included Hall's medical records (showing various incidents such as
a fall on the sidewalk resulting in an abrasion to his mouth and
cuts that resulted from glass falling on Hall), grade reports and
special education/disability documents from school, prison medical
and other records, the results of a psychiatric examination to
determine Hall's competency to stand trial (indicating that Mr.
Hall “presented his charge very well” but that “[h]e could perform
only two of the four basic elementary mathematical functions”),
and psychology texts, such as the American Association on Mental
Retardation's book entitled, Mental Retardation: Definition,
Classification, and Systems of Supports.
The CCA relied entirely upon these affidavits
and the original trial court record in reviewing Hall's habeas
claim of mental retardation,FN20 which was now controlled by the
decision of the Supreme Court in Atkins. The CCA adopted the trial
court's paper findings in full-at least one of which was based on
an erroneous conclusion of lawFN21-on February 26, 2003, and
denied Hall's habeas application.FN22 The CCA then rejected the
mental retardation claim a second time on the Supreme Court remand
of Hall's direct appeal caseFN23 but once again it simply adopted
the trial court's findings based on the paper record and relied
solely on its habeas findings and portions of its original case
affirming Hall's conviction, as well as a “re-review[ ]” of the
record evidence, to conclude that Hall was not mentally
retarded.FN24 The court considered no new evidence in these trials
and ordered no hearing on the Atkins issue. It justified its
actions by arguing that the process was sufficient:
FN20. See Hall v. Texas, 160 S.W.3d 24, 27-28 (Tex.Crim.App.2004)
(“On August 5, 2002, in the habeas action, the trial court
designated the issue of whether appellant was mentally retarded as
a previously unresolved fact issue and ordered a hearing by way of
affidavit ... after reviewing the trial record and the affidavits
submitted by the parties, and relying upon personal recollection
of the events occurring at trial, the habeas trial court adopted
the State's proposed findings of facts and conclusions of law,
concluding that appellant is not, in fact, mentally retarded ...
we denied relief in the habeas application in an order adopting
the trial court's findings.”). FN21. The state findings, which the
trial court adopted, had held that Dr. Church's submission should
be disregarded, since Dr. Church was licensed in Oklahoma and not
Texas. This finding erroneously confused the licensing
requirements for persons testifying about mental retardation in
civil commitment hearings with those of experts testifying on
mental retardation. The only time that any judge of this court has
implied that a Texas license may be required for an expert to
testify on an Atkins claim was in dissent, which relied on the
Texas Health and Safety Code's definition of mental retardation
based on a Texas licensed physician's or psychologist's
determination of mental retardation-a code which is meant to
protect persons in civil commitment hearings. See Hearn v. Dretke,
376 F.3d 447, 468 (5th Cir.2004) (Smith, J., dissenting). FN22. Ex
parte Hall, No. 53,668-01, slip. op. at 1-2 (Tex.Crim.App.2003).
FN23. Hall v. Texas, 537 U.S. 802, 123 S.Ct. 70, 154 L.Ed.2d 4
(2002). FN24. Hall v. State, 160 S.W.3d 24, 39-40 (Tex.Crim.App.2004).
[T]he trial court and this Court did have the
benefit of Atkins during the habeas proceedings. The parties had
ample opportunity to present evidence at that time on the specific
issue of mental retardation. And we can consider the habeas
proceedings and evidence in the current posture of this appeal ...
we are faced in a direct appeal with an issue that has already
been presented to us on habeas corpus. Consequently, we address
appellant's mental retardation in light of both the direct appeal
and the habeas records ... we believe that taking judicial notice
of the habeas proceeding and its outcome satisfies the Supreme
Court's remand order in the present case.FN25
FN25. 160 S.W.3d at 37-38. The statement that
the parties had “ample opportunity to present evidence at that
time” ignored the state trial court's rejection of Hall's request
for a hearing. The dissenting justices disagreed with the “unique”
precedent the court elected to follow to determine the Atkins
claims on remand of the direct appeal, emphasizing that “[n]o
trier of fact in this case has ever heard live testimony, subject
to testing on cross examination, on the specific issue of whether
appellant is mentally retarded.”FN26 The dissent concluded, “[W]e
will never know [whether Hall is mentally retarded] unless we
order [a] full hearing and have before us both the tested
testimony of persons who are knowledgeable in the mental-health
field and relevant lay testimony about his adaptive behavior.”FN27
In June of 2006, Hall filed a federal habeas
petition after the Supreme Court had denied his petition for
certiorari.FN28 He again specifically argued that the denial of a
full evidentiary hearing denied him due process rights, stating,
“Mr. Hall has a right under the Fifth, Sixth, Eighth, and
Fourteenth Amendments to a full and fair hearing in a court of law
on the issue of his mental retardation.” The federal district
court, like the state trial court and court of appeals, refused to
conduct an evidentiary hearing or to allow cross examination of
the state experts on the Atkins claims, denying the claims,
deferring to the state adjudication under AEDPA, and conducting
its own examination of the paper record.FN29 We granted a
certificate of appealability on the Atkins claim.
FN28. Hall v. Texas, 545 U.S. 1141, 125 S.Ct.
2962, 162 L.Ed.2d 891 (2005). FN29. Hall v. Quarterman, 443 F.Supp.2d
815 (N.D.Tex.2006).
II
Our decisions have accorded deference to state
adjudications of claims for habeas relief from state criminal
convictions under AEDPA even if made without a live hearing.FN30
Under AEDPA there is a presumption that the state court's findings
of fact are accurate “unless the petitioner can rebut the findings
of fact through clear and convincing evidence.”FN31 Following this
line of deference, in MayFN32 and similar cases both before and
after AEDPA, we have found that where the trial judge who presided
over the initial case later considers the habeas claim, we presume
that reliance upon the completed record is acceptable.FN33 This is
sensible in many cases, at least those in which the trial judge
experienced first-hand evidence directly relevant to the habeas
issue. Due process requires a hearing, not two. Despite the
deference that we give the adjudication of state courts under
AEDPA, this court has highlighted-post-AEDPA-that “ ‘[t]he
fundamental requirement of due process is the opportunity to be
heard “at a meaningful time and in a meaningful manner”.’ ”FN34
This said, allowing the original trial judge to proceed without an
evidentiary hearing or live cross examination finds trouble when a
central constitutional principle changes between the initial trial
court decision and that same court's decision of a habeas claim-acutely
so where the claim turns on sharply contested issues of fact and
witness credibility.
FN30. Valdez v. Cockrell, 274 F.3d 941, 950
(5th Cir.2001). FN31. Id. at 949. FN32. May v. Collins, 955 F.2d
299, 314 (5th Cir.1992). FN33. See, e.g., Clark v. Johnson, 202
F.3d 760, 766 (5th Cir.2000) (“[W]e have repeatedly found that a
paper hearing is sufficient to afford a petitioner full and fair
fearing on the factual issues underlying the petitioner's claims,
especially where, as here, the trial court and the state habeas
court were one in the same.”). FN34. Fahle v. Cornyn, 231 F.3d
193, 196 (5th Cir.2000) (quoting Mathews v. Eldridge, 424 U.S.
319, 333, 96 S.Ct. 893, 47 L.Ed.2d 18 (1976)). AEDPA provides,
An application for a writ of habeas corpus on
behalf of a person in custody pursuant to the judgment of a State
court shall not be granted with respect to any claim that was
adjudicated on the merits in State court proceedings unless the
adjudication of the claim- (1) resulted in a decision that was
contrary to, or involved an unreasonable application of, clearly
established Federal law, as determined by the Supreme Court of the
United States; or (2) resulted in a decision that was based on an
unreasonable determination of the facts in light of the evidence
presented in the State court proceeding. FN35. 28 U.S.C. §
2254(d).
The Supreme Court has explained that AEDPA does
not “require the federal courts, including this Court, to defer to
state judges' interpretations of federal law.”FN36 Rather, our
duty is to make an “ ‘independent evaluation’ ” of “whether or not
a rule is clearly established at the time a state court renders
its final judgment of conviction.”FN37 A state court decision is
contrary to clearly established federal law in two instances-first,
where it is “diametrically different, opposite in character or
nature, and mutually opposed to [the Supreme Court's] clearly
established precedent,” FN38 and second, where a “state court
confronts a set of facts that are materially indistinguishable
from a decision of [the Supreme Court] and nevertheless arrives at
a result different from our precedent.”FN39 Under AEDPA,
“state-court judgments must be upheld unless, after the closest
examination of the state-court judgment, a federal court is firmly
convinced that a federal constitutional right has been violated.”FN40
FN36. Williams v. Taylor, 529 U.S. 362, 377,
120 S.Ct. 1495, 146 L.Ed.2d 389 (2000). FN37. Id. at 382, 120 S.Ct.
1495 (quoting Wright v. West, 505 U.S. 277, 305, 112 S.Ct. 2482,
120 L.Ed.2d 225 (1992) (O'Connor, J., concurring in judgment)).
FN38. Id. at 406, 120 S.Ct. 1495 (quotations omitted). FN39. Id.
FN40. Id. at 388, 120 S.Ct. 1495.
We must decide whether the state court's
decision to deny Hall the right of confrontation and cross
examination in determining whether he was mentally retarded under
Atkins was contrary to federal law. Looking to federal law of due
process and the right of cross examination and confrontation as
announced by the Supreme Court, I am persuaded that the relevant
law is clear, and dictates the conclusion that the state court's
decisional process was contrary to this clearly-established law.
The life or death of a defendant, determined without hearing cross
examination to resolve disputed material facts, here violates the
core principles of due process and Hall's right of confrontation
as announced by the Court.
It is helpful to lift up the questions that
either are not presented or have otherwise been dispositively
decided. I accept here the state's refusal to grant a jury trial
on the issue of mental retardation. Hall asked for a jury trial,
but he also maintained that given the posture of the case, due
process assured him more than a submission “on the papers.” I also
give full force to the Supreme Court's holding in Atkins and in
Ford v. Wainwright leaving “to the State[s] the task of developing
appropriate ways to enforce the constitutional restriction upon [their]
execution of sentences,” FN41 while addressing the constitutional
minimum required of the state proceeding. The relevant question to
my eyes is the process required by federal law for the death
eligibility determination made here, and whether the state court's
process directly conflicts with this law.FN42
FN41. Atkins, 536 U.S. at 317, 122 S.Ct. 2242 (quoting
Ford v. Wainwright, 477 U.S. 399, 405, 416-17, 106 S.Ct. 2595, 91
L.Ed.2d 335 (1986)). FN42. See Williams, 529 U.S. at 382, 120 S.Ct.
1495 (holding that “rules of law may be sufficiently clear for
habeas purposes even when they are expressed in terms of a
generalized standard rather than as a bright-line rule .... ‘If
the rule in question is one which of necessity requires a
case-by-case examination of the evidence, then we can tolerate a
number of specific applications without saying that those
applications themselves create a new rule .... Where the beginning
point is a rule of this general application, a rule designed for
the specific purpose of evaluating a myriad of factual contexts,
it will be the infrequent case that yields a result so novel that
it forges a new rule, one not dictated by precedent.’ ” (quoting
Wright v. West, 505 U.S. 277, 308-09, 112 S.Ct. 2482, 120 L.Ed.2d
225 (1992) (Kennedy, J., concurring in judgment))). The inquiry
could begin and end with Ford, but it is helpful to ground this
case in its place within the larger stream of due process
precedent. Atkins holds that “the mentally retarded should be
categorically excluded from execution”FN43 and that “death is not
a suitable punishment for a mentally retarded criminal”;FN44 Ford
establishes a “bar against executing a prisoner who has lost his
sanity.”FN45 While the factors establishing insanity and mental
retardation differ and, under each case, are established by the
state,FN46 the result of the constitutional determinations
required by Ford and Atkins is identical: both determinations, if
established in the affirmative, render a defendant ineligible for
a death sentence.
FN43. 536 U.S. at 318, 122 S.Ct. 2242. FN44. Id.
at 321, 122 S.Ct. 2242. FN45. 477 U.S. at 406, 106 S.Ct. 2595.
FN46. The Florida standard for insanity in Ford, for example, was
whether “ ‘the convicted person has the mental capacity to
understand the nature of the death penalty and the reasons why it
was imposed on him.’ ” Id. at 412, 106 S.Ct. 2595 (quoting
Fla.Stat. § 922.07 (1985 and Supp.1986)). Ford was convicted of
murder and sentenced to death in Florida.FN47 Following trial and
sentencing, Ford began to exhibit strange behavior and eventually
became incomprehensible, speaking in a code known only to him. A
psychiatrist diagnosed him with paranoid schizophrenia.FN48 His
counsel requested that the state determine Ford's competency. The
Governor appointed a panel of three psychiatrists to determine
Ford's competency. Ford had one, thirty-minute meeting with the
psychiatrists who collectively questioned him. Each then wrote a
short report concluding that he had some form of psychosis but was
competent to understand the death penalty and its consequences.
Armed with these reports, the Governor decided that Ford was not
insane and signed Ford's death warrant.FN49 The state court denied
Ford's request for a hearing on his insanity. A district court, on
habeas review, denied Ford's petition for an evidentiary hearing
on insanity. FN50
FN47. 477 U.S. at 401, 106 S.Ct. 2595. FN48. Id.
at 402-03, 106 S.Ct. 2595. FN49. Id. at 403-04, 106 S.Ct. 2595.
FN50. Id. at 404, 106 S.Ct. 2595.
The Supreme Court found that since “the Eighth
Amendment has been recognized to affect significantly both the
procedural and the substantive aspects of the death penalty,” the
adequacy of the procedures for determining Ford's insanity rested
on whether or not the Constitution barred the execution of an
insane prisoner.FN51 In other words, a determination that the
Constitution substantively bars the execution of certain types of
people brings due process concerns to the forefront-with the
substantive guarantee came assured procedures.FN52 Having
determined that the Eighth Amendment was a constitutional bar to
the execution of insane prisoners, the court turned to “whether
the [court] was under an obligation to hold an evidentiary hearing
on the question of Ford's sanity.”FN53 The plurality held,
FN51. Id. at 405, 106 S.Ct. 2595 (emphasis
added) (“The adequacy of the procedures chosen by a State to
determine sanity ... will depend upon an issue that this Court has
never addressed: whether the Constitution places a substantive
restriction on the State's power to take the life of an insane
prisoner.”). FN52. See id. at 410, 106 S.Ct. 2595 (plurality
opinion) (“Once a substantive right or restriction is recognized
in the Constitution, therefore, its enforcement is in no way
confined to the rudimentary process deemed adequate in ages past.”).
FN53. The Ford Court asked whether the “District Court” was
required to hold an evidentiary hearing. Id. (plurality opinion).
Guided by AEDPA, we look to the state court's failure to hold such
a hearing. The adequacy of a state-court procedure ... is largely
a function of the circumstances and the interests at stake. In
capital proceedings generally, this Court has demanded that
factfinding procedures aspire to a heightened standard of
reliability. This especial concern is a natural consequence of the
knowledge that execution is the most irremediable and unfathomable
of penalties; that death is different.
Although the condemned prisoner does not enjoy
the same presumptions accorded a defendant who has yet to be
convicted or sentenced, he has not lost the protection of the
Constitution altogether; if the Constitution renders the fact or
timing of his execution contingent upon establishment of a further
fact, then that fact must be determined with the high regard for
truth that befits a decision affecting the life or death of a
human being. Thus, the ascertainment of a prisoner's sanity as a
predicate to lawful execution calls for no less stringent
standards than those demanded in any other aspect of a capital
proceeding. Indeed, a particularly acute need for guarding against
error inheres in a determination that in the present state of the
mental sciences is at best a hazardous guess however
conscientious.FN54
FN54. Id. at 411-12, 106 S.Ct. 2595 (plurality
opinion) (quotations and citations omitted, emphasis added).
Justice Powell, concurring in Ford in the narrowest opinion,FN55
rejected the need for a full “sanity trial” but required
procedural protections and a “fair hearing,” holding that FN55.
Panetti v. Quarterman, 551 U.S. 930, 127 S.Ct. 2842, 2856, 168
L.Ed.2d 662 (2007) (“Justice Powell's concurrence, which also
addressed the question of procedure, offered a more limited
holding. When there is no majority opinion, the narrower holding
controls. Under this rule Justice Powell's opinion constitutes
‘clearly established’ law for purposes of § 2254 and sets the
minimum procedures a State must provide to a prisoner raising a
Ford-based competency claim.” (citations omitted)). At least in
the context of competency determinations prior to execution, the [due
process] standard is no different from the protection afforded by
procedural due process. It is clear that an insane defendant's
Eighth Amendment interest in forestalling his execution unless or
until he recovers his sanity cannot be deprived without a “fair
hearing.” Indeed, fundamental fairness is the hallmark of the
procedural protections afforded by the Due Process Clause.FN56
FN56. Ford, 477 U.S. at 424, 106 S.Ct. 2595 (Powell,
J., concurring). I am persuaded that the state court acted
contrary to this clearly-established Supreme Court precedent. Like
Ford, Hall challenged the adequacy of the process afforded to
determine the crucial fact underlying a substantive constitutional
right, the right against cruel and unusual punishment. Just as the
state and district courts denied Ford an evidentiary hearing when
he requested one, both the state court and the district court
denied Hall a meaningful hearing. Neither Ford nor Hall received a
determination of insanity or mental retardation at trial-in Ford,
this was denied because insanity is a pre-trial question, or a
post-trial question for condemned prisoners; here, because mental
retardation at the time of his trial was solely a mitigating
factor and yet to be defined by the constitutional strictures of
Atkins. Both Ford and Hall were denied the minimal due process
afforded for the determination of a substantive constitutional
right, process with a “high regard for truth that befits a
decision affecting the life or death of a human being.”FN57
Instead, they were afforded only a minimal process void of any
guarantees afforded by an adversarial hearing, such as confronting
and cross examining witnesses to question their credibility. Ford
lacked even the guarantees of the judicial system and received
only a “cursory form of procedural review” in an executive forum.
Hall had the benefit of a judicial system but received the same
administrative-style review.
FN57. Id. at 411, 106 S.Ct. 2595 (plurality
opinion). Cases defining due process, while not treating
eligibility, bear on the clarity of Supreme Court precedent.
Sentencing decisions on the elements of an offense and aggravating
factors of course affect whether a death sentence is “appropriate,”
but they do not reach the determinative question of whether the
defendant is eligible for the death penalty. While sentencing
decisions with respect to the underlying offense and accompanying
factors involve a range of gradation and substantial discretion,
the question of eligibility as determined by mental retardation or
insanity is not a sentencing “factor.” As the Court determined in
Atkins and Ford, the determination of eligibility is itself a
substantive, constitutional guarantee governed by higher standards.
The Ford Court alluded to this distinction between elements of
death penalty offenses and sentencing factors on the one hand, and
the determination of death eligibility based on a defendant's
mental abilities on the other, holding that heightened
constitutional protections apply to the determination of insanity
where the “ultimate decision will turn on the finding of a single
fact, not on a range of equitable considerations.”FN58
FN58. Id. at 412, 106 S.Ct. 2595 (plurality
opinion) (emphasis added). In Enmund v. Florida, the Court held
that under the Eighth Amendment, a defendant could not be
sentenced to death for aiding and abetting a felony murder if
there was no determination that the defendant himself killed or
attempted to kill the victim.FN59 The circuits differed over the
constitutionally secured process for making this determination.
The Fifth Circuit held that the guilt-innocence or sentencing
phase of the trial must establish whether a defendant participated
in murder or attempted murder, and the Eleventh Circuit held that
a judge could make the finding.FN60 The Court in Cabana v. Bullock
resolved the split, agreeing with the Eleventh Circuit and holding
that “the Eighth Amendment is satisfied so long as the death
penalty is not imposed upon a person ineligible under Enmund for
such punishment .... The Eighth Amendment is not violated ...
regardless of who makes the determination of the requisite
culpability.”FN61 Cabana addressed only whether a jury trial was
necessary for a finding of an element of a death-eligible offense
and did not address the level of factfinding necessary for due
process, holding,
FN59. 458 U.S. 782, 798, 102 S.Ct. 3368, 73
L.Ed.2d 1140 (1982). FN60. Cabana v. Bullock, 474 U.S. 376, 382,
382 n. 1, 106 S.Ct. 689, 88 L.Ed.2d 704. (1986). FN61. Id. at 386,
106 S.Ct. 689. [T]he question whether the defendant killed,
attempted to kill, or intended to kill might in a given case turn
on credibility determinations that could not be accurately made by
an appellate court on the basis of a paper record .... We shall
not now attempt to determine what factfinding procedures would be
adequate in the particular case before us, for, as we shall see,
the state courts have not yet purported to engage in the requisite
factfinding, and we decline to decide the hypothetical question of
the adequacy of that which has not yet occurred.FN62 FN62. Id. at
388 n. 5, 106 S.Ct. 689 (internal citations omitted). ...
The State argues that the Mississippi Supreme
Court itself made a finding sufficient to satisfy Enmund in the
course of its direct review of [defendant's] conviction and
sentence. ... We are very doubtful, however, that these
assessments of the record were sufficient in themselves to
constitute a finding that Bullock killed, attempted to kill, or
intended to kill Dickson. The Mississippi Supreme Court obviously
was not addressing the specific requirements set forth in Enmund,
for that case had not yet been decided. FN63. Id. at 389, 106 S.Ct.
689.
Cabana's core holding that an element of a
death-eligible offense may be determined by a judge has since been
eroded. Walton v. Arizona relied on Cabana and similar cases in
holding that a jury need not determine the “aggravating
circumstances ‘elements' of ... [a death-eligible] offense.” FN64
The Court in Ring v. Arizona compared Walton's holding to Apprendi
v. New Jersey, which held that a sentencing judge's determination
that a crime had been committed because of racial animus-a
determination that triggered the application of the Hate Crimes
Statute-violated the requirement that “a jury determin[e] that [defendant]
is guilty of every element of the crime with which he is charged,
beyond a reasonable doubt.”FN65 Ring found the two cases
irreconcilable and “overrule[d] Walton to the extent that it
allows a sentencing judge, sitting without a jury, to find an
aggravating circumstance necessary for imposition of the death
penalty.”FN66 The primary distinction between Cabana and Walton
was that Cabana permitted a judge to determine a requisite element
of a capital offense, whereas Walton found the same for the
determination of an aggravating circumstance leading to a capital
offense determination. Little remains of Cabana after Ring.
In Williams v. New York, the Court upheld
judicial discretion to impose a death sentence where a jury found
first-degree murder but recommended a life sentence.FN67 The Court
denied the invitation to “draw a constitutional distinction as to
the procedure for obtaining information where the death sentence
is imposed.”FN68 Much has changed since 1949. The Court in Woodson
v. North Carolina, striking down North Carolina's mandatory death
penalty statute, held, FN67. 337 U.S. 241, 243-44, 69 S.Ct. 1079,
93 L.Ed. 1337 (1949). FN68. Id. at 251, 69 S.Ct. 1079. the penalty
of death is qualitatively different from a sentence of
imprisonment, however long. Death, in its finality, differs more
from life imprisonment than a 100-year prison term differs from
one of only a year or two. Because of that qualitative difference,
there is a corresponding difference in the need for reliability in
the determination that death is the appropriate punishment in a
specific case.FN69 FN69. 428 U.S. 280, 305, 96 S.Ct. 2978, 49 L.Ed.2d
944 (1976).
The court also held, [W]e believe that in
capital cases the fundamental respect for humanity underlying the
Eighth Amendment ... requires consideration of the character and
record of the individual offender and the circumstances of the
particular offense as a constitutionally indispensable part of the
process of inflicting the penalty of death.FN70 FN70. Id. at 304,
96 S.Ct. 2978 . Regardless of what remains of Cabana, Walton, and
Williams after Ring's holding, Apprendi, Woodson, Cabana, and
Walton all addressed the question of whether a jury must determine
a necessary element or aggravating circumstance of a capital
offense, a question that I do not here ask or answer.
This brings me to other cases that do not speak
to the due process afforded a determination of mental retardation
or insanity but set heightened due process requirements for
similar determinations. In Specht v. Patterson the Supreme Court
held that a defendant who was convicted under the Sex Offenders
Act but not sentenced under the Act could not be sentenced without
a hearing or the “right of confrontation and so on.”FN71 That Act
allowed a district court to order punishment for “one day to life,”
including life imprisonment, if the defendant had been convicted
of a sex offense, if the court received a written report arising
from a full psychiatric examination of the patient, and if the
court determined that the defendant “constitutes a threat of
bodily harm to members of the public, or is an habitual offender
and mentally ill.” FN72 The court that sentenced Specht did not
afford him a hearing, and the Court held that this violated due
process, stating, FN71. 386 U.S. 605, 608, 87 S.Ct. 1209, 18 L.Ed.2d
326 (1967). FN72. Id. at 607, 87 S.Ct. 1209 (quoting Colo.Rev.Stat.
Ann. §§ 39-19-1 to 2 (1963)). [The Act] makes one conviction the
basis for commencing another proceeding under another Act to
determine whether a person constitutes a threat of bodily harm to
the public, or is an habitual offender and mentally ill. That is a
new finding of fact that was not an ingredient of the offense
charged. FN73. Id. at 608, 87 S.Ct. 1209 (citations omitted).
Similarly, Atkins came after Hall's trial, and demanded a new
finding of fact. Of course, Almendarez-Torres v. United StatesFN74
and McMillan v. PennsylvaniaFN75 have, since Specht, held that
certain sentencing factors are not to be treated as elements of an
offense and thus do not require a jury determination; and that “a
sentencing factor that comes into play only after the defendant
has been found guilty ... of [a] crime [ ] beyond a reasonable
doubt”FN76 does not prevent a state court from “pursuing its
chosen course in the area of defining crimes and prescribing
penalties.”FN77 But those cases both recognized that the
“defendant in Specht was ‘confronted with a radically different
situation from the usual sentencing proceeding.’ ”FN78 In McMillan,
for example, a judge could increase a defendant's sentence if the
judge found visible possession of a firearm. The Court held, “The
finding of visible possession of a firearm of course ‘ups the
ante’ for a defendant ... but it does so only in the way that we
have previously mentioned, by raising the minimum sentence that
may be imposed by the trial court.”FN79 Similarly, in Almendarez-Torres,
where a penalty provision authorized an enhanced sentence for a
recidivist, the sentence was “up to, but no more than, 20 years.”FN80
Neither of these cases rise to the level of life imprisonment, as
in Specht, or to the potential for a life sentence. Nor do they
undermine Specht's holding, as they expressly distinguish their
facts as “radically different” from Specht' s.
FN74. 523 U.S. 224, 118 S.Ct. 1219, 140 L.Ed.2d
350 (1998). FN75. 477 U.S. 79, 106 S.Ct. 2411, 91 L.Ed.2d 67
(1986). FN76. Id. at 86, 106 S.Ct. 2411. FN77. Id. FN78.
Almendarez-Torres, 523 U.S. at 241-42, 118 S.Ct. 1219 (quoting
McMillan, 477 U.S. at 89, 106 S.Ct. 2411). FN79. 477 U.S. at 89,
106 S.Ct. 2411. FN80. 523 U.S. at 226, 118 S.Ct. 1219.
Other Supreme Court cases, like Specht, require
an evidentiary hearing or similarly strict due process safeguards
for findings far less weighty than mental retardation. Kennedy v.
Mendoza-Martinez requires a full trial to “strip an American of
his citizenship.”FN81 Mendoza-Martinez was convicted of draft
evasion prior to the deportation proceedings that deprived him of
citizenship.FN82 This did not change the Court's due process
conclusions. Mendoza-Martinez was “never tried for any crime the
elements of which are identical with or totally inclusory of those”
that led to his loss of citizenship,FN83 just as Hall never had
the chance to address the question of mental retardation-the very
question determining his life or death-in a live hearing. In Oyler
v. Boles, the Court held that “[e]ven though an habitual criminal
charge [under a recidivist sentencing statute] does not state a
separate offense, the determination of whether one is an habitual
criminal is ‘essentially independent’ of the determination of
guilt on the underlying substantive offense.”FN84 Thus, “a
defendant must receive reasonable notice and an opportunity to be
heard relative to the recidivist charge.”FN85 As in Oyler, the
determination of mental retardation in Hall is not a separate
offense; it is a separate fact, and it determines whether or not
Hall is a certain type of criminal-in Hall's case, a death-eligible
criminal.
FN81. 372 U.S. 144, 166, 83 S.Ct. 554, 9 L.Ed.2d
644 (1963). FN82. Id. at 167 n. 21, 83 S.Ct. 554. FN83. Id. FN84.
368 U.S. 448, 452, 82 S.Ct. 501, 7 L.Ed.2d 446 (1962). FN85. Id. (emphasis
added).
When Atkins prohibited the execution of
mentally retarded defendants, it did not add an element to a death-eligible
offense or change a sentencing factor that could increase a
defendant's punishment from imprisonment to death. It established
a core and freestanding constitutional principle, that determined
whether a defendant would face life or death. A determination of
mental retardation under Atkins implicates the due process
principles established by Ford. “ ‘If there is one “fundamental
requisite” of due process, it is that an individual is entitled to
an “opportunity to be heard”.’ ”FN86 The question before that
Court was whether a lower court-in that case the district court-“was
under an obligation to hold an evidentiary hearing on the question”FN87
that determined Ford's life or death, and it concluded that it was.
I find no dearth of clarity in these basic principles of due
process.
FN86. 477 U.S. at 424, 106 S.Ct. 2595 (Powell,
J., concurring) (quoting O'Connor, J., concurring in the result in
part and dissenting in part). FN87. Id. at 410, 106 S.Ct. 2595 (plurality
opinion).
III
In applying the Supreme Court's due process
precedent in Ford and subsequent cases to the process here, it
bears explaining that the CCA was not itself willing to decide the
factual question of retardation on the trial record alone-that is,
it conceded that it needed the written, and, I note, untested,
statements “supplementing” the trial record.
Just as we must give deference to a lower court
when it has appropriately addressed a habeas issue, the Court left
to the states “the task of developing appropriate ways to enforce
the constitutional restriction” in sentencing. FN88 Under
Briseno,FN89 decided after the CCA concluded that Hall was not
retarded, Texas elected to follow the American Association on
Mental Retardation definition, which requires: “(1) significantly
subaverage general intellectual functioning [‘defined as an IQ of
about 70 or below’ FN90]; (2) accompanied by related limitations
in adaptive functioning; (3) the onset of which occurs prior to
the age of 18.”FN91 The process for determination of these three
elements must of course meet constitutional standards. Evidence of
mental retardation presented outside this framework as a
mitigating factor of a capital sentence at trial, viewed
retrospectively without a hearing, was contrary to the minimum due
process required by federal law to determine Hall's mental
capacity under Atkins, as Texas has defined it.
FN88. Atkins, 536 U.S. at 317, 122 S.Ct. 2242.
FN89. Ex parte Briseno, 135 S.W.3d 1, 7 (Tex.Crim.App.2004). FN90.
Id. at 7 n. 24. FN91. Id. at 7 (internal quotations and citations
omitted).
It bears accenting that Hall's claim was
decided on the fly,FN92 and was decided before Briseno and
subsequent cases that consistently allowed defendants to present
live Atkins evidence at various stages of trial. The difference in
process deployed in Hall as compared to Briseno and later Atkins
cases says a great deal: Texas courts quickly found their footing
post- Atkins, proceeding in a strikingly different way than they
had with Hall's claim of retardation. Briseno was also convicted
before Atkins but, unlike Hall, received a five-day evidentiary
hearing on his post- Atkins habeas claim of mental
retardation.FN93 Similarly, in Morris, we remanded a defendant's
federal habeas claim to the district court for an evidentiary
hearing to address his Atkins claim.FN94 In Briseno, when Texas
set forth the Atkins test, the CCA's language implied that an oral
evidentiary hearing was necessary for a determination of mental
retardation, finding that factors “which factfinders in the
criminal trial context might ... focus upon in weighing evidence
as indicative of mental retardation” included evidence such as
whether the defendant responds “coherently, rationally, and on
point to oral or written questions or do his responses wander from
subject to subject” and whether “those who knew the person best
during the developmental stage-his family, friends, teachers,
employers, authorities-think he was mentally retarded at that
time, and, if so, act in accordance with that determination.”FN95
Although these evidentiary standards could be ascertained to a
limited degree on paper, the factfinder's burden of making the
final determination “based upon all of the evidence and
determinations of credibility”FN96 cannot be met by a judge's
credibility assessment of conflicting affidavits. And in the
Atkins case itself, the Virginia court on remand, considering
“what type of proceeding is necessary and consistent with the
Supreme Court's opinion”FN97 and the fact that “the question of
Atkins' mental retardation has never been answered,” FN98
determined that the case should be sent to the county court “for a
hearing on the sole issue of whether Atkins is mentally retarded”
FN99 as defined by the Virginia Code. Further, the court
explicitly found that in a trial where the jury was “required to
consider evidence of mental retardation in mitigation of capital
murder but ... not required to make a definitive determination
whether [defendant] suffers from mental retardation,” the issue of
mental retardation has not been fully addressed. FN100
FN92. The Supreme Court had not ruled on Hall's
direct appeal when the parties submitted their habeas affidavits
on mental retardation in the state trial court. FN93. Briseno, 135
S.W.3d at 4. FN94. Morris v. Dretke, 413 F.3d 484, 499 (5th
Cir.2005). FN95. Briseno, 135 S.W.3d at 8 (emphasis added). FN96.
Id. at 9. FN97. Atkins v. Commonwealth, 266 Va. 73, 79, 581 S.E.2d
514 (2003). FN98. Id. FN99. Id. (emphasis added). FN100. Id. at
77, 581 S.E.2d 514.
Atkins both clarified the definition of mental
retardation and moved it from a mitigating circumstance to a
complete bar to execution after a hearing. And while that may not
require another hearing where “[t]he question whether [defendant]
is mentally retarded” was “highly contested” at trial,FN101
suggesting both that the defendant had ample opportunity for
confrontation and cross examination, it is not this case. Here,
mental retardation was solely a mitigating factor at trial, and
the trial did not afford adequate process for reaching mental
retardation, a technical, three-part test in Texas. In Louisiana,
the courts have recognized their inability to rely upon mental
retardation evidence presented for mitigation as evidence of
Atkins mental retardation, stating: “ Atkins changed what would be
considered relevant. Prior to the trial, mental retardation was
merely a factor in mitigation. Post Atkins, mental retardation is
a complete prohibition against imposition of the death penalty
....”FN102
FN101. United States v. Webster, 421 F.3d 308,
314 (5th Cir.2005). FN102. State v. Williams, 831 So.2d 835,
856-57 (La.2002). The reality is that determining mental
retardation in general and certainly under Atkins engages
assessments of testifying witnesses as well as relevant records.
As the CCA stated in Briseno when establishing the Atkins mental
retardation standard for Texas: [A]lthough experts may offer
insightful opinions on the question of whether a particular person
meets the psychological diagnostic criteria for mental retardation,
the ultimate issue of whether this person is, in fact, mentally
retarded for purposes of the Eighth Amendment ban on excessive
punishment is one for the finder of fact, based upon all of the
evidence and determinations of credibility.FN103
FN103. Briseno, 135 S.W.3d at 9 (emphasis added).
There is nothing new here. The Supreme Court has consistently held
that evidentiary hearings are essential for determinations of
credibility. FN104 The Advisory Committee to the Standing
Committee on Federal Rules has agreed, stating: “When the issue is
one of credibility, resolution on the basis of affidavits can
rarely be conclusive, but that is not to say that they may not be
helpful.”FN105 Indeed, affidavits can be helpful, but the
credibility of the writer of an affidavit can be fairly tested
only in a hearing.
FN104. See, e.g., United States v. Nixon, 881
F.2d 1305, 1310 (5th Cir.1989) (“If the district court's factual
findings rest upon credibility determinations after an evidentiary
hearing, this court will not substitute its reading of the
evidence for that of the district court.”). See also Richardson v.
Wright, 405 U.S. 208, 219, 92 S.Ct. 788, 31 L.Ed.2d 151 (1972) (Brennan,
J., dissenting) (citing Goldberg v. Kelly, 397 U.S. 254, 90 S.Ct.
1011, 25 L.Ed.2d 287 (1970)) (the right to cross examination rests
largely on “credibility and veracity,” i.e., where “facts are at
issue”). FN105. Advisory Committee note to Rule 7, Rules Governing
Habeas Corpus Cases (quoting Raines v. United States, 423 F.2d
526, 530 (4th Cir.1970)).
Reciting the rote that oral hearings test
credibility is an anemic and inadequate statement of their force.
It is the hearing in open court which offers the opportunity to
expose the very core of the evidence, its accuracy, and its weight.
Our faith in live hearings is a judgment made at least two
centuries ago, reaffirmed for so long as to become a central part
of this country's democratic tradition and of a piece with its
sense of fairness, and its defining of the relationship of citizen
and state. The examples are many. I pause only to remind of a few.
The Supreme Court's extensive examination of the role of
magistrate judges in holding fact-finding hearings, which the
trial judge then accepts on paper, demonstrates well the limits of
the paper record. In holding that a magistrate under the Federal
Magistrate Act cannot preside over jury voir dire, and reserving
that function for a trial judge, the Supreme Court in Gomez spoke
to the importance of the judicial function and the trial judge's
responsibility, which rises far above simple document review: Like
motions to suppress evidence, petitions for writs of habeas
corpus, and other dispositive matters entailing evidentiary
hearings, jury selection requires the adjudicator to observe
witnesses, make credibility determinations, and weigh
contradictory evidence. Clearly it is more difficult to review the
correctness of a magistrate's decisions on these matters than on
pretrial matters, such as discovery motions, decided solely by
reference to documents.FN106
FN106. Gomez v. United States, 490 U.S. 858,
874 n. 27, 109 S.Ct. 2237, 104 L.Ed.2d 923 (1989) (emphasis added,
internal citation omitted). As the Gomez Court further explained,
the nature of voir dire requires the court to “scrutinize not only
spoken words but also gestures and attitudes of all participants
... But only words can be preserved for review; no transcript can
recapture the atmosphere of the voir dire, which may persist
throughout the trial.”FN107 Peretz's holding after Gomez-allowing
a magistrate to preside over voir dire when the defendant waives
his right to voir dire in the trial court-does not diminish
Gomez's findings. When the Court upheld this waiver for felony
trials, it emphasized that “the duties that a magistrate may
perform over the parties' objections are generally subsidiary
matters not comparable to supervision of jury selection. However,
with the parties' consent, a district judge may delegate to a
magistrate supervision of entire civil and misdemeanor trials.”FN108
The Court in Raddatz, in examining the ability of the magistrate
to conduct a hearing on suppression of evidence, discussed this
country's deep-rooted belief in the value of live trials:
FN107. Id. at 874-75, 109 S.Ct. 2237 (emphasis
added). FN108. Peretz v. United States, 501 U.S. 923, 933, 111
S.Ct. 2661, 115 L.Ed.2d 808 (1991) (emphasis added).
More than 100 years ago, Lord Coleridge stated
the view of the Privy Council that a retrial should not be
conducted by reading the notes of the witnesses' prior testimony:
“The most careful note must often fail to convey the evidence
fully in some of its most important elements .... It cannot give
the look or manner of the witness: his hesitation, his doubts, his
variations of language, his confidence or precipitancy, his
calmness or consideration; ... the dead body of the evidence,
without its spirit; which is supplied, when given openly and
orally, by the ear and eye of those who receive it.”FN109
FN109. United States v. Raddatz, 447 U.S. 667,
679, 100 S.Ct. 2406, 65 L.Ed.2d 424 (1980) (quoting Queen v.
Bertrand, 4 Moo. P.C.N.S. 460, 481, 16 Eng. Rep. 391, 399 (1867)).
And as English scholars have aptly commented, “an artful or
careless scribe may make a witness speak what he never meant, by
dressing up the depositions in his own form at language; but the
witness is here at liberty to correct and explain his meaning, if
misunderstood, which he can never do after a written deposition is
once taken.”FN110 There are markers of the need for live hearings
along the way of this country's entire history. In discussing the
importance of jury voir dire and deference to a trial court's
findings on challenges to members of a venire during voir dire,
the Supreme Court one hundred twenty-eight years ago highlighted
the types of findings that cannot be simply drawn from written
evidence:
FN110. Henry John Stephen and James Stephen,
New Commentaries on the Laws of England (partly founded on
Blackstone) (1863). The reading of the evidence leaves the
impression that the juror had some hypothetical opinion about the
case, but it falls far short of raising a manifest presumption of
partiality. In considering such questions in a reviewing court, we
ought not to be unmindful of the fact we have so often observed in
our experience, that jurors not unfrequently seek to excuse
themselves on the ground of having formed an opinion, when, on
examination, it turns out that no real disqualification exists. In
such cases the manner of the juror while testifying is oftentimes
more indicative of the real character of his opinion than his
words. That is seen below, but cannot always be spread upon the
record.FN111
FN111. Reynolds v. United States, 98 U.S. 145,
156-57, 25 L.Ed. 244 (1878). More recently, the Court has focused
on the importance of deference to the findings of a trial judge,
since the parties at trial are “forced to concentrate their
energies and resources on persuading the trial judge that their
account of the facts is the correct one,” and “only the trial
judge can be aware of the variations in demeanor and tone of voice
that bear so heavily on the listener's understanding and belief in
what is said.”FN112 Justice Powell in Ford discussed how the
“competency determination depends substantially on expert analysis
in a discipline fraught with subtleties and nuances.”FN113 And
although Justice Powell's opinion did not conclude that this
determination required a full trial, just as I do not maintain
that a formal trial would be necessary for an Atkins determination,
he recognized the basic need for the parties to introduce
arguments before an impartial decisionmaker.FN114
FN112. Anderson v. Bessemer City, 470 U.S. 564,
575, 105 S.Ct. 1504, 84 L.Ed.2d 518 (1985). FN113. Ford, 477 U.S.
at 426, 106 S.Ct. 2595 (Powell, J., concurring) (quoting Addington
v. Texas, 441 U.S. 418, 430, 99 S.Ct. 1804, 60 L.Ed.2d 323
(1979)). FN114. Id. (Powell, J., concurring). Courts' emphasis,
both historical and modern, on the need for a trial judge or an
impartial decisionmaker to hear the most important issues in a
case speaks directly to the necessity of a hearing to determine
mental retardation under Atkins, a hearing that tolerates
confrontation and cross examination. Without such a hearing, the
judge lacks the most essential aspects of a mental retardation
determination-observation of the witnesses, with the credibility
of experts' motivations and the confidence of the affiants exposed
to cross examination in an open courtroom.
IV
Blind deference to the state's decision in this
case would deprive Hall of his most basic due process rights. The
trial court's examination of the mental retardation claim as one
potential mitigating factor to a capital sentence, before Atkins
was decided, tells us little about the evidence that is relevant
to an Atkins claim. Nor do the criminal and district courts' re-examinations
of the mental retardation evidence presented for mitigation, as
well as post-conviction affidavits which presented new and
important evidence of mental retardation, serve as “hearings” on
the Atkins claim to which we must apply a presumption of
correctness and give deference. There is a backdrop to this
deficient hearing that cannot be ignored and that is the state
trial courts' consistent and complete adoption of all of the
State's findings throughout this process:FN115 this creates a
black hole of deference and assumption that is not defensible.
Both courts attempted to weigh the mitigation evidence themselves,
guessing as to the credibility, reliability, and accuracy of the
purveyors of that evidence and the Atkins affidavits, and finally
deciding who to believe by reading works not necessarily and
likely not crafted by the “witness.”FN116 But in doing so, they
demonstrated the very flaws that render its paper determination of
mental retardation, made without a hearing, an inadequate purveyor
of due process.
FN115. This practice is by no means uncommon
and is, in fact, the overwhelming norm. See, e.g., Texas Defender
Service, A State of Denial: Texas Justice and the Death Penalty at
125 (observing that “the ‘paper hearing’ is especially
questionable when combined with the pervasive practice, followed
by the vast majority of Texas trial courts reviewing capital cases
in state habeas proceedings, of resolving the disputes facts by
adopting the prosecutor's legal arguments and characterizations of
the evidence wholesale”). The authors reviewed “over one hundred
post-1995 state habeas proceedings” and found “that the trial
court's findings were identical or virtually identical to those
submitted by the prosecutor in 83.7% of the cases examined.” Id.
at 127. For capital cases, the authors are not aware of any case
where “a Texas trial court has ever adopted the findings proposed
by the defendant seeking a new trial.” Id. at 126 n. 30. FN116.
The affidavits are repetitive and phrased similarly (stating, for
example, “Michael Hall is just a normal inmate to me,” “Michael
Hall acts is as normal as anyone in his pod,” “Michael Hall's
behavior is normal and does [sic] what he is supposed to do”),
suggesting that one individual asked guards identical questions,
wrote down their responses, and then requested the guards to
verify the accuracy of the written responses. The end of each
prison guard affidavit reads: “I have read each fo the [applicable
number of] sections of this document and I find it to be a true
and correct account of what I have told Investigator David
Whisenhunt of the Tarrant County District Attorney's Office ...”.
This method of affidavit preparation is of course acceptable, but
it suggests the deficiency of a court's relying solely upon
affidavits and barring cross examination based on the affidavits.
The only mental retardation evidence heard live
in this case is the limited testimony and cross examination on
mitigation from Hall's trial, which occurred before the Supreme
Court's Atkins decision. Many of the affiants have only been
“heard” on paper-including two new experts (Dr. Church and Dr.
Denkowski) who have never been cross examined. And none of the
witnesses, expert or lay, have been cross examined on the issue of
mental retardation as defined by Atkins. The CCA relied wholly on
the paper evidence from this trial court record and additional
affidavits submitted by both parties in rejecting Hall's Atkins
claims. In the initial hearing, Hall and the state addressed
mental retardation as a potential mitigating factor in Hall's
death sentence and not in light of the three specific Briseno
factors that define Atkins mental retardation in Texas. Much of
the testimony focused on Hall's family life, emotional abuse, and
the question of Hall's understanding of culpability and the
“wrongness” of his acts, rather than on whether or not he was in
fact mentally retarded according to Briseno's “scientific”
definition of that term. The question to which all of this
evidence was directed did not even mention the word “mental
retardation.” Rather, the question on mitigation (Special Issue
Number 3) asked: Whether, taking into consideration all of the
evidence, including the circumstances of the offense, the
Defendant's character and background, and the personal moral
culpability of the Defendant, there is a sufficient mitigating
circumstance or circumstances to warrant that a sentence of life
imprisonment rather than a death sentence be imposed.
The testimony and cross examination addressing
Hall's IQ showed that the issue was controversial and
muddled,FN117 and the state's only expert discussed Hall's
adaptive knowledge, not functioning. The closing arguments from
the trial record most strongly illuminate the dearth of sufficient
Atkins evidence in the trial court's paper hearing, as shown by
the state's sweeping assertion that mental retardation was only
for “labeling purposes” and had little relevance to the question
of mitigation.
FN117. The experts addressed the confusion over
the IQ tests' standard error but did not resolve or fully clarify
the issue.
Ironically, the CCA, in finding that Hall was
not mentally retarded for a second time and relying upon the paper
trial record and habeas affidavits, stated: “At no point did
appellant [during trial] request that the trial judge or the jury
make a specific fact-finding as to whether appellant was in fact
mentally retarded.”FN118 Had Hall and his attorneys possessed
extrasensory abilities-and had they known that Hall's initial
trial would be their only opportunity to present live evidence of
the very issue of Atkins mental retardation that would determine
Hall's fate-they would have of course seized the opportunity to
present their proof of mental retardation in open court and not by
mail. The state, in turn, would have offered rebuttal evidence and
cross examined defendants' witnesses and experts on their
credibility as it specifically related to the three Briseno
factors of mental retardation in Texas. But neither side did so,
because neither could have known that the Court would declare a
new constitutional standard in Atkins. Further, neither side could
have predicted that the state and district courts would have
refused the parties an opportunity to confront and cross examine
the expert witnesses who offered conflicting opinions. And the
brief opportunity afforded to present Atkins evidence on paper
failed to remedy the absence of genuine adversarial contest.
Between Hall's state application for habeas, which claimed that it
was unconstitutional to execute a mentally retarded defendant in
light of the pending Atkins case, and the state's reply, the
Supreme Court decided Atkins. Therefore, both the habeas
application and the reply contained Atkins-type arguments, and
both Hall and the state relied upon the Texas Legislature's and
Health Code's definition of mental retardation, which is similar
but not identical to the AAMR test for mental retardation under
Atkins that the Briseno court later adopted. The TLHC definition
of a mental retardation is “significantly subaverage general
intellectual functioning that is concurrent with deficits in
adaptive behavior ... Further, this condition must have originated
during the developmental period.” Briseno's AAMR test requires
“limitations” in adaptive functioning that are “related” to the
subaverage intellectual functioning, with onset before age 18.
Although the trial court's paper habeas hearing, which occurred
just after Atkins was decided, ostensibly allowed the parties to
“argue” the issue of mental retardation under a definition similar
to the Briseno standards, the arguments put forth on paper left
gaps in the focus demanded by Atkins. At best, the experts
reiterated prior arguments over IQ and failed to resolve them,
bickering over standard error and citing incorrect IQ results. Two
new experts presented affidavits and neither of these experts were
ever cross examined as to their competency. They asserted their
own views on the proper means for testing IQ and adaptive
functioning, as well as the proper measurement of margins of
errors and application of test results to the Atkins factors, yet
they never debated these views live. Significantly, Dr. Denkowski
pointed out potentially major flaws in some of the analyses relied
upon by Dr. Price and others (that the TONI test, for example,
does not even technically measure IQ), yet most of these flaws
have not been tested in a courtroom. And the lay affiants
presented broad claims that would have likely been pierced, or
substantially altered in strength, upon cross examination. The
judges in each step of Hall's case and collateral review decided
they could sort through the complicated scientific evidence and
conflicting lay opinions themselves, without the aid of
adversarial truthseeking. This occurred despite the failure of the
trial record or the supplemental affidavits to sufficiently
address any of the Briseno factors. Regarding the question of
onset before the age of 18, the state's only argument directly
addressing this issue covered less than one page of its reply to
Hall's habeas application and relied upon the controversial school
IQ scores of 71 on the WISC-R and 84 on the TONI, the faults of
which Dr. Cunningham had raised in trial and Dr. Denkowski further
explored on paper. FN119 In alleging that Hall did not have
significant limitations in adaptive functioning, the state relied
wholly on descriptions of Hall's participation in the murder (alleging
that this demonstrated his ability to function competently), the
testimony of his family from the trial testimony, lay affidavits
from prison guards, and on Dr. Price's description of the Street
Survival Skills Questionnaire that he administered on Hall-a test
for adaptive knowledge, not functioning. We expect a reasonable
level of detail in determining whether a defendant meets the
Briseno factors. As the Court in Atkins explained, “To the extent
there is serious disagreement about the execution of mentally
retarded offenders, it is in determining which offenders are in
fact retarded.”FN120 This type of controversial determination
requires a careful and reasoned investigation of relevant facts,
and the general allegations of parties on paper fail to come close
to the level of relevance required for an Atkins determination.
FN118. Hall v. Texas, 160 S.W.3d 24, 26 (Tex.Crim.App.2004).
FN119. The state's attorney also suggested in trial that the
multiple head injuries suffered by Hall as a child were
insignificant, as demonstrated by his mother's failure to take him
to the hospital for some of the incidents. FN120. Atkins, 536 U.S.
at 317, 122 S.Ct. 2242.
In mental retardation cases, the CCA has
specifically found that when a trial court determines an Atkins
claim, “the trial court must not rely so extensively upon ...
expert testimony as to commit the ultimate decision of mental
retardation to the experts.”FN121 The state's post- Atkins
argument that Hall is not retarded rests in part on the affidavits
of prison guards. These witnesses, given the nature of their job
and its accompanying dangers, may not be inclined to volunteer
evidence of mental retardation to state prosecutors. Additionally,
as the dissent to the opinion of the CCA observes, the guards
demonstrated only vague and largely irrelevant understandings of
mental retardationFN122 while simultaneously asserting that Hall
appeared normal. The Supreme Court has found-in civil cases-that
an individual's knowledge of the nature of the Government's
argument, protected by “the requirements of confrontation and
cross-examination,” is “ important in the case of documentary
evidence,” but “even more important where the evidence consists of
the testimony of individuals whose memory might be faulty or who,
in fact, might be ... persons motivated by malice, vindictiveness,
intolerance, prejudice, or jealousy.”FN123 While the right to
cross examination rests largely on questions of “credibility and
veracity,” “[a]n individual has those rights because facts are in
issue.”FN124 And we know little about how the other lay witnesses
actually “understood” mental retardation, or whether they observed
Hall for a sufficiently long period of time to accurately observe
his mental capacity. Many statements in affidavits from both the
state and the defense indicate precisely how these issues begged
for oral hearing. The affidavit of a waitress who served him once,
for example, would not likely carry much weight in an Atkins
hearing. Prison guards repeatedly made broad, sweeping allegations,
such as “Michael Hall is just a normal inmate to me,” “I have
never heard Michael Hall referred to as ‘Half Deck’ by anyone,”
and “I had the usual contacts and conversations with Hall and
observed nothing unusual,” while teachers claimed that Michael
“demonstrated behaviors similar to those of a child with a
diagnosis of Mental Retardation” and his trial counsel indicated
that “Michael tried to mask his retardation ... he bitterly did
not want people to think him ‘dumb’ ....”
FN121. Briseno, 135 S.W.3d at 13 n. 30 (citing
Williams, 831 So.2d at 859). FN122. One prison guard “knew some
kids in school with Down's syndrome,” while another had one uncle
who was mentally retarded. Some of the guards only observed Hall
sporadically, when they happened to be assigned to his prison unit.
FN123. Richardson, 405 U.S. at 218, 92 S.Ct. 788 (Brennan, J.,
dissenting) (quoting Goldberg, 397 U.S. 254, 270, 90 S.Ct. 1011,
25 L.Ed.2d 287 (1970)). FN124. Id. at 219, 92 S.Ct. 788.
As Hall argued in his habeas application: For
any fact-finder to make a determination as to whether Applicant is
mentally retarded, it will be necessary to hear the testimony [of]
people such as teachers, counselors, and mental health providers
who had contact with Applicant before and after his incarceration
concerning Applicant's adaptive functioning. Additionally ... the
fact-finder will be required to weigh the testimony of witnesses
from both sides-psychologists who had interviewed Applicant ...
The fact-finder will also have to hear from experts in the field
of mental retardation so that the fact-finder [will] be able to
gain an understanding of exactly what mental retardation is, and
the variety of ways that it is manifested in those afflicted with
it. It will be impossible for any fact-finder to make an informed
and intelligent decision about which experts are most qualified
and most credible in making their respective conclusion without
hearing from the experts in court and subjecting them to the
rigors of a Daubert/Rule 702 hearing and cross-examination.
A judge presiding in court at an oral hearing
has “the superior opportunity of an observer of witnesses to
comprehend their testimony,”FN125 an advantage in “essaying the
truth of a matter when the facts are caught up with a witness's
manner of expression.”FN126 Our principles of deference to trial
courts are clear, and we follow these principles because of the
trust that we place on the trial process to do justice to the
evidence placed before it.
FN125. O'Bryan v. Estelle, 714 F.2d 365, 392
(1983) (Higginbotham, J., concurring). FN126. Id. at 393 (Higginbotham,
J., concurring).
Returning to basics, an oral hearing with cross
examination of experts allows the trier to evaluate not only the
raw contents of that evidence but the way in which the evidence
plays out as presented live: the inconsistencies that arise, the
phrases that went unnoticed yet carry great weight, and the
responses to cross examination that may bring out weaknesses in an
assertion that appears bullet proof on paper. It is sometimes the
silences in the courtroom that confess a realization of truth but
are not preserved for reading by judges at another place and
another time. Hearings in open court, or “little” trials, are not
perfect but they are the best that we do in a system that remains
as fair as any in the world. And they must not be jettisoned in
the elusive and illusive pursuit of “efficiency.” Of course
efficiency is an important component of a fair system, at least as
much as the system can stand. The reality is that far less time
would have been taken by a hearing than the time consumed in the
struggle over its absence. Submissions on paper are the staple of
the administrative state. I do not gainsay the role of our
administrative state in saying that whether a man lives or dies at
the hand of his government for his conduct is not to be decided by
administrative agencies. Nor, I say, with all respect, by courts
who unwittingly ape them by accepting the adequacy of
administrative manners not prescribed for courts of law but as an
alternative to them.
Here, judges distant from any live testimony or
cross examination attempted to decipher the evidence for
themselves, despite differing accounts of the accuracy of IQ tests
and standard error, despite conflicting lay opinions on Hall's
mental abilities, and, most importantly, despite the state
expert's admission that the determination of mental retardation is
a “judgment call” in this case and can “literally turn on a word
or a number.” When a constitutional issue turns on a word or
number-particularly here, where the first prong of Briseno's
mental retardation test requires an IQ of 70 or below for a
finding of mental retardation-a judge's analysis of paper
arguments over the accuracy of IQ tests and complicated standard
of error ranges cannot do justice to a defendant's right to a
determination of mental retardation. I have little doubt that the
state trial judge would have never relied upon the erroneous
misstatement of Hall's IQ made in an affidavit of one of Hall's
expert witnesses had there been a hearing in more than name. It is
the risk of just such errors that underpins the assurances of the
procedural protections of due process. That a state is free to
allocate the adjudicatory responsibility to trial or appellate
courts does not reduce the constitutionally secured minimum for
deciding a substantial claim of retardation under Atkins,
bristling with sharply contested facts.
I have not invoked the familiar and reminded of
primer rules and common understandings that came with the founding
and have clung to our national psyche, powerfully informing our
present elaboration because they have not been learned, but
because in the daily mix of affairs they are occasionally
forgotten.
This panel has unanimously concluded that the
state did not afford Hall's claim of retardation a full and fair
hearing. It follows that we vacate the decision of the federal
district court and remand for an evidentiary hearing. Here I would
chart a different path. We should also make clear that because the
finding that the state denied Hall a full and fair hearing on a
claim of retardation is constitutionally footed, the state's
adjudication is constitutionally flawed and has resulted in a
decision that was contrary to and an unreasonable application of
federal law as determined by the Supreme Court. Refusing to allow
confrontation and cross examination was an error of law, one that
violated the federal law as established by the Supreme Court. We
should vacate the decision of the district court with instructions
to that court to enter an order that unless the state shall
provide a constitutionally adequate evidentiary hearing on Hall's
claim within 120 days of the issuing of the mandate, Hall shall
not be eligible for death.FN127 To do otherwise does not give Hall
his due-a hearing that not only affords the opportunity to
confront and cross examine the state witnesses but also a hearing
free of the deference the federal district court must give to the
state adjudication of retardation-and passes over the reality that
the state adjudication here was constitutionally flawed.
FN127. Indeed, Texas allows the Texas Court of
Criminal Appeals to utilize the state trial courts for hearings
requiring evidentiary presentations. See Tex.Code Crim. Proc. art.
11.071 § 8 (“If the convicting court determines that controverted,
previously unresolved factual issues material to the legality of
the applicant's confinement exist, the court shall enter an order,
not later than the 20th day after the last date the state answers
the application, designating the issues of fact to be resolved and
the manner in which the issues shall be resolved. To resolve the
issues, the court may require affidavits, depositions,
interrogatories, and evidentiary hearings and may use personal
recollection .... (f) The clerk of the convicting court shall
immediately transmit to: (1) the court of criminal appeals a copy
of: (A) the application; (B) the answers and motions filed; (C)
the court reporter's transcript; ... (2)(C) findings of fact and
conclusions of law entered by the court.”)