STATE of Florida, Appellant,
v.
Thewell Eugene HAMILTON, Appellee.
Supreme Court of Florida.
Rоbert A. Butterworth, Atty. Gen. and Mark C. Menser, Asst. Atty. Gen., Tallahassee, for appellant.
Robert T. Adams, Jr., Marianna, for appellee.
KOGAN, Justice.
The state appeals an order granting a new penalty phase in the capital trial of Thewell Eugene Hamilton. We have jurisdiction. Art. V, § 3(b)(1), Fla. Const. See § 924.07(1)(b), Fla. Stat. (1989) (state may appeal new-trial order). The sole issue in this case is whether the jury's recommendation during the penalty phase must be set aside because unauthorized publications were present in the jury room during deliberatiоns.
The facts of Hamilton's crime are stated in this Court's earlier review of this case, in which we remanded for a new trial on all issues. Hamilton v. State,
After the jury returned its penalty recommendation but before sentencing, defense counsel called the trial court's аttention to the fact that an alternate juror[1] named Kevilly had brought unauthorized materials into the jury room. These materials *125 consisted of two magazines, "Musclecar Classics" and "Musclecar Review." Defense counsel noted that the magazines, which dealt primarily with automobiles, contained at least one "provocative" advertisement showing a blonde model dressed in a bathing suit. Defense counsel alleged that these materials had a pоtential to distract jurors from their duties.
It is unclear on this record whether Mr. Kevilly simply left the magazines in the jury room during those times when the jury was excused from the courtroom.[2] The trial court's colloquy with Kevilly, quoted in its entirety below, did not disclose exactly how or at what time the magazines were taken into the jury room:
JUROR: Sir, they were reading material, when we were running in and out and the last time that I had seen them, they were in one of the chairs, or on the table.
THE COURT: Is that your reading material?
A. Yes sir. It was to pass the time, so I wouldn't get in trouble for talking about anything I shouldn't be talking about.
Q. What kind of magazines are they?
A. They are car magazines.
Testifying at the subsequent evidentiary hearing, the only juror called by the defense the jury foreman did not recall seeing the magazines at all.[3] The following colloquy occurred between this witness and the assistant state attorney during cross-examination:
Q. Mr. Griffin, during the time that the deliberations of the jury were going on, you were the foreman back here? Right?
A. Yes sir.
Q. During that time, did any juror look at a magazine?
A. Now, I'm trying to rack my brain. If he did, I can't remember. I won't say he did or didn't, but I can't remember, I don't remember that, no sir.
Q. There were twelve of you in the jury room?
A. Right.
Q. All sitting around the table?
A. Yes sir.
Q. Were there any magazines?
A. Are you talking about when we were deliberating in the jury room?
Q. Yes.
A. No I don't think so.
Q. Did you see any juror with any magazines?
A. Not that I can remember, no sir.
Hamilton's counsel did not challenge these statements and waived the opportunity for redirect examination. No other testimony was introduced to rebut the jury foreman's statements, nor did the trial court later express any disbelief about the foreman's testimony. Although two bailiffs were summoned and examined, neither party asked them any questions about the magazines.
Defense counsel moved for a new trial on grounds that the magazines could not lawfully be taken into the jury room under Florida Rule of Criminal Procedure 3.400. In February 1990 the trial court entered an order granting a new trial solely as to the penalty phase. The order states in pertinent part:
ORDERED AND ADJUDGED that the portion of the Motion for New Trial regarding a new "penalty phase" by reason of unauthorized material in the jury *126 room during deliberations is hereby granted... .
In explaining the order, the trial court stated on the record that it was "not willing to jeopardize the prosecution of this case, and the outcome of it, on the flimsy circumstances that one of the jurors had contraband in the juryroom [in] the penalty phase." The trial court then ordered a new penalty phase to be held a month later; and the state appealed on grounds the order set an unfavorable precedent in the circuit.
Under Florida law, a trial court has wide discretion in deciding whether or not to grant a new trial. First National Bank v. Bliss,
The granting of a mistrial should be only for a specified fundamental or prejudicial error which has been committed in the trial of such a nature as will vitiate the result... . However, when an alleged error is committed which does no substantial harm and the defendant is not materially prejudiced by the occurrence, the court should deny the motion for a mistrial.
Perry v. State,
In the context of the present case, this general rule must be viewed in light of the fact that jury deliberations are an especially sensitive portion of a trial. The introduction of unauthorized materials conceivably could have a powerful and often unascertainable impact on a verdict or jury recommendation, potentially violating the right to a fair trial guaranteed by the state and federal cоnstitutions. U.S. Const. amend. VI; art. I, § 16, Fla. Const. Recognizing this fact, both the courts of this state and the courts of other jurisdictions have applied a somewhat more refined standard to motions for new trial that are based on the presence of unauthorized materials in the jury room.[4]
For example, we previously have held that the presence of a dictionary in the jury room required reversal of the verdict. Smith v. State,
"No book should be consulted by a jury in arriving at a verdict and especially one that defines and treats everything expressed by the English language. No maker of dictionaries should ever be allowed to define legal terms to a jury unless such definitions go through the medium of the trial judge, the only one authorized by law to give definitions and explanations to a jury."
Id. at 528 (quoting Corpus Christi St. & Interurban Ry. v. Kjellberg,
Our courts have had occasion to revisit the issue on several occasions since Smith was issued. Florida courts are in general agreement that the doctrine applied in Smith is not a per se rule of reversal whenever any unauthorized materials are present in the jury room. Accord United States v. Hill,
In Yanes v. State,
Similarly, in Grissinger v. Griffin,
Elsewhere, Florida courts have rejected similar claims based on a finding that the presence of the unauthorized materials could not have affected the verdict.
For example, in Trotter v. State, No. 70,714, slip op. at 4-5 (Fla. Dec. 20, 1990), the trial court denied a motion for new trial based on allegations that jurors were placed in a room that contained law books and a telephone. At a hearing, the evidence established that jurors never used the law books and that the telephone only was used to inform family members that jurors would be late.[6]Id. at 4.
In Kelly v. State,
Similarly, in Ivory v. State,
Likewise, in Beard v. State,
None of the Florida cases discussed here attempted to formulate a precise test for gauging errors caused by the use of unauthorized documents by jurors. Any effort to devise such a test is complicated by the fact that Florida's Evidence Code, like that of many other jurisdictions, absolutely forbids any judicial inquiry into emotions, mental processes, or mistaken beliefs of jurors.[8] § 90.607(2)(b), Fla. Stat. Ann. (1987) (Law Revision Council Note 1976). Jurors may not even testify that they misunderstood the applicable law. Id.; Songer v. State,
However, jurors are allowed to testify about "overt acts which might have prejudicially affected the jury in reaching their own verdict." § 90.607(2)(b), Fla. Stat. Ann. (1987) (Law Revision Council Note 1976) (emphasis added). See Maler ex rel. Maler v. Baptist Hosp.,
Obviously, any test that required proof or disproof that jurors actually were prejudiced would quickly run afoul of section 90.607(2)(b). Since Florida jurors may not testify about their own thought processes, the party carrying the burden of proof always would be unable to prove a case.
This problem has been recognized by Colorado, which until recently adhered to a rule that creates a rebuttable presumption requiring the state to prove that no actual prejudice occurred. E.g., People v. Boulies,
However, as the Colorado Supreme Court itself later noted, the rebuttable presumption can create other serious problems: The state may be unable to rebut the presumption "because of the longstanding rule proscribing evidence concerning the mental processes of jurors." Wiser,
To avoid this same problem, some federal courts have taken a somеwhat different approach. The Fifth Circuit Court of Appeals confronted the question of unauthorized jury materials in a case involving defendants on trial for drug trafficking. Paz v. United States,
Holding that an evidentiary hearing was necessary based on these facts, the Fifth Circuit remanded for application of the following test:
[D]еfendants are entitled to a new trial unless it can be said that there is no reasonable possibility that the [unauthorized] books affected the verdict.
Id. Later, the district court conducted the hearing and concluded there was no reasonable possibility of prejudice. The Fifth Circuit then affirmed. Rodriguez y Paz v. United States,
Although the Paz court did not directly address the issue, the Fifth Circuit later determined that the burden of proof rests with the government, under a harmless error analysis. Accord L. Hardwick & B. Ware, Juror Misconduct: Law & Litigation 6-52.2 to 6-56 (1990) (discussing presumption of prеjudice). In United States v. Howard,
must be limited to objective demonstration of extrinsic factual matter disclosed in the jury room. Having determined the precise quality of the jury breach, if any, the [trial] court must then determine whether there was a reasonable possibility that the breach was prejudicial to the defendant... . Though a judge lacks even the insight of a psyсhiatrist, he must reach a judgment concerning the subjective effects of objective facts without benefit of couch-interview introspections. In this determination, prejudice will be assumed in the form of a rebuttable presumption, and the burden is on the Government to demonstrate the harmlessness of any breach to the defendant.
Id. The same approach has been adopted by the Eleventh Circuit. United States v. Perkins,
We agree with the test formulated by the Fifth Circuit and adopted by the Eleventh, finding that it best comports with both Florida law and the constitutional rights of defendants. This rule avoids the problems of a test that demands inquiry into the thought processes of jurors a practice forbidden by section 90.607(2)(b) of the Florida Evidence Code. Similarly, the Fifth Circuit's test employs the harmless error analysis already used by Florida courts in gauging issues of this type. Yanes; Ivory; Beard. See also DiGuilio.
In addition, the Fifth Circuit's test complies with constitutional law. Some federal courts have noted that unauthorized materials used by jurors in their deliberations may raise issues under the sixth amendment of the United States Constitution. In Marino v. Vasquez,
The Ninth Circuit also has noted that the harmless error test as elaborated in Chapman v. California,
Indeed, the failurе to adopt the rule used by the federal circuit that includes Florida would seem fruitless. It would open the judgments of our courts to a federal collateral challenge whenever a jury's use of unauthorized materials might be deemed to violate the sixth amendment. Florida courts no less than the federal must operate under the constitution. U.S. Const., art. VI. Accordingly, as a matter of Florida law, we adopt the test used by the Fifth Circuit in Paz and Howard, and hold that the DiGuilio analysis should be used in gauging the state's burden of proving harmless error.
We hasten to note, however, that the evidentiary hearing contemplated by Paz and Howard need not be conducted when an unreasonable allegation of juror misconduct is made. In Amazon v. State,
Turning to the facts at hand, we find that the unauthorized materials in question automobile magazinеs clearly were irrelevant both to the legal and factual issues of this case. Their potential to prejudice the case was slight or nonexistent. See Beard. Although defense counsel alleged that the materials were distracting to jurors, this statement was based solely on counsel's own reaction to a single advertisement depicting a woman in a bathing suit. We do not believe the trial court would have erred in summarily denying the motion for new trial based on the facts alleged in defense counsel's motion. See Amazon. However, we commend the court for conducting the hearing anyway in light of the fact that it obviously entertained serious doubt about the juror misconduct.
During the hearing below, as in all cases of this type, the state bore the burden of eliciting evidence about actual juror conduct, or a lack of conduct, showing no reasonable possibility that the breach affected the verdict. Howard,
The only testimony on this question was that of the jury foreman during cross-examination by the state. Although this testimony was not entirely unequivocal, the foreman nevertheless testified that he did not recall seeing any juror with the magazines during deliberations and otherwise was unaware of the magazines' presence. This testimony was unrebutted by Hamilton's counsel. Accordingly, we must conclude that the error was harmless beyond any reasonable doubt. See DiGuilio,
We commend the trial court for seeing that jurors were not questioned regarding their mental processes and thoughts. See § 90.607(2)(b), Fla. Stat. (1987). However, the trial court should have found the error harmless beyond a reasonable doubt based on the testimony of the jury foreman. DiGuilio. The failure to reach such a conclusion and deny the defense's motion was an abuse of discretion. See Perry,
Accordingly, the order under appeal is reversed. This cause is remanded to the trial court for further proceedings consistent with this opinion.
It is so ordered.
SHAW, C.J., OVERTON, McDONALD, BARKETT and GRIMES, JJ., and EHRLICH, Senior Justice, concur.
NOTES
Notes
[1] Defense counsel identified Kevilly as an alternate juror in making his motion for new trial.
[2] The record is not entirely clear that Kevilly even participated in the final deliberations. As an alternate juror, Mr. Kevilly was subjeсt to being excused from deliberations unless a regular juror had been dismissed. However, the judge's written order on the motion for new trial at least suggests that Kevilly was in fact present at the deliberations. The trial court stated that "one of the jurors had contraband in the juryroom [during] the penalty phase." However, the resolution of this case would be the same whether or not Kevilly was present during deliberations.
[3] We note that the questions posed to the juror were сonstrained by the requirements of section 90.607(2)(b), Florida Statutes (1987), which prohibit inquiry into jurors' thought processes. This matter is discussed more fully infra. Thus, counsel below properly limited their inquiry solely to the observable events surrounding the presence of the magazines in the jury room.
[4] For a general treatment of the question, see Annotation, Prejudicial Effect of Jury's Procurement or Use of Book During Deliberations in Criminal Cases,
[5] In Johnson v. State,
it is еrroneous to allow the jury, after retiring to consider of their verdict, to have access to law books of any description. They [the jury] must get their instructions as to the law of the case from the court, and not from their own perusal of the books.
One other early case set no precedent because of a split court. In Powell v. State,
[6] The First District has reached a similar conclusion in a case in which a juror consulted her pocket dictionary and read aloud from it during deliberations to help ascertain the meaning of the term "reasonable doubt." Doutre v. State,
[7] This was a special concurrence to a decision without opinion. Only three judges were on the panel, and two of them signed the special concurrence. While the special concurrence to a deсision without opinion was somewhat unusual, it clearly expressed the views of a majority of the judges hearing the case. See Kelly v. State,
[8] The statute provides:
Upon an inquiry into the validity of a verdict or indictment, a juror is not competent to testify as to any matter which essentially inheres in the verdict or indictment.
§ 90.607(2)(b), Fla. Stat. (1987). The intent of this provision as expressed in its accompanying notes is to codify the relevant holding of McAllister Hotel, Inc. v. Porte,
[T]he law does not permit a juror to avoid his verdict for any reason which essentially inheres in the verdict itself, as that he "did not assent to the verdict; that he misunderstood the instructions of the Court; the statements of witnesses or pleadings in the case; that he was unduly influenced by the statements or otherwise of his fellow jurors, or mistaken in his calculations or judgment, or other matters resting alone in the juror's breast."
Id. (quoting Wright v. Illinois & Miss. Tel. Co.,
[9] Obviously, this conclusion might be different if the magazines dealt with legal or factual matters that might be deemed to have some relevance to the case.
