Lead Opinion
OPINION OF THE COURT
These appeals, involving application of the rules developed in Batson v Kentucky (
In Batson v Kentucky (supra) the prosecutor used peremptory challenges to strike four African-Americans from the jury so that defendant, an African-American, was tried by an all-Caucasian jury. The Supreme Court held that the Equal Protection Clause of the Fourteenth Amendment forbids the use of peremptory challenges solely for discriminatory purposes. Finding that a prima facie case of discrimination had been established, the Court remanded the case to enable the prosecutor to provide racially neutral reasons for the strikes or, in the absence thereof, for a new trial. The Court set forth three steps for establishing prima facie that the prosecutor used peremptory challenges to discriminate in selecting the petit jury. The defendant must show (1) that he or she is a member of a cognizable racial group, (2) that the prosecutor’s use of peremptory challenges resulted in the exclusion of members of defendant’s race from the jury, and (3) facts and other relevant circumstances sufficient to raise an inference that the prosecutor used the challenges for discriminatory purposes (Batson v Kentucky, supra, at 96; People v Jenkins, 75 NY2d 550, 555-556; People v Scott,
In the matters before us, defendants satisfied the first two requirements by showing that they are African-Americans and that the prosecution struck several African-American
In People v Bolling, defense counsel’s challenge came after counsel had questioned the first 12 prospective jurors. Five African-Americans were examined and all were dismissed, four by the prosecution. In People v Steele, defendant bases her claim on strikes made during selection of the first 21 jurors. At that time, six African-Americans had been examined and the prosecution had removed three by peremptory challenges.
We conclude that a defendant may assert a claim that peremptory challenges are being used for discriminatory purposes when those challenges are exercised, regardless of whether jury selection has been completed. Although Batson addressed the harm caused when a defendant is tried by a tribunal from which members of his own race have been excluded, that was only one of the " ‘multiple ends’ ” the decision was designed to serve (see, Allen v Hardy,
People v Bolling
Jury selection began with the court excusing a number of disqualified persons on the venire. The court then filled the jury box with 16 potential jurors. Five of the first 12 were African-American and, after counsel had examined them, challenges were exercised. No jurors were excused for cause. The prosecution struck five jurors peremptorily, four African-Americans and one of Asian ancestry. Defense counsel struck the one remaining African-American and three non-African-Americans. Defense counsel then objected to the prosecution’s use of peremptories to exclude the four African-Americans. The court failed to rule on the objection and jury selection continued until the end of the day. The remaining four potential jurors in the original panel of 16 were then chosen without objection. Two of the four were African-American.
The next day, defense counsel renewed his objection, amplifying his claim of discrimination by asserting that two of the African-Americans the prosecution excluded were "pro-prosecution” because they had ties to law enforcement: one was the girlfriend of a police officer and a crime victim and the other was a security supervisor in charge of preventing crime. The Assistant District Attorney did not deny counsel’s statement but noted two African-Americans had been selected to sit from the four jurors questioned after the objection had been made. Based upon this, the court determined that there had been no attempt to systematically exclude African-Americans. Defense counsel did not renew his Batson objection thereafter and ultimately it appears that five of the selected jurors were African-American, with an additional African-American person sitting as an alternate.
The Appellate Division, First Department, affirmed, noting that the jury as chosen consisted of at least five African-Americans and finding that defendant had failed to establish a prima facie case that the prosecutor exercised peremptory challenges in a purposefully discriminatory manner (People v Bolling,
People v Steele
The same process was used for jury selection in Steele. Of
On appeal, the Appellate Division affirmed the judgment, finding defendant had failed to establish a prima facie case of purposeful discrimination. The court emphasized that, although three African-Americans were excluded, three others were not challenged by the prosecution (People v Steele,
Defendant Steele rests her claim of discrimination on the selection process prior to the third objection, after 21 prospective jurors had been examined. At this point, the prosecution had exercised three of four peremptory challenges to exclude three of six African-Americans.
There are no fixed rules for determining what evidence will give rise to an inference sufficient to establish a prima facie
Because we have no record of the questions posed during voir dire in these cases, our determination must rest upon the claimed discriminatory pattern of strikes as they relate to the prospective jurors examined and the few facts developed during colloquy.
In Bolling, the prosecution exercised five peremptory challenges, four to exclude African-American members of the venire. African-Americans comprised 42% of the 12 prospective jurors, and 80% of them were excluded by the prosecution.
Defendant Steele also relies on a pattern of strikes. In her case, the prosecution struck three of the six African-Americans available. While the prosecutor exercised three of her four challenges against African-Americans, that alone is not sufficient to establish a pattern of exclusion of African-Americans. In the absence of a record demonstrating other facts or circumstances supporting a prima facie case, the defendant failed to establish a pattern of purposeful exclusion sufficient to raise an inference of discrimination.
We have considered the remaining issues raised by defendants and find none is a ground for reversal.
Accordingly, in People v Bolling the order of the Appellate Division should be modified by remitting to Supreme Court, New York County, for a hearing to afford the People an opportunity to provide racially neutral reasons for the exercise of their peremptory strikes. In the absence of such explanation, the judgment of conviction should be vacated and a new trial ordered. Should satisfactory explanation be provided by the People, the judgment of conviction should be amended to show that result (see, Batson v Kentucky,
Notes
This is not to say that if the strikes were proportionate to the number of African-Americans on the venire that there could be no pattern of strikes. Disproportionality is only one indicia of the discriminatory use of peremptory challenges.
Concurrence Opinion
(concurring). We concur in the result and in Judge Simons’ opinion, but write separately to express a broader concern and perspective.
The rationale of Bolling, however, along with the eight-year experience in this State with the effectiveness — or lack of same — of the Batson remedy, and the proliferation and permutation of problems in the appellate pipeline, point inexorably to the need for a broader remedy: the elimination of the peremptory challenge process. If the purpose, quoted above, is to be honored and achieved, then the euphemisms and the rationalizations should be ended. Peremptories have outlived their usefulness and, ironically, appear to be disguising discrimination — not minimizing it, and clearly not eliminating it. The time and circumstances warrant the Legislature addressing these important issues.
The process that requires courts to sift through counsel’s words for patterns or pretexts of discrimination has not served the goal of cutting the discriminatory weeds out of the jury selection process. Indeed, "[a]s much as and perhaps more than the decision in Swain [v Alabama,
Analytically, peremptories and race-neutral articulations present a quintessential and untenable dualism. A peremptory challenge by its nature should not have to be explained. CPL 270.25 opens with this sentence: "A peremptory challenge is an objection to a prospective juror for which no reason need be assigned.” Batson, of course, necessarily changed that. Yet,
Perversely, many varieties of discrimination, except the most overt, flagrant manifestations, appear to be surviving the scrutiny of the half-step Batson remedy. Time and experience with many cases have proven the prescience of Justice Marshall’s observations, concurring separately in Batson, that "[m]erely allowing defendants the opportunity to challenge the racially discriminatory use of peremptory challenges in individual cases will not end the illegitimate use of the peremptory challenge” because Batson leaves prosecutors "free to discriminate against blacks in jury selection provided that they hold that discrimination to an 'acceptable’ [or nonascertainable] level” (Batson v Kentucky, supra, at 105 [emphasis added]). Recognizing the inherent inadequacy of the remedy adopted in Batson to "eliminate” discrimination, Justice Marshall emphasized that "[a]ny prosecutor can easily assert facially neutral reasons for striking a juror, and trial courts are ill equipped to second-guess those reasons” (id., at 105-106). More troubling, "[e]ven if sill parties approach the Court’s mandate with the best of conscious intentions, that mandate requires them to confront and overcome their own racism on all levels” (id., at 106). Justice Marshall doubted they could meet that challenge, emphatically concluding that Batson would "not end the racial discrimination that peremptories inject into the jury-selection process” and that this goal will only be realized "by eliminating peremptory challenges entirely” (id., at 102-103). From the experience with our cases we, too, now see how correct Justice Marshall was.
Our Court, of course, has recognized and embraced the Supreme Court’s historic half-step Batson remedy (see, People v Jenkins,
The untenable duality of "arbitrary and capricious” peremptories (4 Blackstone, Commentaries, at 353; see, Batson v Kentucky,
The United States Supreme Court’s effort at a "middle ground” remedy in Batson, which establishes the goal of eliminating discriminatory jury selection while simultaneously preserving the common-law peremptory process, appears therefore to be disserving both interests (Serr and Maney, Racism, Peremptory Challenges, and the Democratic Jury: The Jurisprudence of a Delicate Balance, 79 J Crim L & Criminology 1, 2, 62 [1988]; see, Note, Batson v. Kentucky: A Half Step in the Right Direction, 72 Cornell L Rev 1026, 1038, 1046 [1987]). Considerable secondary, scholarly authorities since the Batson decision have focused on the inadequacy of its remedy and the need to eliminate or substantially alter the existing peremptory challenge system. Commentators have catalogued the veritable mine field of litigation generated by Batson, demonstrating that the effort to have it both ways has resulted in an "enforcement nightmare” (Pizzi, Batson v. Kentucky: Curing the Disease but Killing the Patient, 1987 Sup Ct Rev 97, 134).
The proliferation of Raison-generated trial court colloquies,
Moreover, the further procedural fragmentation of the already unduly lengthened jury selection process (see, People v Boulware,
Indeed, considerable commentary analyzing the inadequacies of the Batson remedy has similarly concluded that the existing peremptory challenge system needs reexamination with a view toward purging the jury process of this device which preserves and hides considerable invidious discrimination (see, McMillian and Petrini, Batson v. Kentucky: A Promise Unfulfilled, 58 U Mo KC L Rev 361, 374 [1990]; Gurney, The Case for Abolishing Peremptory Challenges in Criminal Trials, 21 Harv CR-CL L Rev 227, 244, 283 [1986]; Massaro, Peremptories or Peers? — Rethinking Sixth Amendment Doctrine, Images, and Procedures, 64 NC L Rev 501, 560-561
The United States Supreme Court’s continuing efforts to combat the corrosive problem of jury selection bias are instructive and demonstrate the dynamic nature of the remedial situation. Swain v Alabama (
We are persuaded to urge this fundamental reexamination of the peremptory challenge system because, even under Batson, we find peremptories to be "probably the single most significant means by which such prejudice and bias [are] injected into the jury selection system” (Imlay, Federal Jury Reformation: Saving a Democratic Institution, 6 Loy LA L Rev 247, 270 [1973]), which creates a great paradox and semantical subterfuge. To be sure, the peremptory system evolved to ensure a fair trial and impartial jury. But when such challenges "are perverted and transformed into tools of bias and racism, the reasons for peremptory challenges no longer exist, and they should be eliminated” (McMillian and Petrini, Batson v. Kentucky: A Promise Unfulfilled, 58 U Mo KC L Rev 361, 374 [1990]).
When a peremptory strike is no longer peremptory, by definition, because an explanation is required by Batson, and when a remedy is not a remedy because the remedy ironically defeats or suppresses the stated purpose, then strong measures — stronger measures than Batson — are needed (see and compare, Shelley v Kraemer,
Chief Judge Wachtler and Judges Kaye, Alexander, Ti-tone, Hancock, Jr., and Bellacosa concur with Judge Simons; Judge Bellacosa concurs in a separate opinion in which Chief Judge Wachtler and Judge Titone also concur.
In People v Bolling: Order modified and case remitted to Supreme Court, New York County, for further proceedings in accordance with the opinion herein and, as so modified, affirmed.
