F I L E D
United States Court of Appeals
Tenth Circuit
UNITED STATES COURT OF APPEALS
MAR 2 2004
TENTH CIRCUIT
PATRICK FISHER
Clerk
THOMAS J. CLARDY,
Petitioner - Appellant, No. 03-3058
v. (D. Kansas)
DAVID R. McKUNE, Warden; PHILL (D.C. No. 99-CV-3228-SAC)
KLINE, Attorney General of Kansas,
Respondents - Appellees.
ORDER AND JUDGMENT *
Before McCONNELL, ANDERSON, and BALDOCK, Circuit Judges.
After examining the briefs and appellate record, this panel has determined
unanimously that oral argument would not materially assist the determination of
this appeal. See Fed. R. App. P. 34(a)(2); 10th Cir. R. 34.1(G). The case is
therefore ordered submitted without oral argument.
*
This order and judgment is not binding precedent, except under the
doctrines of law of the case, res judicata, and collateral estoppel. The court
generally disfavors the citation of orders and judgments; nevertheless, an order
and judgment may be cited under the terms and conditions of 10th Cir. R. 36.3.
Petitioner-appellant Thomas J. Clardy appeals the district court’s denial of
a writ of habeas corpus under 28 U.S.C. § 2254. He attacks his convictions for
rape, aggravated criminal sodomy, and aggravated indecent liberties against a
child on two grounds. Clardy asserts (1) that the Kansas state court erred in
denying him access to records to prove that the child’s mother was about to lose
custody and had a motive to fabricate the story of sexual abuse because she saw
Mr. Clardy and his mother as potential rivals, and (2) that the Kansas state court
erred in ruling that evidence that the child was undergoing counseling for
previous sexual abuse, which might have accounted for her knowledge of a type
of sexual activity, was barred by application of the state’s rape shield law.
On appeal in federal court, we find that, because Clardy’s first argument
does not implicate federal law or the Constitution, it remains a question of Kansas
state law that we cannot review under 28 U.S.C. § 2254. Clardy’s second
argument as presented in his brief on appeal would have a constitutional
dimension, but a review of the record reveals that Clardy did not fully present his
constitutional argument to the Kansas state courts on direct attack. We consider
the procedural issues this raises, but ultimately err on the side of both caution and
judicial efficiency to review the claim. We hold that Clardy’s argument is
without merit, and we affirm the district court’s denial of a writ of habeas corpus.
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BACKGROUND
Clardy was convicted of sexually abusing A.S., a girl who was nine years
old at the time. The girl’s mother, Cynthia, had met Clardy two to three weeks
before she became homeless in August of 1993. Clardy offered for Cynthia and
her children to move in with himself and his mother, but soon after the family
moved in with the Clardys, Cynthia was arrested for a parole violation. She asked
the Clardys to continue to care for her children while she was incarcerated.
When Cynthia was released from prison in November 1993, she and the
children moved into their own rental place. Two weeks later, A.S. became upset
and revealed to her mother that Clardy had sexually abused her while she had
lived with him. Cynthia called the police to report the abuse, and A.S. was
examined at a medical center. Neither that medical center, nor a subsequent
specialty center, found physical evidence of abuse.
A.S. testified, however, that during the time she lived with the Clardys, she
slept in Thomas Clardy’s bed. Her description of the abuse was precise and
graphic. Clardy had “put his private in my private,” specifying that privates were
used “to pee.” Clardy would tell her to get on top of him and “start moving up
and down” with his private in hers, and that it hurt. He had put his private in her
“butt” while she was “laying on her side” and he was behind her. Clardy had
made her “put my mouth on his private part” and “made me rub it up and down.”
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Clardy’s penis was round, hard and pointed up; white stuff came out of it and
went on the sheets or in his underwear, and some got in her mouth. His scrotum
was big and hung down. She was also instructed to moan when “he was about to
have a king-sized one.”
A.S.’s brother confirmed important pieces of his sister’s testimony. Jimmy
reported that his sister had slept most of the time in Clardy’s room, and that
Jimmy had once opened the door of Clardy’s bedroom to find his “sister on top of
Mr. Clardy.” Jimmy related that Clardy had been on his back, and had whispered
to his sister “off, off, real fast,” and his sister had “sort of rolled off . . . .”
Jimmy had walked out and “didn’t think nothing” of what he had seen.
Clardy’s defense was mainly alibi, but he complains that the Kansas trial
court made two decisions to exclude evidence that might have been useful to him.
First, Clardy’s counsel had subpoenaed records from both the Kansas state agency
in charge of child welfare (the Kansas Department of Social and Rehabilitation
Services, or “SRS”), and records of A.S.’s counseling sessions at the Wyandotte
Mental Health Center. Clardy argued that the records “could be relevant” and
“could be useful to the defense” in exploring the issue of custody, but was not
much more specific about what he was looking for. Both agencies moved to
quash the subpoenas on the ground that the records were confidential under
Kansas state law. See Kan. Stat. Ann. §§ 38-1507, 65-5602. After in camera
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review, the trial court determined that the records “contain no evidence that is
relevant in this matter” and were protected by the cited statutes. Clardy was able,
though, to cross-examine A.S.’s mother Cynthia at length during the trial to
explore his theory that she had fabricated the abuse charges to keep custody of her
children when her main rivals might have been the Clardys.
Second, Clardy’s defense counsel filed a motion pursuant to Kansas’s rape
shield law to introduce evidence at trial concerning previous sexual abuse of A.S.
Clardy asserted that the evidence of previous abuse was necessary to explain how
a child of nine could know so much about sex, and he alleged that to deny the
admission of this evidence would violate his Sixth Amendment right to
confrontation. The trial court reviewed the records in camera, though, and
determined that the type of sexual abuse A.S. had previously been exposed to was
very different from what she had described as her experiences with Clardy. A.S.
had previously been abused by a neighbor named John Gamble, who, in a one-
time act, had performed oral sex together on A.S. and two other girls. There is
some allegation that A.S. was exposed to pornographic movies and magazines at
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Gamble’s house, 1 but there is no evidence that A.S. was ever alone with Gamble
or that they had engaged in standard sexual intercourse.
Clardy was convicted by a jury on two counts of rape, four counts of
aggravated criminal sodomy, and two counts of aggravated indecent liberties. On
April 24, 1998, the Kansas Court of Appeals affirmed Clardy’s conviction, and,
on July 8, 1998, the Kansas Supreme Court summarily denied his petition for
review. State v. Clardy, 960 P.2d 267 (Kan. Ct. App. 1998) (Table), review
denied (Kan. July 8, 1998).
In his brief to the Kansas Court of Appeals, Clardy alluded to both of the
issues he raises before us. His challenge to the application of the rape shield law,
however, was largely on evidentiary grounds. Pet. Br. on Dir. App. at 31-38. 2
The state appellate court’s decision in response specifically addressed the
evidentiary ground. State v. Clardy, No. 76,690 at 14-17 (Kan. Ct. App. Apr. 24,
1998).
The Kansas Court of Appeals, however, found this allegation not to be
1
true. Apparently, “[t]here was no evidence that the pornography A.S. was
exposed to correlated to the acts [A.S.] said Clardy committed.” State v. Clardy,
No. 76,690 at 17 (Kan. Ct. App. Apr. 24, 1998).
Although Clardy clearly focused on state evidentiary grounds in his brief
2
to the Kansas Court of Appeals, he did cite a case involving the Sixth Amendment
right to confront witnesses, noting that it “recognized the strong constitutional
right of the defendant to present a defense.” Pet. Br. on Dir. App. at 33.
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Clardy timely filed this petition for a writ of habeas corpus with the federal
district court in Kansas. The district court denied his petition, but granted a
certificate of appealability on the two issues before us.
STANDARD OF REVIEW
After a district court has granted a certificate of appealability, we review its
denial of a writ of habeas corpus de novo. See, e.g., Valdez v. Ward, 219 F.3d
1222, 1229 (10th Cir. 2000) (applying the same standards as applied by the
district court). Under the statute that codified the writ of habeas corpus, however,
federal courts shall “entertain an application for a writ of habeas corpus in behalf
of a person in custody pursuant to the judgment of a State court only on the
ground that he is in custody in violation of the Constitution or laws or treaties of
the United States.” 28 U.S.C. § 2254(a); see also Estelle v. McGuire, 502 U.S.
62, 67-68 (1991); accord Richmond v. Embry, 122 F.3d 866, 870 (10th Cir. 1997).
Furthermore, under the Antiterrorism and Effective Death Penalty Act of
1996 (AEDPA), we may not generally grant a petition for a writ of habeas corpus
unless “the applicant has exhausted the remedies available in the courts of the
State” before filing in federal court. 28 U.S.C. § 2254(b)(1)(A). In order to have
been fairly presented to the state courts, the form of a claim raised to the state
appellate court must be the “substantial equivalent” of the form of the claim
raised in the federal habeas petition. Picard v. Connor, 404 U.S. 270, 278 (1971).
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If some claims in the petition have been exhausted and others have not, the
petition is considered mixed. See, e.g., Rose v. Lundy, 455 U.S. 509, 510, 522
(1982). Federal courts may dismiss mixed petitions to allow the petitioner to
return to state court to pursue his state court remedies, id. at 510, or they may
reach the merits to deny the unexhausted claim, Brown v. Shanks, 185 F.3d 1122,
1125 (10th Cir. 1999).
Yet if a petitioner’s claim would now be procedurally barred in the state
courts, there is little purpose in dismissing his petition to permit him to refile his
claim there. His claim is instead “considered exhausted and procedurally
defaulted for purposes of federal habeas relief.” Thomas v. Gibson, 218 F.3d
1213, 1221 (10th Cir. 2000) (citing Coleman v. Thompson, 501 U.S. 722, 735 n.1
(1991), and Medlock v. Ward, 200 F.3d 1314, 1322-23 (10th Cir. 2000)). We will
not generally consider issues that have been thus defaulted in state court on an
independent and adequate state procedural ground unless the petitioner can
demonstrate “cause and prejudice or a fundamental miscarriage of justice.”
English v. Cody, 146 F.3d 1257, 1259 (10th Cir. 1998). But federal courts have
in the past reached the merits of petitioners’ claims where these determinations
are uncertain. See, e.g., Smallwood v. Gibson, 191 F.3d 1257, 1269 (10th Cir.
1999); cf. also 28 U.S.C. § 2254(b)(2) (establishing that federal courts may reach
the merits of claims even if they may not have been exhausted).
-8-
DISCUSSION
1. Clardy’s Claim Regarding Admission of Records from State Agencies
Clardy’s first claim regarding the state court’s decision not to admit state
agency records in evidence is purely a matter of the interpretation of Kansas law.
Indeed, at no point in his brief on appeal did Clardy attempt to argue that the state
court’s decision implicated federal law or had a constitutional dimension. We are
thus barred from reviewing his objection under habeas corpus standards. Estelle,
502 U.S. at 67-68. We further note that Clardy was afforded a full opportunity to
cross-examine Cynthia on his theory that she had fabricated the story of sexual
abuse to retain custody, and that Clardy made no showing that his defense was
prejudiced by the trial court’s decision to exclude the records.
2. Clardy’s Claim Regarding Application of the Rape Shield Law
Clardy does argue before us that his second claim regarding the application
of Kansas’s rape shield law has a federal constitutional dimension, but he failed
to clearly raise the argument in this form before the state courts on direct attack.
The state courts did not directly or specifically address the argument as a Sixth
Amendment argument. This claim thus presents procedural issues, and we
consider these before we conclude that uncertainty about the application of
Kansas’s procedural bar would have us address the merits of his claim.
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a. Issues of Procedural Posture
On direct appeal, Clardy framed his objection to the application of the rape
shield laws to exclude reference to A.S.’s previous sexual experience largely as a
question regarding standards of evidence. The argument in his brief opened, for
example, with the assertion that “The standard of review regarding admission of
prior sexual conduct of a complaining witness is the same as any question
involving relevant evidence.” Pet. Br. on Dir. App. at 31. Clardy agreed that the
admission of “evidence rests within the sound discretion of the trial court,” and
therefore that the state court’s decision not to admit evidence of A.S.’s previous
sexual history should “not be set aside absent a showing of abuse of discretion.”
Id. In sum, although he alluded to a Sixth Amendment right, Clardy’s position
was essentially that “[t]he rape shield statute basically incorporates the existing
rules of evidence which the judge must use to decide whether the proffered
evidence is relevant.” Id.
The Kansas Court of Appeals answered Clardy’s limited evidentiary
argument about application of the rape shield law in kind. It documented that
Clardy had asserted that the evidence of A.S.’s previous sexual history was
“relevant to explain how she was able to provide sexual details other than by her
contact with him,” but it found no abuse of the trial court’s discretion in denying
admission of the evidence. Clardy, No. 76,690 at 14. According to the state
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appellate court, nothing tied the “pornography A.S. was exposed to . . . to the acts
she said Clardy committed,” and that the actual form of sexual abuse A.S. had
been exposed to had been significantly different than what she had experienced
with Clardy. Clardy, No. 76,690 at 17.
Clardy now argues on collateral attack in federal court that the state trial
court’s decision not to permit him to introduce evidence of A.S.’s previous sexual
abuse under Kansas’s rape shield law 3 violated his Sixth Amendment right to
3
Kansas’s rape shield law, Kan. Stat. Ann. § 21-3525(b), reads in pertinent
part:
[I]n any prosecution to which this section applies, evidence of the
complaining witness’ previous sexual conduct with any person
including the defendant shall not be admissible, and no reference
shall be made thereto in the presence of the jury, except under the
following conditions: The defendant shall make a written motion to
the court to admit evidence or testimony concerning the previous
sexual conduct of the complaining witness. The motion must be
made at least seven days before the commencement of the trial unless
that requirement is waived by the court. The motion shall state the
nature of such evidence or testimony and its relevancy and shall be
accompanied by an affidavit in which an offer of proof of the
previous sexual conduct of the complaining witness is stated. The
motion, affidavits and any supporting or responding documents of the
motion shall not be made available for examination without a written
order of the court except that such motion, affidavits and supporting
and responding documents or testimony when requested shall be
made available to the defendant or the defendant's counsel and to the
prosecutor. The defendant, defendant's counsel and prosecutor shall
be prohibited from disclosing any matters relating to the motion,
affidavits and any supporting or responding documents of the motion.
The court shall conduct a hearing on the motion in camera. At the
(continued...)
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confrontation. 4 But it is unclear whether this formulation of Clardy’s claim is the
“substantial equivalent” of the one he raised in state court. See Picard, 404 U.S.
at 278. We could thus consider it not to have been exhausted, and therefore not
appropriate for consideration on collateral attack in federal court. 28 U.S.C.
§ 2254(b)(1)(A). Although the state has failed to note this issue in any of its
filings, and indeed no party has addressed the problematic procedural posture of
this case, we may raise this issue ourselves upon review of the record. See, e.g.,
Trice v. Ward, 196 F.3d 1151, 1171 (10th Cir. 1999); Steele v. Young, 11 F.3d
1518, 1523 n.10 (10th Cir. 1993).
We are not confronted with a mixed petition at this point, however, because
Clardy would be procedurally barred from raising this claim now in the state
courts. See, e.g., Thomas, 218 F.3d at 1221 (explaining that claims that could no
longer be brought in state court will be “considered exhausted and procedurally
defaulted for purposes of federal habeas relief”). Under the Kansas statute that
3
(...continued)
conclusion of the hearing, if the court finds that evidence proposed to
be offered by the defendant regarding the previous sexual conduct of
the complaining witness is relevant and is not otherwise inadmissible
as evidence, the court may make an order stating what evidence may
be introduced by the defendant and the nature of the questions to be
permitted. The defendant may then offer evidence and question
witnesses in accordance with the order of the court.
Under the Sixth Amendment to the United States Constitution, “the
4
accused shall enjoy the right . . . to be confronted with the witnesses against
him.” U.S. Const., Amend. VI.
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governs collateral attacks on convictions in state court, a petitioner’s claim must
be brought inter alia within a year of when his last appeal in the state courts
became final. 5 The statute contains an exception only for when necessary “to
prevent a manifest injustice.” Kan. Stat. § 60-1507 (2004). Clardy’s last petition
for review in the state courts was summarily denied by the Kansas Supreme Court
nearly six years ago in July of 1998.
Clardy does not argue that Kansas’s procedural bar was not independent or
adequate, nor does he suggest that he could establish “cause and prejudice or a
5
Kan. Stat. § 60-1507 reads in pertinent part:
(a) Motion attacking sentence. A prisoner in custody under sentence
of a court of general jurisdiction claiming the right to be released
upon the ground that the sentence was imposed in violation of the
constitution or laws of the United States, or the constitution or laws
of the state of Kansas, or that the court was without jurisdiction to
impose such sentence, or that the sentence was in excess of the
maximum authorized by law, or is otherwise subject to collateral
attack, may at any time, pursuant to the time limitations imposed by
subsection (f), move the court which imposed the sentence to vacate,
set aside or correct the sentence.
* * *
(f) Time limitations. (1) Any action under this section must be
brought within one year of: (i) The final order of the last appellate
court in this state to exercise jurisdiction on a direct appeal or the
termination of such appellate jurisdiction; or (ii) the denial of a
petition for writ of certiorari to the United States supreme court or
issuance of such court’s final order following granting such petition.
(2) The time limitation herein may be extended by the court only to
prevent a manifest injustice.
Kan. Stat. § 60-1507 (2004).
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fundamental miscarriage of justice” such that we should consider his claim if the
state’s bar applied. English, 146 F.3d at 1259. Clardy may then not have
satisfied the threshold requirements for review under 28 U.S.C. § 2254(b)(1)(A).
But we note that Clardy may have failed to argue cause and prejudice or a
fundamental miscarriage of justice in part because no party has raised the issue of
whether his Sixth Amendment claim was exhausted before. We also note that the
Kansas statute that would now bar Clardy from having his claim heard in state
court makes an exception for claims brought after one year when necessary “to
prevent a manifest injustice.” Kan. Stat. § 60-1507 (2004). There is little case
law in Kansas to interpret what this standard means, and we are unable to
determine from the briefing before us whether Clardy would satisfy it.
Accordingly, on the assumption that Clardy’s Sixth Amendment claim is
exhausted, we will review the merits of that claim under the AEDPA. “[F]ederal
habeas review of state convictions is limited when the state courts have
adjudicated a claim on the merits.” Cook v. McKune, 323 F.3d 825, 829 (10th
Cir. 2003). The Kansas Court of Appeals clearly addressed his argument
concerning the rape shield law on its merits, rather than dismissing it on a
procedural ground. However, as indicated, it did not specifically address the
argument as a Sixth Amendment claim; rather, it resolved the issue as a matter of
state law.
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In such a situation, the question arises whether the state court adjudication
of the claim is entitled to deference under the AEDPA. If entitled to such
deference, we may only grant a writ of habeas corpus if that state adjudication
(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,” 28 U.S.C. § 2254(d)(1); or (2) “resulted in a decision
that was based on an unreasonable determination of the facts in light of evidence
presented in the State court proceeding,” id. § 2254(d)(2). While our circuit has
issued somewhat conflicting opinions on whether a state court has in fact
considered a claim on its merits, we have recently stated that “we apply [the
AEDPA] standard notwithstanding the [state court’s] failure to cite or discuss
federal case law.” Miller v. Mullin, 354 F.3d 1288, 1292-93 (10th Cir. 2004) (per
curiam); see also Cook, 323 F.3d at 831 (“[T]he Supreme Court said that failure
to discuss or even to be aware of federal precedent does not in itself render a state
court’s decision contrary to federal law.”) (citing Early v. Packer, 537 U.S. 3
(2002) (per curiam)). See generally Harris v. Ward, No. CIV-02-624-F, 2003 WL
22995021, at **15-18 (W.D. Okla. Nov. 12, 2003) (discussing cases); cf. Ellis v.
Mullin, 326 F.3d 1122, 1130-31 (10th Cir. 2002) (Brorby, J., dissenting).
Accordingly, we apply the AEDPA standard to determine whether it was an
unreasonable application of the Supreme Court’s Sixth Amendment caselaw to
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hold that Kansas’ rape shield law barred admission of evidence that A.S. had
previously been sexually abused.
“Subsidiary factual findings by the state courts are subject to a presumption
of correctness, rebuttable only by clear and convincing evidence.” Cook, 323
F.3d at 831 (citing 28 U.S.C. § 2254(e)(1)). Further “[w]here, as here, the district
court has not held an evidentiary hearing, but based its decision solely on review
of the state court record, we conduct an independent review of the district court’s
decision.” Id.
We conclude that established case law demonstrates that the application of
Kansas’s rape shield law to the facts of Clardy’s case did not implicate his rights
under the Sixth Amendment for several reasons. 6 As an initial matter, we note
that Kansas’s rape shield law has been found to be constitutional, State v. Blue,
592 P.2d 897, 901 (Kan. 1979), and the United States Supreme Court has upheld
an even more restrictive application of a rape shield statute against Sixth
Amendment attack. Michigan v. Lucas, 500 U.S. 145, 150 (1991).
Our caselaw generally emphasizes that standards of relevance and
materiality must be maintained in the admission of evidence, and application of
these standards will not often threaten a defendant’s rights under the Sixth
6
Because Clardy’s counseled brief made no argument that application of the
rape shield law violated due process, see, e.g., Aplt. Br. at i, we conduct no
separate analysis of fundamental rights. Cf. Richmond, 122 F.3d at 871.
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Amendment. See United States v. Bautista, 145 F.3d 1140, 1152 (10th Cir. 1998).
“‘[T]rial judges [, for example,] retain wide latitude insofar as the Confrontation
Clause [of the Sixth Amendment] is concerned to impose reasonable limits on . . .
cross-examination based on concerns about . . . harassment, prejudice, confusion
of the issues, the witness’ safety, or interrogation that is repetitive or only
marginally relevant.’” United States v. Byrne, 171 F.3d 1231, 1234 (10th Cir.
1999) (quoting Delaware v. Van Arsdall, 475 U.S. 673, 679 (1986)). The
application of rape shield laws, in particular, are justified when a state’s interest
in excluding evidence outweighs a defendant’s interests in having the evidence
admitted. Lucas, 500 U.S. at 150-53. The state has a legitimate interest in
preventing the “surprise, harassment, and unnecessary invasions of privacy” that
may occur when a rape victim’s sexual history is introduced. Id. at 150. This is
the calculus that the Kansas state legislature performed in enacting the state’s
rape shield law, and this is the calculus that the trial judge in Clardy’s case
performed in applying the state statute to the evidentiary decision before him.
Clardy argues, however, that he had a particular need to introduce evidence
about the previous sexual abuse A.S. suffered because he wanted to explain how a
child could know so much about sex. But this is not a sufficient reason to suggest
that application of the rape shield law might have violated his Sixth Amendment
rights. We have, for example, found that the application of a rape shield law to
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prevent the introduction of a victim’s prior sexual history does not violate a
defendant’s rights, even when his victim is a child. 7 In Richmond v. Embry, 122
F.3d 866 (10th Cir. 1997), for example, we held that it was permissible to exclude
evidence that a twelve-year-old victim owned condoms and frequently had a male
visitor. Id. at 868-70, 874, 876. The defendant had attempted to introduce this
evidence to show an alternative explanation for why the twelve-year-old would
have been sexually active. 8 Id. at 873-74. A.S. was eleven when she testified
7
Although Clardy mentioned the facts of United States v. Begay, 937 F.2d
515 (10th Cir. 1991), which held that a defendant’s Sixth Amendment rights were
implicated in his attempt to present evidence that a child he had been convicted of
raping may have been sexually abused by another person, id. at 521-22, we can
fundamentally distinguish that case. The question in Begay was whether evidence
regarding the source of semen or injury should have been admitted under Federal
Rule of Evidence 412(b)(2)(A). Begay, 937 F.2d at 517, 520. This affected the
constitutional analysis because “the Confrontation Clause does not trump
established rules of evidence, but rather must yield to such rules when their
application is reasonable.” Quinn v. Haynes, 234 F.3d 837, 847 (4th Cir. 2000)
(citing Taylor v. Illinois, 484 U.S. 400, 410-11 (1988)). The decision in
Begay found that the application of the rule of evidence had not been reasonable.
But, in the Clardy case, Kansas’s rape shield law would have permitted physical
evidence about the assault to have been admitted because the Kansas rules of
evidence mirror the federal rule. See text of Kansas’s rape shield law supra at
n.3; Kan. Stat. Ann. § 21-3525; accord Aplt. Br. at 33 n.32. Clardy also never
attempted to present physical evidence in the case. Finally, even the analysis
regarding the rules of evidence in the Begay decision would appear to have been
cast into doubt by the contrary conclusion of our more recent case, United States
v. Ramone, 218 F.3d 1229, 1235 (10th Cir. 2000), discussed in the text infra.
8
Because the petitioner in Richmond had attempted to introduce the
evidence about the twelve-year-old’s alleged previous sexual activity through his
own witnesses, rather than through cross-examination of the victim, the case was
decided under the Fifth and Fourteenth Amendments’ right to due process and the
(continued...)
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against Clardy, and Clardy makes no principled argument why the difference of
one year from the age of his victim to the age of the victim giving testimony in
Richmond is relevant. Indeed, the interests of the state in protecting child victims
of sexual assault from surprise, harassment, and unnecessary invasions of privacy
in cross-examination become stronger as the victim is younger. Dolinger v. Hall,
302 F.3d 5, 11 (1st Cir. 2002); Quinn, 234 F.3d at 850.
Moreover, Clardy’s argument against the Kansas rape shield law parallels
the unsuccessful arguments made by defendants against rape shield laws
regardless of the age of their victims. Thus, for example, in United States v.
Ramone, 218 F.3d 1229 (10th Cir. 2000), the defendant argued that he needed to
present evidence that his girlfriend enjoyed sex with objects in order to show that
she had previous experience with this form of sex and to suggest that his
penetration of her with an object was not rape. Id. at 1232-33. We held that the
exclusion of the girlfriend’s previous type of distinct sexual experience, even
under the general Federal Rules of Evidence, as opposed to a rape shield law, was
not a violation of the defendant’s Sixth Amendment rights. Id. at 1235. Clardy’s
argument for including A.S.’s history here is even more weak than the
8
(...continued)
Sixth Amendment’s right to compulsory process, but the practical effect of the
ruling was the same as if the case had been decided under the Sixth Amendment’s
right to confrontation, as the petitioner had originally argued. See Richmond, 122
F.3d at 873-74 (discussing application of Colorado’s rape shield law).
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defendant’s argument in Ramone because Clardy sought to introduce previous
sexual experience that was neither comparable in scope nor in kind to the type
A.S. described as occurring with him. Accord Dolinger, 302 F.3d at 7-8
(recognizing no violation of a defendant’s Sixth Amendment rights where a state
court had determined that a ten-year-old victim’s “consensual” homosexual
relationship with a younger boy was inadmissible because it bore little similarity
to the victim’s relationship with his adult male rapist).
Finally, Clardy has already been granted more procedure in the state court
system than the United States Supreme Court has found necessary to protect a
defendant’s Sixth Amendment rights. Because Clardy’s pre-trial objection to the
application of Kansas’s rape shield law was prompt, the trial judge reviewed the
evidence that Clardy sought to admit with his arguments in mind, and it gave
Clardy a reasoned explanation for its decision why the evidence was not relevant
and would be barred by application of the state’s rape shield law. Yet the United
States Supreme Court has held that rape shield laws may not violate a defendant’s
Sixth Amendment rights even when the defendant procedurally defaults from
having his proffered evidence reviewed by the trial court. Lucas, 500 U.S. at 148.
Clardy hence received more than adequate procedure under the Constitution; the
outcome of the trial court’s discretionary ruling on the application of Kansas’s
rape shield law beyond the point at which constitutional safeguards are satisfied is
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a matter for the Kansas courts. See Estelle, 502 U.S. at 67-68. We will not
conduct an additional review of this evidence on collateral attack. Id.; 28 U.S.C.
§ 2254(a). Further, were we to review this issue de novo, according the state
court decision no deference under the AEDPA, we would not grant Clardy’s
habeas petition.
CONCLUSION
The judgment of the district court to deny Clardy’s petition for a writ of
habeas corpus is AFFIRMED. In so concluding, we admonish counsel that the
presentation of this case would have been greatly assisted had counsel addressed
the many procedural issues involved.
ENTERED FOR THE COURT
Stephen H. Anderson
Circuit Judge
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