Hooks v. State
Hooks v. State
Opinion of the Court
¶ 1 Victor Wayne Hooks was convicted of First Degree Murder and manslaughter. He was sentenced to death for the murder and to 500 years imprisonment for manslaughter. This Court affirmed the judgments and sen
¶ 2 The Court remanded this case for a jury determination followed by findings of fact and conclusions of law from the trial court. While the trial court’s findings and conclusions assist this Court in its decision, the jury is the finder of fact in this proceeding. Thus, we will review the alleged errors occurring during the proceeding on remand in the same manner as errors raised on direct appeal from a trial on the merits. This Court reviews the jury’s factual determination in the light most favorable to the State, to determine whether any rational trier of fact could have found that the defendant failed to meet his burden of proving mental retardation by a preponderance of the evidence.
¶ 3 In Proposition I Hooks claims the evidence was sufficient to prove he is mentally retarded. Hooks has the burden of proof in these proceedings. In order to prove he is mentally retarded, Hooks must first demonstrate to the court that he had an IQ test under 70. After meeting this threshold requirement, Hooks must show, by a preponderance of the evidence, that he meets the three prongs of the Murphy test: sub-average intellectual ability, manifestation before age 18, and significant limitations in
¶4 In addition to being a threshold requirement, evidence of IQ testing may be admitted to the jury to prove whether a defendant functions at a significantly sub-average intellectual level. Hooks presented evidence of IQ test results from first grade through the months immediately preceding the mental retardation proceeding. Those test scores ranged from 80 to 53. The first test, given when Hooks was in the first grade, had a full scale IQ of 80.
¶ 5 In 1978, when he was sixteen, Hooks was injured when a tractor-trailer struck his car, and his father died in an unrelated accident six months later. Hooks’s mother applied for Social Security disability on his behalf as a result of the accident, and also sued the trucking company, claiming Hooks’s mental ability had been damaged in the accident. In 1978, after the accident, Dr. Tuoti tested Hooks with an IQ of 61, but suggested that Hooks did not cooperate during testing and his intellectual level might have been higher. In 1979, Dr. Phillips tested Hooks in connection with the lawsuit and obtained an IQ of 57; he noted that Hooks was moderately cooperative but gave up quickly on difficult tasks. Dr. John Call examined Hooks in 1980, in connection with the Social Security Claim. He determined that Hooks was mentally retarded and had catatonic schizophrenia, but did not produce an IQ score because he was unable to independently test Hooks.
¶ 6 Hooks has had three IQ tests since his trial and direct appeal in this capital case. In 1994, Hooks was evaluated by Dr. Gelbort who gave Hooks a neuropsychological evaluation which included an IQ score of 72. Dr. Gelbort was not specifically asked to examine Hooks for mental retardation and did not administer any adaptive functioning tests. While Dr. Gelbort did not, at that time, diagnose Hooks as mentally retarded, during testimony at the mental retardation proceeding he stated that, taking into account his testing and subsequent tests, he would now make that diagnosis. In 2002 Dr. Cowardin gave Hooks adaptive functioning tests and an IQ test with a score of 76, and diagnosed him with mild mental retardation. Hooks cooperated with both Dr. Gelbort and Dr. Cowardin during the testing process. In 2004 Dr. Hall evaluated Hooks and obtained an IQ of 53. She noted Hooks was not cooperative. The experts agreed this score probably did not reflect Hooks’s intellectual ability.
¶ 7 The experts agreed this range of scores put Hooks in a “gray area”. The tests of 70 and below all reflected some degree of lack of cooperation on Hooks’s part, from variable attention span to refusal to respond. Two of them were obtained after Hooks suffered the trauma of an accident and his father’s death, which could have caused him to test lower than his actual intellectual level. The expert witnesses agreed that the most reliable scores were those obtained by Dr. Gelbort and Dr. Cowardin, with results of 72 and 76. Neither of these scores meets the “seventy or below” requirement in Murphy,
¶8 Hooks met the second Murphy requirement. Whether he was considered mentally retarded or “slow”, everyone agreed this condition had manifested itself before he turned eighteen. In fact, Hooks had been diagnosed with mild mental retardation during a stay at Eastern State Hospital, and was placed in educable mentally handicapped classes by fifth grade. However, standing alone, this is not enough to conclude that Hooks is mentally retarded for capital sentencing purposes.
¶ 9 In large part Hooks relied on the same evidence to prove both the Murphy requirements of significantly subaverage intellectual level and significant deficits in adaptive functioning.
¶ 10 Hooks’s slow intelligence manifested itself before age eighteen. His IQ tests certainly suggest he has borderline intelligence but do not clearly meet the Murphy definition for mental retardation. In any case, all the definitional requirements must be met, and evidence countered Hooks’s claims of significant adaptive functioning deficits. Taken in the light most favorable to the prevailing party, a rational trier of fact could have found that Hooks provided insufficient evidence to show he was mentally retarded. Proposition I is denied.
¶ 12 In Proposition III Hooks claims the trial court erred in refusing his request to submit non-unanimous verdict forms to the jury. When setting forth the procedure for capital mental retardation jury determination proceedings in Lambert v. State, we stated, “If there is no unanimous verdict either finding or rejecting mental retardation, the trial court will resentence Lambert to life imprisonment without parole.”
¶ 13 Hooks claims in Proposition IV that the trial court erred in limiting his cross-examination of State’s witness Dinh. Admission of evidence is within the trial court’s discretion, and will be disturbed only on a showing of prejudice.
¶ 14 Dinh testified that she lived with Hooks for most of her teenage years, spending a few months in foster care when she had a baby. Hooks wanted to cross-examine on this issue to show that Dinh had previously stated she lived with Hooks for only a few months, and that she was in foster care for several years. The trial court allowed counsel to ask Dinh how long she had been in foster care but refused to allow counsel to impeach Dinh with unsworn hearsay statements. The trial court noted that, however long Dinh had actually lived with Hooks, her testimony had been limited to her observations of his mental abilities and there was no dispute that she did have the opportunity to observe Hooks for some time. This decision was not error. Hooks also wanted to impeach Dinh with statements contradicting her prior testimony regarding other women Hooks knew at the time. While counsel was allowed to question Dinh about her previous statements, the trial court refused to allow counsel to impeach Dinh with prior testimony which involved people and issues other than Hooks and factors bearing on mental retardation. The court found that any discrepancies in the prior testimony might bear on Dinh’s credibility, but the entire line of questioning was wholly irrelevant to the issue of mental retardation. This decision was not an abuse of discretion. Dinh’s evidence that Hooks ran a prostitution ring was limited to the ways in which this demonstrated his mental abilities, and the trial court limited cross-examination to that issue as well. While Dinh may not have accurately testified about the length of time she spent with Hooks, Hooks offers no evidence to suggest that her testimony regarding her observations during the time she did spend with him were inaccurate.
¶ 15 Hooks claims in Proposition V that the trial court erred in refusing to admit evidence that Dr. Philip Murphy had been professionally disciplined. Dr. Gelbort testified that records showed Dr. Murphy had tested Hooks in 1988, with an IQ score of 80. Apparently to cast doubt on the validity of that score, counsel wanted to question Dr. Gelbort regarding his knowledge that Dr. Murphy had subsequently been professionally disciplined. Counsel attempted to do this using a document from the Oklahoma Board of Psychologists which counsel had given Dr. Gelbort the night before, but which had not been provided to opposing counsel. The trial court sustained the prosecutor’s objection, holding that the failure to provide the document was a discovery violation. We agree with the trial court’s ruling that this was not impeachment evidence. The trial court found that, as counsel had talked with Dr. Gelbort about Dr. Murphy and his reputation in the medical community, and using the document to discredit Dr. Murphy, counsel should have provided the document in discovery.
¶ 16 In Proposition VI Hooks claims the trial court erred in allowing the State to
¶ 17 As we indicated in Lambert, we are wary of attempts to introduce evidence of crimes for which a petitioner has been convicted.
¶ 18 The trial court was equally vigilant regarding the transcript of Hooks’s statements to Officer Mullenix before his arrest. The admitted portions of this interview do not contain any facts of the crime itself. In fact, there is no reference to the crime; these statements cover Hooks’s thoughts and actions over a period of time before the crime was committed. Hooks describes the errands he had just run, including fixing a muffler, getting a security deposit back from a former landlady, and going to the store. He talks about his conversation with his wife about money, asking for her help in paying bills and retrieving things from the pawnshop. Hooks explains he pawned things to get diapers, groceries, and “material things” like a television. He describes his efforts to work, his relations with his wife and in-laws and his own family, and his feelings as he expressed them to his wife. All this goes to Hooks’s ability to understand and process information, to communicate, to function in society, and to care for himself and others. These are factors in the Murphy definition of mental retardation.
¶ 19 Witnesses testified that several letters were in Hooks’s handwriting. Their content, including signatures and context, confirmed that Hooks wrote them to his daughter from prison. They were admitted over objection. Hooks claims these letters are not relevant to the issue of mental retardation because there was no evidence he wrote them without help, and no indication of how long he took to write them.
¶20 In Proposition VII Hooks complains that the trial court erred in removing a potential juror for cause. The Murphy definition of mental retardation for capital punishment purposes is substantially similar to the accepted clinical definitions of mental retardation. However, it differs slightly in requiring proof of significant limitations in adaptive functioning in nine, rather than ten, areas (omitting the category of “leisure”). Juror Paddock had professional experience with mental retardation. She was asked whether, if the state and clinical definitions differed, she could follow the laws and apply the definition given by the trial court. She replied that she could not if the differences were significant, and was excused for cause over Hooks’s objection. The decision to excuse a juror for cause is within the trial court’s discretion.
¶ 21 The jury determined that Hooks failed to meet his burden to prove mental retardation by a preponderance of the evidence. Upon reviewing the evidence, we conclude that a rational trier of fact could have reached this determination. The trial court concluded that the jury’s factual determination was not imposed under the influence of passion, prejudice or any other arbitrary factor. We agree.
DECISION
Hooks’s application for post-conviction relief is DENIED and his sentence of death is AFFIRMED. Pursuant to Rule 3.15, Rules of the Oklahoma Court of Criminal Appeals, Title 22, Ch. 18, App.2005, the MANDATE is ORDERED issued upon the delivery and filing of this decision.
. Hooks v. State, 1993 OK CR 41, 862 P.2d 1273, cert. denied, 511 U.S. 1100, 114 S.Ct. 1870, 128 L.Ed.2d 490 (1994).
. Hooks v. State, 1995 OK CR 56, 902 P.2d 1120, cert. denied, 517 U.S. 1145, 116 S.Ct. 1440, 134 L.Ed.2d 561 (1996).
. The Tenth Circuit remanded one issue (regarding the applicability of Oklahoma’s procedural bar) for a hearing in the United States District Court for the Western District of Oklahoma. Hooks v. Ward, 184 F.3d 1206 (10th Cir. 1999).
. Hooks v. State, PCD-2002-980, Order Remanding for Jury Determination of Mental Retardation (Okl.Cr. December 9, 2003) (not for publication).
. As both briefs were due simultaneously, the State did not have the opportunity to respond specifically to Hooks’s propositions. Rather, the State offers argument and authorities supporting the trial court’s findings and conclusions.
. Myers v. State, 2005 OK CR 22, ¶ 6, 7, 130 P.3d 262.
. The proceedings followed our instructions in Lambert v. State, 2003 OK CR 11, 71 P.3d 30, 31: "The jury should not hear evidence of the crimes for which Lambert was convicted, unless particular facts of the case are relevant to the issue of mental retardation. Any such evidence should be narrowly confined to that issue. The jury should not hear evidence in aggravation or mitigation of the murders for which Lambert was convicted, or any victim impact evidence.”
. Murphy v. State, 2002 OK CR 32, 54 P.3d 556, 567-68.
. Information on this test was very limited and the expert witnesses all agreed it should not be accorded too much weight.
. Dr. Call relied in part on Dr. Tuoti's testing, in diagnosing mental retardation. He testified that Hooks was mute during the exam and he may have been experiencing a psychotic episode. Dr. Call did find that Hooks had adaptive functioning deficits in at least two areas. He estimated Hooks's social functioning at a 2.7 years age level.
. Murphy, 54 P.3d at 568.
. The evidence presented goes to several subav-erage intellectual level categories, including (a) ability to understand and process information, (b) communication, (c) learning from experience or mistakes, and (d) ability to engage in logical reasoning.
. Findings of Fact and Conclusions of Law at 4, ¶ 3.
. Murphy, 54 P.3d at 570, Appendix A. Recognizing that the language in the Murphy opinion differs slightly from the language in the adopted instruction, the trial court gave an additional insU'uction: "Whether mental retardation before the age of eighteen was present and known is a question of fact to be decided by you the jury. To establish that the first signs of mental retardation appeared and were recognized before the defendant turned eighteen, lay opinion and poor school records may be considered.” Hooks did not object to this instruction.
. We note that we rejected this issue on its merits in Myers, 2005 OK CR 22, ¶ 14, 130 P.3d 262.
. Lambert, 71 P.3d at 32. We noted that the jury's finding does not constitute a special verdict, as it does not determine a petitioner's guilt or innocence. Lambert, 71 P.3d at 31, n. 14. This has no bearing on whether jurors should receive unanimous verdict forms.
. Myers, 2005 OK CR 22, ¶ 16, 130 P.3d 262.
. Douglas v. State, 1997 OK CR 79, 951 P.2d 651, 665, cert. denied, 525 U.S. 884, 119 S.Ct. 195, 142 L.Ed.2d 159 (1998).
. Parker v. State, 1996 OK CR 19, 917 P.2d 980, 984, cert. denied, 519 U.S. 1096, 117 S.Ct. 777, 136 L.Ed.2d 721 (1997); 12 O.S.2001, § 2611(C).
. Charm v. State, 1996 OK CR 40, 924 P.2d 754, 769, cert. denied, 520 U.S. 1200, 117 S.Ct. 1560, 137 L.Ed.2d 707 (1997).
. Dr. Hall had relied on Dinh's statements in the presentence report for some of her findings. In those statements Dinh claimed she had lived with her husband during the time period of this crime. Subsequent investigation indicates that Dinh’s husband had filed for divorce, claiming abandonment, and that Dinh filed a protective order against her husband during that time. Counsel did not attempt to question Dinh about these discrepancies during the mental retardation proceedings, but suggests on appeal that this information should have been used to impeach Dinh's credibility. We find that this information resembles the lines of questioning discussed above.
. 22 O.S.2001, § 2002(B).
. Dodd v. State, 2000 OK CR 2, 993 P.2d 778, 782-83.
. Lambert, 71 P.3d at 31.
. Id. (unless particular facts of the case are relevant to the issue of mental retardation).
. 12 O.S.Supp.2003, §§ 2401, 2403.
. Murphy, 54 P.3d at 567-68.
.Subsequent investigation revealed an inmate who states he has helped Hooks write letters. Evidence also suggests that the money-making scheme Hooks refers to in one letter may not have happened. Had this information been available at trial, it would have gone to credibility of the evidence rather than admissibility.
. 12 O.S.Supp.2003, §§ 2401, 2403.
. Hanson v. State, 2003 OK CR 12, 72 P.3d 40, 48.
. Wainwright v. Witt, 469 U.S. 412, 424, 105 S.Ct. 844, 852, 83 L.Ed.2d 841 (1985).
Concurring Opinion
concurs in results.
¶ 1 I concur in the results reached by the Court, but write separately to address certain points. Initially, I find this Court has properly applied the standard of review set forth in Myers v. State, 2005 OK CR 22, 130 P.3d 262, for use on appeal when a defendant challenges the sufficiency of the evidence following a jury finding that he or she is not mentally retarded.
¶ 2 Additionally, I find the broad range of IQ test results spanning from 53 to 80 made a ipso facto showing Petitioner is not mentally retarded. A truly mentally retarded individual will not, indeed cannot, produce test results over such a broad spectrum. That is, a person with an IQ in the low fifties is incapable of suddenly scoring in the low eighties. While Petitioner apparently had some learning difficulties as he progressed through school, which may have been compounded by the automobile accident when he was 16 years old, mental retardation does not appear to be the cause of those problems.
¶ 3 I also agree that Petitioner’s ability to carry on a criminal enterprise, i.e. a prostitution ring, was relevant evidence to the issue of mental retardation as it was indicative of his adaptive functioning and level of intelligence. There is little difference in relevance between this type evidence and a person’s past work experience. Both demonstrate one’s ability to plan, manage, execute plans, follow through with orders, etc. Just because a person has chosen a past work history of criminal conduct does not mean the evidence is inadmissible. If it is relevant to show a person’s intellectual ability and adaptive functioning pursuant to the Murphy criteria, it should be admissible.
¶ 4 But the Court wrongly attempts to limit the type of other crimes evidence that may be presented, stating “individual acts of violent crime, such as armed robbery or rape, require little or no abstract thought or complex planning” and therefore are not relevant to the issue of mental retardation. Whether or not prior crimes required abstract thought or complex planning depends on the facts of that particular crime, not the type of crime committed. Evidence of a defendant’s prior criminal history (including adjudicated and unadjudicated offenses) should not be categorically excluded. Certainly, the evidence must be scrutinized to ensure it is not presented merely to create prejudice or inflame the jury. However, as in this case, it is possible and appropriate to present that evidence in such a manner as to be a valid tool in assisting the fact finder in evaluating the true abilities or limitations of the defendant.
¶ 5 The same is true regarding the facts of the homicide for which the defendant received the death penalty. If the manner in which the crime was planned, managed, and carried out is such that those facts address a defendant’s level of intelligence or adaptive functioning, the evidence should be admitted, to the extent it survives a 12 O.S.2001, § 2403 analysis, to assist the fact finder in reaching its decision under the law and the evidence of the case. This Court cannot be a prophet as to what may be relevant in a particular future case, and thus, should not attempt to act like one with such broad, non-fact based arbitrary pronouncements. As in this case, we must evaluate the evidence in all future cases based on the context and relevance to the issues presented.
Reference
- Full Case Name
- Victor Wayne HOOKS, Appellant v. STATE of Oklahoma, Appellee
- Cited By
- 8 cases
- Status
- Published