Swan v. Peterson

6 F.3d 1373, 1993 WL 390207
Court of Appeals for the Ninth Circuit·Decided October 6, 1993·No. No. 92-35493·Published·Cited by 83 cases

Opinion

EUGENE A. WRIGHT, Circuit Judge:

When the crime is child sexual abuse, one of the more difficult to detect and prosecute, a conviction hinges often on the words of children. What makes this case troubling is that the children did not testify at trial. On the basis of hearsay statements, supported by minimal corroborating evidence at best, a state jury convicted William and Kathleen Swan of sexually abusing their three-year-old daughter and her friend. The Swans have exhausted their state court remedies and appeal the district court’s denial of their habeas corpus petition.

Our main issue is whether admission of the children’s hearsay statements violated the Swan’s Sixth Amendment Confrontation Clause rights. The Swans also argue that the state withheld information that a key reporting witness had once been sexually abused, that newly discovered medical evidence indicated that their daughter was not molested and that they received ineffective assistance of counsel. We affirm the dismissal of the habeas petition.

I. BACKGROUND

The sexual abuse charges stemmed from statements made by the Swans’ daughter, B.A., and her three-year-old friend, R.T., to day-care center workers. The two children attended a day-care facility managed by Cindy Bratvold. She had hired Lisa Conradi as the center’s new part-time assistant. The disturbing allegations arose on Conradi’s second day of work. She told B.A. to keep her dress covered over her tights, reminding her that no one should look at or touch her “private parts.” Conradi said that B.A. responded “Uh-huh, Mommy and Daddy do.” After further questioning, the child allegedly told Conradi about games with her parents involving sexual acts.

Conradi alerted Bratvold, who called Child Protective Services, a state agency. Brat-vold then spoke with B.A., who allegedly told her that the games sometimes included her friend, R.T. Two CPS caseworkers arrived and talked with B.A., but the interview was inconclusive. They ended it when Kathleen Swan arrived to take her daughter home.

R.T. came to the center the next day, but B.A. did not. Bratvold asked R.T. about the Swans and what types of games they played together. R.T. allegedly described activities similar to what B.A. had disclosed, including genital touching and oral sex.

These initial statements to the day-care workers were the most damaging. The Washington Supreme Court reviewed in detail the trial testimony about these events. State v. Swan, 114 Wash.2d 613, 790 P.2d 610, 616-18 (1990), cert. denied, 498 U.S. 1046, 111 S.Ct. 752, 112 L.Ed.2d 772 (1991). We need not repeat those findings, except to [1378] say that the implications are grave and alarming. The children demonstrated precocious sexual knowledge, describing multiple episodes of abuse by the Swans, which, if believed by a jury, would warrant conviction.

After interviews with a CPS caseworker, the police were called and the children placed in protective custody. The state charged both Swans with two counts of statutory rape. Superior Court Judge Ellington conducted pretrial hearings to determine whether the young girls were competent to testify. After observing them, the judge concluded that, because of their youth and inability to answer questions in court, they could not satisfy the competency requirements. The Swans do not contest this ruling.

The state introduced the children’s statements to the day-care workers under Washington’s statutory child sexual abuse hearsay exception, RCW § 9A.44.120.1 Under the same exception, the state introduced other disputed hearsay evidence, including the children’s disclosures to the caseworker, B.A.’s statements to her foster mother and R.T.’s statements to her father and a police detective.

Before the admission of each statement, Judge Ellington, assisted by counsel, conducted extensive preliminary examinations of the reporting witnesses outside the presence of the jury. Once satisfied that a statement met the reliability and corroboration requirements of the statutory exception, the court allowed it into evidence. The jury returned guilty verdicts.

The Washington Court of Appeals reversed, holding that the statements lacked sufficient corroboration as required by the hearsay statute. The State Supreme Court disagreed and reinstated the convictions.

The Swans petitioned the district court for a writ of habeas corpus, arguing that: (1) the admission of the hearsay statements violated the Confrontation Clause; (2) the state withheld favorable Brady evidence; namely, that day-care worker Conradi had been sexually abused; (3) newly discovered evidence showed that their daughter’s hymen is intact; and (4) they received ineffective assistance by retained counsel. The court adopted the Report and Recommendation of the magistrate judge and denied the petition on summary judgment.

II. ANALYSIS

CONFRONTATION CLAUSE

A. Standard of Review and the Presumption of Correctness

We begin our analysis mindful that this is a habeas corpus proceeding, not direct review of a criminal conviction. The Swans have already had the opportunity to litigate their claims in the state courts. Washington’s highest court upheld their convictions. Different principles apply on collateral review, constraining the role of a federal appellate court. As the Supreme Court recently reminded us, we may not second-guess the state courts:

Direct review is the principal avenue for challenging a conviction. “When the process of direct review ... comes to an end, a presumption of finality and legality attaches to the conviction and sentence. The role of federal habeas proceedings, while important in assuring that constitutional rights are observed, is secondary and limited. Federal courts are not forums in which to relitigate state trials.”

Brecht v. Abrahamson, - U.S. -, -, 113 S.Ct. 1710, 1719, 123 L.Ed.2d 353 (1993) (quoting Barefoot v. Estelle, 463 U.S. 880, 887, 103 S.Ct. 3383, 3391-92, 77 L.Ed.2d 1090 (1983)).

[1379] We review de novo the decision to deny the habeas petition and, to the extent we need to review the district court’s factual findings, the clearly erroneous standard applies. Hendricks v. Zenon, 993 F.2d 664, 668 (9th Cir.1993).

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Swan v. Peterson, 6 F.3d 1373, 1993 WL 390207 (9th Cir. 1993).

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