Robert V. BLACK, Jr., aka Bob Black, Appellant, v. The STATE of Texas, Appellee.
No. 69648.
Court of Criminal Appeals of Texas, En Banc.
May 29, 1991.
“Appellant‘s argument on appeal is that the police took advantage of his confession to bring him into court where the victims of the crime identified him as one of three men who robbed them at gunpoint. Therefore, it is clear that Appellant seeks to have this court suppress the identity evidence as the tainted fruit of an illegally-obtained confession. It is not the fruit of any confession, because the victims knew the “face” or “identity information” immediately after the crime as to who assaulted them long before the confessions were made.”
(Emphasis added.)
At this point I could go into an analysis counter to the majority‘s analysis of Pichon v. State, 683 S.W.2d 422 (Tex.Cr.App. 1984), United States v. Crews, 445 U.S. 463, 100 S.Ct. 1244, 63 L.Ed.2d 537 (1980), etc. but I shall not. The majority looks with blinders to the third element of incourt identification as set out in Pichon (towit that the defendant is physically present in the courtroom) because this defendant was physically present in the courtroom solely because he gave a confession which was admittedly involuntary under Jackson v. Denno, 378 U.S. 368, 84 S.Ct. 1774, 12 L.Ed.2d 908 (1964) and Fisher v. State, 379 S.W.2d 900 (Tex. Cr. App.1964). Having reevaluated Wong Sun v. United States, 371 U.S. 471, 83 S.Ct. 407, 9 L.Ed.2d 441 (1963), I simply cannot imagine that even the 1963 United States Supreme Court contemplated an event such as this to be encompassed within the “fruit of the poison tree” doctrine.
Therefore, I dissent to part III-B of the majority opinion.
James M. Leitner, Houston, for appellant.
Bill Turner, Dist. Atty., Bryan and Robert Huttash, State‘s Atty., Austin, for the State.
OPINION
MILLER, Judge.
I.
Appellant does not challenge the sufficiency of the evidence to support his conviction, but, in his seventh point of error, he challenges the sufficiency of the evidence to support the jury‘s finding on the second punishment issue.
Appellant was charged with employing someone to murder his wife. Testimony at trial revealed Sandra Black, appellant‘s wife, was killed by two gunshot wounds to her head on February 21, 1985. John Wayne Hearn, the man allegedly employed by appellant to commit the murder of Sandra, testified at trial and presented the most damaging evidence against appellant. Hearn first came in contact with appellant in October of 1984 when appellant answered an advertisement that Hearn had placed in Soldier of Fortune magazine. At this time, Hearn was living in Gainesville, Florida, and had an operation known as the World Security Group. Appellant, a former Marine who fought in Vietnam, was unemployed at the time and answered Hearn‘s ad for Vietnam Veterans and per-
Appellant and Hearn, also a former Marine, had several phone conversations before meeting on January 9, 1985, in Brazos County. Hearn was interested in purchasing appellant‘s gun collection because his security group was gathering weapons to send to the Contras in Nicaragua. During this meeting, appellant told Hearn he would have all the money he (appellant) needed if he did not have a wife and that he and a friend had planned to kill his wife.2 Appellant eventually refused to sell his collection for the agreed price and later sent Hearn a cashier‘s check for one thousand dollars for his expenses.
Approximately three weeks later, appellant called Hearn and explained that his friend who was going to assist in the murder of his wife had backed out. Appellant asked Hearn if he would drive the second vehicle for him in his murder plan. Hearn eventually agreed to assist appellant and returned to Bryan on February 20, 1985. Appellant agreed to pay Hearn ten thousand dollars for his part in the commission of his wife‘s murder and one thousand dollars for his expenses.
On February 21, 1985, Hearn met appellant in a Safeway parking lot in Bryan. Hearn left his rental car in the lot and went with appellant to his home. Neither appellant‘s wife Sandra nor his only child Gary were home at the time. Appellant gave Hearn pieces of Sandra‘s jewelry as collateral for the $10,000.00 payment and Sandra‘s pistol which Hearn was to use to murder her. Appellant and Hearn then ransacked the house to give the appearance of a burglary,3 and appellant left in his El Camino and ran errands with his son to give him an alibi. Hearn waited in the dining room for Sandra to arrive home. While Sandra was moving between the dining room and the kitchen, Hearn shot her two times in the head, killing her.4 He then drove away from the house using Sandra‘s van, went back to the Safeway where he left the van, got in his rental car and drove back to Houston where he caught the next plane back home.
Besides the actual facts of the offense set out infra, there was testimony during the first phase of trial that appellant discussed killing his wife with David Huber in the fall of 1984 so that he could be with his girlfriend, his first cousin Teresa Hetherington. Appellant suggested Huber could get Sandra in a choke hold to knock her out, pin her underneath her motorcycle in the shed, and then set the shed on fire while appellant and his son jumped on the trampoline. Appellant talked at least twice about burning his wife to death according to Huber. Appellant also suggested Huber could steal a truck and run over Sandra while she was out riding her motorcycle; or he could hit Sandra in the head with a baseball bat and dump her body and motorbike over a bridge; or he could fake a robbery or rape of Sandra and shoot her with one of appellant‘s guns. Huber did not believe appellant was serious about killing his wife because he thought appellant fantasized; but then appellant offered him payments for killing Sandra. As a result, Huber‘s friendship with appellant “cooled” in late December of 1984.
Gordon Matheson worked with appellant in the fall of 1984. He stated appellant hated his wife, was “obsessed” with his girlfriend Teresa, and often discussed his personal problems with him. Appellant asked Matheson to assist him in killing Sandra by driving a car which appellant could jump into after crashing Sandra‘s
Don Ballard sold appellant a one hundred thousand dollar insurance policy on his wife in late January 1985. Sandra paid for this new policy. Appellant‘s prior coverage on his wife had only been fifty thousand dollars. There was testimony the new policy became effective February 13, 1985, just eight days before Sandra‘s murder. Ballard stated appellant asked him on the way to Sandra‘s funeral whether the insurance would pay off, but that it is “not totally unusual” for someone to be concerned about insurance at that time.
At the punishment phase of trial, Mark Huber, David‘s brother, testified appellant discussed killing his wife with him as far back as 1982 or 1983. Appellant offered Huber five thousand dollars to kill Sandra and actually paid him five hundred dollars as a “downpayment.” Appellant discussed how he wanted Sandra killed and suggested either shooting her or running her over with a truck. Huber never intended to participate in Sandra‘s murder, and two weeks later appellant rescinded this offer. David Huber was recalled as a witness by the State during punishment and he testified appellant told him he could clear his brother‘s debt by killing Sandra himself. David Huber also stated appellant discussed killing his girlfriend‘s husband by dumping him in an abandoned well and covering it with cement. There were two other witnesses who stated appellant had commented he wanted to kill his wife or his girlfriend‘s husband.
The victim‘s mother, Marjorie Eimann, testified at punishment appellant had physically thrown Sandra through a screen door during an argument approximately ten years ago. Apparently around that same time, appellant chased Sandra‘s mother from their home. The final witnesses for the State during punishment were from the Brazos County Jail where appellant was being held awaiting trial. A deputy sheriff testified he found maps of the jail and the surrounding grounds and wire in appellant‘s cell during a shakedown, implicating a possible escape attempt. Additionally, a fellow inmate testified appellant had talked about escaping.
The defense called numerous witnesses during the punishment phase in an effort to present mitigating evidence. Several of the witnesses had worked with appellant when he was an electrician and testified he had been a good worker. There was extensive testimony on appellant‘s involvement with the Boy Scouts not only while he was growing up but also with his son. Besides being an Eagle Scout, appellant earned numerous honors in scouting and had served as a Scout Master. Further testimony revealed appellant attended Texas A & M university for approximately two years, but quit school and joined the Marines. While in the Marines, appellant was awarded the Blues Award, meaning he was the distinguished Marine in his platoon. Appellant also served his country in Vietnam, but when he returned home to Bryan he was unemployed for three or four years during which time Sandra predominantly supported him. Other witnesses testified appellant, who was approximately 39 years old at the time of his trial, had not been a mean or vicious child, and he was helpful and understanding with one of his son‘s friends who suffers from a physical and emotional handicap. No psychiatric evidence was offered nor was appellant shown to have a prior criminal record. A Baptist minister testified he had been counseling appellant since Sandra‘s murder on a weekly basis until November of 1985 when he began monthly sessions. On the basis of this evidence, the jury answered affirmatively “there is a probability that [appellant] would commit criminal acts of violence that would constitute a continuing threat to society[.]”
The issue of sufficiency of the evidence at punishment has been presented to this Court and discussed innumerable times, so we feel another extensive review of the caselaw in this area would not add to the jurisprudence of this state but would only serve to unnecessarily lengthen this opinion. For a thorough discussion of the case-
- the circumstances of the capital offense, including the defendant‘s state of mind and whether he or she was working alone or with other parties;
- the calculated nature of the defendant‘s acts;
- the forethought and deliberateness exhibited by the crime‘s execution;
- the existence of a prior criminal record, and the severity of the prior crimes;
- the defendant‘s age and personal circumstances at the time of the offense;
- whether the defendant was acting under duress or the domination of another at the time of the commission of the offense;
- psychiatric evidence; and
- character evidence.
See Keeton, at 61, and cases also cited. Additionally, it is axiomatic that the circumstances of an offense alone, if severe enough, can be sufficient to sustain an affirmative finding as to a defendant‘s future dangerousness. Moreno v. State, 721 S.W.2d 295, 302 (Tex. Cr.App.1986).
Utilizing the above factors from Keeton and noting the similarity of this case to O‘Bryan v. State, 591 S.W.2d 464 (Tex.Cr.App.1979), cert. denied, 446 U.S. 988, 100 S.Ct. 2975, 64 L.Ed.2d 846 we hold the evidence is sufficient to support the jury‘s “yes” answer to the second punishment issue. This capital murder was a senseless and cold-blooded killing. Appellant hired a stranger to lay in waiting in his own home to kill his wife and assisted the trigger-man in ransacking his home to give the impression that a robbery or burglary had taken place. The crime‘s execution exhibited overwhelming evidence of forethought and deliberateness. The evidence showed appellant had considered killing Sandra for several years, but he was unable to find anyone willing to kill his wife for a price. It was not until the fall of 1984 that appellant could find such an abhorrent person.5 The record reflects months of premeditation on appellant‘s part before he hired Hearn to shoot his wife and careful planning of the offense once Hearn agreed to kill Sandra. Appellant created himself an alibi by running errands with his son prior to and during commission of the offense. There was evidence appellant set up this murder scenario so that his son would be the person to discover that Sandra, his mother, had been killed. Appellant paid Hearn in advance one thousand dollars cash for being the triggerman and gave Hearn Sandra‘s jewelry as collateral for the balance of nine thousand dollars which appellant plan to pay using the insurance proceeds from Sandra‘s life insurance policy.
The evidence also showed the calculated nature of appellant‘s acts. He purchased new insurance policies on himself and Sandra, which became effective eight days prior to her murder. Appellant‘s girlfriend‘s divorce was to become final February 23, 1985, just two days after Sandra‘s death. He secured himself an alibi and called his wife to be certain she would be home alone during that time. Every detail of the offense, which was to look like the doing of a mysterious third party, was carefully planned by appellant and Hearn.6 There was no evidence appellant acted under the influence or domination of anyone.
Appellant points out there was no evidence appellant had committed prior criminal offenses, only that he had considered killing his girlfriend‘s husband. The State introduced limited evidence of past violent conduct of appellant, and there was no psychiatric evidence presented by either the State or appellant. This lack of evidence, however, is not dispositive. The record clearly indicates appellant committed this offense out of greed. While it is true he wanted to be with his girlfriend who was supposedly getting a divorce, ap-
In his first point of error, appellant contends he was rendered ineffective assistance of counsel. During voir dire examination, the prosecutor incorrectly explained the first issue under
To establish ineffective assistance of counsel at the guilt-innocence stage of a non-capital trial or at either the guilt-innocence or the punishment stage of a capital murder trial, a defendant must show: (1) that counsel‘s performance was deficient, and (2) that the deficient performance prejudiced the defense so as to deprive the defendant of a fair trial. Strickland v. Washington. In Hernandez v. State, 726 S.W.2d 53 (Tex.Cr.App.1986), we held our constitutional provisions, specifically Art. 1, sec. 10, did not create a standard in ineffective assistance cases that is more protective of a defendant‘s rights than the standard established in Strickland. Thus, we adopted in full the Strickland standards in determining ineffective assistance and prejudice resulting therefrom. Hernandez, 726 S.W.2d at 56-57.
During his voir dire of the three veniremen actually seated on the jury, the prosecutor explained that the first punishment issue went to the conduct of Hearn, the man who actually pulled the trigger and killed the deceased. The prosecutor explained the State was not alleging appellant was the triggerman and distinguished appellant‘s and Hearn‘s conduct in this offense. The prosecutor explained that issue one asked whether Hearn‘s conduct was committed deliberately. Appellant‘s trial counsel never interjected an objection to these explanations, did not even attempt to correctly explain the application of issue one to the case, and did not challenge any of these jurors for cause or peremptorily. Appellant contends this inaction on the part of his counsel satisfies the first prong of the Strickland test.
We agree with appellant. Trial counsel‘s omissions could not have been the result of reasonable professional judgment but appear to be the result of a misunderstanding or ignorance of criminal procedure during
Having determined appellant‘s trial counsel‘s performance was deficient during voir dire, we must now determine whether appellant was prejudiced by this deficiency, the second prong of Strickland. The test for determining prejudice was enunciated in Strickland, viz:
The defendant must show that there is a reasonable probability that, but for counsel‘s unprofessional errors, the result of the proceeding would have been different. A reasonable probability is a probability sufficient to undermine confidence in the outcome.
466 U.S. at 694, 104 S.Ct. at 2068. Appellant “suggests that in a death penalty case where death is actually assessed, harm should be presumed as a matter of law if jurors were allowed to deliberate and possibly return an assessment of death based on a Constitutionally (sic) impermissible interpretation of the law that Appellant‘s counsel could have and should have corrected.” We find this case is not one where we will
The prosecutor and the judge both informed the venire that the law governing this case would come from the court. The jury charge at punishment phrased the special issues in terms of appellant‘s conduct only. The trial court instructed the jury it could consider all evidence admitted at both stages of trial, but there was no instruction that the jury could consider Hearn‘s conduct when answering the special issues. Also, the prosecutor‘s argument at punishment correctly stated the law as to issue one. The prosecutor told the jury:
What facts do you have on special issue number 1; was the conduct of the Defendant that caused the death of the deceased committed deliberately?
We know from the evidence that this Defendant contemplated killing his wife for months. We know from the evidence that he weighed the consequences, that he was aware of unsolved murders in the area, he was unaware (sic) it was possible to kill and not get caught.
We know that in 1985 when he finally had the means and hands to accomplish this mission he had a week, seven days, bought that money order and the cashier‘s check on the 14th of February. He had seven days to back out. He never turned away from the choice he made in those seven days.
So, we know the answer to number 1 is yes, the conduct that caused Sandra Black‘s death was deliberate.
Appellant‘s counsel, likewise, did not argue the jury should consider the deliberateness of Hearn‘s conduct in answering issue one with respect to appellant.
Given the state of the record in this cause, we cannot conclude trial counsel‘s performance prejudiced appellant. Over-
In his second point of error, appellant contends he was not afforded the right to trial based on a validly existing indictment in contravention of the
Appellant argues that since the motion to quash was granted and the cause was never reindicted, the district court was without jurisdiction to try this case.
On March 7, 1988, the State filed an Agreement To Amend The Statement Of Facts to accurately reflect the trial court‘s ruling on appellant‘s pre-trial motion to quash. See
Appellant‘s third and fourth points of error are closely related, if not identical, and he presents essentially the same argument for both, so we will address them together. In his third point of error, appellant contends he was “denied due process of law by the trial court refusing to rule on his motion for change of venue pre-trial, and basing the ultimate ruling on whether a jury could be, and was selected.” Appellant‘s fourth point of error appears to be a restatement of his third; he contends he was “denied due process of law by the procedures used and the test utilized in denying [his] motion for change of venue.”11
Appellant filed his motion for change of venue on January 6, 1986. Appellant alleged three grounds supporting his motion: (1) there had been extensive pre-trial pub-
This Court previously announced, at a pre-trial hearing on January 17, 1986, the the defendant‘s Motion would be taken under advisement until Voir Dire examination commenced and there could be a determination whether or not Venirpersons had been adversely affected by pretrial publicity to such an extent the defendant could not receive a fair and impartial trial in Brazos County.
Eighty seven (87) Venirepersons were qualified for Voir Dire examination.
Individual Voir Dire examination of sixty-two (62) Venirepersons was conducted during a time span of fifteen (15) days and fourteen (14) prospective jurors, (i.e. 12 as jurors and 2 as alternates) were selected.
Appellant contends that under this Court‘s decisions in O‘Brient v. State, 588 S.W.2d 940 (Tex.Cr.App.1979), and Henley v. State, 576 S.W.2d 66 (Tex.Cr.App.1978), the trial judge‘s action and the basis of his ruling on the motion for change of venue were erroneous. The precise issue in Henley was whether the trial court abused its discretion by not affording the defendant a pre-trial hearing on his timely filed motion for change of venue. This Court held in Henley, 576 S.W.2d at 73, the trial court deprived the defendant of due process by refusing, over the defendant‘s objection, to grant the defendant a pre-trial hearing to introduce evidence in support of his motion for change of venue because such refusal precluded a determination of the community attitude toward the defendant. The trial judge, instead of granting a hearing, delayed his ruling on the venue motion pending successful selection of a jury. Henley noted that under this Court‘s decision in Adami v. State, 524 S.W.2d 693 (Tex.Cr. App.1975), and the Supreme Court‘s decision in Rideau v. Louisiana, 373 U.S. 723, 83 S.Ct. 1417, 10 L.Ed.2d 663 (1963), the trial judge was “not precluded from utilizing voir dire to help gauge the ‘community climate of opinion as to a defendant‘; however, regardless of the successful qualification of a jury panel, the evidence adduced during the pretrial hearing on the venue motion may dictate that a change of venue be granted in order to assure the accused a fair and impartial trial.” Henley, at 71. The O‘Brient decision followed Henley, and this Court held, inter alia, that overruling defendant‘s motion for change of venue without affording him a pre-trial hearing violated due process. O‘Brient, 588 S.W.2d at 942.
We find Henley and O‘Brient are clearly distinguishable from our present cause. The constitutional infirmity in both those cases was that the trial judge refused to conduct a pre-trial hearing on the defendant‘s venue motion and based his ruling on the motion solely on whether a jury or jury panel could be successfully selected. The problem with making a determination on a venue motion based solely on voir dire is that the issue raised by the motion and its accompanying affidavits cannot be “fully and adequately tried through the more narrow jury voir dire procedure.” Henley, at 72. In the case sub judice, the trial judge afforded appellant a pre-trial hearing on his venue motion, and appellant in fact presented testimony from ten witnesses in support of his motion at this hearing. Appellant was given the opportunity to fully litigate the issue of whether he could receive a fair trial in Brazos County. The trial judge did not commit the error of foregoing a pre-trial hearing on the change of venue motion, but merely delayed his ruling on the motion until after the voir dire examination. The trial judge did not
Appellant argues in his fifth point of error he was denied the effective use of his peremptory challenges by the trial court‘s limitation of his voir dire examination of prospective juror Mark Schulz. Appellant asserts the trial judge, by sustaining the prosecutor‘s objection to his questioning, improperly prevented him from exploring Schulz‘s propensity to assess the death penalty in a capital murder case. Schulz explained during questioning by both the prosecutor and defense counsel that he believed death was an appropriate penalty for a person guilty of committing murder. In his brief, appellant states he was attempting to discover whether this belief would influence Schulz in answering the special issues submitted during punishment pursuant to
The applicable portion of Schulz‘s voir dire is set out in Appendix 1. Examination of that voir dire shows that at trial appellant‘s counsel was allowed to thoroughly inquire into the area that, on appeal, he complains he was improperly restricted from addressing. Appellant‘s counsel was not prohibited from making inquiry into proper voir dire areas, and, in fact, was given the opportunity to fully question Schulz and determine whether he would be a suitable juror in this case. Adams v. State, 577 S.W.2d 717 (Tex.Cr.App.1979), reversed on other grounds, 448 U.S. 38, 100 S.Ct. 2521, 65 L.Ed.2d 581 (1980). There was no limitation on defense counsel‘s inquiry of Schulz‘s views on issues applicable to this case. See Smith v. State, 703 S.W.2d 641 (Tex.Cr.App.1985). The trial court‘s sustaining of the State‘s objection neither improperly restricted defense counsel‘s voir dire of prospective juror Schulz nor prevented appellant from intelligently exercising his peremptory strikes. Allridge v. State, 762 S.W.2d 146 (Tex.Cr.App. 1988), stay denied, 488 U.S. 1026, 109 S.Ct. 835, 102 L.Ed.2d 968, cert. denied, 489 U.S. 1040, 109 S.Ct. 1176, 103 L.Ed.2d 238 (1989). We hold there was no abuse of discretion by the trial judge in the conduct of voir dire, and appellant‘s fifth point of error is overruled.
In his sixth point of error, appellant contends the death penalty, imposed under the facts and procedure of this case, constitutes cruel and unusual punishment in violation of the
In a supplemental brief, appellant raises two additional points of error.13 In the first point, he contends he was sentenced to death in violation of his rights as guaranteed by the
II. A. Procedural Default
The constitutionality of our capital murder sentencing scheme as applied to individual defendants has been addressed numerous times by this Court, but the past issues raised have not necessarily addressed the precise issue before us today. We find, however, that these cases addressing the constitutionality of
The attack on the adequacy of the statute to address mitigating evidence appears to have begun with Ex parte Granviel, 561 S.W.2d 503, 516 (Tex. Cr.App.1978). In Granviel, the habeas corpus petitioner claimed
In Adams v. State, 577 S.W.2d 717, 729 (Tex.Cr.App.1979), rev‘d on other grounds, 448 U.S. 38, 100 S.Ct. 2521, 65 L.Ed.2d 581 the appellant took a different constitutional stab at
An issue tangential to the one confronting us today was addressed by this Court in Quinones v. State, 592 S.W.2d 933 (Tex. Cr.App.1980), cert. denied, 449 U.S. 893, 101 S.Ct. 256, 66 L.Ed. 2d 121, reh‘g. denied, 449 U.S. 1027, 101 S.Ct. 600, 66 L.Ed.2d 490 (1980). At punishment, the appellant presented mitigating circumstances, “including a broad discussion of his personal and family background.”16 The appellant submitted two jury charges which incorporated the following language:
Evidence presented in mitigation of the penalty may be considered should the jury desire, in determining the answer to any of the special issues.17
The appellant argued the additional jury charges were necessary to protect his right to the jury‘s consideration of mitigating circumstances when deciding whether to impose the death penalty. The trial court denied the charges and submitted the special issues under
On direct appeal, this Court disagreed with the appellant that the additional charges were necessary because our capital murder sentencing scheme assured that “the jury [will] have before it all possible relevant information about the individual defendant whose fate it must determine.” Quinones, 592 S.W.2d at 947, citing Jurek
The Court again relied on Jurek, 428 U.S. 262, 96 S.Ct. 2950, to find that specific jury instructions about mitigating factors were not constitutionally mandated as long as the jury was able to consider those factors when deliberating on the special issues. Lackey v. State, 638 S.W.2d 439, 455 (Tex.Cr.App.1982), reversed on reh‘g on other grounds. Lackey requested several instructions on mitigation of punishment. Specifically pertinent to the cause sub judice, he wanted to ask the jury if mitigating factors outweighed aggravating factors or if there were insufficient mitigating circumstances to call for leniency.18 Failure of the trial court to make such inquiry, appellant contended, violated the Eighth and Fourteenth Amendments. The Court concluded that “essentially” this same contention was rejected in Jurek, 428 U.S. 262, 96 S.Ct. 2950, and again recognized the constitutionality of
In Stewart v. State, 686 S.W.2d 118 (Tex. Cr.App.1984), cert. denied, 474 U.S. 866, 106 S.Ct. 190, 88 L.Ed.2d 159 (1985), the appellant contended
In Stewart, 686 S.W.2d at 125, Judge Clinton filed an opinion, in which Judges Teague and Miller joined, dissenting to the Court‘s resolution of this point of error. Judge Clinton recognized the “paradox” of “truly ‘mitigating’ evidence“—that is, while it militates against a death sentence, it has “tremendous specific probative weight” in favor of answering “yes” to the punishment issues. Judge Clinton added further at 126:
... [A] defendant is entitled to jurors whose consideration of mitigating circumstances is not limited to whether that evidence does or does not indicate future dangerousness. The jury must not be precluded in law or in practice from according independent weight to factors that are mitigating but perhaps irrelevant to the probability issue of future dangerousness conduct. [Citations omitted]
... [A] majority of this Court has blithely said, time and again, that in considering whether to impose a death sentence the jury must be allowed to consider whatever evidence of mitigating circumstances the defense can bring before it. But they also have repeatedly denied the utility, much less necessity, of informing the jury that they may so consider that evidence.
Judge Clinton also counseled that a jury charge on mitigation should be requested. Id. at 126, n. 4.
It is obvious from this review of caselaw that after Stewart (rehearing was denied February 6, 1985) even if a defendant had requested such an instruction during the punishment phase of his trial it would have been an effort in futility.19 This Court had clearly established, by the Stewart case, that regardless of whether an objection was made to the charge or whether special mitigation instructions were requested, the defendant was not entitled to any jury instructions on mitigating evidence beyond that encompassed in
As just noted, the Stewart decision was delivered in September of 1984 and motion for rehearing was denied by this court in February of 1985. Appellant in the present cause was tried in February of 1986. Given the settled state of the case law at the time of appellant‘s trial, we refuse to fault him or his attorney for failing to object to the jury charge at punishment or request an instruction informing the jury it may give effect to the mitigating evidence presented at trial. Under the established precedent, the trial judge would have been correct in overruling the objection or denying the additional instruction, and clearly the defendant would not have been granted relief from this Court on direct appeal. Thus, we hold that for this case (and indeed for all cases tried after February 6, 1985) there was no procedural default and now proceed to address the merits of appellant‘s claim.
II. B. Merits
Appellant relies of course on the Supreme Court‘s recent decision in Penry v. Lynaugh, 109 S.Ct. 2934, to support his contention that his death sentence was imposed in an unconstitutional manner.21 In Penry, the Supreme Court determined that
At the punishment stage of his trial, appellant called several witnesses who testified that he was a good employee as an electrician. Appellant was also very involved with the Boy Scouts as a child and an adult and had attained the highest level of adult volunteer involvement. Also see discussion supra at p. 354. There was testimony that appellant was not a vicious child during his formative years, and, more recently, that he was helpful and understanding with one of his son‘s friends who had a medical problem. Appellant‘s parents testified to his involvement in the Marines and the Vietnam War. Appellant‘s father served in the military during World War II and had been a prisoner of war, which experience he feels may have influenced the way he raised appellant, although he was a POW prior to the time he married appellant‘s mother.
After once again reviewing the evidence presented by appellant during punishment, we conclude that this mitigating evidence is qualitatively different from that in Penry. Appellant‘s mitigating evidence suggests that he is generally a benevolent and nonviolent individual and that the commission of this offense was an aberration. This evidence had relevancy directly within the scope of the second punishment issue and was truly mitigating. We determine that an additional instruction was not needed so that the jury could express its “reasoned moral response” in answering the punishment issues. We hold no constitutional violation is presented. Appellant‘s first supplemental point of error is overruled.
Finding each of appellant‘s points of error to be without merit, we affirm the judgment of the trial court.
CLINTON and MALONEY, JJ., dissent to Part II.B.
APPENDIX
From statement of facts:
Q. (from appellant‘s counsel) I was just asking how you would feel about someone what you had found guilty of capital murder. Would you already feel that they should get the death penalty because you have already told me someone guilty of plain murder should get the death penalty. So, you have just found them guilty of a capital murder, would you feel they were always deserving of the death penalty based on your beliefs?
A. Yes.
Q. So, is it a fair statement to say that you would be predisposed to answer these questions yes, based on that?
A. Define predisposed.
Q. You would already have a bias or prejudice toward finding the many the death penalty by answering these questions yes?
A. (No response from the venireperson.)
Q. Let me put it another way. Would it influence you in how you voted on those three questions?
A. To the best of my ability I would say right now no, because as I said, I would have to set those aside and go with what the law stated. And I feel like to say otherwise, you know, I mean everybody has their own personal beliefs on different things. And the best anybody could do is set those aside as best they could.
Q. Here again we‘re in a very serious situation and I think you can appreciate that from my client‘s standpoint. And how you answer it has no bearing on you type of person or anything of that nature and please don‘t think that‘s what I‘m trying to infer or anything. I‘m just trying to make sure that whoever is sitting in that jury box, if they find my client guilty can then also go in and answer these three questions and give my client—making the State prove beyond a reasonable doubt all three of these questions, and I‘m trying to determine with your attitude toward the death penalty and toward the question number two that we‘ve talked about. It seems to me that there‘s a possibility that that could influence your decision on my client‘s getting the death penalty or not, and that‘s what I‘m trying to get to, and only you can answer that and it‘s extremely important. So, if you feel that there is a probability, possibility, whatever, that it could influence your decision, I need to know?
MR. TURNER: Your Honor, I‘ll object to that question. By the time they got to the
MR. SWIM: Your Honor, I don‘t think it is improper. The prospective witness has stated that if it was his—his beliefs would be that a normal murder case should also be receiving the death penalty. He has also agreed that a death penalty case is more serious than a murder case as defined by the law in Texas. And what I‘m trying to get at is is there any—you know, once he has found a man guilty of capital murder when he feels in his own heart there‘s nothing wrong with his feelings, that a murder defendant should get the capital punishment, would he be predisposed to find that a capital murder, the death penalty and I don‘t thing I‘m being improper at all.
MR. TURNER: Your Honor, my objection to that question he‘s taking the juror completely out of the context of being a juror. He said now if you just had it your way, if you were deciding out on the street. He is taking the juror completely out of the context of being a juror and having them to swear to follow the law and the oath that the Judge gives him. And trying to say if he had it on his own out in the street and jurors are not expected to act same on the street as they are in the courtroom. In the courtroom they are expected to follow the law.
THE COURT: Objection sustained, as to that part of the question.
Q. (By Mr. Swim) Mr. Schulz, assuming that you‘re a juror, you‘ve taken all the oaths. Only you can answer whether or not back at this stage of the trial and let me refresh where we are since we had this interruption. We‘re at the stage where you, as a juror, have taken your oath, have heard the evidence and decided that the Defendant is guilty of capital murder, any Defendant, any capital murder. Then it‘s also up to you to decide the answers to these three questions as a juror, and that‘s what I meant awhile ago, I hope you didn‘t misunderstand me. You‘ve already stated that you feel you have very strong feeling toward the death penalty.
A. Uh-huh.
Q. You‘ve already stated that you feel that question number two goes a little bit further than you would require.
A. That‘s correct.
Q. Based on those two things sitting, as a juror, are you sure that it would not influence your verdict in answering these three questions, those attitudes and considerations?
A. Sitting as a juror, I would have to go with what the law instructed and I—you know, to the best of my ability, I would put those things aside and decide based on the requirements of the law.
Q. Do you think it would be fair to say that it would take less proof to convince of these with those attitudes?
A. It depends, I imagine, on the definitions of some of those phrasings and those questions how strictly you want to interpret them. I would do my best to apply the law, apply the facts and what was presented to those as the requirements of that question dictate.
Q. If possible, Mr. Schulz, I need a yes or no.
A. Can you ask the question again.
Q. Based on your beliefs on the death penalty, your feelings of that question number two, would you require less from the State to answer these questions?
A. Less than—the question?
MR. TURNER: Less than what, Your Honor? He hasn‘t given quantitative answers. Less than what?
MR. SWIM: Your Honor, if Mr. Turner will give me a chance to finish the question.
MR. TURNER: He stopped the question. The man started trying to answer it. He‘s not giving him a full question to answer.
THE COURT: Go ahead and finish your question, Mr. Swim.
A. No.
Q. So, you think, realizing the seriousness of this situation, you can commit to us that if you‘re selected as a juror that after the guilt/innocence stage, if you have found the Defendant guilty, that you will take no predisposition based on your thoughts of the death penalty and your feelings of that question number two in answering these questions?
A. That is correct.
Q. You will strictly follow exactly what the Judge gives you?
A. I will do that, I would do that.
Q. And here again, you don‘t feel that these predispositions about these questions about the death penalty would influence you following that law?
A. Not from following the law.
Q. I‘m not saying prevents you if following the law. I‘m trying, influence you in following the law?
A. I can‘t really say I understand that, what exactly you‘re saying. I mean they would not influence me as to how I was instructed to follow the law.
[Emphasis supplied].
CAMPBELL, Judge, concurring.
In this concurrence, I present a more expansive view as to possible exceptions to the rules of procedural default under Texas law, than the futility doctrine addressed in part II.A of the plurality opinion. The plurality offers ample reasons and precedent to conclude that “it would have been futile for appellant to object to the charge or request the additional instruction under the law as established by this Court at the time of trial.” Op. at 364. I offer my view of what I believe to be the more viable of the two components of the “right not recognized” doctrine—novelty.
I. The “Right not Recognized” Doctrine and the Contemporaneous Objection Rule.
Texas law generally requires that a specific contemporaneous objection be made at trial in order to preserve error for appellate review. An appellate or reviewing court will not consider an error which the defendant could have, but did not, call to the attention of the trial court at the time the error could have been avoided or corrected through appropriate action. Rogers v. State, 640 S.W.2d 248, 264 (Tex.Cr. App.1982). The contemporaneous objection rule also applies to constitutional questions. Williams v. State, 773 S.W.2d 525, 529 (Tex.Cr.App.1988); Crawford v. State, 617 S.W.2d 925, 929 (Tex.Cr.App.1981).1
Since Penry, numerous litigants before this Court have attempted to excuse their failure at trial either to request a special instruction on mitigating evidence or to object to the lack of such an instruction on the basis of the “right not recognized” exception to the contemporaneous objection rule discussed in Ex parte Chambers, 688 S.W.2d 483, 486 (Tex.Cr.App.1984) (Campbell, J., concurring). The concurring opinion, joined by five other members of the Court, addressed the issue of whether Chambers had waived constitutional error by failing to make a timely objection to evidence admitted contrary to the holding in Estelle v. Smith, 451 U.S. 454, 101 S.Ct. 1866, 68 L.Ed. 2d 359 (1981) (Admission of psychiatrist‘s testimony on future dangerousness of defendant violated defendant‘s Fifth and Sixth Amendment rights to counsel when, after indictment and appointment of counsel, he was examined for competency by psychiatrist, without the knowledge of counsel, and his statements were the basis for the later testimony).
The concurrence in Ex parte Chambers explained that the Smith decision was to be applied retroactively, and that the con-
The concurrence then identified the two possible components of the “right not recognized exception“; (1) the “futility” doctrine, see Op. at 364-366; see Engle v. Isaac, supra, (rejecting the futility of raising a constitutional claim as an excuse for state procedural default for purposes of federal habeas review); and (2) the “novelty” doctrine as stated in Reed v. Ross, 468 U.S. 1, 104 S.Ct. 2901, 82 L.Ed.2d 1 (1984). The concurrence ultimately surmised that while instructive, neither the decision in Engle or Reed was binding on this Court. Moreover we argued that:
[o]f equal significance to this writer is this State‘s own procedural default rule.... The rules enunciated in Engle v. Isaac and Reed v. Ross concern the exercise of federal jurisdiction once a State procedural default has been shown. See Wainwright v. Sykes, 433 U.S. 72, 97 S.Ct. 2497, 53 L.Ed.2d 594 (1977). I do not interpret these cases as attempting to impose a federal procedural waiver standard to be used by State courts.
This Court has for at least twelve years held that a defendant has not waived his right to assert a constitutional violation by failing to object at trial if at the time of his trial the right had not been recognized. Ex Parte Taylor, 484 S.W.2d 748 (Tex.Cr.App.1972); Ex Parte Sanders, 588 S.W.2d 383 (Tex.Cr.App. 1979); Ex parte Casarez, 508 S.W.2d 620 (Tex.Cr.App.1974); Boulware v. State, 542 S.W.2d 677 (Tex.Cr.App.1977); Cuevas v. State, 641 S.W.2d 558 (Tex.Cr.App. 1982). In view of these cases decided by this Court and in view of the extension by the Supreme Court of the doctrine in Engle v. Isaac to its current posture in Reed v. Ross, I would reaffirm the holding in Cuevas, supra, that “where a defect of constitutional magnitude has not been established at the time of trial, the failure to object does not constitute waiver“, and I would overrule Parker, supra, to the extent that it is in conflict.
688 S.W.2d at 486 (emphasis in original).2
Thus, the Texas “right not recognized” exception excuses a failure to contemporaneously object when either; the claim was so novel that the basis of the claim was not reasonably available at the time of trial, or, the law was so well settled by this Court that an objection at that time would have been futile.
II. The Novelty Half of the “Right not Recognized” Doctrine.
The novelty aspect of the “right not recognized” doctrine was best articulated in Reed v. Ross, 468 U.S. 1, 104 S.Ct. 2901, 82 L.Ed.2d 1 (1984). In Reed, the Supreme Court held that the “cause” prong of the “cause and prejudice” test for obtaining federal habeas relief could be satisfied when the procedural failure of counsel to raise a constitutional issue was not the result of a tactical decision made by competent counsel, but occurred because the constitutional issue was “reasonably unknown to him” at the time of trial. If counsel had no “reasonable basis upon which to formulate a constitutional question,” then this Court could not “attribute to him strategic motives of any sort.” Id. at 14-15, 104 S.Ct. at 2909. Furthermore, this Court found that the truly novel claim could be excused without implicating any of the ar-
Just as it is reasonable to assume that a competent lawyer will fail to perceive the possibility of raising such a claim, it is also reasonable to assume that a court will similarly fail to appreciate the claim. It is the nature of our legal system that legal concepts, including constitutional concepts, develop slowly, finding partial acceptance in some courts while meeting rejection in others. Despite the fact that a constitutional concept may ultimately enjoy general acceptance, ... when the concept is in its embryonic stage, it will, by hypothesis be rejected by most courts. Consequently, a rule requiring a defendant to raise a truly novel issue is not likely to serve any functional purpose. Although there is a remote possibility that a given state court will be the first to discover a latent constitutional issue and to order redress if the issue is properly raised, it is far more likely that the court will fail to appreciate the claim and reject it out of hand.
In addition, requiring novel claims to be routinely raised could “actually disrupt state-court proceedings by encouraging defense counsel to include any and all remotely plausible constitutional claims that could, some day, gain recognition.” Id. at 16, 104 S.Ct. at 2910.
As was stated in concurrence in Ex parte Chambers, the reasoning of Reed is instructive but in no way binding on this Court. The concurrence in Ex parte Chambers actually asserts a basis in Texas law for the novelty plank of the “right not recognized” doctrine. Thus, I would look to this Court‘s application of the novelty doctrine articulated in Ex parte Chambers for further guidance.
Post-conviction challenges based on the Ex parte Chambers novelty component have arisen largely from belated claims under Batson v. Kentucky, 476 U.S. 79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1984), Estelle v. Smith, 451 U.S. 454, 101 S.Ct. 1866, 68 L.Ed.2d 359 (1981), and Adams v. Texas, 448 U.S. 38, 100 S.Ct. 2521, 65 L.Ed.2d 581 (1980).
In Mathews v. State, 768 S.W.2d 731 (Tex.Cr.App.1989), the appellant sought to raise Batson error for the first time on appeal. At the time Mathews was tried, Batson was pending before the Supreme Court. No objection was made at trial and Mathews offered no evidence that would show prima facie Batson error. Thus, this Court faced the question whether a Batson claim would be procedurally barred because of a failure to object on Batson grounds.
This Court first noted that, in previous cases, we had made exceptions to the contemporaneous objection rule when the error implicated a novel constitutional claim involving a defect of constitutional magnitude not yet established at the time of trial. 768 S.W.2d at 733 (citing Cuevas v. State, supra; Ex parte Bravo, infra; Cook v. State, 741 S.W.2d 928 (Tex.Cr.App.1987)). Expanding on this concept, Judge Clinton wrote:
At this juncture, it is appropriate to reiterate that the federal procedural default doctrine also involves a “novelty” test, providing that “where a constitutional claim is so novel that its legal basis is not reasonably available to counsel, a defendant has cause for his failure to raise the claim in accordance with applicable state procedures.” This test determines federal cognizability where there has been a procedural default at the state level, and as pointed out in Chambers, supra, the federal procedural default doctrine per se applies only in federal habeas corpus proceedings. This Court also conducts a “novelty” analysis; however, when we do so, it is to decide whether there need be a contemporaneous objection in the first instance. Finding a constitutional claim sufficiently “novel,” we hold there is no procedural default.
Id. Noting that the claim in Ex parte Chambers involved “novel” Smith error, we then distinguished the Batson claim in Mathews as not so “novel” that appellant‘s failure to object could be excused. Id.;
We addressed a similar question concerning procedural bar in Ex parte Bravo, 702 S.W.2d 189 (Tex.Cr.App.1985). In Ex parte Bravo, the applicant asserted a claim on the basis of Adams v. Texas, supra, even though he had failed to raise the issue on direct appeal. The decision in Adams clarified the holding in Witherspoon v. Illinois, 391 U.S. 510, 88 S.Ct. 1770, 20 L.Ed.2d 776 (1968), and applied that decision to
For example, the United States Court of Appeals for the Fifth Circuit held that the decision in Estelle v. Smith “did not establish a new principle of federal constitutional law because that decision merely applied already fixed principles to a new factual situation.” The circuit court viewed Smith as a logical extension of Miranda v. Arizona, 384 U.S. 436, 86 S.Ct. 1602, 16 L.Ed.2d 694 (1966), and its related line of cases. Battie v. Estelle, 655 F.2d 692, 699 (5th Cir.1981). In contrast, in his concurrence in Fields v. State, 627 S.W.2d 714 (Tex.Cr.App.1982), Presiding Judge McCormick recognized the significant impact of the decision in Smith on Texas law:
Both holdings in Estelle v. Smith changed the law in Texas. This Court had for years rejected claims on these bases. Never before had it been held a court-appointed mental health expert must warn a defendant of his right to remain silent and that the evidence adduced in the psychiatric interview could be used against him. Never before had it been held that the defendant‘s attorney could receive notice before a psychiatric interview on the dangerousness issue could be held. In fact, in numerous cases this Court rejected the contentions that the proceedings used in Estelle [v. Smith] violated a defendant‘s rights.
627 S.W.2d at 723 (McCormick, J., concurring).
This analysis focuses on significant changes in law, and forces the inquiry into whether such changes affect this Court‘s interpretation of constitutional issues. Perhaps this should be the essential inquiry under the novelty half of the “right not recognized” doctrine. A decision pointing to a marked change from long-held positions by this Court on issues of extreme constitutional importance to capital defendants should normally be considered a novel event. I view the decisions in Estelle v. Smith and Adams v. Texas as representing a marked change in Texas law. Thus, I would evaluate whether the decision in Penry was adequately novel in light of this Court‘s reaction to those decisions.
III. Is Penry more like Adams and Smith or Batson?
The State argues that appellant‘s Penry claims, like the Batson claims urged in Mathews and Williams, are not novel. The State asserts that the novelty claim being presented is in reality a claim of futility, and that Penry claims are analogous to Batson claims. I disagree, and do not believe the State‘s contentions comport with Texas precedent.
Batson merely relaxed the evidentiary standards of Swain v. Alabama, 380 U.S. 202, 85 S.Ct. 824, 13 L.Ed.2d 759 (1965). Penry, however, applied the constitutional requirements concerning consideration of mitigating evidence found in Lockett v. Ohio, 438 U.S. 586, 98 S.Ct. 2954, 57 L.Ed.2d 973 (1978) and Eddings v. Oklahoma, 455 U.S. 104, 102 S.Ct. 869, 71 L.Ed.2d 1 (1982) directly to
Batson error necessarily contemplates an objection. All of the substantive legal arguments relied upon in Batson follow directly from Swain v. Alabama, supra. Batson‘s innovation is to force the prosecutor to provide race-neutral reasons for his peremptory challenges once a defendant makes a prima facie showing of racial discrimination. While the modification greatly increases a defendant‘s chance of obtaining relief, the workings of the entire procedure depend on an objection to start things in motion. Absent a timely objection, the prosecutor has no reason to provide race-neutral explanations, and there is no evidence for the trial judge to weigh. A failure to object on Batson grounds results in no evidence of discrimination, no testimony from the prosecution, no trial court ruling, and ultimately nothing for appellate review.
Conversely, Penry error can be capably reviewed with or without an objection. Since this Court has never required a special instruction on mitigating evidence, it is difficult to evaluate now the effect that an actual request for a special instruction might have in a particular case. The record can be reviewed on appeal for any relevant mitigating evidence actually presented at trial. This affords the added degree of caution desirable in a death penalty case. I do not believe that the considerations which led us to find waiver of Batson error in Mathews are present in the many cases now claiming Penry error.
IV. Is Penry novel in light of this Court‘s prior decisions?
In at least three cases, this Court affirmed the constitutionality of the special issue practice under
In Ex parte Granviel, 561 S.W.2d 503 (Tex. Cr.App.1978), the applicant argued that
[t]his court in construing
Article 37.071 , supra, has never limited admissible evidence to solely aggravating or mitigating circumstances. The phrase “any matter that the court deems relevant to sentence” inArticle 37.071(a) , supra, refers to virtually any type of probative matter. The only limitation is that the trial court in its discretion must consider the evidence to be relevant to punishment. Moreover, the jury in answering the special issues may properly consider all the evidence adduced during both the guilt and punishment phases of the trial. This could include evidence of a defendant‘s mental condition—whether such evidence be characterized as an “aggravating” or “mitigating” factor. Thus,Article 37.071(b) , supra, does not prevent the jury from considering a defendant‘s mental condition as a mitigating factor.
Id. (footnotes and citations omitted).
The decision in Ex parte Granviel reflected no recognition by this Court of the dilemma presented to the jury in deciding how to give “two edged sword” evidence effect. See Penry, 109 S.Ct. at 2949. We held that no additional instruction was required to allow full consideration of mitigating evidence of the type that resulted in the decision in Penry.
In Adams v. State, 577 S.W.2d 717 (Tex. Cr.App.1979), rev‘d on other grounds sub nom., Adams v. Texas, 448 U.S. 38, 100 S.Ct. 2521, 65 L.Ed.2d 581 (1980), we summarized Adams‘s argument as follows:
Appellant contends that
Appellant acknowledges that the defendant in a capital case in Texas may offer at the punishment hearing any relevant mitigating evidence. However, appellant argues that such evidence is of no avail to the defendant if the jury is convinced by the evidence beyond a reasonable doubt that the punishment issues should be answered affirmatively. In such a case, appellant argues, the punishment of death is mandatory even though the jury, on the basis of the mitigating evidence, may believe that death is inappropriate.
Id. at 729 (citations omitted).
In response to this argument, this Court held:
Although the death penalty in Texas is mandatory upon the return of affirmative answers to the three punishment issues,
Art. 37.071 , supra, the jury does not consider the punishment issues unless it has first found the defendant guilty of murder under certain specified aggravating circumstances.V.T.C.A. Penal, § 19.03 . Furthermore, in answering the punishment issues the jury must consider all the relevant evidence concerning the particular offense and the individual defendant offered by the State or by the accused. The punishment issues give guidance to the jury regarding those factors about the crime and the defendant that the State, representing organized society, deems particularly relevant to the sentencing decision. The punishment issues provide for the guided jury discretion found wanting in pre-Furman death penalty statutes....We hold that
Art. 37.071 , supra, is not unconstitutional for failure to present for the consideration of the jury the concept of “desert.” We also hold thatArt. 37.071 , supra, does not impose the death penalty in an unconstitutionally mandatory manner.
Id. at 730 (citations omitted). While Granviel sought to give effect to all mitigating evidence within the existing structure of the special issues, Adams sought to give effect to this evidence by adding what amounts to an additional special issue. Our holding in Adams reaffirmed the essential idea that
Predictably then, in Quinones v. State, 592 S.W.2d 933 (Tex.Cr.App.1980), we held that the refusal of the trial judge to grant a requested instruction on mitigating evidence was not error. We summarized Quinones‘s argument and responded as follows:
[A]ppellant contends that, in the punishment phase, the jury should have been charged that: “Evidence presented in mitigation of the penalty may be considered should the jury desire, in determining the answer to any of the special issues.” Appellant submitted two jury charges incorporating this language and both were denied. The trial court submitted the special issues as prescribed in
Art. 37.071, V.A.C.C.P. , without explanation of their terms.Appellant correctly claims a right to consideration of mitigating circumstances by the jury deciding whether or not to impose the death penalty and he argues that the explanatory charge he requested is necessary to protect this right. We disagree with this conclusion. The Supreme Court has affirmed that under the Texas capital sentencing statute: “the jury may be asked to consider whatever evidence of mitigating circumstances the defense can bring before it.” Jurek v. Texas, 428 U.S. 262, 273, 96
Appellant was entitled to present evidence of any mitigating circumstances and did present such evidence, including a broad discussion of his personal and family background. The question then is whether the language of the special issue is so complex that an explanatory charge is necessary to keep the jury from disregarding the evidence properly before it. In King v. State, 553 S.W.2d 105 (Tex.Cr.App.1977), cert. denied, 434 U.S. 1088, 98 S.Ct. 1284, 55 L.Ed.2d 793 (1978), this Court held that the questions in
The decisions in Ex parte Granviel and Adams rejected the argument that under the special issues of article 37.071 the jury is unable to give full effect to relevant mitigating evidence, and in Quinones we further refused to recognize any constitutional need for a special instruction regarding mitigating evidence.
Had Penry, and to a lesser extent Franklin, never been decided, Ex parte Granviel, Adams, and Quinones would have effectively foreclosed the argument that appellant is now making. Penry was the first case ever to hold that, under certain circumstances, the Eighth Amendment forbids a death sentence imposed under an unadorned version of
V. Conclusion
Arguing over whether the rule announced by the Supreme Court in Penry is novel, or whether the lodging of an objection prior to Penry would have been futile, will not bring about an ultimate resolution of this matter. Both the State and appellant advance compelling arguments in both areas. What is strikingly clear, in my view, is that the holding in Penry constituted a substantial change in the law, no less than Adams v. Texas and Estelle v. Smith, and there being abundant Texas precedent demonstrating that the holding amounts to a right not previously recognized, appellant has not waived his right to assert a Penry violation by failing to object at trial.
Accordingly, I concur in the result reached in Part II.A and join in Parts I and II.B of the lead opinion.
McCORMICK, P.J., and OVERSTREET and BENAVIDES, JJ., join this concurrence.
CLINTON and MALONEY, JJ., join this concurrence in the analysis of Part II.A.
BAIRD, Judge, concurring in part and dissenting in part.
Judge Miller is correct, it was futile for defense counsel to request the trial court to provide the jury with a vehicle to express its reasoned moral response to the mitigating evidence “not relevant to”
I dissent, however, to Part IIB of the opinion holding no additional instruction was necessary for the jury to express its reasoned moral response to appellant‘s mitigating evidence. Majority opinion, page 353. Appellant‘s mitigating evidence establishes the three positive character traits mentioned by Justice O‘Connor in her concurring opinion in Franklin v. Lynaugh, 487 U.S. 164, 186-88, 108 S.Ct. 2320, 2333, 101 L.Ed.2d 155 (1988) (O‘Connor, J., joined by Blackmun, J., concurring): Religious devotion (Black, Maj. op. IA at 354), kindness to others (Black, Maj. op. IA at 354) and voluntary service (Black, Maj. op. IA at 354). Because no additional instruction was submitted, a reasonable juror could well have believed that there was no vehicle for expressing the view that appellant did not deserve to be sentenced to death based upon his mitigating evidence. Penry v. Lynaugh, 492 U.S. 302, 324-26, 109 S.Ct. 2934, 2950, 106 L.Ed.2d 256 (1989). Accordingly, I believe our capital sentencing scheme operated in an unconstitutional manner as applied to appellant. See, Ex parte Baldree, 810 S.W.2d 213, 217 (Tex. Cr.App.1991 delivered this day) (Baird, J., dissenting); Boggess v. State, 1991 WL 87597 (Tex.Cr.App. No. 69,990, delivered this day) (Baird, J., dissenting).
As the majority notes, appellant‘s evidence is “qualitatively different” than the mitigating evidence in Penry, which demonstrated mental retardation and an abusive childhood. If the protections of the Eighth and Fourteenth Amendments are limited to such an extreme situation as Penry, then the majority is correct. However, for the reasons stated this day in my dissenting opinion in Baldree, 810 S.W.2d at 217 (Baird, J., dissenting), I do not feel Penry should be so narrowly construed.
CLINTON, Judge, dissenting.
The plurality opinion would reach the merits of appellant‘s claim under Penry v. Lynaugh, 492 U.S. 302, 109 S.Ct. 2934, 106 L.Ed.2d 256 (1989), despite lack of an objection or request in the trial court, on the basis that such an objection or request would have been futile at the time. The plurality cites no authority for this proposition. In his concurring opinion, Judge Campbell agrees the Court should reach the merits, but on a different basis: that at the time of appellant‘s trial, anything we would now recognize as a valid Penry claim was “a right not recognized.” Under Judge Campbell‘s majority concurrence in Ex parte Chambers, 688 S.W.2d 483 (Tex. Cr.App.1984), such a claim is cognizable when raised for the first time on appeal or on post-conviction writ of habeas corpus brought pursuant to
I agree with Judge Campbell that any forfeiture of Penry error is excusable under the holding in Ex parte Chambers, supra, and to the extent it so holds, I join his opinion. I write further, however, because I am not at all sure we are correct to assume that Penry error can be forfeited in the first place. This depends upon the nature of the Eighth Amendment claim itself, a question that has received little attention in either this Court or, as yet, the
I.
The Court has frequently said “that even constitutional guarantees can be waived by failure to object properly at trial.” Gibson v. State, 516 S.W.2d 406, 409 (Tex.Cr.App. 1974). But surely by this the Court means some constitutional rights, not all. For when the Court says “waived” in this context, it does not mean “waiver” in the sense of Johnson v. Zerbst, 304 U.S. 458, 58 S.Ct. 1019, 82 L.Ed. 1461 (1938), which is to say, the “intentional relinquishment or abandonment of a known right.” What the Court means is that even constitutional guarantees can be forfeited. We know, however, that not all constitutional guarantees can be lost by simple forfeiture. Nevertheless, both the plurality and concurring opinions in this cause assume that Penry error can indeed be forfeited. Hence, they proceed to a Chambers analysis, to determine whether there is a valid excuse for the forfeiture. Lost in the analysis is the threshold inquiry whether Penry error is of such a nature that it can be procedurally defaulted by failure to raise it in the trial court.
The Supreme Court has held that the Texas capital sentencing scheme sometimes operates in a manner inconsistent with requirements of the Eighth Amendment to the United States Constitution. Penry v. Lynaugh, supra. The sentencing scheme is not unconstitutional on its face. Franklin v. Lynaugh, 487 U.S. 164, 108 S.Ct. 2320, 101 L.Ed.2d 155 (1988); Jurek v. Texas, 428 U.S. 262, 96 S.Ct. 2950, 49 L.Ed.2d 929 (1976). It does violate the Eighth Amendment, however, at least insofar as this Court understands the matter, under the following circumstances:
“[W]henever a capital defendant produces evidence of his own character, background, or the circumstances surrounding his offense which, according to contemporary social standards, has a tendency to reduce his moral culpability in a way not exclusively related to the deliberateness of his criminal conduct, the provocative behavior of his victim, or the probability of his future dangerousness, the United States Constitution forbids imposition of the death penalty upon him by a sentencer given no means to prescribe, based on such mitigating evidence, a less severe punishment.”
Gribble v. State, 808 S.W.2d 65, 75 (Tex. Cr. App.1990). From this it is apparent that we do not necessarily understand the Eighth Amendment to guarantee jury instructions of a particular kind in death penalty cases. Because it is only the sentence of death which even arguably offends the Eighth Amendment, one cannot determine whether the Constitution required a jury instruction until after a sentence of death is imposed. This circumstance alone suggests that the essence of Penry may not be the right to a jury instruction. At best, a jury instruction of the kind requested by Penry would, if given, prevent an unconstitutional result.
Thus, we may err to assume that a Penry claim must be preserved by way of request for or objection to the absence of a particular instruction. The mistake occurs when we think of Penry v. Lynaugh, supra, as holding that a capital accused has a right to an instruction whenever evidence of mitigating value beyond the scope of special issues is presented. The more accurate view may be that Penry holds that the Eighth Amendment forbids the imposition of the death penalty by the State whenever the capital sentencer has been precluded from taking all “relevant” mitigating evidence into account in making a reasoned moral judgment whether the accused should live despite the nature of his crime. In short, Penry may not represent a right of the accused so much as a fundamental feature of the system.
The point may be illustrated as follows. Suppose an accused is found guilty of capital murder. At the punishment phase he proffers evidence which all can agree has
Which of these perspectives we embrace has a critical impact upon the question of procedural default. For if we perceive Penry to hold that an accused has a right to an instruction upon introduction of mitigating evidence beyond the scope of special issues, then it is appropriate to ask whether he can assert that right on appeal or on collateral attack sans any request for or objection to the absence of such an instruction—i.e., whether his right may be procedurally defaulted. On the other hand, if what the Eighth Amendment does is not simply to vest an accused with the right to a jury instruction, but rather to forbid the State from giving effect to its death penalty statute whenever it operates to impose death upon less than all the constitutionally “relevant” criteria, the procedural default question takes on a completely different slant. If Penry stands for anything, it is that
That Penry itself arose in context of a requested jury instruction, refused by a trial judge, does not necessarily mean that the Eighth Amendment doctrine with which the Supreme Court was there concerned is merely the right to a particular jury in-
Nevertheless, assuming that Penry error is forfeitable, I agree with Judge Campbell that such forfeiture may be excused under Ex parte Chambers, supra. Therefore, I join his concurring opinion to that extent.
II.
Turning to the merits of appellant‘s Penry claim, I must dissent to the Court‘s holding that “no constitutional violation is presented.” In the first place, the majority tacitly assumes that as long as it can identify some sense in which that evidence might be said to militate in favor of a “no” answer to one of the special issues, then it is not confronted with Penry error. This assumption misses the very essence of the Supreme Court‘s holding. It may well be that the jury had the opportunity to give effect to a particular item of mitigating evidence within the parameters of special issues. But should that evidence also have some potentially mitigating aspect not accountable under the special issues, we can-
The Supreme Court has told us that “the Constitution limits a State‘s ability to narrow a sentencer‘s discretion to consider relevant evidence that might cause it to decline to impose the death sentence.” McCleskey v. Kemp, 481 U.S. 279, at 304, 107 S.Ct. 1756, at 1773, 95 L.Ed.2d 262, at 286 (1987). “[A]ny aspect of a defendant‘s character or record and any of the circumstances of the offense” that in reason could persuade a jury to impose a penalty less than death may be said in this context to be “relevant” mitigating evidence.3 Lockett v. Ohio, 438 U.S. 586, at 604, 98 S.Ct. 2954, at 2965, 57 L.Ed.2d 973, at 990 (1978) (Plurality opinion); Eddings v. Oklahoma, 455 U.S. 104, at 110, 102 S.Ct. 869, at 874, 71 L.Ed.2d 1, at 8 (1982).
“Lockett and Eddings reflect the belief that punishment should be directly related to the personal culpability of the criminal defendant. Thus, the sentence imposed should reflect a reasoned moral response to the defendant‘s background, character, and crime rather than mere sympathy or emotion.” California v. Brown, 479 U.S. 538, at 545, 107 S.Ct. 837, at 841, 93 L.Ed.2d 934, at 942 (1987) (O‘Connor, J., concurring). Evidence invoking a purely sympathetic or emotional response is probably not “relevant.” See Saffle v. Parks, 494 U.S. 484, 110 S.Ct. 1257, 108 L.Ed.2d 415 (1990).
Evidence of the type appellant proffered is not squarely covered in Penry v. Lynaugh, supra. Nevertheless, it is not plain to me that jurors would find these facets of appellant‘s character insignificant in making the normative evaluation whether he deserves to live in spite of his crime. The Supreme Court has not expressly limited its view of “relevant” mitigating evidence to those circumstances necessarily bearing on personal culpability for the particular offense committed or those aspects of the defendant‘s background or makeup to which his crime may be, at least in part, attributable.4 See Skipper v. South Carolina, 476 U.S. 1, at 4-5, 106 S.Ct. 1669, at 1671, 90 L.Ed.2d 1, at 7 (1986). To the contrary, there is every indication a majority of the Supreme Court believes “[e]vidence of voluntary service, kindness to others, or of religious devotion” to be relevant inasmuch as it “might demonstrate positive character traits that might mitigate against the death penalty.” Franklin v. Lynaugh, 487 U.S. 164, at 186, 108 S.Ct. 2320, at 2333, 101 L.Ed.2d 155, at 173 (1988) (O‘Connor, J., concurring). When the Supreme Court defines evidence as “relevant” for Eighth Amendment purposes, this Court is not at liberty to regard it otherwise.
It avails appellant little that this Court should reach the merits of his Penry claim and then give it such short shrift. I respectfully dissent.
