Bryant Williams v. Gary Swarthout

771 F.3d 501, 2014 U.S. App. LEXIS 20412, 2014 WL 5368854
CourtCourt of Appeals for the Ninth Circuit
DecidedOctober 23, 2014
Docket11-57255
StatusPublished
Cited by3 cases

This text of 771 F.3d 501 (Bryant Williams v. Gary Swarthout) is published on Counsel Stack Legal Research, covering Court of Appeals for the Ninth Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Bryant Williams v. Gary Swarthout, 771 F.3d 501, 2014 U.S. App. LEXIS 20412, 2014 WL 5368854 (9th Cir. 2014).

Opinions

Opinion by Judge NOONAN; Dissent by Judge MURGUIA

OPINION

NOONAN, Circuit Judge:

Petitioner Bryant Keith Williams seeks federal habeas relief on the basis that the state trial court’s misstatement that Williams had pled guilty — a misstatement made immediately before trial commenced and not corrected until the jury began deliberating — violated his due process rights by depriving him of the presumption of innocence, and violated his Sixth Amendment right to an impartial jury. We agree and reverse the district court’s denial of habeas relief.

FACTS AND PRIOR PROCEEDINGS

At voir dire, on December 7, 2006, the trial judge stated: “the defendant has entered a not guilty plea denying that he is guilty of the[] three charges” — i.e., one count of false imprisonment and two counts of sexual penetration by a foreign object. On December 12, 2006, after the jury had been sworn, the judge stated:

I will now explain the presumption of innocence and the people’s burden of proof. The defendant has pleaded guilty to the charges. The fact that a criminal charge has been filed against the defendant is not evidence that the charge is true. You must not be biased against the defendant just because he has been arrested, charged with a crime, or brought to trial. A defendant in a criminal case is presumed to be innocent. This presumption requires that the people prove each element of a crime and special allegations beyond a reasonable doubt.

(Emphasis added.) Trial began that same day. On December 13, after closing arguments, the jury retired to deliberate.

Less than an hour into deliberation, the jury sent the judge the following note: “As a group we the jury feel we heard the judge state the defendant pleaded guilty before the trial. Is this true?”

On the record, before counsel and Williams, the judge — having reviewed the transcript — admitted his mistake. Both the court reporter and the district attorney had noticed the error, but neither said anything. Williams’s counsel moved for a mistrial.

The judge reserved decision on Williams’s motion. He summoned the jury and explained his mistake. He stated that “[t]he defendant has pleaded not guilty. That is why we are having a trial. If he had pleaded guilty, we wouldn’t be having a trial. Okay. So I’m sorry. It’s error on my part that I omitted the word ‘not.’”

The judge admonished the jury that he had no knowledge beyond their own as to Williams’s guilt or innocence. He asked whether any juror would be unable to accept this as true. The jurors were silent. He raised another concern: whether “throughout the trial [jurors] didn’t pay attention because [they] were thinking somehow that he must be guilt [sic], so in that way it’s tainting the process of [their] ability to be fair and impartial.” He asked the jury if that was so. The jurors were silent. He reasserted that Williams had pled not guilty; asked whether any juror would “not [be] able to set aside [his misstatement] and be fair to the defendant”; and invited the jury’s response. The jurors were silent. He ended with this:

[504]*504Then is there anyone here who believes that based on the court’s mistake that they will not be able to give the defendant his rights in this case, the rights that I explained to you which is the right to remain silent, the presumption of innocence, the burden of proof, and the standard of proof beyond a reasonable doubt? Is there anyone here who believes that based on the court’s mistake they will not be able to uphold those rights for the defendant if [sic] question, please, raise your hand.

No hands were raised. The judge denied Williams’s motion for a mistrial and the court adjourned for the day.

Two days later, on December 15, 2006, juror number 1 (“Juror 1”) sent the judge the following letter:

I wanted to let you know that I feel a bit uncomfortable with the happenings that took place on Wednesday regarding the court’s error in reading that the defendant had pleaded guilty to the charges. I know common sense says that if the defendant pleaded guilty, then there would not be a trial; and that idea definitely crossed my mind. However, I decided to override that thought due to the fact that .the court read that he pleaded guilty, so I thought he was guilty throughout the entire trial. I did not just say to myself, “The judge must have made a mistake, I’ll just assume he pleaded not guilty.” I did not do this for several reasons:
1. The defense (or prosecution) did not correct you in your error. Since that is a crucial part of the instructions, I would think that someone would have corrected the court’s error immediately.
2. You originally said that the case would take 8 days, but then said it would only take a day and a half. I thought that might have to do with the defendant pleading guilty somewhere in between.
3.In my opinion, the defense did not put up that great an effort to offer alternatives to the prosecution’s case. To me, another sign that the defendant had pleaded guilty.
What I am saying in telling you these things is this: I went through the entire trial thinking that the defendant had pleaded, and was, guilty. I saw everything through that lens. I think it may be possible to ignore that during deliberation, but I can not be sure of that. I also can’t be sure if I subconsciously have biases, given the false plea; and if I do have biases, those might play a role in deliberation.
I am sorry I did not bring this to your attention on Wednesday, but I hadn’t fully recognized it. I leave it to your discretion as to whether I am fit to serve on this jury, or if an alternate is needed in my stead.

The judge read the letter into the record outside the jury’s presence. Based on this letter, the judge stated, “I do not believe that [Juror 1] is able to serve on this case.”

Williams’s counsel again moved for a mistrial. She noted that the judge had thoroughly explained his mistake, had polled the jury, and yet “we know that at least one person had grave reservations. And it’s not simply a matter of unringing the bell ... because this isn’t something that occurred at the end of the case. This is something that occurred at the beginning.” She added: “I don’t think it would be fruitful to poll [the jury] now because the polling of the jury wasn’t fruitful Wednesday evening, so I move for a mistrial.”

The court summoned Juror 1. Asked to explain the letter, Juror I told the judge:

[B]ecause you had said that [Williams pled guilty] and no one objected to that [505]*505or no one corrected you, that throughout the trial I had that in my mind and—
[...]
That he had pleaded guilty and so throughout the trial ... if I heard evidence or heard testimony to support that fact, that I might have just said to myself, “Okay. That just supports his plea,” as opposed to really paying attention to everything.'... I had that in my mind throughout the trial and I kind of looked at things to support the plea or what I thought was the plea.

Before being summoned, Juror 1 had told the rest of the jurors about the note and its content. Juror 1 was dismissed.

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Related

Bryant Williams v. Gary Swarthout
613 F. App'x 638 (Ninth Circuit, 2015)
Williams v. Swarthout
797 F.3d 1185 (Ninth Circuit, 2015)

Cite This Page — Counsel Stack

Bluebook (online)
771 F.3d 501, 2014 U.S. App. LEXIS 20412, 2014 WL 5368854, Counsel Stack Legal Research, https://law.counselstack.com/opinion/bryant-williams-v-gary-swarthout-ca9-2014.