News and Insights

Does the State or the Defense have the Burden of Proof?

 - 14th Court of Appeals (Houston) 2011

Carlos Arias was observed speeding by a police officer and pulled over. Arias was unable to provide proof of financial responsibility (proof of insurance), when asked by the police officer. Arias went to trial in the municipal court of record and after the close of State’s case-in-chief, Arias claimed that there were statutory exceptions to the requirement to establish financial responsibility and that the State had not negated them.  He appealed his conviction to the County Criminal Court at Law.

Generally, when a penal statute includes an exception as part of the statute itself, the State must negate the existence of the exception in the indictment of the offense and prove beyond a reasonable doubt that the defendant or defendant’s conduct does not fall within the exception. Failing to negate an exception is the same as failing to allege an essential element of the offense and renders the indictment void. However, when an exception is in a separate section from the provision that states the offense, it is not essential for the State to negate the exception. This is different from an exception and called a defense, which must be raised by the defendant.

An "Exception" or a "Defense"

The key distinction is who has the burden of proof—an exception means the prosecution must prove beyond a reasonable doubt or the defendant should be acquitted; a defense means a defendant bears the initial burden to produce some evidence that supports the defensive theory. Once the defendant produces such evidence, the State then bears the ultimate burden of persuasion to disprove the defense beyond a reasonable doubt.  So, to be clear, the defense does not bear the "burden of proof," but only a burden to produce some evidence of the defensive theory.  The burden then shifts to the state to disprove the defense.

The Court of Appeals found that no Texas court has determined whether the State must negate the exceptions to the financial responsibility requirement as an element of the offense or whether the exceptions are defenses that must be raised by the defendant. The Court of Appeals looked to the statute in the Transportation Code and decided if exceptions or defenses are listed. To do this they decided whether they are a necessary part of the definition or a description of the offense.

The Court first looks to the main code of “Requirement of Financial Responsibility.” They then found in a separate subsection, “Exceptions to Financial Responsibility,” which Arias relies on. The code only states that a person commits an offense if the person operates a motor vehicle in violation of the “Requirement of Financial Responsibility” section, but the exceptions are not mentioned.

The court finds that because they are not mentioned in the offense, the exceptions are therefore not a necessary part of the definition or description of the offense. This means that these are not exceptions that the State must negate, but merely defenses that the defendant has the option to bring evidence in to prove. Additionally, the State is not generally required to negate as an element of the offense matters “peculiarly within the knowledge of the defendant.” Here, these exceptions are things such as the character of the car, such as older than 25 years old. The court holds that under most circumstances, the defendant would be more likely than the State to know whether one of the exceptions applies.

This can be absolutely crucial for building your defense. An exception can get you acquitted if the State doesn’t prove beyond a reasonable doubt, whereas a defense is merely a chance to persuade the judge or jury. It appears that the key deciding factor is whether the “exceptions” are listed with the main code or are in a separate subsection.

Contrary to television portrayals, most criminal cases never reach trial. While it is difficult to put a number of it, I would say that 90 to 95% of criminal cases are resolved by dismissal or plea bargain. Our Fort Worth criminal defense attorneys put the interests of the client first and will always pursue a dismissal and sometimes attempt to reach a favorable plea deal with the prosecutor as an alternative to the uncertainty of trial.  But in some occasions, a trial is the only way to go. What follows is a recent case opinion from the Texas Court of Criminal Appeals regarding a plea bargain situation gone wrong.

Rodriguez v. State (Texas Court of Criminal Appeals 2015)

On advice from counsel, Israel Rodriguez rejected a ten-year sentence plea bargain. Rodriguez was convicted and received eight life sentences.

Rodriguez filed for a new trial based on ineffective assistance of counsel; he believed his attorney's advice regarding the plea offer was wrong. Rodriguez asked that the State be required to re-offer the ten-year deal.

The judge granted a new trial and ordered the State to re-offer the deal. The judge proceeded to reject the deal.

After denying the ten-year deal, the judge informed Rodriguez he could withdraw his guilty plea and go to trial or accept a 25-year sentence. Rodriguez rejected the 25-year sentence and filed a recusal motion, arguing that the judge had demonstrated prejudice. The judge recused, and a new judge was assigned.

Rodriguez filed a motion to require the State to re-offer the ten-year deal. The new judge said the original judge's recusal had "wiped the slate clean," including the ten-year plea offer, but he would accept a new agreement if one were presented. The state offered a plea deal of 25 years, which Rodriguez accepted. The judge accepted the plea agreement and executed the judgments of conviction.

Rodriguez argued on appeal that he was entitled to the original ten-year offer and the court was required to accept it. The court of appeals considered three factors: (1) whether Rodriguez would have accepted the original offer; (2) whether the State would have been likely to withdraw the offer; and (3) whether the judge would have likely accepted the agreement.

The court of appeals concluded Rodriguez had suffered inadequate representation. The court's solution was for the State to re-offer the ten-year deal and have a judge who had not recused herself accept or reject the deal. The court did not agree that the judge was required to accept the ten-year deal. The case was remanded for the State to re-offer the deal.

The State filed for review of the court of appeals' decision, alleging four errors:

(1) The voluntarily recusal should not have been considered.

(2) Nothing in the record supported the possibility of the original judge accepting the ten-year deal.

(3) The second judge should not have been required to order the State to re-offer the ten-year deal.

(4) The judgment of conviction should not have been reversed.

The CCA considered the same three factors considered by the court of appeals. Although Rodriguez's convictions were vacated, he was still entitled to a determination of whether he had received effective counsel. The CCA agreed with the court of appeals that Rodriguez had been harmed by following his attorney's advice in rejecting the offer. No evidence suggested Rodriguez would have rejected the deal. The State was not likely to withdraw the offer because the passage of time had made the victims' testimony at trial unreliable.

The CCA said the only question was whether the first judge would have likely accepted the ten-year deal. No intervening circumstances would have given the judge a basis to reject the deal. However, Rodriguez did have an extensive criminal history, and the police reports for his charges were particularly damning. But nothing in the record indicated the judge would have rejected the ten-year deal if it had been presented to her prior to the trial. The CCA thus rejected the State's second allegation of error.

The State agreed the first judge would have likely accepted the ten-year deal prior to trial, but it argued the voluntary recusal was irrelevant. No evidence indicated any prejudice against Rodriguez. Requiring the State to re-offer the ten-year deal and then rejecting it were proper rulings and did not require recusal. On the State's first allegation, the CCA said, the court of appeals had erred.

The CCA sided with the State on its third allegation, finding Rodriguez had received exactly what he requested--a new trial with a clean slate and a decision on a plea agreement by a judge. The second judge was not obligated to give Rodriguez what the first judge had already given—consideration of the ten-year deal. Therefore, there was no requirement that the State re-offer the ten-year deal. The CCA did not consider the fourth allegation because its decisions on the first three allegations made the fourth issue moot. The CCA reinstated the 25-year sentence offered by the State, agreed to by Rodriguez, and accepted by the second judge.

An individual facing criminal charges will be advised by his Fort Worth criminal defense attorney regarding whether to accept the deal. Although the decision is ultimately up to the defendant, bad advice that ultimately leads to a worse outcome than the deal offered may present an opportunity for a new trial based on ineffective assistance of counsel.

Failure to Obtain Medical Help for an Illegal Alien Leads to Enhanced Sentencing for Transporter

United States v. Muniz (5th Circuit, 2015)

In August 2010, Demi Muniz planned to drive a group of illegal immigrants from Houston to Los Angeles. Just before the trip, one of the passengers appeared lethargic and dehydrated. Muniz contacted the passenger’s wife in Mexico, informing the wife that her husband was ill. The wife told Muniz that her husband was diabetic and needed to go to a hospital. Muniz decided against taking the passenger to the hospital, instead continuing the journey. Along the drive, the passenger began shivering and sweating, and eventually became unresponsive. Muniz dropped the unresponsive passenger off at a rest stop, where he was found dead the next day.

At trial, the jury found that Muniz placed the passenger’s life in jeopardy, and that he died as a result of Muniz’s conduct. Muniz was convicted of conspiracy to transport and conceal illegal aliens, resulting in a person’s death. Incorporating sentencing enhancements, she was sentenced to 85 months in prison, followed by a two-year term of supervised release. Muniz appealed to the United States Court of Appeals for the Fifth Circuit, challenging the district court’s imposition of sentencing enhancements that called for a tougher punishment.

The language of the sentencing enhancements used by the district court, stated the enhancements be used in sentencing for actions that “intentionally or recklessly creat[ed] a substantial risk of death or serious bodily injury” and “caus[ed] another person’s death.”

First, Muniz argued that the district court’s imposition of the enhancements was improper because the manner in which she was transporting the passengers—riding in a van—was not dangerous and because she did not know that the passenger was gravely ill. The Court of Appeals disagreed, saying that reckless conduct includes “abandoning persons in a dangerous…area without adequate food, water, clothing, or protection from the elements.” Here, Muniz abandoned the passenger in an area without medical care.

The Court of Appeals distinguished this case from an earlier decision in United States v. Gomez-Cortez, where a sentencing enhancement did not apply because a passenger who died was not transported in a dangerous manner, and the mere fact that the defendant had been told that the passenger looked ill did not put her on notice that the passenger could not travel at all. 34 F. App’x 152 (5th Cir. 2002). Muniz likely knew the passenger was ill by his dehydrated appearance, by displaying symptoms of being hot and cold, and by the phone call with the passenger’s wife, stating the passenger was diabetic and needed medical attention.

Second, the Court of Appeals stated that district courts properly apply the sentencing enhancement if the defendant’s conduct is a “but-for cause” of a person’s death, consisting of both affirmative acts and omissions. United States v. Ramos-Delgado, 763 F.3d 398, 401-02. Muniz decided not to seek medical treatment for the passenger, even though, as the district court determined, she was within close range of several medical facilities and that according to expert testimony, the passenger likely could have survived with medical care.

The Court of Appeals affirmed the district court’s application of the sentencing enhancements because Muniz’s failure to get medical aid for the passenger under these circumstances placed the passenger at a substantial risk of death or serious injury and caused his death.

A Federal criminal defense attorney in Fort Worth will understand the federal sentencing guidelines and sentencing enhancements for a variety of cases. As you can see from the case above, distinguishing previous case law precedent from the case above had a direct impact on establishing the criteria for sentencing enhancements for the defendant, sentencing enhancements that determined the length and severity of punishment. This essay does not replace legal counsel or advice.

Hearsay Statements Admitted in Child Sexual Assault Trial. Affirmed on Appeal by Fort Worth Court.

Gonzales v. State - 2nd Court of Appeals (Fort Worth) 2015

Pablo Gonzales, Jr. was convicted on one count of aggravated sexual assault of a child and three counts of indecency with a child. He was sentenced to life in prison by the jury for the sexual assault case and twenty years imprisonment in each of the indecency cases.

The defendant lived in a house where drug use was rampant and people would come in, often leaving their children for him to watch.  One of the witnesses against him, given the pseudonym T.P., was the mother of two of the girls that claimed to be sexually abused by defendant. Generally, hearsay testimony, testimony from one person about what another person says, cannot be admitted into evidence against a defendant. Here, the trial court applied an exception to the hearsay rule for an "outcry witness." An outcry witness is the first person a child tells about abuse that the child received and this testimony by the outcry witness can be admitted.

The defendant in this case argued that the outcry witness testimony should not be allowed into court because T.P. admitted that her memory was fuzzy as a result of her drug use. Defendant also argued that T.P.’s testimony satisfied few, if any, of the nonexclusive factors the court considers in determining the reliability of an outcry.

When Can an Outcry Witness Statement by Admitted Over Defense Objection?

Article 38.072 of the code of criminal procedure provides a mechanism that requires the trial court to determine on a case-by-case basis if outcry witness testimony reaches the level of reliability required to be admissible as an exception to the hearsay rule.

Indicia of reliability that the trial court may consider [under article 38.072] include (1) whether the child victim testifies at trial and admits making the out-of-court statement, (2) whether the child understands the need to tell the truth and has the ability to observe, recollect, and narrate, (3) whether other evidence corroborates the statement, (4) whether the child made the statement spontaneously in his own terminology or whether evidence exists of prior prompting or manipulation by adults, (5) whether the child’s statement is clear and unambiguous and rises to the needed level of certainty, (6) whether the statement is consistent with other evidence, (7) whether the statement describes an event that a child of the victim’s age could not be expected to fabricate, (8) whether the child behaves abnormally after the contact, (9) whether the child has a motive to fabricate the statement, (10) whether the child expects punishment because of reporting the conduct, and (11) whether the accused had the opportunity to commit the offense.

The defendant claimed that the outcry lacked reliability, specifically because of T.P.’s drug use and generally because it was short, lacked detail, and was uncorroborated. The 2nd Court of Appeals (Fort Worth) agreed that the statement was short, but pointed out that it was also very clear, specific, and unequivocal. A trial court’s decision to admit evidence will not be disturbed on appeal absent a clear abuse of discretion. A trial court has only abused its discretion if its decision falls outside the zone of reasonable disagreement.

The 2nd Court of Appeals went on explain that even if they concluded that the trial court abused its discretion in admitting the testimony, such error would not rise to the level of constitutional error and should only be reversed if the error affected the Defendant’s substantial rights. The Court noted the victim testified at trial, and her testimony both corroborated T.P.’s testimony regarding the outcry and provided greater detail.  For this reason, the Court held that even if the trial court abused its discretion by admitting the outcry witness testimony, the error would be harmless.

Even if someone admits to their memory not being completely accurate due to prominent drug use, their outcry testimony can still be brought into court if the person who made the statements to them originally, corroborates them. This may make it extremely hard to overturn a conviction with the Court of Appeals because even if outcry testimony may be weak or lacks reliability, the Court will likely not overrule the case so long as others corroborate the testimony. This may also make it extremely hard to keep out any outcry statements.

Felony Murder Conviction is Affirmed on Appeal

Gardner v. State (14th Court of Appeals, Houston 2015)

Herbert Gardner and his ex-girlfriend dated for four years and lived together in his ex-girlfriend’s home. When the couple broke up on November 2, 2012, Gardner moved into a hotel. On December 23, 2012, his ex-girlfriend was found murdered in her home and Gardner was found nearby, badly injured. On the way to the hospital Gardner stated to the police officer, “I should not have shot her.” A jury found Gardner guilty of an elevated charge of capital murder, and the trial court sentenced him to mandatory life in prison.

Gardner appealed to the Court of Appeals, arguing (1) that the evidence was insufficient to prove that he murdered his ex-girlfriend in the course of committing a burglary, an aggravating factor that elevates a murder charge to a capital offense with a heavier punishment; and (2) that the evidence was insufficient to prove that when he entered his ex-girlfriend’s home, he committed or intended to commit a felony, theft, or assault, which also carries a heavier punishment in Texas. The Court of Appeals disagreed with both of Gardner’s arguments, affirming his conviction.

First, the language of the statute under which Gardner was convicted states, “A person commits burglary if, without the effective consent of the owner, he: (1) enters a building or habitation with intent to commit a felony, theft or an assault, or, (2) enters a building or habitation and commits or attempts to commit a felony, theft or an assault.”

Gardner argued that he had an equal right to possession of the property and could not be found to have entered without his ex-girlfriend’s consent because he had lived in the home for four years, that the neighbors saw him in the home on a regular basis, and that he used the residence as home address on his driver’s license. The State argued that Gardner lost his right to possession before the murder because he moved into a hotel, his name was not on the property deed, that the front window of the home was broken and blood-stained with Gardner’s blood, that his vehicle registration reflected a different address, and that there were not any items that suggested a male was living in her home at the time of the murder.

In assessing the sufficiency of evidence, the Court of Appeals must view all evidence in the light most favorable to the verdict to determine whether the trial court could have found the elements of the offense beyond a reasonable doubt. Here, the Court of Appeals agreed with the State, that there was indeed sufficient evidence for a rational jury to conclude that Gardner no longer lived with his ex-girlfriend and no longer had consent to enter the home at the time of the murder. Because the evidence was sufficient to prove the unlawful entry element of burglary, the Court of Appeals overruled Gardner’s first argument.

Second, the language of the statute under which Gardner was convicted states, “A person commits capital murder if he intentionally or knowingly causes an individual’s death while in the course of committing or attempting to commit burglary.” Gardner argued that the State wrongly used his murder to establish the murder requirement for capital murder and to establish the felony component of the underlying burglary. The State argued that the Court of Criminal Appeals—the court of last resort for criminal matters in Texas— has held in several cases that a murder occurring after a break-in can indeed serve as both the basis for the murder charge and the underlying felony required for burglary.

Under the legal doctrine of Stare Decisis, courts must follow the precedent established by the higher court from cases the higher court has heard from previous years. In criminal appeals, these prior cases serve as an example for lower courts to follow when making decisions about upholding or overturning convictions. Here, the Court of Appeals overruled Gardner’s second argument because the court is bound to follow precedent set forth by the Court of Criminal Appeals. The State could use Gardner’s murder to establish the murder requirement for capital murder and to establish the felony component of the underlying burglary in order to elevate the murder to capital murder, which incurs a higher penalty in Texas.

In criminal appeals, the court is primarily responsible for ensuring that proper form and procedures are followed in the trial courts, rather than determining the facts of the case. The trial court is tasked with determining and recording the facts of the case, to be used later on appeal if necessary.

A criminal defense attorney in Fort Worth will understand the subtle nuances of the statutory language found in the Texas Code of Criminal Procedure and in legal doctrines, such as Stare Decisis. As you can see from the case above, statutory language and legal doctrine have a direct impact on establishing the elements of a crime, elements that may determine the severity of the penalty in the punishment phase of a trial. This essay does not replace legal counsel or advice.

Free Consultation with a Dedicated Team of Fort Worth Criminal Defense Attorneys

Barnett Howard & Williams PLLC is a proven and dedicated criminal defense law firm. With offices in Fort Worth, Keller, and Grapevine, our attorneys stand ready to defend your liberty and your future. Call our office at (817) 993-9249 to arrange a Free consultation of your criminal case today. Do not wait until it is too late.