Title: State v. Mims
Citation: 235 N.W.2d 381
Docket Number: 44795
State: Minnesota
Issuer: Minnesota Supreme Court
Date: November 7, 1975

235 N.W.2d 381 (1975) STATE of Minnesota, Respondent, v. Henry Lucius MIMS, Appellant. No. 44795. Supreme Court of Minnesota. November 7, 1975. *382 C. Paul Jones, Public Defender, William F. Forsyth, Asst. Public Defender, Minneapolis, for appellant. *383 Warren Spannaus, Atty. Gen., St. Paul, Gary W. Flakne, County Atty., Vernon E. Bergstrom, David W. Larson, Michael H. McGlennen, Asst. County Attys., Minneapolis, for respondent. Heard before SHERAN, C. J., and ROGOSHESKE and TODD, JJ., and considered and decided by the court en banc. ROGOSHESKE, Justice. The sole issue presented on this appeal is whether in a criminal case any communication between the trial judge and the jury relating to the case occurring during the judge's uninvited entry into the jury room during the jury's deliberations and in the absence of defendant and counsel constitutes reversible error. We hold that it does and reverse defendant's conviction. Defendant was charged and tried by a jury for the crime of aggravated robbery under Minn.St. 609.245 for the theft, while armed with a revolver, of a television set and $24 belonging to one Hampton Jones. Upon submission of the case, as the record strikingly reveals, the jury was confronted with the difficult task of finding the true facts of the occurrence giving rise to the charge by resolving the direct conflicts between the testimony of Hampton Jones, who claimed he was the victim, and defendant, who denied such claims. The jury retired for deliberations at 12:04 p. m. At 1:50 p. m., the jury returned for additional instructions, which were properly given in the presence of defendant and counsel. At 2:09 p. m., the jury resumed its deliberations. At 4:15 p. m., the judge, without request or invitation of the jury and out of the presence of defendant and counsel, entered the jury room. The following exchange occurred between the judge and Mr. Bryan, the foreman of the jury: The judge left the jury room at 4:45 p. m. and, after conferring with counsel in chambers, recalled the jury and informed them that, by agreement of counsel and with his approval, it would be desirable for them to deliberate until 9 that evening. If they were unable to reach a verdict by that time, it was agreed that they would be permitted to go home and return the following morning when, the judge stated, they would "resume deliberations until you are able to arrive at a verdict." He added, "If you cannot, why, you cannot, but I am hopeful that you can and take the optimistic view now." The jury resumed its deliberations at 5:30 p. m. At 6 p. m., the jury had its evening meal, thereafter resumed its deliberations, and at 8:05 p. m. returned a verdict of guilty. Defendant objected to the judge's entry into the jury room after being informed of its occurrence and again formally at sentencing. The objection was overruled, the judge declaring that a new trial would not be granted on that ground. Defendant appeals from the judgment. We do not question the motives, good faith, or intentions which prompted the trial judge to enter the jury room.[1] Further, we are not persuaded by defendant's principal argument that the judge's words and conduct amounted in coercive effect to a so-called "Allen" charge, which was declared improper by State v. Martin, 297 Minn. 359, 211 N.W.2d 765 (1973). Rather, our concern is with the influence this particular type of intrusive communication has upon the integrity of the proceedings and the independent role and function of a jury during its deliberations on its verdict. We are compelled, however, to regard the communication recorded as relating to the case on trial since inquiry was made as to the "prospects" of arriving at a verdict by a certain time, coupled with the admonition, not included in the judge's prior *385 instructions, that a jury in a criminal case "must be kept together until they arrive at a verdict." However painstakingly the judge sought to disavow any intention of shortening deliberations or hastening a verdict, the likelihood exists that some juror or jurors would have misunderstood or misinterpreted the judge's mere unexpected presence in their domain to mean either that it was about time a verdict was reached or, at the very least, that court officers and personnel would be inconvenienced by extended deliberations. The state concedes error by the trial judge but, relying principally on State v. Schifsky, 243 Minn. 533, 69 N.W.2d 89 (1955), would have the question of a new trial turn on whether the error was prejudicial to defendant's right to a fair trial. In the Schifsky case, we found harmless error in the trial court's recalling a jury upon its request and rereading a portion of the jury instructions in the absence of the defendant. We commented (243 Minn. 543, 69 N.W.2d 96): We also observed in the Schifsky case (243 Minn. 542, 69 N.W.2d 95) that the rule of Hoberg v. State, 3 Minn. 181(262) (1859), namely, that any communication with the jury in the absence of the defendant is reversible error, was completely overthrown by the later cases, especially Oswald v. Minneapolis &amp; N. W. Ry. Co., 29 Minn. 5, 11 N.W. 112 (1881). The force of that observation is diminished because, unlike the instant case and Hoberg, the communication in Schifsky took place in open court and at the jury's request. None of the cases cited in the opinion as modifying the rule of Hoberg dealt with the narrow question of whether a demonstration of prejudice is required before a new trial will be granted on the basis of unsolicited communications of the type here presented between the judge and jury in the jury room. In Hoberg, this court said (3 Minn. 184 [269]): When considered in the light of current developments improving the administration of criminal justice and the limited scope of Hoberg's application, we believe that the rationale quoted above takes on new vitality requiring our reaffirmance and justifying our conclusion that in any criminal case any communication relating to the case occurring during a judge's uninvited entry into the jury room during deliberations and in the absence of defendant and counsel constitutes reversible error. While courts of other jurisdictions have universally condemned the entry of the trial judge into the jury room and any communication with the jury outside the presence of defendant and counsel, not all have considered the error to be so inherently prejudicial as to require a new trial in every case. A majority of cases considering the question hold that any communication between the judge and jury after submission of the case, other than in open court and in the presence of defendant and counsel, is reversible error, either because of a finding of actual prejudice or because of a violation of a statute or procedural rule.[2] In Danes v. Pearson, 6 Ind.App. 465, 33 N.E. 976 (1893), a civil case involving conduct very similar to that complained of here, the court noted its general rule that communications between a third party, bailiff, or clerk and a jury will be carefully scrutinized to discern possible prejudice, but that where the communication is between judge and jury in the jury room a new trial is required, stating (6 Ind.App. 470, 33 N.E. 978): In the more recent case of Laine v. State, 289 N.E.2d 141, 144 (Ind.App.1972), the court said: *387 In Zaitzeff v. Raschke, 387 Mich. 577, 198 N.W.2d 309 (1972), a civil case, the judge entered the jury room and instructed his reporter to reread a portion of the testimony. The Michigan court reversed, a majority saying (387 Mich. 579, 198 N.W.2d 310): In a murder case, People v. Heard, 388 Mich. 182, 200 N.W.2d 73 (1972), the Michigan court, relying on Zaitzeff, unanimously reversed a decision of its intermediate appellate court affirming defendant's conviction (31 Mich.App. 439, 188 N.W.2d 24 [1971]) where the trial judge entered the jury room without invitation of the jury or request of counsel and delivered 21 exhibits to them. There are, we believe, sound reasons which support our reaffirmation of the strict rule. It is fundamental that all proceedings in the trial of a criminal case shall be open and public and shall be conducted in the presence of defendant and counsel.[4] The same is true with respect to any communication between the judge and jury after the case is submitted and the jury has begun deliberations.[5] No conceivable circumstances occur to us which would make it necessary for a judge alone to communicate with the jury about the case by entering uninvited into the jury room during deliberations. If orderly supervision of the docket or convenience of the jury, the parties, the lawyers, or court personnel requires that the judge be informed as to the prospect of the jury's reaching a verdict by a certain time, the proper procedure is to recall the jury to the courtroom. Thereupon, in the presence of defendant and counsel, the judge should direct the jury foreman to poll the jury in private in the jury room and then to return and inform the judge whether a majority does or does not believe a verdict can be reached by a certain time. See, People v. Luther, 53 Mich.App. 648, 219 N.W.2d 812 (1974); State v. Klein, 200 N.W.2d 288 (N.D.1972). Such a procedure entails no risk of impropriety or even the appearance of impropriety. The trial judge, as the neutral factor in the interplay of our adversary system, is vested with the responsibility to ensure the integrity of all stages of the proceedings. This pervasive responsibility includes avoidance of both the reality and the appearance of any impropriety by so directing and guiding the proceedings as to afford the jury fair and independent opportunity to reach an impartial result on the issue of guilt. Thus, the trial judge's position in performing his role and function before submission of the case is a powerful one and makes him an imposing figure in the minds of the jurors. Called upon to perform unaccustomed duties in strange surroundings, the average juror is very sensitive to any hint or suggestion by the judge however proper the judge's conduct. When during the judge's instructions it is impressed upon the jurors that they alone are the exclusive judges of the facts and the credibility of the witnesses, and that no act, word, sign, gesture, or inflection of voice by him is to influence their deliberations, *388 the reality of the jury's independent function emerges. The withdrawal of the jury into a separate room, the administration of the oath to their custodians the bailiffs, the traditionally locked door, and other safeguards which prevent any intrusion during deliberations, all serve to emphasize meaningfully the independence of the jury's final, collective, decisional process and to create an atmosphere in which any incorrect notions jurors may have that they are to be influenced by the judge might be removed. In view of the judge's dominant role during earlier stages of the trial, an uninvited entrance into the sanctity of the jury room for any purpose offends the integrity of the proceedings and risks influencing the jury's decisional process in some degree, however difficult to define or impossible to measure. At the very least, such unwarranted entrance disrupts the jury's deliberations, intrudes upon their independence, and transgresses the carefully drawn lines of demarcation between the functions of the trial judge and the functions of the jury. When such an intrusion occurs, we believe there is a significant interference with the orderly decisional process, and prejudice to the process results by the implication that the judge has the prerogative of entering the jury room and there exercising the same dominant authority he possesses in the courtroom.[6] Further, when such an intrusion occurs in the absence of defendant and counsel, the adversary system of demonstrating prejudice by what was gestured or hinted or effected by other unrecorded conduct of those present is frustrated. When the communication relates to the case, the harm is compounded, for the intrusion, if not demonstrably coercive, violates defendant's right to be present at all stages of the proceedings. A strict rule prohibiting such intrusions has the salutary effect of minimizing the interruptions of the jury during deliberations, eliminating the necessity of determining the existence of actual prejudice and, hopefully, discouraging repetition of the intrusions. The rule is also consistent with the principles underlying A.B.A. Standards for Criminal Justice, The Function of the Trial Judge (Approved Draft, 1972) §§ 1.5 and 5.2. Section 1.5 states in part: Section 5.2 reads as follows: While these guidelines make an exception for matters relating to physical comforts, the exception does not, we believe, contemplate the uninvited intrusion by the judge into the jury room. *389 Finally, because the communication related to the case, we do not overlook the right of the defendant to be present at all stages of his trial, recently reaffirmed by the United States Supreme Court in Rogers v. United States, 422 U.S. 35, 95 S. Ct. 2091, 45 L. Ed. 2d 1 (1975). When the trial judge in a criminal case enters the jury room and communicates with the jury without any effort to secure the presence of the defendant or his counsel, the defendant's right to be present and represented at all stages of the proceeding has been violated. Reversed. SCOTT, J., took no part in the consideration or decision of this case. [1] The record suggests that he was trying to avoid inconveniencing court personnel. [2] See cases collected at 41 A.L.R.2d 306. [3] See, also, Elliott-Greer Office Supply Co. v. Martin, 54 S.W.2d 1068 (Tex.Civ.App. 1932), reversed on other grounds, 126 Tex. 112, 86 S.W.2d 635 (1935); Du Cate v. Town of Brighton, 133 Wis. 628, 114 N.W. 103 (1907); State v. Murphy, 17 N.D. 48, 115 N.W. 84 (1908). [4] Minn.St. 631.01 requires defendant to be "personally present." See, also, Rule 26.03, subd. 1, Rules of Criminal Procedure, effective July 1, 1975. [5] Minn.St. 631.11. See, also, Rule 26.03, subd. 19, Rules of Criminal Procedure, effective July 1, 1975; A.B.A. Standards for Criminal Justice, Trial by Jury (Approved Draft, 1968) § 5.3. [6] The state's argument that the interruption was no different from the judge ordering the bailiff to interrupt and to arrange for the evening meal for the jury is not persuasive. The bailiff's role is not a dominant one, his primary function being to be of service to the jurors.