Darryl Darmont SHIRLEY, Petitioner-Appellant, v. James A. YATES, Warden; Attorney General of the State of California, Respondents-Appellees.
No. 13-16273.
United States Court of Appeals, Ninth Circuit.
Argued and Submitted Nov. 20, 2014. Filed Nov. 20, 2015. As Amended March 21, 2016. Rehearing and Rehearing En Banc Denied March 21, 2016.
807 F.3d 1090
VACATED AND REMANDED FOR RESENTENCING.
On habeas, Shirley properly raised a number of claims. Because we reverse the district court‘s denial of relief on his claim under Batson v. Kentucky, 476 U.S. 79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1986), we need not reach his other claims.
Jennifer M. Sheetz (argued), Mill Valley, CA, for Petitioner-Appellant.
Barton Bowers (argued), Deputy Attorney General; Kamala D. Harris, Attorney General of California; Dane R. Gillette, Chief Assistant Attorney General; Michael P. Farrell, Senior Assistant Attorney General; Michael A. Canzoneri, Supervising Deputy Attorney General, Sacramento, CA, for Respondents-Appellees.
Before: SIDNEY R. THOMAS, Chief Judge, and STEPHEN REINHARDT and MORGAN CHRISTEN, Circuit Judges.
OPINION
REINHARDT, Circuit Judge:
I. Introduction
Darryl Shirley was convicted of the first-degree burglary of an unoccupied residence and the second-degree robbery of a sandwich shop (he took $80 from the cash register). In neither instance was anyone harmed, and no weapons were involved in either offense. Shirley was sentenced to two consecutive 25-years-to-life terms in prison for the burglary and robbery, and also four consecutive five-year sentence enhancements based on prior convictions.
On habeas, Shirley properly raised a number of claims. Because we reverse the district court‘s denial of relief on his claim under Batson v. Kentucky, 476 U.S. 79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1986), we need not reach his other claims.
II. The Batson Framework
Batson sets out a three-step burden-shifting framework for evaluating claims of discriminatory peremptory strikes. At Step One, the defendant bears the burden to “produc[e] evidence sufficient to permit the trial judge to draw an inference that discrimination has occurred.” Johnson v. California, 545 U.S. 162, 170, 125 S.Ct. 2410, 162 L.Ed.2d 129 (2005). Once the defendant makes out a prima facie case, at Step Two “the burden shifts to the State to explain adequately the racial exclusion by offering permissible race-neutral justifications for the strikes.” Id. at 168, 125 S.Ct. 2410 (internal quotation marks omitted). Finally, at Step Three, “[i]f a race-neutral explanation is tendered, the trial court must then decide ... whether the opponent of the strike has proved purposeful racial discrimination.” Id. (internal quotation marks omitted).
III. Procedural History
1. State Trial Court
At Shirley‘s trial, a 60-person venire was empaneled and sworn. Of that number, five veniremembers were black. (Shirley, too, is black.) Of those five, all but one were removed from the venire—the remaining one, who was among the twelve originally summoned to the box, was seated on the jury. First, J.H. was dismissed by the court for cause, due to illness. Next, L.L. was peremptorily struck by the state. Then, K.A. was dis-
[L.L.] had a misdemeanor conviction in her background, related to fraud, which may have reflected, and in fact, did reflect on her moral turpitude.
[R.O.] ostensibly appeared to be an acceptable juror. She was young, although she did express an interest in being on the panel.
But except for [R.O.]‘s possible improper excusal, I don‘t see any pattern of exercise of improper peremptory challenges by the People.
So I find there is no prima facie case or demonstration of an improper exercise of excusal of peremptory challenges against African Americans, especially in light of the fact that we have one original juror, [ ], still on the jury, or at least potential jury, who is one of the original 12 who were summoned in the jury box, who is still present.
2. State Court of Appeal
The California Court of Appeal affirmed the trial court‘s Batson ruling, relying on People v. Box, 23 Cal.4th 1153, 1188, 99 Cal.Rptr.2d 69, 5 P.3d 130 (2000). See People v. Shirley, 2007 WL 1302512 at *4 (Cal.Ct.App. May 4, 2007). The Court of Appeal quoted Box stating that “when the record ‘suggests grounds upon which the prosecutor might reasonably have challenged the jurors in question, we affirm.‘” It concluded that there were two race-neutral reasons for dismissing L.L.: the prior misdemeanor conviction for fraud, and her possible familiarity with the defendant and one of his relatives. It also concluded that R.O.‘s “age and corresponding lack of life experience” was a legitimate race-neutral reason for striking her. The state court added that any inference of discrimination with respect to the strike of R.O. was undermined by the fact that three young white veniremembers who “demonstrated a lack of life experience” were also struck. “[T]he record also shows,” the court noted, “that the individuals who were selected to sit on the jury were reasonably intelligent and had a good deal of work and/or life experience.” The state court observed that while another veniremember—one who was seated, as Juror Number 3—“was a senior at ‘Sac State‘—who lived with his parents, he also worked as the manager of a gym, a position that involves decision making.” Finally, it speculated that the prosecutor might have been seeking a “strategically balanced” jury, such that “one young juror on the panel was sufficient.” The state court‘s reasons were not based on any representations made by the prosecutor but were inferred by the court from its examination of the jurors’ qualifications as contained in the record.
3. District Court
Shirley filed a federal habeas petition. The district court concluded that the state
A. Evidentiary Hearing
At the evidentiary hearing, the court heard testimony from the deputy district attorney who prosecuted Shirley eight years earlier, Alan Van Stralen. Van Stralen testified that he had a “general approach to jury selection,” which was “well entrenched” prior to Shirley‘s trial, Van Stralen‘s fifty-fourth. Van Stralen was asked to describe his “criteria for identifying desirable or undesirable jurors:”
Things that I would like to see in a prospective juror would include intelligence, I guess, first of all. And I would determine that through how the person presents themselves in court, the manner in which they speak, the type of employment they‘ve held. A college education is definitely a plus as far as that goes.
I like to see jurors who have life experience. That‘s quite important to me. And I, in that regard, would look at things such as—well, a person basically who has been around, done some things, who‘s been in different situations, met different people.
In that regard I, again, would put some significance on a college education because that does get a person out into the world and new environments and meeting new people and encountering new situations and introduces them to analytical thinking.
I also would look to and place a lot of emphasis on a person‘s employment. If a person has employment—first of all I like to have people who are employed and have a good track record of employment. But in particular what I like to see is people who have jobs that would involve a significant amount of responsibility or a significant amount of decision making.
I also like jurors who, to the extent I can ascertain this, would appear to have a personality that would mesh with other people, somebody who would get along with other people since for a successful prosecution I‘m looking for 12 people to be able to agree.
So I like to get people on my jury who are likely to be able to get along with others and do well in the deliberation process.
Actually, I also look kind of overall—has this person led a responsible life. And, you know, I might, again, look to the type of employment they‘ve had, what their family history is, were they raised in a family, do they have any run-ins themselves with the law. That would not be a favorable aspect as far as I‘m concerned.
And on a similar note, if somebody had a favorable—particularly favorable attitude towards law enforcement, that would be a plus for me because a person like that, I believe, would trust the system enough that if the evidence was
there to prove guilt, they would not hesitate to vote for guilt.
Because he listed primarily positive factors, Van Stralen was asked to elaborate on the one “potentially negative” factor he had mentioned. He explained that he considered crimes committed “well into somebody‘s adulthood,” or those involving “dishonesty,” such as theft, perjury, or fraud, to be “deal breaker[s].” Asked whether there were “other negative qualifications“; he said, “[p]robably just the opposite of the things that I just went through as far as what I would look for in a juror.”2
Van Stralen went on to explain that he had “a practice of making contemporaneous notes when selecting a jury” on “small yellow Post-its.” He stated, however, that he “[did] not retain those notes,” suggesting that “[o]ther people might be better at taking notes than I am,” and explaining that he did not “find ... a lot of time to write down detailed notes during jury selection,” but rather “jot[ted] down just brief little comments or words ... a shorthand.” “I don‘t believe those notes would be useful to me years down the road,” Van Stralen testified.3
Although Van Stralen did recall the facts of Shirley‘s case, and did recall picking a jury, he did not recall the reasons he exercised his strikes. In addition, he did not keep the notes he made during voir dire, and the prosecution‘s case file “was no longer available“—“[i]t had possibly been destroyed ... after a period of time.”
Based on his review of the voir dire transcript,4 Van Stralen testified that he struck L.L. for three reasons. First, because L.L. stated that Shirley looked familiar to her, it was possible that she “might have a bias in favor of [him],” or “might be a bit more reluctant than a person who didn‘t know or didn‘t find the defendant familiar to convict because she might believe that she would see him around again.” Second, L.L. had recently met—and was considering conducting business with—a man who may have been related to Shirley. Third, L.L. had been convicted of a crime as an adult, which “would lead [Van Stralen] to believe she
As for R.O., Van Stralen indicated that he struck her “simply because she lacked life experience“: she was “very young ... three years out of high school,” and worked at a Walgreens pharmacy developing photographs. “She had not gone off to college. Apparently she‘s living and working in the same area she grew up in.” Van Stralen explained that he “think[s] people who lack that kind of life experience don‘t make particularly good jurors. They don‘t have a perspective upon which to make sound decisions.”
When asked, for purposes of a comparative juror analysis, about a white veniremember of approximately the same age he allowed to be seated, Van Stralen told the court that the veniremember—Juror Number 3—was desirable because he was “going to college[,] [which] shows some initiative [and] a certain degree of intelligence generally speaking.” Juror Number 3 was also a manager at a gymnastics facility, which showed Van Stralen that he had “significant responsibilities ... and would be involved in decision-making.” “[H]e had something going for him ... [and] did have life experience ... [and] a perspective that I think would be valuable as a juror.” Van Stralen also noted that he “put some consideration on the fact that” Juror Number 3 had a “favorable view of law enforcement,” reflected by the fact that he twice called the police to report vandalism or burglaries at the elementary school across the street from his house, and that his sister and brother-in-law were employed by police departments.
Van Stralen said that he had a “very, very high degree of confidence” that the reasons he gave in his testimony at the hearing were his actual reasons for exercising the contested strikes at trial. Critically, however, he was asked on direct “whether the reasons you dismissed the two jurors ... were based on a specific memory you have or rather were consistent with a standard practice you had in jury selection or something else?” Van Stralen responded:
[B]est way I can answer is after reviewing the transcript, knowing how I approach jury selection, knowing that I have done so in the same fashion for many, many years, including during this period of time, I can say again, without reservation, that those were my reasons because those are reasons that I would dismiss a juror in similar circumstances in any case.
When he reiterated the same on cross, he was asked:
Q. Because that‘s your general practice, your general approach?
A. Yes.
Q. And not because you remember [R.O.] or [L.L.]?
A. Correct. I don‘t remember....
During a brief oral argument following Van Stralen‘s testimony, Shirley‘s counsel argued that Van Stralen “may have had good reasons as he stated, but the real reasons are at the heart of this inquiry. And I don‘t think we can find those because he has no recollection of the actual real reasons.” Counsel for the state disputed the legal—but not the factual—assertion, stating that “the evidence before
B. Ruling
After the evidentiary hearing, the district court ruled orally. First, the district court determined that the testimony offered by Van Stralen was not sufficient to satisfy the state‘s burden of production at Batson Step Two. In so doing, the district court answered a question left open in Paulino v. Harrison (Paulino II), 542 F.3d 692, 701 n. 10 (9th Cir.2008), and at the center of this case: “whether a list of standard considerations, absent affirmative evidence that they were used in the particular case in question, is competent evidence of a prosecutor‘s actual reasons for striking certain jurors.” The district court concluded “that you have to have actual evidence of actual reasons,” and that a court cannot “infer it from practices and apply it to a particular case.”
Proceeding on to Batson Step Three, the district judge observed:
[R]egardless of that finding the court has to go on and make an actual determination whether there was racism involved.
So you‘ve then got the presumption that‘s created by the prima facie case. You have ... no evidence one way or the other, as I consider it to be evidence, on [S]tep 2. And the question is, based on that, can I infer discrimination.
[I]t is clear that the burden stays on the person ... wishing to challenge the strike....
As to Shirley‘s prima facie case, the district court drew a distinction between the number of minority veniremembers struck in Paulino II—there, five out of six strikes were challenged as discriminatory—and the number at issue in Shirley‘s case (only two). The district judge then went on to consider whether the reasons the prosecutor gave for striking L.L. “ma[de] sense” to him. He concluded that her removal from the venire “just strikes me as entirely reasonable“; “even putting aside the misdemeanor conviction for what appears to be some sort of dishonesty related offense,” he said, “I think a prosecutor would be very likely to strike somebody” who might have recognized the defendant and might be doing business with a relative of his. He continued: “And even without the witness‘s explanation, once I put it together in my mind, it just seems plausible. And, you know, that‘s what he said, and it makes sense.”
The strike of R.O. was, by contrast, “very close.”6 Rather than assessing whether Van Stralen‘s stated reason held up—whether it was the actual reason R.O. was struck—the district judge compared her responses to Juror Number 3 and drew a distinction between them:
She did not, in fact, go to college so that distinguishes her from the other juror who was going to Sacramento State. So they, were about the same age, but she was obviously less educated. I can sort of see prosecutors wanting somebody who has got an education.
On the basis of his conclusion that R.O.‘s lack of higher education could have been a
IV. Analysis
1. Batson Step One
In Johnson v. California, 545 U.S. 162, 166-67, 169-73, 125 S.Ct. 2410, 162 L.Ed.2d 129 (2005), the Supreme Court held that the California Supreme Court had been wrong to require Batson claimants to show a “strong likelihood” of discrimination at Step One; rather, Johnson reiterated that a defendant makes out a prima facie case if he produces evidence sufficient to support a “reasonable inference” of discrimination.
As the district court correctly concluded, the California Court of Appeal acted contrary to clearly established law when it “based its prima facie analysis on the discredited, pre-Johnson, standard articulated by the California Supreme Court in People v. Box....” The state court held that “when the ‘record suggests grounds upon which the prosecutor might reasonably have challenged the jurors in question, we affirm‘” the trial judge‘s ruling that the defendant failed to make out a prima facie case. Based on just such speculation, it found that Shirley had not met his burden at Batson Step One.
We have made clear, however, that Box imposes too high a burden, and that state court decisions applying it do not warrant deference under AEDPA, because they are “contrary to ... clearly established Federal law.”
We likewise agree with the district court that, contrary to the state court‘s conclusion, Shirley did raise an inference of discrimination more than sufficient to meet his “minimal” burden at Batson Step One. Id. at 1071. The fact that a prosecutor peremptorily strikes all or most veniremembers of the defendant‘s race—as was the case here—is often sufficient on its own to make a prima facie case at Step One. See Paulino v. Castro (Paulino I), 371 F.3d 1083, 1091 (9th Cir.2004) (“[A] defendant can make a prima facie showing based on statistical disparities alone.“). In this case, two-thirds of the black veniremembers not removed for cause were struck by the prosecutor. We have found an inference of discrimination in cases where smaller percentages of minority veniremembers were peremptorily struck. Fernandez v. Roe, 286 F.3d 1073, 1078 (9th Cir.2002) (56%); Turner v. Marshall (Turner I), 63 F.3d 807, 812 (9th Cir.1995) (56%), overruled on other grounds by Tolbert v. Page, 182 F.3d 677, 685 (9th Cir.1999) (en banc); accord United States v. Alvarado, 923 F.2d 253, 255 (2d Cir.1991) (57%).7
Additionally, Shirley‘s prima facie case is supported by a comparison9 between one of the black veniremembers who was struck, R.O., and a white veniremember who was seated, Juror Number 3. Both were in their early twenties and lived at home with their parents. There was no readily apparent reason to strike R.O.—as the district court noted, she “said she was eager to be a juror and would follow the law faithfully [and] also indicated that she had experience making ‘tough calls.‘” While Juror Number 3 had attended but had not (yet) graduated from college, and had a job that may have involved somewhat more responsibility, they were certainly similar enough—apart from race—to help support an inference of discrimination at Batson Step One.10
Strikingly, the trial court itself appears to have recognized as much, as it described the strike of R.O. as “possibl[y] improper.” It failed to find a prima facie case of discrimination, however, because it erroneously believed that Shirley was required to show a “pattern of exercise of improper peremptory challenges....” Cf. Fernandez, 286 F.3d at 1078 (“A pattern of exclusionary strikes is not necessary for finding an inference of discrimination. See United States v. Vasquez-Lopez, 22 F.3d 900, 902 (9th Cir.1994) (‘[T]he Constitution forbids striking even a single prospective juror for a discriminatory purpose.‘)“).
2. Batson Step Two
Just as in Paulino II, in Shirley‘s case the state court applied the wrong legal framework and erroneously ended its analysis after Step One; it never reached Steps Two and Three of Shirley‘s Batson claim. As a result, the prosecutor was not afforded the opportunity to provide his actual reasons for striking the veniremembers in question, and there could be no reasoning or conclusion as to this critical question to which we could defer under AEDPA. Paulino II, 542 F.3d at 698-99 n. 5; see also Turner v. Marshall (Turner II), 121 F.3d 1248, 1254 n. 2 (9th Cir.1997) (same). Hence, the decision we review here is that of the district court, which conducted the inquiry that must be held at Step Two of Batson.
The district court properly ordered an evidentiary hearing to take testimony from Van Stralen as to his reasons for the strikes of L.L. and R.O. Because this evidence—necessary to adjudicate Steps Two and Three of Shirley‘s Batson claim—was absent from the state court record due not to any lack of diligence on Shirley‘s part but rather to the state court‘s error,
“[S]tep Two is an opportunity for the prosecution to explain the real reason for [its] actions.” Yee v. Duncan, 463 F.3d 893, 899 (9th Cir.2006). As we explained in Crittenden I, 624 F.3d at 957-58:
In the usual case, the Batson analysis takes place during or shortly after jury selection. In those cases, the prosecutor offers a contemporaneous explanation for the strike at step two. Where time has passed since the jury selection, the prosecutor may offer an explanation based on his present recollection of his reasons for striking the juror. Where, as here, time has passed and the prosecutor no longer has a present recollection of his or her reasons for striking the juror, the state may offer an explanation based on circumstantial evidence.
What counts as competent circumstantial evidence of the prosecutor‘s reasons for exercising peremptory strikes is an open question: “Our circuit has not addressed whether a list of standard considerations, absent affirmative evidence that they were used in the particular case in question, is competent evidence of a prosecutor‘s actual reasons for striking certain jurors.” Paulino II, 542 F.3d at 701-02 n. 10. Because this question straddles the fairly muddy line between Batson‘s Steps Two and Three, we address it in two parts. First, we consider whether such evidence is sufficient to meet the state‘s burden of production at Batson Step Two.11 In the next section, we address a distinct question: how much weight such evidence should be given in assessing whether the defendant has car-
At Step Two, the state must both (1) assert that specific, race-neutral reasons were the actual reasons for the challenged strikes, and (2) offer some evidence which, if credible, would support the conclusion that those reasons were the actual reasons for the strikes.12 Id. at 699 (”Batson‘s step two requires evidence of the prosecutor‘s actual reasons for exercising her peremptory challenges.“).
This is a burden of production, not persuasion. In Purkett v. Elem, 514 U.S. 765, 767, 115 S.Ct. 1769, 131 L.Ed.2d 834 (1995) (per curiam), the Supreme Court made clear that the state‘s race-neutral reason need not be “persuasive, or even plausible,” in order to suffice at this stage. Thus, whether the evidence in support of the reason is credible or even whether it “makes sense” is to be determined at Step Three. Id. at 768-69, 115 S.Ct. 1769; see also Crittenden I, 624 F.3d at 958 (“[R]egardless of how the state offers its race-neutral justification, it is not the task of the district court at step two to assess the truth of the explanation.“).
In this respect, it is necessary to bear in mind that the state must offer some evidence of “a reason that does not deny equal protection.” Purkett, 514 U.S. at 769, 115 S.Ct. 1769. In Johnson, the Supreme Court affirmed that for the purposes of Batson, “[i]t does not matter that the prosecutor might have had good reasons ...; what matters is the real reason [the veniremembers] were stricken.” 545 U.S. at 172, 125 S.Ct. 2410 (quoting Paulino I, 371 F.3d at 1090 (alterations omitted)). An equal protection violation has occurred if a black veniremember was actually struck for a race-related reason, even if he could have been struck for a race-neutral reason. Hence, the state must offer evidence at Step Two which is probative of the actual reason that a prosecutor exercised the strike at issue. Evidence that a good reason for a strike existed is insufficient in itself at Step Two.
Our cases reflect that voir dire transcripts may be relevant to the Step Two inquiry in three different ways.13 First, a voir dire transcript (like contemporaneous notes) may be used to refresh a prosecutor‘s recollection; upon reviewing it, he may recall the actual reasons for his strikes. This sort of refreshed recollection is clearly sufficient for the purposes of Step Two. See, e.g., Turner II, 121 F.3d at 1251. Second, as in the case before us, a prosecutor may review a voir dire transcript and still remain unable to remember his reasons for striking the particular veniremembers at issue. He may then infer reasons from the transcript and assert them, but that assertion must be supported by circumstantial evidence that tends to show that the asserted reasons were in fact the actual reasons for the strikes. Such circumstantial evidence may consist of the prosecutor‘s jury selection notes or, as is the case here, his typical or
We hold that in the case before us the circumstantial evidence falls in the second of the three categories discussed above, and that the state has met its burden of production at Batson Step Two. Where the prosecutor who made the strike has no memory (refreshed or otherwise) of his reasons for doing so, but asserts on the basis of his review of the transcript that a race-neutral reason was in fact the reason for the strike, and then supports that assertion with his testimony that his general jury selection approach would have motivated him to strike the veniremember for that reason, such circumstantial evidence is sufficient for the limited purpose of Step Two. Van Stralen‘s testimony that he employed a certain jury selection approach, and that employment of that approach would have motivated the strikes he exercised at Shirley‘s trial, is relevant (to whatever degree) to the question whether his asserted reasons for striking L.L. and R.O. were his actual reasons for doing so.16 The inferential link resulting from evidence of a particular practice or approach
There are some limits to this proposition, however. In Paulino II—which falls in the third category outlined above—the state claimed that the prosecutor had “testified as to her ‘general principles’ of jury selection”17; but, we concluded that because she admitted that she “was not sure which of those general principles she considered in selecting the [] jury,” her “statement that she generally sought fair jurors but did not really know what she considered in this particular trial” amounted to “nothing more than a general assertion that her actions were not racially motivated.”18 Id. The prosecutor supported her guesswork with inferences anyone might (or might not) draw from the voir dire transcript, but, in failing to relate her particular considerations to the strikes she exercised, offered no evidence—direct or circumstantial—that would lend support to an inference that the speculative reasons were her actual reasons.19
Our holding is consistent with our analysis in Crittenden I. We held there that the district court had not erred in accepting evidence of the prosecutor‘s general approach at Step Two. 624 F.3d at 952-53, 958. However, Crittenden I did not settle the question left open in Paulino II, because the prosecutor also offered contemporaneous notes that strongly supported the contention that the asserted reasons were the actual reasons. Id.
In sum, Van Stralen‘s testimony was sufficient to meet the state‘s burden of production at Step Two because he credibly testified to a jury selection approach—persuasive or unpersuasive, reasonable or unreasonable, plausible or implausible, see Purkett, 514 U.S. at 767, 115 S.Ct. 1769—that supported his asserted reasons for his challenged strikes. Nothing more was required at this stage of the proceeding.
3. Batson Step Three
At Step Three, we hold that the district judge clearly erred in denying
“[A] defendant opposing a peremptory challenge bears the ultimate burden of proving the challenge was improper[,]” id. at 895; he must carry this burden by a preponderance of the evidence, Paulino II, 542 F.3d at 702. Along with the statistical evidence showing that black veniremembers were disproportionately struck, we weigh the persuasiveness of the state‘s evidence as to the prosecutor‘s proffered, race-neutral reasons, and any other relevant factors.22
At Step Three, we hold that the district court clearly erred in finding that Shirley had not met his burden of showing discrimination by a preponderance of the evidence with respect to the strike of R.O., a question the district judge repeatedly said was “very close.” We so hold not because we disbelieve the testimony offered by Van Stralen, but because, although Van Stralen‘s approach to jury selection falls within a category of circumstantial evidence sufficient to meet the burden of production at Step Two, the particular showing the state made here provides too little support for its contention that Van Stralen actually struck R.O. for the reason posited.
A.
Circumstantial evidence of a prosecutor‘s general jury selection approach is adequate at Step Two, but it deserves little if any weight at Step Three when it describes only a vague general preference as to the type of jurors the prosecutor finds most desirable—e.g., “things that I would like to see in a prospective juror“—rather than the types of veniremembers the prosecutor customarily strikes. Nor does the fact that the absence of such ideal qualifications is a negative factor tell us much about a prosecutor‘s practices with respect to actually making strikes.
Circumstantial evidence regarding a prosecutor‘s approach to jury selection in cases in which the prosecutor does not recall the specific challenge or the reasons therefor suffers generally from several weaknesses. First, the evidence is not contemporaneous—i.e., generated during jury selection.23 The Supreme Court has emphasized the importance of the contemporaneous airing of justifications, which helps to avoid the “risks of imprecision and distortion from the passage of time.” Miller-El v. Cockrell (Miller-El I), 537 U.S. 322, 342-43, 123 S.Ct. 1029, 154 L.Ed.2d 931 (2003). A prosecutor asked to produce reasons on the spot will not have time to review a transcript to select a reason that is supported by the record (and was consistently applied). Van Stralen testified about his approach eight years after the fact, and after reviewing the reasons the state court had decided were warranted by the record and would have been good enough. Second, prosecutorial approach evidence is not specific to the particular trial and particular strike at issue. Batson itself makes clear that lest the promise of equal protection become a “vain and illusory requirement,” a prosecutor must offer not “general assertions” but rather a “neutral explanation related to the particular
Third, even if the circumstantial evidence credibly demonstrates that a general jury selection approach was actually employed at a given trial, it is possible that another extraneous factor—race or something else—motivated a particular strike, at least in substantial part. As we explained in Crittenden I, “the proper analysis at Batson‘s step three is whether the peremptory strike was ‘motivated in substantial part’ by race. If it was so motivated, the petition is to be granted regardless of whether the strike would have issued if race had played no role.” 624 F.3d at 958-59 (quoting Cook v. LaMarque, 593 F.3d 810, 815 (9th Cir.2010)). When a prosecutor testifies that he recalls striking a black veniremember because he prefers jurors who are older and this veniremember was young, he is implicitly attesting that he recalls striking the veniremember for that reason and not for others such as race. But when the prosecutor does not remember the strike, evidence that he prefers older jurors tells us only that this consideration may have played some role in his selection decision, and says next to nothing about whether other, illicit, factors also motivated the strike.
As this case illustrates, approaches to jury selection fall along a spectrum: at one end are practices of regularly striking veniremembers who have a certain objectively-defined characteristic; at the other end are vague preferences for or against jurors with more or less of a particular subjective attribute. For example, a prosecutor may testify that if a veniremember has not graduated from high school, he will usually strike him on that basis alone—a regular practice—or he may testify that he likes jurors who “got a good education“—a mere preference for an experience only vaguely defined. Weaker still is evidence of a general preference for jurors with an undefined characteristic or set of experiences, such as that which the prosecutor described here—“life experience.”
Because evidence of a prosecutor‘s approach to jury selection logically supports his asserted reason for a strike only to the extent we can conclude that it motivated a particular strike, only a practice of regularly striking veniremembers with specific traits, characteristics, or similar disqualifying features or attributes, can ordinarily provide persuasive evidence that an asserted reason for a strike was the actual reason for its exercise.24 If a prosecutor simply says that he generally prefers educated jurors or jurors with adequate job experience but does not remember the strike itself, it will be impossible to ascertain—as we must—whether this preference played any role in the decision to strike a particular veniremember and, even if it played some role, whether it was a determinative one. Nor can we determine with any degree of confidence whether the strike would have been exercised if the veniremember had been white instead of black. In short, a general approach to what constitutes preferred jurors, standing alone, affords us no way to determine with respect to a particular strike the importance of the fact that the veniremember had not attended college and instead proceeded straight to the business of earning
The value of the juror-preference type of evidence is at its nadir when the prosecutor expresses his preference in terms as startlingly vague and subjective as Van Stralen‘s stated desire for jurors “who ha[ve] been around, done some things, ... been in different situations, met different people.” Such a preference tells us only whether the juror meets all the prosecutor‘s highest aspirations, not how to assess the value of the “things” a given venireperson has “done,” nor, most important, in what circumstances the absence of these “things” would cause the prosecutor to exercise a strike. Van Stralen‘s testimony that he is certain—though he cannot recall—that a particular veniremember lacked such “things,” and that he struck her for that reason, constitutes an inference he drew that amounts to little more than “rank speculation“—an inference that is not supported by probative evidence, circumstantial or otherwise. Paulino II, 542 F.3d at 699.
The sorts of characteristics likely to warrant a regular practice of striking veniremembers—and to serve as persuasive circumstantial evidence—are those least likely to be pretextual; such practices will ordinarily be concrete and motivated by a patently legitimate purpose. Regular practices of striking veniremembers are likely to apply to clear-cut cases that pose little risk of post-hoc rationalization.25 Moreover, it is likely that it will be evident from a review of the transcript whether such practices are consistently applied. By contrast, it will often be impossible to tell whether and to what extent a general preference motivated a particular strike, especially a vague preference, such as one for jurors with “life experience.”26 This difficulty in telling
With the distinction in mind between a practice of striking veniremembers with particular specific attributes and a preference for jurors with general types of experiences, we turn to evaluating the circumstantial evidence Van Stralen offered in the district court.
B.
Van Stralen gave two reasons for striking L.L.: her criminal conviction and her possible acquaintance with the defendant and a relative of his. He testified that in striking L.L., he followed a regular practice because an adult criminal conviction was a “deal breaker.” The transcript shows that L.L. was convicted of a crime as an adult—a clear and specific factor on the basis of which Van Stralen consistently exercised strikes. Hence, the circumstantial evidence of his regular practice provided significant support for the conclusion that Van Stralen struck L.L. because of her conviction. Although we need not decide here the validity of L.L.‘s strike, it provides a clear contrast to the strike of R.O.
The preference Van Stralen expressed, for “jurors who have life experience ... well, a person basically who has been around, done some things, who‘s been in different situations, met different people,” is far from describing a regular practice with regard to strikes and is, to the contrary, extremely vague. That Van Stralen “like[s] to see jurors who have life experience” cannot in itself support the conclusion that he struck R.O. for that reason. It is far from evident from the transcript that R.O. had so little life experience that this preference was a significant, much less determinative, factor in Van Stralen‘s decision to strike her27 and he did not tor is motivated to a substantial degree by racial bias.
It is true (and most unfortunate) that Batson is not designed to root out implicit bias, as Justices Breyer and Marshall, along with one of our colleagues in the Northern District of Iowa, have discussed in some depth. See Miller-El v. Dretke (Miller-El II), 545 U.S. 231, 267-68, 125 S.Ct. 2317, 162 L.Ed.2d 196 (2005) (Breyer, J., concurring) (citing Batson, 476 U.S. at 106, 106 S.Ct. 1712 (Marshall, J., concurring)); Mark W. Bennett, Unraveling the Gordian Knot of Implicit Bias in Jury Selection: The Problems of Judge-Dominated Voir Dire, the Failed Promise of Batson, and Proposed Solutions, 4 Harv. L. & Pol‘y Rev. 149 (2010). However, the risk of implicit bias is acutely relevant when considering circumstantial evidence of the sort at issue here, because a prosecutor‘s jury selection approach offers no support at all for the state‘s case if it is not consistently employed in a race-neutral fashion.
Notes
[A]n invidious discriminatory purpose may often be inferred from the totality of the relevant facts, including the fact, if it is true, that the [classification] bears more heavily on one race than another. If a prosecutor articulates a basis for a peremptory challenge that results in the disproportionate exclusion of members of a certain race, the trial judge may consider that fact as evidence that the prosecutor‘s stated reason constitutes a pretext for racial discrimination. 500 U.S. 352, 363, 111 S.Ct. 1859 (quoting Washington v. Davis, 426 U.S. 229, 242, 96 S.Ct. 2040, 48 L.Ed.2d 597 (1976)). If an inference of discrimination can be drawn when a prosecutor testifies that he struck a particular veniremember on a basis which, if applied universally, would result in disproportionate strikes of minority veniremembers, that same inference is inescapable when a prosecutor informs the court
C.
The comparative juror analysis does not aid the state‘s case; actually, the comparison between R.O. and Juror Number 3, on which the district court so heavily relied, cuts in Shirley‘s favor. The purpose of comparative juror analysis is largely to test for consistency. If a prosecutor states that his reason for striking a veniremember was that she had been convicted of a crime, and that he has a practice of striking all veniremembers with criminal convictions, it is easy to determine whether any of the jurors permitted to serve also had criminal records. When, however, the prosecutor merely states that he believes he struck a veniremember because he has a preference for jurors with “life experience,” and that upon his review of the transcript it looks to him like she had less of it than another juror he permitted to serve, the comparison is less probative.
that he in fact does have a consistent practice of striking veniremembers on that basis.
The comparative juror analysis here shows that a white juror with a very similar level of “life experience” was seated. Van Stralen explained his reason for striking R.O. by identifying indications in the transcript of her limited “life experience,” focusing largely on her youth and also emphasizing that she had not left home. Juror Number 3 was approximately the same age and likewise had not left home. Although Van Stralen stated that Juror Number 3 was enrolled in college at “Sac State” and worked as a gym manager while R.O. had not taken college courses and worked as a photography technician at a pharmacy, these differences were, for purposes of Batson, minor.28 Moreover, R.O. explained that she was enthusiastic about serving and would readily follow the evidence, while Juror Number 3 said that he preferred not to serve and did not have the ability to follow the trial with his full attention. As in Miller-El II, there were “strong similarities as well as some differences.” There will of course always be at least some differences because even very similar “potential jurors are not products of a set of cookie cutters.” 545 U.S. at 247 & n. 6, 125 S.Ct. 2317. Here, the differences were slight and actually favored R.O. They do not support the state‘s claims.
V. Conclusion
Our opinion addresses a narrow set of Batson cases in which the prosecutor cannot actually remember the reason why he struck the veniremembers. In such cases, we hold that if a prosecutor testifies both to his general jury selection approach and
Shirley‘s prima facie evidence of discrimination was met with only a lengthy statement that Van Stralen “liked to see jurors who have life experience.” His vague, general preference—as opposed to a regular practice of striking veniremembers for a specific reason—constituted at most an inclination towards jurors with highly indefinite attributes or qualities. A vague approach to jury selection may constitute sufficient circumstantial evidence for purposes of Step Two, but, in a case in which the prosecutor does not recall his actual reason for striking the juror in question, it provides little or no probative support for a conclusion at Step Three that he struck her for the reason he proffered. Nor does a comparative juror analysis help the state‘s case here. Thus, Shirley‘s evidence was sufficient to carry his burden of showing that the strike of R.O. was motivated in substantial part by race.
We therefore reverse the decision of the district court and remand with instructions to grant the writ unless the state elects to retry Shirley within a reasonable amount of time.
REVERSED and REMANDED.
TRANSBAY AUTO SERVICE, INC., a California corporation, Plaintiff-Appellee, v. CHEVRON USA INC., a Delaware corporation, Defendant-Appellant. Transbay Auto Service, Inc., a California corporation, Plaintiff-Appellee, v. Chevron USA Inc., a Delaware corporation, Defendant-Appellant.
Nos. 13-15439, 14-15297.
United States Court of Appeals, Ninth Circuit.
Argued and Submitted Aug. 10, 2015. Filed Nov. 30, 2015.
