Flores v. Estelle
Opinion of the Court
Appellants pursue habeas relief from state murder convictions. In view of our earlier opinion
At trial, the defense subpoenaed a Dr. Mason, the toxicologist for Dallas and Dallas County, to produce blood-test records on Villareal and Garza. During Mason’s examination, he stated that he had brought only the Villareal records but could have Garza’s there in minutes with a telephone call. He then testified to a blood-alcohol concentration in the dead man of .207 percent but refused to render an opinion whether this indicated intoxication on grounds he had not been “retained” as an expert. The trial court declined to compel the answer. The state appellate court found this to be error, but without injury to the defendant. The habeas court agreed and found the error harmless without hearing.
On appeal we agreed the refusal was error, but remanded for an evidentiary hearing to permit the state to try to show the error harmless beyond reasonable doubt.
In remanding, we observed that Texas might prevail “. . .by showing that there was sufficient other evidence of the extent of Garza’s intoxication, or by showing that Dr. Mason’s testimony, based on the toxicology of Garza, would have been that his powers of observation were not significantly impaired . . . .” 492 F.2d at 713. These observations were made on the assumption that, since at the former hearing Mason had offered to procure Garza’s blood-toxicology records forthwith, there were some to procure. On remand, however, it was made to appear that there neither were nor ever had been such records, and the trial court so found. Based on this finding, the court concluded that the state judge’s erroneous refusal to require Mason’s expert opinion on Garza’s condition was harmless, since there were no records on which he could have rested it; and that the jury had before it all the evidence there was regarding Garza’s condition. On appeal to us the basic complaint is that the evidence showing there were no records on Garza is hearsay and that, therefore, the sole evidence upon which the court below found the state’s burden of proof discharged was incompetent. Since it undoubtedly is hearsay, a troubling question is presented for decision.
That question is whether the fact finding below that no toxicology records ever existed on Garza is, because based solely on matter technically hearsay, clearly erroneous. In commenc
In reviewing criminal cases, it is particularly important for appellate courts to re-live the whole trial imaginatively and not to extract from episodes in isolation abstract questions of evidence and procedure. To turn a criminal appeal into a quest for error no more promotes the ends of justice than to acquiesce in low standards of criminal prosecution.
Johnson v. United States, 318 U.S. 189, 202, 63 S.Ct. 549, 555, 87 L.Ed. 704, 713 (1943) (concurring opinion).
Careful reading of the state court record and of the proceedings of our district court on remand is instructive. From the former we learn that, though Mason refused to testify as an expert, Dr. Walter Hof man, a physician-forensic pathologist and Dallas County medical examiner, had already testified in such a manner as to make the testimony of Mason merely cumulative of Hofman’s expert opinions. Hofman admitted, for example, that the .207 percent blood-alcohol reading for Villareal was more than twice that required for conviction in Texas of driving while intoxicated.
From the latter, it is apparent that the technically hearsay nature of the demonstration that no records existed about Garza’s condition was very much in the minds of defendants’ counsel: the evidentiary portion of that hearing runs to about twenty pages of transcript, on the sixth page of which counsel remarks that “. . . we are now relying on what might be presented as hearsay evidence to be garnered from the records. . . . ” Yet six pages later, when Mason returned from a telephone call to his secretary to report that no records existed, no objection was made to his testimony. And eight pages further on counsel secured the doctor’s admission that it was on his secretary’s search at his direction that his testimony of non-existence of a record rested. Yet no motion to strike followed. We are unable to avoid the conclusion that we are in the presence of the sort of conscious and intentional failure to save the point which was treated in Johnson v. United States, 318 U.S. 189, 200—201, 63 S.Ct. 549, 555, 87 L.Ed. 704, 713 (1943):
“It is true that we may of our own motion notice errors to which no exception has been taken [b]ut we are not dealing here with inadvertence or oversight. ...
We cannot permit an accused to elect to pursue one course at the trial and then, when that has proved unprofitable, to insist on appeal that the course which he rejected at the trial be reopened to him.”
So in our case: ’ counsel were well aware at the hearing of the technical incompetence of this evidence, indeed they referred to this deficiency and asked questions designed to highlight it, but they never objected to its receipt,
Affirmed.
. Flores v. Estelle, 492 F.2d 711 (5th Cir. 1974).
. Flores v. Estelle, supra.
. E. g., Cherb v. State, 472 S.W.2d 273, 279 (Tex.Cr.App. 1971).
. Nor do we in anywise stand alone. E. g., Diaz v. United States, 223 U.S. 442, 450, 32 S.Ct. 250, 56 L.Ed. 500 (1912); In re Holmes, 379 Pa. 599, 109 A.2d 523 (1954), cert. denied, 348 U.S. 973, 75 S.Ct. 535, 99 L.Ed. 757 (1955), where an adjudication of delinquency of a minor was affirmed solely, as to one charge, on hearsay evidence.
. Glasser v. United States, 315 U.S. 60, 83, 62 S.Ct. 457, 471, 86 L.Ed. 680, 706 (1942).
. Especially in a non-jury proceeding, see United States v. United Shoe Machinery Corp., 89 F.Supp. 349 (D.Mass. 1950), disposed of later without mention of evidentiary question, 110 F.Supp. 295 (D.Mass. 1953), aff'd, 347 U.S. 521, 74 S.Ct. 699, 98 L.Ed. 910 (1954). See also the new (and not yet effective) Federal Rules of Evidence 803(7), 805, 901(7).
Dissenting Opinion
(dissenting):
Respectfully, I dissent.
Our previous decision
On remand the State subpoenaed Dr. Mason to appear with “any medical records that you may have on Juan Garza.” It quickly appeared at the hearing that Mason had been the Director of the Criminal Investigation Laboratory for the City and County of Dallas, and therefore the official custodian of the relevant toxicology records, at the time of Flores’ and Ortega’s state court trials — but that he was no longer so employed and no longer the official custodian of the toxicology records at the time of the hearing. It next appeared that Mason had brought with him no toxicology records on Garza.
Based on Mason’s testimony, the district court concluded that, given the absence of a toxicology record on Garza, Mason would have given no toxicology testimony favorable to Flores and Ortega at their state murder trial.
The sole question on this appeal is whether the district court properly relied upon Mason’s hearsay testimony in concluding that there was no toxicology report on Garza. I would hold that the district court committed plain error in accepting the state’s telephone hearsay proof, and in so proceeding violated the clear mandate of this court and prejudiced the right of petitioners. Our previous decision in this case returned it to the district court for an evidentiary determination of a single and specified point. Our mandate neither contemplated nor envisaged that this critical issue would be determined upon incompetent evidence immune from cross examination, and to rely entirely upon such proof is inconsistent with the rights of the petitioners and the intent of our directions.
The majority properly recognizes the law in this Circuit that accords inadmissible but unobjected-to hearsay whatever probative weight it can carry.
In this case, where the evidence would have been insufficient to sustain appellant’s conviction had the improper testimony been excluded, this Court would be remiss in its duty to see that fundamental justice is done if it failed to note the plain error inherent in the proceedings below.
271 F.2d at 883. See generally Naples v. United States, 1964, 120 U.S.App.D.C. 123, 344 F.2d 508, 513; United States v. Dunn, 6 Cir. 1962, 299 F.2d 548, 554; Pinkard v. United States, 1957, 99 U.S. App.D.C. 394, 240 F.2d 632, 633; see also Minor v. United States, 8 Cir. 1967, 375 F.2d 170, 173, cert. denied, 389 U.S. 882, 88 S.Ct. 131, 19 L.Ed.2d 177.
Apparently, but not explicitly, recognizing the aptness of these authorities, the majority rests its affirmance on the conclusion that the habeas petitioners waived their hearsay objection in the proceeding below. I cannot agree. Tq begin with, waiver must be shown by something more than failure to object; otherwise, we would never remedy plain error. Indeed, the standard derived in Johnson v. United States, 1942, 318 U.S. 189, 63 S.Ct. 549, 87 L.Ed. 704, is much higher. In Johnson the defendant’s counsel raised a certain objection to the prosecutor’s closing argument at trial, and an exception was noted; the court then recessed for the day. The next morning, before the court gave its charge, defense counsel explicitly withdrew all the objections recited the evening before. Counsel then proceeded to renew and reiterate some of the objections previously raised, but failed to renew the exception ultimately addressed to the Supreme Court. Following conviction, and affirmance by the Third Circuit, the Supreme Court granted certio-rari and affirmed. In its opinion the Court refused to address as a question of plain error the issue which counsel had failed to renew, and held instead that the point had been waived, because “we are not dealing here with inadvertence or' oversight. . . . Plainly enough, counsel consciously and intentionally
The record before us reveals that counsel for Ortega began to raise a hearsay objection immediately after the court indicated that the telephonic hearsay would be accepted, but that counsel was cut short by the trial judge, who then ruled explicitly that he would hear the results of Mason’s telephonic communication with his secretary. In these circumstances I can agree that counsel for Flores and Ortega failed, whether through inadvertence or oversight, to perfect their objections with requisite specificity and persistence. But I cannot join in the majority’s view that counsel waived objection, at least as waiver is defined in Johnson and Davis; such a conclusion derives from nothing more than speculation. This is not a case where, as in Johnson, counsel raised the precise specification of error now claimed as plain error, and then abandoned it. Neither counsel for Flores nor counsel for Ortega suggested that Mason’s hearsay testimony be received as proof that no record existed. Nor is this even a case in which we might reasonably judge that counsel silently disregarded the point as a tactical gambit in a complex trial
Moreover, I find this case particularly inappropriate for innovation of the strained approach to waiver which the majority adopts. First, the prejudice to the State from the absence of the petitioner’s proper hearsay objection is extremely slight: the burden of carrying on the proceedings below for what must have been less than ten minutes to receive the State’s hearsay testimony. Second, our duty to protect the solemnity of our previous mandate is relevant here. Our prior opinion called for competent and proper proof focused on a single point, to establish beyond a reasonable doubt whether the constitutional error at petitioner’s trial was harmless beyond a reasonable doubt. Instead, the State offered, and the district court accepted, objectionable hearsay proof. I am unwilling to agree that our power to rectify plain error in the execution of our mandate may be defeated by so gossamer a conception of waiver by the parties our mandate was framed to protect.
One need not be a juridical soothsayer to predict that this evidentiary ventriloquism will have its cacophonous echoes. The rationale for exempting from hearsay objections records regularly maintained
. Flores v. Estelle, 5 Cir. 1974, 492 F.2d 711, 713.
. Our previous decision acknowledged that the State’s burden to establish the harmlessness of Mason’s failure to testify regarding the toxicology of Garza could alternatively be met “by showing that there was sufficient other evidence [in the record before the State court jury] of the extent of Garza’s intoxication.” 492 F.2d at 713. The state did not attempt to make such a demonstration.
. Transcript at 15.
. Id.
. Id.
. Id. at 16.
. Although it is not entirely clear from the record, see id. at 27, it appears that during the short recess Mason’s secretary was able to search the records at the Criminal Investigation Laboratory, and that she related to him facts known to her on the basis of her fresh check of the files, not her recollection of a previous investigation. At the time of the hearing below, Mason still occupied an office at the Laboratory, though he was no longer in charge of it, and evidently he retained a secretary there.
. Neither the State’s brief nor the majority opinion actually argues that the hearsay testimony was properly admissible.
. The plain error review provided in Fed.Crim. R.Pro. 52(b) does not apply in terms to a habe-as corpus proceeding, of course. Rather, Fed. Civ.R.Pro. 81(a)(2) applies the civil rules to habeas corpus proceedings “to the extent that the practice in such proceedings . . . has heretofore conformed- to the practice in civil actions.” Despite the absence of a plain error provision in the Civil Rules, however, we have in the past reversed civil judgments resting on plain error which infected the substance of the case. See, e. g., Clayton v. Burston, 5 Cir. 1974, 493 F.2d 429, 432 n. 4; Sheppard Federal Credit Union v. Palmer, 5 Cir. 1969, 408 F.2d 1369; Chagas v. Berry, 5 Cir. 1966, 369 F.2d 637, 641, cert. denied, 389 U.S. 872, 88 S.Ct. 161, 19 L.Ed.2d 154. And in cases involving plain errors of an evidentiary nature we have articulated our readiness to reverse on that account if justice so required. See, e. g., Colonial Refrigerated Transp., Inc. v. Mitchell, 5 Cir. 1968, 403 F.2d 541, 552; Fort Worth and Denver Ry. v. Harris, 5 Cir. 1956, 230 F.2d 680, 682; Louisiana and Arkansas Ry. v. Moore, 5 Cir. 1956, 229 F.2d 1, 2-3, cert. denied, 351 U.S. 952, 76 S.Ct. 849, 100 L.Ed. 1475; Dowell, Inc. v. Jowers, 5 Cir. 1948, 166 F.2d 214, 221, cert. denied, 334 U.S. 832, 68 S.Ct. 1346, 92 L.Ed. 1759. Moreover, habeas corpus proceedings present a special case for the application of plain error principles. The Supreme Court has acknowledged in Harris v. Nelson, 1969, 394 U.S. 286, 293-94, 89 S.Ct. 1082, 1087, 22 L.Ed.2d 281, 287, that the application of the “civil” label to habeas corpus actions is “gross and inexact”; and at least as to discovery proceedings the Court has eschewed strict adherence to the civil rules in
. Habeas corpus proceedings are civil in nature, but the burden on the state in this case was to show beyond a reasonable doubt the asserted harmlessness of the constitutional error in the state criminal court of denying Flores and Ortega the opportunity to interrogate Mason. Washington v. Texas, 1967, 388 U.S. 14, 87 S.Ct. 1920, 18 L.Ed.2d 1019; Chapman v. California, 1967, 386 U.S. 18, 87 S.Ct. 824, 17 L.Ed.2d 705.
. 1938, 304 U.S. 458, 464, 58 S.Ct. 1019, 1023, 82 L.Ed. 1461, 1466.
. In Davis the admission of the objectionable evidence was statutorily prohibited; once the substantiality of the error in admission is established, however, whether the proscription is or is not statutory would seem inconsequential.
. See, e. g., United States v. Rosenberg, 2 Cir. 1952, 195 F.2d 583, cert. denied, 344 U.S. 838, 73 S.Ct. 20, 97 L.Ed. 652.
. See 28 U.S.C. § 1732; Fed.R.Evid. § 803(6), (7); Vernon’s Tex.Rev.Civ.Stat.Ann. art. 3737e.
Reference
- Full Case Name
- Jerome FLORES, Jr. v. W. J. ESTELLE, Director, Texas Department of Corrections, Respondent-Appellee Augustine Mendoza ORTEGA v. W. J. ESTELLE, Director, Texas Department of Corrections
- Cited By
- 11 cases
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- Published