We consider in this appeal the issue of racial discrimination in jury selection, applying
Batson v. Kentucky,
I. Background
Alonzo Houston (“Houston”) was charged with armed robbery of a credit union, in violation of 18 U.S.C. § 2113(a) and (d) (“Count I”), brandishing a firearm during the commission of a crime, in violation of 18 U.S.C. § 924(c) (“Count II”), and possession of a firearm by a convicted felon, in violation of 18 U.S.C. § 922(g)(1) (“Count III”).
During jury selection, both the prosecution and the defense exercised peremptory strikes to remove prospective jurors. The procedure the district court followed in selecting the jury was as follows. First, the 32-person venire was seated; the twelve-person jury was ultimately selected from the first 28. (R.l-68 at 30.) The prosecution was given six peremptory strikes, and the defense was given ten. (R.l-68 at 30.) Of the venire members remaining after the exercise of all strikes, the jury would consist of the first twelve. (R.l-68 at 30.) Two alternates were selected from the remaining four jurors, with each party being given one peremptory strike. (R.l-68 at 30.) Of the first 28 venire members from which the twelve-person jury was selected, ten were black. Appellee’s Br. at 8-9, 8 n.l.
After the questioning concluded, both the prosecution and the defense simultaneously submitted their “strike sheets,” which indicated the jurors whom each attorney wished to strike through a peremptory challenge. Amazingly, none of the proposed strikes overlapped. The prosecution wished to strike six venire members, five of whom — Small, Taylor, O’Neal, Smith, and Julks — were black. (R.l-68 at 31.) The defense wished to strike ten venire members, all of whom were white. (R.l-68 at 31.) When each side was made aware of the other side’s proposed strikes, Houston asserted an objection based on
Batson v.
Kentucky,
THE COURT: Any Batson challenges for the government?
MR. SALTER: No, sir.
THE COURT: Any from the defendant?
MR. COYLE: Yes, sir. That being that 5 out of the 6 strikes of the government were black.
THE COURT: I might say parenthetically all of your strikes were white. Just parenthetically, and I mean that for what it’s worth.
MR. COYLE: You’re correct.
THE COURT: And I need to state, for the record, the defendant is black, and that the U.S. Attorney is black, and that the defendant’s attorney is white.
MR. COYLE: Ms. Lola Small.
THE COURT: Pardon?
MR. COYLE: Ms. Lola Small, we would challenge her.
THE COURT: Let me find her first.
MR. COYLE: Number 2.
THE COURT: Okay.
MR. COYLE: I should have given you a number.
THE COURT: Mr. Salter?
MR. SALTER: Yes, sir, Your Honor. We struck her because she responded that she had a relative convicted of a crime. And that’s on all of them. We’ll go through them one by one but that was the primary reason that we struck her.
THE COURT: All right. What’s the next one?
MR. COYLE: The next one is Carolyn O’Neal, the back row. 14, I believe. Yes.
THE COURT: Anything on that other than the drug conviction?
MR. SALTER: Nothing other than that, Judge.
MR. COYLE: Also, on that row a little further over Belinda Smith, Number 17.
THE COURT: Anything other than the manslaughter conviction there?
MR. SALTER: And that — well that’s it. She responded that there was a manslaughter conviction. Also that she was a juror where they found a person not guilty. That was a consideration as well.
MR. COYLE: And David Julks, Number 18.
MR. SALTER: That one, Your Honor, is one where I received assistance from the agent who told me that Mr. Julks was occasionally sleeping.
THE COURT: Anything else on Julks?
MR. SALTER: No, sir.
MR. COYLE: And Kimbroughery Taylor. She being on the front row in the middle of the other side.
THE COURT: Anything other than the drugs there?
MR. SALTER: No, sir. Nothing else.
THE COURT: Anything else either of you want to say?
MR. SALTER: Yes, sir. I would like to say, Judge, that in no case did I even note that these jurors I struck were black. It was strictly the majority of my strikes came from the “C” in my notes here. That they were convicted — that they responded they had relatives that were convicted of crimes, and I’ve got “Cs” dotting my reasons here and that’s the only reason.
THE COURT: Anything else, Mr. Coyle?
MR. COYLE: It just appears they were chosen for color upon first blush. The fact that they knew somebody or had someone in their family who had been arrested was that the—
MR. SALTER: No, sir. Convicted.
MR. COYLE: Convicted. .
THE COURT: Everyone were drug convictions except the manslaughter, I believe.
MR. SALTER: Yes, sir.
MR. COYLE: That particular criteria in place and the fact that more minorities have, as a rule, more people convicted in their families than does the majority of the population. It’s just another route to get to the same place.
MR. SALTER: I certainly was not thinking of that, Judge. I would like to put in evidence maybe my notes here. It shows the breakdown showing all of the “Cs” and almost nothing else in my notes if that would' — ■
THE COURT: Well, why don’t you look over your shoulder and see if you can confirm that, Mr. Coyle.
(Mr. Coyle looking over government’s notes)
MR. COYLE: That’s correct, Your Hon- or.
THE COURT: All right. Given the facts and circumstances in light of the case that we will be trying next week, and the stated reasons for the challenges, as well as the voir dire that was conducted by the attorneys, both for the government and the defendant — and I might say parenthetically that while not significant, during the strikes of the defendant, too, the Court finds that the challenges of the jurors by the defendant were not shown or have not been shown to be the result of purposeful discrimination and a very legitimate reason has been articulated.
I recognize, as the defendant points out, that there is a tendency in certain areas at least, where there are more, a higher percentage of the black population may have criminal records. But the Court also notes that we started out with a higher percentage of jurors that were black, 35%. Slightly over 35% of the venire that we’re striking from — I’m not talking about — I’m talking about just of the 28, not the rest of them, there were 9 blacks out of the 28.
In any event, I do not find that it is a result of purposeful discrimination. So the motion is denied. Let’s go on and recess them until Tuesday morning at 9 o’clock. I will remind you I’m not going to swear them so the jeopardy does not attach. So let’s go.
(Side-bar concluded)
(R.l-68 at 31-35.)
The case went to trial with a jury consisting of seven whites and five blacks. The jury convicted Houston on Counts I and II and acquitted him on Count III. The judge sentenced Houston to 300 months’ imprisonment pn Count I and 84 months’ imprisonment on Count II, these sentences to run consecutively. Houston appeals both his convictions and his sentences.
II.Issues on Appeal
To resolve this appeal, we consider (1) whether the prosecutor’s exercise of any of his peremptory challenges was motivated by racial prejudice, and therefore violated Houston’s Fifth Amendment rights, and (2) whether the district court, in sentencing Houston, committed constitutional or statutory error under
United States v. Booker,
III.Standards of Review
We review for clear error a trial judge’s finding that a prosecutor has exercised peremptory strikes free of discriminatory intent.
United States v. Alston,
Houston preserved his
Booker
claims for review by appropriate objection in the district court. Thus, our review of those claims is de novo.
See United States v. Paz,
IV.Discussion
This discussion proceeds in two parts. First, based on the framework outlined in
Batson,
A. The Batson Challenges
Houston contends that the prosecution’s exercise of four of its peremptory strikes (venire members Small, O’Neal, Smith, and Taylor)
4
during jury selection violated
We examine claims of racial discrimination in jury selection under the standards outlined in
Batson v.
Kentucky,
5
Batson
establishes a burden-shifting approach that allows a trial court to determine whether peremptory strikes were the result of racial animus. First, the defendant must establish a prima facie case to raise the inference of discriminatory intent.
Batson,
After the government articulates such reasons, the court must evaluate the credibility of the stated justifications based on the evidence placed before it.
Id.
at 98,
We note at the outset that the district court did not explicitly determine whether Houston made out a prima facie case of discrimination.
See id.
at 94-97,
Houston makes two arguments in support of his contention that the prosecutor impermissibly used race as the reason for the exercise of some of his peremptory challenges. First, he argues that the prosecutor’s stated reason for dismissing four of the black venire members (Small, Smith, O’Neal, and Taylor), that they had family members with criminal histories, is not race-neutral because it statistically affects more blacks than whites. We need only review the dismissals of Small, Taylor, and O’Neal because the prosecution articulated an additional reason for dismissing Smith—-that she had previously served on a jury that returned a verdict of not guilty (R.l-68 at 32)—and that reason is not challenged on appeal, nor does Houston argue that Smith’s dismissal was the result of a “mixed motive.” See Wallace v. Morrison, 87 F.3d 1271, 1274-75 (11th Cir.1996). Houston includes in his briefs sociological data indicating that significantly more blacks than whites, as a percentage of their relative subgroups, are convicted of crimes in the United States. Utilizing these data, Houston argues that requiring the venire members to indicate whether they have had any family members convicted of crimes, and then using their positive responses as the sole justification for disqualifying them, is a strategy that impacts blacks more heavily than whites.
In civil rights parlance, this argument is known as a “disparate impact” claim.
See
42 U.S.C. § 2000e-2(k). In such a claim, the complaining party alleges racial discrimination through the use of a facially race-neutral sorting device that has the effect of excluding more blacks than whites.
See generally Griggs v. Duke Power Co.,
In response to the prosecutor’s question at voir dire about family members with criminal histories, Small responded that her son had recently been convicted on drug charges, and that he was currently incarcerated. (R.l-68 at 25.) Taylor, responding to the same question, stated that her cousin had been convicted of drug possession about five years before the day of Houston’s voir dire. (R.l-68 at 28.) O’Neal’s response to the familial criminal history question was that one of her neph
Houston contends that, even if the prosecutor’s stated reason is legitimate on its face, its disparate impact is evidence of the prosecutor’s underlying intent to discriminate. The Supreme Court has held that evidence that the prosecutor used a sorting device with a disparate impact on different races may be considered as evidence of purposeful discrimination at
Bat-son’s
third step.
Hernandez,
The
Hernandez
Court cited several factors that the judge could have considered when deciding whether to believe the prosecutor’s stated reason despite its disparate impact.
Id.
at 369-70,
Houston’s other contention regarding
Batson’s
third step is that the prosecution’s sole stated reason for excluding venire members Small, O’Neal, and Taylor (and one of two reasons for striking venire member Smith) from the jury is pretextual because it applies with equal force to four white venire members whom the prosecution did not strike.
7
We have acknowledged in the past that “comparing the attributes of the black and white venirepersons will aid the trier of fact and a reviewing court in determining whether the asserted reasons are pretextual or not.”
Alston,
Here, the prosecution offered as its only reason for dismissing venire members Small, O’Neal, and Taylor that they had family members who had been convicted of crimes. It is undisputed that four of the white venire members that the prosecution did not strike also had family members convicted of crimes. But Houston never brought this fact to the attention of the court, even though the court gave him ample opportunity to do so.
Batson
makes it clear that the party contesting a peremptory strike maintains the burden of proof throughout the three stages of the court’s inquiry.
Here, Houston did not suggest to the trial judge that there were similarly situated white venire members whom the prosecution did not strike. Thus, we do not have the benefit of the prosecutor’s explanation for why he struck the black venire members rather than the white venire members now alleged to be similarly situated. And we do not have the benefit of a finding by the trial judge as to the credibility of such explanations. As we have stated in the past: “ ‘Whenever a litigant has a meritorious proposition of law which he is seriously pressing upon the attention of the trial court, he should raise that point in such clear and simple language that the trial court may not misunderstand it.’ ”
United States v. Reyes Vasquez,
Houston’s attorney contended at oral argument that the Supreme Court’s recent decision in
Miller-El
places a duty on the
B. Booker Error
Houston contends that the district judge violated his Sixth Amendment rights, as outlined in
United States v. Booker,
If the defendant establishes constitutional
Booker
error, we will vacate the sentence unless the Government can
Houston contends that his sentence should be vacated based on both constitutional and statutory Booker error. The Government contends that the district court did not commit constitutional error, and that the statutory error was harmless.
1. Constitutional Booker Error
Houston contends that the district court violated
Booker’s,
constitutional rule by including in the calculation of his sentence under the United States Sentencing Guidelines, which were then binding on the judge, the fact that two of his prior felony convictions were crimes of violence. Houston did not admit this fact, and the prosecution did not prove it to the jury beyond a reasonable doubt. The
Booker
Court reaffirmed the holding in
Apprendi v. New Jersey,
Houston argues that the determination that his two prior felonies were crimes of violence under U.S.S.G. § 4B1.1 for the purposes of increasing both his offense level and his criminal history category was a determination of fact. This court has recently rejected this exact argument.
United States v. Gibson,
2. Statutory Booker Error
Houston also contends that his sentence must be vacated because the district court sentenced him under a mandatory Guidelines scheme.
See United States v. Shelton,
The judge calculated the relevant Guidelines range for Count I as 360 months to life. The 2003 Guidelines manual states that if the calculated Guidelines range exceeds the statutory maximum penalty for a particular crime, then the statutory maximum becomes the effective Guidelines range. U.S.S.G. § 5Gl.l(a). Pursuant to this rule, the judge sentenced Houston to the statutory maximum term of 300
The Government cites the fact that the judge sentenced Houston to the statutory maximum for Count I as evidence that he would not have imposed a more lenient sentence in the absence of a binding Guidelines scheme. However, what the judge imposed was very clearly a Guidelines sentence. Thus, rather than proving that he would impose the same sentence in the absence of a binding Guidelines scheme, the judge’s sentencing decision just as likely suggests that he sought to follow the dictates of the Guidelines to the letter. Moreover, the Guidelines required a sentence at least equal to the statutory minimum for Count II, See U.S.S.G. § 2K2.4(b). The judge, in fact, imposed a sentence at the statutory minimum, further contradicting the conclusion that the Government asks us to draw. In short, neither the judge’s statements at sentencing nor the ultimate sentence imposed give this court any clear indication of what the district judge would have done if not bound by the Guidelines. Given this uncertainty, the Government has met not its burden to establish harmlessness.
V. Conclusion
Based on the foregoing discussion, we conclude that Houston’s convictions should be affirmed, but that his sentences should be vacated and the case remanded for resentencing.
CONVICTIONS AFFIRMED, SENTENCES VACATED, AND CASE REMANDED FOR RESENTENCING.
Notes
. One additional white venire member, a Ms. Steele, also answered the question in the affirmative, but she was not part of the 28-person venire from which the twelve-person jury was selected. The Government ultimately struck her when alternates were being selected.
. Batson holds that basing a peremptory strike on the race of the potential juror violates the Equal Protection Clause of the Fourteenth Amendment.
. Houston also contends that he was denied his Fifth Amendment right to the effective assistance of counsel. As this case comes to us on direct appeal, Houston has not developed a factual record sufficient for us to review this claim.
See United States v. Bender,
. At the Batson hearing, Houston also contested the prosecution’s peremptory strike of venire member Julks (R.l-68 at 32), but the prosecution's reason for striking him — that he was sleeping during voir dire — is not challenged on appeal.
. The
Batson
case arose out of a state-court conviction, and the Supreme Court based its holdings on the Equal Protection Clause of the Fourteenth Amendment, which applies by its terms only to the states.
See
U.S. Const, amend IV, § 1. However, the Supreme Court has established that the Due Process Clause of the Fifth Amendment impliedly imposes the same obligations on the federal government as does the Equal Protection Clause on the states, and any alleged violations of those obligations are analyzed in the same way as an alleged violation of the Equal Protection Clause by a state actor.
See Bolling v. Sharpe,
. The colloquy between court and counsel that we have quoted reflects that O’Neal’s nephew had been convicted on a drug charge rather than an armed robbery charge. Since either crime supports a finding that the reason was race-neutral, we need not address this confusion.
. We have already decided that we need not review the dismissal of Smith because the prosecutor’s other reason for dismissing her is not challenged on appeal, and Houston makes no “mixed motive" argument.
. We note that
Miller-El
came before the Supreme Court in a procedural posture very different from the posture of this case. The
Miller-El
Court was asked to review on
Bat-son
grounds a petition for writ of habeas corpus based on a challenge pursuant to
Swain v. Ala.,
. In fact, the Court’s decision in
Miller-El
recognizes that there is a difference between the evidence that can be considered by a court reviewing a habeas petition and "theories about that evidence," which will only be considered by a court of appeals if they were offered at the trial court level.
See Miller-El,
. At oral argument, the Government offered several plausible explanations as to why it chose not to strike the white venire members with family criminal histories. But we have no findings as to the credibility of these explanations because the credibility of the prosecutor's articulated reason for his strikes was attacked only on a disparate impact theory.
