Jua Smith v. George DuncanJua Smith v. George Duncan
Petitioner Jua Smith appeals from an order of the United States District Court for the Eastern District of New York (Weinstein, J.) denying his petition for a writ of habeas corpus pursuant to 28 U.S.C. § 2254. Smith was convicted by a jury in Suffolk County Court of second degree murder in connection with the 1996 shooting death of Jacob Seavey. The district court denied the petition but issued a Certificate of Appealability on the issue of the admissibility of a 911 tape that was excluded from evidence at trial. We hold that the district court correctly denied the petition because the issue was procedurally defaulted.
In September 1997, Petitioner-Appellant Jua Smith, then seventeen years old, was found guilty by a jury in Suffolk County Court of intentionally murdering Jacob Seavey, a longtime childhood friend. Seavey was killed instantly by a single gunshot at Smith’s home in Brentwood, New York, on April 30, 1996. Immediately following the shooting, Smith called 911 and reported the incident, repeatedly asking the operator to send police.
When the police arrived, they found Smith sitting on the stoop outside his home on the phone with the 911 operator. They arrested Smith, who was quiet and cooperative, and brought him to the police station for questioning. Throughout the interrogation, and to this day, Smith’s version of the events has been the same. Smith had allowed Seavey, whom he claims he trusted at the time, into his home. The two were talking in Smith’s bedroom when Seavey received a page from his mother. While Seavey made a phone call, Smith went to the bathroom and was there for about ten minutes. When Smith left the bathroom, Seavey was standing immediately outside in the hallway, pointing a shotgun at Smith’s head. Smith asked, “What are you doing? Get that out of my face.” Receiving no response, Smith struggled with Seavey for the gun. Smith took the gun from Seavey and stepped back. At that point, Smith claims that Seavey reached for a knife in his pocket. Smith contends that he fired the gun at Seavey without thinking. According to Smith, he called 911 immediately after the shooting.
At trial, Smith did not deny shooting Seavey, but maintained that he acted in self-defense, believing that Seavey’s actions were part of a gang reprisal. He testified that he and Seavey had been part of the same gang whose activities included selling drugs, stealing cars, and robbing people. Smith’s testimony about his gang involvement with Seavey and others was corroborated by the testimony of his father, Rudolph Smith. Rudolph also testified that his son had broken away from the gang when they began selling crack-cocaine. At that point, Smith left his father’s house in New York to live with his mother in Washington, D.C. However, in 1995, Smith’s mother died, and Smith returned to live with his father.
When Smith returned to New York, Seavey and other gang members pressured him to rejoin their group. Smith testified that because he dropped out of the gang, members were trying to get back at him. He claimed that on several occasions Seavey, along with others in the gang, threatened and assaulted him. Because of the gang’s threats, Smith contended that he lived in fear — returning directly home after school, staying inside with the curtains closed, and changing his path to and from school to avoid the gang.
The prosecution challenged Smith’s testimony about his fear of the gang. In addition to suggesting Smith’s gang story was fabricated, the prosecutor introduced forensic evidence that Seavey was lying on the floor when shot, not standing as Smith had claimed.
In response, the defense sought to introduce the 911 tape that recorded Smith’s conversation with the operator after the shooting, and the testimony of Smith’s aunt, who would have testified about Smith’s fear of gang violence in the weeks leading up to the incident. The trial court denied both requests. The court initially held that the 911 tape was inadmissible because it believed that Smith had given the operator a false name, Holt-Smith, an indication that he had time to reflect on his actions. After the defense established that Smith regularly used a hyphenated
On July 25, 1997, the jury returned a guilty verdict for murder in the second degree, and Smith was sentenced to an indeterminate term of incarceration of twenty-five years to life. Smith appealed to the New York Appellate Division, Second Department, arguing,
inter alia,
that the 911 tape was erroneously excluded. Specifically, he argued that the tape was an exception to the hearsay rule — that it was an excited utterance or present sense impression, or that it refuted that Smith’s proffered fear of the gang was a recent fabrication. The Appellate Division unanimously affirmed his conviction without specifically mentioning the 911 tape, concluding, “The defendant’s remaining contentions are either unpreserved for appellate review or without merit.”
People v. Smith,
On July 12, 2000, Smith filed a petition for a writ of habeas corpus in the Eastern District of New York (Weinstein, J.), arguing that the exclusion of the 911 tape and his aunt’s testimony at trial amounted to a denial of due process in violation of the United States Constitution — an argument he had not previously presented to the State appellate courts. By judgment dated August 5, 2003, the district court determined that both issues “are now procedurally defaulted” because Smith in his state appeal made “no argument that exclusion constituted a violation of the federal constitution.”
Judge Weinstein nevertheless expressed his concern that the exclusion of the 911 call was “troubling.” Though he felt that a “federal trial court would almost certainly have admitted it,” he reasoned that the “matter was within the trial court’s discretion.” Accordingly, he denied Smith’s petition, but issued a Certificate of Appeala-bility (COA) on the issue of the 911 call. This appeal followed.
Discussion
Where an appeal follows the denial of a petition for a writ of habeas corpus, we review
de novo
the court’s legal conclusions and review its factual findings for clear error.
See Anderson v. Miller,
I. Exclusion of the Testimony of Eleanor Smith
Smith claims, first, that the state trial court violated his constitutional right to a fair trial by excluding the testimony of his aunt, Eleanor Smith, who could confirm that Smith had previously voiced grave concerns that Seavey and Seavey’s associates in the gang were threatening him and that, because of those threats, Smith lived in constant fear. The district court held that because the “[exclusion of the aunt’s testimony was not raised in the [New York] Court of Appeals,” the issue had not been properly preserved and therefore was procedurally defaulted.
“In New York, to invoke ‘one complete round of the State’s established appellate review process’
[O’Sullivan v. Boerckel,
Generally “we assume that the Court of Appeals would construe a petitioner’s leave application as abandoning claims that the petitioner had pressed to the Appellate Division below” where those claims were not presented to the New York high court for review.
Galdamez,
II. Exclusion of the 911 Tape
Smith next claims that the state trial court violated his constitutional right to a fair trial by excluding the 911 call recording. Smith argues,
inter alia,
that because “the only issues before the jury were [his] intent and whether his actions were justified under the circumstances, ... [t]he 911 tape was a critical piece of evidence that would have conveyed to the
Despite finding the claim procedurally defaulted, the district court found the trial court’s exclusion of the tape “troubling” and granted a COA on only the substantive question of whether the 911 tape was improperly excluded. However, appellate review of a habeas petition denied on both procedural and substantive grounds is contingent on the district court issuing a COA with respect
both
to the procedural and constitutional holdings.
See El Rhagi v. Artuz,
At trial, Smith’s counsel offered several arguments to persuade the trial judge to admit the 911 tape. Among other things, he argued that the tape was admissible under the excited utterance, present sense impression, or state of mind exceptions to the hearsay rule.
4
At the Appel
“Comity concerns lie at the core of the exhaustion requirement.”
Galdamez,
State courts, like federal courts, are obliged to enforce federal law. Comity thus dictates that when a prisoner alleges that his continued confinement for a state court conviction violates federal law, the state courts should have the first opportunity to review this claim and provide any necessary relief. This rule of comity reduces friction between the state and federal court systems by avoiding the unseemliness of a federal district court’s overturning a state court conviction without the state courts having had an opportunity to correct the constitutional violation in the first instance.
O’Sullivan,
Smith does not argue cause and prejudice, nor does he argue that failure to consider this claim will result in a miscarriage of justice.
6
See Coleman v.
In the Appellate Division, Smith’s counsel argued that the 911 tape should have been admitted based on exceptions to the hearsay rule or to rebut the prosecution’s claim of recent fabrication. She never argued that the trial court’s decision to exclude this evidence violated Smith’s constitutional rights, nor did she rely on any federal cases employing pertinent constitutional analysis. Furthermore, the state case that Smith’s counsel cited,
People v. Buie,
Some will be of patently constitutional dimension. If the defendant claimed that he was accused of one crime but convicted of an entirely different crime and hence was denied a fair trial, no reasonable jurist would doubt that the defendant’s claim implicated his constitutional right to due process of law. In contrast, a defendant’s claim that he was deprived of a fair trial because of the admission in evidence of a statement objectionable as hearsay would not put the court on notice that the defendant claimed a violation of his constitutional right to be confronted by his accusers.
Id.
The relevant inquiry in Smith’s case, then, is whether his claim that the exclusion of the 911 tape was erroneous under New York law was enough to alert the court of his claim that it also denied him a meaningful opportunity to present a defense.
See Chambers
v..
Mississippi,
We hold that it was not. As discussed earlier, to be eligible for habeas relief, the “substance” of Smith’s federal claim must have been “fairly presented” to the state appellate court.
Picard v. Connor,
Similarly in
Duncan v. Henry,
In this case as in
Duncan,
the state and federal issues are not so similar that the constitutional claim was fairly presented to the state court. Unlike
Jackson v. Edwards,
where we recently held that “the failure to instruct the jury on justification was so harmful as to deny the defendant due process,”
Duncan further noted that the failure to apprise the state court of the constitutional claim was “especially pronounced in that respondent did specifically raise a due process objection before the state court based on a different claim.” Id. Like the respondent in Duncan, Smith raised a due process claim regarding another issue — grand jury presentation — but did not raise a constitutional claim regarding the exclusion of the 911 tape.
Examining petitioner’s brief to the state appellate division as a whole, we simply cannot say that he has “fairly presented” to the state court the constitutional issue he now raises here. Accordingly, we must agree with the district court that his claim is procedurally defaulted.
Conclusion
The district court’s order of August 5, 2003, denying the petition for writ of habe-as corpus is hereby AFFIRMED.
Notes
. The court based its decision on
People v. Vasquez,
.
But cf. Twitty
v.
Smith,
. New York Court Rule section 500.10 governing criminal leave applications has subsequently been amended and is recodified at section 500.20. N.Y. Comp.Codes R. & Regs, tit. 22, § 500.20.
. Offering evidence under the state of mind exception to the hearsay rule is different than offering it for a non-hearsay purpose — here, to show declarant's state of mind. The exception to the hearsay rule is invoked when the statement is offered for the truth of the matter asserted and shows the declarant’s state of mind (e.g., "I hate X.”). See William Payson Richardson & Jerome Prince, Prince-Richardson On Evidence § 8-611 (Richard T. Farrell ed., 11th ed.1995). In contrast, "the mere utterance of a statement, without regard to its truth, may indicate circumstantially the state of mind ... of the declarant" and is not hearsay (e.g. "I am Napoleon.”). Id. § 8-106.
Smith’s counsel significantly failed to argue that the 911 tape was
not
hearsay. If the tape were played for the jury to show Smith's state of mind — i.e. his fear, excitement, agitation— it would not be hearsay because the defense would not be offering it for the truth of the matter asserted.
See Bergstein v. Bd. of Educ,,
. That doctrine allows a prior consistent statement to rebut a claim of recent fabrication.
See People v. McDaniel,
. The only claim for cause for the default might be appellate counsel’s ineffective assistance in failing to raise the constitutional claim.
See Sweet v. Bennett,
However, we may not consider this cause for default now because the Supreme Court has held that cause is an "independent constitutional claim” that first must be raised in state court.
See Edwards v. Carpenter,
In New York, coram nobis is the appropriate remedy for ineffective assistance of appellate counsel.
See People v. Bachert,
.
See Buie,
. Appellate counsel’s efforts to add the unpre-served recent fabrication argument in conjunction with her expressed concern that Smith was denied a fair trial was most likely an attempt to invoke the interest of justice jurisdiction of the Appellate Division. See N.Y.Crim. Proc. Law § 470.15(3)(c), (6)(a). However New York does not recognize interest of justice review to be “virtually identical’’ to review of specific constitutional claims.