Lisa Chamberlin v. Marshall Fisher, Commissioner
Opinion
Lisa Jo Chamberlin participated in a heinous double murder in Mississippi. A jury convicted her of two counts of capital murder. She was sentenced to death. Chamberlin, who is white, appealed her conviction, arguing in part that the prosecution invidiously discriminated against
black prospective jurors during jury selection at her trial in violation of
Batson v. Kentucky
,
I
The gruesome details of Chamberlin's crimes have been laid out in detail several times-we need not reiterate them here. The evidence against her was substantial; she was duly convicted by a jury of her peers of two counts of capital murder. What is essential to this appeal is not what happened during the trial, however, but rather what took place before the trial began.
A. Jury Selection
Chamberlin's jury selection began with a pool of 42 qualified jurors, thirteen of whom-31%-were black. The prosecution and defense were each entitled to exercise up to fourteen peremptory strikes. The prosecution began by moving through a batch of prospective jurors, striking or keeping as it went. The defense then went through the jurors the prosecution had accepted, exercising its peremptory strikes as it wished. Any jurors that were accepted by both the prosecution and defense were put on the jury, and the prosecution then began again with a fresh batch. This procedure continued until twelve jurors and two alternates were selected. The prosecution exercised thirteen of its peremptory strikes throughout the process; the defense used all fourteen. Ultimately, Chamberlin's jury consisted of ten white jurors, two black jurors, and two white alternates.
Chamberlin's counsel objected to the prosecution's use of peremptory strikes against black prospective jurors throughout jury selection. The trial court expressed doubts that Chamberlin had established a prima facie case under the Batson framework, but asked the prosecution for its race-neutral reasons for the strikes in any case. The prosecution's race-neutral reasons for striking two specific prospective black jurors are pertinent here. When asked to explain its strikes of black prospective jurors Sturgis and Minor, the prosecution pointed to their answers to three questions on the jury questionnaire. Both answered questions 30, 34, and 35 in ways that indicated they were uneasy with the prospect of announcing a verdict of death and might hold the government to a higher burden of proof than the law requires. The defense responded to these proffered race-neutral reasons on general grounds, arguing that both Sturgis and Minor "could be ... fair-minded jurors on the question of the death penalty." Relevant to this appeal, at no point did Chamberlin's counsel seek a comparative juror analysis between black jurors the prosecution struck and white jurors it accepted, nor did the trial court conduct such a comparison sua sponte . The trial court rejected Chamberlin's Batson argument and the trial proceeded apace. Chamberlin was ultimately convicted and sentenced to death.
B. Mississippi Supreme Court
The Mississippi Supreme Court had two separate opportunities to review Chamberlin's
Batson
claim. It rejected her contentions both times. First was Chamberlin's direct appeal, where she argued that the trial court erred in denying her
Batson
challenge, focusing on the prosecution's strikes of seven black prospective jurors.
See
Chamberlin v. State
,
Chamberlin's
Batson
claim again came before the Mississippi Supreme Court two years later when she filed a motion for post-conviction relief, arguing in relevant part that her state trial counsel was ineffective because he failed to adequately argue her
Batson
challenge. This time Chamberlin specifically argued that her counsel "should have performed a comparative jury analysis, which would have demonstrated disparate treatment of the jurors, indicating that the State's strikes were pretextual."
Chamberlin v. State
,
C. Federal Habeas
Having failed to get the desired relief from the Mississippi courts, Chamberlin petitioned for a writ of habeas corpus in federal court. Her petition listed thirteen grounds for relief, among them that the Mississippi Supreme Court clearly erred in denying Chamberlin's
Batson
claims.
See
Chamberlin v. Fisher
("
Chamberlin I
"), No. 11CV72CWR,
The district court granted Chamberlin's petition, finding that her
Batson
claim warranted federal relief under the Antiterrorism and Effective Death Penalty Act ("AEDPA"). AEDPA provides two grounds upon which a federal court can grant habeas relief for claims decided in state court: if the state court decision (1) "was contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States,"
First, the district court interpreted the Supreme Court's decision in
Miller-El v. Dretke
("
Miller-El II
"),
The district court further held that the lack of comparative juror analysis rendered "the state court's conclusion that there was no showing of purposeful discrimination ... incomplete."
In short, the district court concluded as a matter of law that a state court must conduct a comparative juror analysis in Batson cases sua sponte . It reasoned that because the Mississippi Supreme Court failed to do so, its decision on Chamberlin's Batson case was both unreasonable as a matter of law and so infirm as a factual matter so as to not be entitled to the substantial deference AEDPA would otherwise require. 2
II
"In reviewing a grant of habeas relief, the Court examines 'factual findings for clear error and issues of law de novo.' "
Richards v. Quarterman
,
This case is governed by AEDPA. As noted above, AEDPA restricts a federal court's ability to grant habeas relief after an adjudication on the merits in state court to only two grounds. Under § 2254(d)(1), a federal court "may grant relief when a state court has misapplied a governing legal principle to a set of facts."
Chamberlin's only claim at issue in this appeal stems from the Supreme Court's decision in
Batson
.
Batson
set up a three-step burden-shifting framework for determining whether the prosecution has engaged in invidious racial discrimination during jury selection. "First, the claimant must make a
prima facie
showing that the peremptory challenges have been exercised on the basis of race. ... [T]he burden [then] shifts to the party accused of discrimination to articulate race-neutral explanations for the peremptory challenges. Finally, the trial court must determine
whether the claimant has carried [her] burden of proving purposeful discrimination."
United States v. Montgomery
,
Thus, Chamberlin's claim faces a formidable twofold hurdle: she must overcome both the burden placed on her by the Batson framework and the substantial deference AEDPA requires us to give the state court's factual findings.
III
We must decide whether either of the two grounds for granting habeas relief under AEDPA applies to Chamberlin's case. The district court concluded that both applied. We disagree on both fronts.
A. Clearly Established Federal Law
The district court's interpretation of
Miller-El II
compelled its conclusion that the state court's "failure to conduct a comparative analysis was contrary to clearly established federal law."
Chamberlin I
,
Judge Jolly, now a Senior Judge of this court, participated in the consideration of this en banc case. Judge Graves is recused and did not participate in this decision. Judges Willett and Ho also did not participate in this decision.
It is worth noting also that at no point did the district court address the Mississippi Supreme Court's comparative juror analysis conducted in Chamberlin's postconviction proceeding. The district court's only reference to the Mississippi Supreme Court's postconviction decision was in passing at the very beginning of its opinion.
See
Chamberlin I
,
The Supreme Court in
Miller-El II
found that the prosecution had invidiously discriminated in striking ten out of eleven prospective black jurors.
Miller-El II
,
First,
Miller-El II
did not clearly establish any
requirement
that a state court conduct a comparative juror analysis at all, let alone
sua sponte
. Judge Ikuta of the Ninth Circuit recently examined this issue in depth; we find her analysis compelling.
See
McDaniels v. Kirkland
,
Because Miller-El II considered only whether the state court made an unreasonable factual determination, the Supreme Court did not discuss, let alone squarely establish, a new procedural rule that state courts must conduct comparative juror analysis when evaluating a Batson claim. At no point did Miller-El II suggest that the state court in that case violated the petitioner's constitutional rights by failing to adhere to such a procedural rule. Accordingly, because Miller-El II does not provide a clear answer to the question whether a state court must conduct comparative juror analysis as part of its Batson inquiry, we cannot hold that a state court which fails to conduct comparative juror analysis violates clearly established Federal law, as determined by Miller-El II .
Second, regardless of whether it was required to do so, the Mississippi Supreme Court
did
conduct a comparative juror analysis in Chamberlin's case, albeit in a postconviction proceeding instead of on direct appeal. Chamberlin's
Batson
claim was inextricably intertwined with the ineffective assistance of counsel argument she raised at the postconviction proceeding. She argued in relevant part that her trial counsel was ineffective because he should have sought a comparative juror analysis in the trial court. In response to this contention, the Mississippi Supreme Court stated that it
had
conducted a "thorough review of the record ... including the jury questionnaires provided by Chamberlin."
Chamberlin
,
The district court thus erred twice as it pertains to the "clearly established law" ground for habeas relief under AEDPA. First, it erred in concluding that clearly established federal law required the Mississippi Supreme Court to conduct a comparative juror analysis sua sponte . Second, it erred in failing to address the comparative juror analysis the Mississippi Supreme Court did conduct, albeit in the postconviction context.
B. Unreasonable Determination of the Facts
The district court further concluded that the state court's factual finding that the prosecution did not invidiously discriminate during jury selection was an unreasonable determination of the facts in light of the evidence presented. The district court rested its holding on a comparative juror analysis between Sturgis/Minor and Cooper alone. 3
Before reaching those arguments, however, it is important to stress that the district court did not grant proper deference to the Mississippi Supreme Court's factual findings at the postconviction proceeding. As noted above, the district court concluded it did not need to defer to the state court's factual findings under AEDPA because those findings did not include the requisite comparative juror analysis. We have already explained that conclusion was error because there is no requirement to conduct such a comparison, particularly sua sponte . But even if such a requirement did exist, the Mississippi Supreme Court's factual findings during the postconviction proceeding-findings made pursuant to a comparative juror analysis-would be entitled to AEDPA deference. We federal courts are required to defer to the Mississippi Supreme Court's factual finding that a comparative juror analysis in Chamberlin's case produced no evidence of disparate treatment of black prospective jurors.
Even if we were not required to defer to the state court's factual findings, however, we would still hold that the district court erred in concluding that Chamberlin established that the prosecution's proffered race-neutral reasons were pretextual. To show why this is so, we turn to the comparative juror analysis.
The Supreme Court has instructed that, when analyzing
Batson
challenges, "bare statistics" are not the be-all and end-all.
Miller-El II
,
The district court's determination on this front can be boiled down in this way: (1) the prosecution said questions 30, 34, and 35 were the reasons Sturgis and Minor were struck; (2) Cooper answered those questions identically; therefore (3) questions 30, 34, and 35 could not have been the real reasons Sturgis and Minor were struck, else Cooper would have been struck as well. Accordingly, the prosecution's proffered race-neutral reasons for striking Sturgis and Minor must have been pretextual.
But questions 30, 34, and 35 were not the only questions Sturgis, Minor, and Cooper had to answer. They were rather three questions out of dozens on a pages-long jury questionnaire. And if Cooper in particular gave other responses that materially differentiated him from Sturgis and Minor and made him a more favorable juror for the prosecution, then the district court's ruling does not follow.
Consider, for example, question 53, which asked prospective jurors to circle the response that best matched their opinion on the death penalty. Sturgis and Minor circled "Generally Favor" and "No Opinion," respectively. Cooper, by contrast, circled "Strongly Favor," and then wrote in "for rape, murder, child abuse, [and] spousal abuse" by hand in the margin. Cooper clearly answered a key question in a way that materially distinguished him from Sturgis and Minor. Thus, the most logical explanation for the prosecution's not striking Cooper was not because he was white while Sturgis and Minor were black, but because Cooper was a more favorable juror based on his answers to other questions.
This conclusion is further confirmed by the existence of an additional black juror, Carter, who was accepted by the prosecution. Carter gave worse (from a prosecutor's perspective) answers to question 30 and 34 than did Sturgis and Minor, and gave the same answer as they did to question 35. But she answered question 53 in the same manner as Cooper: circling "Strongly Favor" and then writing in by hand additional crimes for which she felt the death penalty was appropriate. And again, Carter-a black prospective juror-was accepted by the prosecution.
Indeed, the district court conceded that the prosecution could reasonably have viewed Cooper as a more favorable juror than Sturgis and Minor in light of his answer to question 53. But it decisively concluded that it could
not
consider Cooper's answer to question 53, because question 53 was not one of the race-neutral reasons given by the prosecution for striking Sturgis and Minor.
See
Chamberlin I
,
First, the district court took out of context the
Miller-El II
admonition that "a prosecutor simply has got to state his reasons as best he can and stand or fall on the plausibility of the reasons he gives."
Miller-El II
,
In addition, the Court specifically noted that when a prosecutor gives a facially race-neutral reason for striking a black juror, a reviewing court must "assess the plausibility of that reason
in light of all evidence with a bearing on it
."
There is, accordingly, a crucial difference between asserting a new reason for
striking
one juror and an explanation for
keeping
another. They are not two sides of the same coin, as the dissent asserts. In the former scenario, the prosecutor effectively concedes that his initial (race-neutral) reasons were insufficient bases for striking the juror.
Miller-El
's "stand or fall" requirement applies to this situation, blocking such post hoc rationalizations.
See
Miller-ElII
,
Second, to hold that the prosecution is not allowed to point to Cooper's other jury questionnaire responses is to engage in a bait-and-switch that vitiates the probative value of the jury comparison in the first place. At jury selection, the prosecution was asked to explain why it struck black jurors Sturgis and Minor, as Batson requires. It did so. Then, years later on federal habeas, the defense altered its approach, and the prosecution was now asked to explain why it kept white juror Cooper. And yet, despite the change in inquiry, the prosecution was not allowed to respond, even by pointing to record evidence it undeniably would have been able to identify had a timely objection been made-it was stuck with the answer it had given to an entirely different question during jury selection. Not only is this state of affairs manifestly unfair, it is inconsistent with the Supreme Court's directive regarding juror analysis in Snyder . If a court does not consider the entire context in which a white juror was accepted, then he/she cannot serve as a useful comparator.
A hypothetical will help to illustrate the point:
1. Prosecutor decides, as a default position, to strike all jurors who express concerns about the legal burden of proof.
2. Prosecutor reviews juror questionnaires and notes that Jurors A, B (both black) and C (white) have expressed concerns about the legal burden of proof. Consequently, Prosecutor intends to strike all three by default.
3. Upon further review, Prosecutor notes that Juror C alone strongly favors the death penalty. Because this is a capital case, Prosecutor decides to make an exception to the default rule and retain Juror C because of his favorable death penalty views.
4. Prosecutor strikes Jurors A and B as planned. Responding to a Batson challenge, Prosecutor explains that A and B both expressed concerns about the legal burden of proof.
5. Prosecutor never mentions white Juror C because the law does not require Prosecutor to explain why he decided to keep any specific juror.
In this scenario, when Prosecutor strikes Jurors A and B for their position on the legal burden of proof, Prosecutor has concluded that their position on the legal burden of proof is a sufficiently strong basis to strike them. This implies that there are no other overriding reasons to accept A and B as jurors. Conversely, Juror C is not a comparator because his position on the legal burden of proof is not sufficiently strong to strike him; instead, his position on the legal burden of proof is redeemed by his stance on the death penalty, making him desirable as a juror.
If the defendant in such a case later raises a comparative jury analysis between Jurors A, B, and C as part of a Batson challenge, an accurate and honest assessment of the prosecutor's motives must allow the prosecution to point to white Juror C's view of the death penalty as the reason he was kept. Otherwise the Batson analysis risks capturing too many false positives, precisely because Juror C is no longer an accurate comparator to Jurors A and B.
Third, consider the related issue of the burden that would be placed on the prosecution at jury selection going forward if the district court's reasoning stands. In order to protect against future comparative juror analysis, the prosecution will not only have to explain why it struck black jurors-as Batson requires-but also why it kept white jurors. Indeed, the prosecution will have to explain why it kept every white juror, because it does not know which white jurors will be selected as comparators at some later date. In Chamberlin's case, for example, the only way the prosecution could have avoided the outcome dictated by the district court was by explaining why it kept Cooper. But the prosecution could not have known that Cooper would be the eventual comparator chosen and not some other juror, so it would have had to explain why it kept every white juror. 5 Such a requirement would make the jury selection process impractical, whereas considering the totality of the circumstances conforms with the Court's instruction in Batson , Miller-El II , and Snyder . 6
Fourth, the procedure for conducting a comparative juror analysis described by the district court creates perverse incentives for both the defense and the prosecution. For the defense it is better not to raise comparative juror analysis in the trial court and to wait until much later in the game to point to a white comparator, because the prosecution will be stuck with whatever reasons it gave for striking black jurors in the trial court and allowed no other explanation-no matter how compelling and/or how certain it is that it would have been raised had a timely objection been made. And for the prosecution, it might be deemed strategically advantageous to be less detailed when giving race-neutral reasons in the trial court, because the more general the answers, the harder it will be to conduct a formal side-by-side comparison down the line.
Our holding today does not eviscerate Batson protections: We simply allow a prosecutor the chance to respond whenever the court engages in a comparative juror analysis. Important limitations on that response remain. For one, the prosecutor is constrained by the voir dire record, which helps guard against the fabrication of new distinctions that did not motivate the initial decision. Moreover, even if the prosecutor provides a supported basis for keeping a non-black juror, the court must still determine whether that basis provides an adequately redeeming reason to override the strike-worthy characteristics the non-black juror shares with the black jurors who were struck. Perhaps most importantly, allowing this response does not permit the prosecutor to change his original reasons for striking black jurors. Such protections will guard against the rare cases in which a Batson violation is followed by an ongoing, planned concealment of that violation by the various prosecutors involved in each case.
Conversely, to hold that a reviewing court cannot look at the totality of the circumstances in order to determine an accurate comparator when conducting a comparative jury analysis sua sponte and belatedly on federal habeas is to invert the Batson framework, rendering it unjust, impractical, and contrary to its original purpose.
* * *
The prosecution in Chamberlin's case did what it was supposed to do: it rejected some black prospective jurors and accepted others, accepted some white prospective jurors and rejected others. When asked why it struck individual black prospective jurors, it gave specific race-neutral reasons for the strikes. The Mississippi Supreme Court found on multiple occasions that the prosecution did not invidiously discriminate against black prospective jurors. Then, on federal habeas-where AEDPA deference is the rule-the prosecution was asked to explain years later why it kept a white juror. Yet, when it tried to answer that question with reference to record evidence it would have identified had the defense timely objected, the district court concluded it could not do so. No case-not Batson , Miller-El II , or any other-has ever suggested, let alone mandated, this distortion of the Batson regime.
IV
We find that neither statutory ground for granting federal habeas relief under AEDPA applies to Chamberlin's case. Accordingly, we REVERSE the district court's order granting Chamberlin's petition for a writ of habeas corpus, and VACATE the district court's order setting aside Chamberlin's conviction and sentence.
GREGG COSTA, Circuit Judge, dissenting, joined by STEWART, Chief Judge, DAVIS, DENNIS, and PRADO, Circuit Judges:
The jury-the voice of "We the People" in our justice system-was of such importance to the Founding generation that it is one of only two rights included in both the Constitution and Bill of Rights.
1
U.S. CONST. art. III; amends. VI, VII ;
see also
THE FEDERALIST No. 83 (Alexander Hamilton) ("The friends and adversaries of the plan of the [constitutional] convention, if they agree on nothing else, concur at least in the value they set upon the trial by jury"). In the latter, it is the only right that is a focus of two amendments. As is the case for many of our finest institutions, the greatest obstacle to the jury system's achieving its full promise has been racial discrimination. From the earliest applications of the Equal Protection Clause to the present, that guarantee's most prominent role in the criminal justice system has been ferreting out such discrimination in the composition of juries.
See, e.g.,
Strauder v. West Virginia,
The problem of racial discrimination in the makeup of juries is now largely one about the exercise of peremptory strikes. It has been three decades since the Supreme Court recognized that discriminatory use of a strike violates the Constitution.
Batson
,
The two cases in which we have found discrimination both relied in large part on comparative juror analysis. Today's opinion saps most of the force out of this one tool that has ever resulted in us finding a Batson violation. Despite the only reasons cited at trial for striking two black jurors applying equally to an accepted white juror, the majority rejects the direct conclusion to be drawn from this inconsistency that the proffered reasons could not have been the real reasons for the strikes. If this case in which the compared jurors are identical with respect to the reasons stated at trial is not enough (the standard only requires that they be similarly situated), it is difficult to see how comparative analysis will ever support a finding of discrimination.
What is even more troubling is that we have been down this road before. The way the majority opinion gets around the identical comparison is to differentiate the jurors based on reasons not cited during the
Batson
inquiry at trial. In
Miller-El II
, the Supreme Court found error in our application of comparative juror analysis that did the same thing: "substitution of a reason" for the strike that was not offered at trial.
Miller-El II
,
It is true that peremptories are often the subject of instinct and it can sometimes be hard to say what the reason is. But when illegitimate grounds like race are in issue, a prosecutor simply has got to state his reasons as best he can and stand or fall on the plausibility of the reasons he gives. A Batson challenge does not call for a mere exercise in thinking up any rational basis. If the stated reason does not hold up, its pretextual significance does not fade because a trial judge, or an appeals court, can imagine a reason that might not have been shown up as false.
Id
. (citation omitted);
see also
Reed
,
I.
Before getting to those critical errors in the majority opinion's comparative juror analysis, it is important to note the revealing pattern of discriminatory strikes. The majority opinion does not even mention the highly disproportionate strikes of black prospective jurors. Instead it breezily says the prosecution "rejected some black prospective jurors and accepted others, accepted some white prospective jurors and rejected others." Maj. Op. at 844. It is no wonder the majority opinion does not details those "some"s and "others"; they are nothing alike.
The prosecution struck seven of the first eight black venire members it considered, which included the challenged strikes of Sturgis and Minor. The inverse was true for the first eight white jurors the prosecution considered: it accepted seven of eight (and ended up accepting nine of the first ten whites). Only after defense counsel started raising
Batson
objections and the prosecution was running out of strikes did it accept the two black jurors who ended up on the jury, and the second was only accepted in a moment of confusion when the prosecutor believed the juror had already been struck.
Cf.
Miller-El II
,
Even including those late, post-objection decisions, the overall numbers evince discrimination. The prosecution struck nearly two times as many black jurors as it accepted (eight strikes compared to five accepted, including one alternate), while accepting more than four times as many white jurors as it struck (five strikes compared to twenty-three accepted, including three alternates). It exercised 62% of its strikes on black jurors, despite black jurors making up only 31% of qualified prospective jurors.
This racial breakdown of the strikes is even more telling when compared with the results random strikes would predict. Given the demographics of the venire, the probability that random, race-neutral strikes would result in 8 of the 13 struck jurors being black was about 1 in a 100.
See generally
Joseph L. Gastwirth,
Statistical Testing of Peremptory Challenge Data for Possible Discrimination
, 69 VAND. L. REV. EN BANC 51, 59-62 (2016) ; Joseph L. Gastwirth
, Case Comment: Statistical Tests for the Analysis of Data on Peremptory Challenges
, 4 L. PROBABILITY & RISK 179, 182 (2005) (both showing how to complete this analysis). That probability of roughly 0.01 is "smaller than 0.05, the most frequently used probability level for determining statistical significance, which is equivalent to the two-standard deviation criterion" that the Supreme Court found to be the point at which the possibility of a race-neutral explanation was "suspect" in a case challenging exclusion of Hispanic grand jurors in south Texas. Gastwirth
, Statistical Testing of Peremptory Challenge Data
, at 60;
Castaneda v. Partida
,
When the Supreme Court has considered statistical evidence of discrimination in jury selection, it has focused on this demographic breakdown of strikes.
Miller-El I
, 537 U.S. at 331,
That two blacks ended up on the jury-one only because the prosecutor mistakenly though the juror had already been struck-does not overcome the strong inference to be drawn from the disproportionate strikes. Other courts of appeals have explained why this is the case:
The final composition of the jury ... offers no reliable indication of whether the prosecutor intentionally discriminated in excluding a member of the defendant's race. ... "[A] Batson inquiry focuses on whether or not racial discrimination exists in the striking of a black person from the jury, not on the fact that other blacks may remain on the jury panel."
Holloway v. Horn
,
In terms of those strikes, it is worth repeating that a black juror was more than seven times as likely to be struck as a white one and the random chance that so many blacks would be struck is a remote 1 in a 100. "Happenstance is unlikely to produce this disparity."
5
Miller-El II
,
II.
A.
Comparative juror analysis is a tool that helps determine whether this disproportionate exclusion of black jurors was the extraordinary coincidence it would take to defy these odds. An understanding of probability is not needed to see the mistake the majority opinion's approach makes with this inquiry; the most routine judicial task of reading precedent reveals it.
The rationale for comparative juror analysis is this: "If a prosecutor's proffered reason for striking a black panelist applies just as well to an otherwise-similar nonblack who is permitted to serve, that is evidence tending to prove purposeful discrimination to be considered at
Batson
's third step."
Miller-El II
,
Miller-El II
shows how this analysis can reveal pretext. The state struck a potential black juror purportedly because he "said that he could only give death if he thought a person could not be rehabilitated."
The
Miller-El II
comparison revealed the prosecutor's reasons to be pretextual and thus powerful evidence of discrimination even though other reasons the prosecutor gave for striking black jurors did not also apply to accepted white jurors.
The jurors "identical in all respects" that
Miller-El II
thought unlikely exist here. Every reason the prosecutor identified for excluding Sturgis and Minor applied to Cooper, the white juror who was not struck.
6
All three said they were "not sure" if they were emotionally capable of announcing a verdict of death; were "not sure" if they would hold the State to a higher burden of proof than the law requires given that it was a death penalty case; and "yes," they would want to be one hundred percent certain of the defendant's guilt before finding her guilty. Comparative juror analysis thus shows that the prosecutor's reason for striking Sturgis and Minor could not have been their answers to questions 30, 34, and 35. Otherwise, he would not have accepted Cooper who had the same answers the prosecution did not like. The perfect match among the answers of these jurors means that even
more than in the other cases that have found pretext based on a comparative juror analysis, "[t]he prosecutors' chosen race-neutral reasons for the strikes do not hold up and are so far at odds with the evidence that pretext is the fair conclusion, indicating the very discrimination the explanations were meant to deny."
Miller-El II
,
B.
How does the majority opinion try to avoid the implication of pretext that is stronger in this case than those in which the Supreme Court and our court have used comparative analysis to find
Batson
violations? It first does so by invoking AEDPA deference. That deference is substantial in allowing a federal court to grant postconviction relief only if the state court's rejection of the claim "was based on an unreasonable determination of the facts in light of the evidence presented in the State court proceeding."
"The standard is demanding but not insatiable; ... '[d]eference does not by definition preclude relief.' "
Miller-El II
,
The majority opinion defers to findings of the state court in rejecting an ineffective assistance of counsel claim, rather than its findings on direct appeal rejecting the
Batson
claim. This is curious. The Mississippi Supreme Court's rejection of the
Batson
claim on direct appeal did not address comparative juror analysis (as will be discussed below, that makes it no different than most of the cases in which the
Supreme Court or our court have conducted comparative juror analysis during federal habeas).
Chamberlin v. State
,
In any event, reliance on the state habeas ruling only puts the error of the state court's and majority opinion's comparative juror analysis front and center:
• This is what the Supreme Court of the United States has said cannot be done in comparing the jurors: "If the stated reason does not hold up, its pretextual significance does not fade because a trial judge, or an appeals court, can imagine a reason that might not have been shown up as false." Miller-El II ,545 U.S. at 252 ,125 S.Ct. 2317 .
• This is what the Supreme Court of Mississippi said in concluding that the comparison would not show discrimination: "[A] thorough review of the record in this case, including the jury questionnaires provided by Chamberlin , discloses that each of the African-American jurors struck had at least one response in his or her questionnaire that differentiated him or her from the white jurors who were accepted by the State." Chamberlin ,55 So.3d at 1051-52 .
Conducting a "thorough review" of the entire record to identify as reasons for the strikes distinctions among the comparators that were not contemporaneously cited violates
Miller-El II
. As the stand-or-fall principle recognizes, such differences will just about always exist when every possible characteristic is fair game. The state habeas court's use of comparative juror analysis is thus "contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court of the United States" in
Miller-El II.
But regardless of whether the Mississippi court committed AEDPA legal error under section 2254(d)(1) and whether the state court must conduct a comparative juror analysis as the district court concluded, the Supreme Court has made clear that a federal habeas court can consider comparative juror analysis in its section 2254(d)(2) review of whether a state court
Batson
ruling was based on an "unreasonable determination of the facts."
7
Miller-El II
,
C.
At least as a general matter, the majority opinion recognizes that a federal habeas court reviewing a Batson claim can consider comparative juror analysis not raised at trial because it engages in that inquiry. But in doing so, the majority opinion makes the same mistake as the Mississippi habeas court in relying on juror differences not identified at trial. It cannot contest the obvious: that on the questions the prosecutor cited during jury selection as his reasons for excluding black jurors Sturgis and Minor, accepted white juror Cooper gave the same responses. Instead, it argues that it should now be able to identify differences among those prospective jurors on their responses to other questions. The example is the three prospective jurors' differing answers to a separate question about the death penalty (question 53): Cooper was strongly in favor of the death penalty whereas Sturgis "generally favored" it and Minor had "no opinion." Maj. Op. at 840.
So how does the majority opinion get around
Miller-El II
's command that a prosecutor has to "stand or fall on the plausibility of the reasons he gives"?
Of course, this is just the other side of the same coin. If the difference between the three was question 53, that would mean Sturgis and Minor were struck not only because of their answers to questions 30, 34, and 35, but also because of their more lukewarm support of the death penalty conveyed in response to question 53. As its name demonstrates, the inquiry is a comparative one that requires differentiating the answers of struck and accepted jurors. That means citing different answers to the same question as a reason for keeping one juror is the same as saying the difference was a reason for striking the other juror.
See, e.g.
,
United States v. Taylor
,
The view that courts may credit new reasons jurors were
kept
despite sharing the trait the prosecution claimed justified striking black jurors-a novel position as the en banc court cites no other example of a court doing this-would make meaningless
Miller-El II
's bar on considering new reasons for strikes. Whether labelled as reasons for striking the black juror or ones for keeping the comparators, allowing new explanations years after trial turns the
Batson
inquiry into a "mere exercise in thinking up any rational basis" as there is no way to ensure the post-trial justification is what actually motivated the decisions made during jury selection.
Miller-El II
,
Miller-El II
shows why the distinction between reasons for striking and keeping comparators is empty. The new reason for striking the black juror our court offered that the Supreme Court rejected-his ambivalence about the death penalty-could just as easily have been treated as a reason for keeping the white jurors: their firmer support of the death penalty.
In explaining why veniremen Hearn, Witt, and Gutierrez were more favorable to the State than Fields, the majority faults me for 'focus[ing] on reasons the prosecution itself did not offer.' The majority's complaint is hard to understand. The State accepted Hearn, Witt, and Gutierrez. Although it is apparent from the voir dire transcript why the State wanted to seat these veniremen on the jury, it was never required to 'offer' its reasons for doing so.
Id
. at 306 n.4,
The majority also says we can look at answers to questions other than the three cited at trial because
Miller-El II
instructed courts to evaluate whether a prosecutors' stated reason is plausible "in light of all evidence with a bearing on it."
In contrast,
Miller-El II
refused to consider a new reason this court had identified on appeal.
Other circuits conducting comparative jury analysis have also read
Miller-El II
as requiring that the "validity of a strike challenged under
Batson
must 'stand or fall' on the plausibility of the explanation given for it at the time, not new post hoc justifications."
Taylor
,
None of these others circuits or the Supreme Court has said that
Miller-El II
's stand-or-fall rule applies only at the second step of
Batson
when the challenged lawyer must state race-neutral reasons. Maj. Op. at 841. The Supreme Court said just the opposite about the placement of the pretext inquiry: "If a prosecutor's proffered reason for striking a black panelist applies just as well to an otherwise-similar nonblack who is permitted to serve, that is evidence tending to prove purposeful discrimination to be considered at
Batson
's
third step
."
Miller-El II
,
D.
As no other court applying Miller-El II has relied on reasons beyond those given at trial when comparing jurors, the majority is forced to somehow show that this case is unique. It emphasizes that defense counsel did not identify the comparison at trial. The glaring problem with this is that the same was true in Miller-El II , as well as in most of the subsequent cases faithfully applying its stand-or-fall command. As there is nothing unusual about this procedural posture of the Batson challenge-indeed it is the norm-there is no basis for the majority opinion's new rule that says a prosecutor "is allowed to explain why he accepted non-black comparators at the time the analysis is [first] undertaken." Maj. Op. 843 n.6.
There was no invocation of comparative analysis at
Miller-El's trial.
Until today, we have likewise recognized that
Miller-El II
's command that prosecutors are stuck with the reasons they cited during
voir dire
applies when the defense does not identify comparators at trial.
See
Reed
,
Blackman v. State
,
Snyder v. Louisiana
,
The majority cites to
Snyder
's cautioning "that a retrospective comparison of jurors based on a cold appellate record may be very misleading when alleged similarities were not raised at trial" so "an appellate court must be mindful that an exploration of the alleged similarities at the time of trial might have shown that the jurors in question were not really comparable."
Id
. at 483,
(i) the government purportedly strikes a venireperson because of an answer to a question posed during voir dire ; (ii) venirepersons relevant to the comparison were asked the same question during voir dire ; (iii) the relevant venirepersons actually answered that question in similar depth; and (iv) the purpose of the analysis is to show that the government treated jurors with similar answers differently.
United States v. Atkins
,
The
Snyder
concern about an undeveloped record on "substantial similarity" analysis is not present here. Because the prosecutor relied exclusively on three specific answers to questions on juror questionnaires, we are able to fully compare the jurors as to the only characteristics the prosecutor identified as relevant, and they are identical. This case thus does not confront the issue that is often the focus of the "substantial similarity" analysis and that
Snyder
's "cold record" comment was addressing. The explanation a lawyer offers for a strike is usually much more general than the identical answers to specific questions identified here. A prosecutor may, for example, say a juror was
struck because she "seemed to be anti-law enforcement." That explanation, and whether it applies equally to accepted jurors of a different race, likely does not just implicate answers to a single question. A host of matters in the jury selection record may inform whether the struck juror is similar to an accepted juror as to a general characterization like "anti-law enforcement." Relevant to that assessment might be answers to questions asking about one's views on criminal justice issues, as well as whether anyone in a person's family has been charged with a crime and the reaction to that experience, or whether a relative works in law enforcement. It is that situation in which
Snyder
raises a concern about being able to conduct a similarity inquiry on a cold record. As the D.C. Circuit has recognized, that concern is not present when prosecutors' stated reasons are narrow and specific as they are here.
See
United States v. Gooch
,
The State and majority opinion further contend that
Miller-El II
's rule against after-the-fact justifications creates an unfair asymmetry in which the prosecution is held to the reasons it offered at trial whereas the defendant can wait until the appeal to identify jurors like Cooper who have the same answers as people who were struck. Whatever the soundness of this complaint, it is rejected by the leading decisions applying comparative juror analysis.
See
Miller-El II
,
* * *
To sum up the discussion of comparative juror analysis, every one of the grounds on which the majority opinion tries to avoid the inescapable conclusion of pretext that flows from a comparison properly limited to the reasons stated at trial was also true of Miller-El II . It was a case involving AEDPA deference. It was a case in which the comparative juror analysis was not advanced by the defense at trial or on direct appeal. It was a case in which there were many differences between the struck and accepted jurors not cited at trial but that appellate judges could identify and speculate were reasons for either striking a comparator or for keeping another one. Yet the Supreme Court still found that our application of comparative juror analysis was in error. It is once again.
III.
Beyond its fundamental error of repeating our violation of Miller-El II 's stand-or-fall principle, the majority opinion does not even follow the new approach it creates. It says the prosecutor should be given a "chance to respond whenever the court engages in a comparative juror analysis." Maj. Op. 844. That opportunity can include providing a "supported basis for keeping a nonblack juror" that was not articulated at trial. Id .
But the prosecutor who exercised the challenged strikes at Chamberlin's trial has never responded to the comparison of the jurors who are identically situated as to the reason stated at trial. The majority opinion instead slams the door on the
Batson
claim based on speculative reasons offered in a brief by appellate attorneys who work in a different office than the trial lawyer who picked the jury. That is at odds with the majority opinion's explanation that a court would have to assess if the new, post-trial justification "provides an adequately redeeming reason to override the strike-worthy characteristics the non-black juror shares with the black jurors who were struck."
Id
. As with any inquiry into intent, that determination would seemingly have to include a credibility assessment of the new reasons the prosecutor cites for "keeping" the white juror. That evaluation of credibility has never happened in this case. Nor will it ever. The majority opinion does not remand for a hearing on the supposed reasons for "keeping" the white juror who gave identical answers to the struck black jurors on Questions 30, 34, and 35. It just accepts what is said in an appellate brief without the prosecutor who made the strikes ever having to provide an explanation or without any explanation ever having been tested in an adversarial process and then evaluated by a factfinder. As a result, there is nothing to ensure that the new, post-trial justification is anything more than an "afterthought."
Miller-El II
,
IV.
Chamberlin's crime was horrific. But for even the most gruesome of crimes with the most culpable of defendants, there are certain trial errors that so fundamentally infect the process ("structural error" is the legal term) that a new trial is required regardless of how strong the evidence against the defendant is.
Sullivan v. Louisiana
,
Comparative juror analysis plays a crucial role in rooting out this discrimination under the Batson framework, which the Supreme Court has recognized may not fully capture discrimination:
Although the move from Swain to Batson left a defendant free to challenge the prosecution without having to cast Swain 's wide net, the net was not entirely consigned to history, for Batson 's individualized focus came with a weakness of its own owing to its very emphasis on the particular reasons a prosecutor might give. If any facially neutral reason sufficed to answer a Batson challenge, then Batson would not amount to much more than Swain.
Miller-El II
,
More than mere loosening results from today's decision that defies precedent on the following important questions:
1. Whether the racial makeup of the overall strikes is relevant to the ultimate Batson discrimination inquiry concerning a particular strike.
2. Whether Miller-El II's stand-or-fall principle applies only at step 2 of Batson or also in making the final assessment of discriminatory intent.
3. Whether Miller-El II 's stand-or-fall principle only bars new post-trial reasons for striking a minority juror but allows new reasons for accepting white jurors.
4. Whether Miller-El II 's stand-or-fall principle applies only when defense counsel identified the comparison at trial.
Correction on these questions that are essential to the Batson framework is needed given the number of these claims raised in our circuit, often in capital cases.
In one of a series of criminal procedure cases the Supreme Court has recently decided that address discrimination in our justice system-three involving either jury selection or deliberations-it observed that "[t]he Nation must continue to make strides to overcome race-based discrimination."
Pena-Rodriguez v. Colorado
, --- U.S. ----,
The district court did not, in other words, examine the prosecution's peremptory strike pattern for racial bias. Nevertheless, the dissent conducts such an investigation sua sponte. It then misleadingly argues that we, by contrast, "breezily" summarized the prosecution's use of strikes. Instead, we merely reviewed the analysis we received from the district court.
We note that, in any case, the dissent's analysis of this data is hardly illuminating. For one, the dissent makes much of the fact that, if the strikes were made at random, the probability that eight black jurors would be struck is low. All this proves, however, is that the jury strikes were not random. Since strikes are made by human choice (that is to say, for specific reasons), this is not a surprising revelation. It only seems so if one equates random selection with race-neutral selection. But random selection is neutral as to any potential reason for a strike-from race, to clothing, to (more importantly) positions on the death penalty. The dissent's alternative measure-noting that the odds of being struck were seven times greater for black jurors than for white jurors-fares no better. See Joseph L. Gastwirth, Statistical Testing of Peremptory Challenge Data for Possible Discrimination , 69 Vand. L. Rev. En Banc 51, 72-73 (2016) (finding no Batson violation in a case where the odds a black juror would be struck were nine times greater than those for a non-black juror). In addition, the dissent's suggestion that the prosecution might have acted on the assumption that blacks are more likely to oppose the death penalty is purely speculative.
The dissent finds support for its position from published case law in other circuits, but we see no conflict with this distinction in those cases. In
Taylor
, for example, the Seventh Circuit blocked the prosecution's effort to raise seven new reasons for striking a juror that had not been offered during voir dire.
United States v. Taylor
,
At oral argument Chamberlin's counsel explicitly conceded that its argument would require prosecutors to explain their reasons for keeping white jurors: "I think what Miller-El [ II ] should have taught the prosecutor is, if I am excluding black jurors for reasons which apply identically to white jurors, I ought to think about adding to my explanation of why I'm excluding the black jurors-to explain that, because otherwise it's going to be possible, way down the line, for somebody to take a look at that. I don't think it's so hard to do."
The concern here is not, as the dissent seems to suggest, that no comparative juror analysis is permitted unless the defendant first raises such an argument at trial. We simply permit the prosecutor to explain why he accepted alleged non-black comparators at the time the analysis is undertaken. Having already explained why certain jurors were struck, the prosecutor need not preemptively show why other, allegedly comparable jurors were not. No precedent from the Supreme Court or this circuit has required such clairvoyance.
Venue for criminal trials is the other. U.S. Const. art. III; amend. VI.
About a decade ago, a justice serving on the Supreme Court of Texas counted all the reported state cases addressing
Batson
and concluded that: "All these problems [associated with peremptory strikes]-discriminating against minorities, disrupting trial, and discarding perfectly good jurors-are particularly acute in Texas. Whether because of the state's diversity, the generous allowance of peremptory strikes, or something else,
Batson
challenges are far more frequent here than anywhere else."
Davis v. Fisk Elec. Co.
,
The Supreme Court reversed twice in the
Miller-El
litigation. Once after we found that the
Batson
claim was not even debatable among jurists of reason and thus denied a certificate of appealability.
Miller-El v. Cockrell
,
For each potential black juror the prosecutor considered, the odds of being struck by the prosecutor ended up being 8/5 (that is, 8 were struck, 5 were not). For each white juror, the odds of being struck by the prosecutor was 5/23 (5 were struck, 23 were not). The more direct comparison just involves the grade school technique of finding the least common denominator. The black jurors' odds of being struck were 184/115 and white jurors' were 25/115. Twenty-five goes into 184 seven times with a little left over it.
As other courts have noted, discriminatory strikes need not be the product of "racial animosity."
Davis,
The identical responses are a product of written questionnaires with multiple choice responses, as opposed to the oral in-court responses considered in Miller-El II that produce more variety. This makes the comparative juror analysis more compelling evidence of discrimination than in Miller-El II . Unlike oral responses of numerous jurors that a prosecutor may forget when later exercising strikes, the written answers memorialize the responses. The prosecutor had all prospective jurors' answers in front of him when deciding whom to strike, a decision he had a night to consider as the parties exercised peremptory strikes the day after they finished questioning potential jurors.
There is some ambiguity in the district court opinion about whether it applied the deference to factual findings that section 2254(d)(2) requires. That does not warrant reversal, however, because the appropriately deferential factual review of the Batson claim reveals AEDPA error, as it did in Miller-El II, Reed , and Hayes.
The full analysis of Judge Sykes is worth quoting because it speaks to the same error the majority opinion makes:
[W]hen the Batson challenge was made, the only reason offered by the prosecutor to justify striking Watson was [that Watson said she was not able to impose the death penalty on a non-shooter]. As such, on remand the court should have limited its inquiry and analysis to exploring that very question. But the remand hearing went much further. The government compared Watson to jurors Nowak, Evans, and Wills against the backdrop of seven new reasons unrelated to the jurors' willingness to impose the death penalty on a non-shooter. And the district court factored several of these new reasons into its analysis. For instance, the court accepted the government's explanation for striking Watson while keeping Nowak and Evans in the pool by closely examining the written responses of all three jurors to death-penalty questions on their juror questionnaires. But at the time the Batson challenge was made, the prosecutor did not say a word about striking Watson because of her answers on her juror questionnaire. Similarly, in crediting the government's explanation for striking Watson but not Wills, the court looked beyond their responses to the non-shooter question and analyzed their attitudes toward gun control and how they might evaluate the defendants' backgrounds when deciding whether to recommend the death penalty. But when the Batson challenge was made, the prosecutor never tried to justify striking Watson based on her views of either of these issues.
Taylor
,
In contrast, a search of the term "comparative juror analysis" in Fifth Circuit caselaw turns up only two cases in which it appears the comparison was identified in the trial court.
See
United States v. Brown
,
It may be that Snyder 's observation creates an incentive for lawyers facing Batson challenges to give vague and broad reasons to justify a strike. But ease of evasion, a common critique of the Batson framework, does not support ignoring discriminatory strikes when the record reveals them.
Reference
- Full Case Name
- Lisa Jo CHAMBERLIN, Petitioner-Appellee v. Marshall L. FISHER, Commissioner, Mississippi Department of Corrections, Respondent-Appellant
- Cited By
- 14 cases
- Status
- Published