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Stephen Lindsey
MOODY
Characteristics:
Robbery
Date of murder:
October 19, 1991
United
States Court of Appeals For the Fifth Circuit
Summary:
Calvin Doby recruited Moody to rob a drug supplier. They forced
their way inside the home of 28 year old Joseph Hall and demanded
money and drugs. While Hall pleaded for his life, Moody shot him
at close range with a sawed-off shotgun. Moody and Doby then fled
with $1,200 in cash and divided the money at a friend's house.
Hall’s girlfriend, who saw him talking with two men, crawled
through a bathroom window to run next door and call 911, heard a
shot and returned to find Hall dead on the living room floor.
The murder case went unsolved for nearly a year until a relative
of Doby give police a tip. Hall's girlfriend, Rene McKeage, who
witnessed the murder, then identified Moody from a photo lineup.
By that time, Moody was already in prison, serving a 40-year
sentence for robbing a Houston bank in December 1991. Accomplice
Doby was also convicted and sentenced to life imprisonment.
Citations:
Moody v. Quarterman, 476 F.3d 260 (5th Cir. 2007) (Habeas).
Final/Special Meal:
None.
Final Words:
"Yes sir, to Joseph's mom and son. I was unable to respond to you
in the courtroom. I can only ask that you have the peace that I
do. To my brother, you are a good brother. You're the best. And I
love you. Can't beat ya. The beautiful lady standing next to you.
Kathy you are next to my heart. Amber I love you. Warden, pull the
trigger. I love you brother never forget it. Ronnie, Linda, Amber,
Kathy. Chaplain Hart you're the best. Love you Thomas."
ClarkProsecutor.org
Texas Department of Criminal Justice
Stephen Lindsey Moody
Date of Birth: 7/16/57
DR#: 999076
Date Received: 10/22/93
Education: 10 years
Occupation: oilfield worker
Date of Offense: 10/19/91
County of Offense: Harris
Native County: Harris
Race: White
Gender: Male
Hair Color: Brown
Eye Color: Brown
Height: 6' 0"
Weight: 199
Summary of incident:
Convicted in the robbery and murder of 28 year
old Joseph F. Hall in Houston. Moody and a co-defendant followed
Hall to his home, forced their way inside, and demanded money and
drugs. While Hall, who was crippled, begged for his life, Moody
shot him at close range with a sawed off shotgun. Moody and his
accomplice then fled with $1,200 in cash from the home. Moody
later told his co-defendant that he shot Hall because he kept
trying to get up from the ground.
Co-defendants:
Calvin Doby.Charges and
disposition not known.
Prior Prison Record:
TDCJ #277559, rec. 3/7/78, 8 years, Burglary of
Habit WICT, Harris Co., paroled 1/20/81. TDCJ #328588, rec. from
parole with new conviction 12/15/81, 6 years Auto Theft, Harris Co.,
mandatory release to Harris Co. 11/9/84, TDCJ #394923 rec. 4/3/85,
14 years, Burg. of Vehicle WICT, Harris Co., paroled 12/23/88.
TDCJ #623085, rec. 9/23/92, 40 years., robbery, Harris Co.
Released on Bench Warrant ot Harris Co. 10/15/92, returned with
Death sentence 10/22/93.
Texas Attorney General
Tuesday, September 10, 2009
Media Advisory: Stephen Moody scheduled for
execution
AUSTIN – Texas Attorney General Greg Abbott
offers the following information about Stephen Lindsey Moody, who
is scheduled to be executed after 6 p.m. on Wednesday, September
16, 2009. A Harris County jury convicted Moody and sentenced him
to death on March 19, 1993, for the robbery and murder of Joseph
Franz Hall.
FACTS OF THE CRIME
On October 19, 1991, Moody and Calvin Doby went
to Joseph Hall’s residence in Houston, where they demanded money
from Hall and murdered him with a shotgun blast to the chest.
Following the murder, Moody and Doby went to
the residence of Melvin Ellis and admitted to murdering Hall.
Ellis testified that Doby confessed, “Man, we had some trouble
over there, . . . we had to kill him.” Moody then responded, “Man,
you know I didn’t — that I had to do it,”and told Ellis, “I shot
him right in the heart.” Ellis also testified that, when Moody and
Doby left, he noticed a shotgun in the vehicle on the side where
Moody was sitting.
PRIOR CRIMINAL HISTORY
Evidence at the punishment phase of his trial
indicated that Moody had twice been convicted of burglary of a
habitation with intent to commit theft, and had been convicted of
felony auto theft and felony burglary of a motor vehicle with
intent to commit theft.
PROCEDURAL HISTORY
March 19, 1993. Moody was convicted and
sentenced to death.
Jan. 17, 1996 The Texas Court of Criminal Appeals affirmed.
Nov. 3, 1999 The Texas Court of Criminal Appeals denied habeas
corpus relief.
May 1, 2000 Moody filed a petition for writ of habeas corpus in
U.S. district court.
Sept. 30, 2002 The federal district court denied relief on two of
Moody’s claims and granted relief on a third. Both Moody and the
State appealed.
Oct. 7, 2003 The United States Court of Appeals for the Fifth
Circuit reversed the grant of relief by the federal district court.
Oct. 1, 2007 The U.S. Supreme Court denied Moody’s petition.
ProDeathPenalty.com
In late September of 1991, Stephen Moody and
his co-defendant, Calvin Doby drove from Houston to Dayton, Texas
while accompanied by Melvin Ellis and Lloyd Larrieu. As the
prosecution’s star witness, Ellis testified that, while en route,
Doby asked Larrieu from whom Larrieu was getting his drugs,
because Doby wanted to rob the individual. In response, Larrieu
provided Doby with the name and whereabouts of Hall. According to
Ellis, Moody did not participate in the conversation.
On October 19, 1991, the day of the murder,
Ellis, Doby, and Larrieu drove to Hall’s residence where Larrieu
pointed out Hall’s house and answered Doby’s questions regarding
the whereabouts of Hall’s drugs and money. Larrieu informed Doby
that Hall lived with his girlfriend, Rene McKeage, kept his money
in his pocket, and that Doby would know if Hall was home by the
Camaro in the driveway. Doby immediately contacted Moody by
telephone and the two of them met at Ellis’ residence an hour and
half later. Moody and Doby then went to Hall’s residence and
murdered him with a shotgun blast to the chest.
On the evening of the murder, Rene McKeage and
Joseph Hall were returning home from dinner when McKeage noticed
two unknown men walking on the street away from the front of their
house. Upon entering their residence, Rene was sitting in the
bathroom when she heard Hall talking on the phone and then
“somebody come rush in the house.” She heard Hall yell out her
name and then heard another man’s voice screaming “Where is the
money?” Rene stayed in the bathroom. She initially thought that it
was the police because of the drugs that were in the house. She
heard Hall say, “You’re not the cops. Let me see your badges.”
Rene then heard some scuffling, and Moody walked into the bathroom
and said, “stay there. Don’t move.” Moody was pointing a sawed-off
shotgun at Rene.
Moody left the bathroom and Rene heard him
again ask Hall, “where is the money?” Hall said the money was in
his pocket, and he asked Moody, “Please don’t shoot me.” Moody
returned to the bathroom, and he again said to Rene, “Stay there,
don’t move.” Rene said, “Okay, I won’t move,” and Moody shut the
bathroom door. Rene then jumped out of the bathroom window, jumped
the fence in the backyard, and ran to the next-door residence of
Arthur Jesse Flores. During this time, she heard a gunshot come
from inside the house. When Rene entered Mr. Flores’ residence,
she said that someone had shot Hall, and she called 911. Ms.
Juarez and Ms. Chavez also heard the gunshot and a scream, and saw
two men walk out of the residence and back down the street.
Following the murder, Doby and Moody returned
to Ellis’ residence forty-five minutes later and admitted to him
that they murdered Hall. Ellis testified that Doby confessed,
“Man, we had some trouble over there,...we had to kill him.” Moody
then responded, “Man, you know I didn’t - that I had to do it,” to
which Doby replied, “Man don’t worry. Shit happens.” Ellis asked
Moody if the man was dead, and Moody said, “Yeah, I shot him right
in the heart.” Ellis also testified that upon the departure of
Moody and Doby, he noticed the stock of a shotgun in the vehicle
on the passenger’s side where Moody was sitting. Moody was
indicted on October 6, 1992 for capital murder. Following a jury
trial, Moody was convicted and sentenced to death in March 1993.
Man executed for drug dealer’s slaying
Huntsville Item Online
September 17, 2009
— A Texas man convicted in the shooting death
of a suspected drug dealer during a robbery 18 years ago was
executed Wednesday at the Walls Unit in Huntsville, the 17th this
year in the nation’s busiest death penalty state. Stephen Moody,
52, strapped to the Texas death chamber gurney in Huntsville,
addressed his victim’s mother and son as they watched through a
window.
“I was unable to respond to you in the
courtroom,” he said. “I can only ask that you have the peace that
I do.” Then after expressing love to his relatives and friends
watching through an adjacent window, he said: “Warden, pull the
trigger.” The lethal drugs began flowing into his arms at 6:20
p.m. CDT, and he was pronounced dead eight minutes later. Moody
had asked that no last-minute appeals be filed to try to block his
execution.
Moody accepted responsibility for killing
Joseph Hall, 28, with a blast from a sawed-off shotgun at Hall’s
Houston home in October 1991. Hall was described at Moody’s trial
as a drug dealer known to carry a lot of cash, a characterization
Hall’s son disputed in a statement released following the
execution. “My father wasn’t a drug dealer, and drugs had nothing
to do with his death,” Joseph Hall wrote. “He was robbed for money
he received from an accident which left him crippled.” Hall’s
brother, mother and niece added in a handwritten postscript:
“Justice was served.”
The U.S. Supreme Court refused to review
Moody’s case last year after a federal appeals court rejected
questions raised about jury selection procedures at his 1993 trial.
“I’m satisfied,” he told The Associated Press in an interview a
few weeks ago. “I’m ready, man. I ain’t quitting. I went all the
way. ... That’s how I look at it.” “We have to kind of sit on our
hands,” Moody’s lawyer, Philip Hilder, said last week. “We
wouldn’t be normally doing that, but it is his wishes.”
Moody and an accomplice had confronted Hall,
who put up a struggle when he was ordered to surrender his money.
“He started fighting,” Moody said. “He wouldn’t listen to me. He
wouldn’t lay down.” Moody said he took about $2,000 from Hall’s
pocket and fled.
Hall’s girlfriend, who saw him talking with two
men, crawled through a bathroom window to run next door and call
911, heard a shot and returned to find Hall dead on the living
room floor. At his trial, she identified Moody as the man with the
sawed-off shotgun. The slaying went unsolved for nearly a year
until a relative of the man accused of being Moody’s accomplice
gave police a tip that led to their arrests. By then, Moody was in
prison starting to serve a 40-year sentence for bank robbery. The
accomplice in the shooting, Calvin Doby, received a life sentence.
Moody got the death penalty.
“You do what you do,” Moody said. “You pay for
what you do. ... I had plenty of chances in my life.” Besides the
bank robbery conviction, the former oil field worker from Houston
served prison time for auto theft and two terms for burglary.
Harris County authorities were looking at Doby’s case again after
Moody recently said another man, not Doby, was his partner at the
Hall shooting. Moody signed a sworn affidavit earlier this month
saying Doby was innocent. Moody was questioned by prosecutors a
few days ago.
Moody was the first of four Texas prisoners set
to die over the next two weeks and among at least 10 scheduled for
execution in the next several months. Christopher Coleman, 37, is
scheduled for lethal injection Tuesday for a December 1995
shooting spree that left three people dead in Houston. Two days
later, Kenneth Mosley, 51, is set to die for fatally shooting a
police officer, Michael Moore, during a bank robbery in the Dallas
suburb of Garland in 1997.
Texas man executed for Houston drug dealer's
slaying
By Allan Turner
- The Houston Chronicle
Sept. 16, 2009
HUNTSVILLE — Stephen Moody, a one-time oil
field worker sentenced to die for the 1991 shotgun murder of a
Houston drug dealer, went to his death Wednesday with expressions
of love for his family but no apologies for his crime. “Warden,
pull the trigger,” Moody commanded from the death house gurney.
The lethal drugs began to flow at 6:20 p.m. He was declared dead
eight minutes later.
Moody was condemned for the Oct. 19, 1991,
robbery-murder of Joseph Hall. He had directed his attorneys not
to pursue an appeal to the Texas Board of Pardons and Paroles.
Last spring he petitioned his judge to set his execution date as
soon as possible. Life on death row, he said, was “cruel and
unusual punishment.”
In his last statement Wednesday, Moody
addressed his victim's mother and son, telling them, “I can only
ask that you have the peace that I do.” As the drugs began to flow,
the victim's mother placed her arm around her son. They were
tearful, but not openly weeping. The son, Joseph J. Hall, later
issued a statement denying his father was a drug dealer. “Drugs,”
he wrote, “had nothing to do with his death. He was robbed of
money he received from an accident which left him crippled.” The
elder Hall was disabled, but was able to walk.
Moody's long criminal career included
convictions for burglaries and auto theft. After the Hall killing,
but before his arrest, Moody also robbed a Houston bank. In a
death row interview with The Associated Press shortly before his
execution, Moody accepted the consequences of the murder.
“I don't blame my situation on anybody but
myself,” he said. In a self-described act of conscience days
before he was executed, Moody asserted in a sworn statement that
his presumed accomplice in the murder, Calvin Doby, is innocent.
Doby, 47, has served 17 years of a life sentence for his role in
the crime. A new appeal based on Moody's statement has been filed
in his case.
Court records indicate that Moody and Doby
burst into their victim's house intent on robbery. As the man
pleaded for his life, Moody fired a shotgun blast into his chest.
Moody later said he shot Hall because he offered resistance.
Hall's girlfriend, Rene Psenka, who was in the bathroom at the
time of the robbery, was not hurt. She later identified Moody in a
photographic lineup.
When Texas death row inmates were relocated to
Livingston's Polunksy Unit in 2000, Moody said he experienced a
religious conversion. “A feeling of joy filled my heart that I
find hard to describe,” he wrote in letter posted on an anti-death
penalty Web site. “A weight was lifted off my soul and a feeling
of compassion for all the struggling and suffering of the world
was upon me that made me want to weep. “I couldn't believe this
was happening to me and I knew within my heart how special it was.
It changed my life ...This experience caused me to reread all that
Jesus said in the Bible.”
Moody was the 17th Texas killer and the third
from Harris County to be executed this year.
Stephen
Lindsey Moody
Txexecutions.org
Stephen Lindsey Moody, 52, was executed by
lethal injection on 16 September 2009 in Huntsville, Texas for the
murder and robbery of a man in his home.
On 19 October 1991, Calvin Doby, 29, Lloyd
Larrieu, 49, and Melvin Ellis drove to the Houston home of
Larrieu's drug supplier, Joseph Hall, 28. After some discussion
about robbing Hall, Doby telephoned Moody, then 34. About an hour
and a half later, Moody and Doby met at Hall's house. They then
forced their way inside and demanded money and drugs from Hall.
While Hall pleaded for his life, Moody shot him at close range
with a sawed-off shotgun. Moody and Doby then fled with $1,200 in
cash. About 45 minutes later, they met at Ellis's house to divide
the money.
The murder case went unsolved for nearly a year
until a relative of Doby give police a tip. Hall's girlfriend,
Rene McKeage, who witnessed the murder, then identified Moody from
a photo lineup. By that time, Moody was already in prison, serving
a 40-year sentence for robbing a Houston bank in December 1991.
At Moody's trial, McKeage testified that on the
evening of the murder, she and Hall were returning home from
dinner when she noticed two unknown men walking on the street,
away from their house. Later, McKeage was in the bathroom when she
heard someone rush into the house. She heard Hall yell out her
name, and then heard another man's voice screaming "Where is the
money?" Knowing that there were drugs in the house, McKeage said
she initially thought the men may be police. She then heard Hall
say, "You're not the cops. Let me see your badges." A moment later,
Moody walked into the bathroom pointing a sawed-off shotgun at her.
He said, "Stay there. Don't move."
Moody then left the bathroom. McKeage heard him
ask Hall again, "Where is the money?" Hall answered that the money
was in his pocket, and said, "Please don't shoot me." Moody then
returned to the bathroom and ordered McKeage to stay there. "Okay,
I won't move," she answered. Moody shut the bathroom door as he
left. McKeage then jumped out of the window and made her way to
the next-door neighbor's house. While she was fleeing, she heard a
gunshot come from inside her house. She called 911 at the
neighbor's house.
Melvin Ellis testified that he was with Doby
and Larrieu in September when Doby asked Larrieu the name and
whereabouts of the person who supplied his drugs, so he could rob
him. He also stated that on the day of the murder, when the three
of them went to Hall's house, Larrieu explained to Doby where Hall
kept his money and described his car to him, so Doby could know
whether Hall was home. Ellis further testified that after the
murder, Moody and Doby came to his residence and both of them told
him about the crime. Ellis testified that Moody said, "I shot him
right in the heart." Ellis also said that he noticed a shotgun in
the vehicle that Moody and Doby were driving.
When Ellis testified in court that Moody and
Doby left $100 of the stolen money at his house, Moody blurted
out, "He's a lying son of a bitch. He got $900."
Moody had three prior felony convictions, in
addition to the December 1991 bank robbery. In 1978, he was
convicted of burglary of a habitation and sentenced to 8 years in
prison. He was paroled in 1981. Before the end of the year, he was
back in prison with a new 6-year sentence for auto theft. He was
released in 1984. In 1985, he was sentenced to 14 years for
burglary of a vehicle. He served 3½ years of that of sentence
before being paroled again in 1988. (At the time, early release
was common in Texas due to strict prison population caps imposed
by U.S. District Judge William Wayne Justice.)
A jury convicted Moody of capital murder in
March 1993 and sentenced him to death. The Texas Court of Criminal
Appeals affirmed the conviction and sentence in January 1996.
In his appeals, Moody challenged the trail
court's decision not to hold a hearing concerning the state's
exclusion of a black panelist from the jury. Moody's attorneys
argued that the panelist's exclusion was racially-motivated, but
the trial court ruled that Moody had no standing to contest the
black panelist's exclusion for racial reasons because Moody was
white. In September 2002, a U.S. district court ruled that the
trial court erred in not holding a hearing on the issue, and it
granted Moody a new trial.
The state appealed the federal district court's
ruling to the U.S. Fifth Circuit Court of Appeals. In a 2-1
decision, the Fifth Circuit overturned the lower court's ruling in
January 2007. Although the trial court was clearly wrong in
stating that Moody was not entitled to a hearing on the jury
panelist's removal because of his race, the court wrote, Moody was
nevertheless not entitled to hearing, because the prosecutor who
struck the panelist offered a credible race-neutral reason for
doing so. The lower court's ruling granting Moody a new trial was
vacated. All of Moody's subsequent appeals in state and federal
court were denied.
From death row, Moody told an interviewer that
he shot Hall because he kept struggling when ordered to surrender
his money. "He started fighting," Moody said. "He wouldn't listen
to me. He wouldn't lay down."
Last spring, Moody petitioned his judge to set
his execution date as soon as possible. Life on death row, he said,
was "cruel and unusual punishment." As his execution date
approached, he asked his lawyer not to file any last-minute
appeals to try to have his execution stopped or delayed. "I'm
ready, man. I ain't quitting. I went all the way."
Calvin Charles Doby was convicted of capital
murder and sentenced to life in prison. He remains in custody as
of this writing. A few days before Moody's execution, Moody
asserted in a sworn statement that Doby is innocent. "My
conscience will not let me remain silent any longer," he said. "It
is not right that Calvin Doby has suffered in prison all these
years for something he did not do." He said that another man - not
Doby - was his accomplice, and that Melvin Ellis's testimony
against Doby was unreliable because Ellis was taking psychiatric
medications at the time of the murder.
A new appeal has been filed in Doby's case
based on Moody's statement. "At the time of the crime, I was at
home with my wife and our newborn," Doby told an interviewer.
Doby's attorney said that Moody wanted to clear Doby five years
ago, but Moody's attorneys would not allow him to make a formal
statement because his appeals were still open, and anything Moody
said could have jeopardized his own case.
In the interview, Moody said that he didn't
plan to be difficult at his execution. "I'll cuss no one in there,"
he said. "I don't want to leave spewing a lot of hate. What good
is that going to do?" Moody said, "Maybe they'll see I was a human
being."
In his last statement, Moody addressed Hall's
mother and son, saying that he hoped they could find peace. "Warden,
pull the trigger," he then said. The lethal injection was started.
He was pronounced dead at 6:28 p.m.
After the execution, the victim's son, Joseph
Hall, issued a statement denying that his father was a drug dealer.
"Drugs had nothing to do with his death," he wrote. "He was robbed
of money he received from an accident which left him crippled."
476 F.3d 260
Stephen Lindsey MOODY,
Petitioner-Appellee, v.
Nathaniel QUARTERMAN, Director, Texas Department of Criminal
Justice,
Correctional Institutions Division, Respondent-Appellant.
No. 02-21245.
United States Court of Appeals,
Fifth Circuit.
January 17, 2007.
Appeal from the
United States District Court for the Southern District of Texas.
Before JONES, Chief Judge, and
STEWART and DENNIS, Circuit Judges.
CARL E. STEWART, Circuit Judge:
The Director of the Texas
Department of Criminal Justice, Nathaniel Quarterman ("the State"),
appeals from the district court's provisional grant of habeas
relief in favor of Stephen Lindsey Moody ("Moody"). Moody filed
the underlying petition for habeas relief asserting ineffective
assistance of counsel and violation of his equal protection rights
pursuant to Batson v. Kentucky, 476 U.S. 79, 106 S.Ct.
1712, 90 L.Ed.2d 69 (1986). The district court denied relief on
Moody's ineffective assistance of counsel claims and denied his
request for a COA; however, the court granted Moody's request for
habeas relief based on his Batson claim. The district court
held that the Texas trial court improperly denied Moody's request
for a Batson challenge to contest the State's use of
peremptory strikes during jury voir dire. The district court
reasoned that the Texas trial court failed to properly apply the
Supreme Court's holding in Powers v. Ohio, 499 U.S. 400,
111 S.Ct. 1364, 113 L.Ed.2d 411 (1991). Because we conclude that
the district court failed to give proper deference to the Texas
Court of Criminal Appeals' findings of fact pursuant to 28 U.S.C.
§ 2254, the order granting Moody's petition for habeas corpus on
his equal protection claim is VACATED.
I. FACTUAL AND PROCEDURAL BACKGROUND
Because our review of this appeal pertains solely to the issue of
whether the Texas trial court and the Texas Court of Criminal
Appeals committed reversible error in failing to allow Moody's
Batson challenge, we limit our recitation of the facts and
proceedings to those germane to the resolution of that issue.
In 1993, Moody was indicted on a charge of capital murder for the
death of Joseph Franz Hall. The death occurred during the
commission of a botched armed robbery in 1991. A jury subsequently
found Moody guilty of the offense in 1993. After answering Texas's
special issues in the affirmative during a separate punishment
phase of the trial, the jury sentenced Moody to death by lethal
injection.
During voir dire, the State used four of its thirteen peremptory
challenges to strike four out of eight (50%) of the African-Americans
on the venire. Moody objected to one of those strikes when the
State used a peremptory strike to exclude Jerome Hightower. At the
close of the voir dire, Moody requested a Batson hearing to
challenge the propriety of the State's exclusion of Hightower. The
trial judge denied Moody's request, explaining that because Moody
was white he had no standing to raise a Batson equal
protection claim when the excluded venireperson was of a different
race. The State agreed with the state trial court's reasoning, but
nevertheless volunteered a race-neutral explanation for its
striking of Hightower; mainly, that Hightower had two brothers-in-law
in prison. The State argued that Hightower's family circumstances
would have adversely affected his beliefs concerning whether a
defendant could be rehabilitated by a long prison sentence.
Disregarding Moody's request for a Batson hearing, the
trial court dismissed Hightower without conducting any step of the
three-part Batson analysis, solely on the basis that Moody
had no standing to challenge the striking of a black juror.
On direct appeal to the Texas Court of Criminal Appeals, Moody
raised seven claims of error, including the equal protection claim
at issue here. Moody argued that the state trial court failed to
conduct a Batson hearing as he requested in violation of
the Supreme Court's decision in Powers v. Ohio, which has
long since resolved the issue of whether a defendant could raise a
Batson claim to contest the State's use of a peremptory
strike when a venireperson is of a different race from the
challenging defendant. In 1996, the Texas Court of Criminal
Appeals affirmed Moody's conviction and sentence, stating that
although the state trial court improperly failed to conduct a
proper Batson hearing, the prosecutor's race-neutral
proffer was sufficient for a lawful exclusion of Hightower and
that the prosecutor did not strike Hightower because of his race.
Moody v. State, No. 71,687 (Tex.Crim.App. Jan. 17, 1996) (unpublished).
In 1997, Moody filed an application for a state writ of habeas
corpus in the Texas trial court. Moody did not assert his
Batson claim in his state habeas petition. In 1999, the state
trial court denied Moody's request for habeas relief and entered
findings of fact and conclusions of law in support of its ruling.
The Texas Court of Criminal Appeals denied relief holding that the
trial court's findings of fact and conclusions of law were
supported by the record. Ex parte Moody, No. 71,687 (Tex.
Crim.App. Nov. 3, 1999) (unpublished).
Moody subsequently petitioned for habeas relief in federal court.
Moody raised the same claims he raised on direct appeal—two
ineffective assistance of trial counsel claims and the equal
protection claim at issue here. The State filed a motion for
summary judgment, and Moody filed a cross motion for summary
judgment. The district court granted summary judgment to the State
on Moody's ineffective assistance of counsel claim and denied
Moody's request for a COA;1
however, it ordered additional briefing on the equal protection
issue, including evidence and arguments as to the proper remedy
that should be ordered to rectify the error, i.e., whether it
should issue an order of remand to conduct a proper Batson
hearing or an order of remand for a new trial.
In a renewed motion for summary judgment, the State argued that
the state trial court's decision denying Moody's request for a
Batson hearing should be affirmed because (1) the erroneous
ruling did not prevent Moody from fully developing his Batson
claim in the state trial court; (2) Moody did not establish a
prima facie case of discrimination; and (3) Moody did not meet his
burden of establishing discriminatory intent. In response to the
State's arguments the district court concluded that:
[w]ell after the Supreme Court had ruled on the issue [of the
irrelevance of a prospective juror's race when a defendant raises
a Batson claim,] the trial court committed the error
denounced by Powers. The trial court abdicated its duty to
make an inquiry into alleged racial discrimination by failing to
recognize Petitioner's standing to contest the issue. [The State]
now argues that, the trial court's erroneous ruling
notwithstanding, Petitioner should have proceeded to a Batson
inquiry by attempting to prove intentional discrimination. [The
State] trivializes the practical effect of the trial court's
ruling that Petitioner lacked standing to raise a Batson
issue. As a practical matter, any attempt to analyze the merits of
a Batson claim in that forum would have been pointless; the
trial court had already erroneously prevented Petitioner from
developing the issue. Any attempt to make an extensive record or
persist in his claim would have been a waste of judicial resources.
As part of the Batson analysis, a "trial court . . . will
have the duty to determine if the defendant has established
purposeful discrimination." Batson, 476 U.S. at 98, 106
S.Ct. 1712. In ignoring its obligation through an inaccurate
standing ruling, the trial court disabled Petitioner's efforts to
comply with his burden. [The State] now asks this Court, on the
basis of a cold record alone, to consider the Batson
framework and the petition. [However,] [t]he trial court prevented
Petitioner from making a case under Batson; [furthermore,]
the record is silent as to the prosecutor's true intent, demeanor,
or credibility. [Therefore,] [t]he Court of Criminal Appeals'
failure to apply fully Powers to this case was both
contrary to and an unreasonable application of Supreme Court
precedent.
Moody v. Dretke, H-00-CV-1450, at 2 (S.D.Tex. Sep. 30,
2002) (supplemental memorandum opinion and order). Based on these
findings, the district court provisionally granted habeas relief
on the equal protection claim.
In the same supplemental memorandum opinion and order, the
district court addressed the issue of the correct remedy needed to
rectify the state trial court's violation of Moody's equal
protection rights. The court stated:
In its earlier order, this Court instructed the parties to address
what relief is available in this case. [The State] only argues
that a federal evidentiary hearing is unavailable. Petitioner
contends that this Court should order a new trial. In support of
his argument, Petitioner submits an affidavit by the trial
prosecutor. . . . There, the prosecutor states that any hearing
would be unproductive as he has no recollection of his motive in
peremptorily striking [Mr. Hightower] eight years ago. As it
appears that a hearing at this late date would not be feasible,
the State of Texas must retry Petitioner.
Id. at 3. Faced with the futility of ordering a remand to
reconstruct the Batson hearing, the district court ordered
the State to either retry Moody within 180 days from its ruling,
or release him from custody. In December of 2002, that order was
stayed by the district court pending the outcome of this appeal.
The State now urges us to reverse the district court's final
judgment provisionally granting Moody's petition for habeas
corpus. The State's sole basis for reversal is that Moody failed
to rebut the race-neutral explanation voluntarily proffered by the
prosecutor. Moody, on the other hand, vigorously contends that the
decision of the district court should be affirmed.
II. DISCUSSION
A. Standard of Review
In reviewing a grant of the writ of habeas corpus, this court
reviews a district court's findings of fact for clear error and
reviews de novo the district court's disposition of pure issues of
law and mixed issues of law and fact. Valdez v. Cockrell,
274 F.3d 941, 946 (5th Cir.2001). Because Moody's petition was
filed after the effective date of the enactment of the
Antiterrorism and Effective Death Penalty Act of 1996 ("AEDPA"),
28 U.S.C. § 2254, our review is governed by a more heightened
standard of review. Accordingly, a federal writ of habeas corpus
may not issue to a petitioner seeking relief under AEDPA, unless
the state adjudication of his claim,
(1) resulted in a decision that was contrary to, or involved an
unreasonable application of, clearly established Federal law, as
determined by the Supreme Court of the United States; or
(2) resulted in a decision that was based on an unreasonable
determination of the facts in light of the evidence presented in
the State court proceeding.
28 U.S.C. § 2254(d); see also Ogan v. Cockrell, 297 F.3d
349, 355 (5th Cir.2002). Moreover, a writ of habeas corpus
pursuant to § 2254 should not issue solely on the basis that the
state court committed error. Rather, the writ should be granted
only if the state court "arrive[d] at a conclusion opposite to
that reached by [the Supreme Court] on a question of law or if the
state court decide[d] a case differently than [the Supreme Court]
has on a set of materially indistinguishable facts." Williams
v. Taylor, 529 U.S. 362, 413, 120 S.Ct. 1495, 146 L.Ed.2d 389
(2000).
Absent a direct conflict with Supreme Court authority, habeas
relief is available only if the state court decision is factually
or legally unreasonable in light of the evidence present in the
state court proceeding. Montoya v. Johnson, 226 F.3d 399,
404 (5th Cir.2000). Notwithstanding, an unreasonable application
of federal law is not the equivalent of an incorrect application
of federal law. Williams v. Taylor, 529 U.S. 362, 412, 120
S.Ct. 1495, 146 L.Ed.2d 389 (2000). Indeed, a federal writ may not
issue merely because the state court incorrectly applied federal
law; the application must also be unreasonable. Id. at 411,
120 S.Ct. 1495. An unreasonable application occurs "if the state
court identifies the correct governing legal principles from [the
Supreme Court's] decision, but unreasonably applies that principle
to the facts of the [petitioner] prisoner's case." Id.
In the instant case, our focus is on the third step of the
Batson inquiry, the court's determination as to whether the
defendant carried his burden of proving purposeful discrimination.
This determination is a question of fact. United States v.
Kelley, 140 F.3d 596, 606 (5th Cir.1998) ("The district
court's determination that a party has used peremptory strikes in
a discriminatory manner is a finding of fact and thus cannot be
overturned by this Court absent clear error."). Accordingly, Moody
is only entitled to relief if the state court's determination
constituted "an unreasonable determination of the facts in light
of the evidence presented in the State court proceeding." 28 U.S.C.
§ 2254(d).
B. Equal Protection Under Batson
The Supreme Court has long since made clear that the Equal
Protection Clause of the Fourteenth Amendment prohibits
prosecutors from striking prospective jurors solely on the basis
of race. Batson v. Kentucky, 476 U.S. 79, 89, 106 S.Ct.
1712, 90 L.Ed.2d 69 (1986); accord United States v. Webster,
162 F.3d 308, 349 (5th Cir.1998) (recognizing that the Fifth
Amendment prohibits use of peremptory strike of prospective jurors
solely on the basis of race). In Batson, the Court
delineated a three-step analysis for evaluation of a defendant's
claim that a prosecutor used a peremptory strike in a racially
discriminatory manner: (1) a defendant must make a prima facie
showing that the prosecutor exercised his peremptory challenges on
the basis of race; (2) the burden then shifts to the prosecutor to
articulate a race-neutral reason for striking the juror in
question; and (3) the trial court must determine whether the
defendant carried his burden of proving purposeful discrimination.
See Hernandez v. New York, 500 U.S. 352, 358-59, 111 S.Ct.
1859, 114 L.Ed.2d 395 (citing Batson, 476 U.S. at 96-98,
106 S.Ct. 1712). The ultimate burden of persuasion lies at all
times with the defendant. See Purkett v. Elem, 514 U.S.
765, 768, 115 S.Ct. 1769, 131 L.Ed.2d 834 (1995); see also
Miller-El v. Dretke, 361 F.3d 849, 853 (5th Cir.2004),
rev'd on other grounds, 545 U.S. 231, 125 S.Ct. 2317, 162 L.Ed.2d
196 (2005).
For the second step of the analysis, a prosecutor is not allowed
to merely deny that he did not have a discriminatory motive; he
must provide a specific explanation that is clear and reasonable.
Elem, 514 U.S. at 768, 115 S.Ct. 1769. Although the
prosecutor's explanation must be clear and reasonable, the
explanation is not required to be persuasive or even plausible.
Id. at 767-68, 115 S.Ct. 1769; see also United States v.
Huey, 76 F.3d 638, 640-41 n. 12 (5th Cir. 1996). The question
is the "facial validity" of the explanation. Elem, 514 U.S.
at 768, 115 S.Ct. 1769. Therefore, "[u]nless a discriminatory
intent is inherent in the prosecutor's explanation, the reason
offered [by the prosecutor] will be deemed race neutral." Id.
at 768, 115 S.Ct. 1769.
Whether a defendant has carried his burden under Batson's
third step to prove purposeful discrimination is based on the
persuasiveness and credibility of the prosecutor's justification
for his exercise of the peremptory strike. Id. This step of
the analysis is extremely fact intensive. Because of the
importance of demeanor and credibility evidence in making such
determinations, this step of the analysis should lie solely in the
province of the trial judge. Id. Indeed, it is at this
stage that the persuasiveness of a prosecutor's explanation
becomes relevant. Accordingly, "implausible or fantastic
justifications may (and probably will) be found to be pretexts for
purposeful discrimination." Id.
1. Texas Trial Court
As stated, "[u]nder the AEDPA deference scheme, pure questions of
law and mixed questions of law and fact are reviewed under §
2254(d)(1), and questions of facts are reviewed under §
2254(d)(2)." Trevino v. Johnson, 168 F.3d 173, 181 (5th
Cir.1999). Accordingly, Moody is not entitled to habeas relief
unless the state court's decision is "based on an unreasonable
determination of the facts in light of the evidence presented in
the State court proceeding." § 2254(d)(2). Further, a state
court's factual findings are presumed to be correct unless
contravened by clear and convincing evidence. § 2254(e)(1). With
this standard of deference in mind, we consider Moody's equal
protection claim.
From our review of the record, it is patently clear that the state
trial court's ruling was contrary to clearly established Supreme
Court law. The trial court did not even consider Moody's request
for a Batson hearing because it incorrectly concluded that
Moody had no standing to challenge the prosecution's exclusion of
Hightower. As noted above, the Supreme Court has held that
defendants have standing to raise a prospective juror's equal
protection claim by way of a Batson challenge, even if the
prospective juror is of a different race. Powers, 499 U.S.
at 415, 111 S.Ct. 1364. Because of the trial court's erroneous
ruling in contravention of Powers, it did not broach the
three-step analysis required to evaluate a defendant's Batson
challenge. Given the Supreme Court's holding in Powers, we
find that the state trial court's ruling was an unreasonable
application of clearly-established Supreme Court law. As to
AEDPA's requirement that this court defer to the state trial
court's findings of fact, this directive is not applicable as to
this state trial court because it failed to make any findings of
fact relative to the heart of Moody's claim.
2. Texas Court of Criminal Appeals
Essentially acknowledging that the state trial court's decision is
not entitled to deference under AEDPA, the State contends
alternatively that the district court should have denied relief
based on the Texas Court of Criminal Appeals' holding regarding
Moody's Batson claim. It contends that the Texas Court of
Criminal Appeals' rejection of Moody's Batson claim was
proper because the prosecutor's reason for striking Hightower was
a valid race-neutral explanation. The State argues that because of
AEDPA's deferential standard requiring that reviewing federal
courts defer to the factual findings of state courts, the district
court committed error when it failed to accede to the Texas Court
of Criminal Appeals' factual findings that the prosecutor's race-neutral
explanation was sufficient and that Moody failed to prove
discriminatory intent. We agree.
The Supreme Court has held that "the presumption of correctness is
equally applicable when a state appellate court, as opposed to a
state trial court, makes the finding of fact." Sumner v. Mata,
455 U.S. 591, 592-93, 102 S.Ct. 1303, 71 L.Ed.2d 480 (1982);
see also Rolan v. Vaughn, 445 F.3d 671, 680 (3d Cir.2006) (applying
presumption of correctness to appellate court's findings of fact
where petition was filed after the effective date of AEDPA);
Norton v. Spencer, 351 F.3d 1, 6 (1st Cir.2003) (same);
Bugh v. Mitchell, 329 F.3d 496, 501 (6th Cir.2003) (same). In
the instant case, we have already determined that the state trial
court did not conduct the three-step Batson test.
Nevertheless, the Texas Court of Criminal Appeals on direct appeal
did so in its stead. First, the Texas Court of Criminal Appeals
presumed that Moody made the requisite showing necessary to
establish a prima facie case to challenge the prosecutor's
peremptory strike of Hightower. The Texas Court of Criminal
Appeals next concluded that the State had volunteered a valid race-neutral
explanation sufficient to meet its burden under step two of the
analysis. Based upon its review of the record, the court concluded
that Moody failed to prove that the prosecutor was motivated by
discriminatory intent and thus failed to satisfy his burden under
step three of the Batson analysis.
In considering Moody's petition for federal habeas relief, instead
of determining whether the record supported the Texas Court of
Criminal Appeals' finding that the prosecutor was not motivated by
discriminatory intent, the district court essentially concluded
that the Texas Court of Criminal Appeals erred by not remanding
the case to the state trial court to conduct a proper Batson
hearing. Recognizing the futility of ordering a remand to
reconstruct the Batson hearing, the district court ordered
a new trial.
Given the Supreme Court's directive in Batson that the
third step of the analysis should lie solely in the province of
trial judges, 476 U.S. at 98, 106 S.Ct. 1712, it is easy to
understand the district court's analysis of this claim. The
district court found that the Texas state courts erred, first by
failing to recognize that Moody had standing under Powers
to challenge the prosecutor's use of peremptory strikes, and
second, by failing on direct appeal to remand the case back to the
state trial court to conduct a proper Batson hearing.2
Nevertheless, the district court's task was not to assess whether
it agreed with the state court's ruling, but to determine whether
the state court's finding was entitled to the presumption of
correctness and to decide whether that determination was
unreasonable in light of the evidence presented. Cf. Rice v.
Collins, 546 U.S. 333, 126 S.Ct. 969, 973, 163 L.Ed.2d 824
(2006) ("Though it recited the proper standard of review, the
panel majority improperly substituted its evaluation of the record
for that of the state trial court."); Brown v. Payton, 544
U.S. 133, 143, 125 S.Ct. 1432, 161 L.Ed.2d 334 (2005) ("Even on
the assumption that its conclusion was incorrect, it was not
unreasonable, and is therefore just the type of decision that
AEDPA shields on habeas review.").
In Elem, 514 U.S. 765, 115 S.Ct. 1769, 131 L.Ed.2d 834, the
Supreme Court considered the Eighth Circuit's reversal of a
district court's denial of habeas relief in similar circumstances.
During jury selection for Jimmy Elem's ("Elem") trial, a defendant
charged with second degree robbery for snatching a young woman's
purse, Elem objected to the prosecutor's use of peremptory strikes
to exclude two prospective black jurors, prospective jurors 22 and
24. Id. at 766, 115 S.Ct. 1769. The prosecutor, without
request from the state trial judge, offered explanations for its
strikes of the two prospective jurors. Id. With regard to
prospective juror 22, the prosecutor explained that he struck the
juror because he had "long, unkempt hair, a mustache, and a beard."
Id. at 769, 115 S.Ct. 1769. Prospective juror 24 was struck
because the juror had previously been robbed with a sawed-off
shotgun. Id. at 766, 115 S.Ct. 1769. The prosecution's
rationale was that because juror number 24 was robbed with an
actual gun, he would not be able to find Elem guilty of robbery
because Elem did not use a gun to commit his offense. Id. "The
state trial court, without explanation, overruled [Elem's
Batson] objection and empaneled the jury." Id. In other
words, the state trial judge, concluding that Elem did not
establish a prima facie case of race discrimination, failed to
engage any of the three-step Batson analysis. See id.
at 770, 115 S.Ct. 1769 (Stevens, J., dissenting). On direct
appeal, the state appeals court affirmed the state trial court's
judgment, finding that the "`state's explanation constituted a
legitimate `hunch' and that `[t]he circumstances fail[ed] to raise
the necessary inference of racial discrimination.'" Id. at
766, 115 S.Ct. 1769 (majority opinion) (quoting State v. Elem,
747 S.W.2d 772, 775 (Mo.App.1988)).
On federal habeas review, the district court, applying the
deferential standard required under § 2254(d), affirmed the state
appeals court, holding that based on the record "the Missouri
courts' determination that there had been no purposeful
discrimination was a factual finding entitled to a presumption of
correctness." Id. at 767, 115 S.Ct. 1769. On review to the
Eighth Circuit Court of Appeals, the panel reversed the district
court's decision and remanded the case with instructions that the
district court grant Elem's petition for writ of habeas corpus.
Id. The Eighth Circuit essentially concluded that the
prosecution's explanation for striking prospective juror 22 was
pretextual. Id.
The Supreme Court granted certiorari and reversed the Eighth
Circuit, concluding that the panel had conflated steps two and
three of the Batson analysis. Id. 768, 115 S.Ct.
1769. The Court stated that the panel erred by "requiring that the
justification tendered at the second step be not just neutral but
also at least minimally persuasive." Id. The Court
admonished the panel stating, "[i]t is not until the third
step that the persuasiveness of the justification becomes relevant—the
step in which the trial court determines whether the opponent of
the strike has carried his burden of proving purposeful
discrimination." Id. (citing Batson, 476 U.S. at 98,
106 S.Ct. 1712). The Court stated that the prosecutor's
explanation for striking prospective juror 22, i.e., that "he had
long, unkempt hair, a mustache, and a beard," was a sufficient
race-neutral basis to satisfy the prosecution's burden under step-two
of the analysis. Id. at 769, 106 S.Ct. 1712. The Court then
concluded that from the prosecutor's race-neutral explanation, "the
inquiry properly proceeded to step three, where the state court
found that the prosecutor was not motivated by discriminatory
intent." Id.
On remand, the Eighth Circuit followed the Supreme Court's
instructions "to reevaluate, under the proper § 2254(d) standard,
[the Missouri Court of Appeal's] `finding of no racial motive.'"
Elem v. Purkett, 64 F.3d 1195, 1200 (8th Cir.1995) (quoting
Purkett v. Elem, 514 U.S. at 769, 115 S.Ct. 1769). The
court's review of the record revealed the following:
When petitioner's counsel objected to the prosecutor's use of
peremptory strikes to eliminate jurors 22 and 24, the trial judge
noted, and then the prosecutor argued, that there was no evidence
that jurors 22 and 24 were in fact African American. The
prosecutor nonetheless stated that he struck jurors 22 and 24
because of their mustaches and beards, which "look[ed] suspicious,"
and because of their hair, which the prosecutor "[didn't] like."
Responding to the trial court's comment and the prosecutor's
responsive argument, the defense attorney requested that the court
either allow him to ask the two jurors if they were black or take
judicial notice of the fact that they were black, in order to
establish a record of the jurors' race. The trial court responded,
"I am not going to do that, no, sir."
Elem, 64 F.3d at 1199 (alterations in original) (citations
omitted). The Eighth Circuit explained that "after the prosecution
offered its reasons for striking jurors 22 and 24, petitioner made
no attempt to persuade the trial court that the prosecutor's
reasons for striking juror 22 were merely a pretext for purposeful
discrimination." Id. at 1201. Indeed, defense counsel's
response to the trial court's refusal of his request was: "Okay.
Nothing further." Id. at 1200 n. 7. Accordingly, the Eighth
Circuit held that
because the prosecutor proffered reasons for striking juror 22
that were facially race-neutral, and petitioner made no attempt to
persuade the state trial court that the prosecutor's reasons for
striking juror 22 were merely a pretext for purposeful
discrimination, the trial court's finding of no racial motive is
fairly supported by the record, and petitioner is not entitled to
habeas relief on his Batson claim.
Id. at 1201.
In the instant case, when the trial court erroneously stated that
Moody could not assert a Batson claim, defense counsel
responded "Thank you. Note our exception."3
The judge then indicated that Mr. Hightower was free to go;
however, the prosecutor immediately offered his race-neutral
reason for dismissing Hightower. The judge once again stated that
Mr. Hightower was free to leave. Defense counsel did not respond.
We understand why defense counsel may have been reluctant to
pursue the issue before the trial court; nevertheless, we conclude
that Moody's failure to argue on appeal that the prosecution's
reasons were pretextual is fatal to any argument that he was
denied an opportunity to carry his burden.
On appeal to the Texas Court of Criminal Appeals, defense counsel
did not even attempt to argue that the prosecution's reasons for
striking Hightower were pretextual. Instead, counsel argued only
that "[t]he State failed to articulate a racially neutral reason,
or any other reason, for exercising a peremptory strike on Mr.
Hightower." But, as we noted above, the prosecutor's stated reason
for striking Hightower was that he had two brothers-in-law that
had been imprisoned and who he believed could be rehabilitated. It
is understandable that defense counsel did not attempt to respond
to the prosecutor's stated reasons following the trial judge's
ruling that Moody lacked standing; nevertheless, we hold that
Moody's failure to do so before the Texas Court of Criminal
Appeals precludes a finding that the Texas Court of Criminal
Appeals' determination was unreasonable.
Our conclusion is bolstered by defense counsel's objection to the
prosecution's strike of a second juror on Batson grounds.
In an effort to preempt a second erroneous ruling that Batson
did not apply, defense counsel established a prima facie case that
the prosecutor exercised a peremptory strike on the basis of race.
The prosecutor then articulated several reasons for the strike
including the juror's memory loss and her statement that she could
not follow the evidence. Defense counsel responded by arguing that
the prosecutor's explanation was not supported by the witness's
testimony. The trial judge then made a finding that the juror was
not struck because of her race. In his brief to the Texas Court of
Criminal Appeals, Moody contended that there was nothing in the
record to support the prosecutor's stated reasons for striking
Lathon; however, he did not point to any evidence, or lack thereof,
with regard to the prosecutor's stated reasons for striking
Hightower. The Texas Court of Criminal Appeals found that the
prosecutor's stated reasons for striking Hightower are supported
by the record and that Hightower was struck for those reasons and
not because of his race. Moody has not rebutted these findings by
clear and convincing evidence. See 28 U.S.C. § 2254(e)(1).
The district court's opinion and Moody's argument that the third
stage of the Batson test necessarily requires a trial judge,
not a reviewing appellate court, to scrutinize the demeanor, and
thereby, the credibility of a prosecutor's offering are quite
forceful and are indeed supported by the Supreme Court's own
admonition. See Batson, 476 U.S. at 98, 106 S.Ct. 1712;
Hernandez v. New York, 500 U.S. 352, 365, 111 S.Ct. 1859, 114
L.Ed.2d 395 (1991) (plurality opinion) ("In the typical peremptory
challenge inquiry, the decisive question will be whether counsel's
race-neutral explanation for a peremptory challenge should be
believed. There will seldom be much evidence bearing on that issue,
and the best evidence often will be the demeanor of the attorney
who exercises the challenge."). Further, we are mindful that the
Supreme Court has observed that "[t]here might be instances,
however, in which the presumption [of correctness] would not apply
to appellate factfinding . . . . For example, the question . . . .
might in a given case turn on credibility determinations that
could not be accurately made by an appellate court on the basis of
a paper record." Cabana v. Bullock, 474 U.S. 376, 388 n. 5,
106 S.Ct. 689, 88 L.Ed.2d 704 (1986), overruled in part on
other grounds, Pope v. Illinois, 481 U.S. 497, 107 S.Ct. 1918,
95 L.Ed.2d 439 (1987); see also Buxton v. Lynaugh, 879 F.2d
140, 146 (5th Cir.1989). But Moody did not argue that the
prosecutor's demeanor demonstrated that his reasons for striking
Mr. Hightower were pretextual; indeed, Moody has made no argument
that the prosecutor's reasons were pretextual. Consequently, we
cannot conclude that the state court's determination that the
prosecutor did not strike Hightower because of his race was
unreasonable in light of this record.
Accordingly, although we might disagree with the Texas Court of
Criminal Appeals' failure to remand the case to the trial court,
the Texas Court of Criminal Appeals' finding that the prosecutor's
striking of prospective juror Hightower was not a violation of
Moody's equal protection rights was not unreasonable and is
therefore not grounds for habeas relief. The district court's
determination to the contrary is VACATED.
III. CONCLUSION
For the foregoing reasons, the order of the district court
granting Moody's petition for habeas relief is VACATED. This case
is REMANDED for further proceedings consistent with this opinion.
Following the district court's denial of relief
on his ineffective assistance claim, Moody sought a COA before
this court solely on that issue. We denied Moody's application as
to each of the arguments in support of that claim and dismissed
his petition as to that claimSee Moody v. Dretke, 77
Fed.Appx. 7222 (5th Cir.2003) (unpublished).
Indeed we agree that the better practice would
have been for the Texas Court of Criminal Appeals to remand the
case to the trial court to conduct aBatson hearing. In
Wardlow v. State, 6 S.W.3d 786 (Tex.App.1999), the trial court
overruled the defendant's Batson violation, acknowledging
that it was irrelevant but noting that the defendant was white and
concluding based on the trial judge's experience with the
prosecutors that they were not striking the jurors based on race.
The appellate court noted the Supreme Court's decision in
Powers and reversed and remanded the case to the trial court,
holding that the prosecution's peremptory strike of the only
remaining black venire-member established a prima facie case of a
Batson violation. Id. at 787-88.
MR. GUERINOT: We would like the
record to reflect that this juror is a black male, and we would
ask the State to specifically state in the record, after your voir
dire and mine, the racially impartial reason that they are
exercising a strike.
THE COURT: That will be denied,
being the fact that the Defendant in this case is white. He is not
part of any racial minority.
MR. GUERINOT: Thank you. Note
our exception.
THE COURT: Give the gentleman an
excuse and tell him he is free to go.
MR. MORRIS: In addition to that,
if it be needed—probably doesn't need to—our point would be, of
course, the records of the two brother-in-laws [sic], one robber
and one dope pusher, and he says they can be rehabilitated, even
though they have been up twice before.
THE COURT: Tell him he's free to
go and thank him for being with us.
*****
DENNIS, Circuit Judge,
dissenting:
When Moody's state trial counsel made a Batson objection to
the state prosecutor's peremptory challenge of a black juror, the
state trial court cut him off at the knees, ruling sua sponte
that Moody did not have standing to object because Moody is white.
Undisputedly, the state trial court's no-standing decision was
contrary to the rule of federal law clearly established by the
Supreme Court in Powers v. Ohio. 499 U.S. 400, 111 S.Ct.
1364, 113 L.Ed.2d 411 (1991) (holding that under the Equal
Protection Clause, a criminal defendant may object to race-based
exclusions of jurors effected through peremptory challenges
whether or not the defendant and the excluded jurors share the
same race).
The state trial court's ruling foreclosed any opportunity for: (1)
Moody to make a prima facie showing of discrimination; (2) the
State to make a valid proffer of a race-neutral basis for the
challenge; or (3) Moody to show that the State's proffer would
have been pretextual and that the challenge was race-based. Thus,
the state trial court's immediate, sua sponte ruling also
precluded the making of a record from which an appellate court
could reasonably make a factual finding of racial discrimination
vel non or a determination that the legal errors and
omissions were harmless.
All this is evident from the unbroken train of events that rapidly
followed Moody's objection to the peremptory challenge: (1) the
trial court immediately ruled sua sponte that Moody did not
have standing to object; (2) defense counsel noted his exception
to the court's ruling; (3) the trial court excused the black juror
from further jury service; (4) the prosecutor agreed with and
accepted the benefit of the trial court's no-standing ruling, but
interjected a reference to his reasons for the strike, stating
that "[i]n addition to that, if it be needed—probably doesn't need
to— . . . the records of the two brother-in-laws [of the juror],
one robber and one dope pusher, and he says they can be
rehabilitated, even though they have been up twice before . . .;"
and (5) the trial court signified his insistence on his no-standing
ruling and sustained the prosecutor's peremptory challenge by
directing that the black juror be told that he was "free to go"
and thereby released from further jury duty.
The district court correctly determined that a writ of habeas
corpus must be granted because (1) the state trial court
unquestionably violated the clear, firm rule of Powers by
holding that Moody lacked standing to object to the race-based
exclusion of a black juror through peremptory challenge because
Moody "is white . . . [and] not part of any racial minority"; (2)
the state trial court compounded its Powers error by also
violating the clearly established rules of Batson v. Kentucky,
476 U.S. 79, 106 S.Ct. 1712, 90 L.Ed.2d 69 (1986), when it failed
to conduct any of the three steps required by Batson after
Moody objected that the state prosecutor had used a race-based
peremptory challenge to exclude a black juror; (3) the Texas Court
of Criminal Appeals ("CCA"), despite its recognition that the
state trial court's decision was contrary to Powers, acted
contrary to or unreasonably applied Batson by purporting to
find as a fact that the prosecution's peremptory challenge had not
been based on racial discrimination, although the record before it
was completely devoid of any semblance of the state trial court's
compliance with any of the three clearly established steps and
procedures required by Batson.
The majority scouts for a way to say that the CCA's decision,
although flatly contrary to Batson, was not unreasonable.
But each theory it advances is itself contrary to or an
unreasonable application of those clearly established Supreme
Court holdings. First, the majority vaguely suggests that the
collection of decisions related to Purkett v. Elem is a
reasonable basis to think that a state appellate court might
decide a Batson challenge originally and ab initio
despite the trial court's failure to undertake any of the three
steps. See Purkett v. Elem, 514 U.S. 765, 115 S.Ct. 1769,
131 L.Ed.2d 834 (1995); Elem v. Purkett, 64 F.3d 1195 (8th
Cir.1995); State v. Elem, 747 S.W.2d 772 (Mo.Ct.App.1988).
But the Elem gestalt is diametrically different and
inapposite at every juncture: there, after the trial court
accepted the defendant's prima facie showing and the prosecution's
making of a valid race-neutral proffer, the defendant failed to
prove that the proffered reason was a pretext for racial
discrimination. Elem affirms and follows Batson.
Here, contrary to the Elem decisions, as the majority
repeatedly admits, Moody was not allowed to broach any of the
Batson phases; and the prosecutor's interjection, coming after
he agreed that Moody lacked standing to complain about the State's
racially based peremptories, was tacitly but clearly rejected by
the trial court as an invalid and unnecessary proffer. Second, the
majority's notion that in the state appellate court Moody somehow
waived his right to object to race based peremptories that he was
denied the standing to assert in the trial court is also incorrect.
Neither the CCA opinion nor the State's briefs there or here even
hint at a waiver, as the majority in effect holds, in the sense of
an express or implicit failure to avail oneself of a known right
or to assert a claim, and the majority's opinion presents no
reasonable basis for supposing that Moody somehow declined to
assert his Batson claim in the CCA while at the same time
complaining vigorously that he had been denied standing to assert
it below.
In my opinion,
Powers and Batson clearly establish that Moody had
standing to object to the peremptory challenge, to make a prima
facie case and to prove racial discrimination on the merits in the
trial court, and Batson unmistakably does not allow a state
appellate court to make the factual determination of racial
discrimination in peremptory challenges vel non in the
absence of a record of such a previous finding by the trial court.
In Batson, the Supreme Court applied by analogy from its
equal protection jurisprudence a burden-shifting framework for the
analysis of objections to peremptory strikes as discriminatory. It
established a three-step analysis: first, the defendant must make
a prima facie showing that the peremptory challenge was racially
motivated; second, the prosecutor must then articulate a race-neutral
reason for the strike; and third, the trial court must determine
whether the defendant has established purposeful discrimination.
Batson, 476 U.S. at 96-98, 106 S.Ct. 1712. Batson
noted that at the third step, "[s]ince 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." Id. at 98 n. 21, 106
S.Ct. 1712. Batson involved a virtually identical fact
pattern, and the court remanded to the trial court "[b]ecause the
trial court flatly rejected the objection without requiring the
prosecutor to give an explanation for his action." Id. at
100, 106 S.Ct. 1712.
Batson
plainly does not authorize an appellate court to take evidence or
to act as the initial fact-finder regarding whether a peremptory
challenge was racially motivated. Nor does it allow appellate
judges to speculate as to what would have happened in the absence
of the trial court's Batson error or to hypothesize a
record for review in a case in which the trial court failed to
make findings as to whether the defendant made out a prima facie
case of racial discrimination, whether the prosecution had
proffered a race neutral explanation, and whether the defendant
prevailed on the ultimate issue of intentional racial
discrimination. In the final analysis, the CCA's decision in the
present case is, at best, a review of a hypothesized three-step
inquiry that was never made by the state trial court, or, at worst,
rank speculation that the prosecutor's uninvited, unaccepted, and
untraversed faux-proffer concerning Hightower's brothers-in-law
must have been the true basis for the prosecutor's peremptory
challenge.
Nothing in AEDPA
or the Supreme Court's jurisprudence reasonably supports the CCA
in making credibility calls on peremptory challenges against black
jurors based on a trial record devoid of evidence, traverse,
contradictory hearing, or judicial questioning. It was well
settled prior to AEDPA that, in habeas corpus proceedings in
federal courts, the factual findings of state courts were presumed
to be correct, but that the presumption was rebuttable and the
findings could be set aside if they were "`not fairly supported by
the record.'" Purkett, 514 U.S. at 769, 115 S.Ct. 1769 (citing
28 U.S.C. § 2254(d)(8); Marshall v. Lonberger, 459 U.S.
422, 432, 103 S.Ct. 843, 74 L.Ed.2d 646 (1983)). Under this
rebuttable presumption rule, it was not material that the factual
findings were made by a state reviewing court rather than a trial
court. See Sumner v. Mata, 455 U.S. 591, 592-93, 102 S.Ct.
1303, 71 L.Ed.2d 480 (1982); Sumner v. Mata, 449 U.S. 539,
546, 101 S.Ct. 764, 66 L.Ed.2d 722 (1981).
However, the
Supreme Court held that although the Sumner cases
established that the presumption applies to facts found by
appellate as well as trial courts, there were instances in which
the presumption would not arise with respect to appellate fact-finding—for
example, in a case which turned on credibility determinations that
could not be accurately made by an appellate court on the basis of
a paper record. See Cabana v. Bullock, 474 U.S. 376, 388 n.
5, 106 S.Ct. 689, 88 L.Ed.2d 704 (1986) (citing Anderson v.
Bessemer City, 470 U.S. 564, 575, 105 S.Ct. 1504, 84 L.Ed.2d
518 (1985); Wainwright v. Witt, 469 U.S. 412, 429, 105 S.Ct.
844, 83 L.Ed.2d 841 (1985)).
In Childress
v. Johnson, 103 F.3d 1221, 1226 n. 7 (5th Cir.1997), this
court held that AEDPA retained the traditional presumption of
correctness afforded to state court factual determinations, id.
at 1225 (citing 28 U.S.C. § 2254(e)(1)), but that the presumption
continues to be rebuttable because, post-AEDPA, "[s]ection
2254(d)(2) authorizes issuance of the writ if the state court
decision `was based on an unreasonable determination of the facts
in light of the evidence presented.'" Id. at 1226 n. 7.
Consequently, section 2254(d) does not require this court to defer
to the CCA's finding of fact exonerating the State of racial bias
in striking Hightower, the black juror. That finding lacks support
in the record and was thus an "unreasonable determination of the
facts in light of the evidence." Id. Moreover, that
unsupported finding appears to have been designed to improperly
shield and excuse the trial court's clear violation of the
constitutional requirements set forth in Batson and
Powers.
The trial court
in this case never initiated the Batson inquiry, and the
record does not contain even a first-step analysis. Rather, the
trial court refused to consider the issue on the ground that Moody
lacked standing to make the objection. We have previously
described Batson findings by the trial court as a "prerequisite
for proper appellate review." United States v. Romero-Reyna,
889 F.2d 559, 560 (5th Cir.1989). The Supreme Court has made the
importance of these findings taking place at the trial court level
plain in Hernandez v. New York, 500 U.S. 352, 365, 111 S.Ct.
1859, 114 L.Ed.2d 395 (1991), which held that:
In the typical
peremptory challenge inquiry, the decisive question will be
whether counsel's race-neutral explanation for a peremptory
challenge should be believed. There will seldom be much evidence
bearing on that issue, and the best evidence often will be the
demeanor of the attorney who exercises the challenge. As with the
state of mind of a juror, evaluation of the prosecutor's state of
mind based on demeanor and credibility lies "peculiarly within a
trial judge's province." Wainwright v. Witt, 469 U.S. 412,
428, 105 S.Ct. 844, 83 L.Ed.2d 841 (1985), citing Patton v.
Yount, 467 U.S. 1025, 1038, 104 S.Ct. 2885, 81 L.Ed.2d 847
(1984).
The trial court's
Powers error here led it to default completely on its duty
under Batson to make a three-step analysis. The CCA here
attempted to conduct the third step of the Batson analysis
on its own, despite the Supreme Court's admonition in Hernandez
that this role was peculiarly within the trial judge's province
and despite the trial judge's failure to make findings as to any
of the three steps. It based its findings on a cold, woefully
incomplete record and an uninvited, equivocal, unaccepted and
unexamined proffer of a race-neutral reason by the prosecutor. It
had no opportunity to observe the demeanor of the prosecutor,
described by Hernandez as often the "best evidence" in this
situation. The CCA was required to remand for a three-step
analysis as per Batson, and to do anything else was
contrary to or an unreasonable application of Batson.
Finally, while
Moody may not have gone outside of the trial court record before
the CCA to identify a particular aspect of the prosecutor's
demeanor which suggested racial motivation in this case, as the
majority surmises, this does not detract from the general rule
that an appellate court errs by attempting to make a credibility
determination at the appellate level on a cold or hollow record.
Subtle and
nonverbal cues such as a wink, a glance, or a brief hesitation are
often perceived by a fact-finder only indirectly and
subconsciously. The rule requiring that it be a trial judge who
scrutinizes the demeanor of a witness is in place precisely
because these cues would be difficult, if not impossible, to
identify on appeal. "A transcript cannot reveal tone, speech
inflections, mood and other indicia of a mental state and
certainly cannot pick up subtle but crucial changes in [the
prosecutor's] demeanor." Bruce v. Estelle, 536 F.2d 1051,
1062 (5th Cir.1976). Moreover, such an appellate credibility
determination based on a trial court record devoid of judicial
inquiry, contradictory hearing or evidence is patently devoid of
fairness and due process.
Moody plainly preserved this argument by, at the first available
opportunity in his briefs to the federal district court, arguing
that a "[t]rial judge at least might recall the demeanor of the
prosecutor and prospective jurors while reviewing the record. The
CCA absolutely could not." After citing law to the effect that
only a trial court may make in-person credibility assessments,1
Moody argued that "the TCCA did not, and could not, make an `in
person credibility assessment,' and there was no such assessment
in front of it for review. This means, the TCCA could not make a
reasonable assessment of racial discrimination vel non."
The majority's
further contention that Moody failed to argue that the
prosecutor's stated reasons for striking Hightower were pretextual
is also troubling. First, Moody was not required to make such an
argument, considering the trial court's clear legal errors in its
ruling and proceedings contrary to Powers and Batson.
Second, Moody's briefs to the district court certainly made this
argument anyway, flatly stating that "[t]he record of individual
voir dire proves, however, that the prosecution['s] explanation
for its strike was pretextual." Moody pointed both to statistical
evidence of a disproportionate number of black jurors being struck
from the venire in this case and to several white jurors who Moody
argues stated similar views and yet were not struck by the
prosecutor. While Moody's briefs before the CCA did not detail the
reasons why Moody believed the strike of Hightower to be
pretextual, this failure certainly does not amount to a waiver, as
implied by the majority. In response to Moody's briefs identifying
a clear error and requesting remand (which the majority concedes
is the appropriate remedy), the CCA on its own initiative chose to
engage in appellate fact-finding. Moody could hardly have been
expected to foresee and brief this sua sponte action by the
court. Furthermore, we cannot state with certainty that Moody did
not challenge the strike as pretextual because the record on
appeal does not contain a transcript of any oral proceedings
before the Texas Court of Criminal Appeals and contains no
indication that an evidentiary hearing was held prior to the
appellate fact-finding. We have no indication that Moody was ever
permitted to offer evidence that the strike was pretextual, as he
requested of the district court. In fact, it appears that this
appellate finding of fact was made without an evidentiary hearing—which,
given the refusal of the trial court to allow the Batson
inquiry to proceed to even the first step, gave Moody no
opportunity to meet his burden at the unreached third step by
introducing evidence challenging the State's backhanded proffer of
a reason for the strike as pretextual.
The burden of
proving any waiver by Moody of his arguments lies on the State.
See, e.g., 31 C.J.S. Estoppel and Waiver § 213 (2006) ("The
burden of proving waiver is on the party claiming or asserting it,
or alleging and relying on it, or raising an issue as to it.").
The State's brief to the district court describes the facts as if
no evidentiary hearing ever occurred, arguing in a footnote that
the only "hearing" necessary for a state appellate court to make a
finding of fact is to allow the parties opportunity for written
and oral argument. The State's briefs before us contain no
allegation of waiver and do not give us any indication as to
whether oral argument occurred in the CCA or what was said at any
hearing. We cannot, on the incomplete record before us and on our
own initiative, presume a waiver. Moody's first opportunity to
challenge the CCA's sua sponte effort to reach the third
step of the Batson inquiry was before the district court,
and it is plain that he argued there that the state's proffered
reason was pretextual.
For these reasons,
I respectfully dissent from the majority's reversal of the
district court's judgment. Ordinarily, I believe a remand to re-conduct
the Batson analysis is the most appropriate remedy. However,
in this case the hearing took place over a decade ago, and the
prosecutor has submitted an affidavit stating that he does not
remember the reasons motivating his strike and could not now
testify to them. On these circumstances, I cannot say that the
district court erred in ordering a new trial. See Barnes v.
Anderson, 202 F.3d 150, 157 (2d Cir.1999) (ordering a new
trial instead of a hearing on the Batson issues because the
passage of time and an incomplete record made a hearing unlikely
to allow a reliable analysis of the voir dire); Riley v.
Taylor, 277 F.3d 261, 293 (3d Cir.2001) (holding that the
passage of time rendered remand for a Batson hearing
inappropriate as a remedy and that "statistical evidence, which
might be the subject of some analysis at such a hearing, is
relevant but not dispositive to our decision" and could not alone
justify a remand over a new trial); Brown v. Kelly, 973
F.2d 116, 121-22 (2d Cir.1992) (holding that, by contrast, an
evidentiary hearing was a more appropriate remedy where the
prosecutor testified that he vividly remembered his reasons for
striking the jurors and testified about them in detail, the
defense counsel had contemporaneous notes taken at the voire dire,
and only six years had passed).