Lead Opinion
We issued a writ of certiorari in this criminal case to decide whether a trial court erred by denying a defendant’s motion for a new trial where the guilty verdicts were rendered by a jury which had never been sworn.
I.
On November 22, 2003, Michael Edwards was struck and killed by an automobile allegedly driven by Chester Harris. The State charged Harris with vehicular manslaughter under Maryland Code (2002), § 2-209 of the Criminal Law Article, and several related offenses. Harris’s trial in the Circuit Court for Baltimore City commenced on October 28, 2004.
After the judge conducted voir dire during the morning of October 28, the attorneys accepted the panel of jurors and one alternate juror. The judge then indicated to the attorneys at a bench conference that he planned to release the jury for lunch early so that he could hear the defense counsel’s motions. During this bench conference, the following exchange occurred:
“The Court: I will let this Jury go [to lunch].
*119 “The Clerk: Do you want me to swear them in first?
“The Court: Yes, I’ll have you swear them first. I’ll pick the forelady or foreman first, too.”
The judge chose the jury forelady and explained her duties. He then began to excuse the jurors before having them sworn. Defense Counsel repeated the clerk’s previous inquiry as to swearing the jury:
“Defense Counsel: Your Honor, is the Jury going to be sworn?
“The Court: They’re going to lunch. Why?
“Defense Counsel: I was just asking if they will be sworn. “The Court: They are excused until 1:30.”
The transcript does not reflect that the jury was sworn once they returned from lunch or that the jury was ever sworn thereafter. In a docket entry for October 28, 2004, the clerk entered “jury not sworn.” There is no docket entry indicating, over the course of the two day trial, that the jury was ever sworn. At the end of the second day, the jury returned a verdict of guilty on the counts submitted to it. Harris was sentenced to a total of fifteen years imprisonment.
Thereafter, Harris filed a motion for a new trial arguing, inter alia, that the Court did not swear the jury as required by Maryland Rule 4-312(h). The rule states as follows (emphasis added):
“(h) Impanelling the jury. The jurors and any alternates to be impanelled shall be called from the qualified jurors remaining on the list in the order previously designated by the court and shall be sworn. The court shall designate a juror as foreman.”
At the hearing on the motion for a new trial, the trial judge disputed Harris’s contention that jury was not sworn. The judge stated:
“The jury was sworn. What he’s talking about — I was trying to figure out what he was talking about there. The jury was sworn, but what happened is they came over on a day we actually didn’t start the trial until the next day.*120 And I hadn’t even voir dired the jury yet and we started over. He wanted me to swear — I didn’t know what he meant by it. But before the trial began, jury was sworn. So, I think that’s what he was referring to. My memory is backed up by the file.
“I’m not sure of the date, but like the 28th versus the 29th, when the case began, you requested that I swear them ahead of time and this was before the voir dire took place. I couldn’t reach them that day. We started the next day. That’s when the voir dire took place. That is when the jury was sworn.”
In response to the Judge’s statements, defense counsel explained as follows:
“As far as the chronology of the case, I would suggest to the Court that we selected a jury in the morning of the first day of trial. We concluded the selection at lunchtime. A lunch break was taken. Opening argument and testimony began in the afternoon upon our return from the lunch break. It was a two day trial where, at the close of that day, the trial continued to the next morning and that is when it concluded. The jury was not sworn. I viewed the transcript — I viewed the tape of this trial and prior to the luncheon break, I asked the Court to have the jury sworn and, according to the transcript, the Court’s response was the jury was going to lunch. And when we returned from the lunch break, the trial began, opening arguments began, and I don’t believe the jury was sworn.”
The judge denied Harris’s motion for a new trial, saying:
“I have considered the arguments of counsel and reread my notes with respect to the file. I do not have a transcript in which to refer to each item individually, only from my memory. I find that the evidence has been properly presented, that the jury was sworn and that the motion for a new trial is denied.”
Harris appealed to the Court of Special Appeals, arguing, inter alia, that the trial court erred in not swearing the jury.
The Court of Special Appeals did reject an argument by the State that Harris waived his objection to an unsworn jury by not raising the issue in a timely manner. In so holding, the intermediate appellate court explained that “we are satisfied that counsel’s two inquiries to the court regarding swearing of the jury were sufficient to negate the State’s waiver argument.” Harris, supra,
Harris filed in this Court a petition for a writ of certiorari, presenting the following two questions:
“1. Did the trial judge court err in not swearing the jury?
“2. Did the trial court unfairly restrict the defense closing argument by preventing counsel from arguing problems with eyewitness identification?
“Is Harris’s claim that the jury was not sworn waived where he did not bring it to the attention of the trial court until nine days after the jury returned its verdict and Harris was sentenced?”
We granted both the petition and the cross-petition. Harris v. State,
II.
There is a presumption of regularity which normally attaches to trial court proceedings, although its applicability may sometimes depend upon the nature of the issue before the reviewing court. See, e.g., United States v. Morgan,
In the present case, both the trial transcript and the docket entries rebut any presumption of regularity. The trial tran
The State and the Court of Special Appeals both relied on United States v. Pinero, supra,
The record in the present matter offers substantially more than the record in Pinero to establish that the jury was not sworn. The docket entries contain the affirmative statement that the jury was not sworn. The trial transcript also shows two inquiries from defense counsel regarding the unsworn jury, in addition to an inquiry from the courtroom clerk. It is also noteworthy that the transcript of the hearing on the motion for a new trial discloses that the prosecuting attorney made no argument to rebut defense counsel's contention that the jury had never been sworn. The prosecuting attorney, however, did make rebuttal arguments regarding all of defense counsel’s other arguments at the hearing.
The only thing contradicting the transcripts and the docket entries was the statement by the trial judge, “only from my memory,” that “the jury was sworn.” Under the State’s argument, neither the transcripts nor the docket entries can
In sum, we hold that any presumption of regularity was overcome in the present case. The jury in this case was never sworn.
III.
As earlier pointed out, Maryland Rule 4-312(h) mandates that the jury “shall be sworn.” The Rule represents the codification of a long-standing common law requirement.
Article 5 of the Maryland Declaration of Rights, in addition to providing generally that Marylanders are entitled to the common law, distinctly provides that Maryland inhabitants are entitled to trial by jury in accordance with the common law. The only exception to the right of a common law jury, under a 1992 constitutional amendment, is that juries of six or more persons are permitted in civil cases. See, e.g., Bryan v. State Roads Commission,
In addition, Article 21 of the Maryland Declaration of Rights requires, interalia, that in a criminal prosecution, the
“The required oath is not a mere ‘formality’ which is required only by tradition. The oath represents a solemn promise on the part of each juror to do his duty according to the dictates of the law to see that justice is done. This duty is not just a final duty to render a verdict in accordance with the law, but the duty to act in accordance with the law at all stages of trial. The oath is administered to insure that the jurors pay attention to the evidence, observe the credibility and demeanor of the witnesses and conduct themselves at all times as befits one holding such an important position. The oath is designed to protect the fundamental right of trial by an impartial jury.”
See also People v. Pelton, 116 Cal.App. Supp. 789, 792,
Consequently, the failure to administer the oath to the jurors in the case at bar was clearly error. We now turn to the State’s waiver and harmless error arguments.
IY.
This Court has not previously considered the issues of waiver and harmless error when there is either a complete failure to swear the jury or when the oath is belatedly administered to the jurors after the introduction of evidence has begun. Nevertheless, these issues have been extensively treated by appellate courts in our sister states.
In those states where the matter has been considered, the courts have, almost unanimously, held that the concepts of waiver and harmless error have no application when the jury was never sworn. On the other hand, several of the cases hold that, where the jury was belatedly sworn or there was some other defect in administering the oath, the failure to raise the issue in a timely manner constitutes a waiver. In addition, defects in connection with the administration of the oath have been deemed harmless error by some courts. See, e.g., Ex Parte Benford,
In situations where the jury was sworn, but where the administration of the oath to jurors did not occur before all or a substantial part of the evidence had been introduced, the cases appear to be in conflict with regard to the applicability of waiver and/or harmless error principles. Compare, e.g., People v. Pribble, supra,
We do agree with the great majority of cases that principles of waiver and harmless error are inapplicable when a jury in a criminal case has never been sworn. As previously discussed, the administration of the oath is an essential ingredient of a legally constituted jury and an impartial jury.
The State argues that, because many other rights associated with a trial by jury or other defects in the composition of the jury can be waived, the right to have a sworn jury should also be subject to waiver (State’s brief at 14-15). Several of the examples pointed to by the State (e.g., lack of opportunity to object to a particular juror for cause or a non-citizen being on the jury) do not involve fundamental constitutional rights. A sworn jury, however, is a necessary element for a legally constituted jury and an impartial jury, rights protected by Articles 5 and 21 of the Maryland Declaration of Rights. Moreover, the right to a legally constituted jury is different from many other constitutional rights associated with a jury trial, including the basic right to have a jury trial in criminal cases. When a defendant has waived his right to a jury trial, the defendant has nevertheless been tried by a legally authorized trier of fact, namely the trial judge. When a defendant has been tried and convicted by a jury which was not sworn, and therefore not legally constituted, the defendant has not been adjudged guilty by any authorized trier of fact. As numerous cases hold, such a verdict is a nullity.
Furthermore, even if we were to hold that a “jury trial” before a jury which was never sworn could be waived (and we
Turning to the matter of harmless error, the appellate courts in other states, almost unanimously, hold that the complete failure to swear the jury can never be harmless error. In this regard, a jury which has never been sworn falls into the same “structural error” category as a defective reasonable doubt instruction, the denial of a right to a jury trial, the total deprivation of counsel, discrimination in the selection of juries, etc. For a review of many errors of this type, see Judge Raker’s opinion for the Court in Redman v. State,
There is another reason why the harmless error principle is inapplicable when a jury in a criminal case is never sworn. For purposes of the protection against double jeopardy, in a jury trial jeopardy attaches “when the jury is empaneled and sworn.” Hubbard v. State,
Since the jury which convicted the petitioner Harris was never sworn, the convictions must be reversed.
JUDGMENT OF THE COURT OF SPECIAL APPEALS REVERSED AND CASE REMANDED TO THE COURT OF SPECIAL APPEALS WITH DIRECTIONS TO REVERSE THE JUDGMENTS OF THE CIRCUIT COURT FOR BALTIMORE CITY AND REMAND THE CASE TO THE CIRCUIT COURT FOR A NEW TRIAL. COSTS IN THIS COURT AND IN THE COURT OF SPECIAL APPEALS TO BE PAID BY THE MAYOR AND CITY COUNCIL OF BALTIMORE.
HARRELL and RAKER, JJ., Dissent.
Notes
. Since the Court of Special Appeals and the arguments in this Court have focused on whether the presumption of regularity was overcome, we have dealt with the issue on this basis. We point out, however, that there is authority holding that the record must affirmatively show that the jury was sworn. See, e.g., Slaughter v. State,
. Article 5 of the Declaration of Rights states as follows:
"Article 5. Common law and statutes of England applicable; trial by jury; property derived under charter granted to Lord Baltimore.
(a) (1) That the Inhabitants of Maryland are entitled to the Common Law of England, and the trial by Jury, according to the course of that Law, and to the benefit of such of the English statutes as existed on the Fourth day of July, seventeen hundred and seventy-six; and which, by experience, have been found applicable to their local and other circumstances, and have been introduced, used and practiced by the Courts of Law or Equity; and also of all Acts of Assembly in force on the first day of June, eighteen hundred and sixty-seven; except such as may have since expired, or may be inconsistent with the provisions of this Constitution; subject, nevertheless, to the revision of, and amendment or repeal by, the Legislature of this State. And the Inhabitants of Maryland are also entitled to all property derived to them from, or under the Charter granted by His Majesty Charles the First to Caecilius Calvert, Baron of Baltimore.
(2) Legislation may be enacted that limits the right to trial by jury in civil proceedings to those proceedings in which the amount in controversy exceeds $10,000.
(b) The parties to any civil proceeding in which the right to a jmy trial is preserved are entitled to a trial by jury of at least 6 jurors.
(c) That notwithstanding the Common Law of England, nothing in this Constitution prohibits trial by jury of less than 12 jurors in any civil proceeding in which the right to a jury trial is preserved.”
. The only state appellate case, which has been called to our attention, holding that a complete failure to swear the jury can be waived by counsel is State v. Vogh, 179 Or.App. 585,
. In this connection, see Alston v. State,
. See n. 3, supra.
. If we were to hold that a verdict by an unsworn jury could be waived, we would then be faced with the question of what constitutes a waiver. In State v. McKay,
. We cite the Spencer case to illustrate the defendant's risk when a jury is never sworn. Whether we would agree with the result in Spencer, however, is another matter. We need not reach that issue here.
Dissenting Opinion
I neither would affirm nor reverse the judgment in this case, at this point, but rather would remand the matter for another trial judge to determine as a fact whether the jury was sworn. On an equivocal record, the Majority opinion appears to find as a fact that the jury was not sworn. Majority op. at 123-124,
I do not think that, as appellate judges, ordinarily we engage in fact-finding or the drawing of factual inferences as to dispositive facts favoring the contentions of one party or another (except insofar as, for analytical reasons, we might appear to do so in the review of the grant of summary judgment in civil cases and the like). I would decline to make the present case an exception. The resolution of the ultimate fact of whether the jury in this trial was sworn is fit, in the first instance, for a fact-finder. The trial judge that presided over Harris’ trial is a retired judge who may be called as a fact witness and, unless destroyed, his redacted trial notes examined. If other courtroom personnel and jurors present at the two day trial (28-29 October 2004) are compellable and available, they also may be examined for their recollection and the basis therefor, as possibly may Harris’ then trial counsel, if desired.
If another trial judge, after hearing the relevant facts, finds that the jury was not sworn, in that event, I would agree with the legal analysis of the Majority opinion here. If the finding, however, were that the jury was sworn, and a more developed record supported that finding, the Majority opinion, as such, becomes surplusage and Harris’ second issue would need to be reached.
Judge RAKER has authorized me to state that she joins in this dissenting opinion.
. Both the hand-written and typed versions of the relevant docket entry are not as clear as they could be as to what part of the proceedings for that day, 28 October 2004, they purport to describe. Both state, in relevant part, "10-28-04 Jury not sworn, voir dire not admin.” Yet, the transcript of proceedings for the morning of 28 October 2004 reveals that voir dire and jury selection did occur before the lunch break. Presumably, one inference therefore which may be drawn by a fact-finder from the portion of the docket entry as to the jury not being sworn describes only what did not happen prior to the lunch break. It would be useful in determining what to make of the scope of this docket entry, relative to the two day trial, to be apprised of any customs
