Lead Opinion
We granted certiorari to review the decision of the court of appeals in People v. Fields,
I.
In August, 1980, the defendant began employment as a security guard at an Aurora K-Mart store. Jay Davis was the director of security for the store, and Doug Clunie was the immediate supervisor of the defendant and Davis. The store’s manager was Anthony Butera. The defendant, who is black, testified at trial that he had a good working relationship with Davis and But-era and that his working relationship with Clunie initially had been good. However, the defendant’s relationship with Clunie de
On March 19, 1981, the day after the district manager went to the store and discussed the name-calling incidents with Butera and Davis, the defendant was told that Butera had his time card and that he should go to Butera’s office where Clunie and Davis joined Butera and the defendant. Butera told the defendant that his employment was terminated. The defendant responded by pulling a gun from his pocket and shooting Davis and Clunie; the defendant also fired toward Butera, but the shots missed him. Clunie died as a result of his wounds, and Davis was permanently injured.
The defendant was tried in the Arapahoe County District Court. During voir dire, after the prosecution had exercised six of its ten allotted peremptory challenges,
The jury finally seated did not have any black or Spanish-surnamed jurors. After the jury returned guilty verdicts against the defendant, he moved for a new trial, again raising the issue of the prosecution’s use of peremptory challenges. The court denied the motion, and the defendant appealed to the court of appeals.
The court of appeals decided that the district court did not err in refusing to consider the defendant’s claim that the prosecution had exercised its peremptory challenges in an unconstitutional manner. In so holding, the court of appeals relied on Swain v. Alabama,
II.
Swain v. Alabama, relied on by the court of appeals and the People, involved a challenge by a black defendant in a rape trial to the selection of the jury. The defendant pointed out that the six black people available for jury service in his case were all struck by the prosecutor through the use of what were, in effect, peremptory challenges, and the case was tried to an all-white jury. The defendant alleged that the systematic striking of blacks from the jury venire constituted purposeful discrimination in violation of the equal protection clause of the fourteenth amendment to the United States Constitution.
The presumption in any particular case must be that the prosecutor is using the State’s challenges to obtain a fair and impartial jury to try the case before the court. The presumption is not overcome and the prosecutor therefore subjected to examination by allegations that in the case at hand all Negroes were removed from the jury or that they were removed because they were Negroes.
Id. at 222,
The Court’s holding in Swain concerning the burden of proving purposeful discrimination in the use of peremptory challenges prompted commentator criticism.
Motivated by these concerns and other considerations, several state courts relied on state constitutional provisions to depart from the rule of Swain. The seminal state court case rejecting the Swain approach was People v. Wheeler,
The Wheeler approach to allegations of unconstitutional use of peremptory challenges was adopted basically intact by the supreme courts of Delaware, Riley v. State,
The defendant urges us to follow the Wheeler line of cases by holding that the prosecutor’s use of his peremptory challenges to exclude Spanish-surnamed persons from a jury panel solely on the basis of presumed group characteristics violates the right to trial by an impartial jury guaranteed by the sixth amendment to the federal constitution
III.
After this case was briefed and argued, the United States Supreme Court issued its
The People, in their list of supplemental authorities, cite Batson, emphasizing the Court’s determination that in order to make out a prima facie equal protection violation based on the use of peremptory challenges a “defendant first must show that he is a member of a cognizable racial group ... and that the prosecutor has exercised peremptory challenges to remove from the venire members of the defendant’s race.”
The validity of this statement as a matter of constitutional doctrine depends on the definition of the equal protection right recognized in cases such as Strauder and Batson. In both of these cases, the Court observed that a defendant is denied equal protection where discriminatory jury selection practices deprive him of the opportunity to have a jury that includes “persons having the same legal status in society as that which he holds.” Batson,
The question whether the equal protection clause prohibits the exclusion of jurors' of one group in the trial of a defendant of a different group need not be resolved here because it is clear that regardless of whether the allegations of the defendant in this case would support an equal protection challenge, the issue raised by the defendant in his petition for certiorari and upon which we granted review is whether the prosecution’s use of peremptory challenges violated the defendant’s right to a trial by an impartial jury under the sixth amendment to the federal constitution and article II, section 16 of the Colorado Constitution.
Under both federal and state constitutions, the right to an impartial jury includes the right to a jury drawn from a representative or fair cross-section of the community. Taylor v. Louisiana,
The purpose of a jury is to guard against the exercise of arbitrary power — to make available the commonsense judgment of the community as a hedge against the overzealous or mistaken prosecutor and in preference to the professional or perhaps over-conditioned or biased response of a judge. Duncan v. Louisiana, 391 U.S. [145] at 155-156 [88 S.Ct. 1444 , 1450-1451,20 L.Ed.2d 491 (1968) ]. This prophylactic vehicle is not provided if the jury pool is made up of only special segments of the populace or if large, distinctive groups are excluded from the pool. Community participation in the administration of the criminal law, moreover, is not only consistent with our democratic heritage but is also critical to public confidence in the fairness of the criminal justice system_ “Trial by jury presupposes a jury drawn from a pool broadly representative of the community as well as impartial in a specific case.... [T]he broad representative character of the jury should be maintained, partly as assurance of a diffused impartiality and partly because sharing in the administration of justice is a phase of civic responsibility.” Thiel v. Southern Pacific Co.,328 U.S. 217 , 227 [66 S.Ct. 984 , 989,90 L.Ed. 1181 ] (1946) (Frankfurter, J., dissenting).*1152 419 U.S. at 530-531 ,95 S.Ct. at 697-698 .12 Duren v. Missouri,439 U.S. 357 , 364,99 S.Ct. 664 , 668,58 L.Ed.2d 579 (1979), set out the elements of a prima facie violation of the fair cross-section requirement in the early stages of jury selection: “the defendant must show (1) that the group alleged to be excluded is a ‘distinctive’ group in the community; (2) that the representation of this group in venires from which juries are selected is not fair and reasonable in relation to the number of such persons in the community; and (3) that this underrepre-sentation is due to systematic exclusion of the group in the jury-selection process.” Although the United States Supreme Court has applied the sixth amendment fair cross-section requirement only to selection of jury venires, the court has discussed the requirement in the context of petit juries: “All that the Constitution forbids, however, is systematic exclusion of identifiable segments of the community from jury panels and the juries ultimately drawn from those panels;_” Apodaca v. Oregon,406 U.S. 404 , 413,92 S.Ct. 1628 , 1634,32 L.Ed.2d 184 (1972) (jury verdict need not be unanimous); see also Williams v. Florida,399 U.S. 78 ,100,90 S.Ct. 1893 ,1906,26 L.Ed.2d 446 (1970) (in upholding the constitutionality of a Florida statute allowing six-person juries, the court stated, “[T]he number [of jurors] should probably be large enough ... to provide a fair possibility for obtaining a representative cross-section of the community.”).
In McCray v. Abrams,750 F.2d at 1131 , the United States Court of Appeals for the Second Circuit articulated a sixth amendment standard for voir dire: [1]n order to establish a prima facie violation of his right to the possibility of a fair cross section in the petit jury, the defendant must show that in his case, (1) the group alleged to be excluded is a cognizable group in the community, and (2) there is a substantial likelihood that the challenges leading to this exclusion have been made on the basis of the individual venirepersons’ group affiliation rather than because of any indication of a possible inability to decide the case on the basis of the evidence presented.13
The Second Circuit justified the application of the cross-section requirement to the pet-it jury on the basis that “[i]f there is a Sixth Amendment requirement that the ve-nire represent a fair cross-section of the community it must logically be because it is important that the defendant have the chance that the petit jury will be similarly constituted.... [T]he Amendment simply prohibits the state’s systematic elimination of the possibility of such a carry-over.”
The peremptory, made without giving any reason, avoids trafficking in the core of truth in most common stereotypes.... Common human experience, common sense, psychosociological studies, and public opinion polls tell us that it is likely that certain classes of people statistically have predispositions that would make them inappropriate jurors for particular kinds of cases. But to allow this knowledge to be expressed in the evaluative terms necessary for challenges for cause would undercut our desire for a society in which all people are judged as individuals and in which each is held reasonable and open to compromise.... Instead we have evolved in the peremptory challenge a system that allows the covert expression of what we dare not say but know is true more often than not.
Id. at 1735-1736. The chief justice concluded that there is no middle ground between a challenge for cause that has to be explained and a peremptory challenge that does not. Id. at 1739. Justice Marshall, concurring in Batson, would eliminate peremptory challenges entirely.
The majority in Batson adopted an intermediate position, described more fully in Part IV, infra. The Batson court described Swain as accommodating the prosecutor’s historical privilege of peremptory challenge free of judicial control and the constitutional prohibition on exclusion of persons from jury service on account of race. Id. at 1720. To preserve the peremptory nature of the prosecutor’s challenges, the court in Swain declined to scrutinize the prosecutor’s actions in a particular case by relying on a presumption that the challenges were exercised properly. Id. The effect of Swain was to place “on defendants a crippling burden of proof” and leave prosecutors’ peremptory challenges “largely immune from constitutional scrutiny.” Id. at 1720-1721. To subject the prosecutor’s exercise of peremptory challenges to more effective review under the equal protection clause, the court in Batson concluded that a “defendant may establish a prima facie case of purposeful discrimination in selection of the petit jury
Batson places limits on the exercise of peremptory challenges when a defendant raises a prima facie equal protection claim. The only reason we can perceive for not placing similar limits on the exercise of peremptory challenges when the defendant raises a prima facie impartial jury claim is that the impartial jury claim may be made by a defendant who would not be entitled to raise the issue under equal protection analysis because the excluded jurors are not members of the same group as the defendant.
We reiterate that the right to a jury comprising a fair cross-section of the community does not require that each petit jury mirror the demographic composition of the community or that any particular jury actually contain members of the defendant’s own group. Taylor,
IV.
The question that we next address concerns the framework for analyzing claims of unconstitutional use of peremptory challenges in a given case. In resolving this question we have the benefit of the procedure developed in Wheeler and followed in subsequent cases, including Batson.
[T]he party may show that his opponent has struck most or all of the members of the identified group from the venire, or has used a disproportionate number of peremptories against the group. He may also demonstrate that the jurors in question share only this one characteristic — their membership in the group — and that in all other respects they are as heterogeneous as the community as a whole. Next the showing may be supplemented when appropriate by such circumstances as the failure of his opponent to engage the same jurors in more than desultory voir dire, or indeed to ask them any questions at all. Lastly ... the defendant need not be a member of the excluded group in order to complain of a violation of the representative cross section rule; yet if he is, and especially if in addition his alleged victim is a member of the group to which the majority of the remaining jurors belong, these facts may also be called to the court’s attention,
(footnote omitted).
After the defendant has presented evidence supporting a claim of unconstitutional discrimination in the use of peremptory challenges, the trial court must determine whether the evidence is sufficient to establish a prima facie case. If the court decides that a prima facie case has been made out, the burden then shifts to the state to rebut the inference that the jurors were excluded solely because of group membership. The prosecutor need not provide reasons for excluding the jurors that would justify a challenge for cause. Instead, the prosecutor must articulate reasons for the exercise of the disputed challenges that are unrelated to membership in a cognizable group and rea
V.
The final question that must be decided concerns the applicability of the principles and procedures discussed above to the facts of the case before us. The People suggest that the conviction should be affirmed because the record of the voir dire presents sufficient nondiscriminatory reasons for which the prosecutor might have dismissed the three Spanish-surnamed jurors. As an alternative position, the People argue that the case should be remanded to the district court in order to permit the prosecutor to articulate his reasons for dismissing these jurors. The defendant, while conceding that a remand for further hearing would be acceptable, urges that a new trial is the most appropriate remedy.
We acknowledge the recognition in Wheeler,
In this case, the district court asked preliminary questions of the prospective jurors and then both the People and defense counsel asked numerous questions. In response to these questions, prospective juror Barela, against whom the People exercised their second peremptory challenge, stated that he had a friend who recently had been charged with murder. Although the case had been resolved, Barela had known his friend for many years and found it difficult to think his friend could have committed a murder. The People exercised their fourth peremptory challenge against prospective juror Abeyta. Abeyta was employed as a high school counselor at Abraham Lincoln High School. The People exercised their sixth peremptory challenge against prospective juror Gutierrez, who in response to the prosecutor’s question, “Have you formed an opinion about the defendant’s guilt?” responded, “No,” but that he had been in situations where he had almost been fired from his job and felt very badly about it. He stated, “I felt like killing somebody you know.” In response to another question, he indicated that he empathized with the defendant and that when “someone hurts your feelings, you feel like defending yourself ... because you should have a little respect, too.” He also stated that when someone gets mad, “you can do anything ... five minutes later you’ll be sorry.”
When the defendant’s counsel moved for a mistrial on the basis of the People’s exercise of peremptory challenges against Spanish-surnamed prospective jurors, the court responded that the defendant had removed one of the Spanish-surnamed jurors, prospective juror Pacheco. The defendant’s counsel responded that he had challenged Pacheco because at age forty-five Pacheco claimed never to have heard or seen any racial discrimination or have been in a fight and to not recall ever being in an argument. In a self-defense case, according to defense counsel, that sort of juror was unacceptable.
Judgment affirmed.
Notes
. Section 16-10-104(1), 8A C.R.S. (1986), in effect at the time of the defendant’s trial, provides that "[i]n capital cases, the state and the defendant, when there is one defendant, shall each be entitled to ten peremptory challenges.” See also Crim.P. 24(d).
. The defendant’s claim in the court of appeals, as well as in this court, was based on the sixth amendment to the federal constitution and article II, section 16 of the Colorado Constitution, not the equal protection clause of the federal constitution that was the basis of the decision in Swain v. Alabama,
. See, e.g., Brown, McGuire, and Winters, The Peremptory Challenge as a Manipulative Device in Criminal Trials: Traditional Use or Abuse, 14 New Eng.L.Rev. 192 (1978); Winick, Prosecuto-rial Peremptory Challenge Practices in Capital Cases: An Empirical Study and a Constitutional Analysis, 81 Mich.L.Rev. 1 (1982); Note, Limiting the Peremptory Challenge: Representation of Groups on Petit Juries, 86 Yale L.J. 1715 (1977); Comment, Swain v. Alabama, A Constitutional Blueprint for the Perpetuation of the All-White Jury, 52 Va.L.Rev. 1157 (1966).
. Gilmore,
. While the Wheeler court spoke in broad terms of unconstitutional exclusion of jurors on "racial, religious, ethnic, or similar grounds,”
. The sixth amendment to the federal constitution provides, "In all criminal prosecutions the accused shall enjoy the right to a speedy and public trial by an impartial jury....”
. Article II, section 16 of the Colorado constitution provides, "In criminal prosecutions the accused shall have the right to ... a speedy trial by an impartial jury....”
. In Griffith v. Kentucky, — U.S.-,
. But see United States v. Perez-Hernandez,
. The equal protection analysis begun in Strau-der v. West Virginia, 100 U.S. (10 Otto) 303,
In my view, there is simply nothing ‘unequal’ about the State using its peremptory challenges to strike blacks from the jury in cases involving black defendants, so long as such challenges are also used to exclude whites in cases involving white defendants, Hispanics in cases involving Hispanic defendants, Asians in cases involving Asian defendants, and so on.
Batson,
. We note the similarity in the language employed in Batson and the traditional language in sixth amendment impartial jury cases. Justice Stevens pointed out in his concurring opinion in Batson that the petitioner did not rely on the equal protection clause in seeking to have his conviction overturned.
. Taylor v. Louisiana,
. The McCray court departed from the standard in Duren v. Missouri,
. The ideal of an impartial jury is both that its members should be different from each other, as seen in the cross-section of the community cases, and that its members should be individually "indifferent.” Babcock, Voir Dire: Preserving “Its Wonderful Power", 27 Stan.L.Rev. 545, 551-552 (1975). Logically the sixth amendment analysis should apply to voir dire where the defendant's interest in an impartial jury is paramount and the fourteenth amendment right to random selection of jurors from a representative cross-section of the community should apply at the venire stage; however, under Swain and Batson, the fourteenth amendment has been applied at the voir dire stage of juror selection, and under Taylor and Duren, the sixth amendment has been applied to the venire stage.
. Courts have applied the sixth amendment fair cross-section analysis to uphold claims of groups defined by race, sex, national origin, religion, age, economic status, and occupation. 86 Yale LJ. at 1735; Note, The Cross-Section Requirement and Jury Impartiality, 73 Calif.L. Rev. 1555, 1562 (1985). Most of these decisions offer little guidance beyond the particular circumstances of each case, reflecting perhaps the language in Taylor,
State supreme courts relying primarily on state constitutional provisions have identified groups distinguished on racial, religious, ethnic or similar grounds, Wheeler,
. For a history of peremptory challenges, see Swain,
. One commentator suggests an intermediate position that would be easier for appellate courts to monitor, involving the abolition of peremptory challenges and the expansion of grounds supporting challenges for cause. 73 Calif.L.Rev. at 1590-1596.
. One commentator argues that where a suspect class is disproportionately excluded from the petit jury, the equal protection clause affords greater protection to a defendant than the sixth amendment because under the equal protection clause the state must put forth a compelling state interest to justify exclusion of the suspect class while under the sixth amendment the state could rebut a prima facie case by offering a nondiscriminatory explanation or by advancing a significant state interest. Note, Rethinking Limitations on the Peremptory Challenge, 85 Colum.L.Rev. 1357, 1376 (1985). That distinction did not survive the decision in Bat-son where the court held under equal protection principles that once the defendant makes a pri-ma facie showing, “the burden shifts to the state to come forward with a neutral explanation for challenging black jurors” and the neutral explanation must be related “to the particular case to be tried.”
. The California Supreme Court applied its decision in Wheeler to peremptory challenges exercised by the defendant as well as the prosecution, thus the language referring to "the party" and “his opponent.” We note, however, that article 1, section 16 of the California Constitution provides, "Trial by jury is an inviolate right and shall be secured to all ...,” while the language of the sixth amendment and of article II, section 16 of the Colorado Constitution refer to the right of the accused to an impartial jury. See also 85 Colum.L.Rev. at 1360 n. 21; but see Booker v. Jabe,
. We need not determine whether there were valid reasons to exercise a peremptory challenge against juror Abeyta because the forbidden use of peremptory challenges in a discriminatory and systematic fashion in a single case presupposes that the prosecutor peremptorily struck more than one member of a cognizable group. See Booker v. Jabe,
. Since Batson, a number of state appellate courts have determined that the record supplies sufficient neutral reasons to sustain a prosecutor’s use of peremptory challenges. Branch v. State, — So.2d-
Concurrence Opinion
specially concurring in the result only:
I agree with the majority’s decision to affirm the judgment of the court of appeals, upholding the defendant’s conviction of first degree murder and attempted first degree murder. I write separately, however, because I believe it is unnecessary for us, given the facts of this case, to adopt the Wheeler approach and hold that the discriminatory use of peremptory challenges by a prosecutor violates the sixth amendment to the federal constitution and article II, section 16, of the Colorado Constitution. In light of the ultimate holding of the majority, namely, that the defendant could not establish a prima facie case under either the sixth amendment right to an impartial jury, or the equal protection clause of the fourteenth amendment, it is unnecessary to adopt an approach which leaves issues unresolved and contains open-ended interpretations of key principles.
I.
The unpopularity of the Swain case prompted a few state courts to interpret the sixth amendment and their state constitutional provisions on the right to an impartial jury as preventing the discriminatory use of peremptory challenges. E.g., People v. Wheeler,
I believe the Wheeler analysis adopted by the majority rests on a faulty premise that equates impartiality with representativeness. If a jury must be cross-sectional, i.e., representative, to be impartial, then it must be cross-sectional in every case. However, virtually all the courts that follow Wheeler subscribe to the proposition that there is
no requirement that petit juries actually chosen must mirror the community and reflect the various distinctive groups in the population. Defendants are not entitled to a jury of any particular composition, but the jury wheels, pools of names, panels, or venires from which juries are drawn must not systematically exclude distinctive groups in the community and thereby fail to be reasonably representative thereof.
Taylor v. Louisiana,
I disagree with the majority’s statement that the ideal impartial jury is one where its members are different from each other and individually indifferent. Maj. op. at 1153 n. 24.) Ideally, group membership should not be a consideration for the making of an impartial jury.
The sixth amendment analysis as adopted by the majority is a double-edged sword for the defendant. Although the sixth amendment affords protection only to the defendant, there is nothing in its language or its history to suggest that the state may not protect itself from jurors who are partial to the defense. S. Saltzburg & M. Powers, Peremptory Challenges and The Clash Between Impartiality and Group Representation, 41 Md.L. Rev. 337, 354 (1982). The Wheeler approach, based on the California Constitution, recognizes the ability to challenge the use of peremptories on the part of the prosecution as well as the defense.
Thus, according to the unique provisions of the California Constitution as interpreted in Wheeler, either side can violate the fair cross-section requirement. This could prove very problematic for the defense, for whom the right to peremptory challenges is of great importance because they are so personally involved in the result of the trial and, therefore, are usually given more peremptory challenges than is the government. United States v. Newman,
II.
My primary concern with the majority’s sixth amendment analysis is the definition of “cognizable groups” or “distinctive groups,” which, under the sixth amendment, are those groups that “are sufficiently numerous and distinct” so that if they are systematically excluded from the jury venires, “the sixth amendment fair cross-section requirement cannot be satisfied.” Duren v. Missouri,
In State v. Gilmore,
Because I believe that the majority’s definition of “cognizable group” is vague and because the facts of this case clearly do not require it, I would not adopt the majority’s sixth amendment analysis and embracement of Wheeler.
I am authorized to state that ERICKSON, J., joins in this special concurrence.
. The majority contends that this issue need not be resolved in this case (maj. op. at 1156 n. 19). In light of the majority’s adoption of Wheeler, I cannot agree; the effect of this approach on the defendant’s use of peremptory challenges must be considered.
Concurrence Opinion
specially concurring.
I agree with the result reached by the majority. As detailed in part V of the majority opinion, the record does not support a contention that the prosecution peremptorily challenged Spanish-surnamed venirepersons for discriminatory reasons. Under these circumstances, it is unnecessary to address the difficult constitutional issues discussed in detail in the majority opinion, and I think it inadvisable to do so. See People v. Fields,
