Lead Opinion
ON CERTIORARI TO THE UTAH COURT OF APPEALS
The State seeks review of a court of appeals decision vacating defendant Mark Baker’s convictions for rape of a child and sodomy on a child on the ground that one of the jurors who convicted Baker was biased. State v. Baker,
FACTS
The relevant facts are not disputed. The State charged Baker with raping and sodomizing H.H., his young stepdaughter. During voir dire, three jurors, numbers 15, 17, and 19, indicated that they would be unable to remain impartial to evidence concerning sexual abuse of a child. Juror 19 stated that his sister had been raped and sodomized approximately ten years earlier when she was eight years old. The trial judge asked these three
Following his conviction, Baker appealed to this court, and we transferred the case to the court of appeals. That court held that the trial court committed reversible error by failing to remove juror 19 for cause. Baker,
The State asks this court to adopt a “cure or waive” rule. Under that rule, a defendant whose for-cause challenge has been erroneously denied would have to attempt to “cure” that error or be held to have “waived” it. Specifically, if the defendant had a peremptory challenge available, he or she would have to use it on the challenged juror. If the defendant did not so use the peremptory, then the error would be deemed waived. Moreover, because Menzies held that no ground for reversal exists unless a biased juror is actually retained on the panel, the issue would be preserved for appeal only if the number of jurors the trial court erroneously refused to dismiss for cause exceeded the number of peremptories available to the defendant.
ANALYSIS
A. Status of Peremptory Challenges
The court of appeals declined to adopt the cure-or-waive rule. Whether this rule should be adоpted is a question of law which this court must decide de novo. State v. Pena,
The peremptory challenge was created by rule and is designed to facilitate the seating of a jury that will listen without bias to the evidence and do justice to both parties. Utah Rule of Criminal Procedure 18(d) provides in pertinent part: “A peremptory challenge is an objection to a juror for which no reason need be given. In capital cases, each side is entitled to 10 peremptory challenges. In other felony cases each side is entitled to four peremptory challenges.” The State contends that defendant should have used one of his four available peremptory challenges to remove juror 19 after the trial court failed to excuse that juror for cause. Defendant responds that such a requirement would force him to accept a less favorable jury because he then could not have removed all four of the women against whom he subsequently exercised his peremptory challenges.
Neither the United States Constitution nor the Utah Constitution provides a right to a certain number of peremptory challenges, or indeed to any at all. Likewise, neither constitution guarantees a defendant the “most favorable” jury. The trial rights that these constitutions do provide are clearly stated in their texts. Amendment VI of the United States Constitution guarantees “the right to a speedy and public trial, by an impartial jury of the State and district wherein the crime shall have been committed.” Article I, section 12 of the Utah Constitution provides the accused the right “to have a speedy public trial by an impartial jury of the county or district in which the offense is alleged to have been committed.”
We recognized the nonconstitutional status of the peremptory challenge in Menzies,
Baker argues that the jury which convicted him was not impartial. Nonethеless, he had a fair opportunity to cure this bias through the use of one of his peremptory challenges. Unlike the defendant in Menzies, however, Baker did not use a peremptory strike to remove the biased juror when the trial court denied his for-cause challenge. Instead, Baker’s counsel subsequently chose to use his peremptories to remove from the panel four women whom he had not challenged for cause. Baker states that this decision was a strategy designed to assemble “the best jury he could” but that through no fault of his own and as a result of the trial court’s error, “that jury was unconstitutionally biased.” The United States Supreme Court has observed, however, that “the Constitution entitles a criminal defendant to a fair trial, not a perfect one.” Delaware v. Van Arsdall,
B. Policy Arguments
Baker insists that the cure-or-waive rule invites “bizarre results.” For example, he argues that the rule “would require the defendant and defense counsel to take affirmative action to ensure that any conviction obtained will stand up on appeal,” thereby placing defense counsel in an ethical dilemma. According to Baker, the defense’s duties are to seek an acquittal or, failing that, to preserve error so as to obtain a new trial. He suggests that it was the prosecution’s responsibility to use a peremptory to remove the challenged juror when the defense failed to do so. Baker’s argument ignores the fact that all parties, including the
[I]f a trial judge errs in not striking a juror on a for-cause challenge and a defendant then expends a peremptory challenge to remove that juror, reversal may still be required if the defendant can demonstrate actual prejudice in having lost the peremptory challenge. Concededly, it will be much more difficult to establish reversible error under this rule, but the cost of reversing a conviction for an error of the trial judge that is corrected by a peremptory challenge with no demonstrable prejudice to the defendant is too great, if not irrational.
In addition, if a defendant needs to show only that he used all of his perempto-ries and that a biased juror sat, as Baker advocаtes, there is a great temptation to sow error. A defendant whose for-cause challenge is erroneously denied by the trial court could always generate reversible error merely by expending all of his peremptories on other jurors, adverse or not. Therefore, Justice Stewart’s common-sense observation explains the proper post-Menzies procedure. To preserve the issue on appeal, a defendant whose for-cause challenge has been denied must exercise a peremptory challenge, if one is available, to achieve a legally impartial jury. If the defendant can later show that the “loss” of the peremptory challenge resulted in actual prejudice, reversal would be an available and appropriate remedy. The cure-or-waive rule does not create bizarre results but helps avoid them.
C, Precedent
Baker ignores Ross v. Oklahoma and other cases cited below to argue a lack of precedent for the rule advocated by the State. While the exact fact pattern before us here has not been previously adjudicated in Utah, it is well accepted that a defendant waives the right to raise on appeal a juror’s competence or impartiality by failing to object to the juror at trial. See, e.g., State v. DeMille,
Other jurisdictions grappling with the Supreme Court’s decision in Ross v. Oklahoma have announced rules similar to this court’s decision in Menzies. In some instances, courts have anticipated the issue Baker raises here. For example, in People v. Bittaker,
if a challenge for cause is erroneously denied but the party does not use an available peremptory challenge to excuse the juror, the error is harmless; if all peremptory challenges have already been exhausted, and the challenged juror therefore sits, the error requires reversal; if the party unsuccessfully challenging the juror for cause thereafter uses a peremptory challenge to excuse him, exhausts all peremptory challenges, and makes a clear showing on the record of a desire to excuse another, subsequently summoned juror ... to whom the party objects for ... articulated reasons, the erroneous denial of the excuse for cause becomes reversible error.
Id.
D. Retroactive Application
Baker contends that even if we adopt the cure-or-waive rule, it should not apply to this case. He cites State v. Hoff,
First, the cure-or-waive rule does not represent a clear break with the past or a fundamental shift in doctrine. It is merely the logical extension of existing doctrine. Under Menzies and Ross, a defendant is already required to show that he had exhausted all of his peremptory strikes and that a biased jury actually sat. This rule provides that a defendant waives his objeсtion to a juror by failing to exercise the means at hand — a peremptory strike — to remove the juror and that an objection thus waived is not preserved for appeal. “In general, the Court has not subsequently read a decision to work a ‘sharp break in the web of the law* unless that ruling caused ‘such an abrupt and fundamental shift in doctrine as to constitute an entirely new rule which in effect replaced an older one.’ ” Johnson,
Second, Baker confuses retroactivity with application to the case at bar. Indeed, retroactive application of the cure-or-waive rule as here employed would be factually impossible because there has been no prior appeal to this court by a defendant who failed to employ available peremptories to cure the trial court’s denial of a for-cause challenge and then subsequently used them to remove jurors whо were not challenged for cause. The issue here is not retroactivity, but the application of the new cure-or-waive rule to the case currently before the court. A new rule announced on direct appeal typically applies to the case in which it is announced. See State v. Ramirez,
Third, Baker has no surviving constitutional claim. The Sixth Amendment guarantees an accused the right to an impartial jury, and Baker had the means at hand to avail himself of that guarantee. Instead, he followed the will-o-the-wisp of the “most favorable” jury, for which there is no constitutional support. “The law cannot force a right upon a defendant who turns his back upon it,” State v. Anderson,
We acknowledge and agree with the concurring and dissenting opinions in encouraging trial judges to heed the direction that we have already given them to grant for-cause challenges when bias is shown. See State v. Carter,
Notes
. Under our rules, peremptory challenges are not exercised until for-cause challenges are decided. Utah R.Crim. P. 18(f).
Dissenting Opinion
I respectfully dissent. On balance, I conclude that the disadvantages of adopting the cure-or-waive rule outweigh its benefits. The State argues that the cure-or-waive rule will discourage the planting of reversible error because the defendant who makes the tactical decision to utilize his or her peremptory challenges to remove jurors other than those challenged for cause must live with that tactical decision, irrespective of the verdict. Thus, the State argues, the cure-or-waive rule avoids rewarding a defendant for “sabotaging his own trial.”
I concede that the cure-or-waive rule would prevent the planting of error as a backstop against a guilty verdict. However, I do not find this justification for the rule partiсularly strong. I think it far more realistic to presume that defense counsel ordinarily will choose to strike a biased juror in the hope of avoiding a conviction rather than risking a conviction by caleulatingly permitting a biased juror to sit and hoping for reversal on appeal. Defense counsel’s primary duty is to seek an acquittal, not a reversible conviction. Therefore, I deem the benefits of the cure-or-waive rule to be rather speculative.
In contrast, the disadvantages of the cure- or-waive rule are significant. In State v. Menzies,
The majority’s adoption of the cure-or-waive rule also tends to provide an additional incentive to trial judges not to strike jurors challenged for cause. The rule ensures not only that a conviction will not be reversed, but also that the trial court will not be held accountable for erroneously denying a for cause challenge, so long as the defendant has at least one peremptory challenge left. We should be loath to create a mechanism that could be seen as giving triаl judges the ability to force defendants to use all their per-emptories to cure trial court refusals to strike biased jurors. This is completely inconsistent with the fact that empaneling impartial jurors is primarily the responsibility of the trial judge. Id. at 649-50.
The State also argues that adopting the cure-or-waive rule will promote symmetry in criminal trials because the State is, in effect, already subject to the rule. Specifically, if the State’s for-cause challenge is denied, it is compelled to exercise a peremptory strike to avoid the operation of double jeopardy principles and statutory limitations that would prevent retrial if the biased juror sits and the defendant is acquitted.
In making this argument, the State assumes that some such symmetry is an unspoken premise of American criminal law. But history is to the contrary. Peremptory challenges and the criminal trial as a whole were never meant to be an even balance between the State and the defendant.
From its inception in English common law, long before the founding of this country, the peremptory challenge was characterized as an “arbitrary and capricious” right “full of that tenderness and humanity to prisoners, for which our English laws arе justly famous.” 4 William Blackstone, Commentaries on the Laws of England 353 (15th ed. 1809). According to Blackstone, peremptory challenges were granted to defendants for two reasons: first, because of sudden impressions and unaccountable prejudices that the defendant may have against potential jurors and, second, because questioning in for-cause challenges may sometimes provoke resentment if the for-cause challenge is denied and the juror sits. Id.
This English common law history influenced the development of the peremptory challenge in this country.
Thus, while at times the prosecution has not been afforded peremptory challenges by statute, peremptories have always been a defendant’s right. See Swain v. Alabama,
Having considered the policies at issue, I would conclude that the cure-or-waive rule should not be adopted. Therefore, I would affirm the court of appeals.
. For a detailed account of the history and development of the peremptory challenge in this country, see Douglas L. Colbert, Challenging the Challenge: Thirteenth Amendment as a Prohibition Against the Rаcial Use of Peremptory Challenges, 76 Cornell L.Rev. 1, 9-12 (1990).
Concurrence Opinion
I concur in Justice Howe’s opinion and write only to observe that there are, I believe, circumstances in which the cure-or-waive rule will not be adequate to assure the selection of a fair and impartial jury. Prior to Menzies, this Court struggled in a number of eases where trial courts made highly problematic rulings with respect to for-cause challenges by defense counsel, and this Court, being reluctant to overturn the conviction, stretched the law to the breaking point in seeking to justify the trial court’s ruling. In my view, it is absolutely imperative that trial judges once and for all reаlize that for cause challenges to jurors should be viewed liberally. As with judges, the issue is not only whether jurors are in fact biased but also whether they might be perceived as biased. Because of our past history in this area, I am simply not persuaded that this Court can entirely withdraw from the area of ruling on the validity of trial court for-cause rulings by shifting to defense counsel the obligation to cure a trial judge’s error by exercising a peremptory challenge or waive that error. I am not at this point prepared to state just when or how such a policy should be effected. I am satisfied, however, that the cure-or-waive rule is properly applied in this case.
