Adrian Durden v. State of Indiana
Adrian Durden v. State of Indiana
Opinion
Criminal defendants enjoy a constitutional right to an impartial jury. U.S. Const. amend. VI ; Ind. Const. Art. 1, § 13. This right "is a structural guarantee,"
Carella v. California
,
In this case, defense counsel expressly agreed to the trial court's constitutionally-defective procedure for removing and replacing a juror after deliberations had begun, ultimately compromising the defendant's right to an impartial jury. Because *649 we find that the defendant here invited the error as part of a deliberate trial strategy, we affirm his conviction.
Facts and Procedural History
Adrian Durden's first trial for murder resulted in a hung jury. He was tried a second time for murder along with eight drug-related charges. Just under two hours after the jury had begun its deliberations, one of the jurors-Juror 12-sent a note to the court requesting to be excused from service because she "[could] not agree quickl[y] on the charges [or] come to a decision on the charges." Appellant's App. Vol. IV, p.64. Counsel from both sides then met with the trial judge in chambers and off the record to discuss what to do. Returning to open court, defense counsel and the State's attorney both agreed to replace Juror 12 with the second alternate juror if the jury had yet to reach a verdict on any count. 1 However, Durden's lawyer expressed a preference for keeping Juror 12 if the panel had "reached verdicts on some of the counts." Tr. Vol. IV, p.177. The court, after commenting that Juror 12 was "subverting the integrity of the process," stated that "in a situation like this we all have to agree." Id. at 177-78.
With consent from defense counsel and the State's attorney, the court then summoned the jury foreman, who-after acknowledging, without elaboration, Juror 12's request to withdraw-stated that the jury had agreed on six drug counts but was "waiting to do" the murder charge. Id. at 177-79. The court then instructed the foreman not to discuss his testimony with the other jurors. After consulting with his client, Durden's lawyer informed the court that they were "not opposed to having [Juror 12] excused, being replaced by the second alternate." Id. at 180. The judge asked whether defense counsel had "any caveats" or special instructions for the jury. Id. at 180-81. Defense counsel declined, replying that he "[could]n't think of anything" and "that's why there's an alternate, I guess." Id. at 181. To clarify the procedure, the judge then asked whether he should simply "go in there" to excuse Juror 12, thank her for her service, and then instruct the alternate to participate in deliberations. Id. "I think the less traumatic it is the better," defense counsel replied, "I prefer it that way." Id. at 181-82. "I kind of needed your permission if I'm not doing it on the record," the judge stated, seeking assurance. Id. at 182. "Yes," defense counsel replied affirmatively. Id. "Then that's what we'll do," the judge responded. Id.
The court then replaced Juror 12 with the second alternate. When the foreperson asked whether "they were supposed to go over the counts on which they'd already reached a verdict," the court responded that "you are the jury. You decide that." Id. at 184. The jury then resumed its deliberations, ultimately finding Durden guilty on all counts.
Durden appealed his murder conviction, arguing that, despite his acquiescence, the court's procedure violated his constitutional right to an impartial jury, thus resulting in reversible error. 2 Durden specifically faulted the court for (1) failing to interview *650 Juror 12 to determine the grounds for her removal; (2) arbitrarily designating the second alternate juror in lieu of the first alternate, contrary to Indiana Trial Rule 47(B) ; 3 and (3) neglecting to admonish the remaining jurors to avoid any prejudicial effect removal may have had on further deliberations.
Our Court of Appeals reversed Durden's conviction, finding Juror 12's removal "unjustified" and thus "structural error" under
Riggs v. State
,
We now grant the State's petition to transfer, thus vacating the Court of Appeals decision. Ind. Appellate Rule 58(A).
Standard of Review
Trial courts have broad discretion in deciding whether to remove and replace a juror
before
deliberations have begun and, in such circumstances, we reverse only for an abuse of discretion.
Riggs
,
Beyond the issue of juror removal, this case implicates the scope of our invited-error doctrine, a question of law over which we exercise de novo review.
See
Horton v. State
,
Discussion and Decision
There is no dispute here that the trial court's actions fell short of Riggs ' procedural requirements for juror removal after deliberations had begun. 4 The question is whether the court's error compels a new trial or whether Durden's acquiescence to the removal precludes such a remedy.
To resolve this case, we first lay a contextual foundation by examining the preservation doctrine and the various error doctrines-harmless, fundamental, and structural-that determine the scope of appellate review. We must then decide where along this doctrinal spectrum the error in this case ultimately falls and *651 whether our invited-error doctrine permits or precludes appellate review.
I. Scope of Appellate Review
Criminal defendants enjoy a constitutional right to a "fair trial, not a perfect one."
Delaware v. Van Arsdall
,
A. Waiver and Invited Error
As a preliminary inquiry, appellate courts must first determine whether the appellant properly preserved the alleged error at the trial level. To preserve a claim for review, counsel must object to the trial court's ruling and state the reasons for that objection.
See
Halliburton v. State
,
A party's failure to object to an alleged error at trial results in waiver, also known as "procedural default" or "forfeiture."
Bunch v. State
,
When the failure to object accompanies the party's affirmative requests of the court, "it becomes a question of invited error."
Brewington v. State
,
B. The Spectrum of Trial Court Errors
While the waiver doctrine advances important policies of judicial efficiency, "mere expediency is not an appropriate appellate goal."
Thomas v. Thomas
,
1. Harmless Error
Harmless trial errors fall at one end of our "broad spectrum."
*652
Brecht v. Abrahamson
,
2. Fundamental Error
Further along the spectrum are errors we deem "fundamental." An error is fundamental, and thus reviewable on appeal, if it "made a fair trial impossible or constituted a clearly blatant violation of basic and elementary principles of due process presenting an undeniable and substantial potential for harm."
Knapp v. State
,
*653 3. Structural Error
At the end of our spectrum lies "a limited class of fundamental constitutional errors that defy analysis by harmless error standards," thus requiring automatic reversal without the need to show prejudice.
8
Neder v. United States
,
Some structural errors, such as the deprivation of counsel or defective reasonable-doubt instructions, always result in prejudicial harm to the defendant.
Weaver v. Massachusetts
, --- U.S. ----,
II. Application of the Invited-Error Doctrine to Claims of Structural Error
The State argues that Durden's affirmative agreement with the court's procedure to remove and replace Juror 12, for whatever strategic reason, waived fundamental-error review. The State further contends that, while the procedure here "was not consistent with the procedures laid out by this Court" in Riggs , Durden's actions justified removal, thus precluding structural error. Pet. to Trans. at 9.
Durden, in response, argues that, despite his acquiescence, "the procedure adopted by the trial court to avoid a mistrial" violated his constitutional right to an impartial jury and a unanimous verdict. 9 Resp. to Pet. to Trans. at 7. He rejects the State's assertion that agreeing to Juror *654 12's removal amounted to a rational trial strategy. The court's removal without justification was "clearly structural error," he insists, and there is no basis for the State's contention that a defendant can waive or invite such error. Id. at 6.
A. The trial court's deficient record resulted in structural error.
Once jury deliberations begin, a court is justified in discharging a juror "only in the most extreme situations."
Riggs
,
Here, the trial court expressed concern with Juror 12 "subverting the integrity of the process." Tr. Vol. IV, pp. 177-78. But the scant record gives us little to validate that concern. In fact, the juror's note indicated at least an attempt at fulfilling her duties, not a combative disposition toward the panel or other "extreme modes of conduct."
Riggs
,
In the event of an impasse like this, our trial rules permit a court, in consultation with counsel and in the presence of the parties, to "determine whether and how [it] can assist [the jurors] in their deliberative process." Ind. Jury Rule 28. But there is nothing to indicate that the trial court here made such an effort.
See
Scott v. State
,
The record likewise fails to disclose whether the court, upon removing Juror 12, took precautionary steps to assess and minimize any prejudicial impact removal had on the remaining jurors.
See
Riggs
,
For these reasons, we conclude that the trial court's failure to properly comply with the developed-record requirements set forth in Riggs amounted to structural error. 10
This conclusion, however, does not end our inquiry. While the "right to an impartial jury is the sort of right that requires
*655
automatic reversal when denied," the "nature, context, and significance of a violation may determine" otherwise.
Harbin
,
B. The invited-error doctrine precludes a remedy for Durden's claim of structural error.
"The procedure adopted by the trial court to avoid a mistrial was an egregious abuse of the right to a trial by jury," Durden asserts, "whether acquiesced in or not." Resp. to Pet. to Trans. at 7. He argues that there is no authority that removes the error here from the scrutiny of structural-error review. According to Durden, there simply are no circumstances under which structural error permits anything other than reversal.
We disagree and find "no reason to exempt 'structural errors' " from the invited-error doctrine.
11
United States v. Gaya
,
As a general rule, the denial of a defendant's right to an impartial jury requires automatic reversal.
Gray
,
The absence of counsel's objection defeats the policy aims of our preservation doctrine: "the trial court is deprived of the chance to cure the violation," "the costs
*656
and uncertainties of a new trial are greater because more time will have elapsed in most cases," and the "finality interest is more at risk."
Weaver
,
Here, Durden did far more than simply fail to object to the procedure he now complains of; his defense counsel expressly declined "any caveats" or special instructions for the jury and repeatedly assured the court of his approval of the procedure employed, despite its defects. Durden and his counsel were in the best position to observe Juror 12 throughout the trial and to make a reasoned decision whether to keep her on the jury. Based on the record before us, we can only conclude that Durden decided to engage in a rational, albeit unsuccessful, trial strategy.
15
Any other conclusion runs contrary to our "strong presumption that counsel's conduct falls within the wide range of reasonable professional assistance" at trial.
Strickland v. Washington
,
Conclusion
In exercising our discretion to review a constitutional claim, we recognize that there may be some circumstances where the invited-error doctrine must yield to the interests of justice.
See, e.g.
,
Collins v. State
,
For the reasons set forth above, we affirm Durden's conviction.
Rush, C.J., and David, Slaughter, and Goff, JJ., concur.
The court and counsel agreed to the second alternate juror instead of the first so that they "would be guaranteed of one African-American on [the] jury." Tr. Vol. IV, p.177.
See
Batson v. Kentucky
,
Although Durden argued on appeal that the trial court's procedure amounted to "fundamental" error, he relied largely on this Court's decision in
Riggs v. State
, which refers to unjustified removal of a juror as "structural" error.
Under Indiana Trial Rule 47(B), "[a]lternate jurors in the order in which they are called shall replace jurors who, prior to the time the jury returns its verdict, become ... unable or disqualified to perform their duties."
Had Durden objected to the removal, the State acknowledged at oral argument, and had the trial court overruled that objection, "reversal would be required." Oral Arg. Video Tr. at 2:45-3:08.
Indiana Trial Rule 61 requires courts, "at every stage of the proceeding," to "disregard any error or defect" that "does not affect the substantial rights of the parties." Likewise, under Indiana Appellate Rule 66(A), "[n]o error or defect" in a trial court ruling "is ground for granting relief or reversal on appeal" when "its probable impact ... is sufficiently minor so as not to affect the substantial rights of the parties."
For example, an error of a federal-constitutional dimension (rather than a statutory error) requires the State to prove beyond a reasonable doubt that the alleged error had no effect on the outcome of the case.
Chapman v. California
,
An early twentieth-century legal innovation, the harmless-error rule developed in response to the strict presumption of prejudice adopted by a majority of appellate courts in the United States requiring automatic reversal for virtually any error, no matter how trivial. Roger A. Fairfax, Jr.,
A Fair Trial, Not a Perfect One: The Early Twentieth-Century Campaign for the Harmless Error Rule
,
Indiana's harmless-error rule, now codified at Trial Rule 61, evolved from case law and statutes dating back to the late nineteenth century.
See, e.g.
,
Smith v. Denman
,
This "limited class" of errors includes the deprivation of the right to counsel at trial, the lack of an impartial judge, racial discrimination in grand jury selection, denial of the right to
pro se
representation, and denial of the right to a public trial.
Arizona v. Fulminante
,
While the U.S. Supreme Court "has never held jury unanimity to be a requisite of due process of law" in state criminal trials,
Johnson v. Louisiana,
We rest our conclusion here upon the inability to measure the error's effect, which is one of "three broad rationales for finding an error to be structural."
Weaver
,
We note that our decision today corresponds with decisions from several other states to have addressed the issue presented here, either as a general rule or in the context of other structural errors.
See, e.g.
,
Ex parte Thuesen
, No. WR-81584-01,
Decisions from both the U.S. Supreme Court and this Court applying the waiver doctrine to other structural errors lend further support for our decision.
See, e.g.
,
Waller v. Georgia,
The decision in
Weaver
applied to a structural error raised as an ineffective-assistance-of-counsel claim, rather than a structural error preserved and then raised on direct review.
See
Although
Whiting
involved a prospective juror, we consider the rationale in that case apposite. There, defense counsel knew of the juror's bias during
voir dire
but, after the trial court denied a joint challenge for cause, neither party exercised a peremptory strike to remove the juror, ultimately leading to her empanelment.
Because defense counsel agreed to the second alternate juror in lieu of the first, we likewise conclude that Durden waived his argument that the trial court violated Indiana Trial Rule 47(B).
Reference
- Full Case Name
- Adrian DURDEN, Appellant (Defendant) v. STATE of Indiana, Appellee (Plaintiff)
- Cited By
- 98 cases
- Status
- Published