Attorney for Appellant Attorneys for Appellee
Timothy J. OConnor
Steve Carter
Indianapolis, Indiana Attorney General of Indiana
Cynthia L. Ploughe
Deputy Attorney General
Indianapolis, Indiana
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No. 49S02-0406-CR-246
Appeal from the Marion Superior Court, No. 49G02-0103-CF-070866
The Honorable Robert York, Judge Pro Tempore
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On Petition To Transfer from the Indiana Court of Appeals,
No. 49A02-0112-CR-879
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June 3, 2004
The State then reiterated its request that the juror be replaced, and Riggs
responded that the record was not sufficiently clear to warrant the removal of
a juror. After a brief recess, the trial judge was handed a
note from the jury foreman asking for the court to . . .
please bring us the official statute regarding . . . criminal deviate conduct.
Thanks. The jury was informed that the official statute was contained
in the instructions and the court directed that deliberations continue. The State
had no problem with the trial courts response, but Riggss attorney expressed concern
that the jury had continued deliberating, without the juror who caused the problem.
We assume, but are not certain, that this was based on the
foremans reports that little progress had been made since 5:00 p.m., and the
assumption that the still unnamed juror, though present, was not engaged in the
deliberations.
Sometime between 6:15 and 7:30 the foreman sent the following note to the
trial court, The juror, Marcus Wallace, needs to see the Judge, ASAP.
The parties agreed that the court should interview Wallace and the following examination
took place:
THE COURT: I got a note from the jury foreman that says
you need to see me.
WALLACE: Yes, sir.
THE COURT: Okay. Why do you need to see me?
WALLACE: Ive been accusing [sic] of trying to defend the defendant by
the head juror. Not Im not going to take that.
The head juror accused me of trying to defend the defendant and Im
not going to take that.
THE COURT: What do you mean youre not going to take that?
WALLACE: I dont have to because Im trying to give a fair
and impartial determination to this evidence and to this Court.
THE COURT: Well what do you intend to do about that?
WALLACE: I just asked to see the Judge. I want to
see what statute you want me to do. I asked to see
the Judge.
THE COURT: Okay. Thank you, sir, would you step outside the
door with the bailiff . . .
WALLACE: Yes, sir.
THE COURT: . . .for just a minute?
The State then reiterated its desire to have Wallace replaced by an alternate,
and Riggs disagreed, arguing the juror should continue and failure to do so
would be a violation of Riggss constitutional right to a unanimous jury verdict.
The trial court denied the defenses request to poll the jury as
to whether they could reach a verdict. The trial court then made
the following statement: First of all the Court did in fact observe
the demeanor of the juror and listened to his words to the point
that the Court is troubled if it sends this juror back to deliberate
. . . I am fearful of the events that would occur back
there. . . . The Court will also . . . allow
any party to examine the witnesses . . . including the baliff .
. . [that] delivered this note and appeared to be in somewhat of
a panic, that they were screaming at each other. At 7:30 p.m.
court reconvened and the judge dismissed the juror.
The trial court then reconvened the jury and told them it had released
Wallace from the panel. It then placed an alternate juror on the
jury. It then asked each juror, in the presence of the others,
if the removal of the juror would interfere with their ability to render
a fair and impartial verdict, to which each responded no. At 10:25
p.m. the jury reported it had reached a verdict. After Riggs unsuccessfully
moved for a mistrial, the jury reported its verdict of guilty as to
the murder and criminal deviate conduct charge, and not guilty on the felony
murder and rape charges.
Riggs contends that removing Wallace violated his constitutional right to an impartial jury,
and further argues that the record in this case does not support cause
to remove the juror. Riggs notes the lack of clarity as to
facts apparently relied on by the trial court. For example, the record
shows that deputies reported screaming in the jury room, but does not say
who screamed, what they were screaming, or to whom the screaming was directed.
Without these facts, Riggs contends the trial court did not have enough
information to warrant removal of the juror. Riggs also notes the foremans
ultimate conclusion that he did not believe other jurors were in fear of
Wallace.
In affirming the trial court, the Court of Appeals relied on Indiana Trial
Rule 47(B), which allows an alternate to replace jurors who prior to the
time the jury returns its verdict, become or are found to be disqualified
to perform their duties. The Court of Appeals reviewed the replacement of
Wallace under an abuse of discretion standard, and affirmed. We hold that
this record is not sufficient to support removal of a juror after deliberations
have begun.
A. Standard of Review
The State points to cases holding that trial courts have broad discretion in
determining whether to replace a juror with an alternate. Specifically, a number
of cases have given trial courts significant leeway under Indiana Trial Rule 47(B)
in determining whether to replace a juror with an alternate, and reverse only
for an abuse of discretion. See Jervis v. State, 679 N.E.2d 875,
881 (Ind. 1997). These cases deal with removal of a prospective juror
from a panel, or removal as a result of developments during the trial.
They do not address removal of a seated juror after deliberations have
begun based on conduct in the jury room. For example in Harris
v. State, 659 N.E.2d 522, 525 (Ind. 1995), after the first witness took
the stand a juror realized that the previous weekend the witnesss brother, who
worked at a service station and was also expected to testify, had driven
the juror home after servicing the jurors car. The two had exchanged
pleasantries but nothing related to the case. The trial courts ruling that
this incidental contact with an expected witness was not a ground to remove
the juror was within the trial courts discretion. Id. at 526.
The ground for removal did not present any substantiated basis to assume bias
on the part of the juror. The trial courts assessment of the
effect of such innocuous contact is entitled to significant deference because it is
based in large part on an assessment of the jurors ability to evaluate
the case on its merits. Although a trial court has broad discretion
to remove a juror before deliberations begin, removing a dissenting juror after that
point implicates the defendants right to a unanimous verdict and the defendants right
to a jury trial. Shotikare v. United States, 779 A.2d 335, 344
(D.C. 2001). Removal of a juror after deliberations have begun is ultimately
a matter requiring deference to the trial courts judgment, but it raises a
number of considerations not present before deliberations begin. As a result, it
demands a carefully developed record as to the grounds for removal and also
requires precautions to avoid inappropriate consequences from the removal.
B. Grounds for Removal after Deliberations Begin
Typical grounds for discharge of a juror are bias due to exposure to
publicity or contact with a party or witness. Wallace was not removed
for bias on these or other grounds. Rather, removal was based on
Wallaces actions in the course of deliberations. Once deliberations begin, discharge of
a juror is warranted only in the most extreme situations where it can
be shown that the removal of the juror is necessary for the integrity
of the process, does not prejudice the deliberations of the rest of the
panel, and does not impair the parties right to a trial by jury.
Indeed, some jurisdictions hold that a mistrial is required if discharge occurs
after deliberations begin. See State v. Adams, 727 A.2d 468, 471 (N.J.
Super. Ct. App. Div. 1999).
Here the actions leading to the dismissal arose from the deliberations, and the
record does not establish that Wallaces conduct was improperly influencing the rest of
the panel. A failure to agree, however unreasonable, is a ground for
mistrial, not removal of the obstacle to unanimity. See United States v.
Hernandez, 862 F.2d 17, 23 (2d Cir. 1988) (That a juror may not
be removed because he or she disagrees with the other jurors as to
the merits of a case requires no citation.). Removal of a juror
for misconduct requires more than a refusal to negotiate further. If there
were a showing of physical confrontation, or attempts to intimidate other jurors, then
removal may be permissible. Shotikare, 779 A.2d at 340, 345. But
this record does not establish these extreme modes of conduct.
It appears that the effect of the jurors dismissal may well have been
the avoidance of a hung jury. Of course trial judges do and
should seek to avoid a hung jury. We have often expressed the
view that a mistrial is an extreme remedy, warranted only if less severe
situations will not address the problem. West v. State, 758 N.E.2d 54,
55 (Ind. 2001). The trial judge may guide, encourage and instruct to
correct problems in jury deliberations. This policy in favor of assisting a
jury in reaching a verdict is also reflected in Jury Rule 28.
But it does not permit removal of a juror simply because the juror
does not agree.
The Court of Appeals dealt with similar facts in Gavin v. State, 671
N.E.2d 440 (Ind. Ct. App. 1996). In Gavin, the trial judge removed
a juror, even though the juror stated he based his beliefs on the
evidence and had made up his mind during the trial. Noting that
a trial court has broad discretion in replacing a juror, the Court of
Appeals held that this discretion is abused when a trial court removes an
impartial juror who has voted to acquit based upon the evidence presented at
trial. Id. at 447. Here the decision to remove Wallace was
based on the trial courts expressed concern for his effect on other members
of the jury. But the potential for violence is at best unclear.
What is clear is that the removal of the juror had the
effect of removing a pro-defense juror who, after the jury had deliberated, appeared
likely to create a hung jury. Importantly, as in Gavin, the juror
represented that he was trying to fulfill his role as a juror and
was making a decision based on the evidence. The foremans accounts of
Wallaces behavior amount to rudeness and intransigence but there is no record establishing
physical threats, intimidation or other conduct justifying removal. Accordingly, as in Gavin,
removal was improper.
C. Procedure for Removal after Deliberations Begin
The State contends that Riggs did not develop a record establishing prejudice to
him from the removal. We agree a thorough record is necessary to
establish grounds for removal. But it is not up to the parties
to show prejudice as to the outcome. Unjustified removal is structural error,
just as much as denial of the right to an impartial jury.
As the United States Supreme Court put it in Gray v. Mississippi, 481
U.S. 648, 668 (1987), some constitutional rights [are] so basic to a fair
trial that their infraction can never be treated as harmless error. The
right to an impartial adjudicator, be it judge or jury, is such a
right.
Moreover, to establish that the right is not infringed, the trial
court must establish the record to support removal of a deliberating juror, just
as a record is required to establish bias of a prospective juror.
Lindsey v. State, 260 Ind. 351, 357-59, 295 N.E.2d 819, 823-24 (1973).
Finally, it is important to note that removal of a deliberating juror raises
several issues not present in striking a juror in voir dire. Steps
may also be required in addition to establishing the grounds for removal.
The inquiry into the need to remove a juror may result in the
jurors continuing to serve on the panel, so the trial court must avoid
questioning that may affect the jurors judgment. See Commonwealth v. Connor, 467
N.E.2d 1340, 1346 (Mass. 1984). Moreover, the trial court must be careful
not to convey improper messages, either verbal or silent, to the other jurors,
who may infer that the juror was dismissed because of his or her
view of the case. Id. Here, the trial court judge asked
each juror, in the presence of the full jury, whether the removal of
the juror would in some way interfere with the jurors ability to reach
a fair and impartial verdict, to which each responded no. This general
inquiry did not focus sufficiently on the problem of the potential effect of
the removal on the jury. A juror might well conclude that the
removal of Wallace implied disagreement with Wallaces views on the merits of the
case. Removal should be accompanied by an instruction that removal in no
way reflected approval or disapproval of the views expressed by the juror.