Lewis v. United States
Opinion of the Court
delivered the opinion of the court.
This was a writ off error sued out to review a judgment of the Circuit JOourt-of the United States for the Western District of Arkansas, imposing a sentence of death upon Alexander Lewis, plaintiff in error, for the murder of one Benjamin C. Tarver, at the Cherokee Nation, in the Indian country.
It appears by the record that on the trial of the case, and after the accused had pleaded not guilty to the indictment, the court directed two lists of thirty-seven qualified jurymen to be made out by the clerk, one to be given to- the district attorney and one to the counsel for the defendant, and that-the court further directed each side to proceed with its challenges, independent, of the other, and without knowledge 'on the parffof either as to what challenges had been made by the other.
It further appears by the record that' to this method of proceeding in that regard, the defendant at the time excepted; but was required to proceed to make his challenges; that he challenged twenty persons from the list of thirty-seven persons from which he made his challenges, but in .doing so he challenged three jurors who were also challenged by the attorney for the government.
To the happening of the fact that both .parties challenged the same three jurors, the defendant at the time objected, but the court overruled the objection, and directed the jury to b8 called from the said two lists, impanelled and sworn, to which the defendant at the time excepted.
The assignments of error ask us to consider the validity of the method of exercising his rights of challenge, imposed upon the defendant by the order of the court, and also the propriety of the instruction given by the court to the jury, on the subject of the defence of an alibi, by giving prominence to the cautionary rules by which they should'weigh this, class of testimony, and particularly in saying to the jury that it was a defence .often resorted to, and often attempted to be sustained and made effective by fraud, subornation and perjury.
A leading principle-that pervades the entire law of criminal procedure is that, after indictment found, nothing shall be done in the absence of the prisoner. While this rule has, at times and in the cases of misdemeanors, been somewhat relaxed, yet in felonies, it is not. in the power of the prisoner, either by himself or his counsel, to waive the right to be personally present during the trial. “It would be contrary, to the dictates of 'humanity to let him waive the advantage which a view of his sad plight might give him by inclining the hearts of the jurors to listen. to his 'defence with indulgence.” Prine v. The Commonwealth, 18 Penn. St. 103, 104, per Gibson, C. J. And it appears to be well settled that,- where the personal presence is necessary in point -of law, the record must show the fact. Thus, in a Virginia, case, Hooker v. The Commonwealth, 13 Grat. 763, 766, the court • observed that the record showed that, on two occasions during the trial, the prisoner appeared by attorney, and that there was nothing to shqw that he was personally present in court on either day,
In Hopt v. Utah, 110 U. S. 574, 578, 579, it is said: “ The-argument in behalf of the government is that the trial of the indictment began after and not before the jury was sworn; consequently, that the defendant’s personal presence was not required at an earlier stage of the proceedings. Some warrant, it. is supposed by counsel, is found for this position, in decisions construing particular statutes in which the word ‘ trial ’ is used. Without stopping to distinguish those cases from the one before us, or- to examine the grounds- upon which they are placed, it is sufficient to say that the purpose of the foregoing provisions of the Utah Criminal Code is, in prosecutions- for felonies, to prevent any steps being taken, in the absence of the accused and after the case is called for trial, which involve his substantial rights. The requirement is, not that he must be personally present at the trial by the jury, but ‘ at the trial.’ The code, we have seen, prescribes grounds for challenge by either party of jurors proposed. And provision is expressly made for the ‘trial’ of such challenges, some by the court, others by triers.' The prisoner is entitled to an impartial jury composed of persons not disqualified by statute, and his life or liberty may depend upon the ani which, by his personal presence, he may give to counsel.aud to the court and. triers, in the selection of jui’ors. The necessities of the defence may
In- the case of Dyson v. Mississippi, 26 Mississippi, 362, 383, it was said: “It is undoubtedly true that the record must ailirmativfely show those indispensáble facts without which the judgment would be void — such as the organization of the court; its jurisdiction of the subject-matter and of the parties; that a cause was made up for trial; that it was submitted to a, jury sworn to try it (if it be a case proper for a jury); that a verdict was rendered, and judgment awarded. Out of abundant tenderness for the right secured to the, accused by our Constitution, to be confronted, by the witnesses against him; and -to be heard by himself or counsel, our court has
• As already said, the record shows that at the trial of the case the court directed two lists of thirty-seven qualified jurymen to be made out by the clerk, and one to be given to the district attorney and one to the counsel for the defendant; and the court further directed each side to proceed with its challenges, and without knowledge on the part of either as to what challenges had been made by the other. Although the record states that after the challenges the twelve jurors who remained were sworn, yet it clearly appears from the whole record, and the lists therein referred to, that after the challenges there remained, not only twelve, but fifteen jurors, and that by the mode adopted, which required the prisoner to challenge by list, he exhausted some of his challenges by challenging jurors at the foot of the list, and who were never reached to be sworn as jurors in the case. And the record does not disclose that, at the time the challenges were made, the jury had been called into the box, nor that they or the prisoner were present at the time the challenges were made. It does, indeed, appear that the clerk called the entire panel of thé petit jury, but it does not appear that, when the jury answered to said call, they were present so that they could be inspected by the prisoner; and it is evident that the process of challenging did not begin until after said call had been made. We do not think that the record affirmatively discloses, that the prisoner and the jury' were brought face to face at the time the challenges were made, but we think that a fair reading' of the record leads to the opposite conclusion, and that the prisoner was not brought face to face with the jury until after the challenges had been made and the selected
The right of challenge copies from the common law with, the trial by jury itself, and has always been held essential to the fairness of trial by jury. ■ As was said by Blackstone, and repeated by Mr. Justice Story: “ In criminal cases; or atileast in capital ones, there is, in favor em vitae, allowed to the pris-. oner an • arbitrary and capricious species of challenge to -a certain number of jurors, without showing any cause at all; which is called a peremptory challenge ; a provision full of that tenderness and humanity to prisoners, for which our English laws are justly famous. This is grounded on two reasons : 1. As every one must be sensible, what sudden impressions and unaccountable prejudices we are apt to conceive ¡upon the bare looks and gestures of another; and how necessary it is that a prisoner (when put to defend his life) should have a good opinion of his jury, the want of which might totally disconcert him ; the law wills not that he. should be tried by any one man against whom he has conceived a prejudice even without being able to assign,a reason for. such his dislike. 2. Because, upon challenges for cause shown, if the reason assigned prove insufficient to set aside the juror, perhaps the bare questioning his indifference may sometimes provoke a resentment; to prevent all ill consequences from which, the prisoner is still at liberty, if he pleases, peremptorily to set him aside.” 4 Bl. Com. 353; United States v. Marchant, 4 Mason, 158, 160, 162; and 12 Wheat. 480, 482. See, also, Co. Lit. 156b; Termes de la Ley, voc. Challenge, 2 Hawk. c. 43, § 4; Regina v. Frost, 9 Car. & P. 129, 137; Hartzell v. Commonwealth, 40 Penn. St. 462, 466; State v. Price, 10 Rich. (Law,) 351, 375.
There is no statute of the United States which prescribes the method of. procedure in empanelling jurors in criminal
In the case of Lamb v. The State, 36 Wisconsin, 424, where it did not appear affirmatively by the record that the panel o'f jurors in respect to which the prisoner had the right of peremptory challenge, was present in the view of the prisoner; but where the membérs of the jury were called into the box
In the case of Hopt v. Utah, already cited, it was held that' the trial by triers, appointed by. the court, of challenges of proposed jurors in felony cases, must be had in the presence as well of the court as of the accused, and that such presence of the accused cannot be dispensed with. In that case the triers took the juror from the court-room into a -different room, and tried the grounds of challenge out of the presence as well of the court as of the defendant and his counsel, and it was held by this court that it was error which vitiated the verdict and judgment to permit the trial of challenges to take place without the presence of the accused; and this, although the accused failed to object to the retirement of the triers from the court-room, or to the trial of the several challenges in his absence. The record in this case discloses that the prisoner objected and took due exception to the orders of the court directing the method of taking challenges. It is true that no specific exception was taken by the prisoner, based on the stated fact that he was called upon to challenge jurors not' before him, but we think that the general exception taken to the action of the court in prescribing the method of procedure was sufficient. ^
Another assignment averred error in the court in its selection of the jury, in that' the defendant was required to make his challenges without first knowing what challenges the government’s attorney had made, and thus challenged three jurors who were also challenged by the government, whereby he was
The only other error assigned which calls for notice is the one objecting to the language used by tlje court when cautioning the jury in respect to the testimony bearing on the defence of an'alibi. Whether the language of the learned judge went beyond the verge of propriety, we are not called upon to consider, as no due exception was taken at the trial, and no opportunity was, therefore, given the court to modify the charge.
The objection to th¿ language used, urged on the motion for a new trial, cannot be regarded as equivalent to an exception at the trial. Because, however, of the error into which the
Judgment reversed.
Dissenting Opinion
with whom concurred Mr. Justice Brown, dissenting.
I dissent from the opinion and judgment of the court in this case. Where the question is as to the inferences to be drawn from a record, it is well to have its. very language before us. The entire record bearing upon the matters in controversy consists of a single journal entry and a portion of the. bill of exceptions. The journal entry is as follows: .
“ Tuesday Morning, October 20th, 1891.
“ (Caption omitted.)
“ On this day come the United States of America, by Wm. H. H. Clayton, Esq., attorney for' the Western District of Arkansas, and come the said defendant in custody of the marshal and by his attorneys, Mess. Barnes & Reed, and it appearing from the returns of the marshal that the said defendant has been served with a duly certified copy of the indictment in this cause and a full and complete list of the witnesses in this cause, and that he has also been served with a full and complete list of the petit jury, as selected and drawn by the jury commissioners for the present term of this court, more than two entire days heretofore, and having heretofore had hearing of said indictment, and pleaded not guilty thereto, it is, on. motion of the plaintiff by its attorney, ordered that a jury come to try the issue joined, whereupon the clerk called the entire panel of the petit jury, and, after .challenge by both plaintiff*, and defendant, the following were selected for the trial of this cause:
“ Geo. A. Bryant, John W. Clayborn, Henry P. Dooly, James O. Eubanks, John A. Fisher, Henry P. Floyd, Geo. W. Hobbs, Hugh F. Mullen, Jno. D. McCleary,- Obadiah C. Rich
The'recital in the bill of exceptions is in these words :■
“ Be it remembered that on the trial of the above-entitled cause, the court directed two lists of 37 qualified jurymen to be made out by the clerk, and one given to the district attorney and .one to the counsel for the defendant; and the court further. directed each side to proceed with its challenges independent of- the other and without knowledge on the part of either as .to what challenges had been made by the other.
“ To which method of proceeding in that regard defendant at the time excepted, but was required to proceed to make his challenges, and he challenged 20 persons from the list of 37 persons, from which he made his challenges, but in doing so he challenged 3 jurors-who were also challenged by the attorney for the government, to wit, James H. Hamilton, Britton Upchurch, ánd James P. Mack. The government, by its district attorney, challenged from the list of 37 jurors 5 persons.. In making its challenges the same three persons as those challenged by the defendant, to wit, James H. Hamilton, Britton Upchurch, and James P. Mack, were challenged by the government, as appears from the lists of jurors used by the government in making its challenges and the defendant in making his challenges.
“The 12 persons who were left of the panel of 37, after both sides had made their respective challenges, were the ones selected to try and who did. try the case.
“ To the happening of the fact that both parties challenged the same three jurors, the defendant at the time objected, but the- court overruled the objection and directed the jury to be called from the said two lists, empanelled and sworn, to which the defendant at the time excepted.”
The same journal entry further recites, that “the clerk called the entire panel of the petit jury, and, after challenge by both plaintiff and defendant,” the jury was selected. Where the general term is used, as here, “challenge,” it means
' How does the matter stand from the bill of exceptions ? A bill of exceptions is prepared by the party, and being prepared by him, he may state, and ought to state, only those facts which present the very question he desires to raise. If the objection is to a ruling on the admission of testimony, he should state only that testimony and enough of the case to show its relevancy. It would be absurd to require him to set out all the testim'ony, or to state in' terms that there was no objection to the balance. As was said in Lincoln v. Claflin, 7 Wall. 132, 136: “ A bill of exceptions should only present the rulings of the court upon some matter of law, — as upon the admission or exclusion of evidence, — and should contain only
Again, if the defendant had taken no exceptions to these proceedings, it is settled that this court would not inquire as to whether there was error in them. In Alexander v. United States, 138 U. S. 353, 355, a case coming from the same district, the precise state of facts in respect to the empanelling of the jury appeared, but without any exceptions. The response made by the court to the assignment of error was in these words: “ The decisive answer to this assignment is, that the attention of fhe court does not seem to have been called to it until after the conviction, when the 'defendant made it a ground of his motion for a new trial. It is the duty of counsel seasonably to call the attention of the court to any error in empanelling the'jury, in admitting testimony, or in any other.proceeding during the trial, by which his rights are prejudiced, and in case of’ an adverse ruling to note an exception.” Of course, then, if the matters are not vital to the trial, and may be waived by failure to object, as thus decided, clearly the defendant can take advantage of nothing to which he does not except; Hgnce, supposing that after the foregoing recital in the bill of exceptions there had appeared further recitals showing various irregularities in respect to the challenges, sufficient of themselves, if excepted to, to compel reversal, but with no following exception, clearly, under the rule laid down in Alexander v. The United States, we shonld\have been compelled to ignore them. Surely then, -when the exception runs to a specific matter, it cannot be broadened so as to extend to a matter, which is confessedly not stated, but is only inferred as probable'from what is stated. In short, when the journal entry, which is of itself a part of the record, and which is the court’s statement of what took'place, recites the personal presence of the defendant and the full exercise of the right of challenge in language which is the ordinary formula of journal entries, and which has been uniformly regarded as
Further than this, in the brief of counsel for the defendant there is no claim that the jury Avere not present in the box, face to face Avith the defendant, Avhen he was called upon to make his challenges. The only points they make in respect to the matter are that the mode of designating the jury Avas not recognized by the statutes of the State of Arkansas, nor in conformity with any rule prescribed'by Congress; and that by reason of the fact that three jurors were challenged by both the government and defendant, "the', latter Avas really deprived of three peremptory challenges.
Now, if it should prove to be the case—as it seenis to me is not only possible but probable — that the defendant was in fact present in the court-room during all the challenges; that the entire panel of jurors was called into the box before him;-, that in their presence he was allowed and received all the challenges for cause he desired to make; and that only after a full inspection of the jury, and a questioning of each one so far as was‘desired, were the lists placed’in the hand's.of the respective counsel for peremptory challenges, will not the ordinary citizen believe that substantial justice would have been done if this court had omitted to read into the record something Avhich i.s not expressly stated therein, which defendant’s -counsel did not claim to have happened, and- which did not in fact happen.
So far as respects the matter of contemporaneous challeng
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- Iu trials for. felonies, it is not in the power of the prisoner, either by himself or his counsel, to waive the right to be personally present during the trial. The making of challenges is an essential part of the trial of a person accused of crime, and it is one of his substantial fights to be brought face to face with the jurors when the challenges are made. Though no specific exception was taken in this case by the prisoner, based upon the fact that he was called upon to challenge jurors not before him, a-general exception, taken to the,action of the court in prescribing the method of procedure, was sufficient. Where no due exception.to the language of the court in instructing the jury is taken at the trial, this court cannot consider whether the trial court went beyond the verge of propriety .in its instructions. On the trial of the case, after the accused had, pleaded not guilty to the indictment, the court directed two lists of thirty-seven qualified jurymen to be made out by the clerk,.one to be given to the district attorney and one to the counsel for the defendant, and further directed each side to proceed with its challenges, independently of the other, and without knowledge on the .part of -either as to what challenges had been made by the other. To this method of proceeding, the defendant at the time excepted, but was required to proceed to make his challenges. He challenged twenty persons from the list of thirty-seven persons from which he made his challenges, but in doing so he challenged three jurors who were also challenged by the government. The government challenged from the list of thirty-seven persons five persons,, three of whom were the same persons challenged by tlie defendant: This fact was made to appear from the lists of jurors used by the government in making its challenges and the defendant in making his challenges. To the. happening of the fact that both parties challenged the same three jurors, the defendant at the time objected, but the court overruled the objection, and directed the jury to be called from the said two lists, impanelled and sworn, to which the defendant at the time excepted. Held, that there was substantial error in this proceeding and the judgment of guilty must be reversed.