Opinion ID: 779400
Heading Depth: 3
Heading Rank: 1

Heading: Excessive Security and Shackling at Trial. (Claim B)

Text: 55 Williams contends that he was unconstitutionally subjected to excessive security and shackling at trial. We consider each claim in turn. 56
57 Williams argues that the district court erred in denying his excessive security claim on summary judgment, see Williams III, 48 F.Supp.2d at 996, because factual questions remained about the extent of the security measures taken at trial. Williams asks that we remand to the district court for an evidentiary hearing on his excessive security claim. 5 58 In his habeas corpus petition, Williams asserted that the obvious presence of more than the usual number of deputy sheriffs violated his constitutional right to a fair trial. See Holbrook v. Flynn, 475 U.S. 560, 568, 106 S.Ct. 1340, 89 L.Ed.2d 525 (1986) (noting that certain [courtroom] practices pose such a threat to the `fairness of the factfinding process' that they must be subjected to `close judicial scrutiny') (quoting Estelle v. Williams, 425 U.S. 501, 503-04, 96 S.Ct. 1691, 48 L.Ed.2d 126 (1976)); Morgan v. Aispuro, 946 F.2d 1462, 1464 (9th Cir.1991) (certain courtroom arrangements prejudice the presumption of innocence). To support this claim, Williams relies upon a declaration by an alternate juror and comments made by his counsel at trial. Sherry Wiseman, an alternate juror, averred that because her brother had been a marshal, she knew that there were normally two bailiffs or marshals in court during trials. She stated that during Williams's trial, there were generally four marshals in the courtroom: one near Williams, one near the jury, and one on each side of the gate from the spectator section. 59 During trial, Joseph Ingber, Williams's counsel, made the following comments to the jury: 60 I just happened to glance around ... and found out that there were eight, sometimes nine deputy sheriffs sitting in this courtroom. Some uniform, some non-uniform. In any event, the entire trial has been permeated with bailiffs sitting immediately behind Mr. Williams, behind me, over my shoulder. Everywhere I have turned, there have [sic] been the protective hand of the Los Angeles County Sheriff making sure of something. I'm not sure what. 61 Aside from Wiseman's declaration and Ingber's comments, Williams cites to no other evidence or factual allegation to support his excessive security claim. 62 The noticeable deployment of security personnel in a courtroom during trial is not an inherently prejudicial practice that requires justification by an essential state interest specific to each trial. Holbrook, 475 U.S. at 568-69, 106 S.Ct. 1340; Morgan, 946 F.2d at 1464. Rather, in light of the variety of ways that security guards can be deployed, courts must determine prejudice on a case-by-case basis. Holbrook, 475 U.S. at 569, 106 S.Ct. 1340. In federal habeas corpus proceedings, federal courts reviewing the constitutionality of security personnel used at trial must look at the scene presented to jurors and determine whether what they saw was so inherently prejudicial as to pose an unacceptable threat to defendant's right to a fair trial; if the challenged practice is not found inherently prejudicial and if the defendant fails to show actual prejudice, the inquiry is over. Id. at 572, 106 S.Ct. 1340; see also Ainsworth v. Calderon, 138 F.3d 787, 797 (9th Cir.1998). 63 The facts that Williams presents in his petition and through Wiseman's declaration and Ingber's trial comments do not permit a finding of actual prejudice. At most, only the assertion in Williams's petition — that the obvious presence of more than the usual number of deputy sheriffs deprived him of a fair trial — supports an inference of actual prejudice. However, conclusory allegations by counsel that are unsworn and unsupported by any proof or offer of proof do not provide an adequate basis to obtain a federal evidentiary hearing. Phillips, 267 F.3d at 973; Coleman v. McCormick, 874 F.2d 1280, 1284-85 (9th Cir.1989) (en banc) (citing Frazier v. United States, 335 U.S. 497, 503, 69 S.Ct. 201, 93 L.Ed. 187 (1948)). Thus, we must determine whether Williams's factual allegations support a conclusion that the deployment of security personnel at his trial was inherently prejudicial. The Supreme Court has said that security measures at trial are inherently prejudicial when they tend[] to brand [the defendant] in [the jurors'] eyes with an unmistakable mark of guilt, Holbrook, 475 U.S. at 571, 106 S.Ct. 1340 (internal quotations omitted), or when they create an unacceptable risk ... of impermissible factors coming into play. Id. at 570, 106 S.Ct. 1340 (quoting Williams, 425 U.S. at 505, 96 S.Ct. 1691); see also King v. Rowland, 977 F.2d 1354, 1358 (9th Cir.1992). 64 We hold that Williams's factual allegations are insufficient to justify a conclusion that the scene presented to the jurors was inherently prejudicial. Wiseman's declaration establishes only that she, an alternate juror, personally knew, due to her brother's experience as a marshal, that four marshals reflected additional security precautions. She did not indicate that any juror shared this knowledge or impression at trial. 65 Moreover, the placement of the four marshals, as Wiseman described it, does not create an unacceptable risk that the jurors impermissibly inferred Williams's guilt. As the Supreme Court has noted, the presence of guards at a defendant's trial need not be interpreted as a sign that he is particularly dangerous or culpable.... If they are placed at some distance from the accused, security officers may well be perceived more as elements of an impressive drama than as reminders of the defendant's special status. Holbrook, 475 U.S. at 569, 106 S.Ct. 1340. According to Wiseman, only one of the marshals was near Williams, with the others near the jury and the spectators. The jurors might just as easily [have] believe[d] that the [marshals were] there to guard against disruptions emanating from outside the courtroom or to ensure that tense courtroom exchanges [did] not erupt into violence. Id. (holding that the presence of four uniformed state troopers did not unconstitutionally deprive the defendant of a fair trial); see also Ainsworth, 138 F.3d at 797 (the use of four, and sometimes six, deputy sheriffs did not violate the defendant's right to a fair trial); King, 977 F.2d at 1358 (the use of three deputy sheriffs to guard the defendant was not improper). 66 Ingber's comments regarding the placement of eight or nine deputy sheriffs, some of which were in uniform and some of which were not, also fail to support a conclusion of inherent prejudice, warranting a federal evidentiary hearing. As already discussed, counsel's unsupported, unsworn, and conclusory allegations do not provide sufficient basis for an evidentiary hearing. Phillips, 267 F.3d at 973; Coleman, 874 F.2d at 1284-85. 67 Even assuming that Ingber's comments could provide a basis for an evidentiary hearing, his comments do not compel a different conclusion than the one we have reached based upon Wiseman's declaration because the comments do not necessarily present a different picture of Williams's trial than Wiseman's more specific account of the stations generally assumed by the four uniformed marshals. Although Ingber identified more security personnel than Wiseman, Ingber's count includes an undisclosed number of plain-clothed security guards. When security personnel are in plain clothes, they are not easily identified by jurors as guards and thus do not create the same risk of impermissible juror inferences. See Holbrook, 475 U.S. at 568-70, 572, 106 S.Ct. 1340 (addressing the risk of prejudice from the conspicuous, or at least noticeable, deployment of identifiable guards in uniform, and expressing a preference that officers providing courtroom security in federal courts not be easily identifiable by jurors as guards). Because the eight or nine deputy sheriffs that Ingber identified include plain-clothed guards, the scene that Ingber portrays is not necessarily any more inherently prejudicial than Wiseman's account of the four uniformed marshals at trial. 68 Any prejudice that Williams might have suffered from the presence of plain-clothed security guards at his trial cannot be attributed to inherently prejudicial courtroom procedures, but only to Ingber's statements calling the jury's attention to the guards' presence. Williams, however, cannot rely upon any prejudice from his trial counsel's statements implying extraordinary courtroom security measures to support his habeas claim that the security measures at trial impermissibly undermined the presumption of his innocence. See Morgan, 946 F.2d at 1465 (when defense counsel refused the opportunity to limit the implication that the security measures taken at trial were extraordinary, the petitioner could not use that decision to argue impermissible jury inferences). 69 We conclude that Williams has failed to allege facts that, if proven, would demonstrate that an excessive use of conspicuous security guards at his trial unconstitutionally deprived him of a fair trial. Accordingly, we decline Williams's request that we order an evidentiary hearing on his excessive security claim. See Laboa, 224 F.3d at 981 n. 7. The district court properly granted the state's motion for summary judgment on the claim. 70
71 Williams raises two arguments with respect to his shackling claim. First, he contends that the district court abused its discretion when it limited the scope of the evidentiary hearing on his shackling claim. He seeks remand to the district court for another hearing so that he can present additional oral testimony and cross-examine the state's witnesses. Second, Williams asserts that the district court's factual findings are not supported by the record, and that based upon these erroneous factual findings, the district court improperly concluded that the physical restraints used at trial were harmless error. 6 See Williams IV, 41 F.Supp.2d at 1047-48. 72
73 In denying the state's motion for summary judgment on Williams's shackling claim, the district court stated that the claim will be subject to the evidentiary hearing already scheduled in this case. Williams III, 48 F.Supp.2d at 995. Subsequently, the parties submitted exhibits and direct witness testimony via written declarations on the shackling claim, and the district court ordered the parties to brief the question of whether the claim's resolution required oral testimony in addition to the documents already in the record. After reviewing the record and the parties' briefs, the district court decided that the record did not require further supplementation with oral testimony. One of Williams's witnesses, however, refused to provide a written declaration. The district court allowed Williams to present oral testimony by this witness because it was not Williams's fault that he could not secure the declaration. 74 Williams argues that the district court abused its discretion when it restricted the evidence presented on his shackling claim to written declarations, for the most part, and limited oral testimony. Williams claims that the district court, in resolving his claim mostly on a written record, deprived him of a full evidentiary hearing, of the opportunity to present facts, and of the opportunity to cross-examine the state's witnesses. 75 We have previously held that a district court in a habeas corpus proceeding need not conduct full evidentiary hearings, but may instead expand the record ... with discovery and documentary evidence. Watts v. United States, 841 F.2d 275, 277 (9th Cir.1988) (per curiam) (denying a habeas corpus petitioner's contention that the district court erred in resolving a claim based on contradictory affidavits and interrogatories without an evidentiary hearing at which oral testimony could be provided). We stated that [d]ecisions to hold hearings and conduct discovery in [habeas corpus] cases are committed to the [district] court's discretion. Id. The district court must only give the prisoner's claim `careful consideration and plenary processing, including full opportunity for presentation of the relevant facts.' Id. (quoting Blackledge v. Allison, 431 U.S. 63, 82-83, 97 S.Ct. 1621, 52 L.Ed.2d 136 (1977)). 76 Other circuits have similarly held that there is a permissible intermediate step that may avoid the necessity of an expensive and time consuming hearing in every [habeas corpus] case. It may instead be perfectly appropriate, depending upon the nature of the allegations, for the district court to proceed by requiring that the record be expanded to include letters, documentary evidence, and, in an appropriate case, even affidavits. Chang v. United States, 250 F.3d 79, 86 (2nd Cir.2001) (finding no abuse of discretion when the district court dismissed the petitioner's claim without an evidentiary hearing with live witnesses) (citing Raines v. United States, 423 F.2d 526, 529-30 (4th Cir.1970)); see also Blackledge, 431 U.S. at 81-82, 97 S.Ct. 1621 ([A]s is now expressly provided in the Rules Governing Habeas Corpus Cases, the district judge ... may employ a variety of measures in an effort to avoid the need for an evidentiary hearing.... In short, it may turn out ... that a full evidentiary hearing is not required.); Spreitzer v. Peters, 114 F.3d 1435, 1456 (7th Cir.1997) (same). In light of this case law, we conclude that it was within the district court's discretion to choose a middle path allowing the parties to present evidence through written declarations and limited oral testimony. 77 Williams, however, contends that the district court's denial of a full evidentiary hearing was an abuse of discretion because his cross-examination of the state's witnesses might have brought out defects in their written affidavits. Williams cites the Supreme Court's statement in Blackledge that [w]hen the issue is one of credibility, resolution on the basis of affidavits can rarely be conclusive. Blackledge, 431 U.S. at 82 n. 25, 97 S.Ct. 1621 (internal quotations omitted). However, in construing Blackledge, our circuit and the Second Circuit have found no abuse of discretion when the district court conclude[d] that [a full evidentiary] hearing would not offer any reasonable chance of altering its view of the facts. Chang, 250 F.3d at 86; Watts, 841 F.2d at 277 (finding that, in the case at hand, the issue of credibility could be conclusively decided on the basis of documentary testimony and evidence in the record). Such was the case here: the district court reviewed the declarations and exhibits already present in the record, considered the parties' arguments regarding the need for oral testimony and cross-examination, and concluded that this evidence would not alter the court's view of the record. The district court did not abuse its discretion in determining that oral testimony and cross-examination were not necessary because the documentary evidence submitted fully presented the relevant facts of Williams's shackling claim. 78
79 A criminal defendant has a constitutional right to be free of shackles and handcuffs in the presence of the jury absent an essential state interest that justifies the physical restraints. Ghent v. Woodford, 279 F.3d 1121, 1132 (9th Cir.2002); Rhoden v. Rowland, 172 F.3d 633, 636 (9th Cir.1999). A claim of unconstitutional shackling is susceptible to harmless-error analysis, however. Duckett v. Godinez, 67 F.3d 734, 749 (9th Cir.1995); Castillo v. Stainer, 983 F.2d 145, 148 (9th Cir.1992), amended by 997 F.2d 669 (9th Cir.1993). An unjustified decision to restrain a defendant at trial requires reversal only if the shackles or handcuffs had substantial and injurious effect or influence in determining the jury's verdict. Castillo, 997 F.2d at 669 (quoting Brecht v. Abrahamson, 507 U.S. 619, 623, 113 S.Ct. 1710, 123 L.Ed.2d 353 (1993)). 80 After conducting an evidentiary hearing on Williams's claim that his physical restraints at trial violated his right to due process, the district court denied the claim on the ground that the use of restraints was harmless error. See Williams IV, 41 F.Supp.2d at 1047-48. The district court based its decision on the following factual findings. Although a chain restrained Williams's legs during trial, no member of the jury saw the leg chain. Williams's hands were free of restraints during trial. However, on one occasion, a juror observed Williams in handcuffs with a coat draped over his handcuffed hands as he was being taken to or from the courtroom. No other juror saw Williams in handcuffs. See id. Williams challenges these factual findings underlying the district court's denial of his claim. 81 Where there are two permissible views of the evidence, the factfinder's choice between them cannot be clearly erroneous. Anderson v. Bessemer City, 470 U.S. 564, 574, 105 S.Ct. 1504, 84 L.Ed.2d 518 (1985). We give due regard to the district court's opportunity to judge the credibility of witnesses, see Fed.R.Civ.P. 52(a), and we will disturb the district court's credibility determinations or factual findings only when, on the entire evidence, we are left with the definite and firm conviction that a mistake has been committed. Easley v. Cromartie, 532 U.S. 234, 242, 121 S.Ct. 1452, 149 L.Ed.2d 430 (2001) (internal quotations omitted). 82 After reviewing the record, we conclude that none of the district court's factual findings are clearly erroneous. The bailiff to the trial judge provided detailed testimony about a thin, metal leg chain on Williams's ankles as he sat in court during trial. No juror indicated that Williams's legs were in restraints, however, and the bailiff stated that the jury was not able to view Williams's leg chain or feet under the defense table at trial. The bailiff also testified that Williams was brought into the courtroom and sat down at the defense table before the jury was allowed to enter, and that Williams was not allowed to stand until after the jury left. The penalty-phase jury foreman confirmed this procedure. Given this record, the district court did not clearly err in concluding that Williams's leg chain was not visible to the jury. 83 There also is no clear error in the district court's finding that Williams's hands were free of restraints in the courtroom. Williams disputes this factual finding, relying upon Juror Kellick's declaration in which she claimed to have seen Williams in handcuffs throughout the entire trial. The district court did not clearly err in disbelieving this declaration given that Juror Kellick averred in a later declaration that she had vivid memories of seeing Williams without handcuffs lots of times, and particularly remembered him writing on a yellow pad. No other juror indicated observing Williams in handcuffs in the courtroom, and the bailiff testified that Williams was not handcuffed at any point in front of the jury. 84 One juror, however, testified that he recalled seeing Williams with his hands together, as though in handcuffs, and a coat draped over his likely handcuffed hands. The juror stated that he never actually saw the handcuffs around Williams's wrists, but inferred their existence based upon how Williams was holding his hands. In light of this testimony and the other evidence in the record, the district court did not clearly err in finding that the juror must have seen Williams in handcuffs as he was being brought to or from the courtroom. 85 Even if we assume that Williams's physical restraints at trial were unjustified, we conclude that the district court properly held that the error was harmless. When the jury never saw the defendant's shackles in the courtroom, we have held that the shackles did not prejudice the defendant's right to a fair trial. See Castillo, 997 F.2d at 669 (a waist chain that could not be seen by the jury was harmless error); Packer v. Hill, 291 F.3d 569, 583 (9th Cir.2002) (no prejudice resulted from the defendant's leg brace when no juror interviewed after trial remembered seeing a leg brace on the defendant); Rich v. Calderon, 187 F.3d 1064, 1069 (9th Cir.1999) (no prejudice when the ankle chains used at trial were not visible to the jury due to a curtain draped around the defense table); United States v. Collins, 109 F.3d 1413, 1418 (9th Cir.1997) (the defendant's leg shackles were harmless error because a curtain around the defense table hid the shackles from the jury's view). Thus, the use of the leg chain at Williams's trial was harmless error. 86 We have also held that a jury's brief or inadvertent glimpse of a defendant in physical restraints outside of the courtroom does not warrant habeas relief unless the petitioner makes an affirmative showing of prejudice. See Ghent, 279 F.3d at 1133 (the jurors' occasional, brief glimpses of the defendant in handcuffs and other restraints in the hallway at the entrance to the courtroom was not prejudicial); United States v. Olano, 62 F.3d 1180, 1190 (9th Cir.1995) (a jury's brief or inadvertent glimpse of a defendant in physical restraints is not inherently or presumptively prejudicial to a defendant); Castillo, 983 F.2d at 148 (no prejudice when, during transport to or from the courtroom, some members of the jury pool saw the defendant in shackles in the court corridor); United States v. Halliburton, 870 F.2d 557, 560-62 (9th Cir.1989) (jurors' inadvertent observation of the defendant in handcuffs in the corridor did not prejudicially impair the defendant's right to a fair trial); Wilson v. McCarthy, 770 F.2d 1482, 1485-86 (9th Cir.1985) (the jury's brief viewing of defendant's shackles as he left the witness stand at the conclusion of his testimony was not prejudicial). Accordingly, the juror's viewing of Williams in handcuffs with a coat draped over his handcuffed hands as he went to or from the courtroom was not inherently or presumptively prejudicial. Williams has made no showing of actual prejudice from this sighting, and as the district court noted, the fact that a coat covered Williams's handcuffs minimized any possible prejudice. See Williams IV, 41 F.Supp.2d at 1048. We therefore affirm the district court's denial of Williams's claim of unconstitutional shackling. 87