United States v. Mitchell
Full Opinion (html_with_citations)
Opinion by Judge WALLACE; Dissent by Judge THOMAS.
WALLACE, Senior Circuit Judge:
Mitchell appeals from his conviction and sentence for possession with intent to distribute cocaine base in violation of 21 U.S.C. § 841(a)(1) (Count One), and possession of marijuana in violation of 21 U.S.C. § 844 (Count Two). On Count One, he was sentenced to a mandatory term of life imprisonment without release and ten years of supervised release. On Count Two, he was sentenced to a term of 90 days of imprisonment and three years of supervised release. The sentences of imprisonment are to run concurrently, as are the terms of supervised release. Although Mitchell raises a number of issues on appeal, in this opinion we deal with only his claim that he was denied his constitutional right to an impartial jury. We address his other arguments in a companion unpublished disposition. The district court had jurisdiction pursuant to 18 U.S.C. § 3231. We have jurisdiction over this timely filed appeal pursuant to 28 U.S.C. § 1291 and 18 U.S.C. § 3742. We affirm.
I.
During voir dire of prospective jurors at Mitchellâs trial, the court engaged in the following sidebar colloquy with government attorney Fahami, defense counsel Edwards, and a prospective juror, whom we refer to here as Jane Doe:
THE COURT: [Jane Doe], please, after we recess, you indicated to the courtroom deputy that you had some sort of â there was somebody in your family*1149 or some Mend had had some sort of contact with illegal drugs, is that right?
PROSPECTIVE JUROR [JANE DOE]: Yes. My â it happened about nine, ten years ago in Mexico. One of my uncles was actually killed by a drug dealer.
THE COURT: Okay. How old were you then?
PROSPECTIVE JUROR [JANE DOE]: Iâm 26.
THE COURT: Do you remember any of the circumstances involvingâ
PROSPECTIVE JUROR [JANE DOE]: I was actually here in the United States, and it happened down in Mexico. But, it was my momâs youngest brother.
THE COURT: All right. Do you think that what happened there would affect you, in any way, in being a fair juror in this case?
PROSPECTIVE JUROR [JANE DOE]: Um, I donât think so.
THE COURT: Well, youâre going â is that the best you can do, or can you put that out of your mind?
PROSPECTIVE JUROR [JANE DOE]: Um, I think it would be on my mind, to tell you the truth' â -no, Iâll be fine. No. Actually, Iâm fine.
THE COURT: I need pretty direct assurance on this, if you think that would cause you a problem.
PROSPECTIVE JUROR [JANE DOE]: I think it will, now that I think about it. I didnât think about it before. But now that itâs in my mind, itâs a little different, I think.
THE COURT: You think it would cause you a problem?
THE COURT: You have to whisper now.
PROSPECTIVE JUROR [JANE DOE]: Sorry. It didnât affect meâ
THE COURT: You have to whisper.
PROSPECTIVE JUROR [JANE DOE]: It did affect my family, so I think, yes, it will affect me.
THE COURT: Okay. You may return to your seat.
(Side bar with the Court and counsel:)
THE COURT: Do counsel wish me to ask any additional questions of the juror? Ms. Fahami.
MS. FAHAMI: No, Your Honor.
THE COURT: Mr. Edwards.
MR. EDWARDS: No, Your Honor.
THE COURT: Do you wish â do counsel wish to challenge the juror?
MR. EDWARDS: No, Your Honor.
THE COURT: And on your side, Ms. Fahami?
MS. FAHAMI: No, Your Honor.
THE COURT: Neither counsel wishes to challenge for cause? Well, then weâll be able to proceed then. Otherwise, I was going to have to take a step back.
With [sic] those questions and the answers affect your challenge or waiver of your first peremptory, Ms. Fahami?
MS. FAHAMI: No, Your Honor.
THE COURT: All right. Thank you.
Jane Doe was seated as a juror. Three days later, the jury convicted Mitchell of both counts on which he had been indicted. On appeal, Mitchell argues that he was denied his constitutional right to an impartial jury because Jane Doe harbored impermissible bias.
II.
Mitchell did not move to strike Jane Doe for cause during voir dire. Normally, where a defendant fails to raise a claim of error at trial, we will review that claim for plain error. Fed.R.Crim.P. 52(b) (âA plain error that affects substantial rights may be considered even though it was not
Plain error exists where (1) there is an âerror,â (2) that is âplain,â and (3) the error affects âsubstantial rights.â Id. at 732, 113 S.Ct. 1770. An âerrorâ is any â[deviation from a legal rule,â and it is âplainâ if it is âclearâ or âobvious.â Id. at 732-34, 113 S.Ct. 1770. An error affects âsubstantial rightsâ if the defendant is prejudiced in such a manner as to âaffect[ ] the outcome of the district court proceedings.â Id. at 734-35, 113 S.Ct. 1770. Even where these conditions exist, a court of appeals on plain error review should reverse a conviction only where the error âseriously affeet[s] the fairness, integrity or public reputation of judicial proceedings.â Id. at 736, 113 S.Ct. 1770 (internal quotation marks omitted).
Our law is ambiguous if not in conflict as to whether this standard of review applies to unpreserved claims of juror bias. In United States v. Olano, 62 F.3d 1180, 1192-93 (9th Cir.1995), we applied the plain error standard of review to a claim of juror bias where the defendant âdid not move for mistrialâ in the district court. Similarly, in United States v. Mitchell, we limited our review of a juror bias claim on appeal to plain error because the defendant âdid not ask the[trial] court to excuse [the challenged juror] for cause.â 502 F.3d 931, 955 (9th Cir.2007), cert. denied, - U.S. -, 128 S.Ct. 2902, 171 L.Ed.2d 843 (2008), citing United States v. Mendoza-Reyes, 331 F.3d 1119, 1121 (9th Cir.2003) (per curiam), and United States v. Ross, 886 F.2d 264, 266 (9th Cir.1989).
However, in United States v. Sanchez-Cervantes, 282 F.3d 664, 670 (9th Cir. 2002), we held that â[w]e only review for plain error or assess whether an error is harmless when the error is not structural.â And in Dyer v. Calderon, 151 F.3d 970, 973 n. 2 (9th Cir.1998), this court en banc held that âthe presence of a biased juror introduces a structural defectâ into a criminal defendantâs trial. Cf. United States v. Hamilton, 391 F.3d 1066, 1071 (9th Cir. 2004) (holding that a violation of the Sixth Amendment right to counsel at âcritical stage[s]â of criminal proceedings is not subject to plain error analysis); but see United States v. Brown, 26 F.3d 1124, 1126 (D.C.Cir.1994) (concluding that âplain error analysis is applicable to a sixth amendment claim not raised at trialâ).
These latter cases, apparently in conflict with earlier decisions, suggest that plain error review may not be appropriate for unpreserved claims of juror bias. However, these cases may also be read as merely circumscribing the scope of plain error review with respect to such claims so that a defendant need not demonstrate that he was prejudiced by the presence of the challenged juror. Dyer, 151 F.3d at 973 n. 2 (âThe presence of a biased juror cannot be harmless; the error requires a new trial without a showing of actual prejudiceâ). We need not resolve this ambiguity or conflict in our jurisprudence, however, because even if plain error review does not apply, we conclude that there was no error in the district courtâs failure sua sponte to strike Jane Doe from the jury.
III.
The Sixth Amendment right to a jury trial guarantees the criminally accused a fair trial by a panel of impartial jurors. Id. at 973. Even if only one juror is unduly biased or prejudiced, the defendant is denied this constitutional guarantee. Id.; see also United States v. Plache, 913 F.2d 1375, 1377 (9th Cir.1990) (âIt is well-settled that a single partial juror de
In this case, Mitchell argues that he was denied his right to an impartial jury because the district court failed to strike Jane Doe as biased. To succeed on such a claim, a defendant usually bears the burden of demonstrating that the challenged juror was biased, and that the district court erred in failing to strike her from the jury. United States v. Martinez-Martinez, 369 F.3d 1076, 1081-82 (9th Cir. 2004), citing United States v. Hursh, 217 F.3d 761, 768 (9th Cir.2000). However, where as here, no motion was made during jury selection to dismiss the juror in question for cause, Mitchell assumes a greater burden: he must show that the evidence of partiality before the district court was so indicative of impermissible juror bias that the court was obliged to strike Jane Doe from the jury, even though neither counsel made the request. See, e.g., Ross, 886 F.2d at 266-67 (evaluating the sufficiency of the evidence before the district court in evaluating an unpreserved claim of juror bias); cf. Sims v. Rowland, 414 F.3d 1148, 1155-56 (9th Cir.2005) (holding that due process does not require a trial court to hold an evidentiary hearing sua sponte when presented with evidence of juror bias).
A.
âWe have analyzed juror bias under two theories â actual bias and implied bias.â Estrada v. Scribner, 512 F.3d 1227, 1240 (9th Cir.), cert. denied, - U.S. -, 128 S.Ct. 2973, 171 L.Ed.2d 898 (2008). Actual bias is, in essence, â âbias in factââ the existence of a state of mind that leads to an inference that the person will not act with entire impartiality.â United States v. Gonzalez, 214 F.3d 1109, 1112 (9th Cir. 2000), quoting United States v. Torres, 128 F.3d 38, 43 (2d Cir.1997). Actual bias is found where âa prospective juror states that he can not be impartial, or expresses a view adverse to one partyâs position and responds equivocally as to whether he could be fair and impartial despite that view.â Fields v. Brown, 503 F.3d 755, 767 (9th Cir.2007) (en banc).
Implied bias is âbias conclusively presumed as a matter of law.â Gonzalez, 214 F.3d at 1111, quoting 47 Am.Jur.2d Jury § 266 (1995). The inquiry here is âwhether an average person in the position of the juror in controversy would be prejudiced.â Id. at 1112, quoting United States v. Cerrato-Reyes, 176 F.3d 1253, 1260-61 (10th Cir.1999) (emphases and internal quotation marks omitted). Thus, we have presumed a challenged jurorâs bias âwhere the relationship between a prospective juror and some aspect of the litigation is such that it is highly unlikely that the average person could remain impartial in his deliberations under the circumstances.â Tinsley v. Borg, 895 F.2d 520, 527 (9th Cir.1990), quoting Person v. Miller, 854 F.2d 656, 664 (4th Cir.1988). We have cautioned, however, that bias should be presumed only in âextremeâ or âextraordinaryâ cases. Tinsley, 895 F.2d at 527, quoting Smith v. Phillips, 455 U.S. 209, 222, 223 n. *, 102 S.Ct. 940, 71 L.Ed.2d 78 (1982) (OâConnor, J., concurring); see also Fields, 503 F.3d at 770 (holding that bias should be presumed only in âextreme situationsâ).
In Gonzalez, we applied these standards to conclude that a juror serving in a narcotics trial displayed impermissible bias where:
[the juror] disclosed the fact that her ex-husband, the father of her daughter, dealt and used cocaine â the same drug and conduct at issue here. Moreover, she described her former husbandâs drug dealing as one of the reasons for her relatively recent divorce and the break-up of her family. She admitted*1152 that the experience was painful. Asked three times whether she could put that experience aside and serve fairly and impartially, she never affirmatively stated that she could. Instead, she equivocated each time.
214 F.3d at 1113. We held that the jurorâs equivocal statements regarding her ability to be impartial, coupled with âthe similarity between her traumatic familial experience and the defendantâs alleged conduct,â warranted reversal of the defendantâs conviction âunder either an express or implied bias theory.â Id. at 1114; see also United States v. Eubanks, 591 F.2d 513, 517 (9th Cir.1979) (per curiam) (presuming bias in a heroin conspiracy case on the part of a juror whose children were in prison for heroin-related crimes); United States v. Allsup, 566 F.2d 68, 71-72 (9th Cir.1977) (holding that bias may be presumed from the âpotential for substantial emotional involvementâ inherent where prospective jurors worked for a bank, which had a branch that defendants were charged with robbing).
By contrast, in Fields, this court sitting en banc concluded that the challenged juror did not harbor either actual or implied bias, despite the fact that his wife was a victim of a traumatic assault similar to the one involved at trial. 503 F.3d at 764-65. During voir dire, the juror volunteered that his âwife was assaulted and beaten, robbed, two years ago Christmas.â Id. at 764. When asked if he would be able to be fair and impartial, the juror answered in the affirmative. Id. He was subsequently empaneled on the jury with no objections from either party. Id. On collateral review and following an evidentiary hearing at this courtâs request, we affirmed the district courtâs finding that the juror had âtruthfully represented that he was impartialâ during voir dire. Id. at 767. Therefore, âthere was no manifest error in the district courtâs finding that [the juror] was not actually biased.â Id.
Fields also declined to presume bias on the part of the challenged juror, holding that â[b]eing the spouse of a rape victim is not, in and of itself, such an âextremeâ or âextraordinaryâ situation that it should automatically disqualify one from serving on a jury in a case that involves rape.â Id. at 774. In so ruling, we emphasized that âprudence dictates that courts [determining whether to presume bias] should hesitate before formulating categories of relationships which bar jurors from serving in certain types of trials.â Id. at 772, quoting Tinsley, 895 F.2d at 527; see also Tinsley, 895 F.2d at 529 (holding that a presumption of juror bias was unwarranted where the defendant was on trial for rape, and the challenged juror had worked as a psychiatric social worker trained to deal with rape victims and at one point had testified on behalf of a rape victim).
B.
In this case, we conclude that the evidence of juror bias was insufficient to require the district court to strike Jane Doe from the jury sua sponte. When asked, â[d]o you think that what happened [to your uncle] would affect you, in any way, in being a fair juror in this case?â Jane Doe responded that she did not think so. After being pressed further by the district court, she answered, âno, Iâll be fine. No. Actually, Iâm fine.â Critically, none of the subsequent questions explicitly returned to the theme of whether she could be a fair juror in this case. Rather, she was asked whether she could âput that [event] out of [her] mind,â and whether â[the event] would cause you a problem.â To these inquiries, Jane Doe answered that the experience âdid affect my family, so I think, yes, it will affect me.â
Jane Doeâs answers were too vague and ambiguous to have obliged the district court to strike her sua sponte for actual
In addition, the circumstances do not warrant a presumption of bias. Mitchell was on trial for possession of marijuana and possession with intent to distribute cocaine base. Jane Doe testified that her uncle was killed by a drug dealer in Mexico some ten years prior to trial. Although drug trafficking features in both Jane Doeâs personal experience and Mitchellâs conduct, we rejected an even closer personal connection as grounds for implied bias in Fields. In that case, the challenged jurorâs wife had been a victim of an assault that was extremely similar to the conduct on trial. Yet we concluded that â[i]t cannot be said that the average person in [the challenged jurorâs] position would be highly unlikely to remain impartial.â 503 F.3d at 774.
Similarly here, Jane Doeâs testimony reveals that her uncleâs killing at the hands of a drug dealer occurred a full decade before the trial, and in another country while she was in the United States. Moreover, Jane Doe had no personal recollection of the circumstances of her uncleâs killing except in the most general of terms. It is also salient that Mitchell was not accused of any violent conduct, making it even less likely that Jane Doe would connect him to her uncleâs killer. Thus, this is not a case like Gonzalez, Eubanks, or Allsup, where the challenged jurorâs personal experience closely mirrored the conduct that was on trial, or where the jurorâs personal situation made the juror especially vulnerable to bias because the case featured the same kind of conduct to which the juror was exposed. The district court therefore did not err; the district judge was not required to remove Jane Doe as a prospective juror sua sponte on the theory of implied bias.
C.
The dissent reads our precedents differently, concluding that Gonzalez compels reversal of Mitchellâs conviction. However, as described above, critical distinctions lie between Gonzalez and this case. Chief among those distinctions is the fact that the defendant in Gonzalez raised his claim of juror bias during voir dire, whereas Mitchell did not do so here. In fact, none of the cases the dissent cites in support of its position involves situations where, as here, the defendant failed to raise objections to the challenged juror at trial. This distinction is crucial. We have emphasized that, â[i]n most situations, voir dire, âthe method we have relied on since the beginning,â should suffice to identify juror bias.â Tinsley, 895 F.2d at 528, quoting Patton v. Yount, 467 U.S. 1025, 1038, 104 S.Ct. 2885, 81 L.Ed.2d 847 (1984); see also Fields, 503 F.3d at 774
Here, the court properly inquired into Jane Doeâs ability to be impartial and the parties were given an opportunity to follow up on that line of questioning, but were apparently satisfied with what they heard. Moreover, there is no allegation that Jane Doe was dishonest in her responses to the courtâs questioning, or that she otherwise concealed material information about her past. Cf. Fields, 503 F.3d at 773 (â[W]e have never [presumed bias] when the juror was honest on voir direâ). Certainly, it must be significant that neither party at the time moved to strike Jane Doe for cause, neither attempted to elicit additional information about her uncleâs killing to set up a challenge, and neither exercised a peremptory challenge to exclude her. Under these circumstances, where the evidence of juror bias is weak, and neither party challenged the juror for cause, it is not error for the district court to allow the juror to serve at trial.
IV.
Because we conclude that Jane Doeâs voir dire statements were insufficient to evidence impermissible bias, we hold that the district court did not err in failing to strike her from the jury sua sponte. There was therefore no violation of Mitchellâs Sixth Amendment right to an impartial jury. For these reasons, and for those stated in the companion unpublished disposition, we uphold Mitchellâs conviction and sentence.
AFFIRMED.