Frazier v. United States
Frazier v. United States
Frazier v. United States
497
69 S.Ct. 201
93 L.Ed. 187
FRAZIER
v.
UNITED STATES.
No. 44.
Argued Oct. 15, 1948.
Decided Dec. 20, 1948.
Rehearing Denied Jan. 31, 1949.
As Amended Feb. 14, 1949.
Petitioner's primary complaint is that he has been denied the trial 'by an
impartial jury' which the Sixth Amendment guarantees. He was convicted of
violating the Harrison Narcotics Act,1 By a jury composed entirely of
employees of the Federal Government. One juror, Moore, and the wife of
another, Root, were employed in the office of the Secretary of the Treasury,
who is charged by law with responsibility for administering and enforcing the
federal narcotics statutes.2 As against objections based on these facts and other
matters, the Court of Appeals affirmed petitioner's conviction and sentence. 82
U.S.App.D.C. 332, 163 F.2d 817. He has sought relief here by application for
certiorari limited to the issues relating to the jury's selection and composition.
To Review the determination made of them by the Court of Appeals we granted
certiorari. 333 U.S. 873, 68 S.Ct. 896.
petitioner had xhausted his ten peremptory challenges, voir dire examination
had been completed, and the twelve jurors who tried the case had been
qualified; and, either separately or in conjunction with his other objections,3 a
claim of reversible error on account of the inclusion of Moore and Root as
jurors. An adequate understanding of the issues thus raised requires a
condensed statement of the proceedings followed in the DistrictCourt in the
selection of the jury.
3
Pursuant to customary practice, those proceedings began with the seating in the
box of twelve prospective jurors for purposes of examination on voir dire.
These twelve had been chosen previously, in accordance with prevailing
practice, from jury lists maintained to supply grand and petit juries for all
divisions of the District Court. Cf. D.C. Code 111401 et seq. There is no
claim that those lists were improperly made up. The usual preliminary
examination began and continued until the noon recess, as is later noted, with
counsel raising no question concerning the constitution of the lists or the panel.
To replace them and the one excused by the court, others including Root were
called from time to time, and were examined in substantially the same manner
as the original twelve. Altogether they numbered thirteen, nine Government
employees, two in private employment, and two the nature of whose work does
not appear. Of the latter, one was excused by the court and the other
peremptorily challenged by the prosecution. Petitioner peremptorily challenged
both of those in private employment and one of the nine in Government service.
This exhausted petitioner's peremptory challenges and left eight unchallenged
Government employees to join the four like ones originally called in composing
the twelve who made up the jury as finally chosen.4
The Process of selection was interrupted shortly before noon, when petitioner
still had two unused peremptory challenges, by a shortage of veniremen.
Anticipating that others would be available later in the day, the court adjourned
until 2:30 p.m. On its reconvening, additional prospective jurors were available.
But petitioner then moved for the first time to strike the entire panel for alleged
irregularity in the method used for selecting it, asserted to have been discovered
by counsel through 'a little investigation' during the noon recess. The court
denied the motion, with leave to renew the objection in a motion for a new trial
if petitioner should be convicted.5 The material part of the colloquy relating to
these proceedings and disclosing the grounds for the motion and its denial is set
forth in the margin.6
7
Petitioner then exercised his two remaining peremptory challenges, after which
he inquired of the twelve jurors then impaneled how many were employed by
the Government. When all indicated they were, petitioner challenged the jury
as impaneled for cause. The challenge and the court's ruling in denial of it
appear below.7 Although counsel sought to intermingle with this challenge the
one previously made to the panel,8 the two are distinct attacks and must be
treated separately.
I. The method of selecting the panel.Apart from the objection that this
challenge came too late, cf. Agnew v. United States, 165 U.S. 36, 17 S.Ct. 235,
41 L.Ed. 624, it is without merit. It consists exclusively of counsel's statements,
unsworn and unsupported by any proof or offer of proof. The Government did
not explicitly deny those statements. But it was under no necessity to do so. The
burden was upon the petitioner as moving party 'to introduce, or to offer,
distinct evidence in support of the motion.' Glasser v. United States, 315 U.S.
60, 87, 62 S.Ct. 457, 472, 86 L.Ed. 680. See also Smith v. State of Mississippi,
162 U.S. 592, 16 S.Ct. 900, 40 L.Ed. 1082; Tarrance v. State of Florida, 188
U.S. 519, 23 S.Ct. 402, 47 L.Ed. 572; Martin v. State of Texas, 200 U.S. 316,
26 S.Ct. 338, 50 L.Ed. 497; cf. Brownfield v. State of South Carolina, 189 U.S
426, 23 S.Ct. 513, 47 L.Ed. 882.
Of itself this failure in tender of proof would require denial of the motion. But
even if proof had been made or offered there would have been no showing
sufficient to require contrary action. The statements, if treated as allegations,
comprehended in substance but two things. One was the very brief statement of
facts relating to the procedure followed, namely, the subpoenaing of about five
hundred jurors, their equal division for assignment to two branches of the court,
and that those in each group who did not wish to serve were 'told to step to one
side.' This was all in the way of facts. From them followed counsel's vague and
general conclusion that the remaining number, from which it was said jurors
were picked, 'consisted mostly of Government employees and housewives, and
unemployed.' Counsel then urged that this furnished basis for applying the
decision in Thiel v. Southern Pacific Co., 328 U.S. 217, 66 S.Ct. 984, 90 L.Ed.
1181, 166 A.L.R. 1412, as not affording 'a proper cross-section.'
10
The trial court rightly held the Thied case inapplicable, for the reasons that it
requires a showing of systematic exclusion or attempt to exclude from the panel
12
13
14
Here petitioner was given a fairly and lawfully selected panel. From it all
disqualified for cause were excused. The fully qualified jurors remaining were
fairly evently distributed among persons publicly and privately employed. For
reasons entirely his own, petitioner chose to eliminate the latter and retain the
former. This was a deliberate choice, not an uninformed one. We need draw no
conclusion concerning whether or not it was made for the purpose of creating
the basis now asserted for objecting to the jury's composition.12 Rather we must
take it as having been made exactly for the purpose for which the right was
given, namely, to afford petitioner an opportunity beyond the minimum
requirements of fair selection to express an arbitrary preference among jurors
properly selected and fully qualified to sit in judgment on his case. Cf. note 11.
Any other view would convict him of abusing his privilege. This we are
unwilling to do.
15
By the same token we are not willing to join in repudiating the consequences of
his own selection. We take petitioner at his word as expressed by his repeated
choices. The fact that he exercised his peremptory challenges as he did, so
frequently and consistently to eliminate privately employed jurors and retain
only Government employees, hardly can be said to give cause for him to claim
overweighting of the jury with Government employees. There was no defect of
the panel in this respect. Nor is there any claim or basis for one that the
prosecution utilized its peremptory challenges to bring about a jury constituted
only of them. It would be going very far to say that in the circumstances shown
by this record petitioner was deprived, either in law or in fact, of an impartial
jury or indeed of one fairly representative of the community. If deprivation
there was, even in the latter sense,13 it was the result of his own choice, not of
imperfection in the choices tendered him by law or in th procedures of selection
afforded.
16
In ruling upon petitioner's objection the trial judge assessed the situation as
follows: 'Chance has resulted in this jury panel of twelve being composed of
Government employees, but the jury list from which they by chance were
selected is a mixture of Government employees and private employees.14 Even
in this view of what took place, petitioner has no cause to complain. The wellsettled rule is that, given a lawfully selected panel, free from any taint of invalid
exclusions or procedures in selection and from which all disqualified for cause
have been excused, no cause for complaint arises merely from the fact that the
jury finally chosen happens itself not to be representative of the panel or indeed
of the community.15 There is, under such circumstances, no right to any
particular composition or group representation on the jury.16
17
Finally, in this phase of the case, United States v. Wood, 299 U.S. 123, 57 S.Ct.
17
177, 81 L.Ed. 78, goes far toward precluding petitioner's objection. That
decision sustained the Act of Congress of August 22, 1935, now D.C.Code
1940, 111420, removing (with specified exceptions) the disqualification of
Government employees previously existing in the District of Columbia for jury
service in criminal and other cases to which the Government was a party. The
disqualification had arisen in 1908 by virtue of the decision, made on commonlaw grounds, in Crawford v. United States, 212 U.S. 183, 29 S.Ct. 260, 53
L.Ed. 465, 15 Ann.Cas. 392.
18
19
The Wood case was a criminal prosecution for theft from a private corporation.
Three of the jurors were fede al employees, challenged for cause on that
ground. In sustaining the conviction and the statute the Court first held that
Congress had not 'undertaken to preclude the ascertainment of actual bias,' and
that the question in issue was limited to 'implied bias, a bias attributable in law
to the prospective juror regardless of actual partiality.' 299 U.S. at pages 133,
134, 57 S.Ct. at pages 179, 180. As to this the Court said of the statute, 'The
enactment itself is tantamount to a legislative declaration that the prior
disqualification (under the Crawford ruling) was artificial and not necessary to
secure impartiality.' Id., 299 U.S. at pages 148, 149, 57 S.Ct. at page 186. By
way of sustaining the legislative judgment, the Court added on its own account:
20
21
The Court was not confronted in the Wood case with the exact situation we
21
have here, namely, that all of the jurors finally selected were Government
employees. But the purport of the decision was that the mere fact of
Government employment, without more, would be insufficient under the
statute's mandate to disqualify a juror. Implicit in this was the conception that,
insofar as that fact alone is or may be effective, Government employees and
persons privately engaged were put upon the same basis without any limitation,
explicit or implied, upon the number who might be selected as jurors from
either group.18 The effect of these rulings, we think, was to make Government
employees subject, as are all other persons and in the same manner, to
challenge for 'actual bias'19 and under all ordinary circumstances only to such
challenge. In that view, absent any basis for such challenge, we do not see how
a right to challenge the panel as a whole can arise from the mere fact that the
jury chosen by proper procedures from a properly selected panel turns out to be
composed wholly of Government employees or, a fortiori, of persons in private
employment.
22
The opinion in the Wood case, however, was very careful to stress more than
once that the Sixth Amendment prescribes no specific tests for determining
impartiality. 299 U.S. at page 133, 57 S.Ct. at page 179. It afforded further
assurances, beyond those given by Art. III, 2, par. 3, relating to trial by jury,
inrespect to speed, publicity, impartiality, etc. Id., 299 U.S. at page 142, 57
S.Ct. at page 183. But it did not require in these respects 'the particular forms
and procedure used at common law.' 299 U.S. at page 143, 57 S.Ct. at page
184. The opinion emphasized especially that 'Impartiality is not a technical
conception. It is a state of mind. For the ascertainment of this mental attitude of
appropriate indifference, the Constitution lays down no particular tests and
procedure is not chained to any ancient and artificial formula.' 299 U.S. at
pages 145, 146, 57 S.Ct. at page 185.
23
This seems to contemplate implicitly that in each case a broad discretion and
duty reside in the court to see that the jury as finally selected is subject to no
solid basis of objection on the score of impartiality, even though that basis
might possibly arise through the working of chance or other lawful factors
wholly within the framework of proper procedures for selecting the panel and
choosing the jury from it. Such a situation could arise, if at all, only in the
rarest and most extraordinary combination of circumstances. But even if that
possibility is taken as conceded, for the reasons we have already stated this
case presents no such problem.
24
Petitioner's counsel knew of the employment of Root's wife and that Moore was
a federal employee. He did not inquire where Moore was employed, but could
have known his employment's exact nature.21 It does not appear that either
Moore or Root's wife was connected with the Bureau of Narcotics or had any
duty even remotely relating to its functions or those of the Secretary in relation
to them.22
25
As respects challenge for 'actual bias,' the Wood opinion was careful to put
Government employees on the same basis as prospective jurors privately
employed. It stated:
26
27
Petitioner challenged neither Moore nor Root for 'actual bias,' though afforded
the fullest opportunity legally and factually for doing so. After accepting them
before trial, he could not challenge them successfully in a motion for a new
trial. Queen v. Hepburn, 7 Cranch 290, 297, 3 L.Ed. 348; Raub v. Carpenter,
187 U.S. 159, 23 S.Ct. 72, 47 L.Ed. 119; cf. United States v. Gale, 109 U.S. 65,
3 S.Ct. 1, 27 L.Ed. 857. See Kohl v. Lehlback, 160 U.S. 293, 299-302, 16 S.Ct.
304, 306, 307, 40 L.Ed. 432. Whether or not employment in the Treasury
outside the Narcotics Bureau would constitute ground for challenge for 'actual
bias,'24 such employment in the connections disclosed here affecting Moore and
Root was not so obvious a disqualification or so inherently prejudicial as a
matter of law, in the absence of any challenge to them before trial, as to require
the court of its own motion or on petitioner's suggestion afterward to set the
verdict aside and grant a new trial.
28
The challenge to Moore and Root stands no better if considered, not as a belated
individual challenge for 'actual bias' to each, but as additional support or
buttressing for the challenge to the composition of the jury as a whole. Apart
from the fact that the two sorts of challenge are distinct and are therefore to be
dealt with separately, the challenge to the composition of the jury as made to
the trial court and as ruled upon by it, made no special reference to either
Moore or Root or the particular bases for objecrtion now raised to them.25
Those references, so far as is shown by the record, first appeared in the
30
Affirmed.
31
32
33
Because this semblance of partiality reflects on the courts, even if it does not
prejudice the defendant in a particular case, I am not disposed to labor the
argument as to whether counsel for this defendant did all that he might or
should have done by way of objection. He did protest as soon as it was apparent
what was happening to him, and that seems to me sufficient in face of adverse
rulings. But even if defendant's objection were belated or technically defective,
I still think the court deserves and should require a more neutral jury for its
own appearances, even if defendant does not deserve and cannot demand one.
35
The cause of overloading this jury with persons beholden to the Government is
no mystery and no accident. It is due to a defect in a system which will continue
to operate in the same direction so long as the same practice is followed. While
counsel did not prove it under oath, he stated it for the record and neither the
District Attorney nor the learned Trial Judge, both of whom must have known
the facts, denied or questioned his statement or asked him for better evidence.
That defect is this: when the panel of jurors was drawn, the court appears to
have asked all those who did not wish to serve to step aside, and they were
excused from serving.
36
37
38
Is the result more lawful when it is accomplished by letting one class exclude
themselves, stimulated to do so by the incentive of such a dual system of
compensation?
39
Of course, the defendant and the prosecution each have peremptory challenges,
ten in this case, which enable each without assigning any cause to excuse that
number whom they do not wish to have sit. This defendant used many of his
challenges to excuse talesmen not employed by the Government and it is hinted
that he may have packed this jury against himself. The learned Trial Judge
made no such suggestion, however, and he would be better able than we to
detect such tactics. He blamed the situation on 'chance.' But the fickle goddess
is hardly to be blamed for the result when it can be seen that the cards were
stacked from the beginning. This was plainly the case when we contrast
unequal advantages which the two parties could get from their equal numbers
of challenges.
40
41
government employee take another's place. The Government could vacate the
seat of a nongovernment talesman with no such unwelcome results. The short
of the thing is: in no case where the court has intervened to use its supervisory
power to revise federal jury systems has there been any result so consistently
and inevitably prejudicial to one of the litigants as here, under our noses.
Ballard v. United States, 329 U.S. 187, 67 S.Ct. 261, 91 L.Ed. 181; Thiel v.
Southern Pacific, 328 U.S. 217, 66 S.Ct. 984, 90 L.Ed. 1181, 166 A.L.R. 1412;
Glasser v. United States, 315 U.S. 60, 62 S.Ct. 457, 86 L.Ed. 680. And in cases
where a strong minority of the Court has wanted to go so far as to upset a state
jury system, as offensive to fundamental consideration of justice spelled out
from the due process clause of the Fourteenth Amendment, there has been no
such brazen unfairness in actual practice. Moore v. People of State of New
York, 333 U.S. 565, 68 S.Ct. 705; Fay v. New York, 332 U.S. 261, 67 S.Ct.
1613, 91 L.Ed. 2043.
42
The precedent of United States v. Wood, 299 U.S. 123, 57 S.Ct. 177, 81 L.Ed.
78, on which the Court leans heavily, is a weak crutch. That decision held only
that the absolute disqualification of any federal employee, which had been
declared in Crawford v. United States, 212 U.S. 183, 29 S.Ct. 260, 53 L.Ed.
465, 15 Ann.Cas. 392, could constitutionally be removed by the Congress. In
the case the Court was considering only three out of the twelve were by chance
government beneficiaries and the Court was not confronted with such a
systematic distortion of the jury as was at work here. It held that, individually,
they were not subject to challenge for cause; that is, they were not excusable by
the court merely because they were government employees. But to hold that
one or a few government emplo ees may sit by chance is no precedent for
holding that they may fill all of the chairs by a system of retiring everyone else.
Furthermore, that opinion emphasized that the prosecution in that case was for
larceny from a private corporation. That was not an offense against the Federal
Government as such, except as it has responsibility for prosecuting crimes in
the District that in the state would be a matter of no federal concern or even
jurisdiction. But the prosecution before us is not for an offense of a private
aspect; it is an offense against no one except federal government policy; and the
Secretary of the Treasury, in whose own office one of these jurors was
employed, has exclusive and nationwide responsibility for enforcement of the
law involved.
43
If we admit every fact, premise, argument and conclusion stated in the Court's
opinion, it still leaves this one situation unexplained and unjustified. In federal
courts, over which we have supervisory power, sitting almost within a stone's
throw of where we sit, a system is in operation which has produced and is likely
again and again to produce what disinterested persons are likely to regard as a
packed jury. Approval of it, after all that has been written of late on the subject
of juries, makes these lofty pronouncements sound a little hollow.
44
I would reverse this rather insignificant conviction and end this system before it
builds up into a scandalous necessity for reversal of some really significant
conviction.
45
The objection was renewed in petitioner's motions in arrest of judgment and for
a new trial, and was denied in each instance.
'Mr. Buckley. If your Honor please, I have made a little investigation of the
impaneling or selection of this panel here as well as selection of the other
panels sitting this month, and I most respectfully submit that the method and
procedure used in selecting is irregular, and I am going to move to strike this
whole panel, the reason being this: that from the inquiries I have made, there
were about five hundred or five hundred and a few jurors subpenaedthat is,
individually subpenaed to appear here from which they selected a sufficient
number of jurors here.
'If there were five hundred, they were divided into two groups, two hundred
fifty for one court and two hundred fifty for another court, and of the two
hundred fifty for each court, they were asked how many of those two hundred
fifty did not desire to serve as jurors, to raise their hands, so those who raised
their hands were told to step to one side, and out of the remaining number that
were left they picked the jurors, and the remaining number that were left
consisted mostly of Government employees and housewives, and unemployed.
There are only a few unemployed.
'I know Your Honor has read this case in the Supreme Court, Thiel v. Southern
Pacific Company (328 U.S. 217, 66 S.Ct. 984, 90 L.Ed. 1181, 166 A.L.R.
1412). This is not a proper cross-section.
'The Court. The Thiel case holds that it must be shown that there was a
systematic attempt to exclude a certain type or group of persons. * * * That is
what that case holds, and that is not the situation here.'
'Mr. Buckley. If Your Honor please, with reference to the motion which I made
a while ago, moving to strike the whole panel, I now find myself in this
position. I have exhausted my ten challenges.
'In selecting these different panels on the first Tuesday of the month, the Clerk
says to the five hundred or two hundred fifty, whichever it may be, individuals
who are summoned to appear here, from which to pick the juries, 'All those
who do not desire to serve, step to one side.' That leaves a batch of Government
employees and housewives.
'Now, I have exhausted my ten challenges, and here I have twelve Government
jurors who are to decide this defendant's case, which is a violation of the
Federal statute, being brought in a Federal Court, prosecuted by a Federal
prosecutor, and the case is presented by Federal agents. I submit there is reason
to challenge these people for cause.
'The Court. I will deny the motion and request at this time that you take it up
later, in a motion after the verdict, if you think it is sound. I do not believe your
motion is sound. Chance has resulted in this jury panel of twelve being
composed of Government employees, but the jury list from which they by
chance were selected is a mixture of Government employees and private
employees.'
8
See Note 7.
10
11
12
13
The assumption is not meant to imply that such a deprivation alone would
constitute grounds for challenge to the jury. See text and authorities cited infra
at note 15.
14
See note 7.
15
Ruthenberg v. United States, 245 U.S. 480, 38 S.Ct. 168, 62 L.Ed. 414;
Thomas v. State of Texas, 212 U.S. 278, 282, 29 S.Ct. 393, 394, 53 L.Ed. 512;
State of Virginia v. Rives, 100 U.S. 313, 322, 323, 25 L.Ed. 667; Higgins v.
United States, 81 U.S.App.D.C. 371, 160 F.2d 222; Id., 81 U.S.App.D.C. 371,
160 F.2d 223; see Fay v. New York, 332 U.S. 261, 284, 285, 67 S.Ct. 1613,
1625, 1626, 91 L.Ed. 2043; Thiel v. Southern Pacific Co., 328 U.S. 217, 220,
66 S.Ct. 984, 985, 90 L.Ed. 1181, 166 A.L.R. 1412: cf. Akins v. State of Texas,
325 U.S. 398, 403, 404, 65 S.Ct. 1276, 1279, 89 L.Ed. 1692.
16
Ibid.
17
See United States v. Wood, 299 U.S. at pages 132, 133, 57 S.Ct. at pages 178,
179, 81 L.Ed. 78, quoting from the opinion of the Court of Appeals, 65
App.D.C. 330, 332, 83 F.2d 587, 589. See also House Rep. 1421, Sen.Rep.
1297, 74th Cong., 1st Sess.; 79 Cong.Rec. 13,401, relating to the bill which
became the Act of Congress of August 22, 1935, now D.C. Code 1940, 11
1420. The Government's brief in the Wood case, relying upon figures
assembled from various official sources, indicated that of the probable 353,949
persons otherwise available for jury service in the District of Columbia as of
1935, some 156,874, or 44.3 per cent, were disqualified to serve either by virtue
of exemption or by the mere fact of employment by or receipt of benefits from
the Government, under the ruling in the Crawford case.
18
Given of course a panel and jury otherwise selected in accordance with law.
Since the Wood case the Court of Appeals for the District of Columbia has held
that juries including four and nine Government employees were not inherently
defective. Great Atlantic & Pacific Tea Co. v. District of Columbia, 67
App.D.C. 30, 89 F.2d 502; Higgins v. United States, 81 U.S.App.D.C. 371, 160
F.2d 222. The Court of Appeals for the Fifth Circuit has held that a Canal Zone
jury composed entirely of persons who were either employees or tenants of the
Government was not improperly constituted. Schackow v. Government of the
Canal Zone, 108 F.2d 625.
19
The phrase 'actual bias' is used in this opinion as it was in the Wood case. The
Wood opinion stated: 'The bias of a prospective juror may be actual or implied;
that is, it may be bias in fact or bias conclusively presumed as matter of law.'
299 U.S. at page 133, 57 S.Ct. at page 179. It later pointed out that 'Challenges
at common law were to the array, that is, with respect to the constitution of the
panel, or to the polls, for disqualification of a juror. Challenges to the polls
were either 'principal' or 'to the favor,' the former being upon grounds of
absolute disqualification, the latter for actual bias.' 299 U.S. at pages 134, 135,
57 S.Ct. at page 180. As appears from the portion of the opinion quoted in the
text infra at note 23, the Court regarded 'actual bias' or challenge 'to the favo '
as including not only prejudice in the subjective sense but also such as might be
thought implicitly to arise 'in view of the nature or circumstances of his
employment, or of the relation of the particular governmental activity to the
matters involved in the prosecution, or otherwise.'
20
21
22
Cf. note 2.
23
24
In United States v. Wood, supra, the Court, speaking of the Crawford case,
said: 'It will be observed that the employment was in the very department to the
affairs of which the alleged conspiracy related. But the decision took a broader
range and did not rest upon that possible distinction.' 299 U.S. at page 140, 57
S.Ct. at page 182. It is at least highly doubtful that an employment having no
more relationship to the particular governmental activity involved in the
prosecution than did that of Moore in this case, cf. note 2, or that of Root's wife,
would give ground for challenge for 'actual bias,' although coming under the
same ultimate departmental supervision, even though if timely called to the
court's attention the circumstance might afford basis for the court, in an excess
of caution, to excuse the venireman.
25
See note 7.