237 Conn. 238 | Conn. | 1996
Lead Opinion
Federal and state constitutional law prohibit peremptory challenges of jurors if such challenges are racially motivated. The principal issue in this certified appeal is the identification of the point in time during the jury selection process at which a litigant must voice an objection to a peremptory challenge that allegedly was based on race. After a jury trial, the defendant, Shawn Robinson, was convicted of two counts of assault in the second degree in violation of General Statutes (Rev. to 1987) § 53a-60.
The defendant has not challenged, either in the Appellate Court or in this court, the sufficiency of the evidence to sustain his convictions for assault in the second degree. The jury reasonably could have found, beyond a reasonable doubt, that, while the defendant was an inmate at the Manson Youth Correctional Facility in Cheshire, he struck and intentionally caused physical injury to two correctional officers who were engaged in the performance of their duties.
The only issue before us is the defendant’s claim that, in selecting the six person jury that convicted him of these assaults, the state improperly used its peremptory challenges in a racially discriminatory manner. The opinion of the Appellate Court describes the relevant facts. “Of the first thirty-eight venirepersons called for jury selection,
“Spruill was the second person voir dired and Perry the thirty-eighth person voir dired. The defendant did not object on the basis of Batson v. Kentucky, [476 U.S. 79, 106 S. Ct. 1712, 90 L. Ed. 2d 69 (1986)], immediately after the state used a peremptory challenge to excuse Spruill, but the defendant did object on that basis as
“The state asserted that it [had] excused Peny for two reasons. First, the state felt that a comment made by Perry, ‘it takes two to fight,’ indicated that Perry would be lenient about fights and that Perry thought that no one was solely at fault for a fight. Second, the state was concerned with the fact that Perry had a fourth grade education, whereas the other jurors that had been selected had at least high school educations. The state was asked by the court if it wanted to put anything on the record as to Spruill, and the state declined, stating that the defendant had not made a Batson claim as to her immediately following her voir dire. The court did not require the state to put on the record its reasons for excusing Spruill.
“When the defendant requested a ruling on his motion to dismiss the venire panel because of the exclusion of both Peny and Spruill, the court stated that it was premature to rule because not enough had developed for it to be able to find any prejudice. The defendant continued to argue his claim on statistical grounds, raising the fact that the state had struck ‘a hundred percent of the people in the cognizable [racial] group,’ and that the state had, therefore, excused a disproportionate number of black venirepersons.
“The court found that the state’s reasons for the challenge of Perry were not pretexts and inferentially that the defendant had not satisfied his burden of proof that the striking of Perry was racially motivated.
“The court never specifically ruled on the defendant’s motion to dismiss the entire venire panel but implicitly denied it because it found the peremptory challenge as to Perry [had not been] racially motivated and that no Batson hearing was needed as to the peremptory challenge of Spruill because the defendant’s claim as to her was untimely. After the trial . . . had concluded, the defendant filed a motion for a new trial based on his Batson claims. The court denied that motion.” State v. Robinson, supra, 38 Conn. App. 605-606.
On the issue of law concerning the proper timing for & Batson challenge, the Appellate Court concluded that, in order to avoid a finding of waiver, a defendant must object to the state’s use of a peremptory challenge on equal protection grounds “at that point in the voir dire proceedings when the possibility of purposeful discrimination became or should have become apparent.” Id., 615. In light of this conclusion, the Appellate Court remanded this case to the trial court for a hearing to determine whether the defendant had objected in a timely manner. Id., 615-16, 621.
For future cases, the Appellate Court exercised its supervisory powers to establish a rule requiring contemporaneous notice. As articulated by the Appellate Court, the proposed contemporaneous notice procedure would require a defendant, whenever the state exercised a peremptory challenge, to alert the trial court and the state that, at some later time, the defendant might raise a Batson claim with reference to the propriety of that peremptory challenge. The defendant would then be required to raise a plenary claim that a peremptory challenge had not been racially neutral, as soon as he or she had become aware, or should have become
The defendant appeals from the Appellate Court’s disposition of his Batson claim. He argues that any requirement that a Batson claim must be raised at the moment a defendant becomes aware or should become aware of a possible equal protection violation impairs his equal protection rights under the fourteenth amendment to the United States constitution.
“In Batson v. Kentucky, [supra, 476 U.S. 79,] the United States Supreme Court recognized that a claim
“Once a criminal defendant asserts a Batson claim, the prosecution must advance a neutral explanation for the venireperson’s removal. . . .
A defendant may waive his or her equal protection right to be free of improperly motivated peremptory challenges. See State v. Patterson, 230 Conn. 385, 392, 645 A.2d 535 (1994), on appeal after remand, 236 Conn. 561, 674 A.2d 416 (1996). “As the United States Supreme Court has stated, [n]o procedural principle is more familiar to this Court than that a constitutional right may be forfeited in criminal as well as civil cases by the failure to make timely assertion of the light. Peretz v. United States, 501 U.S. 923, 936-37, 111 S. Ct. 2661, 115 L. Ed. 2d 808 (1991), quoting Yakus v. United States, 321 U.S. 414, 444, 64 S. Ct. 660, 88 L. Ed. 2d 834 (1944).” (Internal quotation marks omitted.) State v. Patterson, supra, 393.
A defendant can be deemed, however, to have waived the equal protection right to be free of racially motivated peremptory challenges by failing to assert that right only if he or she has had access to sufficient information to support the equal protection claim. See generally Johnson v. Zerbst, 304 U.S. 458, 464, 58 S. Ct. 1019, 82 L. Ed. 1461 (1938) (“waiver is ordinarily an intentional
In determining the time at which a defendant has access to the information that he or she needs in order to decide whether to pursue a Batson claim, we must consider the procedure by which a jury is selected from a venire panel.
Our constitutional and statutory law permit each party, typically through his or her attorney, to question each prospective juror individually, outside the presence of other prospective jurors, to determine the venireperson’s fitness to serve on the jury. Conn. Const., art. I, § 19; General Statutes § 54-82f; Practice Book § 848.
In light of our jury selection system and the information necessary for the defendant to prevail on a Batson claim, we conclude that such a claim is timely, and has not been waived, if the defendant raises it at any time before the jury is sworn.
The state contends that allowing a defendant to defer raising a Batson claim until just before the jury is sworn will increase the difficulty of preserving an adequate record for appellate review because counsel and the trial court may have forgotten details of each individual voir dire. See, e.g., United States v. Dobynes, 905 F.2d 1192, 1197 (8th Cir.), cert. denied, 498 U.S. 877, 111 S. Ct. 206, 112 L. Ed. 2d 167 (1990). We disagree. We recognize that the parties may need to take detailed notes regarding the circumstances of and their reasons for each peremptory challenge, but we are not persuaded that the burden of such note-taking will be unreasonable. The parties have an opportunity to place on the record, at any time, all information that is reasonably pertinent to potential Batson claims. Indeed, if the hearing is held after voir dire has been completed, more information is available to the parties than at any earlier time in the proceeding.
The state further contends that a rule resolving Bat-son claims after the completion of the voir dire is impractical. The state maintains that a juror who has been peremptorily challenged earlier in the voir dire would most likely have been released from jury duty, under our “one-day, one-jury” system, by the time the jury is ready to be sworn.
In summary, we hold that a defendant may object to the state’s peremptory challenge on Batson equal protection grounds at any time prior to the swearing of the jury. In the present case, because the defendant objected to the state’s peremptory challenge of venireperson Spruill before the jury had been sworn, the defendant’s objection was timely. The trial court, therefore, improperly failed to hold a hearing on the defendant’s Batson claim.
Our conclusion that the trial court improperly failed to hold a Batson hearing requires us to decide what the proper remedy shall be. There are two alternatives. We could direct a limited remand, ordering the trial court to conduct a hearing now to determine whether the state’s peremptory challenge was racially moti
Under the circumstances of the present case, we conclude that a new trial is the more appropriate remedy. Five years have passed since the voir dire. The state, moreover, did not place its reasons for striking the venireperson on the record at the time of the voir dire. We are persuaded, therefore, that there is “no reasonable possibility that the circumstances surrounding [the voir dire] can be reconstructed fairly . . . .” Mejia v. State, 328 Md. 522, 541, 616 A.2d 356 (1992) (remanding for limited hearing but noting that trial court may order new trial if it cannot make necessary findings). It is “unrealistic to believe that the prosecutor could now recall in [great] detail his reasons for the exercise of the peremptory [challenge] in issue, or that the trial judge could assess those reasons, as required, which would demand that [she] recall the circumstances of the case, and the manner in which the prosecutor examined the venire and exercised his other challenges.”
The judgment of the Appellate Court is reversed and the case is remanded to that court with direction to remand the case to the trial court for a new trial.
In this opinion BERDON, NORCOTT and KATZ, Js., concurred.
General Statutes (Rev. to 1987) § 53a-60 provides in relevant part: “Assault in the second degree: Class D felony, (a) A person is guilty of assault in the second degree when ... (5) he is in the custody of the commissioner of correction, confined in any institution or facility of the department of correction, or is a parolee from a correctional institution and with intent to cause physical injury to an employee of the department of correction or an employee or member of the board of parole, he causes physical injury to such employee or member. ...”
We granted the defendant’s petition for certification to appeal, limited to the following issue: “Whether, under the state or federal constitution, a Batson objection must be made immediately following the voir dire of the challenged venireperson lest it be waived?” State v. Robinson, 235 Conn. 917, 665 A.2d 609 (1995). “Batson” refers to Batson v. Kentucky, 476 U.S. 79, 106 S. Ct. 1712, 90 L. Ed. 2d 69 (1986).
“Sixty-eight venirepersons were questioned before a jury was selected.” State v. Robinson, supra, 38 Conn. App. 605 n.3.
We do not review the propriety of the trial court’s ruling that the state did not exercise its peremptory challenge improperly when it challenged Perry because that ruling is outside the scope of the certified question.
The fourteenth amendment to the United States constitution provides in relevant part: “No State shall . . . deny to any person within its jurisdiction the equal protection of the laws.”
Because the defendant has not provided a separate and distinct analysis of his equal protection claim under the state constitution, we address only his federal constitutional claim. See State v. Hinton, 227 Conn. 301, 322 n.23, 630 A.2d 593 (1993); State v. Gonzalez, 206 Conn. 391, 393-94 n.2, 538 A.2d 210 (1988).
The procedure adopted by the United States Supreme Court in Batson v. Kentucky, supra, 476 U.S. 96-97, requires the defendant to prove a prima
The United States Supreme Court has expressly not determined the point in time by which a criminal defendant must raise a Batson claim. See Ford v. Georgia, 498 U.S. 411, 423, 111 S. Ct. 850, 112 L. Ed. 2d 935 (1991); Batson v. Kentucky, supra, 476 U.S. 99 and n.24. The court “recognized that local practices would indicate the proper deadlines in the contexts of the various procedures used to try criminal cases, and . . . left it to the trial courts, in their wide Variety of jury selection practices,’ to implement Batson in the first instance.” Ford v. Georgia, supra, 423.
The record reveals that the procedure herein outlined was followed by the trial court and the parties in this case, except that the state and the defendant were each allowed to exercise eight peremptory challenges. See footnote 10.
The constitution of Connecticut, article first, § 19, as amended by article four of the amendments, provides in relevant part: “The right to question each juror individually by counsel shall be inviolate.”
General Statutes § 54-82Í provides in relevant part: “Voir dire examination. In any criminal action tried before a jury, either party shall have the right to examine, personally or by his counsel, each juror outside the presence of other prospective jurors as to his qualifications to sit as a juror in the action, or as to his interest, if any, in the subject matter of the action, or as to his relations with the parties thereto. If the judge before whom the examination is held is of the opinion from the examination that any juror would be unable to render a fair and impartial verdict, the juror shall be excused by the judge from any further service upon the panel, or in the action, as the judge determines. The right of such examination shall not be abridged by requiring questions to be put to any juror in writing and submitted in advance of the commencement of said action.”
Practice Book § 848 provides in relevant part: “Voir Dire Examination
“Each party shall have the right to examine, personally or by his counsel, each juror outside the presence of other prospective jurors as to his qualifications to sit as a juror in the action, or as to his interest, if any, in the subject matter of the action, or as to his relations with the parties thereto. If the judicial authority before whom such examination is held is of the opinion from such examination that any juror would be unable to render a fair and impartial verdict, such juror shall be excused by the judicial authority from any further service upon the panel, or in such action, as the judicial authority determines. The right of such examination shall not be abridged by requiring questions to be put to any juror in writing and submitted in advance of the commencement of the trial.”
Apparently, Connecticut is the only state in which individual voir dire of each venireperson is conducted outside the presence of the other venirepersons.
Each party has a right to peremptory challenges secured by the Connecticut constitution. The constitution of Connecticut, article first, § 19, as amended by article four of the amendments, provides in relevant part: “In all civil and criminal actions tried by a jury, the parties shall have the right to challenge jurors peremptorily, the number of such challenges to be established by law. ...”
The number of peremptory challenges is set by statute. General Statutes § 54-82g provides: “Peremptory challenges in criminal prosecution. The accused may challenge peremptorily, in any criminal trial before the superior court for any offense punishable by death, twenty-five jurors; for any offense punishable by imprisonment for life, fifteen jurors; for any offense the punishment for which may be imprisonment for more than one year and for less than life, six jurors; and for any other offense, three jurors. In any criminal trial in which the accused is charged with more than one count on the information or where there is more than one information, the number of challenges is determined by the count carrying the highest maximum punishment. The state, on the trial of any criminal prosecution, may challenge peremptorily the same number of jurors as the accused.”
Practice Book § 849 implements § 54-82g by providing: “The prosecuting authority and the defendant may challenge peremptorily the number of jurors which each is entitled to challenge by law.”
All states apparently either follow a variant of this jury selection method or have a “struck jury system.” See Swain v. Alabama, 380 U.S. 202, 211, 217, 85 S. Ct. 824, 13 L. Ed. 2d 759 (1965); A.B.A., Standards Relating to Juror Use and Management (1993) pp. 82-83; V. Starr & M. McCormick, Jury Selection: An Attorney’s Guide to Jury Law and Methods (2d Ed. 1993) § 2.12.
Our decision is in accordance with decisions of the lower federal courts and our sister states. Although other courts use a somewhat different jury selection method than the one used in Connecticut; see footnote 11; most courts consider a Batson claim to be timely if it is raised prior to the swearing of the jury or the dismissal of the venire. See, e.g., McCrory v. Henderson, 82 F.3d 1243, 1249 (2d Cir. 1996); United States v. Romero-Reyna, 867 F.2d 834, 837 (5th Cir. 1989); Government of Virgin Islands v. Forte, 806 F.2d 73, 75-76 (3d Cir. 1986); United States v. Erwin, 793 F.2d 656, 666-67 (5th Cir. 1986); Ross v. State, 581 So. 2d 495, 496 (Ala. 1991); State v. Harris, 157 Ariz. 35, 36, 754 P.2d 1139 (1988) (en banc); Pacee v. State, 306 Ark. 563, 567, 816 S.W.2d 856 (1991); Tursio v. United States, 634 A.2d 1205, 1209-10 (D.C. 1993); State v. Castillo, 486 So. 2d 565 (Fla. 1986); State v. Sparks, 257 Ga. 97, 98, 355 S.E.2d 658 (1987); People v. Evans, 125 Ill. 2d 50, 61-62, 530 N.E.2d 1360 (1988), cert. denied, 490 U.S. 1113, 109 S. Ct. 3175, 104 L. Ed. 2d 1036 (1989); Simmons v. Commonwealth, 746 S.W.2d 393, 397-98 (Ky. 1988), cert. denied, 489 U.S. 1059, 109 S. Ct. 1328, 103 L. Ed. 2d 596 (1989); Stanley v. State, 113 Md. 50, 69, 542 A.2d 1267 (1988); Thomas v. State, 517 So. 2d 1285, 1287-88 (Miss. 1987); State v. Parker, 836 S.W.2d 930, 935-36 (Mo.) (en banc), cert. denied, 506 U.S. 1014, 113 S. Ct. 636, 121 L. Ed. 2d 566 (1992); State v. Gilmore, 103 N.J. 508, 535, 511 A.2d 1150 (1986); State v. Wilson, 117 N.M. 11, 868 P.2d 656, 661 (1993); People v. Harris, 151 App. Div. 2d 961, 542 N.Y.S.2d 411 (1989); State v. Jones, 293 S.C. 54, 58, 358 S.E.2d 701 (1987); State v. Peck, 719 S.W.2d 553, 555 (Tenn. Crim. App. 1986); Taylor v. State, 825 S.W.2d 212, 214 (Tex. App. 1992) (by statute).
Apparently, only Indiana and Louisiana courts require a Batson claim to be raised at the time that the peremptory chaUenge is exercised. See Chambers v. State, 551 N.E.2d 1154, 1158 (Ind. App. 1990) (provided as alternate ground for decision without analysis); State v. Aubrey, 609 So. 2d 1183, 1185 (La. App. 1992) (emphasizing fact that jurors struck early in process may no longer be available). California courts have held that when a struck jury system is used, a party must object before the selection of jurors, including alternate jurors, has been completed; see People v. Gore, 18 Cal. App. 4th
The fact that a Batson claim may be raised at any time until the end of voir dire does not, of course, require counsel to wait until that time. In the interest of judicial economy, we urge the parties to raise such claims as soon as they are confident that they have a record that is adequate for the Batson claim to be fairly adjudicated.
We are persuaded that it would serve no useful purpose to impose a contemporaneous notice requirement that would deem a Batson claim to be waived unless a party alerted the court of the possibility of such a claim immediately after a peremptory challenge had been exercised. If such a requirement were adopted, the path of prudence, to avoid the risk of waiver, would be to alert the court of a possible Batson claim after each peremptory challenge. The interests of judicial economy would not be served by such automatic reservations of Batson claims.
Prospective jurors generally serve only one day unless they are called back to complete voir dire or are selected for a jury. General Statutes § 51-238a provides: “Length of term of service as juror. The length of the term of service for jurors shall be one day except that (1) if a juror is impaneled
We note that, on its face, this statute does not preclude a trial court from recalling an improperly challenged juror either for further questioning or for service on the jury “if the court otherwise orders.”
We note that it always would be difficult for a defendant or the state to reconstruct the reasons for challenging a particular venireperson, and for the trial court to evaluate those reasons, even if, as here, a transcript of the voir dire proceedings is available. A prosecutor, when exercising a peremptory challenge to remove a venireperson, “may legitimately [base that decision] not only on answers given by the prospective juror to questions posed on voir dire, but also on the prosecutor’s observations of the prospective juror. An impression of the conduct and demeanor of a prospective
Concurrence in Part
concurring in part, dissenting in part. Although I agree with the majority’s conclusion that “a party has timely raised an equal protection objection to the use of a peremptory challenge if that claim is brought to the attention of the trial court before the jury has been sworn,” I do not agree that this case, at least initially, should be remanded for a new trial. I believe rather that the appropriate remedy is a remand to the trial court so that the state may attempt to offer a neutral explanation for its challenge of Lisa Spruill. The defendant then may seek to prove by a preponder
Rather than presuming that an effective Batson hearing cannot be conducted despite the fact that the entire voir dire, including that of the sole venireperson in question, has been transcribed fully,
In short, I do not believe that we should assume that the record cannot be reconstructed to permit a Batson hearing that is fair to both the state and the defendant. To do so seems to me to usurp the trial court’s function and to require a costly new trial when such a step may be unnecessary. Despite the lapse of time since the voir dire, the trial court may be fully capable of affording the defendant a proper Batson hearing. I would remand the case to the trial court for that determination.
Each of the three cases cited by the majority in which Batson-type cases were remanded for new trials is distinguishable. In People v. Snow, 44 Cal. 3d 216, 746 P.2d 452, 242 Cal. Rptr. 477 (1987), the California Supreme Court conducted an independent examination of the record, noting that the trial court had expressed “serious suspicions” about the prosecutor’s use of peremptory challenges to exclude six African-American venirepersons; id., 226; and noting the fact that “several [bjlack venirepersons were excused after giving seemingly routine, acceptable responses to the prosecutor’s questions.” Id., 223. The California attorney general had even conceded on appeal that the record revealed no “apparent” reason for excusing three of the six venirepersons in question. Id. Lastly, at trial, the prosecutor attempted to justify his systematic removal of African-American venirepersons by suggesting that such a practice was fair play because the defendant was systematically excluding Caucasians. Id., 224. In Tursio v. United States, 634 A.2d 1205, 1207-1209 (D.C. 1993), the defendant made a motion for a new trial on Batson grounds and the prosecution responded with a written account of its reasons for each of the nine peremptory challenges questioned by the defendant. The trial court accepted the prosecutor’s explanations and concluded that there had been no Batson violation. The District of Columbia Court, of Appeals concluded that the trial court had erred in accepting the prosecutor’s explanations because “[t]he inherent logic and credibility of the prosecutor’s individual explanations as to each stricken venireperson are not sufficient, taken only by themselves, to rebut such a prima facie case of racial discrimination when prospective jurors of several races who appear to be similarly situated — based on their answers to questions during voir dire — are accepted or rejected for jury service by apparent reference to race.” Id., 1212. Finally, in People v. Scott, 70 N.Y.2d 420, 426, 516 N.E.2d 1208, 522 N.Y.S.2d 94 (1987), the New York Court of Appeals determined that an attempt to conduct a meaningful Batson hearing would have been futile because the judge who had tried the case had since left the County Court bench and the voir dire had not been transcribed.
The transcript of Spruill’s voir dire reveals a potentially nondiscriminatory reason for the state’s exercise of a peremptory challenge. Spruill gave some indication that she might be unwilling to change her mind during deliberations despite any arguments and opinions of other jurors:
“[The State:] Now, how are you [at] interacting with other groups of people? Think you can do that? If you were selected and had to talk to five other people on the jury?
*258 “[lisa Spruill:] Yes.
“Q. Now, suppose five of those people were voting one way regardless of which way it is. And you feel the opposite way. Would you stick to your guns?
“A. Yes.
“Q. Would you try to get them to listen to you?
“A. Yes.
“Q. Would you listen to them?
“A. Yes.
“Q. Would you change your mind based on the mere fact that five people feel differently than you?
“A. No.
“Q. Okay. Would you change your mind if they brought up some testimony or evidence that swayed you?
“A. No.
“Q. You wouldn’t change your mind at all?
“A. No, I wouldn’t.
“Q. You wouldn’t [be] open for discussion?
“A. Open for discussion but I wouldn’t change my mind.
“Q. Let’s explore this a little further. Suppose you were voting one way and five people voting the opposite way. Now, you listened] to everything that went on. The state’s witnesses, the defense witnesses, if any. Now you made up your mind. These five people say, ‘What about this?’ They brought up something in a different light and they analyze the fact in a different way. Do you think anything they said would make you reconsider and change?
“A. Possibly.
“Q. So you would keep an open mind.
“A. Yes.”