State v. Johnson
State v. Johnson
Opinion
*447 INTRODUCTION
¶1 Michael Johnson was found guilty of murder for strangling a woman in her apartment. Mr. Johnson appealed his conviction. On appeal, the court of appeals identified an issue that was not argued by the parties and ordered supplemental briefing, ultimately reversing Mr. Johnson's conviction. We have granted certiorari review to answer a single question: whether the court of appeals correctly concluded that exceptional circumstances merit review of an issue not preserved in the trial court and not argued on appeal. We hold that the exceptional circumstances exception to the preservation rule does not apply here, and we reverse the court of appeals and remand this case so that it may consider the appellant's other unaddressed claims of error.
BACKGROUND
¶2 Michael Johnson was charged and tried for murder. At trial, Mr. Johnson requested an instruction for the lesser offense of homicide by assault. The trial court agreed and stated on the record that it would use the homicide by assault instruction submitted by Mr. Johnson.
¶3 The jury returned a guilty verdict on the murder charge, and Mr. Johnson appealed his conviction to the court of appeals. He argued that his conviction should be reversed because the verdict form returned by the jury did not include an option to find him guilty of the lesser offense of homicide by assault
1
and that the jury instruction on causation was erroneous.
State v. Johnson
,
¶4 The court of appeals asked for supplemental briefing on an issue that Mr. Johnson had not raised on appeal: whether the homicide by assault jury instruction was erroneous.
Id.
¶¶ 12-13. After supplemental briefing, the court of appeals reversed Mr. Johnson's conviction based upon its conclusion that the homicide by assault instruction was erroneous,
id.
¶ 29, with each judge on the three-member panel writing separately. The court acknowledged that Mr. Johnson never preserved an objection to the instruction and that Mr. Johnson likely invited the error by submitting the instruction to the court.
Id.
¶ 14. The court of appeals decided, however, that the exceptional circumstances exception to the preservation rule permitted the court to examine the unpreserved and likely invited error.
Id.
¶¶ 14-19. A majority of the panel reached this conclusion by determining that our decision in
State v. Robison
,
¶5 This court granted a petition for certiorari review of the court of appeals' opinion. We agreed to answer "[w]hether the majority of the panel of the court of appeals erred in its application of the exceptional circumstances doctrine to a case in which it acknowledged the error may have been invited and in which Respondent did not argue ineffective assistance of counsel."
STANDARD OF REVIEW
¶6 We review the court of appeals' application of the preservation rule for correctness.
*448
State v. McNeil
,
ANALYSIS
I. THE DIFFERENCE BETWEEN FAILURE TO PRESERVE AN ISSUE IN THE TRIAL COURT AND WAIVING AN ISSUE ON APPEAL
¶7 The court of appeals erred when it determined that
State v. Robison
,
A. Writ of Error and Appeal in Equity
¶8 Our appellate system has developed along the adversarial model, which is founded on the premise that parties are in the best position to select and argue the issues most advantageous to themselves, while allowing an impartial tribunal to determine the merits of those arguments.
See
Patterson v. Patterson
,
¶9 Notwithstanding the dominance of this model, our system of appeals has roots in two separate and distinct methods of review available under the old English court system: the writ of error and the appeal in equity. The writ of error was used to review an order or judgment of an English court of law; an appeal in equity was used to review a ruling in a court of equity. Barry A. Miller, Sua Sponte Appellate Rulings: When Courts Deprive Litigants of an Opportunity to Be Heard , 39 SAN DIEGO L. REV . 1253, 1263 (2002). Writs of error were strictly limited to reviewing orders and judgments made by the court of law on issues raised in that court. Id . Conversely, "[a]ppellate courts in equity were free to consider any issue de novo" and "developed flexible procedures to address the needs of individual cases." Id .
¶10 While American courts have developed an appellate system with strict rules governing what issues an appellate court will address, thus more closely resembling the writ-of-error model, both the writ of error and the appeal in equity were consolidated into one set of appellate courts.
See
id.
at 1264 (noting that the writ of error and appeal in equity were combined in U.S. appellate courts, with "[o]ne set of appellate courts administer[ing] both");
Goldberg v. Jay Timmons & Assocs.
,
¶11 Our court's history in this regard is not unique. Appellate judges across the country have wrestled with the correct balance between law and equity and the scope of review on appeal.
See
Miller,
supra
¶ 9 at 1271 (noting that despite a party's duty to raise issues, appellate judges raise issues
sua sponte
because they "also see their role as doing justice in the tradition of equity"). For instance, in one case the late Justice Antonin Scalia wrote, "[t]he rule that points not argued will not be considered is more than just a prudential rule of convenience; its observance,
*449
at least in the vast majority of cases, distinguishes our adversary system of justice from the inquisitorial one."
United States v. Burke
,
¶12 Despite this historical tension between the two systems, and our general reliance on strict rules governing preservation and waiver, we have maintained that our waiver and preservation requirements are "self-imposed and [are] therefore [doctrines] of prudence rather than jurisdiction."
Patterson
,
Regardless of whether the practice of appellate courts in raising issues sua sponte that have not been raised in the trial court is analyzed under the law versus equity model or the adversarial versus inquisitorial system model, there is widespread agreement that appellate courts have the authority to engage in this practice.
Blumberg Assocs. Worldwide, Inc. v. Brown & Brown of Connecticut
,
¶13 In an effort to serve the policy considerations of judicial economy and fairness to the parties, to preserve the adversarial model, and to provide clear guidelines to litigants, we have limited our discretion by creating exceptions to the general preservation rule.
Patterson
,
B. Definitions of Preservation and Waiver on Appeal
¶14 Under our adversarial system, the parties have the duty to identify legal issues and bring arguments before an impartial tribunal to adjudicate their respective rights and obligations. This duty of the parties exists in both the trial court and in the appellate court. If the parties fail to raise an issue 2 in either the trial or appellate court, *450 they risk losing the opportunity to have the court address that issue.
¶15 When a party fails to raise and argue an issue in the trial court, it has failed to preserve the issue, and an appellate court will not typically reach that issue absent a valid exception to preservation.
Patterson
,
¶16 When a party fails to raise and argue an issue on appeal, or raises it for the first time in a reply brief, that issue is waived and will typically not be addressed by the appellate court.
4
Allen v. Friel
,
¶17 Preservation and waiver are not mutually exclusive. There are at least four possible interactions between these two requirements. First, a party may have preserved an *451 issue in the trial court and properly raised it on appeal. In this instance, the appellate court will typically address the issue. Second, a party may have preserved an issue, but failed to properly raise it on appeal, thus waiving it. Third, a party may have failed to preserve an issue in the trial court, but seeks to raise it on appeal. In this instance, the party must argue an exception to preservation. Finally, a party may have failed to preserve an issue in the trial court, and failed to raise and argue the issue on appeal. 5 In any of the second through fourth examples, this court will not typically reach the issue absent some recognized exception.
II. EXCEPTIONS TO PRESERVATION
¶18 As mentioned above, parties are required to raise and argue an issue in the trial court "in such a way that the court has an opportunity to rule on [it]."
Patterson v. Patterson
,
¶19 This court has recognized three distinct exceptions to preservation: plain error, ineffective assistance of counsel, and exceptional circumstances. When an issue is not preserved in the trial court, but a party seeks to raise it on appeal, the party must establish the applicability of one of these exceptions to persuade an appellate court to reach that issue.
A. Plain Error
¶20 "To demonstrate plain error, a defendant must establish that '(i) [a]n error exists; (ii) the error should have been obvious to the trial court; and (iii) the error is harmful ....' "
State v. Holgate
,
¶21 For an error to be obvious to the trial court, the party arguing for the exception to preservation must "show that the law governing the error was clear," id. ¶ 16, or "plainly settled," id. ¶ 18, "at the time the alleged error was made," id. ¶ 16. For it to be harmful, the error must be shown to have been "of such a magnitude that there is a reasonable likelihood of a more favorable outcome for the defendant." Id . ¶ 22 (citations omitted). This test is "equivalent to the prejudice test applied in assessing claims of ineffective assistance of counsel." Id . In determining if the harm was prejudicial, we determine whether there is a "reasonable probability" that, " 'but for' the alleged error," the outcome in the case would have been different. Id .
B. Ineffective Assistance of Counsel
¶22 Ineffective assistance of counsel is sometimes characterized as an exception to preservation.
See
State v. Griffin
,
¶23 Ineffective assistance of counsel is thought of as an exception to preservation because a claim for ineffective assistance does not mature until after counsel makes an error. Thus, while it is not a typical exception to preservation, it allows criminal defendants to attack their counsel's failure to effectively raise an issue below that would have resulted in a different outcome.
See
State v. Roth
,
C. Exceptional Circumstances
¶24 Utah appellate courts have characterized the exceptional circumstances exception as "ill-defined,"
see
Holgate
,
1. Robison Did Not Contemplate an Extension of Exceptional Circumstances
¶25 The court of appeals erred when it determined that
Robison
extended the scope of the exceptional circumstances doctrine. Two members of the court of appeals panel, writing separately, concluded that
Robison
applied and extended the exceptional circumstances exception in the context of the preservation rule. They understood
Robison
as an exceptional circumstances case because of its reliance on
State v. Breckenridge
,
¶26 In
Robison
, we distinguished between the case where an appellate court may reach an issue that was not preserved in the trial court and the case where a court may raise an issue
sua sponte
that was waived by the parties on appeal. We reviewed a court of appeals' decision in which it ruled on an issue that was not preserved in the trial court, and was waived by the parties on appeal.
Robison
,
¶27 Thus, when a party realizes an important issue was not preserved in the
*453
trial court, but wishes an appellate court to address that issue, the party must argue that an exception to preservation applies. However, when the appellate court itself identifies and reaches an issue
sua sponte
that was waived on appeal, something different is at play. While both the willingness of an appellate court to address an issue not preserved at trial and the willingness to address an issue not argued on appeal are an exercise of the same discretion,
see
Patterson
,
¶28 Our opinion was intended to explain when it is appropriate for appellate courts to address an issue
sua sponte
that was waived on appeal and what steps must be taken to ensure fairness to the parties, such as requesting supplemental briefing.
Robison
,
2. Clarification of Exceptional Circumstances
¶29 The exceptional circumstances doctrine is applied "sparingly, reserving it for the most unusual circumstances where our failure to consider an issue that was not properly preserved for appeal would have resulted in manifest injustice."
Adoption of K.A.S.
,
¶30 Historically, we have on occasion taken exception to preservation rules when a "palpable error" was observed on the record.
State v. Cobo
,
¶31 It wasn't until
State v. Gibbons
in 1987 that we expressly recognized a distinction between plain error and exceptional circumstances.
¶32 In
Gibbons
, we remanded the issue of whether the defendant had willfully and voluntarily entered a guilty plea, despite the defendant's failure to preserve the issue below.
¶33 In
State v. Haston
, we recognized a rare procedural anomaly when controlling precedent is issued that abolishes the offense for which the defendant was convicted while the defendant's appeal is pending.
¶34 In
State v. Lopez
, the defendant was pulled over for turning without using a signal.
¶35 In
State ex rel. D.B.
, we recognized a rare procedural anomaly "when the alleged error first arises in the lower court's final order or judgment and thus, leaves no opportunity for the party to object ...."
*455
¶36 Recently, in
Adoption of K.A.S.
, we held that a rare procedural anomaly existed "[w]hen a party [was] appointed counsel who refuse[d] to make an argument for the right to counsel when that right [was] challenged."
¶37 Once a party has shown that a rare procedural anomaly has occurred, the court must then consider the effects of the anomaly, and whether those effects warrant an exception to our preservation requirement. Additional factors to be considered include: whether "our failure to consider an issue that was not properly preserved for appeal would ... result[ ] in manifest injustice,"
State v. Munguia
,
¶38 As the foregoing discussion suggests, the category of exceptional circumstances as a "carve out," or exception, to the preservation rule has been anchored in the idea of rare procedural anomalies, but its precise contours require case-by-case assessment. What should be clear, however, is that it is not a catch-all category that may be used to do the work of other exceptions, like plain error, nor should it be viewed as a free-floating justification for ignoring the legitimate concerns embodied in the preservation and waiver rules.
¶39 We acknowledge that our precedent has evolved in this area; it is possible that it will continue to evolve as we confront future challenges concerning the scope of appellate review when preservation and waiver are at issue. At present, however, the exceptions discussed above-plain error, ineffective assistance of counsel, and exceptional circumstances-provide the standards for exercising review on appeal. We turn now to the question of when an appellate court may reach sua sponte an issue waived on appeal, as occurred in this case.
III. SUA SPONTE TREATMENT OF AN ISSUE WAIVED ON APPEAL
¶40 Utah's appellate courts have on occasion raised and treated issues sua sponte that were not raised in the briefs and were therefore waived. Any time a judge raises an otherwise overlooked or unargued issue, the judge arguably undertakes an advocacy role to some extent, as it is the parties' duties to *456 raise and argue the issues. 8 This is perhaps one of the major reasons our appellate system places significant emphasis on procedural regularity.
¶41 However, at times, we have sacrificed procedural regularity and a strict adherence to the adversarial model when "considerations of fairness and justice outweigh the considerations underlying the general policy of deference to the adversarial process."
Blumberg Assocs. Worldwide, Inc. v. Brown & Brown of Connecticut, Inc.
,
¶42
State v. Robison
attempted to locate a balance between these considerations.
¶43 While Robison established the test for when the court of appeals may raise an issue sua sponte , another footnote noted, "[a]s a court of last resort, [the supreme court] ha[s] the authority to decide on whatever grounds we deem appropriate, regardless of preservation or presentation ." Id . ¶ 25 n.5 (emphasis added). Robison thus purported to limit the court of appeals' ability to reach issues waived on appeal, while reserving for this court broad discretion to reach any issue, whether waived or unpreserved, as long as it is exercised "cautiously and rarely." Id . This distinction was dicta , and we now conclude that any distinction between this court's authority and that of the court of appeals' to address unpreserved issues, or raise waived issues sua sponte , is unwarranted and should not be the rule.
¶44 The disposition of this case requires us to examine first the general question of when appellate courts may reach an issue sua sponte that could result in reversing a lower court on grounds that were not argued on appeal. 9 In order to reach an issue that was waived by the parties on appeal, we conclude that the appellate court should usually allow the parties to argue the issue, and that the court should examine closely the appropriateness of acting despite the existence of waiver.
¶45 Before addressing an issue that has been waived on appeal, an appellate court should typically allow some form of argument from the parties to "test a notion of [the court's] own invention before using it to justify a reversal."
Robison
,
¶46 Some arguments, as opposed to issues, are so minor as to not require any additional argument from the parties.
See
supra
¶ 14 n.2. For instance, the court may cite a case in its opinion that was not cited by either party without further argument when that case is merely explanatory or assists in the analysis of an issue that was properly brought by the parties.
Patterson
,
¶47 As mentioned above,
supra
¶ 17, there are four interactions between preservation in the trial court and waiver on appeal. 1) When an issue is preserved at trial and properly argued on appeal, appellate courts should typically reach that issue absent some defect in briefing,
see
Bank of Am. v. Adamson
,
¶48 There are limited circumstances when it is appropriate for an appellate court to raise an issue
sua sponte
that was waived by appellate counsel, regardless of whether it was preserved at trial. In each of these exceptions, we start with the presumption that, "[i]n general, if a [party] has not raised an issue on appeal, [an appellate court] may not consider the issue sua sponte."
Allen v. Friel
,
1. Issues Were Preserved at Trial, or a Valid Exception to Preservation Exists, but the Issues Were Waived by the Parties on Appeal
¶49 An appellate court may raise a waived issue
sua sponte
when, 1) the issue was preserved below or if a valid exception to preservation exists,
10
see
Blumberg Assocs.
,
2. Issues Were Not Preserved at Trial and Were Not Raised on Appeal
¶50 Appellate courts may reach an issue when the issue was not preserved, there is no valid exception to preservation, and it was not raised by the parties on appeal in the following instances. First, it is always appropriate for an appellate court to raise possible issues concerning subject matter jurisdiction or joinder of a necessary and indispensable party, regardless of whether such issues were argued on appeal or preserved in the trial court.
See
State v. Lane,
¶51 Second, an appellate court may reach a waived and unpreserved issue when it is 1) a purely legal issue, 2) that is almost certain to arise and assist in the analysis in other cases, 3) is necessary to correctly determine an issue that was properly raised, and 4) neither party is unfairly prejudiced by raising the issue at that point or neither party argues that they are unfairly prejudiced.
13
See, e.g.,
Utah Dep't of Transp. v. Admiral Beverage Corp.
,
*459
¶52 Finally, there are times when a statute or rule allows for the treatment of an issue that is unpreserved and waived by the parties on appeal.
See
UTAH R. CRIM . P. 22(e) (2015)
15
("The court may correct an illegal sentence ... at any time.");
State v. Houston
,
¶53 The foregoing standards for exercising appellate review of issues waived on appeal are intended to provide a baseline assessment of where the proper balance between procedural regularity and adjudicative fairness lies. It is unlikely that our current assessment is exhaustive, and it may require adjustment as cases arise in unforeseen circumstances leading to unforeseen questions. We anticipate that appellate litigants and our colleagues on the court of appeals will be alert to the application and necessary refinements to the process we have outlined here.
IV. APPLICATION TO THIS CASE
¶54 Having determined when it is appropriate for an appellate court to raise sua sponte an issue that was waived on appeal, we now apply this analysis to this case. The issue raised by the court of appeals was not raised by the appellant in his opening brief, nor was it preserved in the trial court. As noted above, an appellate court may only reach the waived and unpreserved issue sua sponte if the issue deals with subject matter jurisdiction, there is a statute or rule allowing the court to reach the issue, it meets the purely legal issue exception to waiver and preservation laid out supra paragraph 51, or it meets the Robison exception to waiver and preservation laid out supra paragraph 49.
¶55 The issue raised by the court of appeals
sua sponte
was whether a jury instruction misstated the
mens rea
of the lesser included offense of homicide by assault. Under Utah Code section 76-5-209, a person commits homicide by assault when "a person causes the death of another," under circumstances "not amounting to aggravated murder, murder, or manslaughter," "while
intentionally or knowingly attempting
, with unlawful force or violence,
to do bodily injury to another
." (Emphasis added). The instruction stated that Mr. Johnson was guilty of homicide by assault if he killed the victim, "under circumstances not amounting to aggravated murder, murder, or manslaughter," and that "he did so intentionally or knowingly
while
attempting, with unlawful force or violence, to do bodily injury to" the victim. (Emphasis added). As the court of appeals stated, the instruction "places the 'while' after the mens rea language, separating the 'intentionally and knowingly' elements from the act of assault."
State v. Johnson
,
¶56 This issue did not address subject matter jurisdiction or joinder, nor did it involve one of the rare instances in which a statute or rule permits sua sponte review of an unpreserved issue. And, while the incorrect jury instruction poses a purely legal issue, this issue is not likely to have bearing in the analysis in other cases as the alleged instructional error was specific to the instructions submitted in this case. As we noted above, an appellate court may address an unpreserved and waived issue when it is, 1) a purely legal issue, 2) that is almost certain to *460 arise and assist in the analysis in other cases, 3) is necessary to correctly determining an issue that was properly raised, and 4) neither party is unfairly prejudiced by raising the issue at that point or neither party argues that they are unfairly prejudiced. See supra ¶ 51. The jury instruction in this case merely misstates the mens rea component of homicide by assault. This error does not implicate serious questions of statutory interpretation.
¶57 This leaves only the question of whether the issue identified by the court of appeals qualifies under the Robison exception. See supra ¶ 49. We therefore examine whether 1) there is a valid exception to preservation, 2) the jury instructions were astonishingly erroneous but undetected, 3) Mr. Johnson would be subject to great and manifest injustice if we did not reach the claim that the jury instruction was incorrect, and 4) whether any party is unfairly prejudiced by raising the issue for the first time by the court of appeals. See supra ¶ 49. We first determine that plain error, ineffective assistance of counsel, and exceptional circumstances do not apply here. 16 Because of this, we do not reach the rest of the Robison test.
¶58 The plain error exception is inapplicable here because Mr. Johnson invited any error by submitting the homicide by assault instruction to the court.
See
State v. Moa
,
¶59 The ineffective assistance of counsel exception also does not apply because Mr. Johnson never raised it in his opening brief or in his supplemental brief to the court of appeals.
Johnson
,
*461
¶60 Because the plain error and the ineffective assistance of counsel exceptions to the preservation rule do not apply in this case, we finally consider the exceptional circumstances exception. As discussed above, we apply the exceptional circumstances doctrine to reach an unpreserved issue where a rare procedural anomaly either prevented an appellant from preserving an issue, or excused a failure to do so, and further factors weigh in favor of review.
Supra
¶¶ 29-39. We apply this exception "sparingly, reserving it for the most unusual circumstances where our failure to consider an issue that was not properly preserved for appeal would ... result[ ] in manifest injustice."
State v. Munguia
,
¶61 In this case, neither Mr. Johnson nor the court of appeals has pointed to any procedural anomaly that hindered Mr. Johnson's ability to make a timely objection to the homicide by assault jury instruction. At best, Mr. Johnson's trial counsel inadvertently proposed an erroneous instruction and failed to detect the error and object to it. But the exceptional circumstances exception "requires something much more exceptional than mere oversight by trial counsel in failing to object."
State v. Irwin
,
¶62 Mr. Johnson has failed to establish any rare procedural anomaly that meets the high burden of exceptional circumstances. As noted, the plain error and ineffective assistance of counsel exceptions are likewise unavailing. Because there is no valid exception to preservation, we do not address the remaining elements of the Robison exception to waiver. Our preservation and waiver doctrines, and the demands for procedural regularity, precluded the court of appeals from reviewing the jury instruction.
CONCLUSION
¶63 We hold that the court of appeals erred in overruling the trial court
sua sponte
on an issue that was neither preserved in the trial court nor argued on appeal. We reverse and remand for consideration of the other arguments that Mr. Johnson briefed, but that were not resolved by the court of appeals.
See
State v. Geukgeuzian
,
Associate Chief Justice Lee, concurring in the judgment.
Associate Chief Justice Lee, concurring in the judgment:
¶64 I agree with the majority's determination that "the court of appeals erred in overruling the trial court
sua sponte
on an issue that was neither preserved in the trial court nor argued on appeal."
Supra
¶ 63. And I applaud the majority for limiting and repudiating elements of the standard set forth in
State v. Robison
,
¶65 The "issue" addressed by the court of appeals in this case concerned the correctness of the "homicide by assault" instruction given to the jury. That was a distinct "claim of error" that was neither preserved in the district court nor raised by the appellant on appeal. And I see no basis for an appellate court to introduce that kind of "issue" sua sponte . I would so conclude, while providing *462 a more fulsome repudiation of the standard in Robison as applied to issues (distinct claims of error ) like the one presented here.
¶66 In the paragraphs below, I first articulate the basis on which I would decide this case-in a simple statement that appellate courts have no discretion to raise distinct claims of error that were neither preserved below nor presented on appeal. Then I outline concerns I have with the court's contrary approach, highlighting the lack of any support in the authority cited in the majority opinion for the sweeping notion of appellate discretion to introduce claims of error not raised at any point by the parties.
I
¶67 Our adversary system of justice relies on the parties to identify the "claims" presented for judicial decision. At the trial court level, we treat the plaintiff as the "master of the complaint." 1 That means that the plaintiff has the prerogative of identifying the claims or causes of action she seeks to sustain in court. And we honor the plaintiff's prerogative. Our courts are empowered to adjudicate only the claims or causes of action alleged by the plaintiff. In our adversary system our courts do not direct plaintiffs to advance claims they have not pled.
¶68 We would never tell a plaintiff who pleaded only a negligence claim that we think she should have framed her case in strict liability terms-and direct the parties to litigate that claim.
See
Combe v. Warren's Family Drive-Inns, Inc.
,
¶69 Indeed our law of claim preclusion dictates the opposite. It gives a party who defends against one claim arising out of a particular set of facts the right not to face an alternative claim that could have been but was not asserted earlier.
See
Gillmor v. Family Link, LLC
,
¶70 Our appellate process is similar. On appeal it is the appellant who is the "master"-the party who identifies "claims" to be disposed of by the court. In appellate parlance we speak of "claims of error"-decisions made by a lower court requiring reversal of the court's judgment.
See
State v. Kell
,
¶71 A parallel principle applies to the appellant's briefing. Under our briefing rules the appellant's
opening brief
must identify any and all judgments or orders that are challenged on appeal.
See
UTAH R. APP . P. 24(c). The failure to raise such a challenge in the brief amounts to forfeiture.
See
Brown v. Glover
,
¶72 These rules define the scope of the claims presented for the court's consideration on appeal. For good reasons: (a) the appellee "is entitled to know specifically which judgment[s]" or orders are "being appealed,"
Jensen
,
¶73 For the above reasons we would not have allowed Mr. Johnson to raise a challenge to the "homicide by assault" jury instruction if he had sought to raise it on appeal for the first time at oral argument (as the court of appeals did). At that point, the time for Mr. Johnson to assert a claim of error in connection with this jury instruction was long past. Principles of finality and repose would thus have dictated a decision not to reach this question on appeal.
¶74 It is no answer to say that it was the
court of appeals
(and not Mr. Johnson) who introduced this claim of error. If an advocate for a party is barred from asserting a claim, then the court is
a fortiori
barred. Ours is an adversary system. Within it judges are sworn to follow the law in an evenhanded, objective manner. We sidestep that system when we take on a role of advocacy.
See
United States v. Pryce
,
¶75 And in my view the decision to advance a claim for relief-either a cause of action in the district court or a claim of error on appeal-is the distinct prerogative of a party. We cross a line we should not cross when we seize the role of identifying claims we wish the parties had advanced. We cannot assert that role while maintaining a role of neutral arbiter.
¶76 I would so hold. I would repudiate the standard set forth in Robison to the extent it could be read (and was read by the court of appeals) to endorse the power of an appellate court to introduce claims of error not raised by an appellant.
¶77 In so doing I would leave room for the notion of an appellate prerogative of seeking supplemental briefing on issues or arguments of relevance to the disposition of a claim that is properly before the court . See supra ¶ 14 n.2 (indicating that "new arguments , when brought under a properly preserved issue or theory, do not require an exception to preservation"). That, as the majority indicates, is a long-settled practice. In keeping with our role in the adversary system, we must also acknowledge our duty to pronounce correct principles of law. And to fulfill that duty we may occasionally request additional argument or analysis on issues necessarily implicated by the claims that are presented for our decision.
¶78 But that is a different matter than the one presented here. No claim presented for *464 decision requires us to assess the correctness of the "homicide by assault" instruction. And for that reason I see no basis for the majority's decision to expound at length on the standards governing our decision to request supplemental briefing on issues necessarily implicated by the claims briefed for our decision. I would save that for another day. I would simply hold that the court of appeals erred in sua sponte raising a claim of error that was neither preserved nor presented by the defendant on appeal.
II
¶79 The majority echoes many of the principles discussed above. It reinforces the "dominance" of the adversary system and concludes that our appellate system "more closely resembl[es] the writ-of-error model" of review. Supra ¶¶ 9-10. And it repudiates some of the premises of the Robison standard for sua sponte consideration of "issues" not preserved or raised by the parties.
¶80 To that extent I agree with the majority. Yet the court also presents an alternative "model" of appellate review-the "appeal in equity" approach, which was embraced historically by certain courts of equity. Supra ¶ 9. The majority says that " '[a]ppellate courts in equity were free to consider any issue de novo' and 'developed flexible procedures to address the needs of individual cases.' " Supra ¶ 9 (quoting Barry A. Miller, Sua Sponte Appellate Rulings: When Courts Deprive Litigants of an Opportunity to Be Heard , 39 SAN DIEGO L. REV . 1253, 1263 (2002) ). And it cites cases and commentary in support of the proposition that our appellate system incorporates components of both models. The upshot, in the majority's view, is that American appellate courts "wrestle[ ] with the correct balance between law and equity and the scope of review on appeal" and retain extensive discretion to raise new "issues" not preserved or argued by the parties. See supra ¶ 11.
¶81 I think the majority understates the degree to which our American appellate system has embraced the adversarial ("writ of error") model. And it overstates the matter quite dramatically to suggest that we retain the discretion of a court exercising power over an "appeal in equity." Our appellate system looks nothing like the "appeal in equity" model described by the majority. We have never left our appellate courts "free to consider any issue de novo" regardless of whether it was preserved or raised by the parties. Certainly we have not endorsed the majority's implicit premise that appellate courts retain the authority to identify claims of error not raised by an appellant-to root around in the record in search of a decision made by the trial court that offends our sense of fairness, and thus our confidence in the "equity" of the proceeding below.
¶82 The majority presents purportedly contrary authority. But much of the cited authority is taken out of context.
5
Some of the cited cases address only the court's authority to embrace exceptions to the law of preservation,
see
State v. Holgate
,
*465 But that is not the question presented here. 7 Here we are confronted with the question of an appellate court's authority to identify a brand new claim of error-a jury instruction never objected to, not raised on appeal by the defendant, and not necessary to the disposition of claims properly before the court.
¶83 I find very little precedent for that kind of sweeping power. I do not doubt that American courts have occasionally taken upon themselves that sort of discretion. But it strikes me as problematic for them to do so-for all of the reasons noted above. See supra ¶¶ 67-78. And I would not endorse that prerogative here.
¶84 I would hold that the decision of which claims of error to advance on appeal is a matter for the appellant. And I would expressly foreclose our appellate courts from identifying new claims of error sua sponte .
The signed, one-page verdict form found in the record makes no mention of the lesser offense of homicide by assault. The court of appeals granted the State's motion for a remand to the trial court to supplement the record regarding the verdict forms provided to the jury.
State v. Johnson
,
In
Patterson
, this court rejected the "distinction between 'issues' and 'arguments' when determining whether to apply our preservation rule."
For instance, in
Patterson
, we cited
In re Estate of Sims
,
Carrier v. Salt Lake Cty. ,2004 UT 98 , ¶¶ 42-43,104 P.3d 1208 (refusing to consider appellant's argument that it was entitled to attorney fees under the private attorney general doctrine because the issue was not argued below); 438 Main St. v. Easy Heat, Inc. ,2004 UT 72 , ¶¶ 50-52,99 P.3d 801 (declining to address appellant's challenge to the district court's findings of fact because the district court had not been sufficiently "alerted" to the error claimed on appeal); Shayne v. Stanley & Sons, Inc. ,605 P.2d 775 , 776 (Utah 1980) (rejecting appellant's negligence claim because it was not argued below); [ James v. ] Preston , 746 P.2d [799,] 801 [ (Utah Ct. App. 1987) ] (refusing to address appellant's equitable mortgage theory because appellant did not raise it sufficiently before the district court).
We have also recognized that an issue is considered preserved in some circumstances when "[t]he district court[ ] deci[des] to take up the question" on its own.
Fort Pierce Indus. Park Phases II, III & IV Owners Ass'n v. Shakespeare
,
This is not to be confused with when an issue is waived in the trial court. This overlap of terminology can cause confusion. Waiver, in the context of raising an issue before a court, is generally the relinquishment or abandonment of an issue before a trial
or
appellate court. Waiver may be express, such as through a stipulation of the parties,
see
Redev. Agency of Salt Lake City v. Tanner
,
Waiver may thus occur in trial courts and in appellate courts. If an issue has been waived in the trial court, that issue is not preserved for appeal.
Salt Lake City Corp. v. Jordan River Restoration Network
,
These are the basic interactions between these requirements. There are other instances in which preservation and waiver interact, such as when an appellant fails to preserve an issue below but the appellee waives their argument on appeal that the appellant failed to preserve the issue. We do not address the effect of such an interaction in this opinion; we merely note that other interactions between waiver and preservation may exist.
The evolution in our case law is highlighted by
Breckenridge
(a thirty-four-year-old case). In
Breckenridge
, the court justified its
sua sponte
identification of an issue that was waived on appeal by using an exception to preservation.
The K.A.S. court noted that
Our holding today should not be construed to mean that the exceptional circumstances exception applies any time a lawyer fails to make an argument. Rather, our holding is intricately tied to the deprivation of counsel under the unique facts of this proceeding. Here, a lawyer was appointed, but abdicated all responsibility by failing to make any argument regarding L.E.S.'s right to representation, constructively denying L.E.S. counsel and leaving him without the technical ability to present to the district court his own, separate argument for counsel. Moreover, L.E.S. is without a meaningful malpractice action as that does not provide a vehicle for regaining his parental rights in K.A.S.
Adoption of K.A.S.
,
This problem exists regardless of any measures taken to limit the effects of such an action, such as ordering supplemental briefing. If the judge raises an entirely new issue, it is obviously acting more as an advocate than if it simply orders supplemental briefing on an issue that was raised, but was inadequately briefed. However, in either instance, the judge is asking the parties to address a matter that it would not typically reach and that could ultimately alter the outcome of the case.
In
Robison
, we discussed when it is appropriate for an appellate court to affirm a district court on other grounds.
It would be best in these cases to include in a supplemental briefing order, or in another request for additional argument, a statement that the parties must demonstrate that the issue was preserved below (if not apparent from the record), or show that there is a valid exception to preservation.
As we noted in
Robison
, a "great and manifest injustice" is likely to occur only in a criminal proceeding where "the deprivation of personal freedoms is at stake."
In Connecticut, a party is required to argue unfair prejudice when seeking an exception to preservation.
Blumberg Assocs.
,
Unfair prejudice in this instance is the same as that identified supra paragraph 49.
There is overlap between this exception and when a court may raise an issue sua sponte that meets the Robison exception laid out supra paragraph 49. While the court may raise an issue sua sponte under the purely legal issue exception, the same issue might also be able to be raised under the Robison exception. For this reason, when an appellate court seeks supplemental briefing or other argument on an issue identified by the court that was waived by the parties on appeal, the court should ask the parties to discuss whether either of these exceptions apply.
This rule was amended in 2016 to more specifically detail the circumstances under which a court may correct a sentence.
While we directly address the three exceptions to preservation, unpreserved arguments that jury instructions are incorrect are governed by Utah Rule of Criminal Procedure 19(e). This rule states: "Unless a party objects to an instruction or the failure to give an instruction, the instruction may not be assigned as error except to avoid a manifest injustice." Utah R. Crim . P. 19(e). Although we have not definitively charted the outer bounds of what constitutes "a manifest injustice" under this rule, we hold that this term incorporates the exceptions to the preservation requirement. First, "in most circumstances the term 'manifest injustice' is synonymous with the 'plain error' standard."
State v. Alinas
,
The court of appeals noted that there was at least some room to doubt that the district court used the instruction submitted by defense counsel because the proposed instruction was not added to the record.
Johnson
,
Lincoln Prop. Co. v. Roche
,
Cf.
In re Baby Girl T.
,
See
Girard v. Appleby
,
Cf.
Patterson v. Patterson,
Much of the confusion in this field stems from imprecision in terminology. Sometimes courts use the term "issue" to mean new arguments or new analysis of relevance to the disposition of claims properly presented. And that seems fine. But the majority speaks extensively of the appellate discretion to address "issues" not preserved or raised by the parties. As presented here, the new "issue" is a brand new claim of error. It is true that "Utah courts have conflated the words 'issue,' 'claim,' 'argument,' and 'matter,' "
Patterson v. Patterson
,
See
Patterson
,
We can imagine a case in which the distinction between a new
claim
and
additional analysis
on existing claims is a close call.
See, e.g.,
Patterson
,
Reference
- Full Case Name
- STATE of Utah, Appellee, v. Michael Waddell JOHNSON, Appellant.
- Cited By
- 246 cases
- Status
- Published