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Donnie Lee ROBERTS Jr.
Summary:
Roberts lived with the victim, Vickie Bowen, who was employed as a
dental assistant. When she did not show up for work, a friend went
to her home and found her body lying in a pool of blood, dead from
two gunshot wounds to the head. Her television and her son’s truck
were missing, along with football tickets, jewelry, and a money
order. Roberts was a drunk, a cocaine addict, and was unemployed.
He was found driving the victim's son's truck and had had sold the
football tickets to buy cocaine on three occasions that day. Upon
arrest, Roberts confessed to shooting Bowen when she refused to
give him money for drugs.
Citations:
Roberts v. State, 220 S.W.3d 521 (Tex.Crim.App. 2007).
(Direct Appeal) Roberts v. Thaler, 681 F.3d 597 (5th Cir. 2012). (Federal
Habeas)
Final/Special Meal:
Texas no longer offers a special "last meal" to condemned inmates.
Instead, the inmate is offered the same meal served to the rest of
the unit.
Final/Last Words:
"I am truly sorry. I never meant to cause y'all so much pain. God
knows I didn't want to do what I did. I loved your daughter. I
hope to God he lets me see her in heaven so I can apologize to
her."
ClarkProsecutor.org
Name
TDCJ Number
Date of Birth
Roberts Jr.,
Donnie Lee
999487
02/09/1971
Date Received
Age
(When Received)
Education Level
10/28/2004
33
11
Date of Offense
Age
(at the
Offense)
County
10/15/2003
32
Polk
Race
Gender
Hair Color
White
Male
Brown
Height
Weight
Eye Color
6' 01"
223
Blue
Native County
Native State
Prior Occupation
Natchitoches Parish
Louisiana
Builder / Laborer
Prior Prison Record
Summary of Incident
Co-defendants
Race and Gender of Victim
Texas Department of Criminal
Justice
Roberts Jr., Donnie Lee
Date of Birth: 02/09/1971
DR#: 999487
Date Received: 10/28/2004
Education: 11 years
Occupation: builder/laborer
Date of Offense: 10/15/03
County of Offense: Polk
Native County: Natchitoches Parish, Louisiana
Race: White
Gender: Male
Hair Color: Brown
Eye Color: Blue
Height: 6' 1"
Weight: 223
Prior Prison Record: One prior out of state
commitment to Louisiana Department of Corrections, #449607 on a 7
year sentence for 1 count of armed robbery.
Summary of Incident: On 10/15/2003 in Polk
County, Texas, Roberts approached and demanded currency from an
adult white female, of which Roberts was her live-in boyfriend.
The victim refused and Roberts shot her three times in the head,
causing her death. Roberts then fled the scene in the victim's
son's vehicle.
Co-Defendants: None
Texas Attorney General
Monday, October 29, 2012
Media Advisory: Donnie L. Roberts scheduled for
execution
AUSTIN – Pursuant to a court order by the 411th
District Court of Polk County, Donnie Roberts is scheduled for
execution after 6 p.m. on October 31, 2012. In 2004, a Polk County
jury found Roberts guilty of murdering Vickie Ann Bowen during the
course of a robbery or attempted robbery.
FACTS OF THE CASE
The United States Court of Appeals for the
Fifth Circuit described the facts surrounding the murder of Ms.
Bowen as follows:
At the time of the murder, Roberts lived with
the victim, Vickie Bowen. Roberts was unemployed, often drank
alcohol, and used cocaine. Bowen worked as a dental assistant. On
October 15, 2003, she went shopping with co-worker Brenda Bland,
but she did not show up for work the next day. Because Bowen was a
punctual person who always called if she was going to be late,
Bland became concerned and went to Bowen's house to check on her.
When Bland arrived at the home, she found the front door open.
After knocking and receiving no answer, Bland entered the home and
found Bowen dead. Bland noticed that Bowen was still in the scrubs
she had worn at work the previous day. She was covered by a
blanket and was lying face down with her head turned to the side
in a pool of blood. Blood spatters were present in the living room
on the coffee table, the couch, and the walls. The medical
examiner would later determine that Bowen died from two gunshot
wounds to the head.
It was immediately apparent from an examination
of the scene that Bowen’s television and her son’s truck were
missing. That same day, the police found Roberts after tracking
down the stolen truck. It was later determined that Roberts had
taken the truck, the television, Texans/Titans football tickets,
jewelry, a Western Union money order, a .22 rifle, and a .22
pistol. Roberts had sold the football tickets for one hundred
dollars. He had bought cocaine from Edwin Gary on October 15 on
three different occasions, the last of which involved trading the
.22 caliber pistol. Roberts had apparently abandoned the .22
rifle, later determined to be the murder weapon, a few blocks from
where he was found. The Western Union money order was found in the
residence at which Roberts had parked his truck, but the
television and the jewelry were never recovered.
Roberts was interviewed and gave a confession.
In that confession, he acknowledged that he had “a crack cocaine
problem” and that he would go to bars, get drunk, and then look
for drugs. With regard to the victim’s death, Roberts said, “I
pointed the gun at her and I told her just give me some money.”
Later in the interview, Roberts stated: “I pointed the gun at her
and I said, ‘if you’d just give me some money.’ And she said ‘No.’
And then I said, ‘Look, it doesn’t have to be this way.’ That’s
all I remember saying to her. And the next thing I know, I shot
her.”
At trial, Roberts testified to a different
sequence of events. He claimed that he picked up the .22 rifle
because it was out of place, near the door. He also claimed that
he saw what looked like a .22 pistol in Bowen’s pocket and that
she moved her hand to her pocket to reach for it. He then said
that he “must have chambered a round into the .22 rifle at that
time,” but he did not remember if he pulled the safety off. He
also claimed that he did not remember his gun firing but that he
knows it did. Roberts further testified that he did not intend to
rob Bowen at the time he shot her, but he admitted to taking items
of her property later.
PROCEDURAL HISTORY
On November 24, 2003, a Polk County grand jury
indicted Roberts for murdering Bowen.
On October 15, 2004, a Polk County jury
convicted Roberts of capital murder.
After a separate punishment proceeding, the
same jury sentenced Roberts to death on October 27, 2004.
On April 18, 2007, Roberts’s conviction and
sentence were affirmed by the Court of Criminal Appeals of Texas
on direct appeal. Roberts appealed the state court’s decision to
the Supreme Court of the United States, but his petition for writ
of certiorari was denied on October 1, 2007. While his direct
appeal was pending, Roberts filed an application for habeas corpus
relief which was denied by the Court of Criminal Appeals on May
13, 2009.
On May 11, 2010, Roberts filed a petition for
writ of habeas corpus in the U.S. District Court for the Eastern
District of Texas, Beaumont Division. The federal court denied
Roberts’s petition on November 7, 2011.
On May 15, 2012, the Fifth Circuit rejected
Roberts’s appeal and affirmed the denial of habeas corpus.
On July 11, 2012, the 411th state district
court scheduled Roberts’s execution for October 31, 2012.
Roberts filed a petition for writ of certiorari
in the Supreme Court on August 8, 2012.
On October 29, 2012, the U.S. Supreme Court
denied Roberts’s petition for writ of certiorari.
PRIOR CRIMINAL HISTORY
Under Texas law, the rules of evidence prevent
certain prior criminal acts from being presented to a jury during
the guilt-innocence phase of the trial. However, once a defendant
is found guilty, jurors are presented information about the
defendant’s prior criminal conduct during the second phase of the
trial – which is when they determine the defendant’s punishment.
During the penalty phase of Roberts’s trial,
jurors learned that Roberts confessed to murdering Al Crow in
Louisiana in 1992. Natchitoches Parish law enforcement personnel
testified that physical evidence corroborated Roberts’s
confession. Jurors also heard evidence that Roberts robbed a
Louisiana convenience store at knife point in 2001; was charged
with battery after an altercation with one of his cellmates in a
Fulton County, Georgia jail; and beat his brother on one occasion
so severely that he was airlifted to a hospital.
Two former probation and parole officers who
supervised Roberts testified that he was violent and dangerous,
and that he absconded from supervision in June 2003, only months
before murdering Ms. Bowen.
Donnie Lee Roberts, Jr—white,
age 32
Sentenced to death in Polk County, Texas
By: A jury
Date of crime: 10/16/03
Prosecution’s case/defense response: Roberts
had a crack cocaine habit. He had been taken in by a girlfriend,
Vickie Bowen. Roberts demanded money from her to buy crack. When
she refused he shot her three times with a rifle, killing her, and
robbed her. He had earlier been convicted of a violent theft in
Louisiana, and had absconded to Texas in violation of his
conditions of parole.
During questioning concerning the Bowen murder,
Roberts admitted that he had killed another man in Louisiana
twelve years earlier by burglarizing the man’s home, shooting him
with a shotgun, and then burning down the home. In mitigation the
defense offered evidence of Roberts’ rotten upbringing, his
drug/alcohol dependence, and that he was a good father.
Prosecutor(s): Lee Hon, John Holleman
Defense lawyer(s): Stephen Taylor, Don Cantrell
Sources: Telephone call with prosecutor Hon
2/14/05; Alexandria Daily Town Talk (LA) 6/25/04 (2004 WL
60354968); Baton Rouge Advocate 6/26/04 (2004 WL 58406950);
Shreveport Times 6/25/04 (2004 WL 80296745)
AJS.org
Texas executes man who
murdered girlfriend over money
By Corrie MacLaggan - Reuters.com
Oct 31, 2012
(Reuters) - A man convicted of fatally shooting
his live-in girlfriend in 2003 after she refused to give him money
was executed in Texas on Wednesday by lethal injection, said state
officials. Donnie Lee Roberts, 41, became the 35th person executed
in the United States this year and the 12th in Texas. He was
pronounced dead at 6:39 p.m. local time at the state prison in
Huntsville, the state Department of Criminal Justice.
Just before he died, Roberts apologized,
officials said. "I am truly sorry," they quoted him as saying. "I
never meant to cause y'all so much pain." He added: "God knows I
didn't want to do what I did. I loved your daughter. I hope to God
he lets me see her in heaven so I can apologize to her."
His victim, dental assistant Vicki Bowen, 44,
was found slain in her east Texas house in October 2003 when a
co-worker, concerned that she had failed to show up for work, went
to Bowen's home to check on her whereabouts, according to an
account of the case from the Texas Attorney General's Office.
Roberts, who was a crack cocaine user, confessed to officials that
he killed Bowen when she refused to give him money, the account
said. "I pointed the gun at her and I said, ‘If you'd just give me
some money.' And she said, ‘No,'" Roberts told officials,
according to the attorney general's account. "And then I said,
‘Look, it doesn't have to be this way.' That's all I remember
saying to her. And the next thing I know, I shot her."
Roberts told a different story at his trial in
2004, saying that he picked up the gun because it was out of
place, and that he saw what looked like another gun in Bowen's
pocket.
Former probation and parole officers testified
that Roberts, who had been convicted of armed robbery in
Louisiana, fled from court-ordered supervision just months before
Bowen's murder, the attorney general's account said. During the
penalty phase of his trial, jurors learned that Roberts had
confessed to the 1992 murder of a man in Louisiana, the account
said. He did not stand trial for that crime.
Texas has executed more than four times as many
people as any other state since the death penalty was reinstated
in the United States in 1976, according to the Death Penalty
Information Center.
Louisiana ex-con executed for
2003 Texas killing
By Michael Graczyk - Associated Press
The Houston Chronicle
October 31, 2012)
HUNTSVILLE, Texas (AP) — Donnie Lee Roberts,
convicted in his girlfriend's 2003 slaying in Texas, was executed
Wednesday for fatally shooting the woman and taking items from her
home to sell or trade to support his drug habit. Roberts, 41,
became the 12th inmate to be put to death this year in the
nation's most active capital punishment state. He was given a
lethal injection for the killing of Vicki Bowen at her East Texas
home.
"I'm really sorry. I never meant to cause you
all so much pain," Roberts said to Bowen's father, who was seated
in a chair close to a glass window in the death chamber viewing
area. "I hope you can go on with your life. "I loved your
daughter. I hope to God he lets me see her in heaven so I can
apologize to her and see her and tell her." Roberts also asked two
of his friends who watched through another window to tell his own
daughter he loved her. He repeated that he was sorry and took
several deep breaths as the lethal dose of pentobarbital began
taking effect. He snored briefly before slipping into
unconsciousness, and was pronounced dead 23 minutes later. Bowen's
relatives, including some who sat on the floor where they were
gathered as Roberts was put to death, declined to speak with
reporters after the execution.
Roberts' punishment came after the U.S. Supreme
Court refused to review his case earlier this week, and no
additional appeals were filed to try to block the lethal
injection.
At the time of his arrest for the October 2003
slaying of the 44-year-old Bowen, Roberts had violated his
probation for a robbery conviction in Louisiana by fleeing to
Texas after dropping out of a drug treatment program. Authorities
said he apparently met Bowen, a dental assistant, at a bar and
moved in with her at her Lake Livingston home, about 75 miles
northeast of Houston. Their relationship soured because Roberts
wasn't working and was abusing drugs and alcohol, investigators
said, and he shot Bowen after she refused his demand for money.
Roberts was arrested at a suspected crack house in the town of
Livingston when a truck missing from Bowen's home was spotted
there the same day Bowen's body was discovered.
"He was cooperative and confessed several
times," District Attorney Lee Hon said. "He was saying he wanted
the death penalty." Roberts told authorities he made several trips
from the house where Bowen was shot, collecting property that he
took into town to sell and trade for crack. He also surprised
detectives by confessing to the shotgun death of a man that
happened a decade earlier in Natchitoches Parish, La. Louisiana
authorities initially believed the victim, Al Crow, had died of
asphyxiation in a fire at the camper trailer where he was living
but reopened the case following Roberts' disclosure, found shotgun
pellets and determined it was a homicide. Roberts was charged with
murder but not tried for Crow's death.
Stephen Taylor, one of Roberts' lawyers at his
Texas capital murder trial, said the confessions complicated his
trial defense. "It's almost like somebody saying he was a serial
killer, that he's killed before and he killed again," Taylor said.
"It's one thing to say you have the right to remain silent. Use
it! "It's always sad for someone to lose his life, especially for
something so stupid."
Bowen didn't show up for work on Oct. 16, 2003,
and a co-worker who went to check on her found her body wrapped in
a blanket and lying in a pool of blood. A medical examiner
determined Bowen was killed with two gunshots to her head. Roberts
took the witness stand and tried to blame Bowen for the gunfire,
saying he was acting in self-defense by grabbing a .22-caliber
rifle after seeing her reach down inside a couch to locate a
pistol that was kept there.
Evidence at trial showed Roberts had a record
for battery while being held in jail in Fulton County, Ga., that
he'd threatened his wife to give him money for drugs, and that he
warned there would be another killing if he didn't get a
single-person cell in Polk County when he was jailed for Bowen's
murder. His robbery conviction in Louisiana was for a Mother's Day
2001 convenience store holdup in Baton Rouge, La., where the
knife-wielding Roberts threatened to slice the throat of the
female clerk.
The Texas Department of Criminal Justice
Polunsky Unit, where the state's male death row is housed, had
been Roberts' home since his capital murder conviction in 2004.
The prison is just outside Livingston and not far from where Bowen
was killed. Earlier Wednesday, Roberts was moved about 45 miles
west to the Huntsville Unit, the prison where the execution was
carried out.
Three more Texas prisoners are set to die in
November, including one next week.
Louisiana man dies for 2003
murder
By Cody Stark - ItemOnline.com
October 31, 2012
HUNTSVILLE — A Louisiana ex-con who fatally
shot his girlfriend and took items from her home in Polk County to
support his drug habit eight years ago, was executed Wednesday
night. Donnie Lee Roberts was convicted and sentenced to death for
the murder of Vicki Bowen in 2003. Before he lethal injection
Wednesday, he told her family he was sorry and hoped that he met
Bowen in the afterlife so he could tell her the same. He was
pronounced dead at 6:39 p.m., 23 minutes after the lethal dose
began. Roberts was the 12th inmate to be executed in Texas this
year.
“I am truly sorry. I never meant to cause y’all
so much pain,” Roberts said. “Not one day as passed that I wish I
could take it back. After today, I hope you can go on. I hope this
brings you closure. God knows I didn’t want to do what I did, I
loved your daughter. I hope to God he lets me see her in heaven so
I can apologize to her.”
The United States Supreme Court refused to
review Robert’s case earlier this week and no other appeals were
filed to halt the execution Wednesday.
At the time of his arrest for the October 2003
killing, Roberts had violated his probation for a robbery
conviction in Louisiana by fleeing to Texas after dropping out of
a drug treatment program. Authorities said he apparently met
Bowen, a dental assistant, at a bar and moved in with her at her
home on Lake Livingston. Their relationship soured because Roberts
wasn’t working and was abusing drugs and alcohol, investigators
said, and he shot Bowen after she refused his demand for money.
Roberts was arrested at a suspected crack house in Livingston when
a truck missing from Bowen’s home was spotted there the same day
Bowen’s body was discovered. “He was cooperative and confessed
several times,” District Attorney Lee Hon said. “He was saying he
wanted the death penalty.” Roberts told authorities he made
several trips from the house where Bowen was shot, collecting
property that he took into town to sell and trade for crack.
He also surprised detectives by confessing to
the shotgun death of a man that happened a decade earlier in
Natchitoches Parish, La. Louisiana authorities initially believed
the victim, Al Crow, had died of asphyxiation in a fire at the
camper trailer where he was living but reopened the case following
Roberts’ disclosure, found shotgun pellets and determined it was a
homicide. Roberts was charged with murder but not tried for Crow’s
death.
Bowen didn’t show up for work on Oct. 16, 2003,
and a co-worker who went to check on her found her body wrapped in
a blanket and lying in a pool of blood. A medical examiner
determined Bowen was killed with two gunshots to her head. Roberts
took the witness stand and tried to blame Bowen for the gunfire,
saying he was acting in self-defense by grabbing a .22-caliber
rifle after seeing her reach down inside a couch to locate a
pistol that was kept there.
Evidence at trial showed Roberts had a record
for battery while being held in jail in Fulton County, Ga., that
he’d threatened his wife to give him money for drugs, and that he
warned there would be another killing if he didn’t get a
single-person cell in Polk County when he was jailed for Bowen’s
murder. His robbery conviction in Louisiana was for a Mother’s Day
2001 convenience store holdup in Baton Rouge, La., where the
knife-wielding Roberts threatened to slice the throat of the
female clerk.
In the Court
of Criminal Appeals of Texas
No. AP-75,051
Donnie Lee Roberts Jr.,
Appellant, v.
The State of Texas
On Direct
Appeal from Polk County
Keller, P.J., delivered the opinion of the Court in which WOMACK, KEASLER,
HERVEY, HOLCOMB, and COCHRAN, JJ., joined. MEYERS, J., filed a
dissenting opinion in which PRICE and JOHNSON, JJ., joined.
Appellant was convicted of capital murder.
(1) Pursuant to
the jury's answers to the special issues set forth in Texas Code
of Criminal Procedure, Article 37.071, §§2(b) and 2(e), the trial
judge sentenced him to death.
(2) Direct appeal
to this Court is automatic.
(3) Appellant
raises sixteen points of error. We find all of them to be without
merit and therefore affirm.
I. GUILT - Factual Sufficiency
In point of error one, appellant contends that
the evidence was factually insufficient to establish the
underlying offense of robbery. In a factual sufficiency review,
the evidence is reviewed in a neutral light rather than (as in a
legal sufficiency review) in the light most favorable to the
verdict.
(4) Evidence can
be factually insufficient in one of two ways: (1) when the
evidence supporting the verdict is so weak that the verdict seems
clearly wrong and manifestly unjust, and (2) when the supporting
evidence is outweighed by the great weight and preponderance of
the contrary evidence so as to render the verdict clearly wrong
and manifestly unjust.
(5) We have
recently explained that a reversal for factual insufficiency
cannot occur when "the greater weight and preponderance of the
evidence actually favors conviction."
(6) Although an
appellate court reviewing factual sufficiency has the ability to
second-guess the jury to a limited degree, the review should still
be deferential, with a high level of skepticism about the jury's
verdict required before a reversal can occur.
(7) We turn to a
review of the evidence under these principles.
At the time of the murder, appellant lived with
the victim, Vicki Bowen. Appellant was unemployed, often drank
alcohol, and used cocaine. Bowen worked as a dental assistant. On
October 15, 2003, she went shopping with co-worker Brenda Bland,
but she did not show up for work the next day. Because Bowen was a
punctual person who always called if she was going to be late,
Bland became concerned and went to Bowen's house to check on her.
When Bland arrived at the home, she found the front door open.
After knocking and receiving no answer, Bland entered the home and
found Bowen dead. Bland noticed that Bowen was still in the scrubs
she had worn at work the previous day. She was covered by a
blanket and was lying face down with her head turned to the side
in a pool of blood. Blood spatters were present in the living room
on the coffee table, the couch, and the walls. The medical
examiner would later determine that Bowen died from two gunshot
wounds to the head.
It was immediately apparent from an examination
of the scene that Bowen's television and her son's truck were
missing. That same day, the police found appellant after tracking
down the stolen truck. It was later determined that appellant had
taken the truck, the television, Texans/Titans football tickets,
jewelry, a Western Union money order, a .22 rifle, and a .22
pistol. Appellant had sold the football tickets for one hundred
dollars. He had bought cocaine from Edwin Gary on October 15 on
three different occasions, the last of which involved trading the
.22 caliber pistol. Appellant had apparently abandoned the .22
rifle, later determined to be the murder weapon, a few blocks from
where he was found. The Western Union money order was found in the
residence at which appellant had parked his truck, but the
television and the jewelry were never recovered.
Appellant was interviewed and gave a confession.
In that confession, he acknowledged that he had "a crack cocaine
problem" and that he would go to bars, get drunk, and then look
for drugs. With regard to the victim's death, appellant said, "I
pointed the gun at her and I told her just give me some money."
Later in the interview, appellant stated:
I pointed the gun at her and I said, "if you'd
just give me some money." And she said "No." And then I said, "Look,
it doesn't have to be this way." That's all I remember saying to
her. And the next thing I know, I shot her.
At trial, appellant testified to a different
sequence of events. He claimed that he picked up the .22 rifle
because it was out of place, near the door. He also claimed that
he saw what looked like a .22 pistol in Bowen's pocket and that
she moved her hand to her pocket to reach for it. He then said
that he "must have chambered a round into the .22 rifle at that
time," but he did not remember if he pulled the safety off. He
also claimed that he did not remember his gun firing but that he
knows it did. Appellant further testified that he did not intend
to rob Bowen at the time he shot her, but he admitted to taking
items of her property later.
Appellant begins his argument by saying, "It
may seem bold to claim that the evidence is insufficient to prove
capital murder where the defendant said he pointed a gun at the
victim and told her to give him the money." He claims that the
evidence is nevertheless factually insufficient because there was
"no other evidence to show that a robbery took place." He claims
that his request for "the money" was a request for twenty dollars
that Bowen typically left for him in the morning. He also asserts
that he and the victim shared expenses and that testimony at a pre-trial
hearing established that he gave Bowen ninety-five percent of his
pay when he was working. He concedes that he took property from
the house for the purpose of obtaining cocaine but contends that
the removal of the property was a mere afterthought. He concludes
that any dispute over money was a domestic dispute rather than a
robbery.
By his own admission, appellant pointed a gun
at the victim and demanded money from her immediately before he
killed her. Appellant does not claim that the money he demanded
was actually his, and he implicitly concedes that some of the
evidence that might support such an assertion was never presented
to the jury. Even if it had been, the evidence at trial showed
that appellant was unemployed at the time of the shooting, and
therefore, the jury could legitimately conclude that the money
demanded was not the result of shared finances. Moreover,
appellant attempts to buttress his suggestion that he and the
victim were arguing over a sum the victim regularly paid him by
characterizing his videotaped description of his demand as "give
me the money." But our review of the videotape indicates
that appellant said, "give me some money," which suggests
he was not talking about a previously-agreed-upon payment. Even if
we were to assume, however, that he was demanding only money that
the victim had regularly paid him in the past, it would be more
than understandable for the victim to decide that she would not
continue to advance sums of money to support his drug habit. That
he believed she should continue to give him money did not absolve
him of the intent to take money he knew did not belong to him or
of his threat (and ultimately use) of deadly force to accomplish
that objective.
Moreover, several items of the victim's
property were discovered missing at the same time the victim's
body was discovered, and it was determined that appellant
possessed these items either the day of the murder or the next day.
A jury could have inferred that appellant took these items shortly
after the murder. And from that conclusion, the jury could have
further inferred that the murder was committed during the course
of a robbery.
(8)
Finally, we observe that a "domestic dispute"
was not the only apparent possible motive for murder. By his own
admission, appellant had a "crack cocaine problem," and his
statements suggested that he also had an alcohol problem. That he
bought cocaine on three different occasions on the same day
further supports a conclusion that appellant had a cocaine
addiction. Statements in appellant's confession, along with his
conduct, amply support the conclusion that he needed money to
purchase the drugs to satisfy this habit. The evidence was
factually sufficient to support the underlying offense of robbery.
Point of error one is overruled.
II. PUNISHMENT
A. Factual Sufficiency
In point of error two, appellant contends that
the evidence was factually insufficient to support the jury's
answer to the future-dangerousness special issue. We have
consistently declined to conduct a factual-sufficiency review in
this context,
(9) and
appellant's arguments do not persuade us to retreat from those
holdings.
(10) Point of
error two is overruled.
B. Evidence
1. Investigator's Notes
In point of error three, appellant contends
that the trial court erred when it ordered the defense to turn
over its investigator's notes to the prosecution for cross-examination
of the defense punishment-phase witnesses. Appellant further
claims that this error was "structural," and thus immune from a
harmless error analysis, because his right to counsel was violated.
Appellant's investigator was a "mitigation
specialist" who talked to a number of defense witnesses who
testified at the punishment phase of the trial. The investigator
took notes relating to these interviews. From the record of the
conversations between the trial court and the parties set out in
appellant's brief, it appears that the notes involved some direct
quotations of statements by witnesses and some opinions of the
investigator. The trial court permitted defense counsel to excise
the latter from the notes before turning the notes over to the
prosecution. The notes relating to a particular witness were
turned over after that witness testified.
Appellant has failed to include in his brief
any record citations showing that the redacted notes were ever
made a part of the record or that a bill of exceptions outlining
the content of these notes was filed. In fact, by saying, "[p]ortions
of the notes may have been excised; it is hard to tell from this
record," his brief suggests that the notes were not in fact made a
part of the record. The State responds that the notes are not in
the record and no bill of exception regarding the notes was ever
filed. A party has an obligation to make appropriate citations to
the record in support of his argument.
(11) If the notes
are in the record, appellant has failed to include the proper
record references. If, as seems more likely, the notes are not in
the record, then appellant procedurally defaulted error by failing
to include a matter in the record necessary to evaluate his claim.
(12)
After a witness testifies, Rule 615 permits the
opposing party to compel disclosure of, among other things, "a
substantially verbatim recital of an oral statement made by the
witness that is recorded contemporaneously with the making of the
oral statement and that is contained in a stenographic, mechanical,
electrical, or other recording or a transcription thereof."
(13) It appears
that the trial court's action may have been proper under Rule 615.
But we cannot know whether the notes contained matters outside the
scope of the rule without having the notes available to review.
The absence of the notes also impedes any
attempt to conduct an accurate harm analysis. Without knowing what
information was conveyed to the prosecutor that should not have
been, we have no way of determining how the supposed error might
have impacted the proceedings. If the alleged error were
structural, as appellant contends, we would not need to make such
a determination, but we find unpersuasive appellant's contention
that the alleged error is structural because of the impact a work-product
violation has on the right to counsel. To qualify as "structural,"
an error involving the constitutional right to counsel must amount
to a complete denial of counsel,
(14) which is not
the case here. In fact, whether a failure to properly follow the
rule of evidence regarding the sharing of witness statements
amounts even to constitutional error is questionable.
(15) Point of
error three is overruled.
2. Expert Testimony
In point of error five, appellant contends that
the trial court erred in refusing to allow a defense expert to
testify that appellant's use of alcohol and cocaine caused him to
commit the crime. He argues that the excluded testimony was
constitutionally relevant mitigating evidence, that there was no
reason for the trial court to exclude the evidence, and that "[e]very
other expert in the punishment phase testified to ultimate facts,
including that [appellant] will or will not be a future danger to
society."
Appellant's brief fails to address the reason
the trial court did exclude the evidence: that appellant had
failed to make the requisite showing of reliability under Rule
702.
(16) Consequently,
appellant's briefing is inadequate, and his point of error is
subject to rejection on that ground alone.
(17) Nevertheless,
we turn to the merits.
The trial court conducted a "gatekeeping"
hearing with regard to proposed testimony from defense expert
Katherine McQueen, a medical doctor who conducted clinical
research in the treatment of alcohol and drug disorders, and more
specifically with regard to treating "alcohol and cocaine dual
dependence." In preparation for her testimony, Dr. McQueen
reviewed appellant's probation records, treatment records, a
medical report, and notes of the investigator's interviews with
appellant's family members. She also personally interviewed
appellant.
During the hearing, Dr. McQueen expressed the
opinion that "the event would not have occurred without both his
diagnoses [alcohol and cocaine dependence] and the presence of [these]
substances." When asked by the prosecutor, "So is this another way
of saying that you believe that alcohol dependence and cocaine
dependence caused him to commit capital murder," she replied, "I
would not say that." When asked for clarification, Dr. McQueen
said, "There is a correlation."
The prosecutor then asked her what scientific
literature supported her opinion, when the research was conducted,
and who the researchers were. Dr. McQueen specified a particular
anthology of articles, but she was unable to identify the
individual authors without looking at her notes or the book itself
to refresh her memory, and she had brought neither her notes nor
the book with her. When the trial court asked what the correlation
was between ingesting the drugs in question and violence, Dr.
McQueen stated that "lifetime patterns of violence are
significantly higher in people who are dependent on both
substances." The trial court then asked whether the studies
yielded a particular percentage correlation. Dr. McQueen replied
that she was "certain that there is," but she was unable to quote
exact percentages without the studies in front of her. The trial
court also asked whether there was an error rate, and Dr. McQueen
replied that there was, but she did not specify it. The trial
court then asked whether she had any materials with her regarding
statistics on the matter. She replied that she had a book in her
car, but when she later retrieved the book, she indicated that it
was not the right book. Instead, she explained that it was an
article in a different book and supplied the title and authors.
The prosecutor then proceeded to question Dr.
McQueen about that article:
Q. You don't have that literature with you,
Doctor?
A. I do not.
Q. And can you explain to the Court, I guess,
what you know about that research and how it was conducted and
what the results of the article were?
A. I can - I can tell you the conclusions of
the article were that individuals dependent on both cocaine and
alcohol had more past incidences of family and other violent
interactions. I would have to look at the article before I would
feel comfortable saying under oath exactly how the study was
conducted.
Q. Okay. And you are not familiar with any of
the statistics and, I guess, statistically how predisposed someone
might be as a result of that study to engage in some sort of
family violence?
A. No.
Q. Okay. So all you can say, based on your
knowledge of that article, is as a general proposition there may
be some correlation between drug and alcohol dependence and
violence? Correct?
A. That's correct.
After this questioning, the prosecutor argued
to the trial court that the defense had failed to meet the
reliability requirements for admission of the expert's opinions
under Kelly v. State.
(18) In
connection with this argument, the prosecutor alleged that the
defense was seeking to elicit a "hard science opinion" rather than
a "soft science opinion" when it sought to elicit testimony that "there
was correlation or a causal or contributing effect between drugs
and alcohol in this offense," and therefore, the trial court had
less latitude in allowing this type of testimony. Out of an
abundance of caution, the prosecutor stated that he would not
object to the expert saying "that based on her knowledge of the
literature there is a statistically significant correlation
between drug and alcohol dependence and violence," but the
prosecutor objected to any opinion about any effect the alcohol
and cocaine dependence may have had with respect to the crime
committed in this case.
At the end of the hearing, the trial court
ruled in accordance with the State's position, permitting Dr.
McQueen to testify as follows:I'm going to let her say that she
has reviewed all she has done in reviewing him. I'm going to let
her say that she thinks he has an alcohol and cocaine addiction.
And then I'm going to let her say the studies say that people with
alcohol and cocaine addictions have a higher propensity for
violence.
When appellant asked if the trial court meant
to exclude an "opinion about whether that had some bearing on this
offense," the trial court replied, "That's correct. The jury can
infer whatever they want to from the evidence from that, Counsel."
Before the jury, Dr. McQueen testified that
applicant suffered from cocaine dependence and alcohol dependence
(both in remission due to his incarceration). She explained that
the presence of both alcohol and cocaine in the body would cause
the liver to metabolize these substances into a new substance
called cocaethylene, which would cause the effects of cocaine to
last longer. She also explained that studies showed that chronic
abuse of alcohol would enable more cocaine to cross the blood/brain
barrier, creating even greater effects on the substance abuser's
mental state. She further testified that studies showed "a
statistically significant increase in the level of violent
activity" in a group of people who were dependent on both cocaine
and alcohol than groups who were dependent on only one of the
substances. She later clarified, "There is a very strong
connection between substance use and dependence and violent acts
and, in particular, between dependence on both alcohol and cocaine
and violent acts." Appellant attempted later to ask the following
question, but was prevented by the trial judge sustaining the
prosecutor's objection: "So in your - your opinion, Dr. McQueen,
was there some or is there some relationship to Donnie Roberts'
dependence on alcohol, dependence on cocaine, dependence on a
combination thereto in relationship to the events of the - of
October 15th of 2003?"
During the State's cross-examination, Dr.
McQueen acknowledged that she was not a psychiatrist or
psychologist, but she admitted that personality played a role in
both substance abuse and in criminal behavior. When asked how many
subjects of the study involving the correlation between alcohol
and cocaine dependence and violence had actually committed murder,
she replied, "It would surprise me if any of them had." The State
further pressed Dr. McQueen in the following colloquy:
Q. And there is no scientific data out there or
anywhere that you are aware of that cocaine abuse or alcohol abuse
or the combination of those two predisposes people to commit
murder that aren't already inclined to commit murder; isn't that
true?
A. In a - there are - there is evidence that up
to 80 percent of people who are convicted of capital murder have
alcohol and drug dependence.
Q. There is not any research there that
supports a cause and effect relationship between the two, is there?
A. No.
Kelly requires that the proponent of
scientific evidence show that (1) the underlying scientific theory
is valid, (2) the technique applying the theory is valid, and (3)
the technique was properly applied on the occasion in question.
(19) In Nenno
v. State, we suggested that the Kelly framework
applied to the soft sciences but with "less rigor" than to the
hard sciences.
(20) Although the
prosecutor contended that the issue was one of "hard science"
rather than "soft science," we need not attempt to rigidly
classify this evidence under one of those headings.
(21) What we can
say is that Dr. McQueen was a medical doctor, but not a
psychiatrist or a psychologist. Because she lacked training with
respect to mental health problems, one would not ordinarily expect
from her an opinion about what might have contributed to a
person's behavior with respect to a particular incident or how a
person might behave in the future. Dr. McQueen did have training
as a researcher with regard to the treatment of addictions, and
that training appears to have included knowledge of the
interaction between cocaine and alcohol in the body and studies
showing a correlation between cocaine and alcohol usage and
violence. Under this record, however, the trial court could
reasonably conclude that the pharmacological knowledge and studies
were not a sufficient basis from which to draw a scientific
conclusion about how any particular individual would behave.
(22) Of course,
one might draw a layman's conclusion from evidence of a
correlation between drug dependence and violence that a particular
drug user's violence resulted from dependence, but that sort of
conclusion is one that a jury is well-suited to make on its own,
without the assistance of an expert.
(23)
Dr. McQueen was permitted to testify about the
correlation between alcohol and cocaine usage and violence. In
fact, she was permitted to opine that there was "a very strong
connection between substance use and dependence and violent acts
and, in particular, between dependence on both alcohol and cocaine
and violent acts." Under the circumstances, we cannot conclude
that the trial court erred when it decided to prevent Dr. McQueen
from taking the extra step of opining whether alcohol and drug
dependence was related to appellant's violent conduct. Point of
error five is overruled.
3. Victim Impact
In point of error seven, appellant contends that his attorney was
ineffective for failing to object to the admission of extraneous
offense victim impact testimony. Elizabeth Thomas, the victim of a
robbery appellant had committed in Baton Rouge a few years earlier,
testified about the emotional impact that the robbery had on her
life. She testified that she had to quit her job because she was
afraid every customer who walked in might rob or kill her. She had
difficulty sleeping and was troubled by nightmares. And she spent
six months worth of her savings while looking for another job, and
even when she found one, she still felt fear while at work.
Appellant contends that this evidence was inadmissible as
extraneous offense victim impact evidence under Cantu v. State.
(24)
We disagree. "Victim impact" evidence is evidence of the effect of
an offense on people other than the victim.
(25) The evidence
presented here was evidence of the effect of a different offense
on the victim (of the extraneous offense), and thus is
distinguishable from the situation presented in Cantu.
(26) The evidence
was admissible. But even if it weren't, counsel was not
ineffective for failing to lodge an objection based upon a case
that is clearly distinguishable from the present case. Point of
error seven is overruled.
In point of error sixteen, appellant contends
that the trial court erred in admitting victim impact and
character evidence with regard to the victim of the charged
offense. He contends that testimony from the victim's parents and
the victim's son was prejudicial through its sheer volume as well
as from its content. With regard to volume, he claims that the
State should have been allowed to use only one victim impact
witness. With regard to the content, appellant claims that the
victim impact testimony should have been limited to "the effects
which were intended, known, or reasonably apparent to the
defendant at the time he committed the crime."
Neither of these contentions reflects the law. In Mosley v.
State, we upheld a trial court's decision to permit three
witnesses to testify.
(27) And in that
case we recognized that the State could, within limits, introduce
victim impact evidence of which the defendant was not aware.
(28) Moreover,
the articulated limitations do not apply when the defendant was
aware of the impact at the time of the crime because then
the evidence would necessarily be relevant to future dangerousness
and moral culpability.
(29) Here,
appellant knew the victim - in fact he lived with her - and, thus,
a factfinder could reasonably conclude that he was aware of the
impact that the crime would have on the victim's close family
members.
(30) Appellant
points to only one item of testimony involving victim impact that
he claims he could not have known: the victim's mother speculated
in her testimony that the victim's death caused the victim's
sister's cancer to become active again. But appellant did not
object to this particular item of testimony. His attack on victim
impact testimony in general, advanced before any testimony was
heard, did not place the trial court on notice that appellant
would find this particular testimony objectionable due to the
unforeseeability of the event described.
(31) Point of
error sixteen is overruled.
4. Execution Impact
In point of error eight, appellant contends
that the trial court erred when it refused to permit testimony
regarding the effect a sentence of death would have on appellant's
family while at the same time permitting testimony about how the
victim's death affected her family. Specifically, he complains
about the trial court's ruling with regard to defense witness
Teresa Breaux, appellant's niece.
Breaux testified that, when she was growing up,
she was often at her grandparents house, where appellant lived,
and appellant was like a big brother to her. She testified to
various fond memories she had of her and appellant playing
together. She further testified that appellant taught her how to
drive and how to defend herself. She recalled an incident in which
a different uncle threatened the family and appellant played a
role in defusing that threat. She also recalled that appellant
gave her a place to live when she decided to rebel against her
parents and marry at age seventeen. Later, appellant helped her
fix up a dilapidated house she moved into, and appellant stayed
overnight once to protect her from an individual who had
threatened to rape her. She also testified that she loved
appellant.
After all of this testimony, defense counsel
approached the bench and requested permission to ask the witness "if
[appellant] were given the death penalty how that would affect her."
The prosecutor objected on the ground of relevance, and the trial
court sustained the objection. Appellant did not attempt to make
an offer of proof as to what the witness's testimony would have
been.
To preserve error regarding the exclusion of
evidence, the offering party must make an "offer of proof"
conveying the substance of the proffered evidence.
(32) Because
appellant failed to do so, he failed to preserve error. Moreover,
we have previously decided that a trial court does not abuse its
discretion in excluding "execution-impact" testimony.
(33) Point of
error eight is overruled.
5. Length of Sentence
In point of error thirteen, appellant contends
that the prosecutor improperly suggested to the jury that its
verdict might not be the final determination of appellant's
sentence due to possible reversal by a higher court. He further
contends that this conduct violated a motion in limine and
deprived him of due process. His brief refers to prosecutorial
questioning during cross-examination of defense witness John
Escobedo, a former member of the Board of Pardons and Paroles.
However, although appellant filed a motion in limine, he did not
object to the prosecutor's questions at the time they were asked
and answered. Motions in limine do not preserve error.
(34) Because
appellant failed to lodge a proper objection, he failed to
preserve error.
(35) Even if his
motion in limine had sufficed as a proper objection, however, that
motion was granted. Consequently, appellant failed to
obtain an adverse ruling from which to base an appeal.
(36) Point of
error thirteen is overruled.
In point of error fourteen, appellant contends
that he was deprived of his constitutional right to the effective
assistance of counsel when the defense attorneys failed to object
to the prosecutor's repeated suggestion during questioning that a
capital-life inmate might be released much sooner than the forty
years the law requires him to serve before becoming eligible for
parole. Appellant called Escobedo to testify about the procedures
followed by the Board of Pardons and Paroles. Escobedo testified
that a capital-life case was treated differently from other cases
in that a two-thirds vote of the entire board was required to
grant parole. He also explained that a defendant receiving a
capital-life sentence under current law would be required to serve
forty calendar years before becoming parole-eligible. Escobedo
also discussed procedures relating to the consideration of parole
and some of the factors the parole board would consider in
determining whether to grant parole. In addition, he answered
negatively when asked, "Could the board today in any way reduce a
capital life sentence of 40 years?" During cross-examination, the
prosecutor asked questions regarding various ways in which a
capital life inmate might exit the prison system in less than
forty years, including: retroactive change in the law lowering
parole eligibility, early release in response to overcrowding, and
escape. Appellant contends that discussion of the first two of
these ways constituted improper speculation and that counsel
should have objected.
We decline to find counsel ineffective on this
basis on the record before us. As we have done many times before,
we point out that the record on direct appeal is usually
inadequate to address ineffective assistance claims.
(37) Before
granting relief on a claim that defense counsel failed to do
something, we ordinarily require that counsel be afforded the
opportunity to outline the reasons for the omission.
(38) To warrant
reversal without affording counsel such an opportunity, the
challenged conduct must be "so outrageous that no competent
attorney would have engaged in it."
(39) In
Ripkowski v. State, we held that defense counsel opened the
door to testimony concerning possible changes in parole law by:
"(1) eliciting testimony that parole laws had become tougher on
inmates throughout the years, (2) eliciting testimony concerning
the procedures of the Parole Board and the factors taken into
account in determining whether to release someone, and (3) arguing
that [the defendant] would never be released on parole."
(40) At least the
second Ripkowski factor was present in this case when
Escobedo testified about the procedures followed by the parole
board and some of the factors taken into account when determining
whether to grant parole. And, arguably, Escobedo's testimony went
further when he indicated that the parole board could not reduce
the forty-year sentence. Counsel could have reasonably believed
that the direct examination testimony opened the door to the
cross-examination of which appellant now complains, and counsel
could have reasonably believed that the initial direct examination
testimony, even after the State's cross, was to his client's
benefit. Point of error fourteen is overruled.
C. Jury Instructions
In point of error four, appellant contends that the trial court's
instructions relating to the mitigation special issue
unconstitutionally narrowed the definition of mitigating evidence
to that evidence which reduces the defendant's moral
blameworthiness. In point of error six, he contends that the trial
court erred in refusing to include in the charge his requested
instruction defining mitigating evidence more broadly. He
summarizes his mitigating evidence as falling into four categories:
(1) his abused and neglected childhood, (2) alcohol and cocaine
dependence, (3) low IQ, and (4) his good qualities as a father,
family member, and worker. He concedes that the definition given
in the charge is required by statute
(41) but contends
that the definition constitutes an improper screening test in
violation of Tennard v. Dretke.
(42) We have
already decided this very claim adversely to appellant's position.
(43) Moreover,
appellant does not explain how the jury instructions that were
given prevented the jury from giving effect to any of his alleged
mitigating evidence, and we perceive no barrier to the jury doing
so.
(44) Points of
error four and six are overruled.
In point of error ten, appellant contends that the mitigation
special issue is unconstitutional because no burden of proof is
assigned to it. In point of error eleven, he contends that the
mitigation issue is unconstitutional because it does not impose a
burden of proof on the State's "anti-mitigating" evidence. Citing
Prystash v. State, appellant concedes that we have
rejected these contentions many times.
(45) He contends
that he has a new argument based on recent decisions of this Court
and the United States Supreme Court, but the only case he cites in
support of his argument that postdates Prystash is the
Supreme Court's decision in Blakely v. Washington.
(46) We have
previously rejected the argument that the Apprendi
(47)-Ring
(48)-Blakely
line of cases requires a burden of proof with regard to the
mitigation special issue.
(49) Points of
error ten and eleven are overruled.
D. Closing Argument
In point of error twelve, appellant contends
that the trial court erred in refusing his request to give the
concluding argument at punishment on the mitigation special issue.
He concedes that we held contrary to his position in Masterson
v. State,
(50) but he
requests that we reconsider that decision. Nothing in his argument
convinces us that our decision in Masterson was incorrect.
Point of error twelve is overruled.
E. Challenges to the Death Penalty
In point of error nine, appellant contends that
the death penalty should have been precluded in his case because
the grand jury did not pass on the punishment special issues when
deciding whether to indict him. As authority, he relies upon the
Apprendi-Ring-Blakely line of cases. We have rejected
this claim with respect to Apprendi and Ring,
and Blakely does not appear to affect our rationale in
doing so.
(51) Point of
error nine is overruled.
In point of error fifteen, appellant contends
that the Texas death-penalty scheme is unconstitutional because it
fails to provide uniform statewide standards to guide prosecutors
in deciding when to seek the death penalty. He contends that this
failure constitutes a violation of the Equal Protection Clause of
the Fourteenth Amendment. We have previously rejected the notion
that there should be "a statewide policy or standard for
determining in which cases the State will seek the death penalty
as opposed to leaving the decision in the hands of the individual
district attorneys."
(52) Appellant
relies upon Bush v. Gore,
(53) but we have
rejected the notion that a disparity in death-penalty decision-making
from county to county violates the principles articulated in that
decision.
(54) Point of
error fifteen is overruled.
The trial court's judgment is affirmed.
Delivered: April 18, 2007
Publish
*****
1.
Tex. Pen. Code §19.03(a)(2)("A person commits an
offense if the person commits murder as defined under Section
19.02(b)(1) and . . . the person intentionally commits the murder
in the course of committing or attempting to commit . . . robbery.")
2.
Art. 37.071, §2(g). Unless otherwise indicated, all
references to articles are to the Texas Code of Criminal Procedure.
8. Cooper v. State, 67 S.W.3d 221, 224 (Tex.
Crim. App. 2002).
9. Renteria v. State, 206 S.W.3d 689, 707 (Tex.
Crim. App. 2006); Russeau v. State, 171 S.W.3d 871, 878
n. 1 (Tex. Crim. App. 2005), cert. denied, 126 S. Ct.
2982 (2006); Blue v. State, 125 S.W.3d 491, 496 (Tex.
Crim. App. 2003); Conner v. State, 67 S.W.3d 192, 199 (Tex.
Crim. App. 2001); Brooks v. State, 990 S.W.2d 278, 285 (Tex.
Crim. App. 1999); McGinn v. State, 961 S.W.2d 161,
166-169 (Tex. Crim. App. 1998).
10.
Appellant relies in part upon Zuniga v. State,
144 S.W.3d 477 (Tex. Crim. App. 2004). We note that Zuniga
was recently overruled in Watson, 204 S.W.3d at 415-420.
14. Johnson v. United States, 520 U.S. 461,
468-469 (1997); see also Johnson v. State, 169 S.W.3d
223, 229 (Tex. Crim. App. 2005), cert. denied, 126 S. Ct.
1355 (2006).
15. See Potier v. State, 68 S.W.3d 657 (Tex.
Crim. App. 2002).
16.
"If scientific, technical, or other specialized
knowledge will assist the trier of fact to understand the evidence
or to determine a fact in issue, a witness qualified as an expert
by knowledge, skill, experience, training, or education may
testify thereto in the form of an opinion or otherwise." Tex. R.
Evid. 702.
17. See Rule 38.1(h)("The brief must contain .
. . appropriate citations to authorities").
21. See id. at 560-561 (recognizing that "the
distinction between" hard and soft science "may often be blurred").
22. See Hernandez v. State, 116 S.W.3d 26,
30-32 (scientific evidence should not be admitted on the basis of
a record devoid of the proper showing of reliability).
23. See Schutz v. State, 957 S.W.2d 52, 69 (Tex.
Crim. App. 1997)("We should be cautious about permitting experts
to draw conclusions that rest on both expert and lay knowledge . .
. . Once the expert has imparted his specialized knowledge to the
jury, the jury can use that knowledge, along with its own lay
knowledge of human nature, to arrive at its own conclusion.").
25. Garcia v. State, 126 S.W.3d 921, 929 (Tex.
Crim. App. 2004) (medical records of injured bystander admissible
over "victim impact" objection); Guevara v. State, 97 S.W.3d
579, 583 (Tex. Crim. App. 2003) (discussing meaning of "victim
impact" testimony) ; Mathis v. State, 67 S.W.3d 918, 928
(Tex. Crim. App. 2002) (testimony not "victim impact" evidence
because not about effect on third person or about victim's
character). See also Payne v. Tennessee, 501 U.S. 808,
817 (1991).
43. Perry v. State, 158 S.W.3d 438, 449 (Tex.
Crim. App. 2004), cert. denied, 126 S. Ct. 416 (2005).
44. Morris v. State, 940 S.W.2d 610, 615 (Tex.
Crim. App. 1996)("evidence of past abuse, mental illness,
intoxication, drug addiction and remorse . . . reflect upon the
issue of moral blameworthiness"); Norris v. State, 902
S.W.2d 428, 448 (Tex. Crim. App. 1995)(being a good father and
employee did not require an instruction separate from the future
dangerousness issue that was submitted).
54. Threadgill v. State, 146 S.W.3d 654,
671-672 (Tex. Crim. App. 2004)(citing Rayford, 125 S.W.3d
at 534).
Roberts v. Thaler, 681 F.3d 597 (5th
Cir. 2012). (Federal Habeas)
Background: After his state conviction for
capital murder and death sentence were affirmed, 220 S.W.3d 521,
and his petition for state habeas relief was denied, 2009 WL
1337443, petitioner sought federal writ of habeas corpus. The
United States District Court for the Eastern District of Texas,
Thad Heartfield, J., 2011 WL 5433982, denied petition. Appeal was
taken.
Holdings: The Court of Appeals, King, Circuit
Judge, held that: (1) in matter of first impression, inadequate
briefing of claim in capital case is valid procedural bar to
federal habeas relief; (2) Eighth Amendment claim regarding
restriction on expert testimony at sentencing was procedurally
barred; (3) restriction on expert testimony did not violate Eighth
Amendment; (4) trial counsel's performance was not deficient; and
(5) Eighth Amendment claim regarding restriction on execution
impact testimony was procedurally barred. Affirmed.
KING, Circuit Judge:
Donnie Lee Roberts was convicted of capital
murder and sentenced to death. The Texas Court of Criminal Appeals
rejected both his direct and postconviction appeals. He then filed
for federal habeas relief in the district court. The district
court rejected his petition for habeas relief, but granted him a
certificate of appealability to pursue three claims arising from
his sentencing hearing dealing with, respectively, the
restrictions on his expert's testimony, the alleged ineffective
assistance of his trial counsel in failing to object to victim
impact testimony, and the restriction on execution impact
testimony. Roberts's first claim is procedurally defaulted and,
alternatively, fails on the merits. His ineffective assistance
claim also fails on the merits, and his execution impact claim is
procedurally barred. We, therefore, AFFIRM the district court's
denial of habeas relief to Roberts.
I. FACTUAL AND PROCEDURAL BACKGROUND
The district court summarized the facts
underlying Donnie Lee Roberts's (“Roberts”) case as follows: At
the time of the murder, [Roberts] lived with the victim, Vicki
Bowen. [Roberts] was unemployed, often drank alcohol, and used
cocaine. Bowen worked as a dental assistant. On October 15, 2003,
she went shopping with co-worker Brenda Bland, but she did not
show up for work the next day. Because Bowen was a punctual person
who always called if she was going to be late, Bland became
concerned and went to Bowen's house to check on her. When Bland
arrived at the home, she found the front door open. After knocking
and receiving no answer, Bland entered the home and found Bowen
dead. Bland noticed that Bowen was still in the scrubs she had
worn at work the previous day. She was covered by a blanket and
was lying face down with her head turned to the side in a pool of
blood. Blood spatters were present in the living room on the
coffee table, the couch, and the walls. The medical examiner would
later determine that Bowen died from two gunshot wounds to the
head.
It was immediately apparent from an examination
of the scene that Bowen's television and her son's truck were
missing. That same day, the police found [Roberts] after tracking
down the stolen truck. It was later determined that [Roberts] had
taken the truck, the television, Texans/Titans football tickets,
jewelry, a Western Union money order, a .22 rifle, and a .22
pistol. [Roberts] had sold the football tickets for one hundred
dollars. He had bought cocaine from Edwin Gary on October 15 on
three different occasions, the last of which involved trading the
.22 caliber pistol. [Roberts] had apparently abandoned the .22
rifle, later determined to be the murder weapon, a few blocks from
where he was found. The Western Union money order was found in the
residence at which [Roberts] had parked his truck, but the
television and the jewelry were never recovered. [Roberts] was
interviewed and gave a confession. In that confession, he
acknowledged that he had “a crack cocaine problem” and that he
would go to bars, get drunk, and then look for drugs. With regard
to the victim's death, [Roberts] said, “I pointed the gun at her
and I told her just give me some money.” *603 Later in the
interview, [Roberts] stated: “I pointed the gun at her and I said,
‘if you'd just give me some money.’ And she said ‘No.’ And then I
said, ‘Look, it doesn't have to be this way.’ That's all I
remember saying to her. And the next thing I know, I shot her.”
At trial, [Roberts] testified to a different
sequence of events. He claimed that he picked up the .22 rifle
because it was out of place, near the door. He also claimed that
he saw what looked like a .22 pistol in Bowen's pocket and that
she moved her hand to her pocket to reach for it. He then said
that he “must have chambered a round into the .22 rifle at that
time,” but he did not remember if he pulled the safety off. He
also claimed that he did not remember his gun firing but that he
knows it did. [Roberts] further testified that he did not intend
to rob Bowen at the time he shot her, but he admitted to taking
items of her property later. Roberts v. Thaler, No. 1:09cv419,
2011 WL 5433982, at *1–2 (E.D.Tex. Nov.7, 2011) (citing Roberts v.
State, 220 S.W.3d 521, 524–25 (Tex.Crim.App.2007)).
Roberts was found guilty of capital murder on
October 15, 2004, and, following a subsequent sentencing hearing,
was sentenced to death on October 27, 2004. Id. at *2. Roberts's
conviction and sentence were both affirmed by the Texas Court of
Criminal Appeals (“TCCA”) on direct appeal. See Roberts, 220
S.W.3d at 524–25. His petition for state postconviction relief was
denied, with the TCCA adopting most, but not all, of the lower
court's findings and conclusions. See Ex parte Roberts, Nos.
71,573–01, 71,573–02, 2009 WL 1337443, at *1 (Tex.Crim.App. May
13, 2009).
Roberts then filed for federal habeas relief in
the district court for the Eastern District of Texas, raising
nineteen claims for relief. See Roberts, 2011 WL 5433982, at *2–3.
The district court rejected all of Roberts's claims for habeas
relief on a variety of procedural and substantive grounds on
November 7, 2011. Id. at *26. On December 7, 2011, the district
court granted Roberts a certificate of appealability (“COA”) to
continue to pursue three of his claims before this court: (1) that
his right to be free from cruel and unusual punishment was
violated when the trial court refused to let his expert testify
during Roberts's sentencing that Roberts's combined use of alcohol
and cocaine caused him to commit the capital murder; (2) that he
was denied the effective assistance of counsel when his trial
counsel failed to object during the sentencing hearing to
testimony that Roberts alleges was improper victim impact evidence
from an extraneous crime; and (3) that his right to be free from
cruel and unusual punishment was violated when the trial court
refused to allow testimony from Roberts's family member as to how
his execution would impact her. We first address the proper
standard of review under the Anti–Terrorism and Effective Death
Penalty Act (“AEDPA”), 28 U.S.C. § 2254, and then resolve each of
Roberts's claims in turn.
II. DISCUSSION
A. Standard of Review
The district court's grant of a COA to Roberts
gives us jurisdiction to review his claims. See 28 U.S.C. §
2253(c); Miller–El v. Cockrell, 537 U.S. 322, 335–36, 123 S.Ct.
1029, 154 L.Ed.2d 931 (2003). “In an appeal of the district
court's denial of habeas relief, ‘this court reviews the district
court's findings of fact for clear error and its conclusions of
law de novo, applying the same standard of review that the
district court applied to the state court decision.’ ” *604 Austin
v. Cain, 660 F.3d 880, 884 (5th Cir.2011) (quoting Jones v. Cain,
600 F.3d 527, 535 (5th Cir.2010)).
Roberts's appeal is governed by AEDPA, 28
U.S.C. § 2254. Under § 2254(d)(1), if the state court denied the
petitioner's claim on the merits, a federal court may grant habeas
corpus relief only if the state court's adjudication of his claim
“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....” To be
clear, “a federal habeas court may not issue the writ simply
because that court concludes in its independent judgment that the
relevant state-court decision applied clearly established federal
law erroneously or incorrectly. Rather, that application must also
be unreasonable.” Williams v. Taylor, 529 U.S. 362, 411, 120 S.Ct.
1495, 146 L.Ed.2d 389 (2000) (emphasis added); see also Harrington
v. Richter, ––– U.S. ––––, 131 S.Ct. 770, 786, 178 L.Ed.2d 624
(2011) (“It bears repeating that even a strong case for relief
does not mean the state court's contrary conclusion was
unreasonable.”). “A state court's decision is contrary to clearly
established federal law if it applies a rule that contradicts the
governing law set forth in Supreme Court cases ... or if the state
court decide[s] a case differently than the United States Supreme
Court previously decided a case on a set of nearly identical
facts.” Jones, 600 F.3d at 535 (citations and internal quotation
marks omitted). Similarly, “[a] state court's decision involves an
unreasonable application of clearly established federal law if the
state court ‘correctly identifies the governing legal rule but
applies it unreasonably to the facts of a particular prisoner's
case.’ ” Fields v. Thaler, 588 F.3d 270, 273 (5th Cir.2009)
(quoting Williams, 529 U.S. at 407–08, 120 S.Ct. 1495).
AEDPA also governs our review of factual
determinations. See Chester v. Thaler, 666 F.3d 340, 348 (5th
Cir.2011). Under § 2254(e)(1), the state court's factual findings
are accorded a presumption of correctness and the petitioner may
only rebut this presumption with clear and convincing evidence.
See Miller–El v. Dretke, 545 U.S. 231, 240, 125 S.Ct. 2317, 162
L.Ed.2d 196 (2005). Moreover, we may not grant habeas relief
unless the state court determination “was based on an unreasonable
determination of the facts in light of the evidence presented in
the State court proceeding.” 28 U.S.C. § 2254(d)(2).
Finally, we may not review a habeas claim “if
the last state court to consider that claim expressly relied on a
state ground for denial of relief that is both independent of the
merits of the federal claim and an adequate basis for the court's
decision.” Finley v. Johnson, 243 F.3d 215, 218 (5th Cir.2001)
(emphasis added). Thus, “[a]s a rule, a state prisoner's habeas
claims may not be entertained by a federal court when (1) a state
court [has] declined to address [those] claims because the
prisoner had failed to meet a state procedural requirement, and
(2) the state judgment rests on independent and adequate state
procedural grounds.” Maples v. Thomas, ––– U.S. ––––, 132 S.Ct.
912, 922, 181 L.Ed.2d 807 (2012) (citation and internal quotation
marks). The twin requirements of independence and adequacy demand
that the state court's dismissal must “ ‘clearly and expressly’
indicate that it rests on state grounds which bar relief, and the
bar must be strictly or regularly followed by state courts, and
applied to the majority of similar claims.” Finley, 243 F.3d at
218 (quoting Amos v. Scott, 61 F.3d 333, 338–39 (5th Cir.1995)).
Put differently, “[t]o produce a federally cognizable default, the
state procedural rule ‘must have been ‘firmly established and
regularly *605 followed’ by the time as of which it is to be
applied.' ” Busby v. Dretke, 359 F.3d 708, 718 (5th Cir.2004)
(quoting Ford v. Georgia, 498 U.S. 411, 424, 111 S.Ct. 850, 112
L.Ed.2d 935 (1991)). A petitioner may not overcome a procedural
default based on independent and adequate state grounds, unless
the prisoner can establish cause for the default and actual
prejudice as a result of the alleged violation of federal law, or
that the failure to consider his claims would result in a
fundamental miscarriage of justice because he is “actually
innocent” of the offense underlying his conviction or “actually
innocent” of the death penalty. Williams v. Thaler, 602 F.3d 291,
307 (5th Cir.2010) (citing Schlup v. Delo, 513 U.S. 298, 326–27,
115 S.Ct. 851, 130 L.Ed.2d 808 (1995); Sawyer v. Whitley, 505 U.S.
333, 340, 112 S.Ct. 2514, 120 L.Ed.2d 269 (1992)). While our
normal procedure is to consider issues of procedural default
first, we may nonetheless opt to examine the merits first,
especially when procedural default turns on difficult questions of
state law. Busby, 359 F.3d at 720.
B. Roberts's First Claim: The Limitation on
His Expert's Testimony
Roberts's first claim is that his rights under
the Eighth Amendment were violated when the trial court refused to
allow his expert, Dr. Katherine McQueen (“Dr. McQueen”), to
testify that it was Roberts's combined use of alcohol and crack
cocaine that caused him to commit the capital murder. The trial
court held a pre-sentencing evidentiary hearing to determine what
the scope of Dr. McQueen's testimony would be. Roberts, 220 S.W.3d
at 527–28. Upon reviewing Dr. McQueen's qualifications, the basis
for her testimony, and arguments from both sides, the trial court
determined that Dr. McQueen could not give her “opinion about
whether [Roberts's addiction to cocaine and alcohol] had some
bearing on th[e] offense.” Id. at 529. Dr. McQueen was permitted
to testify that there was statistical evidence showing a
correlation between the combined use of alcohol and cocaine and
violence, that this relationship was stronger when both drugs were
ingested together rather than individually, and that Roberts was
addicted to both. Id. However, during the sentencing hearing
itself, Roberts's counsel attempted to ask Dr. McQueen, “[W]as
there some or is there some relationship to Donnie Roberts'[s]
dependence on alcohol, dependence on cocaine, dependence on a
combination thereto in relationship to the events of the [day of
the murder]?” Id. at 529–30. The prosecution objected and the
objection was sustained. Id. at 530.
On direct appeal before the TCCA, Roberts
argued that, by not permitting Dr. McQueen to testify that his
combined use of alcohol and drugs caused him to commit the
offense, the trial court excluded constitutionally relevant
mitigating evidence. Id. at 528. The TCCA first noted that
Roberts's “brief fails to address the reason the trial court did
exclude the evidence: that appellant had failed to make the
requisite showing of reliability under [Texas] Rule [of Evidence]
702.” Id.FN1 “Consequently,”*606 the TCCA concluded, “[Roberts]'s
briefing is inadequate, and his point of error is subject to
rejection on that ground alone.” Id. On this point, the TCCA cited
to Texas Rule of Appellate Procedure 38.1, which, inter alia,
provides that “[t]he brief must contain a clear and concise
argument for the contentions made, with appropriate citations to
authorities and to the record.” Tex.R.App. Proc. 38.1(i). However,
the TCCA then stated, “Nevertheless, we turn to the merits.”
Roberts, 220 S.W.3d at 528. The TCCA proceeded to reject Roberts's
claim on the merits, id. at 528–31, holding that “the trial court
could reasonably conclude that [Dr. McQueen's] pharmacological
knowledge and [previous] studies were not a sufficient basis from
which to draw a scientific conclusion about how any particular
individual would behave.” Id. at 530. The district court noted
that the TCCA rejected Roberts's claim on procedural grounds, but
apparently did not agree with its reasoning: “The parties have not
cited, and this Court has not found, authority holding that the
rule forbidding inadequate briefing is strictly or regularly
applied evenhandedly to the vast majority of similar claims. In
light of this uncertainty, the Court finds it easier to resolve
this claim on its merits.” Roberts, 2011 WL 5433982, at *14. The
district court then considered Roberts's claim on the merits and
concluded that “the state court's rejection of this claim was
neither contrary to, nor the result of an unreasonable application
of, clearly established federal law, as determined by the Supreme
Court of the United States in Tennard [and] Barefoot....” Id. at
16.
FN1. Texas Rule of Evidence 702 provides that
“[i]f scientific, technical, or other specialized knowledge will
assist the trier of fact to understand the evidence or to
determine a fact in issue, a witness qualified as an expert by
knowledge, skill, experience, training, or education, may testify
thereto in the form of an opinion or otherwise.” In the capital
context, Kelly v. State, 824 S.W.2d 568 (Tex.Crim.App.1992),
provides the governing standard for evaluating the relevance and
reliability of expert testimony.
Roberts's brief before the TCCA noted that “the
trial court would not allow [his expert] to give her ultimate
opinion that [Roberts's] drug use caused Roberts to commit the
crime in this case.” Roberts only referred to the issue of
relevancy when he stated, without providing any citations, that
“[s]uch evidence [as it relates to the circumstances of the
particular offense] is ... so highly relevant according to the
Supreme Court that it may not be excluded.” Roberts may have been
attempting to argue, relying on Lockett v. Ohio, 438 U.S. 586, 98
S.Ct. 2954, 57 L.Ed.2d 973 (1978), and Tennard v. Dretke, 542 U.S.
274, 124 S.Ct. 2562, 159 L.Ed.2d 384 (2004), that state relevancy
requirements must yield to the constitutional guarantee that “the
[capital] sentencing process must permit 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.” Lockett, 438 U.S. at 601, 98 S.Ct. 2954 (citation and
internal quotation marks omitted). But Roberts never actually made
this point before the state courts—at least not with any
clarity—nor did he cite to any of the relevant Texas statutes or
cases that govern this area of law. Indeed, Roberts makes no
reference to procedural default in his briefing on this claim
before this court. While the TCCA may well have disposed of
Roberts's claim on grounds of procedural default, its analysis was
brief and a credible argument could be made that the TCCA was
merely noting—rather than holding—that Roberts's claim was
inadequately briefed and thus could be “subject to rejection on
that ground alone.” Roberts, 220 S.W.3d at 527. If the TCCA did
find Roberts's claim procedurally barred, then we must first
consider whether this conclusion precludes review of the substance
of his habeas claim. See Rocha v. Thaler, 619 F.3d 387, 400 (5th
Cir.2010). Given that the TCCA “clearly and expressly” relied on
Texas's rule regarding adequate briefing in disposing of Roberts's
claim on this procedural ground, Finley, 243 F.3d at 218, we must
examine the TCCA's application of this rule in previous cases. We
have not had occasion to consider this issue within our
circuit.FN2
FN2. This court has encountered inadequate
briefing as a form of procedural default in habeas cases arising
from the Texas courts, but has either not had occasion to consider
it directly or has only addressed it in the COA context. In
Salazar v. Dretke, 419 F.3d 384, 395–96 (5th Cir.2005), this court
confronted a situation where the TCCA had rejected a petitioner's
argument on procedural grounds of inadequate briefing. However,
the district court concluded that the State had failed to invoke
the procedural bar doctrine before the trial court and had
abandoned this claim on appeal. Id. at 395 n. 20. Accordingly, the
panel did not address this issue. In Heiselbetz v. Johnson, No.
98–41474, 1999 WL 642862, at *6 (5th Cir. July 26, 1999), an
applicant for a COA was denied the certificate on a claim that the
TCCA concluded was inadequately briefed. The panel concluded that
the applicant had failed to “make a credible showing that his
claim [wa]s not procedurally barred.” Id.
A survey of the TCCA's capital sentencing
jurisprudence reveals that it regularly rejects claims, both on
direct and postconviction review, on the basis that these claims
are inadequately briefed. See, e.g., Leza v. State, 351 S.W.3d
344, 358 (Tex.Crim.App.2011) (“The appellant directs us to nowhere
in the record where any such complaints were registered in the
trial court, nor have we found any. Nor does he now offer any
justification for treating these arguments as immune from ordinary
principles of procedural default, in contemplation of the
framework for error preservation.... For this reason, we regard
his arguments under this point of error as inadequately briefed
and decline to reach their merits.”) (footnotes omitted); Lucio v.
State, 351 S.W.3d 878, 896 (Tex.Crim.App.2011) (“Appellant's brief
contains no argument or citation to any authority that might
support an argument that if she is guilty, she is guilty only of
injury to a child.... We decide that this point of error is
inadequately briefed and presents nothing for review as this Court
is under no obligation to make appellant's arguments for her.”);
Murphy v. State, 112 S.W.3d 592, 596 (Tex.Crim.App.2003)
(“[B]ecause appellant does not argue that the Texas Constitution
provides, or should provide, greater or different protection than
its federal counterpart, appellant's point of error is
inadequately briefed.”); Salazar v. State, 38 S.W.3d 141, 147
(Tex.Crim.App.2001) (dismissing multiple claims on grounds that
“[a]ppellant has briefed these points together, but his brief
presents no authority in support of his argument”); Heitman v.
State, 815 S.W.2d 681, 690 n. 23 (Tex.Crim.App.1991) (“We do not,
by this opinion, retreat from our [prior] pronouncement ... that
briefs asserting rights under Article I, Sec. 10 of the Texas
Constitution were inadequate if they did not provide either
argument or authority in support of that assertion.”).
While the district court was correct to note
that we have not decided whether Texas's rule regarding inadequate
briefing in the capital context constitutes a valid procedural bar
to federal habeas relief, we hold now that under the prevailing
standards, Texas's rules have been “regularly followed by [its]
courts, and applied to the majority of similar claims.” Finley,
243 F.3d at 218. Other district courts in our jurisdiction have
held as much. See, e.g., Woodard v. Thaler, 702 F.Supp.2d 738,
750–51 & n. 9 (S.D.Tex.2010).FN3 Our sister courts of appeal, in
addressing analogous provisions from other states, have likewise
found them to act as independent and adequate state procedural
bars. See House v. Hatch, 527 F.3d 1010, 1029–30 (10th Cir.2008)
(holding that New Mexico's requirement of adequate briefing is an
independent and adequate procedural bar to federal habeas relief);
Clay v. Norris, 485 F.3d 1037, 1040–41 (8th Cir.2007) (holding
that Arkansas's proper abstracting rule is *608 an independent and
adequate procedural bar to federal habeas relief).
FN3. One exception is Oliver v. Dretke, No.
1:04CV041, 2005 WL 2403751, at *9 (E.D.Tex. Sept. 29, 2005), where
the court found that “[i]t is not clear that Rule 38.1 has been so
consistently applied as to constitute an adequate and independent
state ground for decision, [and so] the Court finds that the issue
has not been procedurally defaulted.” The district court provided
nothing—neither citations nor reasoning—beyond this bald
statement. Such conclusory statements are unpersuasive.
In this case, if the TCCA did invoke the
briefing requirements of Texas Rule of Appellate Procedure 38.1 to
bar Roberts's claim, then its determination constituted an
independent and adequate state ground for denial of relief that
procedurally bars federal habeas review. Moreover, Roberts cannot
show any cause for his default nor does he claim that any
miscarriage of justice would result from enforcing such a bar. See
Coleman v. Thompson, 501 U.S. 722, 750, 111 S.Ct. 2546, 115
L.Ed.2d 640 (1991). Consequently, we disagree with the district
court's determination that Roberts's inadequate briefing does not
pose a bar to federal habeas review.
However, because a credible argument could be
made that the TCCA did not expressly bar Roberts's claim, we also
consider the merits of his claim. Roberts concedes that Dr.
McQueen was permitted to testify that Roberts was addicted to
alcohol and cocaine, and that there is “a very strong connection
between substance use and dependence and violent acts and, in
particular, between dependence on both alcohol and cocaine and
violent acts.” Roberts, 220 S.W.3d at 531 (internal quotation
marks omitted). Nevertheless, Roberts appears to take issue with
the TCCA's conclusion, adopted by the district court, that “the
trial court [did not] err[ ] when it decided to prevent Dr.
McQueen from taking the extra step of opining whether alcohol and
drug dependence was related to [Roberts]'s violent conduct” on the
night of the murder. Id. Roberts argues that this restriction left
Dr. McQueen's testimony “in the abstract and not personal so that
the jury could give effect to the mitigating evidence that
‘reduced the defendant's moral blameworthiness' as contemplated in
Tennard [ v. Dretke, 542 U.S. 274, 124 S.Ct. 2562, 159 L.Ed.2d 384
(2004)].”
Roberts's argument appears to rest on both
Tennard—where the Court held that the Eighth Amendment requires
that the jury be able to consider and give meaningful effect to a
capital defendant's mitigating evidence—and Barefoot v. Estelle,
463 U.S. 880, 103 S.Ct. 3383, 77 L.Ed.2d 1090 (1983)—where the
Court refused to enact a constitutional per se bar to expert
testimony regarding a defendant's future dangerousness. But
neither case, either individually or in combination, supports
Roberts's claim. The jury was not prevented from giving meaningful
effect to the testimony of Dr. McQueen; rather, Dr. McQueen was
prevented from specifically stating that Roberts's dependence on
drugs and alcohol caused him to commit the homicide. This
restriction came after Dr. McQueen was unable to show any reliable
basis for such testimony, being unable to cite any specific
scientific research for her conclusions. Roberts, 220 S.W.3d at
528–29. Nonetheless, Dr. McQueen was permitted to testify broadly
and the jury was fully entitled to draw Roberts's preferred
inference that drugs and alcohol were mitigating factors in the
crime after hearing Dr. McQueen's testimony. We see no
unreasonable application of Tennard by the TCCA in upholding the
trial court's limitation on Dr. McQueen's testimony.
Moreover, Roberts has shown no unreasonable
application of Barefoot. Dr. McQueen was permitted to testify
about Roberts's drug and alcohol addiction and the relationship of
such an addiction to violent behavior. Indeed, Roberts was
permitted to present the testimony of a second expert confirming
the impact of Roberts's cocaine and alcohol addiction on his
psychology and opining that Roberts would not pose a future
danger. Barefoot *609 stands for the proposition that expert
testimony predicting a defendant's future dangerousness is not per
se inadmissible. See Barefoot, 463 U.S. at 896–97, 103 S.Ct. 3383
(explaining that because future dangerousness “is a
constitutionally acceptable criterion for imposing the death
penalty,” and it is “not impossible for even a lay person sensibly
to arrive at that conclusion, it makes little sense, if any, to
submit that psychiatrists, out of the entire universe of persons
who might have an opinion on the issue, would know so little about
the subject that they should not be permitted to testify”).FN4
Barefoot does not require that any mitigating testimony that might
be offered by an expert be admitted into evidence. Accordingly,
the TCCA did not unreasonably apply federal law when it affirmed
the trial court's restrictions on Dr. McQueen's testimony. FN4.
Moreover, as the district court properly observed, there are
questions about the ongoing vitality of Barefoot in the wake of
Daubert v. Merrell Dow Pharmaceuticals, 509 U.S. 579, 113 S.Ct.
2786, 125 L.Ed.2d 469 (1993). See Flores v. Johnson, 210 F.3d 456,
464–66 (5th Cir.2000) (Garza, J., concurring).
In sum, Roberts's claim is both procedurally
barred and fails on the merits. Consequently, we affirm the
district court's denial of habeas relief on this claim.
C. Roberts's Second Claim: Ineffective
Assistance of Counsel
Roberts's second claim on appeal is that he was
denied the effective assistance of counsel when his trial lawyer
failed to object to testimony from the victim of a robbery that
Roberts previously committed. See Roberts, 2011 WL 5433982, at
*16. To provide the setting, at the sentencing phase of Roberts's
trial, the State introduced evidence of a series of Roberts's
prior offenses, including a confession to law enforcement officers
that he had committed a previous murder and a confession that he
had badly injured his brother on his brother's wedding night. As
part of this evidence, the prosecution called Elizabeth Thomas,
the victim of a robbery by Roberts, to testify about the robbery
and the anxieties and emotional problems that the robbery had
caused her. Roberts, 220 S.W.3d at 531.FN5 The testimony about
Roberts's prior offenses was followed by testimony from the
mother, father, and son of the victim for whose death Roberts was
on trial about the impact of the murder on them. On direct appeal
to the TCCA, Roberts contended that Thomas's testimony about the
impact of Roberts's robbery on her life was improper victim impact
evidence under the TCCA's holding in Cantu v. State, 939 S.W.2d
627, 637 (Tex.Crim.App.1997), and that counsel should have
objected to its introduction. The TCCA disagreed that Thomas's
testimony constituted improper victim impact evidence, explaining
that “ ‘[v]ictim impact’ evidence is evidence of the effect of an
offense on people other than the victim.... [and] [t]he evidence
presented here was evidence of the effect on a different offense
on the victim (of the extraneous offense)....” Roberts, 220 S.W.3d
at 531 (footnote omitted) (emphasis in original). The TCCA then
concluded that the evidence was admissible and “even if it
weren't, counsel was not ineffective for failing to lodge an
objection based upon a case that is clearly distinguishable from
the present case.” Id. The district court surveyed Cantu and other
cases dealing with this class of evidence and concluded that the
TCCA's position was not unreasonable because “Roberts's trial
counsel *610 could reasonably have believed, based upon state
court precedent, that objecting to the admission of the victim
impact evidence in his case would have been futile.” Roberts, 2011
WL 5433982, at *20. FN5. The State also had two experts testify
that Roberts suffered from various psychological disorders and
would pose a future danger.
Ineffective assistance of counsel claims are
governed by the standards laid out in Strickland v. Washington:
First, the defendant must show that counsel's
performance was deficient.... Second, the defendant must show that
the deficient performance prejudiced the defense. This requires
showing that counsel's errors were so serious as to deprive the
defendant of a fair trial, a trial whose result is reliable.
Unless a defendant makes both showings, it cannot be said that the
conviction or death sentence resulted from a breakdown in the
adversary process that renders the result unreliable. 466 U.S.
668, 687, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984). In order to
satisfy the performance prong, “the defendant must show that
counsel's representation fell below an objective standard of
reasonableness.” Id. at 688, 104 S.Ct. 2052. “The proper measure
of attorney performance remains simply reasonableness under
prevailing professional norms.” Id.; see also Wiggins v. Smith,
539 U.S. 510, 521, 123 S.Ct. 2527, 156 L.Ed.2d 471 (2003).
Strickland's second prong focuses on the result of counsel's
deficient performance: “When a defendant challenges a death
sentence ..., the question is whether there is a reasonable
probability that, absent the errors, the sentencer ... would have
concluded that the balance of aggravating and mitigating
circumstances did not warrant death.” Id. at 695, 104 S.Ct. 2052.
In this context, “[a] reasonable probability is a probability
sufficient to undermine confidence in the outcome.” Id. at 694,
104 S.Ct. 2052, 104 S.Ct. 2052. Put differently, “[i]n assessing
prejudice under Strickland, the question is not whether a court
can be certain counsel's performance had no effect on the outcome
or whether it is possible a reasonable doubt might have been
established if counsel acted differently.... Instead, Strickland
asks whether it is ‘reasonably likely’ the result would have been
different.” Harrington v. Richter, ––– U.S. ––––, 131 S.Ct. 770,
791–92, 178 L.Ed.2d 624 (2011) (citations and internal quotation
marks omitted). Thus, Strickland demands that the likelihood of a
different result “must be substantial, not just conceivable.” Id.
at 792.
However, this two-prong standard is itself
subject to the dictates of AEDPA. “Surmounting Strickland's high
bar is never an easy task.... Establishing that a state court's
application of Strickland was unreasonable under § 2254(d) is all
the more difficult. The standards created by Strickland and §
2254(d) are both highly deferential, ... and when the two apply in
tandem, review is doubly so....” Premo v. Moore, –––U.S. ––––, 131
S.Ct. 733, 739–40, 178 L.Ed.2d 649 (2011) (citations and internal
quotation marks omitted). The Supreme Court has admonished that
“[f]ederal habeas courts must guard against the danger of equating
unreasonableness under Strickland with unreasonableness under §
2254(d). When § 2254(d) applies, the question is not whether
counsel's actions were reasonable. The question is whether there
is any reasonable argument that counsel satisfied Strickland 's
deferential standard.” Id. at 740 (emphasis added); see also
Harrington, 131 S.Ct. at 785 (“The pivotal question is whether the
state court's application of the Strickland standard was
unreasonable. This is different from asking whether defense
counsel's performance fell below Strickland's standard.... A state
court must be granted a deference and latitude that are not in
operation*611 when the case involves review under the Strickland
standard itself.”).
In the instant case, the key issue is whether
Roberts's trial counsel was ineffective in failing to object to
the testimony of a victim of an extraneous offense. We “ha[ve]
made clear that counsel is not required to make futile motions or
objections.” Koch v. Puckett, 907 F.2d 524, 527 (5th Cir.1990)
(citing Murray v. Maggio, 736 F.2d 279, 283 (5th Cir.1984) (per
curiam)). Accordingly, if any objection by Roberts's trial counsel
would have been futile, then the failure to object would not fall
below the difficult standard enunciated above.
Determining whether an objection would have
been futile depends on the state of the law regarding victim
impact evidence. To be clear, the Eighth Amendment does not per se
bar the introduction of victim impact evidence in capital cases.
See Payne v. Tennessee, 501 U.S. 808, 827, 111 S.Ct. 2597, 115
L.Ed.2d 720 (1991). Rather, the germane constitutional prohibition
restricts the introduction of “evidence ... that is so unduly
prejudicial that it renders the trial fundamentally unfair” and
violates the Due Process Clause of the Fourteenth Amendment. Id.
at 825, 111 S.Ct. 2597. However, the Court left questions about
the relevancy of such evidence to the states. Id. at 826–29, 111
S.Ct. 2597. In a series of cases beginning with Ford v. State, 919
S.W.2d 107 (Tex.Crim.App.1996), the TCCA set about fleshing out
this standard.FN6 Most relevant for our purposes is Mathis v.
State, 67 S.W.3d 918 (Tex.Crim.App.2002), where the TCCA
confronted a situation in which a defendant had shot three people,
killing one and leaving another quadriplegic, but the defendant
was on trial only for the murder. Id. at 927. At the defendant's
sentencing, the State called the nurse of the paralyzed victim to
discuss the victim's medical care needs. Id. at 928. The TCCA
allowed the evidence, explaining:
FN6. Initially, the TCCA drew on Payne in
concluding that certain kinds of victim impact evidence might
plausibly be relevant to a defendant's moral culpability for
capital murder. Ford, 919 S.W.2d at 115–16. The next year,
however, in Cantu v. State, the TCCA circumscribed this ruling. In
Cantu, the defendant was involved in the murder of two teenage
girls, but was initially tried for one of the murders. Cantu, 939
S.W.2d at 631. During his capital sentencing hearing, the
prosecution introduced the testimony of the mother of the victim
not named in the indictment. Id. at 635–36. The TCCA held that it
was error for the trial court to admit this evidence as “[t]he
danger of unfair prejudice to a defendant inherent in the
introduction of ‘victim impact’ evidence with respect to a victim
not named in the indictment on which he is being tried is
unacceptably high.” Id. at 637. Such evidence was irrelevant and
inadmissible for the purposes of capital sentencing, the TCCA
concluded, effectively combining both inquiries. Id. Cantu's reach
has, in turn, been circumscribed by the decisions we describe
below.
Unlike in [previous cases], in which the
evidence involved testimony regarding both the victim's good
qualities and the effect that her death had on family members, the
testimony in the present case did not involve testimony about how
third persons were affected by the crime, nor was there any
discussion about the character of the victim. [The nurse]'s
testimony focused solely on the medical procedures involved in the
care of [the victim]. Appellant's characterization of [the
nurse]'s testimony as victim impact evidence is incorrect. Id. at
928 (emphasis added). Mathis and its reasoning figured prominently
in shaping two later TCCA decisions. In Guevara v. State, 97
S.W.3d 579, 583–84 (Tex.Crim.App.2003), the TCCA held that the
testimony of a victim of an extraneous *612 offense about the
impact of that offense on another victim's mental impairment was
permissible under Mathis. The TCCA further expanded on this
reasoning in Garcia v. State, 126 S.W.3d 921, 929
(Tex.Crim.App.2004), when confronted with the prosecution's
attempt to introduce medical records from a bystander wounded in
the defendant's shooting of a police officer: In Mathis v. State
... we stated that “victim impact evidence” is “generally
recognized as evidence concerning the effect that the victim's
death will have on others, particularly the victim's family
members.” Appellant mischaracterizes Luna's medical records as
victim impact evidence. The records did not reveal anything about
Luna's good character or how third persons were affected by the
death of the victim named in the indictment (the police officer).
The records reflected in the most technical terms Luna's medical
condition while in the hospital. While the records might have been
irrelevant or inadmissible for other reasons, they were not
irrelevant or inadmissible because they were victim impact
evidence, as appellant claims.
This was the state of Texas law at the time of
Roberts's trial in 2004.FN7 Under AEDPA, we must ask “whether
there is any reasonable argument that counsel satisfied
Strickland's deferential standard,” Premo, 131 S.Ct. at 740, given
the above legal framework and our holding that the failure to
lodge futile objections does not qualify as ineffective
assistance. Koch, 907 F.2d at 527. Roberts seeks to persuade us
that there is no such argument given that three of the TCCA's
judges dissented from the majority's finding that the facts of
Roberts's case differed from those of Cantu. Roberts, 220 S.W.3d
at 535–36 (Meyers, J., dissenting). But the dissent of some judges
does not mean that no reasonable argument could be made supporting
the TCCA's conclusion that Roberts's trial counsel concluded that
Cantu was “clearly distinguishable” from Roberts's situation. Id.
at 531. Indeed, the TCCA cited Mathis, Guevara, and Garcia—all
cases that highlighted the fact that Cantu's holding did not apply
to testimony dealing with the impact of an extraneous offense on a
victim of that extraneous offense—to this effect. Id. at 531 n.
25. It would not have been an unreasonable application of
Strickland to conclude, as the TCCA and the district court did,
that any objection by Roberts's trial counsel would have been
futile in light of the TCCA's post- Cantu “victim impact”
jurisprudence. See Adams v. Thaler, 421 Fed.Appx. 322, 332–34 (5th
Cir.2011) (“[Appellate] counsel could have reasonably concluded
that pursuing the argument that [the] ... testimony [of a victim
injured during the capital offense but whose injuries were not
part of the capital indictment] was inadmissible would have been
futile in light of the TCCA's holding in Mathis that certain
testimony about a victim injured in the same criminal episode is
admissible.”).
FN7. The TCCA later handed down its opinion in
Mays v. State, 318 S.W.3d 368, 393 (Tex.Crim.App.2010), in which
it upheld the admissibility in a capital sentencing of the
testimony of two officers involved in a police shootout but who
were not named as victims of the crimes for which defendants were
tried because they testified regarding their own injuries and the
losses in their lives. While Mays is directly on point with the
situation facing Roberts, it was decided after Roberts's trial and
so cannot be cited for the proposition that any objection by
Roberts's trial counsel would have been futile. Naturally, “there
is no general duty on the part of defense counsel to anticipate
changes in the law.” Green v. Johnson, 116 F.3d 1115, 1125 (5th
Cir.1997). However, counsel should endeavor to “present solid,
meritorious arguments based on directly controlling precedent.”
Ries v. Quarterman, 522 F.3d 517, 532 (5th Cir.2008) (citation and
internal quotation marks omitted).
Our conclusion is bolstered by AEDPA's standard
of review. We are not reviewing the TCCA's evaluation of its own
precedents, but instead applying Strickland's deferential standard
under the auspices of AEDPA. And under AEDPA, “[a] state court
must be granted a deference and latitude that are not in operation
when the case involves review under the Strickland standard
itself.” Harrington, 131 S.Ct. at 785. We affirm the district
court's denial of relief on Roberts's second claim on appeal.
D. Roberts's Third Claim: Execution Impact
Testimony
The third claim that Roberts received a COA for
and raises on appeal is that the trial court violated his right to
be free from cruel and unusual punishment when it denied his niece
the opportunity to testify about how his execution would impact
her. See Roberts, 2011 WL 5433982, at *23. When Roberts proposed
to ask his niece about the impact of his execution on her, the
prosecution objected and the trial court upheld the objection.
Roberts, 220 S.W.3d at 532. Roberts did not make an offer of proof
as to what his niece's testimony would have been. Id. The TCCA
concluded that Roberts failed to preserve this error by failing to
make an offer of proof, and that the state trial court did not
abuse its discretion by excluding this testimony. Id. The district
court found Roberts's claim to be procedurally defaulted and that
Roberts had not argued that he fell within any of the relevant
exceptions. Roberts, 2011 WL 5433982, at *23. Thus, the district
court dismissed his claim with prejudice. Id.
We first consider the question of procedural
default. The requirement of an offer of proof comes from Texas
Rule of Evidence 103(a)(2), which provides that “[e]rror may not
be predicated upon a ruling which ... excludes evidence unless a
substantial right of the party is affected, and ... the substance
of the evidence was made known to the court by offer, or was
apparent from the context within which questions were asked.”FN8 A
short statement by counsel or even a brief question-and-answer
with the witness will satisfy the offer of proof requirement. Mays
v. State, 285 S.W.3d 884, 889–90 (Tex.Crim.App.2009). The
requirement may also be satisfied if “the substance of the
evidence is apparent from the context within which the questions
were asked.” Fairow v. State, 943 S.W.2d 895, 897 n. 2
(Tex.Crim.App.1997). FN8. The TCCA also cited its decision in
Jackson v. State, 33 S.W.3d 828, 838 (Tex.Crim.App.2000), in
holding that the trial court did not abuse its discretion by
excluding Roberts's execution impact testimony.
In the present case, the TCCA clearly and
expressly relied on Rule 103(a)(2) in adjudicating Roberts's
claim. The relevant question, then, is whether the TCCA has
applied this procedural requirement “strictly or regularly” in
“the majority of similar claims” in the capital context. Finley,
243 F.3d at 218. A survey of the TCCA's capital jurisprudence
reveals consistent application in capital cases. See, e.g., Mays,
285 S.W.3d at 891 (“Because the appellant failed to make a proper
offer of proof, we hold that he did not preserve his complaint for
appeal.”); Fairow, 943 S.W.2d at 897 n. 2 (“While it is true that
appellant made no offer of proof indicating [the witness]'s
answers to the questions, the substance of the evidence is
apparent from the context within which the questions were
asked.”); Williams v. State, 937 S.W.2d 479, 489
(Tex.Crim.App.1996) ( “Moreover, appellant failed to make an *614
offer of proof. To preserve error regarding the exclusion of
evidence, an offer of proof is required.”); Chambers v. State, 866
S.W.2d 9, 27 (Tex.Crim.App.1993) (“Rule 103(a)(2) of the Rules of
[ ] Evidence require that when evidence is excluded the proponent
establish the substance of the excluded evidence by making on
offer of proof.... Appellant wholly failed to explain why this
evidence should have been permitted and what he hoped to establish
with the evidence.”) (citations omitted).
Moreover, we have previously made clear that
the failure to preserve an issue for appeal by failing to make a
proper offer of proof constitutes an independent and adequate
procedural bar. See Wheat v. Johnson, 238 F.3d 357, 360 (5th
Cir.2001) (“We agree with the Texas Court of Criminal Appeals that
the offer of proof was not properly preserved.... [Petitioner]
makes no attempt on appeal to show either cause or prejudice for
this procedural default; he is therefore barred from now bringing
the claim on federal habeas review.”). In his brief before us,
Roberts does not attempt to show cause and prejudice or a
fundamental miscarriage of justice, nor can we discern either
exception. Consequently, we affirm the district court's conclusion
that Roberts's execution impact claim is procedurally barred.
III. CONCLUSION
For the foregoing reasons, we AFFIRM the
district court's denial of habeas relief to Roberts.