Opinion
The dispositive issue in this direct appeal is whether the denial of a defendant’s request to exercise a peremptory challenge of a venireperson, who served
The record discloses the following facts and procedural history. The defendant was charged with the murder of Jenny McMechen in violation of General Statutes § 53a-54a (a) and criminal possession of a firearm by a person previously convicted of a felony in violation of General Statutes § 53a-217 (a) (1). During the trial, although there were no eyewitnesses to the murder, the juiy heard from several state’s witnesses who, in their descriptions of the defendant’s whereabouts on the night in question, placed him coming and going from the house where the victim was shot. Additionally, these witnesses testified that, when the defendant entered the house, he was in possession of a firearm, that they heard him call the victim’s name, followed by gunshots, and that later that night and the next day he admitted to the shooting. The jury also learned that the defendant and the victim had been in a relationship for more than one year and that the victim was thirty-six weeks pregnant at the time of her death. The defendant presented no witnesses.
Following the trial court’s denial of the defendant’s motion for judgment of acquittal on the criminal posses
Because the sole issue on appeal concerns legal rulings made during the jury selection process, we highlight the following additional facts reflected in the record. Twelve jurors and four alternates ultimately were selected to serve on the defendant’s jury. The advanced stage of the victim’s pregnancy at the time of her death was a significant subject of voir dire. During the third day of jury selection, the state objected to the defendant’s exercise of his eighth peremptory challenge, alleging that he unlawfully had been exercising his peremptory challenges with the intent of excluding women from serving on his jury in violation of
Batson
v.
Kentucky,
The defendant argued that he should not be required to articulate a gender neutral reason for excusing the juror. Following a brief argument on what standard should be applied before requiring the defendant to state his reasons for exercising a peremptory challenge, 2 the trial court allowed the defendant to excuse the juror without any explanation, indicating that it would see how things developed with the next three jurors.
The next venireperson to be questioned was E.W., a female, against whom the defendant also exercised a peremptory challenge. Again, the state objected, claiming a
Batson
challenge based on gender, and the defendant again argued that he should not be required to articulate a gender neutral reason for excusing the juror, suggesting as a remedy that the court instead impanel the female venireperson whom the state had challenged the previous day. The trial court noted that the state justifiably had excluded that female juror in light of her difficult disposition, but allowed the defen
On December 9, 2003, of the fourteen females on the venire panel, the court excused seven for cause without questioning. Of the six females who were fully voir dired, the court excused three for cause, the state exercised its peremptory challenges as to two others and the defendant attempted to exercise a peremptory challenge as to the sixth female venireperson, L.S., after the court had denied the defendant’s attempt to challenge her for cause. Claiming its right to invoke the equal protection clause of the fourteenth amendment to the federal constitution to limit the defendant’s use of his peremptory challenge to excuse L.S., the state again objected to the defendant’s challenge. The trial court ruled that it would adhere to Connecticut practice, which does not require the party raising such an objection to make a showing of purposeful discrimination before requiring the party seeking to exercise the peremptory challenge to provide a gender neutral explanation for the challenge. The court then found that the defendant had excluded seven females through the use of his peremptory challenges and that the state had established a prima facie case of discrimination. Accordingly, the court ordered the defendant “to advance a nondiscriminatory explanation for [L.S.’s] removal .... [Thereafter], the state will have the opportunity to demonstrate that the explanation is [pretextual] or otherwise insufficient. The state bears the
By December 10, 2003, eleven males and one female had been impaneled to seive as jurors, and two females and one male had been selected to serve as alternates. That day, both the state and the defendant exercised one peremptory challenge against prospective alternate male jurors, and the defendant, after being required by the court to state a gender neutral reason, exercised a challenge to a prospective alternate female juror, L.W. With one more alternate juror to select, the defendant questioned another female venireperson, K.N., against whom he also tried to exercise a peremptory challenge. Without any instigation by the state, the court required the defendant to provide a “gender neutral explanation . . . .” Over objection, the defendant provided two reasons, the primary one being that he personally had sensed some hostility from K.N.
4
The state disagreed
On appeal, the defendant first contends that the trial court unnecessarily engaged in the first step of the
Batson
analysis when concluding that the state had established aprima facie case of gender discrimination. He acknowledged both that he failed to object to this alleged procedural flaw and that this determination would not constitute a significant impropriety had the court not thereafter determined that the defendant’s reasons for striking K.N. were not sufficient. It is the conclusion by the trial court—that the defendant’s rea
The state responds that, even if the trial court had believed that the defendant thought venireperson K.N. had indeed been hostile toward him, 6 the court nevertheless properly determined, based in part on the number of female venirepersons the defendant had removed already, that the stated reason for the challenge was pretextual. The state also maintains that, even if the trial court improperly rejected the defendant’s exercise of his challenge, the impropriety was harmless in light of the fact that K.N. remained an alternate juror and never was called to serve. Even if we were to assume, arguendo, that the trial court improperly required K.N. to be seated, we agree with the state that the impropriety is subject to a harmless error analysis and that, because K.N. remained an alternate, the error was harmless.
Before addressing the merits of the defendant’s claim, we set forth the well established legal principles that
“Under Connecticut law, [o]nce a [party] asserts a
Batson
claim, the [opposing party] must advance a neutral explanation for the venireperson’s removal. . . . The [party asserting the
Batson
claim] is then afforded the opportunity to demonstrate that the [opposing party’s] articulated reasons are insufficient or pretextual. . . . [T]he trial court then [has] the duty to determine if the [party asserting the
Batson
claim] has established purposeful discrimination. . . . The [party asserting
“We have identified several specific factors that may indicate that [a party’s removal] of a venireperson through a peremptory challenge was . . . motivated [by race or gender]. These include, but are not limited to: (1) [t]he reasons given for the challenge were not related to the trial of the case ... (2) the [party exercising the peremptory strike] failed to question the challenged juror or only questioned him or her in a perfunctory manner ... (3) prospective jurors of one race [or gender] were asked a question to elicit a particular response that was not asked of the other jurors ... (4) persons with the same or similar characteristics but not the same race [or gender] as the challenged juror were not struck ... (5) the [party exercising the peremptory strike] advanced an explanation based on a group bias where the group trait is not shown to apply to the challenged juror specifically . . . and (6) the [party exercising the peremptory strike] used a disproportionate number of peremptory challenges to exclude members of one race [or gender]. . . .
“In assessing the reasons proffered in support of the use of a peremptory challenge . . . [a]n explanation . . . need not ... be pigeon-holed as wholly acceptable or wholly unacceptable . . . and even where the acceptability of a particular explanation is doubtful, the inquiry is not at an end. In deciding the ultimate issue of discriminatory intent, the judicial officer is entitled to assess each explanation in light of all the other evidence relevant to [a party’s] intent. The [judicial] officer may think a dubious explanation undermines the bona fides of other explanations or may think that the sound explanations dispel the doubt raised by a questionable one.
“Finally, the trial court’s decision on the question of discriminatory intent represents a finding of fact that will necessarily turn on the court’s evaluation of the demeanor and credibility of the attorney of the party exercising the peremptory challenge. . . . Accordingly, a trial court’s determination that there has or has not been intentional discrimination is afforded great deference and will not be disturbed unless it is clearly erroneous. ... A finding of fact is clearly erroneous when there is no evidence in the record to support it ... or when although there is evidence to support it, the reviewing court on the entire evidence is left with the definite and firm conviction that a mistake has been committed.” (Internal quotation marks omitted.)
State
v. Peeler, supra,
In considering the nature of a claimed constitutional violation, although typically such violations are reviewed for harmless error, there is a limited class of violations that we review for structural error. “Structural [error] cases defy analysis by harmless error standards because the entire conduct of the trial, from beginning to end, is obviously affected .... These cases contain a defect affecting the framework within which the trial proceeds, rather than simply an error in the trial process itself. . . . Such errors infect the entire trial process . . . and necessarily render a trial fundamentally unfair .... Put another way, these errors deprive defendants of basic protections without which a criminal trial cannot reliably serve its function as a vehicle for determination of guilt or innocence . . . and no criminal punishment may be regarded as fundamentally fair.” (Internal quotation marks omitted.)
State
v.
Lopez,
We assume without deciding that the trial court, having found the defendant’s gender neutral explanation for his peremptory challenge to be credible, improperly required juror K.N. to be seated. As the discussion that follows demonstrates, we need not make such a determination because, even if the defendant could prevail as to that first step in our analysis, he cannot prevail under the second step. Accordingly, we turn to the second step, namely, whether that impropriety is a per se reversible, structural error or whether it is subject to a harmless error analysis and, if the latter, whether, because the juror remained an alternate, the error was harmless.
The defendant contends that, “[b]ecause the issue is one of jury selection—that the defendant was required to try his case to a jury which included an individual who properly should have been the subject of his constitutionally protected exercise of a peremptory challenge—the error is structural in nature . . . .” He relies
The defendant’s reliance on
Tankleff,
however, is misplaced. In that case, the record before the Second Circuit suggested a prima facie
Batson
violation in that the trial court had refused to allow the defendant to object to the state’s attempts to strike the only three African-American venirepersons because the defendant was not of the same race as the challenged jurors.
8
Tankleff
v.
Senkowski,
supra,
There are cases holding that structural error analysis is appropriate when addressing a case in which the trial court refused to allow the defendant to exercise a challenge to a juror who ultimately was seated and not excused. See, e.g.,
United States
v. McFerron,
The judgment is affirmed.
In this opinion the other justices concurred.
Notes
The defendant appealed directly to this court pursuant to General Statutes § 51-199 (b), which provides in relevant part: “The following matters shall be taken directly to the Supreme Court ... (3) an appeal in any criminal action involving a conviction for a capital felony, class A felony, or other felony, including any persistent offender status, for which the maximum sentence which may be imposed exceeds twenty years . . . .”
The defendant argued to the trial court that a higher standard than that applied to prosecution challenges should be applied before a defendant is required to provide reasons for exercising his peremptory challenges, requiring that the state prove beyond a reasonable doubt that the defense challenge was based on gender. The state countered that the defendant had not proffered “any legal reason why he should not be required to set forth a gender neutral explanation for the exercise of the peremptory [challenge].”
The defendant described Ms process for deciding whether to challenge L.S., citing several factors. With respect to one factor in his considerations— how a juror would react in light of the fact that victim was thirty-six weeks pregnant—the defendant stated that he wanted to exclude from the jury persons “who have strong communal, nurturing], and maternal feelings.” He wanted jurors who were, “cold, emotionless” people. As the defendant described it, he wanted as a juror the type of person who would be annoyed by a crying, lost two year old child at a supermarket, not the type of person who would help the child. L.S. had stated during voir dire that the victim’s pregnancy would be emotional for her. The court concluded that the defendant’s proffered reasons for excluding L.S. generally were not pretextual— she knew two of the potential witnesses, had work conflicts with serving as a juror and expressed concern about dealing with the victim’s pregnancy— and thus expressly declined to address the defendant’s rationale as to excluding jurors with maternal feelings.
Defense counsel first explained: “Okay. [The defendant] feels that this lady does not like him. The way that her whole body language—she didn’t look at him throughout the course of this. He senses some hostility arising from her and just feels instinctively that this juror would be hostile toward Mm.
“But if that were to arise, that would always fall to the client’s views rather than my own. Just because I think that sitting in this seat you get a better sense of how someone feels about you than I can in talking with [the juror].”
Defense counsel asserted as his second reason for exercising aperemptory challenge to K.N. his desire to reach the next person on the venire panel, a female who he presumed to be of Chinese descent, a person with whom counsel believed he might be able to form a connection in the presentation of his case. Defense counsel explained that, “if I don’t exercise a challenge against this juror, I won’t be able to ever see the next juror.”
The defendant offered two facially gender neutral reasons for excluding K.N.; see footnote 4 of this opinion; but relies only on the first proffered reason in connection with this appeal.
The s1 ate also contends that the record does not support the defendant’s “feeling,” and, therefore, that his explanation for exercising a peremptory challenge, although neutral, was not valid.
The court also has extended the application of
Batson
to race based peremptory challenges made by criminal defendants. See
Georgia
v.
McCollum,
In
Tankleff
v.
Senkowski,
supra,
We note that there are, however, circumstances in which harmless error analysis may be appropriate even when the impropriety relates to the exclusion of jurors. See
State
v.
Ford,
