Lead Opinion
Every accused has a constitutionally protected right to an impartial jury. We have long recognized that even one juror’s unauthorized contacts and communications may poison the entire jury, but we rely upon trial courts to decide whether a mistrial is the cure. Unfortunately, we have given trial courts inconsistent guidance on both how to make this determination and whether the accused must prove prejudice. Today we clarify our precedent: Defendants are entitled to a rebuttable presumption of prejudice when they can show by a preponderance of the evidence that an unauthorized, extra-judicial contact or communication with jurors occurred, and that the contact or communication pertained to the matter before the jury.
Background and Procedural History
Five days into Ramirez’s trial for murder and criminal gang activity, Juror 282 wrote a note to the trial court about an incident at her home the night before: “I was out to eat and my neighbor called me and said that the neighbor below me heard gunshots upstairs and running around and told them I was a jury member in a case.” She also told the other jurors of this incident. The trial court excused Juror 282 from the jury after she said that she could not render an impartial verdict. Ramirez moved for a mistrial, arguing that Juror 282’s disclosure of the incident to the other jurors “taint[ed] the whole jury” and prevented a “fair trial.” After interviewing all the jurors outside the presence of the jury with counsel present, the trial court denied Ramirez’s motion, finding that Juror 282’s incident was coincidental and the jury could remain impartial.
The jury found Ramirez guilty of murder and criminal gang activity, but in a second phase acquitted him of a criminal gang enhancement. The trial court sentenced him to sixty-two years for murder and two years for criminal gang activity, served consecutively. Ramirez appealed, arguing that the trial court erred in refusing to grant a mistrial and that his sixty-two year murder sentence was inappropriate. We will discuss additional facts as needed.
Standard of Review
A trial court is in the best position to evaluate whether a mistrial is warranted because it can assess first-hand all relevant facts and circumstances and their impact on the jury. See Kelley v. State,
Discussion and Decision
Ramirez argues the trial court failed to presume prejudice from the alleged jury taint under Remmer v. United States,
Federal and Indiana precedent has narrowed the presumption of prejudice to apply in eases where defendants show more than just potential taint — but some Indiana precedent, including our own, has applied that presumption inconsistently. We now clarify its precise scope, and reiterate the proper process for trial courts to address jury taint in the courtroom. We hold that no presumption applies in Ramirez’s case, and that the trial court’s approach in addressing his allegation of jury
I. Historical Development of the Presumption of Prejudice in Jury Taint Cases.
An impartial jury is the cornerstone of a fair trial, guaranteed by the Sixth Amendment and Article 1, Section 13 of our Indiana Constitution. See Turner v. State of Louisiana,
Federal precedent for making that determination has narrowed over time. The United States Supreme Court once held that “[i]n a criminal case, any private communication, contact, or tampering, directly or indirectly, with a juror during a trial about the matter pending before the jury is, for obvious reasons, deemed presumptively prejudicial....” Remmer,
Indiana, likewise, has historically applied a presumption of prejudice narrower than Remmer’s original formulation. In Currin v. State, we said that “a rebuttable pre
Alongside the presumption of prejudice analysis synthesized in Currin, Indiana courts have applied an irrebuttable presumption of prejudice aimed at identifying egregious “juror conduct with witnesses occurring contemporaneous to the trial proceeding.” May v. State,
We clarified in May that the phrase “prima facie prejudicial” used previously in Woods and Kelley referred to “extra-judicial juror conduct ... fundamentally harmful to the appearance of the fair and impartial administration of justice ... irrespective of whether the communication concerned a matter pending before the jury.”
In sum, Indiana courts have been applying a presumption of prejudice since long-before Remmer. The presumption as synthesized in Curtin is consistent with the narrow presumption the United States Supreme Court continues to apply and is well within the range of comparable alternatives adopted by the federal circuit courts. And in rare cases, we have found the presumption of prejudice irrebuttable
II. Confusion in Our Application of the Presumption of Prejudice.
While we have clearly established the presumption of prejudice in our case law, Indiana courts have not applied it consistently. As one panel of our Court of Appeals has observed, many Indiana cases “state the presumption of prejudice as black letter law and then proceed to ignore it.” Hall v. State,
Griffin exemplifies the approach of citing the presumption but not following it. There, jurors used the opinion of the alternate juror to break a deadlock in their deliberations. Id. at 900. Griffin was convicted after the alternate told jurors that she believed Griffin was guilty. Id. at 900-01. Once the alternate juror’s input came to light, Griffin sought a new trial, id. at 900, but we upheld the jury’s verdict, id. at 903. Our analysis began by referencing Currin’s presumption of prejudice, id. at 901 (citing Currin,
Hall v. State was one of these cases that took note of our approach in Griffin and went as far as concluding the presumption of prejudice no longer existed in Indiana.
The Court of Appeals’ initial instinct in Hall was correct — and but for Griffin and other precedent, it would have granted Hall the presumption of prejudice that he deserved. The Seventh Circuit acknowledged as much when Hall’s case reached that court on habeas review. The Seventh Circuit stated, “we are confident that despite some ambiguity regarding when the Remmer presumption should apply, all reasonable interpretations of Remmer and its progeny would lead to a presumption of prejudice in favor of Hall.” Hall v. Zenk,
III. Clarification of Our Precedent.
Defendants seeking a mistrial for suspected jury taint are entitled to the presumption of prejudice only after making two showings, by a preponderance of the evidence: (1) extra-judicial contact or communications between jurors and unauthorized persons occurred, and (2) the contact or communications pertained to the matter before the jury. Currin,
Trial courts should apply the presumption of prejudice analysis of Currin in the context of the procedures we established in Lindsey,
If any of the jurors have been exposed, he must be individually interrogated by the court outside the presence of the other jurors, to determine the degree of exposure and the likely effect thereof. After each juror is so interrogated, he should be individually admonished. After all exposed jurors have been interrogated and admonished, the jury should be assembled and collectively admonished, as in the case of a finding of “no exposure.” If the imperiled party deems such action insufficient to remove the peril, he should move for a mistrial.
Lindsey,
IV. Ramirez Is Not Entitled to a New Trial.
Having clarified when the presumption of prejudice applies, we hold Ramirez is not entitled to the presumption because he failed to show that Juror 282’s apartment incident was related to his case. Currin,
Because the trial court was within its discretion to find that Juror 282’s contacts and communications with her neighbor did not relate to the matter before the jury, Ramirez is left with a claim of simple juror misconduct. The trial court therefore should have analyzed whether Juror 282’s conduct was gross
Ramirez argues we should ignore these assurances because Kelley prohibits trial courts from relying on jurors’ own statements of impartiality. We are not persuaded. Nowhere in Kelley did we preclude trial courts from relying on jurors’ assurances of impartiality. See also Phillips,
Conclusion
In cases of suspected jury taint, a presumption of prejudice still applies in limited circumstances. Whenever defendants can prove, by a preponderance of the evidence, that a juror engages in unauthorized contacts or communications that are directly related to their case, they are entitled to a presumption of prejudice. The State then bears the burden of showing harmless error. Ramirez has failed to demonstrate that he was entitled to a presumption of prejudice because he has not shown that Juror 282’s incident related to his case or even that the other jurors believed it was. Ramirez’s case was instead one of simple juror misconduct, and he has not demonstrated that he suffered gross misconduct or probable harm. We affirm the trial court’s denial of Ramirez’s motion for a new trial, and summarily affirm the Court of Appeals’ decision to uphold his sentence.
Notes
. United States v. Mack,
. Remmer s presumption of prejudice was applied in tandem with a "notice to and hearing
Concurrence Opinion
concurring in result.
I agree with my colleagues that the trial court properly denied Ramirez’s motion for a mistrial and appropriately sentenced him to an aggregate term of sixty-two years’ imprisonment for murder and criminal gang activity. I write separately because I would decide this case more narrowly and more simply.
The majority, faced with a plethora of somewhat muddled precedent from both federal and state courts, attempts to create order by carving out a new analytical framework and questioning one of our own prior decisions: Griffin v. State,
A. Thesis: Remmer v. United States
In 1954, our federal Supreme Court considered a ease in which a juror received an offer of bribery in exchange for a guilty verdict, and said:
In a criminal case, any private communication, contact, or tampering, directly or indirectly, with a juror during a trial about the matter pending before the jury is, for obvious reasons, deemed presumptively prejudicial, if not made in pursuance of known rules of the court and the instructions and directions of the court made during the trial, with full knowledge of the parties. The presumption is not conclusive, but the burden rests heavily upon the Government to establish, after notice to and hearing of the defendant, that such contact with the juror was harmless to the defendant.
Remmer v. United States,
B. Antithesis: Smith v. Phillips and United States v. Olano
Nearly thirty years after Remmer, the Supreme Court decided Smith v. Phillips,
The defendant sought federal habeas relief, and his case eventually reached the United States Supreme Court. Id. at 214-15,
None of our previous cases preclude the use of the conclusive presumption of implied bias in appropriate circumstances. Remmer v. United States,347 U.S. 227 [74 S.Ct. 450 ,98 L.Ed. 654 ] (1954), on which the Court heavily relies, involved not juror misconduct, but the misconduct of a third party who attempted to bribe a juror. Under those circumstances, where the juror has not been accused of misconduct or has no actual stake in the outcome of the trial, and thus has no significant incentive to shield his biases, a postconviction hearing could adequately determine whether or not the juror was biased.
Id. at 223,
While each case must turn on its own facts, there are some extreme situations that would justify a finding of implied bias. Some examples might include a revelation that the juror is an actual employee of the prosecuting agency, that the juror is a close relative of one of the participants in the trial or the criminal transaction, or that the juror was a witness or somehow involved in the criminal transaction.
Id. at 222,
A decade later, Justice O’Connor got a chance to address these issues in a majority opinion. In United States v. Olano,
In Yount, the defendant was charged with a brutal rape and murder; he pled not guilty by reason of temporary insanity and was convicted, but his conviction was reversed on appeal on the ground his confession was obtained in -violation of his right to counsel. Yount,
In Turner, the defendant was charged with murder. Tuner,
C. Synthesis
So what are we to make of all this? The Remmer Court said the presumption of prejudice always applied, but the Phillips Court didn’t apply it. Justice O’Connor, concurring in Phillips, said the presumption should apply only when a juror has a motive to conceal his bias such that a hearing would not reveal it, which would have meant it didn’t apply in Remmer, either. But then in Olano, she — and the rest of the Court — agreed it should apply in cases like Yount and Turner, even though the jurors in those cases presumably had no motive to conceal any bias they might have had. Indeed, as the saying goes, if you’re not confused, you’re not paying attention.
Our federal colleagues on the Seventh Circuit have considered this conundrum and said: “Taking Phillips and Olano together, two conclusions seem inescapable: (1) not all suggestions of potential intrusion upon a jury deserve a presumption of prejudice ... but (2) there are at least some instances of intrusion upon a jury which call for a presumption of prejudice.” Hall v. Zenk,
This framework is fully consonant with our own precedent. For example, the presumption of prejudice would apply in cases like Kelley,
In the particular case before us, one juror reported an alarming incident on the fifth day of trial: while the juror was away from home, a neighbor had called to say she had heard gunshots and running footsteps in the juror’s apartment. The juror then told other jurors about the incident and was excused from the case after she told the judge she was afraid to continue serving. Defendant Ramirez moved for a mistrial, arguing the entire jury was tainted. But these facts simply do not rise to the level of egregious juror misconduct, and there is nothing about them that suggests a high probability the jury was tainted. The juror in question did not witness the incident herself, nor did she have any concrete reason to believe it was connected to her jury service. Therefore, it was appropriate for the trial court to require the defendant to show prejudice, and to deny his motion for mistrial when he could not do so.
Finally, the majority reads Kelley and Woods, as well as May v. State,
State courts of last resort occupy a unique position in the jurisprudential hierarchy. We are accustomed to being final and thus necessarily infallible,
. The Kelley Court found that case was "controlled by Woods." another case of circumstances that created a high probability of bias and were thus presumptively prejudicial. Kelley,
. Indeed, the Yount Court found the State successfully rebutted the presumption of prejudice in that case. Yount,
. "We are not final because we are infallible, but we are infallible only because we are final.” Brown v. Allen,
