Robert McDANIELS, Petitioner-Appellant, v. Richard J. KIRKLAND, Warden; Kramer, Warden, Respondents-Appellees.
Keelon T. Jenkins, Petitioner-Appellant, v. Michael S. Evans, Respondent-Appellee.
Nos. 09-17339, 11-15030.
United States Court of Appeals, Ninth Circuit.
Filed July 25, 2014.
Argued and Submitted Jan. 17, 2013. Resubmitted March 26, 2014. Withdrawn April 22, 2013.
760 F.3d 933
Before: J. CLIFFORD WALLACE, JEROME FARRIS, and JAY S. BYBEE, Circuit Judges.
Kamala D. Harris, Attorney General of California; Gerald A. Engler, Senior Assistant Attorney General; Peggy S. Ruffra, Supervising Deputy Attorney General; Arthur P. Beever (argued) and Pamela K. Critchfield, Deputy Attorneys General, for Respondent-Appellee.
OPINION
WALLACE, Senior Circuit Judge:
Petitioners McDaniels and Jenkins appeal from the separate district court judgments denying their
Petitioners were tried and convicted together in the Alameda County Superior Court of California on a charge of first degree murder, among others. Here we consider only their argument, based on Batson v. Kentucky, 476 U.S. 79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1986), that the prosecutor in their case excluded African-American jurors based on race during jury selection. In a separately filed unpublished disposition we consider their arguments that their counsel each provided ineffective assistance.
I.
We need not recount the details of the crime, because we only consider Petitioners’ contention that the prosecutor excluded African-American jurors based on their race.
The state trial judge limited voir dire to thirty minutes total. He explained that this was because jurors filled out questionnaires, the purpose of which was to do away with the need for extensive voir dire.
During the voir dire, the prosecutor challenged seven out of ten African-Americans called as potential jurors. Petitioners argued that the prosecutor excluded four of those jurors based on their race. During the Batson hearing in the state court, the trial judge held that Petitioners had established a prima facie case of discrimination and asked the prosecutor to offer race-neutral reasons for the challenges. The prosecutor gave his reasons, and the trial court concluded that there “didn‘t appear ... to be any type of racism going on.”
Petitioners appealed to the California Court of Appeal (CCA), arguing that the record did not support the prosecutor‘s reasons. Petitioners also contended that, but for a few exceptions, only African-American jurors were asked whether they were sympathetic to the defendants, although the CCA stated that six non-African-American jurors were also asked that question.
The trial court held that it was not required to engage in comparative juror analysis because, under then-controlling California law, appellate courts were not to perform comparative juror analysis when the argument was not raised in the trial court. The first day of the voir dire transcript, as well as the questionnaires for stricken jurors, were not included in the CCA record. Citing the significant deference it owed to the trial court where that court had undertaken a sincere effort to evaluate the prosecutor‘s reasons, the CCA affirmed.
The California Supreme Court affirmed without discussion. Petitioners then separately petitioned the district court. In both proceedings, the state filed the first day of the voir dire transcript as an exhibit. The state also produced the questionnaires of the seated jurors and alternates. The remaining questionnaires had been destroyed.
District Judge Phyllis J. Hamilton heard McDaniels‘s petition. She held that the state court‘s finding that the prosecutor did not have discriminatory intent was not unreasonable. She further held that, although the CCA was incorrect that it was not required to perform comparative juror analysis because the state trial court had not done so, comparative juror analysis did not uncover any discriminatory intent because, as the CCA observed, six non African-American jurors were also asked whether they were sympathetic to Petitioners.
District Judge Marilyn H. Patel heard Jenkins‘s petition, and also held that the CCA‘s conclusion was not based on an unreasonable interpretation of the facts.
We review de novo a district court‘s denial of a petition under
Petitioners argue (1) that the CCA unreasonably applied Supreme Court law by failing to augment the record sua sponte to include all juror questionnaires and the complete voir dire transcript so as to allow for a comprehensive “comparative juror analysis,” and that we should therefore give no deference to the state courts; and (2) even if deference is due, the CCA‘s decision to credit the prosecutor‘s non-racial justifications for challenging African-American jurors was objectively unreasonable. We consider both arguments in turn.
II.
Petitioners’ first argument is based on the proposition that Batson requires a state appellate court to perform a comparative juror analysis, and that failing to do so constitutes an unreasonable application of Supreme Court law and negates the deference usually due state courts in federal habeas proceedings. Although the CCA performed a version of comparative analysis, Petitioners contend that it was insufficient and that the CCA should have augmented the trial court record so that an acceptable comparative analysis was possible.
Ordinarily, Petitioners’ failure to raise this issue before the state trial court would be decisive. The usual rule is that, absent plain error, we would not fault a trial court for not ruling on an issue never raised, so that the trial court would have the opportunity to consider the issue. See Johnson v. United States, 520 U.S. 461, 466-67, 117 S.Ct. 1544, 137 L.Ed.2d 718 (1997). But our court, sitting en banc, has held otherwise. See Kesser v. Cambra, 465 F.3d 351, 377 (9th Cir.2006) (en banc) (Rymer, J., dissenting) (describing majority‘s position). Our majority decision in Kesser held that comparative juror analysis is not waived “even when it was not requested or attempted in the state court.” Id. at 361; see also Boyd v. Newland, 467 F.3d 1139, 1148 (9th Cir.2006) (amending prior opinion because it held that the CCA was not required to perform comparative juror analysis because it was not requested in the trial court). We thus first consider whether, in 2003 when the CCA issued its opinion, it was clearly established that comparative juror analysis was required such that we cannot give deference to the state court here.
“A Batson challenge involves a three-part test. First, the defendant must make a prima facie showing that a challenge was based on race. Second, the prosecution must offer a race-neutral basis for the challenge. Third, the court must determine whether the defendant has shown purposeful discrimination.” Kesser, 465 F.3d at 359 (internal quotation marks omitted).
The third of these determinations requires “a sensitive inquiry into such circumstantial and direct evidence of intent as may be available.” Id. at 361 (emphasis removed) (internal quotation marks omitted). The Supreme Court has recognized the utility of comparative juror analysis in completing that inquiry since long before the decision in this case by the CCA in 2003. Id. at 360 (“The Court‘s holding means that the principles expounded in Miller-El [v. Dretke, 545 U.S. 231, 125 S.Ct. 2317, 162 L.Ed.2d 196 (2005)] [which applied comparative juror analysis] were clearly established Supreme Court law for AEDPA purposes at least by the time of the last reasoned state court decision in Miller-El, handed down in 1992, before Kesser‘s 1993 trial“).
Following the Supreme Court‘s lead, we have stated that comparative juror analy
in order for us to discharge our responsibility under AEDPA to review a Batson claim under
section 2254(d)(2) , we often will have to conduct a formal comparative juror analysis, and our responsibility to conduct a comparative juror analysis is not contingent on whether the state court previously performed or did not perform a formal comparative juror analysis.
Moreover, we have not refused to accord AEDPA deference in a habeas proceeding based solely on a state court‘s failure to apply comparative juror analysis. In fact, in Cook v. LaMarque, 593 F.3d 810 (9th Cir.2010), relying on Ali v. Hickman, 584 F.3d 1174 (9th Cir.2009), we explicitly refused to do so.
In Cook, neither the state trial nor appellate courts had performed comparative juror analysis. The majority applied the deferential review required by AEDPA,
Ali considered whether
Miller-El and Kesser, on which Petitioners rely heavily, only bolster our approach. In Miller-El, despite the state courts’ failure to perform comparative juror analysis, the Supreme Court granted the deference required under
Two cases Petitioners cite, Green and Boyd, do vary from our chosen approach. However, both are distinguishable.
In Green v. LaMarque, 532 F.3d 1028 (9th Cir.2008), we criticized the state courts for failing to “undertake a sensitive inquiry into such circumstantial and direct evidence of intent as
In Boyd, petitioner moved to supplement the record on appeal to include the entire voir dire transcript and requested a copy of the full transcript to assist in his development of his Batson argument. The CCA denied part of his request:
Petitioner filed three requests to supplement the record to include the entire voir dire transcript. The California Court of Appeal granted Petitioner‘s requests in part and required that he be provided the voir dire of the excused African-American juror plus his counsel‘s argument under Batson. But the court of appeal denied Petitioner‘s requests for the entire voir dire transcript because it concluded that he did not comply with a California local rule that requires a defendant to establish with some certainty how the requested materials may be useful on appeal.
467 F.3d at 1142-43 (internal quotation marks omitted). Petitioner was therefore never actually provided with a full voir dire transcript. Because comparative juror review is important in Batson analysis and the petitioner was actively seeking to develop a comparative argument, we held that the state court had unreasonably applied Supreme Court law by refusing to allow the petitioner to have a copy of the transcript, thereby preventing comparative juror analysis. Id. at 1151. Because we did not have a full record, we remanded with instructions to the state appellate court to either provide a copy of the transcript to petitioner or grant the writ. Id. at 1152.
The key difference here is that the CCA did not prevent Petitioners from having access to the voir dire transcript in order to develop a comparative juror argument. Instead, Petitioners simply failed to bring a motion requesting that the CCA include the complete voir dire and questionnaires, which was their burden under California law.
In California, voir dire transcripts and jury questionnaires are not automatically included in the record that is before the CCA. See People v. Goldberg, 110 Cal.App.2d 17, 242 P.2d 116, 121 (1952) (“[V]oir dire examination is not part of a normal record“). California law puts the burden squarely on counsel to move to augment the record:
[C]ounsel has a duty to insure that there is an adequate record before the appellate court from which those contentions may be resolved on their merits. Where the appropriate record is missing or incomplete, counsel must see that the defect is remedied, by requesting augmentation or correction of the appellate
record ... or by other appropriate means.
People v. Barton, 21 Cal.3d 513, 146 Cal.Rptr. 727, 579 P.2d 1043, 1047 (1978) (citations omitted). Neither counsel fulfilled this obligation here, as they conceded at oral argument. The CCA did, on its own motion, augment the record to include parts of the voir dire, but omitted the first day and did not include the questionnaires. If anything, this should have prompted counsel to see that “the defect [was] remedied” — it did not relieve counsel from fulfilling their burden.
While we refused to adopt an inflexible requirement of comparative juror analysis in Boyd, we did not then specify what would be required to deviate from the general rule requiring the analysis. Here, based on Petitioners’ failure to augment the record, it is clear that an exception is merited. Our only alternative would be to hold that the CCA was unreasonable when it did not sua sponte perform what was otherwise counsel‘s job. While Supreme Court law may have clearly established so strong a preference for comparative juror analysis that it was erroneous for the state court in Boyd to prevent affirmatively petitioner from making the argument, it was not clearly established in 2003 that the preference for comparative juror analysis is so unbending that it eviscerates the California law that places the burden on a petitioner to augment any deficits in the record.
Petitioners contend that moving to augment the record would have been futile in light of then-controlling California law, which, as we have discussed, did not allow an appellate court to perform comparative juror analysis when the trial court had not. But we do not allow litigants to escape their responsibilities on the basis of perceived futility. See Engle v. Isaac, 456 U.S. 107, 130, 102 S.Ct. 1558, 71 L.Ed.2d 783 (1982) (“If a defendant perceives a constitutional claim and believes it may find favor in the federal courts, he may not bypass the state courts simply because he thinks they will be unsympathetic to the claim“).
We therefore hold that the CCA did not unreasonably apply Batson when it did not sua sponte augment the record so as to allow for comprehensive comparative juror analysis.
III.
Petitioners’ second argument is that, even granting deference, the CCA‘s decision upholding the trial court‘s finding that the prosecutor did not exclude jurors based on race was unreasonable.
At the outset, we must address the effect of the state‘s decision to supplement the record in these habeas proceedings with the first day of voir dire and the jury questionnaires for the seated jurors. These materials, were we able to include them in our review, would be instrumental in determining whether the prosecutor‘s reasons were pretextual. However, we cannot incorporate them into our analysis under either
The Supreme Court‘s decision in Miller-El provides some guidance on this issue. In Miller-El, there was no dispute that the voir dire transcript was in the record before the state courts. There was, however, some question about the juror questionnaires. 545 U.S. at 241 n. 2. Justice Thomas, writing in dissent, argued that the questionnaires could not be part of the analysis because
So far as we can tell from the voluminous record before us, many of the juror questionnaires, along with juror information cards, were added to the habeas record after the filing of the petition in the District Court. The State raised no objection to receipt of the supplemental material in the District Court or the Fifth Circuit, and in this Court the State has joined with Miller-El in proposing that we consider this material, by providing additional copies in a joint lodging ... Neither party has referred to the provision that the reasonableness of the state-court determination be judged by the evidence before the state court, 28 U.S.C. § 2254(d)(2) , and it is not clear to what extent the lodged material expands upon what the state judge knew; the same judge presided over the voir dire, the Swain hearing, and the Batson hearing, and the jury questionnaires were subjects of reference at the voir dire. The last time this case was here the State expressly relied on the questionnaires for one of its arguments, and although it objected to the Court‘s consideration of some other evidence not before the state courts, it did not object either to questionnaires or juror cards. This time around, the State again relies on the jury questionnaires for its argument that the prosecution‘s disparate questioning was not based on race. We have no occasion here to reach any question about waiver under§ 2254(d)(2) .
Id. at 256 n. 15 (citations omitted).
Because the majority expressly declined to base its consideration of the questionnaires on waiver by the state, its reason for relying on them must have been that because the trial judge had access to them, they were in fact part of the “evidence presented in the state court proceedings.” It is unclear how the trial court‘s familiarity with the questionnaires related to the record before the Texas Court of Criminal Appeals, which, as the last state court to issue a reasoned opinion, was where the Supreme Court‘s review focused. See Kesser, 465 F.3d at 379. However, Miller-El originated in Texas state court. The majority‘s conclusion as to the propriety of considering the questionnaires therefore does not speak to whether, when a petitioner fails to meet the burden imposed upon him by California law to augment the record, a habeas court may nonetheless conclude that the questionnaires were in some way before the CCA.
Because we must review the last reasoned state court decision, and because Miller-El is not clear as to what went into the record before the Texas appellate court, Miller-El‘s consideration of the questionnaires does not require us to include them in our analysis here. We can only review the CCA‘s decision under
However,
We thus turn to the partial voir dire and the Batson hearing transcript, as the “circumstantial and direct evidence of intent” that was before the CCA, to determine whether the CCA made an unreasonable factual determination under
Petitioners focus on the prosecutor‘s challenge of Jurors Andrews, Reeves, Hilton, and Woods. In reviewing their arguments, we keep in mind that counsel is entitled to take account of the characteristics of the other prospective jurors against whom peremptories might be exercised; to reevaluate the mix of jurors and the weight he gives to various characteristics as he begins to exhaust his peremptories; and to take into account tone, demeanor, facial expression, emphasis—all those factors that make the words uttered by the prospective juror convincing or not. In short, counsel is entitled to exercise his full professional judgment in pursuing his client‘s legitimate interest in using [peremptory] challenges ... to secure a fair and impartial jury. Burks v. Borg, 27 F.3d 1424, 1429 (9th Cir.1994) (internal quotation marks omitted).
A. Juror Andrews
The prosecutor challenged Juror Andrews because she seemed hesitant, intimidated, weird, and inattentive. He also stated at the hearing that he wouldn‘t be able to tell that Juror Andrews was African-American by looking at her.
Petitioners first argue that the prosecutor‘s reference to Andrews‘s race indicates discriminatory intent. The prosecutor stated: “[T]he only way we would even know she‘s African-American is because she put on her questionnaire that she‘s of Caucasian, African-American, [and] I think American Indian [sic]. But physically to look at her, you would not be able to tell she‘s any parts African-American.” Because the prosecutor would have looked at Andrews‘s questionnaire and known how she identified herself before seeing her, Petitioners argue that her appearance at voir dire was irrelevant and the prosecutor‘s comments indicate a fixation on race. But Andrews‘s appearance was not offered as a reason for challenging Andrews—it was an ultimately unpersuasive attempt to dispel the inference of racial motivation. We will not translate the prosecutor‘s unpersuasive argument, which had nothing to do with his actual reasons for challenging Andrews, into evidence of racial animus.
Relying on Kesser, Petitioners also argue that the prosecutor‘s “hesitant, intimidated, weird” rationale is insufficient. In Kesser, the prosecutor explained that he
Furthermore, even if “[t]aken individually, these factors might seem so innocuous they would not support a peremptory challenge,” when considered together, “it is plausible that an unbiased prosecutor would be concerned by the juror‘s overall demeanor.” Cook, 593 F.3d at 819 (considering prosecutor‘s explanation that he challenged a juror because the juror was “weird in appearance,” and made other comments that the prosecutor found strange or objectionable).
Petitioners also argue that the transcript does not show that Andrews was weird, hesitant, intimidated, or inattentive. However, we will not overturn the trial court‘s credibility finding absent “extraordinary circumstances,” and Petitioners’ contrary interpretation of a cold transcript, without more, does not qualify.
[T]he best evidence [of discriminatory intent] often will be the demeanor of the attorney who exercises the challenge. In addition, race-neutral reasons for peremptory challenges often invoke a juror‘s demeanor (e.g., nervousness, inattention), making the trial court‘s first-hand observations of even greater importance. In this situation, the trial court must evaluate not only whether the prosecutor‘s demeanor belies a discriminatory intent, but also whether the juror‘s demeanor can credibly be said to have exhibited the basis for the strike attributed to the juror by the prosecutor. We have recognized that these determinations of credibility and demeanor lie peculiarly within a trial judge‘s province.
Snyder v. Louisiana, 552 U.S. 472, 477, 128 S.Ct. 1203, 170 L.Ed.2d 175 (2008) (internal quotation marks and citations omitted). The transcript itself does not so clearly show that Andrews was not hesitant, intimidated, or inattentive such that we could here hold that the state court was objectively unreasonable in crediting the prosecutor. In fact, these are precisely the sort of behavioral nuances that a cold transcript is ill-suited to reveal.
We will not disturb the trial court‘s findings unless the “facts in the record are objectively contrary to the prosecutor‘s statements,” McClain v. Prunty, 217 F.3d 1209, 1221 (9th Cir.2000). Petitioners’ ability to make that showing is quite limited in light of the very short voir dire we have to consider. Nonetheless, Petitioners advance the same comparative juror analysis argument here that they made before the CCA: namely, that a comparative analysis shows that all African-American jurors were asked whether they would be sympathetic to Petitioners, while only white jurors with relatives who had committed crimes or could “be expected to sympathize with defendants” were asked the same question.
The problem with this argument is that, without all the questionnaires, it is not possible to determine whether there was a non-racial common thread among the white and African-American jurors that explains the sympathy question. The Supreme Court has cautioned that
Petitioners also argue that because the trial court did not explicitly credit these “demeanor based” justifications, Snyder forbids the CCA from relying on them. In Snyder, the prosecutor offered two reasons for a peremptory challenge of Juror Brooks: Brooks’ nervousness and conflicts with his schedule. 552 U.S. at 478. The trial court allowed the challenge without further elaboration. Id. at 479. While recognizing that deference is “especially appropriate where a trial judge has made a finding that an attorney credibly relied on demeanor in exercising a strike,” the Supreme Court held that it could not simply assume that the trial court had credited the prosecutor‘s nervousness justification because the trial court had not specified which of the prosecutor‘s two explanations it had relied on. Id. The Court therefore undertook an analysis of whether the other explanation was credible and determined it was not. Id. at 485. Because if a peremptory strike is “shown to have been motivated in substantial part by discriminatory intent” it is invalid, and because the prosecution had described the scheduling reason as one of its “main concern[s],” the court could not merely credit the nervousness justification and deny the petition. Id. at 485 (internal quotation marks omitted).
Here, none of the prosecutor‘s demeanor-based rationales are contradicted by the transcript. We therefore are not presented with the Snyder problem: presuming one of two rationales was the basis for the court‘s decision when one rationale was pretextual.
B. Juror Reeves
The prosecutor challenged Juror Reeves because (1) the prosecutor received from Reeves a look that the prosecutor interpreted as disdainful while both were in the hall and (2) Reeves hesitated when asked if he felt sympathetic towards the Defendants.
As to the first rationale, Petitioners argue that this is in fact a race-based reason and indicates a discriminatory mindset. But the prosecutor‘s concern was that Reeves was hostile towards him, not that Reeves would favor Petitioners based on Reeves‘s race. Hostile looks or a negative attitude can be a legitimate basis for a peremptory challenge. See Burks, 27 F.3d at 1429 (holding that a prosecutor is entitled to make a challenge based on a hunch or suspicion created by a juror‘s
Petitioners’ second argument, that the transcript does not show hesitation, suffers from the same defect as above. Petitioners have presented no objective evidence that would firmly convince us that the trial court was wrong to credit the prosecutor on this point, and their contrary interpretation of the transcript is not sufficient. See Williams, 354 F.3d at 1109 (“We must be left with a firm conviction that the determination made by the state court is wrong and the one urged by [Petitioners] is correct“).
C. Jurors Hilton and Woods
Petitioners have also made arguments concerning the prosecutor‘s challenges to Jurors Hilton and Woods. The government argues that these contentions should be ignored because they constitute uncertified issues. While it is true that the panel only granted a certificate of appealability as to Andrews and Reeves, the treatment of other jurors can be a valid consideration in step three of Batson as part of the “circumstantial and direct evidence of intent as may be available.” 476 U.S. at 93. Thus, if there was something about the challenge to Hilton and Woods that shows their dismissal was pretextual, the Andrews and Reeves analysis may be affected. See Snyder, 552 U.S. at 478 (“Here, as just one example, if there were persisting doubts as to the outcome, a court would be required to consider the strike of Ms. Scott for the bearing it might have upon the strike of Mr. Brooks“).
Virtually all of Hilton‘s examination took place on the first day, the transcript of which we cannot consider. Petitioners’ only argument that does not depend in some way on a review of evidence that was not in the record is that the prosecutor once again revealed a fixation on race by observing that Hilton had put a question mark in the race box on his questionnaire. But the prosecutor‘s statement can reasonably be construed as a general distrust of Hilton based on his refusal to answer questions, and we find nothing in the record that would require us to overturn the trial court‘s credibility finding.
The prosecutor challenged Woods because (1) was a victim of police brutality and (2) had a weird look on his face during questioning that made the prosecutor uneasy. Petitioners argue that the police brutality reason is not relevant because there was no police brutality in this case. However, the prosecutor was entitled to use his professional judgment to decide whether Woods‘s experience would have soured into a general distrust of law enforcement, making him an unfavorable juror. Petitioners’ contention that they would make an opposite inference does not render the CCA‘s holding objectively unreasonable.
Finally, Petitioners argue that, beyond the circumstances of the individual challenges to Andrews, Reeves, Hilton, and Woods, there are “global points that emerge from the record” showing that the prosecutor‘s reasons were pretextual.
First, Petitioners argue that the raw numbers show that a much larger percentage of African-American potential jurors had been eliminated than the non-African-American potential jurors: 70% to 30%. While it is true that “seriously disproportionate exclusion of blacks from the jury venire is powerful evidence of intentional race discrimination,” McClain v. Prunty, 217 F.3d 1209, 1223 (9th Cir.2000), the trial judge was aware of this disproportion and nonetheless credited the prosecutor‘s reasons.
Petitioners also argue that an inference of racial discrimination is clear from the fact that for seventeen of the twenty non African-American jurors the prosecutor struck, the reason for the strikes was quite clear. In contrast, Petitioners argue, the reasons for striking the African-American jurors are only clear for three of the seven. But Petitioners’ views as to the relative clarity of reasons for excluding a juror are irrelevant. Both obvious reasons, like manifest bias on the part of a potential juror, and non-obvious reasons, like hunches and suspicions on the part of the prosecutor, are legitimate. The fact that, in Petitioners’ minds, the reasons for all the white jurors were obvious while those for the African-American jurors were non-obvious does not show that the trial court was objectively unreasonable in considering and crediting the non-obvious reasons.
In sum, Petitioners have not demonstrated that the CCA made an unreasonable determination of fact in light of the evidence before it.
AFFIRMED.
