STATE OF NEBRASKA, APPELLEE, V. JAMES M. MADREN, APPELLANT
No. S-19-240
Nebraska Supreme Court
February 19, 2021
308 Neb. 443
Nebraska Supreme Court Advance Sheets, 308 Nebraska Reports
Motions for Mistrial: Appeal and Error. Decisions regarding motions for mistrial are directed to the discretion of the trial court and will be upheld in the absence of an abuse of discretion. - Judgments: Words and Phrases. An abuse of discretion occurs when a trial court‘s decision is based upon reasons that are untenable or unreasonable or if its action is clearly against justice or conscience, reason, and evidence.
- Criminal Law: Motions for New Trial: Evidence: Appeal and Error. A de novo standard of review applies when an appellate court is reviewing a trial court‘s dismissal of a motion for a new trial under
Neb. Rev. Stat. § 29-2102(2) (Reissue 2016) without conducting an evidentiary hearing. But a trial court‘s denial of a motion for new trial after an evidentiary hearing is reviewed for an abuse of discretion. - Constitutional Law: Speedy Trial: Juries. The
U.S. Constitution and theNebraska Constitution both guarantee a speedy public trial by an impartial jury. - Constitutional Law: Trial: Juries. The presence of an alternate juror during the jury‘s deliberations violates a defendant‘s federal and state constitutional rights to a fair and impartial trial.
- Juries: Verdicts. The presence of strangers during jury deliberations destroys the sanctity of the jury because the verdict of a jury should represent the concurring judgment, reason, and intelligence of the entire jury based upon the evidence and free from outside influence from any source whatever.
- Juries. Once a case has been submitted to the jury, an alternate juror is a stranger to the proceedings regardless of whether the alternate juror was discharged.
Juries: Presumptions: Appeal and Error. The irregularity of the presence of an alternate juror in deliberations of the 12 regular jurors creates a rebuttable presumption of prejudice subject to a harmless error analysis. - Constitutional Law: Trial: Juries: Presumptions: Appeal and Error. The presence of an alternate juror in jury deliberations is a constitutional violation of the right to a fair and impartial trial that merely creates a rebuttable presumption of prejudice for purposes of a harmless error analysis.
- Motions for Mistrial: New Trial: Proof. After an error has been properly preserved by a motion for a mistrial, in order for a new trial to be granted, it must be shown that a substantial right of the defendant was adversely affected and that the defendant was prejudiced thereby.
- Criminal Law: Trial: Juries: Verdicts: Appeal and Error. In a jury trial of a criminal case, harmless error exists when there is some incorrect conduct by the trial court which, on review of the entire record, did not materially influence the jury in reaching a verdict adverse to a substantial right of the defendant.
Petition for further review from the Court of Appeals, MOORE, ARTERBURN, and WELCH, Judges, on appeal thereto from the District Court for Douglas County, JAMES T. GLEASON, Judge. Judgment of Court of Appeals reversed and remanded with directions.
Peder Bartling, of Bartling Law Offices, P.C., L.L.O., for appellant.
Douglas J. Peterson, Attorney General, and Siobhan E. Duffy for appellee.
HEAVICAN, C.J., MILLER-LERMAN, CASSEL, STACY, FUNKE, PAPIK, and FREUDENBERG, JJ.
FREUDENBERG, J.
NATURE OF CASE
In a petition for further review from a direct appeal of a first degree sexual assault conviction, the defendant challenges the Nebraska Court of Appeals’ affirmance of the district
BACKGROUND
Following a jury trial, James M. Madren was convicted of first degree sexual assault, in violation of
Madren indicated his intent to move for a mistrial. Madren asked the court to inquire of the alternate juror the extent, if any, the alternate had participated in deliberations. Further, Madren requested that the court admonish the remaining 12 jurors that any opinions expressed by the alternate were not to be considered in deliberations. The court indicated it intended to admonish the jury to start its deliberations “anew from spot zero,” but refused to make any inquiries of the alternate.
The court then recalled the jury, notified the jury of the error, and identified and dismissed the alternate juror. At that time, the court asked the jury to again “refer to the instructions regarding your duties as jurors.” It also specifically told the jury, “I don‘t want to inquire to what extent you communicated back and forth.” Rather, the court instructed the jury to start “again from scratch as if your deliberations start now and without the alternate present.” The court asked the jury if the instruction made sense to them, all jurors responded affirmatively, and the jury was then dismissed to begin deliberations anew.
When the jury retired back to the jury room, Madren moved for a mistrial. Madren argued that without knowing the extent that the alternate participated in persuading the jurors to change their minds, it could not be determined that the potential persuasion by the alternate could be undone when the jury was instructed to start deliberations over. The court immediately overruled Madren‘s motion for mistrial, reasoning that it
After the jury returned its verdict, the jury was polled at defense counsel‘s request and each juror was asked whether the guilty verdict was his or her final verdict. Each juror answered, “Yes.” No further questioning of any individual juror took place. The district court generally requested that the jury “please let me know” whether any of its members, in reaching the verdict, “consider[ed] any of the conversations or participation” of the alternate juror while she was with them in the jury room. There was no audible response, and the judge rendered judgment on the verdict.
After the verdict was entered, Madren moved for a new trial, alleging in the written motion, among other things, that the alternate juror‘s participating in deliberations for over an hour could not be cured by any instruction, prejudiced Madren, and prevented him from having a fair trial. The order scheduling a hearing on the motion for new trial was not included in the transcript. The bill of exceptions of the hearing, however, indicates that the court was not allowing evidence at the hearing, but only arguments.
At the hearing on the motion for a new trial, Madren requested that the court keep the motion under advisement until sentencing in order to give defense counsel time to at least secure an affidavit from the alternate juror as to her participation in deliberations, if the court were inclined to allow any evidence, in the form of an affidavit or direct testimony, regarding what the alternate actually did. Madren explained that if the affidavit indicated the alternate juror substantially participated, it “would support our argument that there was prejudice to [Madren] by having that alternate in the jury room.”
The court overruled Madren‘s motion for a new trial without giving Madren an opportunity to secure the alternate juror‘s affidavit or for either party to present any evidence. The court concluded that “all the matters regarding the alternate were
The Court of Appeals affirmed. Madren petitioned for further review limited to the Court of Appeals’ affirmance of the district court‘s decision to overrule Madren‘s motion for mistrial and motion for new trial regarding the alternate juror‘s participating in deliberations. We granted further review.
ASSIGNMENTS OF ERROR
In Madren‘s petition for further review, he assigns that the Court of Appeals erred by misconstruing Nebraska law in affirming the district court‘s decision to overrule Madren‘s motions for mistrial and new trial after the district court allowed a nonjuror, the alternate juror, to participate in the deliberation process that rendered a guilty verdict against Madren.
STANDARD OF REVIEW
[1,2] Decisions regarding motions for mistrial are directed to the discretion of the trial court and will be upheld in the absence of an abuse of discretion.1 An abuse of discretion occurs when a trial court‘s decision is based upon reasons that are untenable or unreasonable or if its action is clearly against justice or conscience, reason, and evidence.2
[3] We determine a de novo standard of review applies when an appellate court is reviewing a trial court‘s dismissal of a motion for a new trial under
ANALYSIS
[4,5] The
[6,7] The presence of strangers during jury deliberations destroys the sanctity of the jury because the verdict of a jury should represent the concurring judgment, reason, and intelligence of the entire jury based upon the evidence and free from outside influence from any source whatever.6 We have held that once a case has been submitted to the jury, an alternate juror is a stranger to the proceedings regardless of whether the alternate juror was discharged.7 An alternate, we have explained, is not part of the deliberating body and should not be permitted with the group, where an alternate may have an influence on the jury‘s determination.8
Madren correctly points out that several jurisdictions hold that the presence of an alternate in the jury room during
At least one jurisdiction has modified this per se approach by making a distinction between instances where the alternate juror was present while the jury actually deliberated and instances where the alternate was present only during “limited organizational activity,” such as electing a foreperson.15 If the alternate is present after deliberations begin, the error is fundamental and prejudicial per se, and a new trial is necessary.16
[8] Both our court and the U.S. Supreme Court have repeatedly recognized that most constitutional errors can be harmless.19 Thus, under most circumstances, we have rejected a per se rule for irregularities or misconduct involving the sanctity of the jury.20 We have specifically held that the irregularity of the presence of an alternate juror in deliberations of the 12 regular jurors creates a rebuttable presumption of prejudice subject to a harmless error analysis.21
In State v. Menuey,22 we explained that the presence of an alternate juror in the jury room, while a fundamental constitutional violation, is nevertheless distinct from the presence of a court or law enforcement officer for a significant period of time during deliberations—which we held in Gandy v. State23 and Cooney v. State24 is prejudice per se regardless
We ultimately held in Menuey that the evidence presented at the evidentiary hearing, at which the alternate and the jurors testified, rebutted the presumption of prejudice. The alternate and the jurors had been called by the trial court to testify, and it was undisputed that no deliberations took place during the alternate‘s presence, which was for only approximately 10 minutes while the jury chose a foreman. The jurors and the alternate testified that the alternate did not participate in the choosing of the foreman; nor did the alternate discuss the case with the jurors when the bailiff had allowed the alternate to join them for lunch. Finally, the jurors testified their decisions were not in any way influenced by the alternate‘s presence.27
[9] We decline Madren‘s invitation to overrule Menuey and adopt a per se standard for prejudice when an alternate is mistakenly allowed in juror deliberations. We reaffirm that under the statutory scheme for alternates controlling at the time of Madren‘s trial, the presence of an alternate juror in jury deliberations is a constitutional violation of the right to a fair and impartial trial that merely creates a rebuttable presumption of prejudice for purposes of a harmless error analysis.
This approach, adopting a rebuttable presumption of prejudice in a harmless error analysis for the unauthorized presence of an alternate juror in jury deliberations, has been
As we noted in Menuey,
Upon an inquiry into the validity of a verdict or indictment, a juror may not testify as to any matter or statement occurring during the course of the jury‘s deliberations or to the effect of anything upon his or any other juror‘s mind or emotions as influencing him to assent to or dissent from the verdict or indictment or concerning his mental processes in connection therewith, except that a juror may testify on the question whether extraneous prejudicial information was improperly brought to the jury‘s attention or whether any outside influence was improperly brought to bear upon any juror. Nor may his affidavit or evidence of any statement by him indicating an effect of this kind be received for these purposes.
(Emphasis supplied.) We explained in Menuey that the jurors’ and the alternate‘s testimony as to both the objective extent
We observe that since Madren‘s trial, amendments made by 2020 Neb. Laws, L.B. 881, effective November 14, 2020, now allow courts to retain alternate jurors after the jury retires to deliberate, with added safeguards intended to protect the sanctity of juror deliberations.33 Under
This case presents the unique situation where the district court, through its own error, allowed the alternate, without any
When the grounds for a motion for a mistrial involve the sanctity of jury deliberations, the defendant has generally been given an opportunity to have the jurors both questioned and polled, and whether the defendant was prejudiced depends in part on what the jurors say on interrogation.36 Even more to the point,
As a general rule, the use of the word “shall” is considered to indicate a mandatory directive, inconsistent with the idea of discretion.37 In State v. Cross,38 we held that we apply a de novo standard of review to a trial court‘s dismissal of a motion for a new trial under
[10] After an error has been properly preserved by a motion for a mistrial, in order for a new trial to be granted, it must be shown that a substantial right of the defendant was
In our de novo review, we hold that the court had a mandatory duty under
The district court‘s general request to the jury, that any of its members should “please let me know” if, in reaching the verdict, they “consider[ed] any of the conversations or participation” of the alternate juror while she was with them in the jury room, was not an adequate replacement for individualized questioning of whether the jurors were influenced. And, under these facts, the court‘s instruction to begin deliberations “from scratch” did not nullify its mandatory duty to conduct an evidentiary hearing for purposes of determining if the presumption of prejudice had been rebutted. Such an instruction is not a panacea for every violation of the sanctity of juror deliberations.
The requirement in the 2020 amendment to
This is not to say that an instruction to begin deliberations anew after the sanctity of jury deliberations has been violated is irrelevant, but the effectiveness of such an instruction in erasing all prejudice from the presumed unauthorized influence of the jurors necessarily depends on the extent of the influence. And because the court refused to conduct an evidentiary hearing, it is precisely this that we do not know.
Without information as to whether and to what extent the alternate communicated with the jury during deliberations, we cannot determine the merits of whether the court erred in denying the motion for a new trial. But we can determine that
The facts of this case are similar to those presented in State v. Owen,42 wherein the district court had refused to conduct an evidentiary hearing upon the defendant‘s motion for new trial and the Court of Appeals remanded the matter for an evidentiary hearing on the motion. The defendant in Owen had presented affidavits suggesting that the court had informally expounded upon its instruction on the term “reasonable doubt,” when it entered the jury room before evening recess to admonish the jurors concerning their separation, and, further, that jurors had brought dictionary definitions of the term “reasonable doubt” into their deliberations. The Court of Appeals explained that while the alleged violations were not prejudicial per se, due to the lack of an evidentiary hearing, there was insufficient information to determine whether there was a reasonable possibility that extraneous information or the irregularities of the court‘s communications affected the verdict.
Thus, the Court of Appeals in Owen held that the district court judge had abused his discretion in failing to recuse himself and allow an evidentiary hearing, which deprived the defendant of her substantial right to determine whether she had been prejudiced by either the alleged further instruction on the burden of proof by the judge or the juror‘s production of extraneous dictionary information. Without expressing any opinion as to whether the alleged misconduct in connection with the jury deliberations occurred or whether it was prejudicial if it occurred, the Court of Appeals vacated the order denying the motion for a new trial and remanded the matter back to the trial court with directions that a judge other than the trial judge rule on the motion for new trial after conducting an evidentiary hearing.
[11] We likewise find it necessary that the district court‘s order denying Madren‘s motion for a new trial should be
The Court of Appeals erred in affirming the district court‘s denials of Madren‘s motions for mistrial and new trial, because the district court erred in failing to hold an evidentiary hearing regarding the alternate juror‘s participation in deliberations. We reverse the decision of the Court of Appeals and remand the matter to the Court of Appeals with directions to remand the matter to the district court to conduct the mandated evidentiary hearing as required by
CONCLUSION
For the foregoing reasons, we reverse the judgment of the Court of Appeals and remand the matter with directions.
REVERSED AND REMANDED WITH DIRECTIONS.
