LILLEHAUG, Justice.
During a probation revocation proceeding, the probationer moved the district court judge for disqualification or to direct the chief judge of the district to determine whether the district court judge was disqualified, due to what the probationer alleged was a "reasonable question" about judicial impartiality. The court denied the motion in its entirety and revoked probation. The probationer appealed, arguing that Minn. R.Crim. P. 26.03, subd. 14(3), requires the chief judge of the district court to hear requests to disqualify. The court of appeals affirmed the district court's decision, holding that probationer's arguments failed both procedurally and on the merits.
We hold that the probationer's appeal is not procedurally flawed, that the district court erred when it declined to refer the request to disqualify to the chief judge of the district, and that the error was not harmless. Thus, we reverse the decision of the court of appeals, vacate the probation revocation order, and remand to the district court for further proceedings before a different judge.
On December 24, 2012, Alton Finch shot at two victims as part of a drive-by shooting. He was charged with second-degree assault under Minn.Stat. § 609.222, subd. 1 (2014), in addition to two other charges that were later dropped. Shortly after the proceedings commenced, the case was reassigned from the original judge. Finch made a motion to remove the new judge from the case, treated as both peremptorily and for cause. The judge denied the motion, as did the chief judge of the district. That denial is not before us.
Following a stipulated facts bench trial, Finch was convicted of second-degree assault. Finch was placed on supervised probation for three years, with a three-year prison sentence stayed. Finch was also sentenced to one year at the county workhouse.
Prior to the scheduled probation revocation hearing, Finch moved to disqualify the district court judge "based on a reasonable question of [judicial] impartiality." In the alternative, Finch requested an order "directing the Chief Judge of the District Court to make a determination as to whether this [judge] should hear" the case, or an order "staying the proceedings so as to allow an independent tribunal to determine whether this [judge] has violated the Code of Judicial Ethics by not recusing...." The district court rejected Finch's motions "in their entirety as they lack merit," without issuing a written order. Rather than referring Finch's motion to the chief judge, the court immediately
Finch appealed the revocation of his probation. He argued that the district court erred when it declined to refer the disqualification motion to the chief judge of the district. State v. Finch, A14-0203, 2014 WL 4494409 at *1 (Minn.App. Sept. 15, 2014). The court of appeals affirmed.
We granted Finch's petition for review, and consider in turn each of the issues decided by the court of appeals.
The court of appeals first held that the only "proper remedy for challenging the denial of a motion to remove a judge for cause" is a writ of prohibition, which Finch did not seek. Finch, A14-0203, 2014 WL 4494409 at *2; (citing State v. Laughlin, 508 N.W.2d 545, 547 (Minn. App.1993) ("Prohibition is the appropriate remedy to pursue when a motion or notice to remove for cause has been denied.")). "A motion to remove a judge is procedural and therefore governed by the Rules of Criminal Procedure." In re Jacobs, 802 N.W.2d 748, 751 (Minn.2011). The interpretation of those rules "is a question of law subject to de novo review." Ford v. State, 690 N.W.2d 706, 712 (Minn.2005).
Pursuant to the Minnesota Rules of Criminal Procedure, parties have a peremptory right to remove a judge assigned to preside at a trial or hearing. See Minn. R.Crim. P. 26.03, subd. 14. Notice of removal must be given within seven days after the party receives notice of the name of the presiding judge, and the judge must not have already presided at the trial, omnibus hearing, or evidentiary hearing. Minn. R.Crim. P. 26.03, subd. 14(4). So long as these procedural requirements are met, the judge is removed.
We have held that the denial of a peremptory removal must be challenged via a petition for a writ of prohibition. State v. Cermak, 350 N.W.2d 328, 331 (Minn.1984). A writ of prohibition "is an extraordinary writ issued out of [an appellate court] for the purpose of keeping inferior courts or tribunals or other officials invested with judicial or quasi-judicial authority from going beyond their jurisdiction." State ex rel. United Elec., Radio & Mach. Workers of Am. v. Enersen, 230 Minn. 427, 438, 42 N.W.2d 25, 31 (1950). "[A] defendant's failure to seek a writ of prohibition constitutes waiver of further appellate review `when the issue involves the right of peremptory removal.'" Hooper v. State, 838 N.W.2d 775, 789 n. 4 (Minn. 2013) (quoting State v. Dahlin, 753 N.W.2d 300, 304-05 (Minn.2008)).
In addition to peremptory removals, a party may seek to disqualify a judge at any point in the proceeding for cause:
Minn. R.Crim. P. 26.03, subd. 14(3). Unlike the court of appeals, we have never held that the denial of a motion to remove a judge for cause must be challenged via a petition for a writ of prohibition. See Hooper, 838 N.W.2d at 789 n. 4. To the contrary, we have considered whether a judge was disqualified — the standard to remove a judge for cause under Minn. R.Crim. P. 26.03, subd. 14(3) — when the issue was not even raised in the district court.
There are important distinctions between a peremptory removal and a removal for cause. On petition for a writ, an appellate court may determine that a district court erroneously denied a request for peremptory removal by examining three simple criteria: whether the notice to remove was properly filed, timely served, and effective. See Minn. R.Crim. P. 26.03, subd. 14(4); Dahlin, 753 N.W.2d at 305-06. If those criteria are met, then a district court judge exceeds "legitimate power and authority" by remaining on the case, Crosby, 92 Minn. at 178, 99 N.W. at 636, and the issue is capable of immediate resolution. By contrast, a request to disqualify for cause might well involve a nuanced scrutiny of the record, not the summary examination required to decide a request for peremptory removal.
Accordingly, we conclude that a petition for a writ of prohibition is not required to obtain appellate review of a request to disqualify for cause under Minn. R.Crim. P. 26.03, subd. 14(3). The court of appeals precedent to the contrary is overruled.
The court of appeals also held that Finch waived his right to have the chief judge hear his removal motion. Finch, A14-0203, 2014 WL 4494409 at *1-2. "Waiver is the voluntary relinquishment of a known right." State v. Jones, 772 N.W.2d 496, 504 (Minn.2009). Noting that subdivision 14(3) contains a "clear directive"
The rule, clearly and unambiguously, directs the chief judge to hear and determine a "request to disqualify a judge for cause." Minn. R.Crim. P. 26.03, subd. 14(3). But, as the court of appeals acknowledged, Finch cannot be faulted for first asking the judge for voluntary disqualification. Under court of appeals precedent, which we endorse today, a party is entitled to ask the district court judge directly for voluntary disqualification. See State v. Poole, 472 N.W.2d 195, 197 (Minn. App.1991) (noting that "a party should not be discouraged from seeking to have the trial judge recuse himself or herself").
The problem with the court of appeals' waiver analysis is that Finch made his motion in the alternative. He sought voluntary disqualification and, in the alternative — that is, if the judge declined to disqualify voluntarily — Finch asked for an order "directing the Chief Judge of the District Court to make a determination as to whether this [judge] should hear [the case]."
The court of appeals also concluded that Finch should have sought review by the chief judge "between November 1, when the district court denied his motion, and November 6, when the probation-violation hearing concluded." Finch, 2014 WL 4494409 at *2. We disagree for two reasons.
First, the court of appeals apparently did not appreciate the sequence of the proceedings. It is accurate to state that the district court denied the motion on November 1 and concluded the probation violation hearing on November 6. But Finch did not have time to seek review after his motion was denied. Immediately following the denial of his motion on November 1, and in the next breath, the district court commenced the probation revocation hearing and took testimony from several witnesses.
Second, Finch sufficiently preserved the error in the district court. The district court definitively denied his motion in its entirety, which included the denial of his alternative motion to refer the motion to the chief judge. Finch did not need to take any additional steps to preserve the issue for appeal.
Thus, the district court's decision on Finch's request to disqualify was properly before the court of appeals, and is properly before us. We now consider the merits of his appeal.
While the district court judge had authority to hear and decide the request to disqualify, in the first instance, the judge had no authority to deny Finch's alternative request to refer the removal motion to the chief judge. The denial of the motion in its entirety deprived Finch of his right under Minn. R.Crim. P. 26.03, subd. 14(3), to have the chief judge hear and determine his request. Thus, the district court erred.
The right central to the district court's error — to have the chief judge hear a disqualification motion — certainly implicates the structural right to have an impartial judge. But it is not the same. The right to have the chief judge decide a disqualification motion is a mechanism to protect against the possibility of a disqualified judge remaining on the case. The failure to follow the procedure, by itself, did not deprive Finch of a "basic protection" without which the result was fundamentally unfair. See Neder, 527 U.S. at 8-9, 119 S.Ct. 1827.
Thus, we apply harmless error analysis, which requires us to determine if the district court's error affected a substantial right. See Minn. R.Crim. P. 31.01. In most situations, an error affects substantial rights if "the error was prejudicial and affected the outcome of the case." State v. Griller, 583 N.W.2d 736, 741 (Minn.1998). Put another way, an error affects a defendant's substantial rights if there is a reasonable likelihood that the error had a "significant effect" on the verdict. State v. Sontoya, 788 N.W.2d 868, 873 (Minn.2010).
But a case involving a potentially disqualified judge is different. In such a case, the substantial right implicated is the "right to a fair hearing before an impartial tribunal with a decision maker who does not appear to favor one side." State v. Schlienz, 774 N.W.2d 361, 367 (Minn.2009). Therefore, on appeal, Finch does not have to show that the outcome of the proceeding was prejudiced by the error, but instead must show that the failure to disqualify affected his substantial right to a fair hearing before a decision maker who does not appear to favor one side.
A judge is disqualified "due to an appearance of partiality" if a "reasonable examiner, with full knowledge of the facts and circumstances, would question the judge's impartiality." In re Jacobs, 802 N.W.2d 748, 753 (Minn.2011). A disqualification motion is not evaluated from "the perspective of a chief judge," but rather from the perspective of a "reasonable examiner": "an objective, unbiased layperson with full knowledge of the facts and circumstances." State v. Pratt, 813 N.W.2d 868, 876 n. 8 (Minn.2012) (citation omitted) (internal quotation marks omitted).
In his disqualification motion, Finch offered multiple arguments that the judge was biased against him. One is of particular concern: that the judge "had already decided on executing ... Finch's sentence."
At a scheduling hearing, the judge discussed a prosecution offer by which Finch would agree to have the sentence executed
The judge provided no further detail about the comments to Finch's prior counsel. But, after Finch brought his disqualification motion, the judge, in denying the motion in its entirety, described the prior conversation in detail:
(Emphasis added). Additionally, in denying the motion, the judge expressed displeasure that Finch had appealed his original conviction:
Our law requires that, before revoking probation, the court must: "1) designate the specific condition or conditions that were violated; 2) find that the violation was intentional or inexcusable; and 3) find that [the] need for confinement outweighs the policies favoring probation." State v. Austin, 295 N.W.2d 246, 250
We understand the concerns of the district court when a probationer violates a condition of his probation, especially when probation was ordered as part of a downward dispositional departure. But, as we have emphasized, in considering whether to revoke probation, district court judges "must take care that the decision to revoke is based on sound judgment and not just their will." Austin, 295 N.W.2d at 251. Judges must remain impartial by not prejudging; they must "maintain[ ] an open mind." Schlienz, 774 N.W.2d at 369. And judges "should be sensitive to the `appearance of impropriety' and should take measures to assure that litigants have no cause to think their case is not being fairly judged." McClelland v. McClelland, 359 N.W.2d 7, 11 (Minn.1984). Because the district court judge unequivocally told Finch that the court would revoke his probation for any violation, and because the judge speculated that Finch had "duped" the court when he exercised his right to appeal, a reasonable examiner would question whether the judge could impartially conduct the proceeding under the Austin factors. Thus, we hold that the judge was disqualified from the probation revocation proceeding.
Because the district court judge was disqualified, we next decide whether reversal is required. We have said that "when a defendant has been deprived of an impartial judge, automatic reversal is required." Dorsey, 701 N.W.2d at 253. In a case involving the appearance of partiality, we have applied a three-factor test to determine whether a reversal is required. Powell v. Anderson, 660 N.W.2d 107, 120-21 (Minn.2003) (citing Liljeberg v. Health Servs. Acquisition Corp., 486 U.S. 847, 864, 108 S.Ct. 2194, 100 L.Ed.2d 855 (1988)).
Here, the record indicates that the district court prejudged a probation revocation proceeding, reasonably calling into question the judge's impartiality. Regardless of which standard is applied, the district court judge's presence in the probation revocation proceeding requires vacatur.
For the foregoing reasons, we reverse the decision of the court of appeals, vacate the district court's probation revocation order, and remand for further proceedings before a different district court judge assigned by the chief judge.
Reversed and remanded.