State v. Gonzalez-Sandoval
State v. Gonzalez-Sandoval
Opinion
A jury convicted Jose Alberto Gonzalez-Sandoval of aggravated indecent liberties with a child. He appealed to the Court of Appeals, raising four issues. A majority of the Court of Appeals panel found one argument meritorious. It held the trial court abused its discretion in not granting Gonzalez-Sandoval a new trial because of the
*854
State's exercise of a peremptory strike that removed an individual with a Spanish surname from the jury panel. See
State v. Gonzalez-Sandoval
,
Generally, each party may use peremptory strikes-also called peremptory challenges-to reject a certain number of potential jurors without stating a reason. But if another party objects to the peremptory strike under
Batson v. Kentucky
,
Gonzalez-Sandoval objected to the State using a peremptory strike to remove an individual with a Spanish surname from the pool of potential jurors. The State responded, in part, by stating the prospective juror had not been candid when asked during the jury selection process about having been a witness or having been interviewed by law enforcement. The district court determined the State had a race-neutral reason for striking the potential juror. Later, the State's prosecutors advised the district court the juror had not been a witness or been involved in the investigation they mentioned. They explained how they had made the mistake, and the district court found that the prosecutors had honestly believed the reasons they gave for exercising the peremptory strike. Because one of the State's reasons was race-neutral, the district court denied Gonzalez-Sandoval's renewed objection. And after the verdict, the district court denied Gonzalez-Sandoval's request for a new trial in which he alleged the State had discriminated during jury selection.
On appeal, a majority of the Court of Appeals panel determined the circumstances showed the peremptory strike was not race-neutral. The majority thus concluded the district court should have granted Gonzalez-Sandoval a new trial. See
Gonzalez-Sandoval
,
The State timely sought this court's review. Gonzalez-Sandoval did not cross-petition to ask for our review of the Court of Appeals' adverse rulings on his remaining issues. Thus, the only issue before us is whether the trial court abused its discretion in denying Gonzalez-Sandoval's Batson objection. Gonzalez-Sandoval does not ask us to go outside the Batson framework.
We reverse the Court of Appeals and affirm the trial court. The outcome of this appeal hinges on the trial court's findings that (1) the State honestly believed the factual basis it first offered as the reason for its strike and (2) the reason was not a pretext. These findings relate to questions of credibility, which this court does not reweigh. The Court of Appeals suggested reasons, which, if established, might suggest pretext. But Gonzalez-Sandoval did not make those arguments and has not met his burden of establishing the State exercised its peremptory strikes based on purposeful racial discrimination. Thus, he has failed to establish that the trial court abused its discretion in denying his motion for new trial.
FACTUAL AND PROCEDURAL BACKGROUND
The underlying facts of this case were fully set forth in the Court of Appeals opinion. See
Gonzalez-Sandoval
,
To put the disputed strike in context, three individuals in the group called for jury duty and assigned to Gonzalez-Sandoval's trial-a group called the venire-had Spanish surnames. The State sought to or did exercise either a challenge for cause or a peremptory strike of all three.
One of the three was dismissed for cause because she revealed she could not be fair and impartial in considering a case involving indecent liberties with a child because of her experience as a victim of a sex crime. Gonzalez-Sandoval did not object to this challenge and does not raise it as an issue on appeal.
Likewise, on appeal, he does not argue the trial court erred in handling the State's peremptory strike to a second potential juror because the trial court ruled the State could not exercise its challenge. This potential juror *855 had a hyphenated surname, only the last portion of which sounded Spanish. When Gonzalez-Sandoval objected to the strike based on Batson , the prosecutor responded that she was not sure the potential juror was a member of an ethnic or a racial minority. The trial court ruled it would consider anyone with a Spanish-sounding surname to be a member of a minority class. The State then explained that the potential juror "didn't respond very much to any of the questions" and "it just sometimes didn't seem that she was engaged in the process." The trial court found: "[W]e don't know or have any indication ... that she would have had any responses." The trial court thus determined the State could not exercise the peremptory strike to remove the juror.
The opposite outcome resulted from the State's peremptory strike to the third juror with a Spanish-sounding surname, who we will call T.R. The prosecutor had asked T.R. some specific questions. And T.R. had responded. But the State would later assert T.R. did not respond to a different question asked of the entire group of potential jurors.
Specifically, the State first asked if any of the group had "been a witness, such as [being] questioned during an investigation or [having] to appear in court as a witness on a sex crime case?" No one responded, and the State does not suggest that T.R. should have responded to that question. The State then asked, "Has anybody been a witness, just in any kind of case where you had to answer questions to a law enforcement officer?" Five individuals responded. Two merely said, "Yes." A third revealed the nature of the case-vandalism. A fourth said he testified in a criminal case, and the fifth said, "I've answered questions for an investigation." T.R. did not respond. T.R.'s failure to answer this question and to reveal she had been a witness or had been questioned during an investigation led to the State exercising one of its peremptory challenges to strike T.R.
When Gonzalez-Sandoval's attorney objected based on Batson , the prosecutor responded:
"As far as Juror [T.R.], Your Honor, the State put questions to the jury about whether they had been a witness in a case or whether they had been questioned by the police involved in any way. [T.R.] was a witness in Arzate, an endorsed-we believe she was an endorsed witness in the Arzate case and had questions asked of her. We also have her in an investigation about her son where she was questioned some in her-her son-in-law, I'm sorry Judge, about the use of her own personal cell phone. And so we have knowledge of her, but she did not respond to our questions in regards to whether she'd been questioned before or a potential witness, either answering questions of law enforcement. Also, she avoided a lot of eye contact, Your Honor. Noticing that she was looking away a lot of times, especially in questions that I felt perhaps should have elicited a response, and both of the times that she was a witness-or questioned about being involved in allegations."
Defense counsel replied:
"I don't think that looking away is a good enough reason to strike someone of the same culture or ethnic heritage of the defendant. I don't know what the Arzate case is or what that involves, but it doesn't sound like she's done anything except maybe not being as cooperative as the State had hoped in an investigation. It has nothing to do with this. I don't think it qualifies as legitimate reasons for the Batson decision."
The trial court denied Gonzalez-Sandoval's Batson objection. It first found "that based upon the surnames that [T.R.] does appear to be of the same ethnicity as the defendant." Next the trial court determined the "principal challenge" was that the potential juror did not disclose information in response to direct questions, "one of those questions being whether she had been questioned or involved with prior investigations or other investigations." The trial court specifically found this reason was race-neutral. On the other hand, the trial court stated it was "not sure that, standing alone, the question of whether a potential juror avoids eye contact would be a basis-a racially-neutral basis." But the court returned to the principal reason for the strike reiterating that "the indication that the witness was not being truthful *856 in her response, in my opinion, or at least candid in her response would, in my opinion, be a racially-neutral response. And so, I'll therefore allow the peremptory challenge over the defense's objection."
Gonzalez-Sandoval made no other Batson objections. The parties completed jury selection, and the court held a lunch recess. After the recess, the prosecutor informed the trial court that the State had learned T.R. had not been involved in the Arzate case. The prosecutor told the judge she had misread her notes from the prosecutor's investigator and a different individual with the same or similar name had been the witness. But the prosecutor said she believed the information about T.R.'s involvement in the second investigation was still correct. Gonzalez-Sandoval renewed his objection, which the trial court overruled.
Gonzalez-Sandoval's jury trial proceeded with the impaneled jury that did not include T.R. On the second day of trial, the State informed the trial court it was also wrong about T.R.'s involvement in the second investigation it had mentioned at the time of the Batson challenge. It turned out that alleged witness was a relative of T.R. But the State claimed it saw references to T.R. in the "Spillman Police System" as a witness in an auto-burglary case as well as a criminal damage to property case. Gonzalez-Sandoval again renewed his Batson challenge, which the trial court overruled. The court first stated that T.R. should have disclosed the new information. Then it concluded: "I'll continue the same ruling, but note and appreciate the candor of counsel. I think counsel honestly believed what they represented to the Court, it just turned out to be incorrect."
The jury convicted Gonzalez-Sandoval of aggravated indecent liberties with a child. He moved for new trial, arguing, in part, his Batson challenge should have been granted. The trial court denied his motion. But the trial court granted Gonzalez-Sandoval's motion for a downward durational departure and sentenced him to 59 months' imprisonment. Gonzalez-Sandoval timely appealed his conviction and sentence.
A majority of the Court of Appeals panel found the trial court erred in denying Gonzalez-Sandoval's
Batson
challenge. Thus, it held he should be granted a new trial. See
Gonzalez-Sandoval
,
The State timely petitioned for review, which this court granted. Gonzalez-Sandoval did not ask us to review the panel's adverse rulings on the other issues raised in his brief.
ANALYSIS
The facts present the following question: If a party exercises a peremptory strike for a reason later found to be untrue, should a new trial be granted? Because of the way the Court of Appeals majority structured its analysis, the State has divided its argument before us into two parts: (1) Did the Court of Appeals panel err when it concluded the State struck T.R. for a discriminatory reason because it relied on inaccurate information to support its explanation? And (2) did the Court of Appeals majority err in ruling the State must ask the potential juror about the basis of the strike before exercising a peremptory challenge? We will address both questions as we march through the three-step analysis imposed by the United States *857 Supreme Court in Batson. To frame that analysis, we will begin with a brief discussion of Batson and decisions of the United States Supreme Court applying Batson .
Batson
followed a line of decisions in which the United States Supreme Court had "consistently and repeatedly ... reaffirmed that racial discrimination by the State in jury selection offends the Equal Protection Clause."
Georgia v. McCollum
,
Although aware of the concerns, the United States Supreme Court has struggled with what test best ensures discrimination does not occur in jury selection. The Court has recognized the task becomes complicated because the decision of which jurors a party wants to sit on a jury involves discretion about "choices subject to myriad legitimate influences, whatever the race of the individuals on the panel from which jurors are selected."
Miller-El
,
The systemic discrimination test's "crippling burden of proof" proved unworkable, however.
Batson,
The
Batson
Court emphasized: "As in any equal protection case, the 'burden is, of course,' on the defendant who alleges discriminatory selection of the venire 'to prove the existence of purposeful discrimination.' [Citation omitted.]"
Batson
,
Step One: Prima Facie Showing That Peremptory Challenge Is Based on Race
Under the first step prescribed by
Batson
, a defendant alleging discrimination in the jury selection "may make out a prima facie case of purposeful discrimination by showing that the totality of the relevant facts gives rise to an inference of discriminatory purpose."
Batson
,
When Gonzalez-Sandoval made his objection, the State offered reasons for the strike. The trial court then found "that based upon the surnames that [T.R.] does appear to be of the same ethnicity as the defendant." After that statement, the court immediately *858 turned to the next Batson step. It, thus, appears the trial court held Gonzalez-Sandoval had satisfied Batson 's first step, although it did not label its ruling as a step-one determination.
On appeal, there is no dispute that T.R. was a member of a protected class for purposes of
Batson
. Thus, the first step of the analysis-a prima facie showing by the party making the
Batson
challenge-is not at issue. See
Hernandez v. New York
,
We hold Gonzalez-Sandoval met his burden of establishing the first step of his Batson challenge.
Step Two: The State Must Establish a Neutral, Nondiscriminatory Reason
Under the second step of the
Batson
analysis, once a party has established a prima facie case of discriminatory intent, the burden of production shifts to the other party-the party making the peremptory strike. That party must come forward with a neutral, nondiscriminatory reason for exercising the peremptory strike.
Batson
,
A
Batson
step-two explanation must be "reasonably specific" but need not be based solely on the prospective juror's answers.
Purkett
,
As a reminder, here, the State offered what the trial court categorized as two justifications for striking T.R. First, the trial court recognized as a race-neutral reason for the State's peremptory strike that T.R. "did not disclose in response to direct questions" information she should have disclosed. The court specifically referred to T.R.'s failure to respond to the State's question about whether any juror "had been questioned or involved with prior investigations." The court added: "[T]he indication that the witness was not being truthful in her response, in my opinion, or at least candid in her response would, in my opinion, be a racially-neutral response. And so, I'll therefore allow the peremptory challenge over the defense's objection." Second, the trial court referred to T.R. avoiding eye contact. But the court determined that reason, standing alone, would not justify the strike.
Regardless of the trial court's refusal to accept the second reason, its factual finding that T.R. had not responded with candor states a race-neutral reason for exercising the peremptory strike. See
Hernandez
,
In holding the reason was not race-neutral, the Court of Appeals majority focused on the
*859
fact that the State disclosed its mistaken belief that T.R. had been involved in the Arzate case and another investigation. The Court of Appeals majority emphasized that the State had offered a third and perhaps fourth investigation-an automobile burglary and a criminal damage to property incident-as examples of T.R.'s failure to disclose information when asked about being questioned by law enforcement. The majority saw T.R.'s alleged involvement in the four investigations as four separate reasons for the State's exercise of the peremptory strike. See
Gonzalez-Sandoval
,
In embarking on an analysis about whether the State could change the basis for its strike, the Court of Appeals majority failed to recognize that the trial court "continue[d] the same ruling" and found that the prosecutors "honestly believed what they represented to the Court" when Gonzalez-Sandoval first made his objection to the State's exercise of its peremptory challenge to T.R. Significantly, the trial court's factual finding of an honest belief by the prosecutor constitutes a credibility determination. And a reviewing court gives "significant deference" to the trial court's factual rulings made as part of the
Batson
analysis because the trial court's "decision rests heavily on an assessment of the credibility and demeanor of the challenging attorney."
Dupree
,
Here, this credibility determination is critical to resolving the issue. When the reason for a Batson challenge turns out not to be correct, other courts have held the determinative question is whether the State honestly believed the information was true at the point when the State relied on the misinformation.
For example, in
Aleman v. Uribe
,
Several other courts have likewise held an honest mistake about the basis for a peremptory strike is not a presumptive
Batson
violation. See
United States v. Watford
,
These cases share an underlying reasoning that is consistent with the core intent of
Batson
, which "prohibits purposeful discrimination, not honest, unintentional mistakes."
Aleman
,
Given the credibility finding by the trial court, we need not turn to the heart of the Court of Appeals majority's analysis about whether the State could offer additional examples of T.R.'s possible questioning by law enforcement during an investigation. The core basis for the trial court's reason-that the State honestly believed T.R. had not candidly answered questions about her involvement in the Arzate case and another investigation-stands as a race-neutral reason for the strike. And that is all the State needed to do under the second
Batson
step. By demanding more, the Court of Appeals majority essentially created a presumption and ignored "the trial court's step-three duty to distinguish between sham excuses that violate the Equal Protection Clause and bona fide, race-neutral explanations for a peremptory strike."
Wilson
,
Step Three: Defendant's Burden to Show Pretext
The question on appeal centers on the third step of the
Batson
analysis. Under that step, once the prosecution offers a race-neutral explanation, the defendant bears the burden of showing pretext, which "requires the judge to assess the plausibility of that reason in light of all evidence with a bearing on it."
Miller-El
,
The trial judge's determination of the plausibility of the State's reason is a factual one, and because "the trial judge's findings in the context under consideration here largely will turn on evaluation of credibility, a reviewing court ordinarily should give those findings great deference."
Batson
,
Here, after the State proffered that T.R. had not been candid in her response to the State's question, Gonzalez-Sandoval responded by arguing that reason was not enough to justify the strike. He seemed to demand a for-cause challenge. But in
Batson
, the Court "emphasize[d] that the prosecutor's explanation need not rise to the level justifying exercise of a challenge for cause."
Batson
,
The Court of Appeals majority implicitly held Gonzalez-Sandoval did not need to do more. Instead, it suggested additional things the State should have done. It concluded that as a matter of procedural fairness the State should have confronted T.R. about her alleged questioning by law enforcement. In essence, the majority reasoned confronting a prospective juror is necessary to prevent improper strikes because of faulty information
*861
or poorly worded questions. See
"[W]e must note that the record reveals that the State used an investigator to look into the background of the minority venire member, T.R. The record does not indicate whether only T.R.'s background was investigated, or whether the backgrounds of only minority venire members were investigated, or whether the backgrounds of all venire members-both minority and nonminority members-were investigated. This is an important question. For example, if the backgrounds of only minority venire members were investigated, there would be no way to compare the similarities and differences between the two groups: minority and nonminority. This means that minority venire members could be excluded for something in their background which also existed in the background of nonminority venire members. This situation would obviously be unfair and a denial of equal protection to defendants and to minority venire members."53 Kan. App. 2d at 568 ,390 P.3d 84 .
The proposed procedure and the suggested lines of inquiry might have revealed a discriminatory motive-that is, whether a party's proffered race-neutral justification was merely a pretext. But Gonzalez-Sandoval did not raise any of these matters when making his
Batson
challenge, when arguing the issue the second day of the trial, or when arguing his motion for new trial. During the initial argument, for example, Gonzalez-Sandoval did not ask to inquire of T.R. about the basis for the State's proffer. Nor did he challenge the accuracy of the reasons given by the State in any other way. See
State v. Trotter
,
In essence, the Court of Appeals majority shifted the burden to the State. But the Court of Appeals majority cited no authority for doing so. The Court of Appeals concluded its approach would be more effective in ferreting out pretextual reasons for the exercise of peremptory strikes. And perhaps it would. But the State argues otherwise and asserts that the Court of Appeals approach would make jury service more onerous and personally invasive. In turn, citizens would be dissuaded from participating. But the relative merits of the
Batson
framework, its deficiencies, or the need to modify it under Kansas law are not questions Gonzalez-Sandoval presented to the Court of Appeals or to us. Cf.
City of Seattle v. Erickson
,
Under the third step of the
Batson
analysis, it was Gonzalez-Sandoval's burden to show pretext. See
Miller-El
, 545 U.S. at 252,
Gonzalez-Sandoval simply did not meet his burden under the third
Batson
step. His counsel merely argued the State's reasons were not good enough to strike T.R. and the State's question was not clear enough to elicit a response. But the lack of candor is a sufficient reason to establish race-neutrality, and other jurors understood the question. On
*862
appeal, he has not established an error of law, has not established an error of fact, and has not suggested no other reasonable judge would have reached the same conclusion. In other words, Gonzalez-Sandoval has failed to establish the trial court abused its discretion in determining the State did not purposefully discriminate in ruling on the
Batson
objection. Likewise, he failed to establish that the trial court abused its discretion in denying his motion for new trial on the same basis. See
State v. Longoria
,
CONCLUSION
The Court of Appeals majority erred in reversing the trial court. The State's honest but mistaken belief about its race-neutral reasons for striking T.R. does not presumptively show purposeful discrimination under Batson . And appellate courts defer to a trial court's determination of credibility when judging whether a stated reason for a strike is pretext for discrimination. Here, the trial court determined the reason was race-neutral and not pretext, and Gonzalez-Sandoval did not carry his burden to establish otherwise.
The judgment of the Court of Appeals is reversed. The judgment of the trial court is affirmed.
Reference
- Full Case Name
- STATE of Kansas, Appellee, v. Jose Alberto GONZALEZ-SANDOVAL, Appellant.
- Cited By
- 41 cases
- Status
- Published