O'Brien v. Dretke

United States Court of Appeals
Fifth Circuit
F I L E D
IN THE UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT December 27, 2005
)))))))))))))))))))))))))) Charles R. Fulbruge III
Clerk
No. 05-70006
))))))))))))))))))))))))))
DERRICK SEAN O’BRIEN,
Petitioner–Appellant,
vs.
DOUG DRETKE, DIRECTOR, TEXAS DEPARTMENT OF CRIMINAL JUSTICE,
CORRECTIONAL INSTITUTIONS DIVISION,
Respondent–Appellee.
Appeal from the United States District Court
for the Southern District of Texas
(02-CV-1865)
Before JONES, BARKSDALE, and PRADO, Circuit Judges.
PER CURIAM:*
Petitioner Derrick Sean O’Brien was convicted in Texas state
court of capital murder and sentenced to death. Subsequently,
O’Brien filed a petition for habeas corpus relief in federal
district court, which denied the petition and declined to issue a
certificate of appealability (“COA”) on any issue. O’Brien now
asks this court to grant a COA pursuant to 28 U.S.C. § 2253(c).
For the reasons that follow, we DENY the COA request.
*
Pursuant to 5TH CIRCUIT RULE 47.5, the court has determined
that this opinion should not be published and is not precedent
except under the limited circumstances set forth in 5TH CIRCUIT
RULE 47.5.4.
I
A summary of the facts as recounted by the district court
will suffice:
On the night of June 24, 1993, eighteen-year-old O’Brien
participated in the initiation of Raul Omar Villareal into a gang
called the Blacks and Whites. Four other gang members, Peter
Cantu, Roman Sandoval, Joe Medellin, and Efrain Perez, were
present at the initiation, as were Frank Sandoval and Vernancio
Medellin, brothers of two of the gang members. The initiation
consisted of Villareal fighting each of the other gang members
for several minutes. Following this ritual, the gang members
drank beer.
At about 11:30 p.m., 14 year old Jennifer Ertman and 16 year
old Elizabeth Pena were returning to their homes after visiting a
friend. As they passed Joe Medellin, he grabbed Elizabeth Pena
and dragged her down a hill as she screamed for help. Jennifer
Ertman ran back to help Elizabeth Pena, but Joe Medellin grabbed
her and dragged her down the hill as well. Peter Cantu forced
Jennifer Ertman to perform oral sex on him and O’Brien raped both
girls. The gang rape continued for more than an hour. O’Brien
and other members of the gang later boasted that they gang-raped
both girls. The girls’s bodies were found on June 28, 1993.
They were close to each other, and were both in an advanced state
of decomposition.
Joe Cantu, Peter Cantu’s brother, testified that he received
2
a call from O’Brien after the murders. O’Brien admitted raping
and killing the girls, and he also expressed concern that the
girls might still be alive and that the gang left evidence,
including beer bottles with fingerprints, at the crime scene.
Both Roman Sandoval and Vernancio Medellin testified that the
gang had no formal leader, and O’Brien acted voluntarily
throughout the rape and murders of the two girls.
O’Brien, Peter Cantu, Efrain Perez, Jose and Vernancio
Medellin, and Raul Villareal were arrested on June 29, 1993.
When police knocked on O’Brien’s door and announced their
presence, O’Brien attempted to flee out the back door. He was
arrested by officers waiting in back. Houston Police Officer
Todd Miller read O’Brien his rights and advised him that he was
under arrest for capital murder. O’Brien replied that he knew it
was about the two girls who were killed. O’Brien also said he
wanted to make a statement. The police then took O’Brien to the
police station where he was again informed of his rights and was
brought before a magistrate, who again informed O’Brien of his
rights. O’Brien subsequently informed police that he gave his
belt to Jose Medellin, who used it to strangle one of the girls.
At Medellin’s instruction, O’Brien grabbed one end of the belt
and helped strangle the victim. They pulled so hard that one end
of the belt broke off. O’Brien consented to a search of his
apartment, and the police found the belt.
Dr. Marilyn Murr of the Harris County Medical Examiner’s
3
Office testified that the bodies were badly decomposed and
covered with maggots. Most of the soft tissue on Jennifer
Ertman’s head and the external portion of her vagina was eaten by
maggots, indicating that there was trauma, hemorrhaging and
bleeding. Autopsy photographs showed the differences in
decomposition between those areas that suffered trauma and those
that did not, such as Jennifer Ertman’s legs, chest, and abdomen.
Dr. Murr explained that maggots and bacteria are attracted to
blood, and these cause decomposition. Strangulation would cause
blood to accumulate in the head area, and cause hemorrhaging in
the eyes and mouth, because the pressure on the blood vessels in
the neck prevents blood from draining from the head. Dr. Murr
concluded that Jennifer Ertman died from trauma to the neck which
could include strangulation. Due to the state of decomposition,
she could not tell what was used to strangle Jennifer Ertman, but
the evidence was consistent with a belt or hands being used.
Jennifer Ertman also had three fractured ribs.
Elizabeth Pena’s body was similarly decomposed. Several
teeth were missing, and one tooth was fractured. Dr. Murr
concluded from this that Elizabeth Pena was punched or kicked in
the mouth. Dr. Murr concluded that Elizabeth Pena, too, died of
trauma to the neck consistent with strangulation. The jury found
O’Brien guilty of capital murder for the murder of Jennifer
Ertman.
Joyce Jones testified during the penalty phase of the trial.
4
Jones is a teacher at a Houston school for children with
behavioral problems. She taught O’Brien in 1987-1988. O’Brien
fought with other children and sometimes had to be restrained.
Jones described O’Brien as “very aggressive.” On one occasion,
O’Brien broke another child’s jaw. She was not surprised when
she heard about O’Brien’s involvement in the murders of Jennifer
Ertman and Elizabeth Pena.
Raymond Earl Ray testified that he worked as a security
guard at K-Mart in 1989. He arrested O’Brien for shoplifting a
pellet pistol. A security guard at a Houston public school
testified that she once saw O’Brien brandish a handgun at another
school security guard. O’Brien threatened to kill the other
guard and fired the gun into the air. On another occasion,
O’Brien brought a toy gun to school. On a third occasion,
security guards received a report that O’Brien had a gun, but no
gun was found. O’Brien also bragged about stealing cars,
consumed alcohol on the school bus, and once jumped out the bus
emergency door with six other students when there was no
emergency.
Houston Police Office Timothy Sutton testified that he
witnessed O’Brien and Peter Cantu punch, kick, and drag another
man at Burger King restaurant about three months before the
murder. O’Brien and Cantu were charged with simple assault.
Gregory Ristivo testified that he engaged in criminal
activity with O’Brien including stealing cars and stealing
5
jackets and shoes from people. He estimated that he and O’Brien
stole between 25 and 50 cars. They would then drive the cars,
vandalize them, and sometimes play bumper cars with two stolen
cars. Once, O’Brien tried to steal a gun from a car. O’Brien also
used a gun to shoot at lights and stop signs while joy riding
with Ristivo. Sometimes, O’Brien and Peter Cantu would start
fights with random people. O’Brien once grabbed a person at a
mall, threw him against a wall, and stole his shoes. This theft
occurred at mid-day with other shoppers around. O’Brien
intimidated another student at his school into giving O’Brien his
Nike shoes. Ristivo also saw O’Brien hit a teacher with a piece
of wood, and O’Brien bragged about stabbing someone with a
screwdriver while breaking into a car. Ristivo and O’Brien
burglarized Ristivo’s father’s house.
Houston Police Officer Jones testified that he arrested
O’Brien for stealing a car. When Officer Jones came upon the
scene, O’Brien was fighting with two wrecker drivers. After
Officer Jones arrested O’Brien and placed him in the police car,
O’Brien continued to yell at the wrecker drivers, threatening to
kill them.
Christopher Rodriguez testified that he knew O’Brien from
his neighborhood. O’Brien bragged about being a member of the
Crips gang and wore Crips colors. O’Brien often bragged about
robbing people.
Dr. Stanley Smoote, a psychologist with the Houston
6
Independent School District, testified that, based on O’Brien’s
records, O’Brien has conduct disorder. This disorder includes
physical aggression toward others.
Officer Mike Knox of the Houston Police West Side Gang Unit
testified that O’Brien has tattoos that appear to be gang
symbols. Based on the tattoos, Officer Knox concluded that
O’Brien was a member of the Folk Nation, a group espousing “the
promot[ion] of the black race” and engaging in criminal activity.
Leslie William Morgan was housed on the same floor as
O’Brien at the Harris County Jail. Morgan testified that O’Brien
denied involvement in the Ertman-Pena murders for the first six
months he was in jail, but changed his story when other inmates
began taunting him after some news stories came out about the
case. According to Morgan, O’Brien then said, “That they were
nothing but just whores anyway and that [the] pussy was real
good.”
O’Brien was also implicated in another murder. On January
4, 1993, Houston Police found the dead body of Patricia Lopez in
a park. She was nude from the waist down. Police found a broken
belt a few feet from the body, and five empty beer cans,
cigarette butts and other items in the area. Patricia Lopez’
shirt was unbuttoned and heavily blood stained; it had three
holes in the back. Her jacket also had three holes in it, and
her bra was cut. There was a stab wound and a cutting wound on
her neck, a stab wound on the abdomen, and three stab wounds on
7
the back. Several of the stab wounds could have been fatal.
There was no evidence of strangulation, and no evidence of sexual
intercourse. No one was charged with this homicide, but one of
the fingerprints lifted from the crime scene evidence belonged to
O’Brien. Jose Martin Medellin, the brother of Jose and Vemancio
Medellin, testified that Peter Cantu told him that O’Brien
admitted trying to rape the victim. He was unable to do so and
killed her. O’Brien was present when Cantu made his statement,
and O’Brien agreed with the statement.
Glenn Hanka testified for the defense. He is a sergeant
with the Harris County Sheriff’s department, and was the
custodian of records for the Detention Bureau of Inmate Affairs.
Hanka testified that there was no record of O’Brien having any
disciplinary problems while in jail. The defense called no other
witnesses.
II
O’Brien was arrested on June 29, 1993 and charged with
capital murder. His trial began on April 5, 1994, and the jury
returned a guilty verdict on April 7, 1994. Sentencing
proceedings took place on April 9, 1994, and based on the jury’s
answers to special issues, O’Brien was sentenced to death. The
Texas Court of Criminal Appeals affirmed his conviction and
sentence in an unpublished opinion. O’Brien v. State, No. 71,859
(Tex. Crim. App. May 15, 1996). O’Brien pursued a petition for
8
writ of certiorari to the Supreme Court, which was denied.
O’Brien v. Texas, 519 U.S. 1094 (1997). Subsequently, O’Brien
timely filed a state writ of habeas corpus. The state trial
court adopted the State’s proposed findings of fact and
conclusions of law, and recommended that the writ be denied. The
Texas Court of Criminal Appeals denied habeas relief on February
6, 2002. Ex parte O’Brien, No. 51,264-01 (Tex. Crim. App. Feb. 6,
2002).
O’Brien then timely filed this federal habeas petition. The
district court denied all claims for habeas relief and, sua
sponte, denied O’Brien a COA on any claim. O’Brien v. Dretke,
No. H-02-1865, slip op. at 47-49 (S.D. Tex. Jan. 14, 2005).
III
O’Brien filed his petition for writ of habeas corpus in
district court after the effective date of the Antiterrorism and
Effective Death Penalty Act (“AEDPA”), pursuant to 28 U.S.C. §
2254.1 AEDPA, therefore, governs this petition. Lindh v. Murphy,
521 U.S. 320, 336 (1997); Hughes v. Dretke, 412 F.3d 582, 588
(5th Cir. 2005).
Under AEDPA, a petitioner must obtain a COA before he can
appeal a district court’s denial of habeas relief. See 28 U.S.C.
§ 2253(c); Miller-El v. Cockrell, 537 U.S. 322, 336 (2003)(“Until
1
AEDPA became effective on April 24, 1996. See Martinez v.
Dretke, 404 F.3d 878, 884 (5th Cir. 2005).
9
a COA has been issued[,] federal courts of appeals lack
jurisdiction to rule on the merits of appeals from habeas
petitioners.”). We will grant a COA if the petitioner makes “a
substantial showing of the denial of a constitutional right.” 28
U.S.C. § 2253(c)(2). More specifically, we will issue a COA if
the district court’s application of AEDPA to petitioner’s
constitutional claims was debatable among reasonable jurists.
Miller-El, 537 U.S. at 336. “The question is the debatability of
the underlying constitutional claim.” Miller-El, 537 U.S. at
342. “Because the present case involves the death penalty, any
doubts as to whether a COA should issue must be resolved in
[petitioner’s] favor.” Hernandez v. Johnson, 213 F.3d 243, 248
(5th Cir. 2000).
In deciding whether to grant a COA, we recognize that
section 2254(d) of AEDPA imposes a deferential standard of review
on a federal habeas court with respect to claims adjudicated on
the merits in state court. Brown v. Dretke, 419 F.3d 365, 371
(5th Cir. 2005). A federal court cannot grant habeas relief
unless the state court adjudication of that claim either “(1)
resulted in a decision that was contrary to, or involved an
unreasonable application of, clearly established federal law, as
determined by the Supreme Court of the United States; or (2)
resulted in a decision that was based on an unreasonable
determination of the facts in light of the evidence presented in
10
the state court proceeding.” 28 U.S.C. § 2254(d); see Wiggins v.
Smith, 539 U.S. 510, 520 (2003); Brown, 419 F.3d at 371. O’Brien
seeks appellate review on four grounds: (1) a Sixth Amendment
ineffective assistance of counsel claim, (2) an Eighth Amendment
claim regarding the jury’s ability to consider mitigating
evidence, (3) a First Amendment claim relating to O’Brien’s gang
affiliation, and (4) a due process claim under Simmons v. South
Carolina, 512 U.S. 154 (1994).
A. Would reasonable jurists find it debatable that O’Brien
received effective assistance of counsel?
O’Brien seeks a COA because, according to O’Brien,
reasonable jurists could debate that his Sixth Amendment right to
the effective assistance of counsel has not been violated.
Strickland v. Washington2 governs ineffective assistance of
counsel claims. See Williams v. Taylor, 529 U.S. 362, 390-91
(2000). In order to establish a violation of the Sixth Amendment
right to counsel, a petitioner must demonstrate that his
counsel’s performance was deficient and that the deficiency
prejudiced his defense. 466 U.S. at 687-88. Counsel’s
performance is deficient only when his “representation [falls]
below an objective standard of reasonableness.” Id. We measure
reasonableness against prevailing professional norms, viewed
under the totality of the circumstances. Id. at 688. “Judicial
2
466 U.S. 668 (1984).
11
scrutiny of counsel’s performance is highly deferential. . . . a
court must indulge a strong presumption that counsel’s conduct
falls within the wide range of reasonable professional
assistance.” Id. at 689.
O’Brien argues that a COA should issue because reasonable
jurists could debate that his trial counsel’s failure to adduce
only the most perfunctory mitigation evidence did not constitute
ineffective assistance of counsel. During the punishment phase
of O’Brien’s trial, defense counsel presented only one witness: a
records custodian who testified that there were no disciplinary
actions taken against O’Brien during his incarceration at the
Harris County Jail. O’Brien maintains that reasonable jurists
could debate the district court’s conclusion that his counsel was
not ineffective for failing to discover and present any
additional mitigating evidence.
12
1. Mental Health Evidence
O’Brien first contends this court should grant a COA because
reasonable jurists could debate that his counsel’s failure to
pursue potentially mitigating mental health evidence did not
constitute ineffective assistance of counsel. O’Brien’s counsel
retained a clinical psychologist, Dr. Jerome Brown, a
psychiatrist, Dr. Roy Aruffo, and a clinical social worker, Ann
Estus, to evaluate O’Brien. O’Brien contends that his counsel
was in possession of their psychological reports, which were not
presented to the jury during sentencing, that suggested a long
history of abuse and attendant psychological problems and
allegedly would have been beneficial to O’Brien’s case. O’Brien
points to a list of factors, identified in Dr. Aruffo’s
psychiatric evaluation, as having important psychological
significance: (1) O’Brien’s mother’s difficulties with men at the
time of O’Brien’s birth; (2) early failures in establishing a
mother-infant bond; (3) asthma at an early age; (4) attachment to
a grandmother who proved to be over-indulgent and had
difficulties in setting boundaries; (5) having been treated
harshly in the formative years, by two jealous men–one married to
his mother and one married to his grandmother; and (6) becoming
much too deeply involved in one gang so that his behavior was
controlled externally. However, O’Brien’s counsel chose not to
call Dr. Aruffo, or any of these mental health experts, to
13
testify.
Nevertheless, reasonable jurists would not disagree that
O’Brien’s counsel’s decision regarding the testimony of Drs.
Brown and Aruffo was reasonable under the circumstances. Dr.
Brown’s psychological report was unfavorable to O’Brien,
concluding that “[a]lmost all of the clinical scales [were]
elevated to pathological levels.” Dr. Brown stated in his
report:
[I]t is my belief that the information obtained would be
more harmful to Mr. O’Brien in the long run than helpful. .
. . Much of his personality development and the documented
problem behaviors he has exhibited for a number of years
reveal him to be essentially anti-social in basic
personality characteristics and as able to at least
tolerate, if not participate in, violent and poorly planned
criminal activities such as the crime for which he is now
being tried. As you know, if I testify in court my results
will be available for scrutiny and use by the prosecution.
. . . I would not recommend that I be asked to testify on
his behalf in the punishment phase.
In addition, Dr. Aruffo noted that O’Brien’s “perception of
reality is greatly colored by defects in his personality.”
Although Dr. Aruffo observed in his prognosis that “[t]here is a
possibility that in a few years [O’Brien] would be more adult
like and inhibited and restrained,” he diagnosed O’Brien with
Antisocial Personality Disorder and stated, “There is little or
no indication that Mr. O’Brien wants or needs to make amends when
he has transgressed conventional morality. People with a mature
conscience feel good about themselves when they obey the commands
of their conscience. This young man feels increased self esteem
14
when he offends society.” Finally, Ann Estus, the clinical
social worker, concluded that due to O’Brien’s “lack of judgment
or impulse control and his inability to empathize with his
victims, it is likely he would, in a new community, once again
seek out an anti-social peer group.”
The district court concluded that the state court’s refusal
to grant habeas relief based on this evidence was not
unreasonable: counsel made a strategic decision not to call these
mental health witnesses, considering their negative observations
of O’Brien’s character. O’Brien’s trial counsel recognized that
the mental health experts’ testimony would be more harmful to the
defense than helpful, particularly given that counsel would have
had to make the expert reports available to the prosecution if
these witnesses had been called to testify.3
2. Ella Jones
O’Brien contends this court should grant a COA because
reasonable jurists could debate that counsel’s failure to call
his mother, Ella Jones, to testify on his behalf did not
constitute ineffective assistance of counsel. Ms. Jones
submitted statements to the state habeas court and federal
3
The petitioner also indicates that although counsel
investigated O’Brien’s mental health, the investigation was not
conducted in a timely fashion. However, the record shows that
the mental health evaluations and reports were completed prior to
the commencement of O’Brien’s trial. In addition, counsel
conferred with the mental health experts who expressed opinions
that counsel deemed detrimental to O’Brien.
15
district court,4 expressing concern that she was not given the
opportunity to speak on her son’s behalf or say anything to
contradict the other witnesses. In her statements, Ms. Jones
explains that her son had experienced some difficulties in school
as a result of alleged sexual advances by a male teacher. She
describes her son as a young man headed in a positive direction.
However, the record reveals that counsel spoke with Ms.
Jones and made a strategic decision not to call her as a witness.
During Ms. Jones’s interview with counsel, Ms. Jones stated: she
had attempted to take O’Brien to counseling, but that he wouldn’t
attend faithfully; she was not surprised that the incidents
leading up to O’Brien’s prosecution had occurred; and she had
warned O’Brien on numerous occasions about his conduct and the
people with whom he was associating. In addition, O’Brien told
his counsel that he did not want his mother to testify because he
did not want to subject her to cross-examination and other
harassment by the prosecution. “[S]trategic choices made after
thorough investigation of law and facts relevant to plausible
options are virtually unchallengeable.” Strickland, 466 U.S. at
690-91. Further, “in evaluating strategic choices of trial
counsel, we must give great deference to choices which are made
4
With respect to Ms. Jones’ affidavits, we only consider
the factual allegations that were presented to the state habeas
court. See Dowthitt v. Johnson, 230 F.3d 733, 745-46 (5th Cir.
2000).
16
under the explicit direction of the client.” U.S. v. Masat, 896
F.2d 88, 92 (5th Cir. 1990).
The state habeas court found counsel’s explanation as to why
counsel did not call Ms. Jones to testify credible. State court
findings of fact are presumed to be correct, unless rebutted by
clear and convincing evidence. See 28 U.S.C. § 2254(e)(1);
Valdez v. Cockrell, 274 F.3d 941, 947-48 (5th Cir. 2001); see
also Pondexter v. Dretke, 346 F.3d 142, 149 (5th Cir. 2003).
Consequently, the district court agreed with the state
habeas court: counsel made a professional judgment that Ms. Jones
would not be a favorable witness. The district court explained
that “[w]hile hindsight might suggest that counsel should have
called [Ms.] Jones, the tactic was not so ill chosen that it
permeated the entire trial with obvious unfairness.” O’Brien v.
Dretke, No. H-02-1865, slip op. at 13 (S.D. Tex. Jan. 14,
2005)(internal quotations omitted). Reasonable jurists would not
find this debatable.
3. James Fortson
O'Brien next argues this court should grant a COA because
reasonable jurists could debate that defense counsel’s failure to
call James Fortson, O’Brien’s step-grandfather, to testify during
sentencing did not constitute ineffective assistance of counsel.
O’Brien contends that evidence of Mr. Fortson’s mistreatment of
him could have provided the foundation for a meaningful
17
mitigation case. O’Brien lived with Mr. Fortson, and O’Brien’s
psychological evaluations indicate that Mr. Fortson was abusive
and intentionally cruel toward O’Brien when he was child.
However, the district court found that counsel’s decision
not to call Mr. Fortson was a reasonable strategic decision. Dr.
Aruffo’s psychiatric evaluation states that Mr. Fortson was cruel
to O’Brien because he was “jealous of the boy.” Given Mr.
Fortson’s reported hostile feelings toward O’Brien, counsel
concluded that Mr. Fortson would not be a favorable witness to
the defense.
Mr. Fortson’s affidavit, that he submitted during the state
habeas proceeding, states that he was never contacted by defense
counsel regarding O’Brien’s childhood and that he would have
liked to discuss his role in O’Brien’s life. However, Mr.
Fortson’s affidavit does not indicate what the nature of his
testimony would have been. Complaints based upon uncalled
witnesses are disfavored because “speculations as to what these
witnesses would have testified is too uncertain.” Alexander v.
McCotter, 775 F.2d 595, 602 (5th Cir. 1985); see Evans v.
Cockrell, 285 F.3d 370, 377 (5th Cir. 2002)(“[C]omplaints of
uncalled witnesses are not favored in federal habeas corpus
review because allegations of what the witness would have
testified are largely speculative.”). Here, such uncertainty
precludes the debatability of a finding of prejudice.
18
4. Other Witnesses
O'Brien contends this court should grant a COA because
reasonable jurists could debate that counsel’s failure to
identify potentially mitigating witnesses did not constitute
ineffective assistance of counsel. O’Brien submits affidavits
from Sheila and Lois Powers and Eddie and Gwendolyn Walker.5
Sheila and Lois Powers are family friends of O’Brien and the
Walkers are O’Brien’s aunt and uncle. Their statements indicate
that O’Brien is a soft-spoken, respectful young man. The
affidavits also suggest O’Brien felt that he was not taken
seriously after his school disregarded his allegations of sexual
advances by a male teacher. Eddie Walker characterizes this
incident as the source of O’Brien’s difficulties. All four
declarants state that they would have testified on O’Brien’s
behalf.
5
O’Brien submitted these affidavits, for the first time, to
the district court on federal habeas review. Section
2254(b)(1)(A) of AEDPA states that "a writ of habeas corpus ...
shall not be granted unless it appears that-- the applicant has
exhausted the remedies available in the courts of the State."
However, we will consider these affidavits to the extent they do
not present material evidentiary support to the federal court
that was not presented to the state court. See Dowthitt, 230
F.3d at 745-46. In his state habeas petition, O’Brien argued
that his trial counsel failed to conduct a meaningful
investigation into potential mitigating testimony. He further
stated that, had counsel discovered available potential
witnesses, the testimony would have included O’Brien’s family
history, character, background, and evidence related to attempted
sexual abuse by a teacher.
19
Despite counsel’s failure to discover these potential
witnesses, reasonable jurists could not disagree that counsel’s
investigation into O’Brien’s background was reasonable. See
Williams v. Maggio, 679 F.2d 381, 393 (5th Cir. 1982)
(“Petitioner's final argument charges counsel with failure to
conduct a thorough pre-trial investigation. . . . This challenge
to counsel’s performance attempts to do precisely that which is
barred by this Court; it invites us to question counsel's trial
strategy and judge his performance incompetent if it was not
errorless.”); see also Burger v. Kemp, 483 U.S. 776, 794 (1987)
(“[C]ounsel’s decision not to mount an all-out investigation into
petitioner’s background in search of mitigating circumstances was
supported by reasonable professional judgment.”). Counsel asked
O’Brien to identify potential mitigation witnesses, interviewed
several of O’Brien’s family members and friends, and retained
mental health experts. Based on counsel’s findings, he
determined that none of these potential witnesses would be
favorable to the defense. When counsel speaks with a great
number of mitigation witnesses, but reasonably determines those
witnesses would do more harm than good, he adequately
investigates possible mitigating evidence. See Boyle v. Johnson,
93 F.3d 180, 188 n.18 (5th Cir. 1996).
The district court’s rulings regarding O’Brien’s ineffective
assistance of counsel claim are not debatable among jurists of
20
reason. A COA may not issue as to this claim.
B. Would reasonable jurists find it debatable that the jury was
unhindered in its ability to consider mitigating evidence during
the punishment phase of trial?
O’Brien contends this court should grant a COA because
reasonable jurists could debate that his Eighth and Fourteenth
Amendment rights were not violated. According to O’Brien, the
jury was unable to consider all of the mitigating evidence
presented, in violation of those rights. Under Penry v. Johnson,
“the jury [must] be able to consider and give effect to a
defendant's mitigating evidence in imposing sentence.” 532 U.S.
782, 797 (2001) (internal citations omitted). O’Brien points out
that the prosecutor told the jury there must be a connection
between mitigating evidence and the charged crime. He concedes
that the trial court gave the proper statutory charge, but argues
that its effect was negated by deliberate, constant limitations
imposed by the prosecutor.
During voir dire examination, the prosecutor told some of
the prospective jurors that the only relevant mitigation evidence
was evidence connected to the crime itself. For example, the
prosecutor stated:
And you might consider whether or not those things in his
background or in the case background are connected to the
actual killing. For example, if there’s something in a
defendant’s background that you didn’t think was even
connected to why he did what he did, then you might
consider that as not sufficiently mitigating.
21
In addition, during direct examination at the punishment phase, a
witness testified that O’Brien was learning disabled in
mathematics. The prosecutor asked whether this disability could
be connected to the crime as an excuse. Finally, in his closing
argument, the prosecutor reiterated that a nexus between possibly
mitigating evidence and the crime was required;6 he concluded that
“there’s not anything at all [the jury] heard from any witness
that is mitigating.” O’Brien contends that, due to the
prosecutor’s statements throughout the trial, the jury was unable
to consider his youth7 and his behavior while in the Harris County
Jail.8
6
During closing argument at punishment, the prosecutor
stated:
Then you move on to [Special Issue] No. 3, then you
look at the Charge. And it tells you to ask yourself if
there’s anything mitigating. And we talked about what
does mitigating mean. . . . What, if anything, is
mitigating about him that you heard? The only thing that
I can possibly think of is that the guy’s learning
disabled in arithmetic, he can’t add. . . . Well, does
that have anything to do with raping and killing these
two girls? Can that have possibly somehow be connected as
an excuse for what he’s done to them?
[Dr. Smoote] told you no. You didn’t need a
psychiatrist or psychologist to tell you that. It
doesn’t take a rocket scientist to figure out if you
can’t add that doesn’t give you the right to go out and
kill . . . other people. So there’s not anything at all
that you heard from any witness that is mitigating.
7
O’Brien was eighteen years old at the time of the murder.
Youth is constitutionally relevant to the sentencing
determination. See Eddings v. Oklahoma, 455 U.S. 104, 115 (1982).
8
A good disciplinary record during incarceration is a
relevant mitigating circumstance. See Skipper v. South Carolina,
22
Prior to the Supreme Court’s decision in Tennard v. Dretke,9
we required a petitioner to show that mitigating evidence was
relevant by demonstrating that he had a uniquely severe permanent
handicap acquired through no fault of his own, and there was a
nexus between the offense and the petitioner’s severe permanent
condition. See Davis v. Scott, 51 F.3d 457, 460-61 (5th Cir.
1995), overruled in part by Tennard, 542 U.S. at 283-84; Cole v.
Dretke, 418 F.3d 494, 499 (5th Cir. 2005). The Tennard Court,
however, explicitly held our “uniquely severe permanent handicap”
and “nexus” tests incorrect and rejected them. Tennard, 542 U.S.
at 289. Instead, the Supreme Court clarified its “low threshold
for relevance” of mitigating evidence stating, “[A] State cannot
bar the consideration of evidence if the sentencer could
reasonably find that it warrants a sentence less than death.” Id.
at 2570 (internal quotations omitted).
Although O’Brien’s trial took place prior to Tennard, the
trial court’s jury instructions were constitutional, reflecting
the proper statutory charge. In Lockett v. Ohio, a plurality of
the Supreme Court held that the “Eighth and Fourteenth Amendments
require that the sentencer, in all but the rarest kind of capital
case, not be precluded from considering, as a mitigating factor,
any aspect of a defendant’s character or record . . . as a basis
476 U.S. 1, 7 (1986).
9
542 U.S. 274 (2004).
23
for a sentence less than death.” 438 U.S. 586, 604 (1978).
During the punishment phase of O’Brien’s trial, the jury was
required to respond to the following special issue, in accordance
with Texas’s current capital sentencing scheme:
Taking into consideration all of the evidence,
including evidence of the offense, the defendant’s
character and background, and the personal moral
culpability of the defendant, do you find that there is
a sufficient mitigating circumstance or circumstances
to warrant that a sentence of life imprisonment rather
than a death sentence be imposed?10
See TEX. CRIM. PROC. CODE ANN. art. 37.071(2)(e)(1).
The jury was further instructed that “the term ‘mitigating
evidence’ or ‘mitigating circumstances’ means evidence that a
juror might regard as reducing the defendant’s moral
blameworthiness.” In addition, the judge instructed the jury
that “[a] mitigating circumstance may include, but is not limited
to, any aspect of the defendant’s character, background, record,
emotional instability, intelligence or circumstances of the crime
which you believe could make a death sentence inappropriate in
10
This was the third of three special issues presented to
the jury. The first special issue inquired, “Is there a
probability that the defendant, Derrick Sean Obrien [sic] would
commit criminal acts of violence that would constitute a
continuing threat to society?” The jury answered this first
question in the affirmative. The second special issued asked:
Do you find from the evidence beyond a reasonable doubt
that Derrick Sean Obrien [sic], the defendant himself,
actually caused the death of Jennifer Ertman, the
deceased, on the occasion in question, or if he did not
actually cause Jennifer Ertman’s death, that he intended
to kill Jennifer Ertman or another, or that he
anticipated that a human like would be taken?
The jury also answered this question in the affirmative.
24
this case.” In light of Tennard, these instructions “do not
unconstitutionally preclude the jury from considering, as a
mitigating factor, any aspect of a defendant's character or
record and any of the circumstances of the offense that the
defendant proffers as a basis for a sentence less than death.”
Beazley v. Johnson, 242 F.3d 248, 260 (5th Cir.), cert. denied,
534 U.S. 945 (2001)(internal quotations omitted); see Cole v.
Dretke, 418 F.3d 494, 504 & n.44 (5th Cir. 2005)(indicating that
Texas’s current capital sentencing scheme is constitutional after
Tennard because it includes a “catchall instruction on mitigating
evidence”). In the present case, the trial court’s instructions
taken alone, allowed the jury to consider and give effect to
O’Brien’s youth and post-arrest behavior.
However, the context of the proceedings is relevant in
determining whether the jury could reasonably have given effect
to the mitigating evidence. Boyde v. California, 494 U.S. 370,
383 (1990); Penry, 532 U.S. at 800-02 (“[W]e will approach jury
instructions in the same way a jury would–with a commonsense
understanding of the instructions in the light of all that has
taken place at trial.”) (internal quotations omitted); Simmons v.
South Carolina, 512 U.S. 154, 171 (1994)(“[I]n some circumstances
the risk that the jury will not, or cannot, follow instructions
is so great, and the consequences of failure so vital to the
defendant, that the practical and human limitations of the jury
25
system cannot be ignored.”) (internal quotations omitted). In
that vein, O’Brien argues that the prosecutor’s comments
prejudiced the jury such that it was unable to give meaningful
effect to any of the mitigating evidence presented. Indeed, the
district court recognized that the prosecutor’s comments seemed
intended to restrict the jury’s consideration of mitigating
evidence. Although a “crucial assumption underlying the system
of trial by jury is that parties will follow instructions given
them by the trial judge,” Marshall v. Lonberger, 459 U.S. 422,
438 n.6 (1983); see Penry, 532 U.S. at 799, prosecutorial
misrepresentations may have a decisive effect on a jury. Boyde,
494 U.S. at 384-85; see Penry, 532 U.S. at 799-800 (finding it
logically and ethically impossible for the jury to follow the
jury instructions). In an instance where prosecutorial
statements allegedly influence a jury’s interpretation of the
statutory charge, the proper inquiry is whether there is a
reasonable likelihood that the jury has applied the instructions
in a way that prevents it from considering constitutionally
relevant evidence. Boyde, 532 U.S. at 380. This is particularly
true in capital cases where there is “a strong policy in favor of
accurate determination of the appropriate sentence.” Id.In this case, reasonable jurists would not debate the
effectiveness of the trial court’s statutory charge. In context,
rather than arguing that the jury was precluded from considering
26
these factors as mitigating circumstances, the prosecutor’s
statements could have been interpreted to mean that the jury
should not consider the factors mitigating in O’Brien’s case.
See Jones v. Butler, 864 F.2d 348, 360 (5th Cir. 1988). Even if
the jury understood the prosecutor’s statements to mean the
former, we do not attribute to a prosecutor’s comments the same
force as instructions of the court. Boyde, 494 U.S. at 384-85.
Reasonable jurists would not disagree that the prosecutor’s
statements were not so pervasive as to overcome the presumption
that jurors follow their instructions. See, e.g., Richardson v.
Marsh, 481 U.S. 200, 211 (1987); United States v. Hopkins, 916
F.2d 207, 218 (5th Cir. 1990).
There is not a reasonable likelihood that the jury felt
precluded from considering constitutionally relevant evidence.
Reasonable jurists would not disagree as to the district court’s
resolution and a COA may not issue as to this claim.
C. Would reasonable jurists find it debatable that introduction
of evidence during the punishment phase of trial, concerning
O’Brien’s gang affiliation, was harmless?
O’Brien contends this court should grant a COA because
reasonable jurists could debate that his First Amendment right to
freedom of association was not violated when, during sentencing,
the prosecution called Police Officer Knox to testify about the
significance of O’Brien’s tattoos. Officer Knox testified that
one of O’Brien’s tattoos indicated that O’Brien may be a member
27
of a gang, and that gangs are generally involved in criminal
activity. O’Brien relies on Dawson v. Delaware,11 to argue that
the introduction of evidence of his gang affiliation violated his
constitutional rights because his gang affiliation had no bearing
on the issue being tried.
Finding any possible error harmless, the district court
concluded that the state habeas decision denying relief was not
unreasonable.12 The district court first noted that O’Brien’s
case fell somewhere between Dawson and Fuller v. Johnson.13 The
district court observed that a prosecutor can validly introduce
evidence of gang affiliation if it is relevant to whether the
defendant is a future danger. In O’Brien’s case, the state
introduced evidence that O’Brien belonged to a gang that was
involved in criminal activity.
Without deciding if the trial court erred by admitting
11
503 U.S. 159 (1992) (stating that where both parties
stipulated to the defendant’s membership in the Aryan Brotherhood
prison gang, but the prosecution offered no evidence of the
gang’s violent tendencies relevant to sentencing, the use of that
associational evidence violated the defendant's First Amendment
rights).
12
More specifically, the district court stated that “[t]his
case falls somewhere between Dawson and Fuller. . . . While the
facts of this case place it in a somewhat gray area, any error in
admitting this testimony was harmless.” O’Brien v. Dretke, No. H-
02-1865, slip op. at 27 (S.D. Tex. Jan. 14, 2005).
13
114 F.3d 491 (5th Cir. 1997)(holding that where the State
introduced evidence that the defendant was a member of a gang
that had committed unlawful or violent acts the defendant’s First
Amendment rights had not been violated).
28
Officer Knox’s testimony, the district court held that any error
in admitting the testimony was harmless. Brecht v. Abrahamson,
507 U.S. 619, 630 (1993)(“[T]here may be some constitutional
errors which in the setting of a particular case are so
unimportant and insignificant that they may, consistent with the
Federal Constitution, be deemed harmless.”) (internal quotations
omitted). We find that reasonable jurists would not disagree.
As the district court explained, O’Brien was convicted of an
exceedingly brutal rape-murder of a teenage girl. The jury heard
a large amount of evidence establishing O’Brien’s long history of
criminality and violence. Other witnesses, in addition to
Officer Knox, testified regarding O’Brien’s gang membership;
Chris Rodriguez and Joe Cantu both testified as to O’Brien’s
affiliation with gangs. Furthermore, testimony presented during
the guilt-innocence phase of trial established that the rape and
murder of Jennifer Ertman occurred following the initiation of a
new member into O’Brien’s gang. A COA may not issue as to this
claim.
D. Would reasonable jurists find it debatable that O’Brien was
not denied due process under Simmons v. South Carolina?
O’Brien argues this court should grant a COA because
reasonable jurists could debate that he was not denied due
process when the trial court refused to allow the jury to hear
that, if sentenced to life imprisonment, he would be ineligible
for parole for 35 years. In Simmons, the Supreme Court held that
29
when “the alternative sentence to death is life without parole .
. . due process plainly requires that [the defendant] be allowed
to bring [parole ineligibility] to the jury’s attention by way of
argument by defense counsel or an instruction from the court.”
Simmons, 512 U.S. at 169. O’Brien concedes that, if sentenced to
life imprisonment, he would have been eligible for parole after
35 years. However, O’Brien argues that Simmons applies to his
case because, at the time of his conviction, Texas was a de facto
life without parole state.14 However, “Simmons applies only to
instances where, as a legal matter, there is no possibility of
parole if the jury decides the appropriate sentence is life in
prison.” Ramdass v. Angelone, 530 U.S. 156, 169 (2000)(emphasis
added). We have repeatedly rejected claims that Simmons extends
to instances other than where, as a legal matter, there is no
possibility of parole. See Green v. Johnson, 160 F.3d 1029, 1045
(5th Cir. 1998) (“[T]he Fifth Circuit has repeatedly refused to
extend the rule in Simmons beyond those situations in which a
capital murder defendant is statutorily ineligible for parole.”).
O’Brien does not fall within the scope of Simmons.15 Reasonable
14
In 2005, the Texas legislature amended the Texas Code of
Criminal Procedure, formally creating life without parole. See
TEX. CRIM. PROC. CODE ANN. art. 37.071(2)(e)(2).
15
The district court also held that O’Brien was barred from
any extension of Simmons under Teague v. Lane, 489 U.S. 288(1989).
30
jurists would not disagree with the district court’s resolution
of this claim. We will not issue a COA.
IV
We find that jurists of reason could not disagree with
district court’s resolution of O’Brien’s constitutional claims.
We DENY a COA on all claims.
31