REVISED, September 8, 1998
IN THE UNITED STATES COURT OF APPEALS
FOR THE FIFTH CIRCUIT
_____________________
No. 96-10178
_____________________
UNITED STATES OF AMERICA,
Plaintiff-Appellee,
v.
ORLANDO CORDIA HALL, also known as Lan,
Defendant-Appellant.
_________________________________________________________________
Appeal from the United States District Court
for the Northern District of Texas
_________________________________________________________________
August 21, 1998
Before KING, SMITH, and STEWART, Circuit Judges.
KING, Circuit Judge:
Defendant-Appellant Orlando Cordia Hall challenges his
conviction and sentence for kidnapping resulting in death,
conspiring to kidnap, traveling in interstate commerce to promote
possession of marijuana with intent to distribute, and using and
carrying a firearm during a crime of violence. For the reasons
set forth below, we affirm.
I. FACTUAL AND PROCEDURAL BACKGROUND
Orlando Cordia Hall, along with Bruce Webster and Marvin
Holloway, ran a marijuana trafficking enterprise in Pine Bluff,
Arkansas. They purchased marijuana in varying amounts in the
1
Dallas/Fort Worth area with the assistance of Steven Beckley, who
lived in Irving, Texas. The marijuana was transported, typically
by Beckley, to Arkansas and stored in Holloway’s house.
On September 21, 1994, Holloway drove Hall from Pine Bluff
to the airport in Little Rock, Arkansas, and Hall took a flight
to Dallas, Texas to engage in a drug transaction. Beckley and
Hall’s brother, Demetrius Hall (D. Hall), picked Hall up at the
airport. Later that day, Hall and Beckley met two local drug
dealers, Stanfield Vitalis and Neil Rene (N. Rene), at a car wash
and gave them $4700 for the purchase of marijuana. Later that
day, Beckley and D. Hall returned to the car wash to pick up the
marijuana, but Vitalis and N. Rene never appeared. Later, when
Hall got in touch with Vitalis and N. Rene by telephone, they
claimed that they had been robbed of the $4700. Using the
telephone number that Beckley had used to contact Vitalis and N.
Rene, Hall procured an address at the Polo Run Apartments in
Arlington, Texas from a friend who worked for the telephone
company. Hall, D. Hall, and Beckley began conducting
surveillance at the address and saw Vitalis and N. Rene exit an
apartment and approach the same car that they had driven to the
car wash, which they claimed was stolen from them along with
Hall’s $4700. Hall therefore deduced that Vitalis and N. Rene
had lied to him about being robbed.
On September 24, 1994, Hall contacted Holloway and had him
drive Webster to the Little Rock Airport. From there, Webster
flew to Dallas. That evening, Hall, D. Hall, Beckley, and
2
Webster returned to the Polo Run Apartments in a Cadillac
Eldorado owned by Cassandra Ross, Hall’s sister. Hall and
Webster were each armed with handguns, D. Hall carried a small
souvenir baseball bat, and Beckley had duct tape and a jug of
gasoline. The four men approached the apartment that they had
previously seen Vitalis and N. Rene leave.
Webster and D. Hall went to the front door of the apartment
and knocked. The occupant of the apartment, Lisa Rene, N. Rene’s
sixteen-year-old sister, refused to let them in and called her
sister and 911. After Webster unsuccessfully attempted to kick
in the door, he and D. Hall went around to a sliding glass door
on the patio and saw that Lisa Rene was on the telephone.
D. Hall shattered the glass door with his baseball bat, Webster
entered the apartment, tackled Lisa Rene, and dragged her to the
car. Hall and Beckley had returned to the car when they heard
the sound of breaking glass. Webster forced Lisa Rene onto the
floorboard of the car, and the group drove to Ross’s apartment in
Irving, Texas. Once there, they exited the Cadillac and forced
Lisa Rene into the backseat of Beckley’s car. Hall got in the
backseat as well. Beckley got in the driver’s seat, and Webster
got in the front passenger seat. The group then drove off again.
During the drive, Hall raped Lisa Rene and forced her to perform
oral sex on him. The group later returned to Ross’s apartment.
From there, Beckley, D. Hall, and Webster drove Lisa Rene to
Pine Bluff. Hall remained in Irving and flew back to Arkansas
the next day. Once Beckley, D. Hall, and Webster reached Pine
3
Bluff, they obtained money from Holloway to get a motel room. In
the motel room, they tied Lisa Rene to a chair and raped her
repeatedly.
Hall and Holloway arrived at the motel room on Sunday
morning, September 25, 1994. They went into the bathroom with
Lisa Rene for approximately fifteen to twenty minutes. When Hall
and Holloway came out of the bathroom, Hall told Beckley, “She
know too much.” Hall, Holloway, and Webster then left the motel.
Later that afternoon, Hall and Webster went to Byrd Lake
Park and dug a grave. That same evening, Hall, Webster, and
Beckley took Lisa Rene to Byrd Lake Park, but could not find the
grave site in the dark. They then returned to the motel room.
In the early morning of Monday, September 26, 1994, Beckley and
D. Hall moved Lisa Rene to another motel because they believed
that the security guard at the first motel was growing
suspicious.
Later the same morning, Webster, Hall, and Beckley again
drove Lisa Rene to Byrd Lake Park. Lisa Rene’s eyes were covered
by a mask. Hall and Webster led the way to the grave site, with
Beckley guiding Lisa Rene by the shoulders. At the grave site,
Hall turned Lisa Rene’s back toward the grave and placed a sheet
over her head. He then hit her in the head with a shovel. Lisa
Rene screamed and started running. Beckley grabbed her, and they
both fell down. Beckley then hit Lisa Rene in the head twice
with the shovel and handed it to Hall. Webster and Hall then
began taking turns hitting her with the shovel. Webster then
4
gagged Lisa Rene and dragged her into the grave. He covered her
with gasoline and shoveled dirt back into the grave. Hall,
Beckley, and Webster then returned to the motel and picked up
D. Hall.
On September 29, 1994, an arrest warrant issued out of the
City of Arlington for Hall, D. Hall, and Beckley for Lisa Rene’s
kidnapping. D. Hall, Beckley, and Webster were subsequently
arrested. On September 30, 1994, Hall surrendered to Pine Bluff
authorities in the presence of his attorney. On the advice of
counsel, he did not give a statement at the time of his arrest,
but indicated that he would talk with law enforcement agents
after he was transported to Texas. On October 5, 1994, following
his transfer to the Arlington County jail, Hall gave a written
statement to FBI and Arlington County officials in which he
substantially implicated himself in the kidnapping and murder.
On October 26, 1994, the United States District Court for
the Northern District of Texas issued a criminal complaint
charging Hall, D. Hall, Webster, and Beckley with kidnapping in
violation of 18 U.S.C. § 1201(a)(1). On November 4, 1994, a six-
count superseding indictment was returned, charging Hall,
D. Hall, Webster, Beckley, and Holloway with kidnapping in which
a death occurred in violation of 18 U.S.C. § 1201(a)(1) (count
1), conspiracy to commit kidnapping in violation of 18 U.S.C.
§ 1201(c) (count 2), traveling in interstate commerce with intent
to promote the possession of marijuana with intent to distribute
in violation of 18 U.S.C. § 1952 (count 3), using a telephone to
5
promote the unlawful activity of extortion in violation of 18
U.S.C. § 1952 (count 4), traveling in interstate commerce with
intent to promote extortion in violation of 18 U.S.C. § 1952
(count 5), and using and carrying a firearm during a crime of
violence in violation of 18 U.S.C. § 924(c) (count 6). On
February 23, 1995, the government filed its notice of intent to
seek the death penalty against Hall pursuant to the Federal Death
Penalty Act of 1994 (FDPA), 18 U.S.C. §§ 3591-3598. On April 6,
1995, the district court granted Hall’s motion to sever his trial
from that of his codefendants, and trial commenced on October 2,
1995.
The jury returned a verdict of guilty as to counts 1, 2, 3,
and 6. After the penalty phase of the trial, the jury returned a
recommendation that a sentence of death be imposed. The district
court sentenced Hall to death on count 1, life imprisonment on
count 2, sixty months imprisonment on count 3 to run concurrently
with the life sentence imposed on count 2, and sixty months
imprisonment on count 6 to run consecutively to the sentences
imposed on counts 2 and 3. Hall filed a timely notice of appeal.
II. DISCUSSION
Hall appeals his judgment of conviction and sentence on the
following grounds:
1. The district court’s failure to allow Hall to
allocute before the jury violated his right to due
process, violated Rule 32 of the Federal Rules of
Civil Procedure, and was an abuse of discretion
6
under the evidentiary standards governing the
penalty phase of a capital trial under the FDPA.
2. The district court violated Hall’s Fifth and
Eighth Amendment rights by conditioning the
admission of psychiatric testimony in mitigation
of punishment upon Hall’s submission to a
government psychiatric examination prior to
conviction without restricting the government’s
access to the results of the examination until
after the guilt phase of trial.
3. The district court abused its discretion by
admitting certain materials and testimony into
evidence because they were unfairly prejudicial.
4. The admission of evidence regarding unadjudicated
offenses during the penalty phase and a lack of a
jury instruction requiring the jury to apply some
burden of proof to this evidence rendered the
death sentence unreliable.
5. The admission of nontestimonial victim impact
statements during the penalty phase violated
Hall’s Sixth Amendment right of confrontation, due
process, and the FDPA’s evidentiary standards.
6. The district court’s rejection of defense
challenges for cause to impaired and biased
venirepersons denied Hall due process, an
impartial jury, and his statutory right to free
7
exercise of peremptory challenges.
7. The jury’s failure to consider the circumstances
surrounding Hall’s upbringing as a mitigating
factor was clearly erroneous and requires vacation
of his death sentence.
8. Several of the aggravating factors submitted to
the jury were unconstitutionally vague, overbroad,
and duplicative.
9. The district court’s denial of Hall’s motions for
continuance denied Hall his rights to due process
and effective assistance of counsel under the
Fifth and Sixth Amendments.
10. The district court erred in denying Hall’s request
to poll the jury regarding a news report and
debate that aired during penalty-phase
deliberations.
11. The district court erred in denying Hall’s motion
to suppress his oral and written statements as
violative of his Fifth and Sixth Amendment rights
as well as applicable federal statutes and rules.
We address each of these issues in turn.
A. Allocution
Hall first contends that the district court’s denial of his
request to make an unsworn statement of remorse to the jury
during the penalty phase of his trial constitutes reversible
8
error.1 In this regard, Hall advances a number of arguments.
First, he contends that Rule 32(c)(3)(C) of the Federal Rules of
Criminal Procedure afforded him a right to allocute before the
jury. Second, he claims that, even if Rule 32(c)(3)(C) does not
specifically create a right to allocute before the jury, such a
right was recognized at common law, and the FDPA does not clearly
abrogate this right. Third, he contends that he possesses a
constitutional right to allocute. Fourth, he claims that, even
if no constitutional right to allocute exists per se, the
district court’s refusal to allow him to allocute in this case
nonetheless violated his due process-based right to procedural
parity because the district court unfairly allowed the government
to present victim impact statements that were not subject to
cross-examination. Fifth, he argues that the district court’s
refusal to allow him to make an unsworn statement of remorse
before the jury constituted an abuse of discretion under the
FDPA’s evidentiary standards. We address each of these arguments
in turn.
1
Hall’s proffered statement in allocution was as follows:
I want to apologize to my family and ask them to
forgive me, and I hope somehow they can forgive me. I
want to apologize to Lisa Rene’s family and ask them to
forgive me, even though I know that there is no
possible way they can forgive me and I understand that.
I want to ask God to forgive me, however, I question in
my own mind whether even God can forgive me.
9
1. Statutory Right of Allocution
Hall contends that Rule 32(c)(3)(C) of the Federal Rules of
Criminal Procedure afforded him the right to make an unsworn
statement of remorse before the jury. Rule 32(c)(3)(C) provides
that, “[b]efore imposing sentence, the court must . . . address
the defendant personally and determine whether the defendant
wishes to make a statement and to present any information in
mitigation of the sentence.” FED. R. CRIM. P. 32(c)(3)(C).
In support of his contention that Rule 32(c)(3)(C) creates a
right to make an unsworn statement before the jury in capital
cases, Hall relies upon the following language from 18 U.S.C.
§ 3593(c), which establishes the procedures for sentencing
hearings in capital cases:
Notwithstanding rule 32(c) of the Federal Rules of
Criminal Procedure, when a defendant is found guilty or
pleads guilty to an offense under section 3591, no
presentence report shall be prepared. At the
sentencing hearing, information may be presented as to
any matter relevant to the sentence . . . .
18 U.S.C. § 3593(c). Hall argues that, because the statute
expressly states that the portion of Rule 32 requiring the
preparation of a presentence report is inapplicable in capital
cases and makes no similar reference to any other portion of Rule
32, the doctrine of expressio unius exclusio alterius indicates
that Congress did not intend for the FDPA to displace other
provisions of Rule 32, including the right to allocute created by
subsection (c)(3)(C).2
2
In order to avoid confusion, it should be noted that the
FDPA was enacted in an omnibus crime control act that also
10
We need not decide whether § 3593 was intended to displace
Rule 32(c)(3)(C) because we conclude that, regardless of whether
it was required to do so, the district court complied with the
plain language of Rule 32(c)(3)(C) by inquiring of Hall whether
he wished to make a statement before it announced his sentence.
The text of the rule provides no basis for concluding that the
defendant has a right to make a statement to the jury prior to
the jury’s arriving at its sentencing recommendation. Compliance
with the strict language of the rule is achieved when, as was the
case here, the district court allows the defendant to make a
statement to the court after the jury returns its recommendation
but before the district court imposes sentence.3
Hall responds that this interpretation of Rule 32(c)(3)(C)
would render allocution an empty gesture because the district
court has no discretion to disregard the jury’s recommendation.
However, other circumstances exist in which allocution is equally
devoid of practical impact. This is the case when the statutory
included another act which amended Rule 32. See Violent Crime
Control and Law Enforcement Act of 1994, Pub. L. No. 103-322,
tits. VI, XXIII, secs. 60002(a), 230101(b), 108 Stat. 1796, 1959-
68, 2078. The Rule 32 amendment moved allocution from subsection
(a) to subsection (c) of Rule 32 and moved the requirement of
preparing a presentence report from subsection (c) to subsection
(b). It therefore appears that the phrase “[n]otwithstanding
rule 32(c) of the Federal Rules of Criminal Procedure” in
§ 3593(c) refers to subsection (c) of the prior version of Rule
32 and subsection (b) of the current version of the rule.
3
While the record does not contain a transcript of the
hearing at which the district court imposed sentence, the
government represented at oral argument that, at this hearing,
the district court asked Hall if he wished to make a statement
before the imposition of sentence. In any event, even if this
did not occur, Hall does not complain about it on appeal.
11
mandatory minimum sentence for a particular offense exceeds the
maximum sentence under the otherwise applicable U.S. Sentencing
Guidelines range. In that circumstance, “the court is required
to impose the statutory minimum sentence.” Santana v. United
States, 98 F.3d 752, 756 (3d Cir. 1996); see also U.S. SENTENCING
GUIDELINES MANUAL § 5G1.1(b) (“Where a statutorily required minimum
sentence is greater than the maximum of the applicable guideline
range, the statutory minimum sentence shall be the guideline
sentence.”).4
Furthermore, § 3593(c) counsels against construing Rule
32(c)(3)(C) as establishing an unconditional right for the
defendant to make an unsworn statement of remorse to the jury.
Section 3593(c) sets forth with great specificity the type of
information that may be submitted to the jury during the penalty
phase of a capital trial and the circumstances under which it may
be presented.5 In this regard, the statute provides as follows:
At the sentencing hearing, information may be presented
as to any matter relevant to the sentence, including
any mitigating or aggravating factor permitted or
required to be considered under section 3592.
Information presented may include the trial transcript
and exhibits if the hearing is held before a jury or
judge not present during the trial, or at the trial
judge’s discretion. The defendant may present any
4
This is true unless the government files a motion
authorizing the court “to impose a sentence below a level
established by statute as minimum sentence so as to reflect a
defendant’s substantial assistance in the investigation or
prosecution of another person who has committed an offense.” 18
U.S.C. § 3553(e).
5
Hall concedes that his “proffered allocution constituted
information relevant to the mitigating factors of remorse and
acceptance of responsibility.”
12
information relevant to a mitigating factor. The
government may present any information relevant to an
aggravating factor for which notice has been provided .
. . . Information is admissible regardless of its
admissibility under the rules governing admission of
evidence at criminal trials except that information may
be excluded if its probative value is outweighed by the
danger of creating unfair prejudice, confusing the
issues, or misleading the jury.
18 U.S.C. § 3593(c) (emphasis added). Construing Rule
32(c)(3)(C) as granting a defendant the unconditional right to
make an unsworn statement of remorse to the jury would contravene
§ 3593’s mandate that the district court exercise discretion in
determining whether to exclude any information offered by the
parties on the basis that its probative value “is outweighed by
the danger of creating unfair prejudice, confusing the issues, or
misleading the jury.” Id. Section 3593(c) does not contemplate
exempting any type of information offered at a sentencing hearing
from the district court’s gatekeeping function, and we decline to
interpret Rule 32(c)(3)(C) to have this effect when the plain
language of the rule does not dictate such an interpretation.
Furthermore, both Hall and the government concede that
§ 3593 authorized Hall to make a sworn statement of remorse that
would have been subject to cross-examination.6 Construing Rule
32(c)(3)(C) as creating a per se right to make an unsworn
statement of remorse to the jury that is not subject to cross-
6
As indicated in Part II.A.5, infra, in connection with
Hall’s argument that the district court abused its discretion in
declining to allow him to make an unsworn statement to the jury,
we express no opinion as to whether the district court could
properly exercise its discretion to allow a defendant to make
such a statement.
13
examination would in no sense increase the accuracy and
reliability of the capital-sentencing process. When the district
court receives a statement in allocution, it recognizes the legal
effect of the fact that the statements are not sworn and the
attendant potential effect of this fact upon the credibility of
the defendant’s statements; the same cannot be said for a jury.
Cf. State v. Williams, 688 So. 2d 1277, 1284 (La. Ct. App. 1997)
(“The right of allocution has normally been reserved to a
defendant addressing the sentencing judge.”); Commonwealth v.
Abu-Jamal, 555 A.2d 846, 858 (Pa. 1989) (“We find no reason in
law or logic why the defendant’s presentation of evidence in
support of his claim that life imprisonment is the appropriate
sentence should be shielded from testing for truthfulness and
reliability that is accomplished by cross-examination.”). We
therefore conclude that the district court did not violate Rule
32(c)(3)(C) by denying Hall’s request to make an unsworn
statement of remorse before the jury.
2. Common-Law Right of Allocution
Hall next contends that, even if Rule 32(c)(3)(C) does not
expressly provide him with a per se right to make an unsworn
statement of remorse before the jury, he possesses a common-law
right to do so. He further argues that we should not construe
§ 3593 as abrogating this common-law right because “[i]t is a
well-established principle of statutory construction that ‘[t]he
common law . . . ought not to be deemed to be repealed, unless
the language of a statute be clear and explicit for this
14
purpose.’” Norfolk Redev. & Housing Auth. v. Chesapeake &
Potomac Tel. Co., 464 U.S. 30, 35 (1983) (quoting Fairfax’s
Devisee v. Hunter’s Lessee, 11 U.S. (7 Cranch) 603, 623 (1813)
(second set of brackets and ellipses in original)). We conclude,
however, that no such common-law right exists.
At common law, a felony defendant had a right to have the
court formally inquire “‘what he had to say why judgment should
not be given against him.’” Paul W. Barrett, Allocution, 9 MO.
L. REV. 121 (1944) (quoting Rex & Regina v. Geary, 2 Salk. 630
(K.B. 1689-1712); see also State v. Green, 443 S.E.2d 14, 42
(N.C. 1994). The right of allocution developed in a time in
which the common-law judge had no discretion as to the punishment
for felonies; as such, the point of the question to the defendant
was not to elicit mitigating information. See Barrett, supra, at
120-21. Rather, the question was designed to afford the
defendant a formal opportunity to present certain strictly-
defined common-law grounds requiring the avoidance or delay of
sentencing, including a claim that the defendant was not the
person convicted, had the benefit of clergy, was insane, or was
pregnant. See id.; 1 JOSEPH CHITTY, THE CRIMINAL LAW 698, 761-62
(1841); 3 CHARLES ALAN WRIGHT, FEDERAL PRACTICE AND PROCEDURE § 525, at
82 (2d ed. 1982) (“The common law for many centuries has
recognized the right of a defendant to ‘allocution,’ a formal
statement by the defendant of any legal reason why he could not
be sentenced.”).
Since the mid-nineteenth century, however, modern
15
developments in criminal procedure, including the advent of
sentencing discretion, the right of the accused to counsel, and
the right of the accused to testify on his own behalf, have led
to varied treatment of the right of allocution. See Barrett,
supra, at 126-43. Some jurisdictions have concluded that the
common-law right of allocution encompasses the right of the
defendant to make unsworn statements to the jury that are not
subject to cross-examination. See, e.g., Harris v. State, 509
A.2d 120, 127 (Md. 1986) (“We conclude that, under the common law
applicable to capital sentencing proceedings at the time [the
defendant] was sentenced, a defendant who timely asserts his
right to allocute [before the jury], and provides an acceptable
proffer, must be afforded a fair opportunity to exercise this
right.”); Homick v. State, 825 P.2d 600, 604 (Nev. 1992) (“We
conclude that capital defendants in the State of Nevada enjoy the
common law right of allocution [before the jury].”); State v.
Zola, 548 A.2d 1022, 1046 (N.J. 1988) (recognizing under the
court’s supervisory power the right of a capital defendant to
make an unsworn plea for mercy to the jury); State v. Lord, 822
P.2d 177, 216 (Wash. 1991) (indicating that the defendant had a
right to make an unsworn plea for mercy before the jury that was
not subject to cross-examination). However, other jurisdictions
have held that no such common-law right exists. See, e.g.,
People v. Robbins, 755 P.2d 355, 369 (Cal. 1988) (“Given [that a
capital defendant possesses the right to testify and offer other
mitigating evidence], we fail to see the need, much less a
16
constitutional requirement, for a corresponding ‘right to address
the sentencer without being subject to cross-examination’ in
capital cases.”); People v. Kokoraleis, 547 N.E.2d 202, 224 (Ill.
1989) (declining to exercise its supervisory power to recognize a
rule “allowing defendants in capital sentencing hearings . . . to
make a brief, unsworn plea for leniency without being subject to
cross-examination”); State v. Whitfield, 837 S.W.2d 503, 514 (Mo.
1992) (en banc) (“Despite defendant’s claim to the contrary, the
right of allocution in Missouri does not extend to addressing the
jury.”); State v. Perkins, 481 S.E.2d 25, 41 (N.C.) (“[W]e have
held that a defendant does not have a constitutional, statutory,
or common law right to make unsworn statements of fact to the
jury at the conclusion of a capital sentencing proceeding.”),
cert. denied, 118 S. Ct. 111 (1997); Duckett v. State, 919 P.2d
7, 22 (Okla. Crim. App. 1995) (“[W]e conclude that there is no
statutory, common-law or constitutional right of a defendant to
make a plea for mercy or otherwise address his sentencing jury,
in addition to closing argument by counsel.” (footnote omitted));
State v. Stephenson, 878 S.W.2d 530, 551 (Tenn. 1994) (holding
that no common-law right of allocution exists in Tennessee
because the right is nothing more than an empty formality in
light of the criminal defendant’s right to counsel).
Suffice it to say, Hall stands on shaky ground when he
asserts that a general common-law right exists entitling a
capital defendant to address the sentencing jury unsworn and not
subject to cross-examination. Moreover, even if such a common-
17
law right existed, its continued recognition in federal capital
cases would be inconsistent with the procedural framework for
capital sentencing hearings established by the FDPA. As noted
earlier, § 3593(c) vests the district court with a gatekeeping
role in determining what information--both mitigating and
aggravating--reaches the jury. It may exclude information “if
its probative value is outweighed by the danger of creating
unfair prejudice, confusing the issues, or misleading the jury.”
18 U.S.C. § 3593(c). The Pennsylvania Supreme Court interpreted
that state’s capital sentencing scheme, which vests the trial
court with similar authority, to abrogate any commmon-law right
of the defendant to make unsworn statements to the jury on the
following grounds:
Whatever force the common law of allocution has with
respect to other criminal cases, the General Assembly
has abrogated that law and replaced it with statutory
law devised specifically for first degree murder cases.
The legislature has provided that a sentencing hearing
is required at which evidence may be presented to the
jury, or the judge as the case may be. The court is
given discretion to determine what evidence will be
received as relevant and admissible on the question of
the sentence to be imposed. Following the presentation
of evidence, counsel are permitted to argue to the
sentencing body for or against the death sentence.
It is apparent from the structure provided that
this evidentiary hearing is intended to serve as part
of the “truth-determining process” to enable the
sentencer to discern and apply the facts bearing on the
determination of the appropriate sentence. Implicit in
the fact that the statute assigns to the defendant the
burden of proving mitigating circumstances by a
preponderance of evidence is the understanding that the
jury is to asses[s] the evidence for credibility. It
must be left open for the Commonwealth to challenge the
veracity of facts asserted and the credibility of the
person asserting those facts, whether that person is a
witness or the defendant. We find no reason in law or
18
logic why the defendant’s presentation of evidence in
support of his claim that life imprisonment is the
appropriate sentence should be shielded from the
testing for truthfulness and reliability that is
accomplished by cross-examination.
Abu-Jamal, 555 A.2d at 857-58. We find this analysis persuasive
in construing the FDPA. We therefore conclude that Hall
possessed no federal common-law right to allocute before the
jury.
3. Allocution as an Independent Constitutional Right
Hall next asserts that he possesses a constitutional right
to allocute before the jury. The Supreme Court has never
squarely addressed the issue of whether a defendant who
affirmatively requests the opportunity to allocute, either before
the court or the jury, is denied due process by the trial court’s
refusal to grant the request. In Hill v. United States, 368 U.S.
424 (1962), the Court held that a district court’s failure to
expressly ask a defendant represented by counsel whether he
wished to make a statement before imposition of sentence was not
an error of constitutional dimension and therefore provided no
basis for a § 2255 collateral attack upon the defendant’s
sentence. See id. at 428. The court expressly declined to
consider whether the district court’s denial of an affirmative
request by a defendant to make a statement prior to the
imposition of sentence would rise to the level of constitutional
error. See id. at 429; see also McGautha v. California, 402 U.S.
183, 219 n.22 (1971) (noting that whether a trial court’s denial
of a defendant’s request to plead for mercy rises to the level of
19
a constitutional violation remains an open question), vacated in
part on other grounds, Crampton v. Ohio, 408 U.S. 941 (1972).
We conclude that a criminal defendant in a capital case does
not possess a constitutional right to make an unsworn statement
of remorse before the jury that is not subject to cross-
examination. In Green v. United States, 365 U.S. 301 (1961),
Justice Frankfurter observed that the ultimate value of
allocution as a procedural right in the context of modern
criminal procedure rests in the fact that “[t]he most persuasive
counsel may not be able to speak for a defendant as the defendant
might, with halting eloquence, speak for himself.” Id. at 304.
Neither the government nor Hall contends that Hall would not have
been permitted to testify at the sentencing hearing and thereby
in his own words introduce “any information relevant to a
mitigating factor.” 18 U.S.C. § 3593(c). We simply cannot
conclude that fundamental fairness required that Hall be allowed
to make such a statement without being sworn or subject to cross-
examination.7 This conclusion is bolstered by the varied
7
Hall directs our attention to United States v. Moree, 928
F.2d 654, 656 (5th Cir. 1991), in which we in passing described a
criminal defendant’s right to allocute under the subsection of
Rule 32 that now occupies subsection (c)(3)(C) as “constitutional
[in] dimension.” Id. at 656. However, as noted earlier, we have
not construed Rule 32(c)(3)(C) as affording a defendant a right
to make a statement before the jury; rather, the rule merely
requires the court to allow the defendant to make a statement at
some point before it actually imposes sentence. As such, no
conflict exists between Moree’s statement that the right to
allocute afforded by Rule 32(c)(3)(C) is of constitutional
dimension and our conclusion here that a criminal defendant
possesses no constitutional right to make an unsworn statement of
remorse before the jury that is not subject to cross-examination.
20
conclusions that the states have reached, discussed supra, as to
whether a criminal defendant has a right to make an unsworn
statement of remorse or plea for mercy before a sentencing jury.
Cf. Medina v. California, 505 U.S. 437, 446 (1992) (“Historical
practice is probative of whether a procedural rule can be
characterized as fundamental.”).
4. Denial of Procedural Parity
Hall next contends that, even if the Constitution does not
vest criminal defendants with an independent, per se right to
make an unsworn statement in allocution before the jury, the
district court’s denial of his request to make such a statement
was nonetheless unconstitutional because the district court
allowed the government to introduce similarly nontestimonial
victim impact statements. Hall contends that such disparate
treatment constitutes an unconstitutional disruption of “the
balance of forces between the accused and his accuser.” Wardius
v. Oregon, 412 U.S. 470, 474 (1973). We disagree.
The constitutionally required balance between prosecution
and defense is “a balance between the total advantages enjoyed by
each side rather than an insistence on symmetry at every stage in
the process.” Tyson v. Trigg, 50 F.3d 436, 441 (7th Cir. 1995).
In this case, we conclude that no significant imbalance existed
in the total advantages afforded Hall and the government at
sentencing. First, contrary to Hall’s contention, the district
court actually allowed him to present evidence of a type similar
to the victim impact statements. Specifically, the district
21
court allowed Hall to introduce hearsay evidence of his own
remorse in the form of his sister’s testimony of his statements
of remorse to her when she visited him in prison. The government
was not allowed to cross-examine Hall as to the contents of these
statements.
Second, Agnes Rene, Lisa Rene’s mother and the author of one
of the three victim impact statements introduced at sentencing,
testified during the sentencing hearing regarding the impact of
the loss of her daughter. Hall declined to cross-examine her.
This provides a strong indication that Hall did not consider
cross-examination of the makers of the victim impact statements
to be vital--or, for that matter, even beneficial--to his
defense.
Third, the district court’s refusal to allow Hall to make an
unsworn statement that was not subject to cross-examination
constituted at best a marginal procedural disadvantage. Had Hall
taken the stand and offered limited testimony in substance
equivalent to his proffered statement in allocution, he would
have waived his Fifth Amendment privilege against self-
incrimination only as to matters reasonably related to the
contents of that statement. See Brown v. United States, 356 U.S.
148, 156 (1958) (holding that a criminal defendant “could not
take the stand to testify in her own behalf and also claim the
right to be free from cross-examination on matters raised by her
own testimony on direct examination” (emphasis added)); United
States v. Hernandez, 646 F.2d 970, 979 (5th Cir. Unit B June
22
1981) (noting that, in cross-examining a criminal defendant who
chooses to testify, “[t]he government’s questions must be
reasonably related to the subjects covered by the defendant’s
direct testimony.” (internal quotation marks omitted)).
A great deal of the type of information that the government
would have likely sought to admit to impeach Hall’s testimony or
directly refute his claims of remorse and acceptance of
responsibility was admitted as direct evidence of aggravating
factors during the sentencing hearing, particularly the
nonstatutory factor that “Hall constitutes a future danger to the
lives and safety of other persons.” Specifically, the government
offered evidence of Hall’s prior convictions and unadjudicated
offenses. Additionally, the government introduced the testimony
of Larry Nichols, one of Hall’s fellow inmates at the
correctional facility where Hall was incarcerated prior to trial.
Nichols testified that Hall joked and bragged about repeatedly
raping Lisa Rene. He also testified that Hall told him that,
given the opportunity, he would kill Steven Beckley because, were
it not for Beckley’s assistance, the government would have had no
case against him. Additionally, Nichols testified that Hall
informed him of his plans to attempt to escape from the
correctional facility in which they were incarcerated by taking
his lawyer hostage using a “shank,” a homemade knife. Hall has
pointed to no information that would have been rendered relevant
by virtue of his offering testimony similar in substance to his
proffered statement in allocution which the government did not
23
present as direct support of the aggravating factors the
existence of which it sought to prove during the sentencing
hearing. Thus, we conclude that the district court’s decision to
admit victim impact statements offered by the government but to
exclude Hall’s request to make an unsworn statement in allocution
to the jury did not unconstitutionally skew the balance of
procedural advantage in the government’s favor.
5. Violation of § 3593's Evidentiary Standards
Hall next argues that the district court abused its
discretion in declining to allow him to make an unsworn statement
of remorse and plea for mercy before the jury. Section 3593(c)
provides that information need not be admissible under the
Federal Rules of Evidence in order to be admissible at a hearing
conducted pursuant to the statute. However, the statute provides
that the district court may exclude information “if its probative
value is outweighed by the danger of creating unfair prejudice,
confusing the issues, or misleading the jury.” 18 U.S.C.
§ 3593(c). The district court has “considerable discretion in
controlling the presentation of the ‘information’ to the jury in
both content and form.” United States v. McVeigh, 944 F. Supp.
1478, 1487 (D. Colo. 1996).
Assuming that an unsworn statement such as the one Hall
proffered is theoretically admissible during an FDPA sentencing
hearing,8 we conclude that the district court did not abuse its
8
It is at least arguable that the district court may have
discretion to admit an unsworn statement of remorse by the
defendant because the general requirement that witnesses in
24
discretion in declining to admit it. The district court could
properly conclude that the danger that Hall’s unsworn, uncross-
examinable testimony would mislead the jury outweighed the
probative value of the information conveyed in the testimony,
particularly given the fact that such information was readily
available in a superior form: Hall’s sworn testimony, which
would have been subject to testing for truthfulness and accuracy
through cross-examination by the government.
B. Conditioning the Presentation of Psychiatric
Evidence on Submission to a Psychiatric Examination
Hall next contends that the district court erred in
conditioning his right to present psychiatric evidence in
mitigation of punishment upon his submission to a government
psychiatric examination prior to trial. Hall first argues that
the district court could not properly compel him to undergo a
government psychiatric examination as a condition upon his being
allowed to introduce psychiatric evidence at sentencing because
doing so unconstitutionally forced him to choose between
exercising his Fifth Amendment privilege against self-
incrimination and his Eighth Amendment right to present evidence
in mitigation of punishment. We disagree.
This court has long recognized that “a defendant who puts
his mental state at issue with psychological evidence may not
criminal cases be sworn stems from Rule 603 of the Federal Rules
of Evidence. See FED. R. EVID. 603 (“Before testifying, every
witness shall be required to declare that the witness will
testify truthfully, by oath or affirmation administered in a form
calculated to awaken the witness’ conscience and impress the
witness’ mind with the duty to do so.”).
25
then use the Fifth Amendment to bar the state from rebutting in
kind.” Schneider v. Lynaugh, 835 F.2d 570, 575 (5th Cir. 1988).
This rule rests upon the premise that “[i]t is unfair and
improper to allow a defendant to introduce favorable
psychological testimony and then prevent the prosecution from
resorting to the most effective and in most instances the only
means of rebuttal: other psychological testimony.” Id. at 576.
Hall correctly notes that he did not waive his Fifth
Amendment privilege against self-incrimination merely by giving
notice of his intention to submit expert psychiatric testimony at
the sentencing hearing. See Brown v. Butler, 876 F.2d 427, 430
(5th Cir. 1989) (holding that the state could not introduce
expert testimony based upon a previous psychological examination
of the defendant where the defendant announced an intention to
offer expert psychological evidence but never actually did so).
However, had he actually offered such evidence, the district
court would not have violated Hall’s privilege against self-
incrimination by admitting psychiatric testimony subsequently
offered by the government. Hall’s claim that the district court
could not condition his right to introduce expert psychiatric
evidence based upon out-of-court examination of Hall upon his
submission to a government psychiatric examination therefore
lacks merit. In the same sense that Hall could not himself
testify at the sentencing hearing regarding his remorse or
acceptance of responsibility and then refuse cross-examination on
this issue, he could not offer expert psychiatric testimony based
26
upon his own statements to a psychiatrist and then deny the
government the opportunity to do so as well in rebuttal. See
Estelle v. Smith, 451 U.S. 454, 461-69, 472 (1981) (holding that
the admission of statements made by the defendant during a
pretrial psychiatric examination violated his Fifth Amendment
privilege against compelled self-incrimination because he was not
advised before the examination that he had a right to remain
silent and that any statement that he made could be used against
him at a capital-sentencing hearing, but noting that “a different
situation arises where a defendant intends to introduce
psychiatric evidence at the penalty phase”); Vanderbilt v.
Collins, 994 F.2d 189, 196 (5th Cir. 1993) (“If a defendant
requests a [psychiatric] examination on the issue of future
dangerousness or presents psychiatric evidence at trial, the
defendant may be deemed to have waived the fifth amendment
privilege.”).9
Hall, along with the American Orthopsychiatric Association
and the American Association on Mental Retardation as amici
curiae, argues in the alternative that, in order to adequately
safeguard his Fifth Amendment privilege against self-
9
By incorporating some of the pleadings that he filed at
the district court level in his brief, Hall also attempts to
reurge his argument asserted in the district court that the
district court lacked statutory authority to order him to submit
to a psychiatric examination. Because Hall has not adequately
briefed this issue, we decline to address it. See Yohey v.
Collins, 985 F.2d 222 (5th Cir. 1993) (declining to consider
arguments in other pleadings that the appellant attempted to
incorporate by reference in a brief already in excess of the 50-
page limit).
27
incrimination, the district court could not order a government
psychiatric examination unless it sealed the results of the
examination until the penalty phase of trial. Otherwise, he
argues, he could have no guarantee that the government would not
utilize the results of the examination or the fruits thereof as
evidence in the guilt phase of his trial. This argument lacks
merit.
The Supreme Court has held that, when a defendant claims
that the government has sought to introduce the fruits of a
coerced confession, the defendant “must go forward with specific
evidence demonstrating taint,” upon which the government “has the
ultimate burden of persuasion to show that its evidence is
untainted.” Alderman v. United States, 394 U.S. 165, 183 (1969);
see also Nardone v. United States, 308 U.S. 338, 341 (1939)
(“[T]he trial judge must give opportunity, however closely
confined, to the accused to prove that a substantial portion of
the case against him was a fruit of the poisonous tree. This
leaves ample opportunity to the Government to convince the trial
court that its proof had an independent origin.”); United States
v. Cherry, 759 F.2d 1196, 1207 (5th Cir. 1985) (“It is firmly
established that, once the defendant goes forward with specific
evidence demonstrating taint, the government has the final burden
of persuasion to show that the evidence is untainted.”); 5 WAYNE
R. LAFAVE, SEARCH AND SEIZURE § 11.2(b), at 45 (3d ed. 1996).
We are convinced that this evidentiary framework provides
all of the protection against the introduction of the fruits of
28
the government psychiatric examination prior to Hall’s
introduction of psychiatric evidence that the Constitution
requires. Had Hall undergone the government psychiatric
examination and believed that the government was improperly
seeking to introduce evidence that it derived from the
examination, he could have precluded the introduction of such
evidence by offering some evidence of taint. The district court
would have been required to exclude the evidence unless the
government could carry its burden of persuading the court that
the evidence was not tainted.
The only specific safeguard that Hall requested in his
motion opposing the government’s request for a psychiatric
examination and oral argument on this motion was the sealing of
the results of the examination until the penalty phase of his
trial. Hall has cited several cases in which district courts
have imposed such a safeguard. See United States v. Beckford,
962 F. Supp. 748, 761 (E.D. Va. 1997); United States v. Haworth,
942 F. Supp. 1406, 1408-09 (D.N.M. 1996); United States v. Vest,
905 F. Supp. 651, 654 (W.D. Mo. 1995). While we acknowledge that
such a rule is doubtless beneficial to defendants and that it
likely advances interests of judicial economy by avoiding
litigation over whether particular pieces of evidence that the
government seeks to admit prior to the defendant’s offering
psychiatric evidence were derived from the government psychiatric
examination, we nonetheless conclude that such a rule is not
constitutionally mandated.
29
Our conclusion in this regard is bolstered by Rule 12.2(c)
of the Federal Rules of Criminal Procedure, which provides that,
when a defendant intends to rely upon an insanity defense during
the guilt phase of his trial, the district court may order a
mental examination upon motion by the government. See FED. R.
CRIM. P. 12.2(c). In order to safeguard the defendant’s
privilege against self-incrimination, the rule provides as
follows:
No statement made by the defendant in the course of any
examination provided for by this rule, whether the
examination be with or without the consent of the
defendant, no testimony by the expert based upon such
statement, and no other fruits of the statement shall
be admitted in evidence against the defendant in any
criminal proceeding except on an issue respecting
mental condition on which the defendant has introduced
testimony.
Id. Noticeably absent from the rule is any requirement that the
government be denied access to the results of the examination
until after the defendant actually introduces testimony regarding
his mental condition. Rather, the rule merely precludes the
government from introducing as evidence the results of the
examination or their fruits until after the defendant actually
places his sanity in issue. Yet the rule has consistently been
held to comport with the Fifth Amendment. See, e.g., United
States v. Lewis, 53 F.3d 29, 35 n.9 (4th Cir. 1995); United
States v. Stockwell, 743 F.2d 123, 127 (2d Cir. 1984) (“[W]hile
we do not wish to encourage the practice of requiring defendants
to submit to a psychiatric examination in the prosecutor’s
presence (either in person or through the use of a tape
30
recording), such a procedure cannot be said to constitute a per
se violation of Rule 12.2(c) and the defendant’s Fifth Amendment
rights.”). Given that the government presents its case-in-chief
during the guilt phase prior to the defendant, we perceive no
functional distinction between the risk that the government will
improperly utilize the fruits of a psychiatric examination
undertaken pursuant to Rule 12.2 during its case-in-chief (and
thus prior to the defendant’s offering psychiatric evidence of
insanity) and the risk that the government in this case would
improperly utilize the fruits of the court-ordered psychiatric
examination prior to Hall’s introduction of psychiatric evidence
during the penalty phase.10 We therefore reject Hall’s
contention that the district court violated his Fifth Amendment
privilege against self-incrimination by ordering him to undergo a
psychiatric examination as a condition upon his offering
psychiatric evidence during the sentencing hearing or by
declining to order the results of the examination sealed until
10
It is also worth noting that, had the district court
granted Hall’s request to seal the results of the examination
until after the guilt phase, it would not have eliminated the
risk that the government would have, either inadvertently or
intentionally, introduced the results of the examination or their
fruits prior to Hall’s waiver of his privilege against self-
incrimination by placing his mental state at issue. Section
3593(c) provides that, during the sentencing hearing, “[t]he
government shall open the argument.” 18 U.S.C. § 3593(c). To
the extent that, pursuant to Hall’s request, the government would
have had access to the results of the psychiatric examination
after the guilt phase but prior to the sentencing hearing, a risk
would exist that the government would improperly utilize the
results or their fruits during its initial presentation of
information to the jury on sentencing.
31
the sentencing hearing.11
C. Admission of Unduly Prejudicial Evidence
Hall next claims that the district court abused its
discretion by admitting certain evidence which he claims was
irrelevant and highly prejudicial. Specifically, he complains of
the district court’s admission of (1) graphic photographs of Lisa
Rene’s body; (2) a videotape depicting a walk through Byrd Lake
Park to the grave site, surveillance of the area where Lisa
Rene’s burned clothing was recovered, and an examination of the
grave site during the exhumation of Lisa Rene’s body; and (3)
testimony by Hall’s girlfriend in which she claimed to have been
robbed at gunpoint while purchasing drugs for Hall. We review a
district court’s evidentiary rulings for an abuse of discretion.
See United States v. Torres, 114 F.3d 520, 525-26 (5th Cir.),
cert. denied, 118 S. Ct. 316 (1997).
1. Photographs
Hall claims that the district court abused its discretion by
admitting photographs of Lisa Rene’s body in the grave and after
its removal during the guilt phase of his trial. Hall first
argues that the photographs were rendered legally irrelevant by
the fact that he offered to stipulate to the identity of the
victim and her cause of death. Additionally, Hall complains that
11
We express no opinion on whether reversal would have
been warranted if Hall had requested lesser safeguards, such as
an order that the government utilize neither the results of the
psychiatric examination nor their fruits prior to his
presentation of psychiatric evidence during the sentencing
hearing and the district court had ordered the examination
without imposing such safeguards.
32
the photographs were particularly gruesome because they depicted
Lisa Rene’s body in a state of decomposition. He also argues
that the photographs were cumulative of detailed testimony of a
medical examiner regarding the condition of Lisa Rene’s body. As
such, he argues that the district court’s admission of the
photographs violated Rule 403 of the Federal Rules of Evidence
because any probative value the photographs might have possessed
was “substantially outweighed by the danger of unfair prejudice,
confusion of the issues, or misleading the jury, or by
considerations of undue delay, waste of time, or needless
presentation of cumulative evidence.” FED. R. EVID. 403.
We note as an initial matter that the photographs were
relevant to Lisa Rene’s identity and the cause of her death, and
Hall’s offer to stipulate to these facts did not render them
irrelevant. The advisory committee notes to Rule 401 of the
Federal Rules of Evidence, which establishes the definition of
legal relevance, speak directly to this issue:
The fact to which the evidence is directed need not be
in dispute. While situations will arise which call for
the exclusion of evidence offered to prove a point
conceded by the opponent, the ruling should be made on
the basis of such considerations as waste of time and
undue prejudice (see Rule 403), rather than under any
general requirement that evidence is admissible only if
directed to matters in dispute.
FED. R. EVID. 401 advisory committee notes. The reason that a
criminal defendant cannot typically avoid the introduction of
other evidence of a particular element of the offense by
stipulation is that the government must be given the opportunity
“to present to the jury a picture of the events relied upon. To
33
substitute for such a picture a naked admission might have the
effect to rob the evidence of much of its fair and legitimate
weight.” Old Chief v. United States, 117 S. Ct. 644, 653 (1997)
(internal quotation marks omitted). Our sole inquiry, then, is
whether admission of the photographs violated Rule 403. See id.
at 650 (“If . . . relevant evidence is inadmissible in the
presence of other evidence related to it, its exclusion must rest
not on the ground that the other evidence has rendered it
‘irrelevant,’ but on its character as unfairly prejudicial,
cumulative or the like, its relevance notwithstanding.”). We
conclude that admission of the photographs did not violate Rule
403.
In United States v. McRae, 593 F.2d 700 (5th Cir. 1979),
this court addressed a Rule 403 challenge to the district court’s
admission in a murder trial of numerous photographs of the victim
and the death scene which the district court had described as
“gross, distasteful and disturbing.” See id. at 707. One of
these photographs was “a view of [the victim’s] corpse, clothed
in her bloody garments, bent forward so as to display an exit
wound in the back of her skull produced by part of [the
defendant’s] dum-dum bullet, which exploded in her brain”;
another was “a front view of [the victim’s] body, seated in the
chair where she died, her left eye disfigured by the bullet’s
entry and her head broken by its force.” Id. In holding that
the admission of these photographs did not violate Rule 403, we
observed,
34
Relevant evidence is inherently prejudicial; but it is
only unfair prejudice, substantially outweighing
probative value, which permits exclusion of relevant
matter under Rule 403. Unless trials are to be
conducted on scenarios, on unreal facts tailored and
sanitized for the occasion, the application of Rule 403
must be cautious and sparing.
Id. We see no basis for distinguishing between the photographs
at issue in McRae and those at issue here. We therefore conclude
that the district court did not abuse its discretion in
concluding that the probative value of the photographs was not
substantially outweighed by the danger of unfair prejudice or by
concerns regarding the needless presentation of cumulative
evidence. See United States v. Rezaq, 134 F.3d 1121, 1138 (D.C.
Cir. 1998) (upholding a district court’s admission of an autopsy
photograph showing the removal of a bullet from a hijacking
victim’s head even though the photograph was only probative of
the fact that the victim was shot in the head, a “point [that]
did not especially need elucidation”); United States v. Analla,
975 F.2d 119, 125-26 (4th Cir. 1992) (holding that the district
court did not abuse its discretion in admitting photographs
depicting two gunshot wounds to a robbery victim’s head and
another photograph depicting an individual murdered during the
robbery lying in a pool of blood); United States v. Bowers, 660
F.2d 527, 529-30 (5th Cir. Unit B Sept. 1981) (holding that the
district court did not abuse its discretion in admitting a color
photograph of a child’s lacerated heart to prove cause of death
and noting “that the mere fact that appellant stipulated with the
government as to the cause of death did not preclude the
35
government from offering proof on that issue”).
2. Videotape
Hall next contends that the district court abused its
discretion in admitting during the penalty phase of his trial a
videotape depicting a walk through the park in which Lisa Rene
was killed, the area where her burned cloths were recovered, and
the exhumation of her body. He further complains that the
district court erred by allowing the jury to view the tape during
deliberations when they had not previously viewed it in open
court.
We conclude that the district court did not abuse its
discretion in concluding that the videotape’s “probative value
[was not] outweighed by the danger of creating unfair prejudice,
confusing the issues, or misleading the jury.” 18 U.S.C.
§ 3593(c). As the government points out, the videotape was
relevant to the aggravating factor that the killing was committed
in a heinous, cruel, or depraved manner in that it depicted the
path through the woods toward the grave site that Hall and his
cohorts forced Lisa Rene to walk barefoot on two occasions.
Moreover, the depiction of the grave site demonstrated the amount
of planning that went into the murder and was thus probative
regarding the aggravating factor that the murder was committed
with substantial planning and premeditation.
Even if we were to conclude that the district court abused
its discretion in admitting the videotape, such error was
harmless. An erroneous evidentiary ruling constitutes harmless
36
error if it does not affect the substantial rights of the
complaining party. See Torres, 114 F.3d at 526; see also United
States v. Asibor, 109 F.3d 1023, 1032 (5th Cir.), cert. denied,
118 S. Ct. 254, and cert. denied, 118 S. Ct. 638 (1997). An
error is deemed to have affected a criminal defendant’s
substantial rights if it “‘had substantial and injurious effect
or influence in determining the jury’s verdict.’” United States
v. Lowery, 135 F.3d 957, 959 (5th Cir. 1998) (quoting Kotteakos
v. United States, 328 U.S. 750, 776 (1946)).
We conclude that the videotape could not have had a
substantial and injurious effect or influence on the jury’s
sentencing recommendation because, as Hall concedes, the contents
of the tape were largely cumulative of the testimony and
photographs admitted during the guilt phase of Hall’s trial. See
United States v. Allie, 978 F.2d 1401, 1409 (5th Cir. 1992)
(stating that the improper admission of evidence that is merely
cumulative constitutes harmless error); 3A CHARLES ALAN WRIGHT,
FEDERAL PRACTICE AND PROCEDURE § 854, at 311 (2d ed. 1982) (“Error in
the admission of evidence is harmless if the facts shown by that
evidence are already before the jury through other properly-
admitted evidence.”).
As to Hall’s claim that the district court improperly
allowed the jury to view the videotape during deliberations even
though the jury had not previously viewed the tape in open court,
our review is sharply circumscribed by the scope of Hall’s
objection when the district court admitted the tape into
37
evidence. Hall objected to the admissibility of the tape;
however, he did not object to the district court’s decision to
allow the jurors to view the tape only at their discretion during
deliberations. Accordingly, we review Hall’s claim that the jury
should not have been allowed to view the tape during
deliberations when they had not previously viewed it in open
court for plain error. See FED. R. CRIM. P. 52(b); United States
v. Jones, 132 F.3d 232, 243 (5th Cir. 1998).
Under the plain error standard, we may reverse only if “(1)
there was error (2) that was clear and obvious and (3) that
affected [Hall’s] substantial rights.” United States v. Dupre,
117 F.3d 810, 817 (5th Cir. 1997), cert. denied, 118 S. Ct. 857
(1998); see also United States v. Olano, 507 U.S. 725, 731-36
(1993). “Normally, although perhaps not in every case, the
defendant must make a specific showing of prejudice to satisfy
the ‘affecting substantial rights’ prong of [the plain error
inquiry].” Olano, 507 U.S. at 735. Even when these criteria are
satisfied, we should exercise our discretion to reverse only if
the error “seriously affects the fairness, integrity or public
reputation of judicial proceedings.” Id. at 732 (internal
quotation marks and brackets omitted); see also Dupre, 117 F.3d
at 817.
Assuming that the district court erred in allowing the jury
to view the videotape only during deliberations, we cannot say
that such error was open or obvious nor that it affected Hall’s
substantial rights. The only prejudice that Hall alleges
38
resulted from the fact that the jurors did not view the tape in
open court was that his counsel was prevented from making a
record of any excessive or prejudicial responses to the evidence.
However, Hall has cited no cases in which this court’s evaluation
of evidentiary rulings hinged upon the jury’s actual reactions to
the purportedly inadmissible evidence. Moreover, we note that,
by giving the jury discretion as to whether to view the
videotape, Hall was, at least in a limited sense, benefitted by
the fact that the jury may not have viewed the tape. This is a
possibility that would not have existed had the district court
chosen to play the tape in open court. That may very well have
been the reason that Hall’s attorneys did not object to the
district court’s decision not to play the videotape in open court
in the first place. Hall thus has not established that the
district court’s decision not to play the videotape in open court
rises to the level of plain error.
3. Testimony Regarding Robbery of Hall’s Girlfriend
Hall next complains of the district court’s admission of the
testimony of LaTonya Anders, Hall’s girlfriend, that she was
robbed while in Houston attempting to purchase crack cocaine on
Hall’s behalf while he was on parole and that he continued to
send her to purchase drugs after these incidents. This testimony
was generally relevant to Hall’s future dangerousness in that (1)
it demonstrated the lengths to which Hall would go to continue
his drug trafficking activities and (2) it demonstrated that he
was an organizer and leader of criminal activity. While the
39
small amount of testimony regarding Anders’s robbery may have had
little, if any, relevance to the aggravating factors that the
government sought to prove, we are confident that, given the
heinousness of the offense of which Hall was convicted, this
isolated testimony could not have had a substantial and injurious
effect or influence on the jury’s sentencing recommendation. As
such, any error in its admission was harmless.
D. Evidence of Unadjudicated Offenses
Hall contends that the district court improperly admitted
evidence of unadjudicated offenses during the penalty phase.
Specifically, Hall complains of the district court’s permitting
the government to introduce the testimony of Erma Willis and her
son, Geren Willis, that, in May 1994, Hall waited in a car
outside their home with a gun on the dashboard while Hall’s
cousin forced another individual to attempt to obtain money from
Ms. Willis. David Baker, who at that time was employed as an
Arkansas parole officer, testified that Ms. Willis reported the
incident to him and that he forwarded the information to Hall’s
parole officer in Pine Bluff. Additionally, Hall complains of
the testimony of Larry Nichols, an inmate in the same
correctional facility where Hall was held prior to his trial,
regarding Hall’s plans to escape from prison and his threats
against Beckley, discussed in Part II.A.4, supra.
Hall complains that introduction of the above testimony
violated due process and the Eighth Amendment’s “heightened ‘need
for reliability in the determination that death is the
40
appropriate punishment in a specific case.’” Caldwell v.
Mississippi, 472 U.S. 320, 340 (1985) (quoting Woodson v. North
Carolina, 428 U.S. 280, 305 (1976)). He contends that this
problem was compounded by the fact that the district court did
not instruct the jury that, in order to consider unadjudicated
criminal offenses in determining whether the government had
established a particular aggravating factor, it was required to
conclude that the government had proven the occurrence of the
unadjudicated offense by a particular quantum of proof. With
respect to Nichols’s testimony, Hall contends that the district
court’s failure to instruct the jury regarding the evidentiary
standard by which it was required to determine whether the
conduct about which Nichols testified actually occurred allowed
the jury to “conflate the process of fact-finding and risk
assessment” by concluding that “the nature of the conduct Nichols
alleged was so menacing that only a marginal amount of proof
would suffice to warrant consideration of that conduct in support
[of] the government’s claim of future dangerousness.”
To the extent that Hall alleges that evidence of prior
unadjudicated offenses is per se inadmissible on constitutional
grounds, his claim lacks merit. See Harris v. Johnson, 81 F.3d
535, 541 (5th Cir. 1996) (“We previously have held that the use
of evidence of unadjudicated extraneous offenses, at the
sentencing phase of Texas capital murder trials, does not
implicate constitutional concerns.”); Williams v. Lynaugh, 814
F.2d 205, 208 (5th Cir. 1987) (holding “that the admission of
41
unadjudicated offenses in the sentencing phase of a capital trial
does not violate the eighth and fourteenth amendments”); Milton
v. Procunier, 744 F.2d 1091, 1097 (5th Cir. 1984) (same).
We are likewise unpersuaded by Hall’s contention that the
absence of an instruction regarding the evidentiary standard by
which the government must prove the existence of unadjudicated
offenses and other conduct that it advances in support of an
aggravating factor constitutes reversible error. As we
understand it, Hall’s argument appears to be that, when the
government offers evidence of an unadjudicated offense in support
of an aggravating factor, the jury must be instructed that it
cannot consider this evidence in determining whether the
government has carried its burden of proving the aggravating
factor beyond a reasonable doubt unless it has first determined
that the evidence establishes by some quantum of evidence that
the unadjudicated offense occurred.12 Hall has offered no legal
support for this proposition, and the only precedent that we have
found militates against it. See Harris, 81 F.3d at 541 (“Fully
aware that the due process clause clearly requires that for
conviction the state must prove the elements of the offense
charged beyond a reasonable doubt, neither we nor the Supreme
Court has stated that a similar burden exists regarding the
admission of evidence of unadjudicated offenses in a capital case
12
Hall has not specified what quantum of evidence, e.g.,
substantial evidence, preponderance of the evidence, clear and
convincing evidence, beyond a reasonable doubt, he considers
appropriate.
42
sentencing hearing.”).
In any event, Hall neither proffered a proposed jury
instruction informing the jury of the existence of the
government’s purported threshold evidentiary burden regarding
unadjudicated offenses nor objected to the absence of such an
instruction. He therefore did not preserve any error regarding
the absence of this instruction. See FED. R. CRIM. P. 30 (“No
party may assign as error any portion of the charge or omission
therefrom unless that party objects thereto before the jury
retires to consider its verdict, stating distinctly the matter to
which that party objects and the grounds of the objection.”).
The dearth of authority supporting Hall’s position indicates
that, even if the district court erred in failing to instruct the
jury on the existence of a threshold evidentiary burden regarding
unadjudicated offenses, such error was far from clear and obvious
and thus did not constitute plain error warranting reversal. See
FED. R. CRIM. P. 52(b); Dupre, 117 F.3d at 817.
E. Victim Impact Statements
Hall next contends that the district court committed
reversible error by admitting three victim impact statements from
Lisa Rene’s relatives during the sentencing hearing. In this
regard, Hall contends that (1) the victim impact statements
introduced an arbitrary element into the jury’s sentencing
recommendation, thereby violating the Eighth Amendment and (2)
admission of the statements violated his Sixth Amendment right to
confrontation. We address each of these arguments in turn.
43
1. Eighth Amendment Arbitrariness
Hall contends that the victim impact statements “injected
emotional considerations that had no relevant purpose in the
proceedings” and thereby violated the Eighth Amendment. We
disagree.
In Payne v. Tennessee, 501 U.S. 808 (1991), the Supreme
Court held that the Eighth Amendment erects no per se barrier to
the admission of victim impact evidence during the sentencing
phase of a capital trial. See id. at 827. In so doing, the
Court observed that “a State may properly conclude that for the
jury to assess meaningfully the defendant’s moral culpability and
blameworthiness, it should have before it at the sentencing phase
evidence of the specific harm caused by the defendant.” Id. at
825. The Court went on to observe that “[t]he State has a
legitimate interest in counteracting the mitigating evidence
which the defendant is entitled to put in, by reminding the
sentencer that just as the murderer should be considered as an
individual, so too the victim is an individual whose death
represents a unique loss to society and in particular to his
family.” Id. (internal quotation marks omitted). The Court thus
concluded that “[t]here is no reason to treat [victim impact]
evidence differently than other relevant evidence is treated.”
Id. at 827. Victim impact evidence and argument based upon it
therefore does not, by virtue of its substance, abridge a
defendant’s constitutional rights unless it “is so unduly
prejudicial that it renders the trial fundamentally unfair.” Id.
44
at 825; see also Castillo v. Johnson, 141 F.3d 218, 224 (5th Cir.
1998).
The victim impact statements admitted here were not so
unduly prejudicial that they rendered the trial fundamentally
unfair. By and large, the statements did nothing more than
generally describe Lisa Rene’s character and her aspirations of
becoming a doctor as well as the pain that her family members
felt as a result of her senseless death. Hall specifically
complains of the following statement in the victim impact
statement of Nicholson Rene, Lisa Rene’s father:
I feel I have nothing to look forward to[] . . . . If
I was going to live twenty more years it will
proba[b]ly be ten years. The loss of my daughter is
killing me slowly inside. Since after the death of my
daughter, I became a strong drinker.
We are confident that “this brief statement did not inflame [the
jury’s] passions more than did the facts of the crime.” Payne,
501 U.S. at 832 (O’Connor, J., concurring). As such, the
contents of the victim impact statements did not render Hall’s
trial fundamentally unfair.
2. Sixth Amendment Right to Confrontation
Hall next argues that the admission of nontestimonial victim
impact statements violated his Sixth Amendment “right physically
to face those who testify against him, and the right to conduct
cross-examination.” Pennsylvania v. Ritchie, 480 U.S. 39, 51
(1987). It is well established in this circuit that a criminal
defendant’s Sixth Amendment right of confrontation is sharply
circumscribed in non-capital sentencing proceedings. See United
45
States v. Rodriguez, 897 F.2d 1324, 1328 (5th Cir. 1990).
However, this circuit has not determined whether similar
restrictions on a defendant’s right to confrontation exist at a
capital sentencing hearing.
In Williams v. New York, 337 U.S. 241 (1949), the Supreme
Court held that the imposition of a death sentence “based upon
information supplied by witnesses with whom the accused had not
been confronted and as to whom he had no opportunity for cross-
examination or rebuttal” did not violate the defendant’s right to
due process under the Fourteenth Amendment where the defendant
had not requested the opportunity for cross-examination or
otherwise impugned the accuracy of the statements. See id. at
243-44, 252. However, since its decision in Williams, the
Supreme Court has “held that many of the protections available to
a defendant at a criminal trial also are available at a
sentencing hearing . . . in a capital case.”13 Bullington v.
Missouri, 451 U.S. 430, 446 (1981). The Supreme Court’s more
recent jurisprudence regarding capital sentencing proceedings has
led one circuit to conclude that the Sixth Amendment right to
confrontation applies with full force in capital sentencing
13
Moreover, it is significant that in Williams the Court
addressed a due process challenge under the Fourteenth Amendment.
The Court did not hold that the Sixth Amendment right to
confrontation applied to the states via the Fourteenth
Amendment’s Due Process Clause until over fifteen years after
Williams was decided. See Pointer v. Texas, 380 U.S. 400, 403
(1965). It is thus quite questionable whether Williams is
controlling with respect to the determination of whether the
Sixth Amendment right to confrontation extends to capital
sentencing hearings.
46
hearings. See Proffitt v. Wainwright, 685 F.2d 1227, 1254 (11th
Cir. 1982) (“The Supreme Court’s emphasis in [its recent] capital
sentencing cases on the reliability of the factfinding underlying
the decision whether to impose the death penalty convinces us
that the right to cross-examine adverse witnesses applies to
capital sentencing hearings. The Supreme Court has recognized
cross-examination as ‘the “greatest legal engine ever invented
for the discovery of truth.”’” (quoting California v. Green, 399
U.S. 149, 158 (1970) (quoting 5 JOHN HENRY WIGMORE, EVIDENCE § 1367
(3d ed. 1940)))). But see Bassette v. Thompson, 915 F.2d 932,
939 (4th Cir. 1990) (rejecting Proffitt and concluding that
Williams dictates that a criminal defendant in a capital case has
no right to cross-examine those who contribute information to the
presentence report). We therefore assume without deciding that
the Confrontation Clause applies to the sentencing phase of a
capital trial with the same force with which it applies during
the guilt phase.
Confrontation Clause errors, like other trial errors, are
subject to harmless-error analysis. See Delaware v. Van Arsdall,
475 U.S. 673, 684 (1986); United States v. Ismoila, 100 F.3d 380,
391 (5th Cir. 1996), cert. denied, 117 S. Ct. 1712, and cert.
denied, 117 S. Ct. 1858 (1997). Such an error is harmless if it
appears “beyond a reasonable doubt that the error complained of
did not contribute to the verdict obtained.” Chapman v.
California, 386 U.S. 18, 24 (1967). Assuming that the admission
of the victim impact statements constituted a violation of Hall’s
47
right to confrontation, we conclude that the error in this case
meets this standard. During the sentencing hearing, Agnes Rene,
Lisa Rene’s mother, presented emotionally charged testimony that
doubtless demonstrated with abundant clarity to the jury the
devastating impact of Hall’s crime upon Lisa Rene’s family. This
testimony, coupled with the powerful evidence regarding the
heinous, cruel, and depraved nature of this offense, leads us to
conclude beyond a reasonable doubt that the jury’s sentencing
recommendation would not have changed had the district court not
admitted the victim impact statements.14 We therefore reject
Hall’s contention that the district court’s admission of the
victim impact statements requires vacatur of his sentence.
F. Rejection of Cause Challenges to Venirepersons
Hall claims that the district court committed reversible
error by denying several of his challenges for cause to certain
venirepersons, thereby forcing him to utilize his peremptory
challenges to keep these individuals off the jury. He further
alleges that this error was of constitutional dimension because
one juror against whom he asserted a challenge for cause actually
served on the jury.
14
In reaching this conclusion, we necessarily reject
Hall’s contention that his sentence must be vacated on the ground
that the district court violated the evidentiary standard of
§ 3593 by admitting the victim impact statements. Even if the
“probative value [of the statements was] outweighed by the danger
of creating unfair prejudice, confusing the issues, or misleading
the jury,” 18 U.S.C. § 3593(c), to the extent that admission of
the statements was harmless under the Chapman standard, it was
necessarily harmless under the less stringent harmless-error
standard applicable to nonconstitutional errors. See United
States v. Lowery, 135 F.3d 957, 959 (5th Cir. 1998).
48
The Sixth Amendment right to an impartial jury requires the
exclusion of a potential juror if his “views would ‘prevent or
substantially impair the performance of his duties as a juror in
accordance with his instructions and his oath.’” Wainwright v.
Witt, 469 U.S. 412, 424 (1985) (quoting Adams v. Texas, 448 U.S.
38, 45 (1980)). A prospective juror is substantially impaired in
his ability to perform his duties in accordance with his
instructions and oath if he “will fail in good faith to consider
the evidence of aggravating and mitigating circumstances as the
instructions require him to do.” Morgan v. Illinois, 504 U.S.
719, 729 (1992).
The Supreme Court has observed that a trial court’s
“predominant function in determining juror bias involves
credibility findings whose basis cannot be easily discerned from
an appellate record.” Witt, 469 U.S. at 429; see also Fuller v.
Johnson, 114 F.3d 491, 500 (5th Cir.) (“A trial judge’s finding
of bias during voir dire is a determination of fact . . . .”),
cert. denied, 118 S. Ct. 399 (1997). As such, “deference must be
paid to the trial judge who sees and hears the [prospective]
juror.” Witt, 469 U.S. at 426. “We will only second-guess the
court’s decision that a juror is unbiased if there is an abuse of
discretion.” United States v. Flores, 63 F.3d 1342, 1357 (5th
Cir. 1995).
At this point, it is important to distinguish between the
types of claims that Hall has asserted with respect to the
district court’s denial of his challenges for cause. Hall has
49
asserted that the district court’s denial of his challenges for
cause violated (1) his Sixth Amendment right to an impartial jury
and (2) his statutory right to free exercise of his peremptory
challenges and his due process right not to have that statutory
right denied arbitrarily. Disposition of these claims requires
the application of distinct legal analyses.
1. Sixth Amendment Right to Impartial Jury
In Ross v. Oklahoma, 487 U.S. 81 (1987), a direct criminal
appeal from the Oklahoma Court of Criminal Appeals, the
petitioner claimed that the trial court violated his Sixth
Amendment right to an impartial jury, made applicable to the
states via the Fourteenth Amendment Due Process Clause, by
forcing him to expend one of his peremptory challenges to remove
a venireperson who properly should have been removed for cause.
Id. at 88. The Supreme Court rejected this argument because,
although the trial court erroneously failed to strike the
challenged venireperson for cause, he “was in fact removed and
did not sit.” Id. The Court acknowledged that the petitioner
“was undoubtedly required to exercise a peremptory challenge to
cure the trial court’s error,” id., but nonetheless concluded
that this fact of itself did not establish a constitutional
violation:
[W]e reject the notion that the loss of a peremptory
challenge constitutes a violation of the constitutional
right to an impartial jury. We have long recognized
that peremptory challenges are not of constitutional
dimension. They are a means to achieve the end of an
impartial jury. So long as the jury that sits is
impartial, the fact that the defendant had to use a
peremptory challenge to achieve that result does not
50
mean the Sixth Amendment was violated. We conclude
that no violation of petitioner’s right to an impartial
jury occurred.
Id. (citations omitted); see also Herman v. Johnson, 98 F.3d 171,
174 (5th Cir. 1996), cert. denied, 117 S. Ct. 1262 (1997); United
States v. Prati, 861 F.2d 82, 87 (5th Cir. 1988).
Ross makes clear that, in disposing of Hall’s Sixth
Amendment claim, our inquiry is limited to an evaluation of the
impartiality of the venirepersons who actually served on Hall’s
jury. Hall has claimed that only one of his jurors, Stacey Leigh
Donaldson, was not impartial. Therefore, our determination of
whether Hall was denied his Sixth Amendment right to an impartial
jury begins and ends with a determination of whether the district
court abused its discretion in determining that Donaldson did not
possess “views [that] would prevent or substantially impair the
performance of [her] duties as a juror in accordance with [her]
instructions and [her] oath.” Witt, 469 U.S. at 424 (internal
quotation marks omitted). We conclude that it did not.
Hall claims that the district court should have struck
Donaldson for cause solely because, when asked whether she could
consider the fact that a defendant grew up in a dysfunctional,
abusive family as a mitigating factor, she responded as follows:
I don’t know if I could or not. I would say my family
was not exactly perfect, you know, and might to a
degree be dysfunctional, but that doesn’t give me the
right to go out and commit violent acts.
This statement, particularly when taken in the context of the
rest of Donaldson’s voir dire indicates nothing more than that
the degree of weight that Donaldson would afford family
51
background as a mitigator depended upon the level of abuse the
defendant was forced to endure during childhood. Specifically,
Donaldson stated, “I think upbringing does, you know, to a degree
have a factor, but it[s mitigating effect] would just depend upon
what was brought to light as to what . . . happened to the
person.” Clearly, the district court did not abuse its
discretion in concluding that Donaldson lacked any bias that
would substantially impair her ability to fulfill her oath as a
juror and follow the court’s instructions. Because the district
court did not abuse its discretion in finding that Donaldson was
impartial and because Hall has not alleged partiality on the part
of any of the other individuals who served on his jury, he has
failed to establish a violation of his Sixth Amendment right to
an impartial jury.
2. Statutory Right to Free Exercise of
Peremptory Challenges and Due Process
We have observed that, “[w]hile peremptory challenges, or
the number provided by Fed. R. Crim. P. 24(b) may not be
constitutionally required, it does not follow that a trial
court’s wrongful reduction of the number so provided is not
reversible error on direct appeal.” United States v. Munoz, 15
F.3d 393, 395 n.1 (5th Cir. 1994); see also United States v.
Nell, 526 F.2d 1223, 1229 (5th Cir. 1976) (“[A]s a general rule
it is error for a court to force a party to exhaust his
peremptory challenges on persons who should be excused for cause,
for this has the effect of abridging the right to exercise
peremptory challenges.”). We have further held that “[t]he
52
denial or impairment of the right to exercise peremptory
challenges is reversible error without a showing of prejudice.”
United States v. Broussard, 987 F.2d 215, 221 (5th Cir. 1993);
see also Swain v. Alabama, 380 U.S. 202, 219 (1965); Knox v.
Collins, 928 F.2d 657, 661 (5th Cir. 1991); Nell, 526 F.2d at
1229 (“Since the effect of the [district court’s erroneous denial
of a challenge for cause by the defendant] was to reduce the
number of peremptory challenges allowed the defense, we have no
choice but to reverse.”).
Hall contends that the district court impaired his free
exercise of his peremptory challenges by forcing him to use seven
of his peremptory challenges to exclude venirepersons whom the
district court should have excused for cause. These
venirepersons included Diane Schwartz George, Susan Norman, Vicki
Lane, Judith Dallinger, Joyce McGough, Linda Faye Palmer, and
Randal Davis. We consider Hall’s arguments with respect to each
challenged venireperson in turn.15
15
In a footnote in his initial brief, Hall asserts that
the district court should have struck a number of other
venirepersons for cause. However, he provides no legal analysis
as to why these venirepersons were impermissibly impaired. We
therefore do not consider Hall’s conclusory allegation that the
district court should have stricken them for cause. See FED. R.
APP. P. 28(a)(6) (“The argument must contain the contentions of
the appellant on the issues presented, and the reasons therefor .
. . .”); Bank One, Texas, N.A. v. Taylor, 970 F.2d 16, 27 (5th
Cir. 1992) (“It is established law that matters which have not
been adequately briefed are precluded from consideration on
appeal.”).
53
a. Diane Schwartz George
Hall claims that Diane Schwartz George should have been
struck for cause because (1) she stated in her juror
questionnaire that she supported the death penalty because she
believed it saved taxpayer money and that, as a taxpayer, she did
not “appreciate paying the[] ‘bills’” of “certain criminals”; (2)
during voir dire, she stated that the fact that a defendant had
an abusive childhood was “not something that would have much
bearing” on her sentencing recommendation; and (3) when asked
whether she could impose a life sentence if the government proved
all of the aggravating factors as to which it gave Hall notice
and the defendant established no mitigating factors, she
responded that, “[w]ithout thinking about that more, I think I
would have to say no,” thereby saddling Hall with the burden of
proving through mitigating factors that a sentence of death was
inappropriate. We disagree.
First, while George indicated that, as a general matter, she
favored the existence of the death penalty in part because of
financial considerations, she also expressly stated that she
would be able to base her decision on whether or not to impose
the death penalty in this case solely upon the evidence presented
during the trial. The district court could thus properly
conclude that George was capable of “set[ting] aside [her] own
predilections in deference to the rule of law.” Flores, 63 F.3d
at 1356.
Second, George indicated that she could consider evidence of
54
an abusive childhood as a mitigating factor but that such
evidence might not weigh strongly in her determination of whether
the death penalty constituted an appropriate penalty in a
particular case. Further, she indicated that the degree of
mitigation that such evidence would warrant depends upon the
strength of the evidence of abuse. The Constitution does not
require that a juror be willing to give a mitigating factor any
particular amount of weight; it only requires that the juror
manifest an ability to consider such factors in determining
whether death is an appropriate punishment. See Eddings v.
Oklahoma, 455 U.S. 104, 114-15 (1982) (“The sentencer . . . may
determine the weight to be given relevant mitigating evidence.
But [it] may not give it no weight by excluding such evidence
from [its] consideration.”); Cordova v. Collins, 953 F.2d 167,
172 (5th Cir. 1992) (holding that the defendant could not “make
an arguable constitutional claim” based upon the trial court’s
failure to strike for cause a venireperson who “stated in voir
dire that he would consider evidence of intoxication as a
mitigating circumstance, but did not believe that that factor was
entitled to receive much weight”).
Third, George’s statement that, “without thinking about it
more,” she believed that, in the absence of mitigating factors,
she could not consider life imprisonment as an option if the
government proved an aggravating factor beyond a reasonable doubt
might, considered in a vacuum, indicate bias. However, George
previously stated in response to a question by the government
55
that, even in the absence of mitigating factors, she could
consider the possibility of life imprisonment. Additionally, she
expressly stated that she could follow the district court’s
instructions. Moreover, the answer was given in response to a
rather complex question by defense counsel. Having heard and
viewed the entire voir dire firsthand, the district court
concluded, “based on the whole record, that [George] will
consider all of the things she’s supposed to consider, including
if there’s only aggravating factors presented, whether those
aggravating factors should be enough for a vote for death or
whether they are insufficient for death.” On the basis of a cold
appellate record, we cannot say that this determination
constituted an abuse of discretion.
b. Susan Norman
Hall claims that Susan Norman should have been struck for
cause because (1) she stated during voir dire that, “[i]f a
person takes another life in malice without feeling or remorse
for such act, that person I believe should be punished to the
full extent of the law”; (2) when asked whether a dysfunctional
or physically abusive family would militate against a death
sentence, she responded, “I believe people can overcome things
like that”; and (3) she indicated that she would “lean towards
the death penalty” if the government proved one or more
aggravating factors beyond a reasonable doubt and the defense
offered no mitigating factors. We find these arguments
unpersuasive.
56
First, while Norman indicated that she had a favorable
attitude toward the death penalty, she also indicated that she
would give “honest consideration” to any mitigating factor raised
by the defendant. See Flores, 63 F.3d at 1356 (observing that
the Constitution requires the trial court to exclude only those
jurors “who cannot set aside their own predilections in deference
to the rule of law”). Second, just after her statement that she
generally believed that people can overcome abusive childhoods,
she stated, “I know in a lot of cases they can’t.” Norman’s
statements fall far from indicating that she would not consider
such evidence. Third, the fact that Norman indicated that she
would lean toward the death penalty if the government proved the
existence of aggravating factors beyond a reasonable doubt and
the defendant established no mitigating factors does not of
itself indicate that she would be substantially impaired in her
ability in that circumstance to weigh the evidence and determine
whether death was an appropriate sentence. We therefore conclude
that the district court did not abuse its discretion in denying
Hall’s challenge for cause to Norman.
c. Vicki Lane
Hall claims that Vicki Lane should have been struck for
cause because (1) she demonstrated general hostility to the
prospect of life imprisonment for convicted murderers when she
stated on a jury questionnaire, “I believe life without parole is
a waste and a burden, financially and morally, to our state”; and
(2) she indicated that she did not consider the existence of
57
equally culpable defendants who did not receive the death penalty
to be a mitigating factor. We reject these arguments.
During voir dire, Lane made abundantly clear that she
considered herself fully capable of weighing aggravating and
mitigating factors in determining an appropriate sentence and
that the fact that a defendant had committed premeditated murder
would not close her mind to the possibility of a life sentence.
She also stated that she understood that financial considerations
regarding keeping a defendant in prison for the rest of his life
could not enter her consideration of the appropriate sentence and
that she would follow the court’s instructions fully in serving
as a juror. Moreover, she stated that, upon reaching a verdict
of guilty, she would remain equally open to all sentencing
options. Additionally, the court engaged in an extensive
discussion with Lane regarding whether she could consider the
existence of equally culpable defendants who did not receive the
death penalty as a mitigating factor, and she ultimately stated
that she could consider such evidence. In this regard, the
district court concluded as follows:
It doesn’t seem unreasonable, looking at this totally
in the abstract, that equally culpable defendants would
strike some people as not a very strong mitigating
factor. I think she ended up saying she would consider
it.
Given that the district court had the opportunity to observe
Lane’s demeanor face-to-face, we decline to second-guess its
determination that she was willing to give consideration to the
existence of equally culpable defendants who would not receive
58
the death penalty as a mitigating factor and that she simply did
not consider this to be an especially weighty consideration. The
Eleventh Circuit addressed a similar circumstance in United
States v. Chandler, 996 F.2d 1073 (11th Cir. 1993). In that
case, the government sought the death penalty pursuant to 21
U.S.C. § 848, which is substantially similar to the FDPA in terms
of the procedure utilized in obtaining a sentencing
recommendation from the jury. See Chandler, 996 F.2d at 1079.
During voir dire of the jury venire, a venireperson stated that
she “did not believe that the defendant’s age and past criminal
history would affect her recommendation for or against a death
sentence.” Id. at 1103. In holding that the district court did
not abuse its discretion in nonetheless choosing not to strike
the venireperson for cause, the court observed,
[The venireperson’s] answers do not raise the primary
concern of Morgan; that is, a juror who would
automatically recommend a penalty of death regardless
of any mitigating evidence. The statement that she
would not consider two of the statutory mitigating
factors was made in response to defense counsel’s
questions and in ignorance of the mandates of § 848.
Jurors are not expected to know the law prior to being
properly instructed. More important, [the
venireperson] stated that she would follow the district
court’s instructions in arriving at her decision. The
district court thus did not abuse its discretion in
finding that [the venireperson] would be able to follow
the court’s instructions.
Id. We likewise conclude that the district court did not abuse
its discretion in failing to strike Lane for cause in spite of
her initial statement that she could not consider the existence
of equally culpable defendants who did not receive the death
penalty as a mitigating factor.
59
d. Judith Dallinger
Hall claims that Judith Dallinger should have been struck
for cause because she had been exposed to pretrial publicity
regarding the murder and indicated on her juror questionnaire
form that she had developed an opinion that “the defendant and
his associates committed the crime.” During voir dire, Dallinger
exhibited some equivocation regarding her ability to completely
set aside the pretrial media coverage of the murder to which she
had been exposed. However, when questioned by the court,
Dallinger indicated that, while she was not certain that she
could completely forget what she had heard in the media about the
crime, she could prevent that exposure from playing a role in her
decision-making process. She further agreed absolutely that the
media could be unreliable and that a verdict must be based solely
upon the evidence at the trial. She further indicated that a
year had passed since she had seen media coverage of the murder
and that she could not remember the specifics of the crime or the
names of the alleged perpetrators. Based upon the entire record,
the district court drew the following conclusions regarding
Dallinger’s fitness as a juror in response to Hall’s challenge
for cause:
I overrule the objection, and I want to tell you
mainly why. I’m convinced that when she told me that
she saw that as her job to put [her prior exposure to
media coverage and her opinions] out of her mind for
the purpose of making a decision, she saw that as her
job and she would do it, I think that was the truest
expression. And I do think that given enough
questioning any one of us would -- could be led to
doubt that.
60
I’ve got to make up my mind based on conflicting
answers and use my own credibility assessments. Some I
haven’t felt this way about. This one I do. I think
she would follow the law, and I think she would be able
to disconnect herself from what she may have heard or
seen about the case outside the courtroom. She said as
much, and I believe her.
“A person is not automatically rendered unqualified to serve
as a juror merely because he has been exposed to media coverage
of the charged crime. The issue becomes whether exposure to
media publicity will preclude the individual from returning a
verdict based solely on the person’s application of the law as
stated to the evidence presented.” Bell v. Lynaugh, 828 F.2d
1085, 1093 (5th Cir. 1987); see also Flores, 63 F.3d at 1357. We
decline to second-guess the district court’s determination, made
after a face-to-face credibility assessment and thorough
questioning, that Dallinger could faithfully follow the court’s
instructions and reach a verdict based solely upon the evidence
presented at trial. See Bell, 828 F.2d at 1093 (holding that the
trial court properly declined to strike a venireperson for cause
where, “[w]hen asked whether [a] newspaper article [discussing
the crime at issue in the trial] had influenced her, she stated
‘I guess he is more guilty, if I have to choose [between guilty
and not guilty,]’ and ‘I felt like he was guilty by the paper,’”
but responded negatively when asked by defense counsel, “‘Do you
believe that based on what you have heard, or at least the
impression that’s left of what you have heard, which is natural,
that that would, or could, affect some of your deliberations over
issues of fact?’” (alterations in original)).
61
e. Joyce McGough
Hall claims that Joyce McGough should have been struck for
cause because (1) she demonstrated an extremely negative attitude
toward life imprisonment without the possibility of parole and
stated that she would not impose such a sentence unless the
defense proved to her that it was appropriate, (2) she
demonstrated discomfort with the notion of acquitting a defendant
who was probably guilty even if she entertained a reasonable
doubt about guilt, and (3) she could not consider evidence of a
defendant’s abusive childhood as mitigating. We disagree.
During the government’s voir dire, McGough stated that,
although she did not favor life imprisonment without the
possibility of release as a potential sentence, she could
nonetheless place her personal feelings regarding the sentence
aside and consider it if instructed to do so by the court. She
likewise unequivocally stated that, if she were instructed that
she could return a guilty verdict only upon proof of guilt beyond
a reasonable doubt, she would follow this instruction. McGough
also noted that, when she previously served as a juror in a civil
case, she was able to return a verdict that did not comport with
her own beliefs regarding the fairness of the controlling rule of
law but that was nonetheless dictated by the instructions given
by the court. The district court also asked McGough whether she
could consider the option of life imprisonment without
possibility of release if instructed to do so without the
interference of her personal feelings regarding the sentence, and
62
she responded unequivocally that she could.
As to mitigating factors, while McGough initially indicated
that she did not consider the factors of equally culpable
defendants who did not receive the death penalty or an abusive or
dysfunctional family upbringing to be mitigating, upon further
examination, she stated that she could in good faith follow the
court’s instructions and consider such factors as mitigating if
instructed to do so. Much like Lane, McGough’s testimony
indicates nothing more than that she did not consider these
mitigating factors to be especially compelling; this fact did not
render her an impartial juror. See Eddings, 455 U.S. at 114-15;
Chandler, 996 F.2d at 1103. We therefore conclude that the
district court did not abuse its discretion in concluding that
McGough lacked any biases that would substantially impair her
ability to fulfill her oath as a juror or follow the court’s
instructions.
f. Linda Faye Palmer
Hall claims that Linda Faye Palmer should have been struck
for cause because she stated in her juror questionnaire, and
reiterated during voir dire, that capital punishment was
appropriate for “intentional murder and for repeat violent
criminals,” that she favored more frequent executions, and that
she considered the lethal injection “too good/easy for people
convicted of capital murder.” We find this argument
unpersuasive.
During voir dire, Palmer stated that she would be able to
63
set aside her opinions regarding the death penalty and render a
verdict based solely upon the evidence and the court’s
instructions. She also stated that she could give fair and
honest consideration to mitigating factors in determining an
appropriate sentence. The district court therefore did not abuse
its discretion in concluding that Palmer possessed no biases that
would substantially impair her ability to fulfill her oath as a
juror and follow the court’s instructions.
g. Randal Davis
Hall claims that Randal Davis should have been struck for
cause because (1) he stated in his juror questionnaire that he
believed that the death penalty was an appropriate punishment for
several non-homicide offenses and was appropriate for all
kidnappings resulting in death and (2) he indicated during voir
dire that he would have difficulty giving mitigating weight to
the existence of equally culpable defendants who did not receive
the death penalty. However, we conclude that the record evinces
no abuse of discretion on the part of the district court in
declining to strike Davis for cause.
Davis assured the court during voir dire that he could
follow its instructions and “fairly and sincerely in good faith
consider the aggravating factors and weigh those against the
mitigating factors and decide whether the aggravating factors
were sufficient to justify a sentence of death.” Further, Davis
expressly stated that he could give “good faith, adult
consideration” to the mitigating factor of the existence of
64
equally culpable defendants who did not receive the death penalty
and that he would consider the factor important. We therefore
conclude that the district court did not abuse its discretion in
concluding that Davis was not substantially impaired in his
ability to follow the court’s instructions and fulfill his oath
as a juror.
Because we have concluded that the district court did not
abuse its discretion in declining to strike the venirepersons of
whom Hall now complains for cause, the district court did not
abridge Hall’s statutory right to free exercise of his peremptory
challenges. We therefore necessarily reject Hall’s claim that
the district court violated his right to due process by
arbitrarily abridging his right to free exercise of his
peremptory challenges.
G. Jurors’ Failure to Find Abusive
Childhood as a Mitigating Factor
Hall next complains of the fact that only one of the twelve
jurors found the circumstances surrounding his upbringing to be a
mitigating factor. He contends that the conclusion of the
remaining eleven jurors that the circumstances surrounding his
upbringing did not constitute a factor militating against a death
sentence was clearly erroneous. In support of this contention,
he notes that his mother, Betty Hall, and his older sister,
Cassandra Hall, offered uncontroverted testimony that Hall’s
father, A.J. Hall, beat Hall’s mother throughout their marriage,
which ended in divorce when Hall was fifteen.
As an initial matter, we question whether the jurors’
65
failure to find a particular mitigating factor constitutes a
proper subject of review for this court. The district court in
this case submitted to the jury a special verdict form whereby
they recorded the number of jurors who found each of the listed
mitigating factors. However, this procedure is not required by
the FDPA. Section 3593(d) provides that the jury “shall return
special findings identifying any aggravating factor or factors
set forth in section 3592 found to exist and any other
aggravating factor for which notice has been provided under
subsection (a) found to exist.” 18 U.S.C. § 3593(d). However,
the statute does not require the jury to return special findings
regarding which mitigating factors the jury found to exist or the
number of jurors who found that a particular mitigating factor
existed. See id.
Assuming, arguendo, that we possess the authority to review
the jurors’ special findings regarding mitigating factors, we
must accept the jurors’ factual determinations unless no
reasonable juror could have arrived at the conclusion reached by
the juror in question. Cf. United States v. Robichaux, 995 F.2d
565, 569 (5th Cir. 1993) (noting that, in evaluating a claim that
a jury’s guilty verdict in a criminal trial is supported by
insufficient evidence, the court “inquires whether a reasonable
juror could find the evidence establishes guilt beyond a
reasonable doubt” (internal quotation marks omitted)).
“[D]etermining the weight and credibility of the evidence is
within the sole province of the jury.” United States v. Garza,
66
990 F.2d 171, 173 (5th Cir. 1993) (internal quotation marks
omitted); see also United States v. Kelley, 140 F.3d 596, 607
(5th Cir. 1998).
In support of his claim that he experienced an upbringing
that militated against the imposition of the death penalty, Hall
offered only the testimony of two of his family members, which
the jury was free to believe or disbelieve. Additionally, this
testimony indicated that Hall was not himself the object of his
father’s abuse and that, throughout his childhood, Hall attended
school and church and was properly housed, fed, and clothed. We
cannot conclude that no reasonable juror could conclude that Hall
failed to establish by a preponderance of the evidence that he
experienced a childhood that rendered him in some degree less
deserving of the death penalty than he might otherwise be.
H. Constitutionality of Aggravating Factors
Hall contends that several of the statutory and nonstatutory
aggravating factors that the district court submitted to the jury
to evaluate in determining whether to recommend a death sentence
were unconstitutionally vague, overbroad, or duplicative.
Specifically, Hall challenges the following factors:
(1) the statutory aggravating factor that “the
defendant committed the offense in an especially
heinous, cruel, or depraved manner in that it
involved torture or serious physical abuse of the
victim,” set forth in 18 U.S.C. § 3592(c)(6);
(2) the statutory aggravating factor that the death
67
occurred during the commission of another offense,
set forth in § 3592(c)(1); and
(3) the nonstatutory aggravating factor of “the effect
of the instant offense on the family of Lisa
Rene.”
We consider each of these arguments in turn.
1. Offense Committed in an Especially
Heinous, Cruel, or Depraved Manner
During the penalty phase, one of the aggravating factors
about which the district court instructed the jury was that Hall
“committed the offense in an especially heinous, cruel, or
depraved manner in that it involved torture or serious physical
abuse of the victim, Lisa Rene.” This statutory factor was
accompanied by the following instruction:
To establish that the defendant killed the victim
in an especially heinous, cruel, or depraved manner,
the government must prove that the killing involved
either torture or serious physical abuse to the victim.
The terms “heinous, cruel, or depraved” are stated in
the disjunctive: any one of them individually may
constitute an aggravating circumstance warranting
imposition of the death penalty. “Heinous” means
extremely wicked or shockingly evil, where the killing
was accompanied by such additional acts of torture or
serious physical abuse of the victim as set apart from
other killings. “Cruel” means that the defendant
intended to inflict pain upon the victim in addition to
killing the victim. “Depraved” means that the defendant
relished the killing or showed indifference to the
suffering of the victim, as evidenced by torture or
serious physical abuse of the victim.
“Torture” includes mental as well as physical
abuse of the victim. In either case, the victim must
have been conscious of the abuse at the time it was
inflicted. Furthermore, the defendant must have
specifically intended to inflict severe mental or
physical pain or suffering upon the victim, apart from
killing the victim. “Serious physical abuse” means a
68
significant or considerable amount of injury or damage
to the victim’s body which involves a substantial risk
of death, unconsciousness, extreme physical pain,
protracted and obvious disfigurement, or protracted
loss or impairment of the function of a bodily member,
organ, or mental faculty. Serious physical
abuse--unlike torture--may be inflicted either before
or after death and does not require that the victim be
conscious of the abuse at the time it was inflicted.
However, the defendant must have specifically intended
the abuse apart from the killing.
Pertinent factors in determining whether a killing
was especially heinous, cruel, or depraved include, but
are not necessarily limited to, the following:
infliction of gratuitous violence upon the victim above
and beyond that necessary to commit the killing;
needless mutilation of the victim’s body; senselessness
of the killing; and helplessness of the victim. The
word “especially” should be given its ordinary,
everyday meaning of being highly or unusually great,
distinctive, peculiar, particular, or significant.
Hall contends that the “especially heinous, cruel, or depraved”
aggravating factor is unconstitutionally vague, overbroad, and
improperly allowed the jury to consider the conduct of his
coconspirators in determining whether to impose the death
penalty. We disagree.
First, Hall’s vagueness challenge is foreclosed by United
States v. Jones, 132 F.3d 232 (5th Cir. 1998). In that case,
this court held that a § 3592(c)(6) aggravating factor and
accompanying instruction virtually identical to that at issue
here was not unconstitutionally vague. See id. at 249-50. We
are therefore compelled by principles of intra-circuit stare
decisis to conclude that the instruction in this case is not
unconstitutionally vague. See United States v. Garcia Abrego,
141 F.3d 142, 151 n.1 (5th Cir. 1998) (“It has long been a rule
of this court that no panel of this circuit can overrule a
69
decision previously made by another.” (internal quotation marks
omitted)).
Hall next claims that the instructions accompanying this
aggravating factor rendered it unconstitutionally overbroad.
Specifically, Hall complains that the district court’s definition
of “serious physical abuse” would allow the jury to conclude that
the killing was committed in an “especially heinous, cruel, or
depraved” manner based solely upon the fact that Hall killed Lisa
Rene. Hall bases this argument upon the fact that the district
court defined “serious physical abuse” to include “a significant
or considerable amount of injury or damage to the victim’s body,
which involves a substantial risk of death,” a definition that
includes any killing.
Hall’s argument ignores the remainder of the instruction,
which makes clear that “serious physical injury” contemplates
something more than an amount of injury necessary to cause death.
Specifically, the instruction provides that, in order for a
killing to be especially heinous, cruel, or depraved on the basis
of an infliction of physical abuse, “the defendant must have
specifically intended the abuse apart from the killing.”
Further, the instruction lists a number of factors for the jury
to consider in determining whether the offense was especially
heinous, cruel, or depraved, including “infliction of gratuitous
violence upon the victim above and beyond that necessary to
commit the killing” and “needless mutilation of the victim’s
body.”
70
Hall also argues that the definition of “serious physical
abuse” was suspect because it allowed the jury to consider
conduct that occurred after Lisa Rene lost consciousness.
However, we see no reason why the jury should have been precluded
from considering such conduct because it constituted evidence
that the killing was committed in a depraved manner in that it
provides an indication that Hall “relished the killing.” Cf.
Jones v. Murray, 947 F.2d 1106, 1118 (4th Cir. 1991) (holding
that the Virginia Supreme Court had adopted a constitutionally
limited construction of “vileness” as an aggravating factor where
the state court had held that vileness was evinced by “an
aggravated battery such as mutilation, gross disfigurement, or
sexual assault committed upon a corpse or an unconscious body”).
We therefore conclude that Hall has failed to establish that the
district court’s instructions regarding the “especially heinous,
cruel, or depraved” aggravating factor rendered that factor
unconstitutionally overbroad.
Finally, Hall claims that the district court’s instructions
invited the jury to consider the conduct of Hall’s coconspirators
throughout the course of the kidnapping in concluding that the
killing was “especially heinous, cruel, or depraved.” However,
the wording of the aggravating factor itself focuses upon the
actions of Hall; it provides that the jury must conclude that
“the defendant committed the offense in an especially heinous,
cruel, or depraved manner.” The instructions accompanying the
aggravating factor removed any doubt that the jury was required
71
to focus on Hall’s actions in determining whether this
aggravating factor existed. Specifically, the instructions
provide that, in order for the killing to have involved torture,
“the defendant must have specifically intended to inflict severe
mental or physical pain or suffering upon the victim, apart from
killing the victim.” Similarly, the instructions provide that,
in order for the killing to have involved serious physical abuse,
“the defendant must have specifically intended the abuse apart
from the killing.”
Hall finally argues that the “especially heinous, cruel, or
depraved” aggravating factor was unconstitutionally duplicative
of the factor that the death occurred during the course of a
kidnapping. As the government points out, however, the fact that
the murder occurred during the course of a kidnapping does not of
itself indicate that the murder was “especially heinous, cruel,
or depraved.” Likewise, a murder not committed in the course of
a kidnapping may be “especially heinous, cruel, or depraved.”
Moreover, the fact that Hall raped Lisa Rene prior to killing her
was unnecessary to the jury’s conclusion that the death occurred
during the course of the kidnapping, but was clearly germane to
the determination that Hall committed the offense in an
especially heinous, cruel, or depraved manner. Hall has
therefore failed to demonstrate any constitutional infirmity in
the “especially heinous, cruel, or depraved” statutory
aggravating factor.
72
2. Death During the Course of Another Offense
Hall claims that the statutory aggravating factor that the
death occurred during the commission of another offense, set
forth in § 3592(c)(1), did not narrow the jury’s discretion. We
disagree.
In Lowenfield v. Phelps, 484 U.S. 231 (1988), the petitioner
was found guilty of capital murder on the basis of a Louisiana
statute that defined capital murder to include scenarios in which
“‘the offender has a specific intent to kill or inflict great
bodily harm upon more than one person.’” Id. at 242-43 (quoting
LA. REV. STAT. ANN. § 14:30A(3) (West 1986)). The Louisiana Code
of Criminal Procedure provided that “‘[a] sentence of death shall
not be imposed unless the jury finds beyond a reasonable doubt
that at least one statutory aggravating circumstance exists and,
after consideration of any mitigating circumstances, recommends
that the sentence of death be imposed.’” Id. at 242 (quoting LA.
CODE CRIM. PROC. ANN. art. 905.3 (West 1984)). The sole statutory
aggravating factor found by the jury and upheld by the Louisiana
Supreme Court on direct review was that “‘the offender knowingly
created a risk of death or great bodily harm to more than one
person.’” Id. at 243 (quoting LA. CODE CRIM PROC. ANN. art.
905.4(d) (West 1984)). The petitioner claimed that his death
sentence was unconstitutional because the aggravating factor
justifying its imposition did not narrow the class of persons
eligible for the death penalty in that the statutory aggravating
factor required proof of nothing more than that the defendant had
73
committed capital murder. The supreme court rejected this
argument:
The use of “aggravating circumstances” is not an
end in itself, but a means of genuinely narrowing the
class of death-eligible persons and thereby channeling
the jury’s discretion. We see no reason why this
narrowing function may not be performed by jury
findings at either the sentencing phase of the trial or
the guilt phase.
. . .
Here, the “narrowing function” was performed by
the jury at the guilt phase when it found defendant
guilty of three counts of murder under the provision
that “the offender has a specific intent to kill or to
inflict great bodily harm upon more than one person.”
The fact that the sentencing jury is also required to
find the existence of an aggravating circumstance in
addition is no part of the constitutionally required
narrowing process, and so the fact that the aggravating
circumstance duplicated one of the elements of the
crime does not make this sentence constitutionally
infirm. There is no question but that the Louisiana
scheme narrows the class of death-eligible murderers
and then at the sentencing phase allows for the
consideration of mitigating circumstances and the
exercise of discretion. The Constitution requires no
more.
Id. at 244-46.
Hall attempts to distinguish Lowenfield on the ground that
Louisiana defined capital murder narrowly enough that the
defendant was rendered death-eligible based solely upon his
conviction. He notes that, in finding the petitioner guilty of
capital murder, the jury in that case found that the petitioner
killed more than one person with the specific intent to do so,
and this circumstance alone was sufficient to render him eligible
for the death penalty. Hall notes that conviction of the capital
offense established by 18 U.S.C. § 1201 requires nothing more
74
than proof beyond a reasonable doubt that the defendant committed
a kidnapping in which “the death of any person result[ed],”
regardless of the mental state of the defendant with respect to
the death. He thus notes that conviction under § 1201 does not
of itself render a defendant eligible for the death penalty. See
Enmund v. Florida, 458 U.S. 782, 797 (1982) (holding that the
Eighth Amendment does not permit imposition of the death penalty
on a defendant “who aids and abets a felony in the course of
which murder is committed by others but who does not himself
kill, attempt to kill, or intend that killing take place or that
lethal force will be employed”).
While we agree with Hall that his conviction for violation
of § 1201 did not, of itself, render him death-eligible, this
fact does not render the aggravating factor that the death
occurred during the course of a kidnapping constitutionally
infirm. During the penalty phase, before it could consider this
aggravating factor or any other, the jury was required to find
beyond a reasonable doubt that Hall
(A) intentionally killed [Lisa Rene];
(B) intentionally inflicted serious bodily injury
that resulted in the death of [Lisa Rene];
(C) intentionally participated in an act,
contemplating that the life of a person would be taken
or intending that lethal force would be used in
connection with a person, other than one of the
participants in the offense, and [Lisa Rene] died as a
direct result of the act; or
(D) intentionally and specifically engaged in an act
of violence, knowing that the act created a grave risk
of death to a person, other than one of the
participants in the offense, such that participation in
the act constituted a reckless disregard for human life
and [Lisa Rene] died as a direct result of the act.
75
18 U.S.C. § 3591(a)(2). Hall does not contend (nor can he) that
he was not constitutionally eligible for the death penalty upon
proof beyond a reasonable doubt that he committed a kidnapping
during which death resulted and that, as to the death, Hall acted
with one of the mental states listed above. See Tison v.
Arizona, 481 U.S. 137, 158 (1987) (holding “that major
participation in [a] felony committed, combined with reckless
indifference to human life, is sufficient to satisfy the [Eighth
Amendment’s] culpability requirement” regarding offenses that may
be punishable by death). The fact that the jury was not required
to find that Hall acted with a sufficiently culpable mental state
to render him eligible for the death penalty until the penalty
phase provides no material basis for distinguishing the
aggravating factor at issue here from the one at issue in
Lowenfield. “There is no question but that the [FDPA] narrows
the class of death-eligible murderers and then at the sentencing
phase allows for the consideration of mitigating circumstances
and the exercise of discretion. The Constitution requires no
more.” Lowenfield, 484 U.S. at 246; see also Jones, 132 F.3d at
249 (holding that an aggravating factor based upon 18 U.S.C.
§ 3592(c)(1) was not unconstitutional).16
16
Hall also argues that this case is distinguishable from
Lowenfield on the ground that, under Louisiana’s death penalty
framework, the jury is not required to weigh mitigating factors
against aggravating factors. He argues that, under a weighing
framework such as the FDPA, allowing the jury to consider the
mere circumstance that established the basis of his conviction as
an aggravating factor “would unfairly skew the weighing process
in favor of death.” United States v. McVeigh, 944 F. Supp. 1478,
1489-90 (D. Colo. 1996). In support of this proposition, Hall
76
3. Effect on Lisa Rene’s Family
Hall next argues that the nonstatutory aggravating factor of
“the effect of the instant offense on Lisa Rene’s family” was
unconstitutionally overbroad and vague and that it was
unauthorized by the FDPA. We need not reach this issue because
we conclude that any error in submitting this aggravating factor
to the jury was harmless.
relies upon the following language from Stringer v. Black, 503
U.S. 222, 231-32 (1992):
With respect to the function of a state reviewing court
in determining whether the sentence can be upheld
despite the use of an improper aggravating factor, the
difference between a weighing State and a nonweighing
State is not one of “semantics,” . . . but of critical
importance. In a nonweighing State, so long as the
sentencing body finds at least one valid aggravating
factor, the fact that it also finds an invalid
aggravating factor does not infect the formal process
of deciding whether death is an appropriate penalty.
Assuming a determination by the state appellate court
that the invalid factor would not have made a
difference to the jury’s determination, there is no
constitutional violation resulting from the
introduction of the invalid factor in an earlier stage
of the proceedings. But when the sentencing body is
told to weigh an invalid factor in its decision, a
reviewing court may not assume it would have made no
difference if the thumb had been removed from death’s
side of the scale.
Id. at 231-32. Hall’s reliance upon this language, of course,
begs the question of whether the fact that the death occurred
during the course of a kidnapping is an “invalid factor.” As
indicated supra, we have concluded that the fact that the death
was intentionally committed during the course of a kidnapping is
a factor that may justify imposition of the death penalty. We
likewise conclude that it is a factor that the jury may properly
weigh against mitigating factors in determining whether the death
penalty constitutes an appropriate punishment in a particular
case.
77
The FDPA provides that, in reviewing a death sentence
imposed pursuant to the act, “[t]he court of appeals shall not
reverse or vacate a sentence of death on account of any error
which can be harmless, including any erroneous special finding of
an aggravating factor, where the Government establishes beyond a
reasonable doubt that the error was harmless.” 18 U.S.C.
§ 3595(c)(2). Under a death penalty framework pursuant to which
the sentencer weighs aggravating factors against mitigating
factors in determining whether death constitutes the appropriate
sentence, the consideration of a constitutionally infirm
aggravating factor constitutes harmless error if, beyond a
reasonable doubt, the sentence would have been the same had the
sentencer never considered the invalid aggravating factor. See
Clemons v. Mississippi, 494 U.S. 738, 753 (1990) (noting that
whether “beyond a reasonable doubt . . . the jury’s verdict would
have been the same with or without the [constitutionally infirm]
aggravating circumstance” constituted an appropriate harmless-
error inquiry when evaluating the submission of an improper
aggravating factor under a weighing framework); Wiley v. Puckett,
969 F.2d 86, 91 (5th Cir. 1992) (indicating that, in conducting a
harmless-error analysis of the submission of an improper
aggravating factor under a weighing framework, a “court [may] ask
whether beyond a reasonable doubt the sentence would have been
the same had the vague aggravating circumstance not been injected
into the mix, or the court [may] ask whether beyond a reasonable
doubt the sentence would have been the same had the circumstance
78
been properly defined in the jury instructions”).
Assuming that the nonstatutory aggravating factor of the
effect of the instant offense on Lisa Rene’s family was
unconstitutionally overbroad or vague or that it was unauthorized
by the FDPA, we conclude that the district court’s error in
submitting it to the jury was harmless. In addition to its
determination that the effect of the offense on Lisa Rene’s
family constituted an aggravating factor, the jury also
unanimously found the following aggravating factors: (1) that
Hall intentionally killed Lisa Rene during the course of a
kidnapping; (2) that he killed Lisa Rene in an especially
heinous, cruel, or depraved manner; and (3) that Hall constitutes
a future danger to the lives and safety of other persons. During
the trial, the jury heard extensive evidence indicating that,
during the course of the kidnapping, Hall and his coconspirators
raped Lisa Rene, kept her tied up in a motel room for two days,
forced her on two occasions to walk barefooted and masked through
the woods to the site of her murder, brutally beat her into
unconsciousness with a shovel, and buried her in a grave where
she suffocated. Weighing against these facts and the aggravating
factors that they prompted the jury to find unanimously were four
mitigating factors: (1) “[a]nother defendant or defendants,
equally culpable in the crime, will not be punished by death”;
(2) “[t]he age of the defendant at the time of the offense”; (3)
“[t]he circumstances surrounding the defendant’s upbringing”; and
(4) “[a]ny other aspect of the defendant’s character or
79
background which calls for a sentence less than death.” Of these
mitigating factors, only the first was found by more than one
juror. Given the atrociousness of this crime and the relative
paucity of mitigating factors, we have little difficulty
concluding beyond a reasonable doubt that the jury would have
returned a recommendation that Hall receive a death sentence
regardless of whether it had considered the aggravating factor of
the effect of the offense on Lisa Rene’s family.
This conclusion is bolstered by this court’s recent decision
in Jones, 132 F.3d at 232. In that case, the court concluded
that two of the four aggravating factors found by the jury--“[the
victim’s] personal characteristics and the effect of the instant
offense on [her] family” and “[the victim’s] young age, her
slight stature, her background, and her unfamiliarity with [the
area where the murder took place]”--were unconstitutionally
vague, overbroad, and duplicative. Id. at 250-51. This left two
valid aggravating factors substantially similar to two of the
factors that the jury found unanimously in this case and that we
have previously held pass constitutional muster: “[t]he
defendant . . . caused the death of [the victim], or injury
resulting in the death of [the victim], which occurred during the
commission of the offense of Kidnapping” and “[t]he defendant . .
. committed the offense in an especially heinous, cruel, and
depraved manner in that it involved torture or serious physical
abuse to [the victim].” Id. at 248-50. Weighing against these
aggravating factors were ten mitigating factors, many of which
80
were found by more than one juror.17 The court concluded beyond
a reasonable doubt that the jury would have returned a
recommendation of death even if it had not considered the two
invalid aggravating factors. See id. at 252. Our harmless-error
analysis in this case leads us to the same conclusion.
17
The mitigating factors found by at least one juror in
Jones included the following:
(1) the defendant . . . did not have a significant
prior criminal record [found by six jurors];
(2) the defendant’s capacity to appreciate the
wrongfulness of the defendant’s conduct or to conform
to the requirements of the law was significantly
impaired, regardless of whether the capacity was so
impaired as to constitute a defense to the charge
[found by two jurors];
(3) the defendant committed the offense under severe
mental or emotional disturbance [found by one juror];
(4) the defendant was subjected to physical, sexual,
and emotional abuse as a child (and was deprived of
sufficient parental protection that he needed) [found
by four jurors];
(5) the defendant served his country well in Desert
Storm, Grenada, and for 22 years in the United States
Army [found by eight jurors];
(6) the defendant is likely to be a well-behaved
inmate [found by three jurors];
(7) the defendant is remorseful for the crime he
committed [found by four jurors];
(8) the defendant’s daughter will be harmed by the
emotional trauma of her father’s execution [found by
nine jurors];
(9) the defendant was under unusual and substantial
internally generated duress and stress at the time of
the offense [found by three jurors];
(10) the defendant suffered from numerous
neurological or psychological disorders at the time of
the offense [found by one juror].
Jones, 132 F.3d at 238 n.3
81
I. Denial of Continuance
Hall claims that the district court denied him his rights to
due process and the effective assistance of counsel under the
Fifth and Sixth Amendments by denying his motion for a
continuance to allow his counsel an additional thirty days to
prepare for trial. Proper evaluation of this claim requires the
construction of a brief chronology of events that transpired from
the time of the issuance of the complaint in this case to the
time of trial.
A federal complaint in this matter issued against Hall on
October 26, 1994, and Hall was appointed counsel two days later.
The district court initially set the trial of Hall and his
codefendants for January 3, 1995. A superseding indictment
containing capital charges was returned on November 22, 1994, and
Hall entered a not guilty plea to the superseding indictment on
November 28, 1994. On December 8, 1994, Hall filed a motion for
a continuance, which the district court granted without setting a
new trial date.
On January 6, 1995, the district court held a status
conference at which the government indicated that it would likely
seek the death penalty against Hall. The court also indicated a
preliminary trial date of July 17, 1995. On February 23, 1995,
the government filed its notice of intent to seek the death
penalty against Hall.
On March 9, 1995, the district court granted a sealed motion
by Hall’s appointed counsel to withdraw from the case. On March
82
15, 1995, the district court entered an amended scheduling order
setting Hall’s trial for July 17, 1995. On March 21, 1995, the
district court appointed new counsel, Jeffrey Kearney and Michael
Logan Ware, to represent Hall. On April 6, 1995, the district
court granted Hall’s motion for severance from the trial of his
codefendants and entered a second amended scheduling order
resetting Hall’s trial for October 2, 1995.
On August 2, 1995, Hall filed a motion for a continuance
requesting an additional thirty days for trial preparation on the
ground that one of his attorneys, Jeffrey Kearney, was scheduled
for several trials prior to Hall’s October trial date. The
district court denied the motion on August 10, 1995. Hall
unsuccessfully reurged his motion for a continuance immediately
prior to jury selection and twice during the penalty phase. The
district court allowed Hall to proceed with jury selection with
one attorney present while the other continued to prepare for
trial.
We review a district court’s denial of a motion for a
continuance for an abuse of discretion. See United States v.
Davis, 61 F.3d 291, 298 (5th Cir. 1995). A district court’s
denial of a continuance will warrant reversal only upon a showing
that the denial caused the defendant to “suffer[] serious
prejudice.” United States v. Dupre, 117 F.3d 810, 823 (5th Cir.
1997), cert. denied, 118 S. Ct. 857 (1998); see also United
States v. Scott, 48 F.3d 1389, 1393 (5th Cir. 1995); United
States v. Castro, 15 F.3d 417, 423 (5th Cir. 1994).
83
In determining whether to grant a continuance, the district
court should examine
(1) the amount of preparation time available, (2)
whether the defendant took advantage of the time
available, (3) the likelihood of prejudice from a
denial, (4) the availability of discovery from the
prosecution, and (5) the complexity of the case.
Scott, 48 F.3d at 1393.
In this case, the district court did not abuse its
discretion in concluding that a thirty-day continuance for trial
preparation was not warranted. First, Hall’s second team of
attorneys had over six months in which to prepare for trial.
Second, while we acknowledge that the FDPA creates a somewhat
complex procedural framework and is of fairly recent vintage, our
review of the record provides no indication that this was a case
of exceptional complexity, particularly given that Hall put on no
evidence at the guilt phase of his trial and focused solely on
the penalty phase. Third, while Hall claims that the
government’s discovery in the case was voluminous, he makes no
contention that open and complete discovery was not forthcoming.
Fourth, the district court could properly conclude that prejudice
was unlikely to result from denial of the continuance, given that
Hall’s motion for a continuance indicated no scheduling conflicts
on the part of Michael Logan Ware, Hall’s other appointed
counsel. Further, while Hall’s motion for a continuance stated
that his counsel lacked adequate time to investigate the case
given that many potential witnesses were in Arkansas, on appeal,
he merely makes a general claim that the refusal to grant the
84
continuance denied him due process and the effective assistance
of counsel. Hall’s only specific allegation of prejudice
resulting from the denial of the continuance is the fact that
only one of his appointed counsel was present during the majority
of jury selection. However, our review of the record reveals no
deficiency in the representation that Hall received during this
stage of the trial. We therefore conclude that the district
court’s denial of Hall’s motion for a continuance provides no
basis for reversing the district court’s judgment of conviction
and sentence.
J. Failure to Poll the Jury Regarding
Mid-Trial News Broadcast
Hall claims that the district court abused its discretion in
declining to poll the jury regarding their possible exposure to a
television news broadcast during their deliberations in the
penalty phase of Hall’s trial. The jury began deliberations in
the penalty phase on Friday, November 3, 1995. That evening, the
district court released the jury for the weekend, and
deliberations resumed the following Monday. After the jury
returned to its deliberations on Monday, November 6, 1995, Hall
moved the district court to either poll the jury or declare a
mistrial on the basis of a news broadcast aired on a local
station the night before. The broadcast, in its entirety
approximately three minutes in length, consisted of a thirty-
second segment stating merely that the jury had found Hall guilty
but had not yet completed deliberations regarding punishment
followed by a brief debate between commentators regarding the
85
appropriateness of the death penalty in cases of rape. After
viewing a videotape of the broadcast, the district court denied
both of Hall’s motions.
We review a district court’s decision not to conduct a voir
dire of the jury regarding their possible exposure to mid-trial
publicity for an abuse of discretion. See United States v.
Rasco, 123 F.3d 222, 230 (5th Cir. 1997) (“‘It is for the trial
judge to decide at the threshold whether news accounts are
actually prejudicial; whether the jurors were probably exposed to
the publicity; and whether the jurors would be sufficiently
influenced by bench instructions alone to disregard the
publicity.’” (quoting Gordon v. United States, 438 F.2d 858, 873
(5th Cir. 1971))), cert. denied, 118 S. Ct. 868 (1998). In
United States v. Herring, 568 F.2d 1099 (5th Cir. 1978), this
court held that the district court should grant a voir dire of
the jury on the basis of mid-trial publicity if “serious
questions of possible prejudice” exist. Id. at 1104. The court
went on to hold that the determination of whether such questions
exist requires a two-part inquiry:
A court must first look at the nature of the news
material in question to determine whether it is
innately prejudicial; factors such as the timing of the
media coverage and its possible effects on legal
defenses are to be considered. . . . Second, the
court must ascertain the likelihood that the publicity
has in fact reached the jury. The prominence of the
media coverage and the nature and number of warnings
against viewing the coverage become relevant at this
stage of the inquiry.
United States v. Manzella, 782 F.2d 533, 542 (5th Cir. 1986)
(citing Herring, 568 F.2d at 1104-05).
86
In this case, we conclude that the district court did not
abuse its discretion in declining to voir dire the jury regarding
their possible exposure to the news broadcast. The portion of
the broadcast directly related to Hall’s trial did little more
than recount the procedural posture of the case, and thus was not
in any sense innately prejudicial. See United States v.
Martinez-Moncivais, 14 F.3d 1030, 1037 (5th Cir. 1994) (finding
that publicity carried no potential for prejudice because “the
news media had merely publicized an issue that the jurors had
already been informed of by the judge himself”). The second
segment of the broadcast was potentially more prejudicial.
However, the district court could properly conclude that the
likelihood that the jury was exposed to this portion of the
broadcast was so remote that voir dire was not warranted.
Throughout the guilt phase of Hall’s trial, the district
court repeatedly admonished the jury to avoid media coverage of
the trial, and it reemphasized these instructions during the
penalty phase. It also provided the jurors with redacted
newspapers. Moreover, prior to releasing the jury for the
weekend during its penalty-phase deliberations, the court again
gave the jurors a stern warning regarding the avoidance of media
coverage: “[T]here will be media coverage, and you’ll have to be
very vigilant to avoid newspapers and television and radio, news
coverage . . . .” Given the court’s admonition, it is unlikely
that any of the jurors saw any portion of the broadcast in
question. Moreover, any juror who happened to see the beginning
87
of the broadcast likely would have, pursuant to the court’s
instructions, turned off the television before the prejudicial
portion of the broadcast commenced. In sum, we conclude that the
district court did not abuse its discretion in concluding that
the likelihood that the jury was exposed to the prejudicial
portion of the broadcast was sufficiently low that voir dire of
the jury was not warranted. See United States v. Bermea, 30 F.3d
1539, 1559 (5th Cir. 1994) (noting that “[an] approach [that this
court has] favored [in reducing the likelihood of the jury’s
exposure to prejudicial extrinsic information] is the giving of a
blanket instruction to the jury not to view or listen to any
radio or television news broadcasts or to read any newspapers
except as provided by the court, and then to provide newspapers
with any relevant portions redacted from them”).
K. Admissibility of Hall’s Custodial Statement
Hall contends that the district court erred in denying his
motion to suppress a custodial statement that he made to state
and local law enforcement officials subsequent to his arrest. He
argues that admission of the statement violated his Fifth and
Sixth Amendment rights as well as 18 U.S.C. § 3501. Full review
of these claims requires an overview of the facts surrounding
Hall’s arrest and subsequent detention as they were developed
during the suppression hearing held by the district court.
1. Factual Background
On September 29, 1994, a Texas court issued a warrant for
the arrest of Hall and two of his coconspirators for the
88
aggravated kidnapping of Lisa Rene. That same date, a federal
criminal complaint and arrest warrant were issued charging Hall
with flight to avoid prosecution on the Texas charges in
violation of 18 U.S.C. § 1073.
On September 30, 1994, Hall, accompanied by retained
counsel, surrendered to law enforcement authorities in El Dorado,
Arkansas. Hall was taken before an Arkansas magistrate, who made
a determination that probable cause existed to hold Hall on the
Texas charges. Hall waived extradition and agreed to return to
Texas to face the state aggravated kidnapping charges.
That same day, Hall spoke with Special Agent Garrett Floyd
of the Federal Bureau of Investigation and Detective Jim Ford of
the Arlington Police Department in the presence of his retained
counsel. Before speaking with Hall, Ford read Hall his Miranda18
rights. Floyd testified at the suppression hearing that Hall
told Ford and Floyd that he wished to talk to them in Texas.
Floyd also testified that as he, Ford, and Hall’s retained
counsel left the room, Hall told Floyd, “It wasn’t supposed to be
that way. I’ll talk to you about it when I get to Texas.” Floyd
also testified that after he escorted Hall back to the holding
facility at the jail, Hall stated, “I’ll tell you all about it
when I get to Texas. Come and see me.”
Hall was transported to Texas on October 4, 1994. On
October 5, 1994, he was arraigned on the state kidnapping charge
before a Texas municipal court judge. That afternoon, Ford and
18
See Miranda v. Arizona, 384 U.S. 436 (1966).
89
Floyd came to the Arlington jail, where Hall was being detained,
to interview him. Floyd testified that, when they arrived, Hall
asked what had taken them so long to come see him. Floyd and
Ford read Hall his Miranda rights, secured a written waiver, and
interviewed him for approximately six hours, during which time
Hall made incriminating statements both orally and in writing.
On October 28, 1994, after the federal complaint in this matter
was returned, Hall was formally arraigned before a federal
magistrate judge.
2. Constitutional Claims
Hall first claims that his custodial statement to Floyd and
Ford was inadmissible as substantive evidence against him at his
trial because Floyd and Ford took the statement in violation of
his Fifth and Sixth Amendment rights to counsel. We disagree.
In Edwards v. Arizona, 451 U.S. 477 (1981), the Supreme
Court held that, once the accused asserts his Fifth Amendment
right to counsel and thereby “expresse[s] his desire to deal with
the police only through counsel, [he] is not subject to further
interrogation by the authorities until counsel has been made
available to him, unless the accused himself initiates further
communication, exchanges, or conversations with the police.” Id.
at 484-85. In Arizona v. Roberson, 486 U.S. 675 (1988), the
Court made clear that the Edwards rule is not offense specific.
See id. at 682-84; see also McNeil v. Wisconsin, 501 U.S. 171,
177 (1991); United States v. Carpenter, 963 F.2d 736, 739 (5th
Cir. 1992). Once a suspect invokes his Fifth Amendment right to
90
counsel with respect to one offense, law enforcement officials
may not reapproach him regarding any offense unless counsel is
present. See McNeil, 501 U.S. at 177; Roberson, 486 U.S. at 682-
84, 687; Carpenter, 963 F.2d at 739; United States v. Cooper, 949
F.2d 737, 741 (5th Cir. 1991).
In Michigan v. Jackson, 475 U.S. 625 (1986), the Supreme
Court held that the Edwards prophylactic rule applies when a
defendant invokes his Sixth Amendment right to counsel at an
arraignment and law enforcement officials subsequently initiate
custodial interrogation of the defendant prior to providing him
an opportunity to consult with counsel. See id. at 636 (“Edwards
is grounded in the understanding that the assertion of the right
to counsel is a significant event and that additional safeguards
are necessary when the accused asks for counsel. We conclude
that the assertion is no less significant, and the need for
additional safeguards no less clear, when the request for counsel
is made at an arraignment and when the basis for the claim is the
Sixth Amendment. We thus hold that, if police initiate
interrogation after a defendant’s assertion, at an arraignment or
similar proceeding, of his right to counsel, any waiver of the
defendant’s right to counsel for that police-initiated
interrogation is invalid.” (internal quotation marks and
alterations omitted)).
Unlike the Fifth Amendment right to counsel, the Sixth
Amendment right is offense specific; an invocation of the Sixth
Amendment right to counsel applies only with respect to the
91
charged offense as to which it is invoked. See McNeil, 501 U.S.
at 177. Thus, Roberson’s extension of Edwards’s preclusion of
police-initiated interrogation after the defendant’s invocation
of his Fifth Amendment right to counsel does not apply to an
invocation of the defendant’s Sixth Amendment right to counsel.
A limited exception to this rule exists, however. If an
uncharged offense is “extremely closely related” to or
“inextricably intertwined” with a charged offense, a defendant’s
invocation of his Sixth Amendment right to counsel with respect
to the charged offense will also preclude further custodial
interrogation regarding that uncharged offense. Carpenter, 963
F.2d at 740; see also Cooper, 949 F.2d at 743. We have held that
this is true even when the uncharged offense in question is a
federal offense and the charged offense is a state offense. See
United States v. Laury, 49 F.3d 145, 150 & n.11 (5th Cir. 1995)
(“In this case, the federal charges and state charges were
identical, and therefore the invocation of the Sixth Amendment
right on the state charges was sufficient to invoke the right on
the federal charges.”).
We accept, merely for the sake of argument, the highly
dubious assumption that, by surrendering to law enforcement
officials in the presence of counsel, Hall unequivocally invoked
his Fifth Amendment right to counsel. We likewise assume that,
at the point of his surrender, Hall had also invoked his Sixth
Amendment right to counsel with respect to the Texas aggravated
kidnapping charge and that this charge was so inextricably
92
intertwined with the federal charges of which the jury convicted
Hall in this case that the invocation of his Sixth Amendment
right to counsel as to the Texas charge precluded law enforcement
officials from later initiating interrogation regarding the
federal charges. Accepting all of these assumptions, we believe
that the district court correctly concluded that Hall reinitiated
the interrogation that led to his custodial statement. As noted
earlier, Agent Floyd testified that, in Arkansas, Hall told him
that he wished to speak with law enforcement officials once he
got to Texas and that, once Floyd and Ford arrived at the
Arlington jail to interview Hall, Hall asked him what had taken
them so long to get there. From this testimony, the district
court could properly conclude that Hall, rather than Ford or
Floyd, initiated the interrogation at the Arlington jail. As
such, Hall’s custodial statements did not violate the
prophylactic rules designed to safeguard Fifth and Sixth
Amendment rights. See Edwards, 451 U.S. at 484-85 (holding that,
once the accused asserts his Fifth Amendment right to counsel, he
“is not subject to further interrogation by the authorities until
counsel has been made available to him, unless the accused
himself initiates further communication, exchanges, or
conversations with the police” (emphasis added)); Mann v. Scott,
41 F.3d 968, 975-76 (5th Cir. 1994) (holding that the defendant’s
custodial statement was not rendered inadmissible based upon the
fact that he had invoked his Sixth Amendment right to counsel
prior to making the statement because the defendant had initiated
93
the conversation with law enforcement officials that resulted in
the statement).
3. Section 3501 Claim
Hall next argues that his custodial statement was
inadmissible under 18 U.S.C. § 3501(b) and (c). First, he argues
that his confession was involuntary under the criteria set forth
in § 3501(b). Second, he argues that § 3501(c) renders his
confession inadmissible because he was not brought before a
federal magistrate judge until twenty-eight days after he was
initially taken into custody by Arkansas law enforcement
authorities. We consider each of these arguments in turn.
A confession is voluntary if, “under the ‘totality of the
circumstances,’ the statement is the product of the accused’s
‘free and rational choice.’” United States v. Doucette, 979 F.2d
1042, 1045 (5th Cir. 1992) (quoting United States v. Rogers, 906
F.2d 189, 190 (5th Cir. 1990)). Section 3501(b) provides that
the trial judge should consider the following factors, among
others, in determining whether a defendant voluntarily gave a
confession:
(1) the time elapsing between arrest and arraignment of
the defendant making the confession, if it was made
after arrest and before arraignment, (2) whether such
defendant knew the nature of the offense with which he
was charged or of which he was suspected at the time of
making the confession, (3) whether or not such
defendant was advised or knew that he was not required
to make any statement and that any such statement could
be used against him, (4) whether or not such defendant
had been advised prior to questioning of his right to
the assistance of counsel; and (5) whether or not such
defendant was without the assistance of counsel when
questioned and when giving such confession.
94
18 U.S.C. § 3501(b). However, the presence or absence of any of
these factors is not dispositive of the voluntariness inquiry.
See id.; United States v. Restrepo, 994 F.2d 173, 184 (5th Cir.
1993). The ultimate determination of whether a confession was
voluntary constitutes a question of law, but we accept the
factual conclusions upon which the district court predicates its
voluntariness determination unless they are clearly erroneous.
See id. at 183.
As the district court concluded, Hall was arraigned on the
charge of aggravated kidnapping by a Texas judge before he made
his incriminating custodial statements to Floyd and Ford.19
Further, Hall was advised of his right not to make a statement
and his right to have the assistance of counsel on numerous
occasions before he gave his statement. While Hall was not in
the presence of an attorney when he actually made his statement,
he had at least had an opportunity to consult with an attorney
prior to making it. We acknowledge that Hall may not have been
aware of the gravity of the offense of which he was suspected at
the time of his statement, given that it is unclear whether he
was aware that Lisa Rene’s body had been discovered by the time
he made his statement. However, considering that Hall actually
19
Hall contends that the arraignment before the Texas
municipal court judge did not constitute an “arraignment” within
the meaning of § 3501(b) because it did not comport with the
requirements of Rule 10 of the Federal Rules of Criminal
Procedure. However, Hall has cited no authority for the
proposition that a state arraignment must comport with the
Federal Rules of Criminal Procedure in order to constitute an
arraignment for purposes of the voluntariness calculus
contemplated by § 3501(b).
95
requested the interview at which he made his statement and
further chided Floyd and Ford for taking so long to come and talk
to him, we have little trouble concluding, as the district court
did, that Hall’s confession was “the product of [his] free and
rational choice.” Doucette, 979 F.2d at 1045 (internal quotation
marks omitted).
Hall next claims that his confession was involuntary under
§ 3501(c) because he was not taken before a federal magistrate
judge until twenty-eight days after he was taken into custody in
Arkansas. Section 3501(c) provides as follows:
In any criminal prosecution by the United States or by
the District of Columbia, a confession made or given by
a person who is a defendant therein, while such person
was under arrest or other detention in the custody of
any law-enforcement officer or law-enforcement agency,
shall not be inadmissible solely because of delay in
bringing such person before a magistrate or other
officer empowered to commit persons charged with
offenses against the laws of the United States or of
the District of Columbia if such confession is found by
the trial judge to have been made voluntarily and if
the weight to be given the confession is left to the
jury and if such confession was made or given by such
person within six hours immediately following his
arrest or other detention: Provided, That the time
limitation contained in this subsection shall not apply
in any case in which the delay in bringing such person
before such magistrate or other officer beyond such
six-hour period is found by the trial judge to be
reasonable considering the means of transportation and
the distance to be traveled to the nearest available
such magistrate or other officer.
18 U.S.C. § 3501(c). Hall contends that, because he confessed
prior to his presentment before a federal magistrate judge and
more than six hours after his arrest, § 3501(c) renders his
confession presumptively involuntary.
We note as an initial matter that this court has rejected
96
Hall’s interpretation of § 3501(c) as rendering involuntary any
confession made prior to presentment and more than six hours
after arrest. In United States v. Hathorn, 451 F.2d 1337 (5th
Cir. 1971), we stated,
While Section 3501(c) can be construed to mean that the
only confessions obtained more than six hours after
arrest that can be admitted are those that were
elicited during the time necessary for travel to the
magistrate, we [conclude] . . . that Congress did not
intend to legislate any such arbitrary edict. We
believe the correct interpretation to be that Congress
established six hours as a minimum period which would
pass muster. If, therefore, a longer delay occurs, it
merely constitutes another factor to be considered by
the trial judge in determining voluntariness.
Id. at 1341; see also United States v. Perez-Bustamante, 963 F.2d
48 (5th Cir. 1992). More to the point, however, is the fact that
§ 3501(c) is entirely irrelevant to this case.
In United States v. Alvarez-Sanchez, 511 U.S. 350 (1994),
the Supreme Court held that, “[a]s long as a person is arrested
and held only on state charges by state or local authorities, the
provisions of § 3501(c) are not triggered.” Id. at 358. In
reaching this conclusion, the court reasoned as follows:
Clearly, the terms of [§ 3501(c)] can apply only when
there is some “delay” in presentment. Because “delay”
is not defined in the statute, we must construe the
term “in accordance with its ordinary or natural
meaning.” FDIC v. Meyer, 510 U.S. 471, 476 (1994). To
delay is “[t]o postpone until a later time” or to “put
off an action”; a delay is a “postponement.” American
Heritage Dictionary 493 (3d ed. 1992). The term
presumes an obligation to act. Thus, there can be no
“delay” in bringing a person before a federal
magistrate until, at a minimum, there is some
obligation to bring the person before such a judicial
officer in the first place. Plainly, a duty to present
a person to a federal magistrate does not arise until
the person has been arrested for a federal offense.
See Fed. Rule Crim. Proc. 5(a) (requiring initial
97
appearance before a federal magistrate). Until a
person is arrested or detained for a federal crime,
there is no duty, obligation, or reason to bring him
before a judicial officer “empowered to commit persons
charged with offenses against the laws of the United
States,” and therefore, no “delay” under § 3501(c) can
occur.
Id. at 357-58; see also United States v. Romano, 482 F.2d 1183
(5th Cir. 1973) (providing that Federal Rule of Criminal
Procedure 5(a)’s requirement that an officer making an arrest
“take the arrested person without unnecessary delay before the
nearest available federal magistrate . . . applies only to
arrests made by or for federal officials and does not apply to
arrests made under state law for state offenses” (citations
omitted)).
At the time of his confession, Hall was in custody on state
charges. He surrendered to Arkansas law-enforcement authorities
in response to the Texas warrant, and Arkansas authorities
detained him on the basis that probable cause existed to believe
that he committed the crime described in that warrant. The Texas
municipal court judge arraigned him solely on the state charge.
The fact that a federal complaint and warrant had been issued
charging Hall with flight from prosecution at the time that he
was taken into custody does not change the fact that Hall was in
custody solely on state charges. See United States v. Watson,
591 F.2d 1058, 1062 (5th Cir. 1979) (holding that § 3501(c) did
not apply until a defendant who was being held in custody by
state officials on a state charge of bank robbery was taken into
federal custody even though a federal warrant had issued based on
98
the same offense prior to the defendant’s arrest by state
officials).
Hall argues, however, that federal and state authorities
were working in tandem in investigating Hall and that the
circumstances surrounding his arrest and detention thus
constitute an exception to the general rule that § 3501(c) and
Rule 5 of the Federal Rules of Criminal Procedure do not apply to
an individual in custody solely on state charges. In Alvarez-
Sanchez, the Supreme Court observed that,
[a]lthough we think proper application of § 3501(c)
will be as straightforward in most cases as it is here,
the parties identify one presumably rare scenario that
might present some potential for confusion; namely,
the situation that would arise if state or local
authorities, acting in collusion with federal officers,
were to arrest and detain someone in order to allow the
federal agents to interrogate him in violation of his
right to a prompt federal presentment. Long before the
enactment of § 3501, we held that a confession obtained
during such a period of detention must be suppressed if
the defendant could demonstrate the existence of
improper collaboration between federal and state or
local officers.
Alvarez-Sanchez, 511 U.S. at 359. The record reveals no such
improper collaboration in this case. As the district court
concluded, “[t]here is little, if any, evidence to suggest that
[Hall] was being held by the state solely to permit in-custody
interrogation by federal officials without compliance with Rule 5
or § 3501(c).” Indeed, Agent Floyd testified, and the district
court found, that, at the time Hall made his custodial statement,
Floyd was not even aware of the issuance of a federal warrant or
complaint against Hall for flight from prosecution.
We see no reason to disturb the district court’s factual
99
conclusion that the record in this case reflects the existence of
nothing more than “routine cooperation between local and federal
authorities,” which is “wholly unobjectionable.” Alvarez-
Sanchez, 511 U.S. at 360. We therefore reject Hall’s contention
that § 3501(c) rendered his confession inadmissible as
substantive evidence against him.
L. Additional Review Under § 3595(a)
In addition to imposing a duty upon the court of appeals to
“address all substantive and procedural issues raised on the
appeal of a sentence of death,” the FDPA also imposes a duty upon
this court to “consider whether the sentence of death was imposed
under the influence of passion, prejudice, or any other arbitrary
factor and whether the evidence supports the special finding of
a[] [statutory] aggravating factor.” 18 U.S.C. § 3595(c)(1). We
have found nothing in the record indicating that the jury’s
recommendation of a death sentence was motivated in any degree by
passion, prejudice, or any other arbitrary factor. Further, as
noted in Part II.H.3, supra, in connection with our harmless-
error analysis of the district court’s submission of the
nonstatutory aggravating factor of the effect of the offense on
Lisa Rene’s family, the record contains ample evidence from which
the jury could conclude beyond a reasonable doubt that the death
occurred during the commission of a kidnapping, the aggravating
factor set forth in § 3952(c)(1), and that Hall killed Lisa Rene
in an especially heinous, cruel, or depraved manner, the
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aggravating factor set forth in § 3592(c)(6).20
III. CONCLUSION
For the foregoing reasons, we AFFIRM the district court’s
judgment of conviction and sentence.
20
Hall objects to the order of this court permitting him
to file only a 100-page brief. We have allowed Hall to file a
brief containing twice the normally applicable maximum number of
pages and conclude that he was not denied due process or the
effective assistance of counsel by not allowing him to file an
even longer brief. See FED. R. APP. P. 28(g). We therefore
decline to consider the arguments that Hall asserts in an
appendix to his initial brief. Cf. Conkling v. Turner, 18 F.3d
1285, 1299 n.14 (5th Cir. 1994) (“Attorneys cannot circumvent the
fifty-page limit of Federal Rule of Appellate Procedure 28(g) by
incorporating by reference a trial memorandum.”); Yohey v.
Collins, 985 F.2d 222 (5th Cir. 1993) (declining to consider
arguments in other pleadings that the appellant attempted to
incorporate by reference in a brief already in excess of the 50-
page limit).
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