Cavazos v. Smith, 565 U.S. 1 (2011)
Docket No.
10-1115
Decided:
November 1, 2011
Granted:
November 1, 2011
Opinions
SUPREME COURT OF THE UNITED STATES
JAVIER CAVAZOS, ACTING WARDEN v.
SHIRLEY REE SMITH
on petition for writ of certiorari to the
united states court of appeals for the ninth circuit
No. 10–1115. Decided October 31, 2011
Per Curiam.
The opinion of the Court in Jackson v.
Virginia, 443 U.S.
307 (1979), makes clear that it is the responsibility of the
jury—not the court—to decide what conclusions should be drawn from
evidence admitted at trial. A reviewing court may set aside the
jury’s verdict on the ground of insufficient evidence only if no
rational trier of fact could have agreed with the jury. What is
more, a federal court may not overturn a state court decision
rejecting a suf-ficiency of the evidence challenge simply because
the fed-eral court disagrees with the state court. The federal
court instead may do so only if the state court decision was
“objectively unreasonable.” Renico v. Lett, 559
U. S. ___, ___ (2010) (slip op., at 5) (internal quotation
marks omitted).
Because rational people can sometimes disagree,
the inevitable consequence of this settled law is that judges will
sometimes encounter convictions that they believe to be mistaken,
but that they must nonetheless uphold. The Court of Appeals in this
case substituted its judgment for that of a California jury on the
question whether the prosecution’s or the defense’s expert
witnesses more persuasively explained the cause of a death. For
this reason, certiorari is granted and the judgment of the Court of
Appeals is reversed.
* * *
This case concerns the death of 7-week-old
Etzel Glass. On November 29, 1996, Etzel’s mother, Tomeka, put
Etzel to sleep on a sofa before going to sleep herself in another
room. Respondent Shirley Ree Smith—Tomeka’s mother—slept on the
floor next to Etzel. Several hours later, Smith ran into Tomeka’s
room, holding Etzel, who was limp, and told her that “[s]omething
[was] wrong with Etzel.” Tr. 416. By the time emergency officials
arrived, Etzel was not breathing and had no heartbeat. Smith
reported that she thought Etzel had fallen off the sofa. The
officials’ efforts to resuscitate Etzel failed.
Doctors initially attributed Etzel’s death to
sudden infant death syndrome (SIDS), the customary diagnosis when
an infant shows no outward signs of trauma. But after an autopsy,
the coroner concluded that the cause of death was instead shaken
baby syndrome (SBS). When a social worker informed Smith of that
finding, Smith told her that Etzel had not responded to her touch
while sleeping, so she had picked him up and given him “a little
shake, a jostle” to wake him. Id., at 842. According to the
social worker, Smith then said something to the effect of, “Oh, my
God. Did I do it? Did I do it? Oh, my God.” Id., at 847
(internal quotation marks omitted). In an interview with the police
a few days later, Smith said that she had shaken Etzel, but then
she corrected herself and said that she had twisted him to try to
elicit a reaction. Smith was arrested and charged with assault on a
child resulting in death. See Cal. Penal Code Ann. §273ab (West
2008) (“Any person who, having the care or custody of a child who
is under eight years of age, assaults the child by means of force
that to a reasonable person would be likely to produce great bodily
injury, resulting in the child’s death, shall be punished by
imprisonment . . .”).
At trial, the jury heard seven days of expert
medical testimony on the cause of Etzel’s death. The prosecution
offered three experts, each of whom attested that Etzel’s death was
the result of SBS—not SIDS, as the defense contended. The first
expert, Dr. Eugene Carpenter, was the medical examiner for the Los
Angeles County Coroner who had supervised Etzel’s autopsy. Dr.
Carpenter is board certified in forensic, anatomic, and clinical
pathol-ogy. He testified that Etzel’s autopsy revealed recent
hem-orrhages in the brain, and he opined that the bleeding and
other features of Etzel’s pathology, including a bruise and
abrasion on the lower back of the baby’s head, were consistent with
violent shaking. Dr. Carpenter identified two means by which
shaking can result in a baby’s death: The first is that the shaking
causes blood vessels in the brain to tear, creating a pool of blood
that pushes the brain downward into the spinal canal, resulting in
death but little direct damage to the brain. The second is that the
shaking itself is sufficiently severe that the brain directly tears
in vital areas, causing death with very little bleeding. Dr.
Carpenter testified that Etzel’s injuries were consistent with the
latter pathology. He also explained that the injuries could not be
attributed to either a fall from the sofa or the administration of
cardiopulmonary resuscitation. Nor, according to Dr. Carpenter, was
it possible that Etzel perished from SIDS, given the signs of
internal trauma. Dr. Carpenter did testify, however, that while SBS
victims often suffer retinal hemorrhaging, Etzel’s autopsy revealed
no such injury.
The prosecution’s second expert, Dr. Stephanie
Erlich, was the associate deputy medical examiner who actually
performed Etzel’s autopsy. She is board certified in anatomic
pathology and neuropathology. She corroborated Dr. Carpenter’s
testimony about the autopsy findings, and added that a followup
neuropathological examination of Etzel’s brain confirmed the
existence of recent hemorrhaging. Noting only a minimal amount of
new blood in Etzel’s brain, she testified that the cause of death
was direct trauma to the brainstem. On cross-examination, she
agreed with defense counsel that retinal hemorrhaging (absent in
Etzel’s case) is present in 75 to 80 percent of SBS cases.
The third prosecution expert, Dr. David
Chadwick, is board certified in pediatrics and the author of
articles on childhood death by abusive trauma. He testified that
Etzel’s injuries were consistent with SBS and that old trauma could
not have been the cause of the child’s death.
The defense called two experts to dispute these
conclusions. The first, pathologist Dr. Richard Siegler, testified
that Etzel died from brain trauma, but that it was not the result
of SBS, given the lack of retinal hemorrhaging. He admitted on
cross-examination, however, that an absence of retinal hemorrhaging
does not exclude a finding of SBS. He also acknowledged that he did
not believe the cause of Etzel’s death was SIDS. According to Dr.
Siegler, Etzel died from old trauma, an opinion he reached on the
basis of studying photographs of the neuropathological
examination.
The other defense expert, pediatric neurologist
Dr. William Goldie, testified that Etzel’s death was due to
SIDS. He noted that Etzel was born with jaundice, a heart murmur,
and low birth weight—making him more susceptible to SIDS. Dr.
Goldie testified that pathologists had not been able to determine
the cause of Etzel’s death and that the bleeding could be
attributed to the resuscitation efforts.
The jury found Smith guilty. Concluding that the
jury “carefully weighed” the “tremendous amount of evidence”
supporting the verdict, Tr. 1649, the trial judge denied Smith’s
motion for a new trial and sentenced her to an indeterminate term
of 15 years to life in prison.
On direct review, Smith contended that the
evidence was not sufficient to establish that Etzel died from SBS.
After thoroughly reviewing the competing medical testimony, the
California Court of Appeal rejected this claim, concluding:
“The expert opinion evidence we have
summarized was conflicting. It was for the jury to resolve the
conflicts. The credited evidence was substantial and sufficient to
support the jury’s conclusions that Etzel died from shaken baby
syndrome. The conviction is supported by substantial evidence.”
People v. Smith, No. B118869 (Feb. 10, 2000), App. K
to Pet. for Cert. 86.
The California Supreme Court denied review. App.
J, id., at 74.
Smith then filed this petition for a writ of
habeas corpus with the United States District Court for the Central
District of California, renewing her claim that the evidence was
insufficient to prove that Etzel died of stocktickerSBS. Under the
Antiterrorism and Effective Death Penalty Act of 1996 (AEDPA),
110Stat. 1214, that court had no power to afford relief unless
Smith could show either that the California Court of Appeal’s
decision affirming the conviction “was contrary to, or involved an
unreasonable application of,” clearly established federal law as
reflected in the holdings of this Court’s cases, 28
U. S. C. §2254(d)(1), or that it “was based on an
unreasonable determination of the facts” in light of the state
court record, §2254(d)(2). Harrington v. Richter, 562
U. S. ___, ___ (2011) (slip op., at 10).
The Magistrate Judge to whom the case was
assigned issued a report acknowledging that “[t]his is not the
typical shaken baby case” and that the evidence against Smith
“raises many questions.” App. I to Pet. for Cert. 65. But the
Magistrate Judge nevertheless concluded that the evidence was
“clearly sufficient to support a conviction.” Ibid. The
District Court adopted the Magistrate Judge’s report and denied the
petition. App. G, id., at 52.
On appeal, the Ninth Circuit reversed with
instructions to grant the writ. Smith v. Mitchell,
437 F.3d 884 (2006). Despite the plentitude of expert testimony
in the trial record concluding that sudden shearing or tearing of
the brainstem was the cause of Etzel’s death, the Ninth Circuit
determined that there was “no evidence to permit an expert
conclusion one way or the other” on that question because there was
“no physical evidence of . . . tearing or shearing, and
no other evidence supporting death by violent shaking.” Id.,
at 890. The court said that the State’s experts “reached [their]
conclusion because there was no evidence in the brain itself of
the cause of death.” Ibid. (emphasis in original). The
court concluded that because “[a]bsence of evidence cannot
constitute proof beyond a reasonable doubt,” ibid., the
California Court of Appeal had “unreasonably applied” this Court’s
opinion in Jackson v. Virginia in upholding Smith’s
conviction, 437 F. 3d, at 890.
That conclusion was plainly wrong.
Jackson says that evidence is sufficient to support a
conviction so long as “after viewing the evidence in the light most
favorable to the prosecution, any rational trier of fact
could have found the essential elements of the crime beyond a
reasonable doubt.” 443 U. S., at 319. It also unambiguously
instructs that a reviewing court “faced with a record of historical
facts that supports conflicting inferences must presume—even if it
does not affirmatively appear in the record—that the trier of fact
resolved any such conflicts in favor of the prosecution, and must
defer to that resolution.” Id., at 326. When the deference
to state court decisions required by §2254(d) is applied to the
state court’s already deferential review, see Renico, 559
U. S., at ___ (slip op., at 11), there can be no doubt of the
Ninth Circuit’s error below.
The jury was presented with competing views of
how Etzel died. It was made aware of the various experts’
qualifications and their familiarity with both the subject of SBS
and the physical condition of Etzel’s body. It observed the
attorneys for each party cross-examine the experts and elicit
concessions from them. The State’s experts, whom the jury was
entitled to believe, opined that the physical evidence was
consistent with, and best explained by, death from sudden tearing
of the brainstem caused by shaking. The Ninth Circuit’s assertion
that these experts “reached [their] conclusion because there was no
evidence in the brain itself of the cause of death” is simply
false. There was “evidence in the brain itself.” The autopsy
revealed indications of recent trauma to Etzel’s brain, such as
subdural and subarachnoid hemorrhaging, hemorrhaging around the
optic nerves, and the presence of a blood clot between the brain’s
hemispheres. The autopsy also revealed a bruise and abrasion on the
lower back of Etzel’s head. These affirmative indications of trauma
formed the basis of the experts’ opinion that Etzel died from
shaking so severe that his brainstem tore.
Defense counsel made certain that the jury
understood that the prosecution’s experts were unable to identify
the precise point of tearing itself. But as Judge Bea noted in his
dissent from the Ninth Circuit’s denial of rehearing en banc, the
experts explained why the location of the tear was undetectable:
“Etzel’s death happened so quickly that the effects of the trauma
did not have time to develop.” Smith v.
Mitchell, 453
F.3d 1203, 1207 (2006). According to the prosecutions’ experts,
there was simply no opportunity for swelling to occur around the
brainstem before Etzel died.
In light of the evidence presented at trial, the
Ninth Circuit plainly erred in concluding that the jury’s ver- dict
was irrational, let alone that it was unreasonable for the
California Court of Appeal to think otherwise. See §2254(d). Doubts
about whether Smith is in fact guilty are understandable. But it is
not the job of this Court, and was not that of the Ninth Circuit,
to decide whether the State’s theory was correct. The jury decided
that question, and its decision is supported by the
record.[1]
It is said that Smith, who already has served
years in prison, has been punished enough, and that she poses no
danger to society. These or other considerations perhaps would be
grounds to seek clemency, a prerogative granted to executive
authorities to help ensure that justice is tempered by mercy. It is
not clear to the Court whether this process has been invoked, or,
if so, what its course has been. It is not for the Judicial Branch
to determine the standards for this discretion. If the clemency
power is exercised in either too generous or too stingy a way, that
calls for political correctives, not judicial intervention.
The decision below cannot be allowed to stand.
This Court vacated and remanded this judgment twice before, calling
the panel’s attention to this Court’s opinions highlighting the
necessity of deference to state courts in §2254(d) habeas cases.
Each time the panel persisted in its course, reinstating its
judgment without seriously confronting the significance of the
cases called to its attention. See Patrick v. Smith,
550 country-regionU. S. 915 (vacating and remanding in light
of Carey v. Musladin, 549 country-regionU. S. 70
(2006)), reinstated on remand, 508 F.3d 1256 (2007)
(per curiam); 558 U. S. ___ (2010) (vacating and
remanding in light of McDaniel v. Brown, 558
placecountry-regionU. S. ___ (2010) (per curiam)),
reinstated on remand sub nom. Smith v.
Mitchell, 624 F.3d 1235 (2010) (per curiam). Its
refusal to do so necessitates this Court’s action today.
The petition for a writ of certiorari and
respondent’s motion to proceed in forma pauperis are
granted. The judgment of the Court of Appeals for the Ninth Circuit
is reversed, and the case is remanded for further proceedings
consistent with this opinion.
It is so ordered.
Notes
1
The dissent’s review of
the evidence presented to the jury over seven days is precisely the
sort of reweighing of facts that is precluded by Jackson v.
Virginia, 443 U.S.
307, 324 (1979), and precisely the sort of second-guessing of a
state court decision applying Jackson that is precluded by
AEDPA, §2254(d). The dissent’s views on how “adamantly” experts
would testify today as opposed to at the time of trial,
post, at 6 (opinion of Ginsburg, J.), are of course pure
speculation, as would be any views on how a jury would react to
less adamant testimony.
SUPREME COURT OF THE UNITED STATES
JAVIER CAVAZOS, ACTING WARDEN v.
SHIRLEY REE SMITH
on petition for writ of certiorari to the
united states court of appeals for the ninth circuit
No. 10–1115. Decided October 31, 2011
Justice Ginsburg, with whom Justice Breyer and
Justice Sotomayor join, dissenting.
The Court’s summary disposition of this case, in
my judgment, is a misuse of discretion. I set out below my reasons
for concluding that discretion, soundly exercised, would have
occasioned denial of California’s petition for review.
The Magistrate Judge who reviewed respondent
Shirley Ree Smith’s habeas corpus petition in the first instance
concluded, as the Court does today, that relief was unwarranted. He
observed, however, that the evidence, “though clearly sufficient to
support a conviction, raises many questions”:
“Grandmothers, especially those not
serving as the primary caretakers, are not the typical perpetrators
[in shaken baby cases]. Further, [Smith] was helping her daughter
raise her other children (a [4-year-old] and a 14-month-old) and
there was no hint of [Smith] abusing or neglecting these other
children, who were in the room with Etzel when he died. Still
further, there was no evidence of any precipitating event that
might have caused [Smith] to snap and assault her grandson. She was
not trapped in a hopeless situation with a child she did not want
or love. Nor was she forced to single-handedly care for a baby that
had been crying all day and all night. In fact, there is no
evidence that Etzel was doing anything other than sleeping the
night he died. In addition, [Smith’s] daughter [Tomeka], Etzel’s
mother, was in the room next door when Etzel died. The medical
evidence was not typical either, in that some of the telltale signs
usually found in shaken baby cases did not exist in this case.”
Smith v. Mitchell, Case No. CV 01–4484–ABC (CD Cal.,
Mar. 22, 2004), p. 10, App. I to Pet. for Cert. 65.
The District Court adopted the Magistrate
Judge’s recommendation to deny Smith’s petition, but granted a
certificate of appealability, recognizing that “reasonable jurists
would find the [court’s] assessment of [Smith’s] claims debatable.”
Order in No. CV 01–4484–ABC (CD Cal., Apr. 29, 2004), Doc. 36, p.
1.
After full briefing and argument, the Ninth
Circuit reversed the District Court’s judgment. The Court of
Appeals acknowledged the limitations on its authority. “We approach
this case,” the court said, “with a firm awareness of the very
strict limits that the [Antiterrorism and Effective Death Penalty
Act of 1996 (AEDPA)] places on our collateral review of state
criminal convictions.” Smith v. Mitchell,
437 F.3d 884, 888–889 (CA9 2006). Accurately describing the
standards applicable under AEDPA and Jackson v.
Virginia, 443 U.S.
307 (1979), and reviewing the evidence in some detail, the
court concluded that “[i]n this most unusual case,. . .
the [California] Court of Appeal unreasonably applied
Jackson.” 437 F. 3d, at 889.
Beyond question, the Court today reviews a case
as tragic as it is extraordinary and fact intensive. By taking up
the case, one may ask, what does the Court achieve other than to
prolong Smith’s suffering and her separation from her family. Is
this Court’s intervention really necessary? Our routine practice
counsels no.
Error correction is “outside the mainstream of
the Court’s functions.” E. Gressman, K. Geller,
S. Shapiro, T. Bishop, & E. Hartnett, Supreme
Court Practice §5.12(c)(3), p. 351 (9th ed. 2007). As this Court’s
Rule 10 informs, “[a] petition for a writ of certiorari is rarely
granted when the asserted error [is] . . . the
misapplication of a properly stated rule of law.” The Ninth Circuit
correctly described the relevant legal rules under AEDPA and
Jackson v. Virginia. This Court, therefore, has no
law-clarifying role to play. Its summary adjudication seems to me
all the more untoward for these reasons: What is now known about
shaken baby syndrome (SBS) casts grave doubt on the charge leveled
against Smith; and uncontradicted evidence shows that she poses no
danger whatever to her family or anyone else in society.
I turn first to the medical evidence presented
at trial. Dr. Carpenter, the autopsy supervisor, testified that the
following symptoms are consistent with, but not required for, a
diagnosis of SBS: cerebral edema, subdural hemorrhage, retinal
hemorrhage, bleeding at the joints of the back of the neck, bruises
on the arms, fractures of the ribs, and internal injuries to the
buttocks, abdominal organs, and chest organs. Tr. 575. Few of these
signs of SBS were present here. Etzel’s subdural hemorrhage and
subarachnoid hemorrhage were “minimal,” insufficient to cause
death. Id., at 540–541, 557–558, 675, 693, 700, 729,
1484–1485. There was no brain swelling and no retinal hemorrhage in
either eye. Id., at 580, 693, 802, 1274.[1] Similarly absent were any fractures, sprains,
bleeding in the joints, or displacement of joints. Id., at
682. A “tiny” abrasion on the skin and a corresponding bruise under
the scalp did not produce brain trauma. Id., at 555, 562,
576, 712–713.
These findings led Dr. Carpenter, the autopsy
supervisor, and Dr. Erlich, who performed Etzel’s autopsy, to rule
out two commonly proffered causes of death in SBS cases: massive
bleeding and massive swelling that create pressure and push the
brain downward. Id., at 541, 551–552, 729–730, 801. Instead,
they opined, Etzel’s death was caused by direct injury—shearing or
tearing of the brainstem or the brain itself. Id., at
694–696, 729–730, 801, 1298. The autopsy revealed no physical
evidence of such injury, either grossly or microscopically.
Id., at 730, 763, 803–804, 1298–1299. Dr. Carpenter was
unable to state which particular areas of the brain were injured,
and the neuropathologist found no evidence of specific brain
injury. Id., at 696, 1475. No doctor located any tear.
Indeed, the examining physicians did not cut open Etzel’s
brainstem, or submit it to neuropathology, because, in their own
estimation, “[w]e wouldn’t have seen anything anyway.” Id.,
at 803, 1299.[2]
Neither doctor testified to ever having
performed an autopsy on an infant in which a similar conclusion was
reached. Nor did either physician point to any medical literature
supporting their belief that shearing or tearing of the brainstem
or the brain itself caused Etzel’s death. Id., at 694–696,
801–802. Dr. Carpenter nevertheless maintained that when there is
subdural hemorrhage without signs of external trauma to the head or
skull, the injury is necessarily caused by violent shaking.
Id., at 576–577, 660–661. Smith’s conviction thus turned on,
as Dr. Erlich put it, “direct trauma which we don’t see to the
brainstem.” Id., at 801. That this gave the Ninth Circuit
pause is understandable. Dr. Erlich herself conceded that “[i]t is
a difficult concept to absorb.” Id., at 1298.
Reason to suspect the Carpenter-Erlich thesis
has grown in the years following Smith’s 1997 trial. Doubt has
increased in the medical community “over whether infants can be
fatally injured through shaking alone.” State v.
Edmunds, 2008 WI App. 33, ¶15, 308 Wis. 2d 374, 385, 746
N.W.2d 590, 596. See, e.g., Donohoe, Evidence-Based Medicine
and Shaken Baby Syndrome, Part I: Literature Review, 1966–1998, 24
Am. J. Forensic Med. & Pathology 239, 241 (2003) (By the end of
1998, it had become apparent that “there was inadequate scientific
evidence to come to a firm conclusion on most aspects of causation,
diagnosis, treatment, or any other matters pertaining to SBS,” and
that “the commonly held opinion that the finding of [subdural
hemorrhage] and [retinal hemorrhage] in an infant was strong
evidence of SBS was unsustainable.”); Bandak, Shaken Baby Syndrome:
A Biomechanics Analysis of Injury Mechanisms, 151 Forensic Sci.
Int’l 71, 78 (2005) (“Head acceleration and velocity levels
commonly reported for SBS generate forces that are far too great
for the infant neck to withstand without
injury. . . . [A]n SBS diagnosis in an infant
. . . without cervical spine or brain stem injury is
questionable and other causes of the intracerebral injury must be
considered.”); Minns, Shaken Baby Syndrome: Theoretical and
Evidential Controversies, 35 J. Royal College of Physicians of
Edinburgh 5, 10 (2005) (“[D]iagnosing ‘shaking’ as a mechanism of
injury . . . is not possible, because these are
unwitnessed injuries that may be incurred by a whole variety of
mechanisms solely or in combination.”); Uscinski, Shaken Baby
Syndrome: An Odyssey, 46 Neurol. Med. Chir. (Tokyo) 57, 59 (2006)
(“[T]he hypothetical mechanism of manually shaking infants in such
a way as to cause intracranial injury is based on a
misinterpretation of an experiment done for a different purpose,
and contrary to the laws of injury biomechanics as they apply
specifically to the infant anatomy.”); Leestma, Case Analysis of
Brain-Injured Admittedly Shaken Infants, 54 Cases, 1969–2001, 26
Am. J. Forensic Med. & Pathology 199, 211 (2005) (“[M]ost of
the pathologies in allegedly shaken babies are due to impact
injuries to the head and body.”); Squier, Shaken Baby Syndrome: The
Quest for Evidence, 50 Developmental Med. & Child Neurology 10,
13 (2008) (“[H]ead impacts onto carpeted floors and steps from
heights in the 1 to 3 feet range result in far greater
. . . forces and accelerations than shaking and slamming
onto either a sofa or a bed.”).
In light of current information, it is unlikely
that the prosecution’s experts would today testify as adamantly as
they did in 1997. Noteworthy in this regard, prosecution witnesses
Carpenter and Erlich testified that the belated diagnosis of old
(i.e., chronic) blood in Etzel’s brain and around his optic
nerves did not change their initial cause-of-death findings,
because rebleeding of old subdural blood does not occur in infants.
Tr. 608–609, 672–673, 721–722, 771, 776, 1269–1270, 1283. Recent
scientific opinion undermines this testimony. See Miller &
Miller, Over-representation of Males in Traumatic Brain Injury of
Infancy and in Infants with Macrocephaly, 31 Am. J. Forensic Med.
& Pathology 165, 170 (2010) (“Small, asymptomatic [subdural
hematomas] from the normal trauma of the birth process can
spontaneously rebleed or rebleed with minimal forces, enlarge, and
then present with clinical symptoms and [subdural hematoma, retinal
hemorrhages, and neurologic dysfunction] in the first year of
life. . . . [This situation] mimic[s] child abuse,
and we believe many such infants in the past have been mistakenly
diagnosed as victims of child abuse, when they were likely not.”).
What is now known about SBS hypotheses seems to me worthy of
considerable weight in the discretionary decision whether to take
up this tragic case.
I consider next the State’s meager nonmedical
evidence. There was no evidence whatever that Smith abused her
grandchildren in the past or acted with any malicious intent on the
night in question. Instead, the evidence indicated that Smith was
warm hearted, sensitive, and gentle. Tr. 1086. As earlier observed,
see supra, at 1, the Magistrate Judge noted the absence of
any motive or precipitating event that might have led Smith to
shake Etzel violently. Although shaking may quiet a crying child,
Tr. 601, no evidence showed that Etzel was crying in the hours
before he died, id., at 444. To the contrary: Any loud
crying likely would have woken Etzel’s siblings, Yondale, age 14
months, and Yolanda, age 4, asleep only feet away, even Etzel’s
mother, Tomeka, asleep in the neighboring room. Id., at 335,
358–361. Yet no one’s slumber was disturbed. Id., at
358–361.
The prosecution relied on the testimony of a
social worker, who asserted that Smith, after hearing that the
cause of Etzel’s death had been changed from Sudden Infant Death
Syndrome (SIDS) to shaken baby syndrome, id., at 840, and
after stating that she had given Etzel “a little shake, a jostle to
awaken him” when she found him unresponsive, asked “something like
‘Oh, my God. Did I do it? Did I do it? Oh, my God.’ ”
Id., at 842, 847.[3]
Etzel’s mother, Tomeka, contradicted this account. According to
Tomeka, after the social worker accused Smith of killing Etzel,
Smith started crying, id., at 429–430, and responded, “No, I
didn’t,” id., at 387. Taking the social worker’s version of
events as true, Smith’s distraught and equivocal question fairly
cannot be equated to a confession of guilt. Giving a baby “a little
shake, a jostle to wake him,” ante, at 2 (internal quotation
marks omitted), after finding him unexpectedly unresponsive, surely
is not an admission to shaking a child violently, causing his
brainstem to tear.
Moreover, Smith’s counsel, Ubiwe Eriye,[4] represented her poorly at trial. In
a case as trying as this one, competent counsel might have
persuaded the jury to disbelieve the prosecution’s case. A few
examples from the record are illustrative. At the suppression
hearing, the presiding judge was so disturbed about Eriye’s
preparation for trial that he remarked to the defendant, “Miss
Smith, I’m scared.” Tr. A52. Eriye badly misportrayed the burden of
proof when he declared, both at the suppression hearing and in his
opening remarks, that he would prove, beyond a shadow of a doubt,
that Smith was not guilty. Id., at A58–A59, 213. The two
experts Eriye called presented testimony that hardly
meshed.[5]
In sum, this is a notably fact-bound case in
which the Court of Appeals unquestionably stated the correct rule
of law. It is thus “the type of case in which we are most
inclined to deny certiorari.” Kyles v. Whitley,
514 U.S.
419, 460 (1995) (Scalia, J., dissenting). Nevertheless, the
Court is bent on rebuking the Ninth Circuit for what it conceives
to be defiance of our prior remands. See ante, at 8. I would
not ignore Smith’s plight and choose her case as a fit opportunity
to teach the Ninth Circuit a lesson.
But even if granting review qualified as a
proper exercise of our discretionary authority, I would resist
summary reversal of the Court of Appeals’ decision. The
fact-intensive character of the case calls for attentive review of
the record, including a trial transcript that runs over 1,500
pages. Careful inspection of the record would be aided by the
adversarial presentation that full briefing and argument afford.
See, e.g., R. Fallon, J. Manning, D. Meltzer, D. Shapiro,
Hart and Wechsler’s The Federal Courts and the Federal System 1480
(6th ed. 2009) (posing question whether summary reversal would
“smack of unfairness to the losing party unless an opportunity were
afforded for the filing of briefs on the merits”); Gressman,
Supreme Court Practice §6.12(c), p. 417, and n. 46 (questioning the
Court’s reliance on its own examination of the record in summarily
reversing, without at least affording the parties, “particularly
the respondent,” an opportunity to brief the critical issue and
identify the relevant portions of the record). Peremptory
disposition, in my judgment, is all the more inappropriate given
the grave consequences of upsetting the judgment below: Smith, who
has already served ten years, will be returned to prison to
complete a sentence of fifteen years to life. Before depriving
Smith of the liberty she currently enjoys, and her family of her
care, I would at least afford her a full opportunity to defend her
release from a decade’s incarceration.
* * *
For the reasons stated, justice is not served
by the Court’s exercise of discretion to take up this tragic,
fact-bound case. I would therefore deny the petition for
review.
Notes
1
The State’s third expert,
Dr. Chadwick, who was not present at Etzel’s autopsy, testified
that there may have been some swelling. But he conceded that any
swelling could not have caused death. Tr. 1478.
2
Dr. Chadwick mentioned
new methods, not then standard in medical examiners’ offices and
not used here, which may reveal this type of brainstem damage.
Id., at 1448, 1481–1482.
3
The social worker also
testified that Etzel’s mother, Tomeka, told Smith: “If it wasn’t
for you this wouldn’t have happened.” Id., at 847. Tomeka
denied making any statement to that effect. Id., at
389.
4
Eriye has since resigned
from the California Bar with discipline charges
pending.
5
Dr. Goldie testified that
the old blood in Etzel’s brain did not contribute to his death, and
Etzel died of SIDS. Id., at 994–995, 1403. In contrast, Dr.
Siegler testified that the old blood provided the basis for his
conclusion that Etzel died of an earlier brain trauma, id.,
at 1152–1153, 1166–1167, not SIDS, id., at
1193–1194.
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