Opinion ID: 354319
Heading Depth: 2
Heading Rank: 3

Heading: Juror Impeachment of Partial Verdict

Text: 11 Appellants' principal contention is best understood in its specific factual context. The jury began deliberations on Friday morning, February 11, 1977, and continued until 9:30 that evening. Reconvening on Monday morning, February 14, it deliberated until about 6:30 p. m. when the court informed counsel that it would exercise its prerogative under Rule 31(b) of the Federal Rules of Criminal Procedure 12 to ask the jury whether it had reached a partial verdict. The jurors responded affirmatively, announcing their verdict of guilty on Count One. After the jurors were polled, the guilty verdicts were recorded. Deliberations resumed on Tuesday, February 15. At about 5:00 p. m., the judge received a note from Juror Number Four asking to see him, a request with which he did not immediately comply. The following morning at about 9:30 a. m. he received a note from Juror Number Three. She also sought a meeting with the judge, fearing that she had committed a grave injustice by rushing into the verdict. 12 With consent of counsel, the judge conducted an on-the-record in camera interview with Jurors Three and Four. During the questioning both jurors expressed their concern with the partial verdict. Juror Number Three believed that there was not evidence to make (her) decide that Mr. Hockridge and Mr. Petri were involved in a conspiracy. Juror Number Four expressed doubts about Easton's guilt and indicated that she felt like (at) the last minute we were railroaded. . . . 13 The judge reminded the two jurors that he did not want them ever to surrender (their) honest convictions. Juror Number Three replied that she thought she had done so because of verbal attack. The judge urged her to get hardened to that, to think about this some more, and to consider each defendant separately. He then said: 13 You did come in with a verdict on three of them. I would like you to think about that and resume your deliberations and then we'll see how it goes today with the deliberations and then perhaps after we finish here I will want to see you again. 14 Juror No. 3: I don't understand what you mean. Continue the deliberating 15 The Court: After the jury finishes, I think I will want to see you again and talk again about some of these things that you have told me this morning. But I think it would be wise if both of you could go back with the jurors. 16 The jurors then resumed deliberations and never again intimated any doubts of appellants' guilt on Count One. Indeed, they acquitted a codefendant on Count One that day. On Thursday, February 17, the jury announced its findings that the three appellants were guilty and a codefendant innocent on Count Two, and that all defendants were not guilty on Counts Three and Four. On the sixth and last day of deliberations, Friday, February 18, the jury announced partial verdicts of not guilty as to all three appellants on nine more counts with the exception of Petri who was found guilty on Count Eight. The jury was discharged without reaching verdicts on the remaining counts even though there was no indication that it was deadlocked. 17 In response to formal post-trial motions to set aside the verdicts, Judge Bonsal held that the jurors' in camera interview statements could not affect their verdict on Count One. Alternatively, the judge concluded that the two jurors did not surrender their honest convictions in finding the appellants guilty on that count. 18 Challenging the district judge's adverse ruling, appellants argue vigorously that the statements of the jurors were competent to impeach the verdict on Count One for essentially two reasons. First, the jury had not been discharged, thereby making Rule 606(b) of the Federal Rules of Evidence 14 inapposite. Second, when a juror has surrendered a conscientious conviction, the verdict must be set aside since it was not unanimous. Grace Lines, Inc. v. Motley, 439 F.2d 1028, 1032 (2d Cir. 1971); see United States v. Pleva, 66 F.2d 529, 531-33 (2d Cir. 1933); 6A Moore's Federal Practice P 59.08(4), at 127-28 (1974). 19 Neither the cases nor the treatises definitely answer the question whether Rule 606(b) bars the impeachment of a partial verdict by the voluntary and spontaneous testimony of a juror prior to the jury's discharge. In Vizzini v. Ford Motor Co., 72 F.R.D. 132 (E.D.Pa.1976), relied on by the Government, the jury returned a verdict of liability to a civil plaintiff which was recorded, but during deliberations on damages it revealed that the liability verdict was a compromise. The district court let the verdict on liability stand, relying on Rule 606(b), and submitted the question of damages to a new jury. The Third Circuit reversed, 569 F.2d 754 (3d Cir., filed Dec. 16, 1977), but reserved decision on the Rule 606(b) question, holding that the issues of liability and damages were so related as not to permit severability. 15 The appellants' cases are equally inconclusive. 16 Even the leading treatises ignore the relationship between Rule 606(b) and partial verdicts after which a jury continues its deliberations. 17 20 To buttress appellants' purported distinction between impeachment of complete verdicts on the one hand and partial verdicts followed by continuing deliberations on the other, they suggest that the interests in protecting freedom of deliberation and freedom from post-verdict annoyance, embarrassment, or harassment are not implicated when the impeaching statements or incidents both occur and are inquired into by the court before the jury has been discharged. 18 Appellants' position, however, is defective for two reasons. First, it mischaracterizes the impeachment of partial verdicts as not implicating the jury's freedom of deliberation. And second, it overlooks another important interest served by the rule against verdict impeachment verdict finality. 21 While the freedom of jury deliberations is less threatened by impeachment of partial verdicts than by impeachment of verdicts generally, it is, nevertheless, clearly impinged. The inquiry requested by appellants in this case is a prime example. It would have necessitated scrutiny of the deliberations of the jury including the mental processes of the jurors, a result inconsistent with the strictures of Rule 606(b). The legislative history of Rule 606(b), while perhaps not determinative, reveals the strong congressional purpose of protecting the jury deliberation process. The House version embodied a suggestion of the Advisory Committee of the Judicial Conference to delete the proscription against testimony on any matter or statement occurring during the course of the jury's deliberations, previously adopted by the Supreme Court. It retained the prohibition against inquiry into the mental processes of the jurors. See H.R.Rep.No.93-650, 93d Cong., 1st Sess. 9-10 (1973). The Senate, however, thought any inquiry into internal deliberations of the jury unsound, and its report, citing McDonald v. Pless, 238 U.S. 264, 267, 35 S.Ct. 783, 59 L.Ed. 1300 (1915), called for reinstatement of the proscription. S.Rep.No.93-1277, 93d Cong., 2d Sess. 13-14 (1974), U.S.Code Cong. & Admin.News 1974, p. 7051. The Senate view ultimately prevailed. Similar considerations seemingly apply to a partial verdict; the policy against intrusion into internal deliberations remains the same. Furthermore, it must be assumed that in enacting the Federal Rules of Evidence Congress did not act in a vacuum, but rather had in mind the Federal Rules of Criminal Procedure, including Rule 31(b). 22 Appellants' position also fails to recognize the important interest in verdict finality which is furthered by Rule 606(b). Finality obviously would be enhanced by extending the rule against impeachment to partial verdicts which have been recorded. A partial verdict should be given final effect since (i) t would only promote irresponsible hesitation to tell (the jury) that they must reserve their decision altogether until they got through; the appellants had no right in (the jury's) subsequent vacillations. United States v. Cotter, 60 F.2d 689, 690 (2d Cir.) (L. Hand, J. ), cert. denied, 287 U.S. 666, 53 S.Ct. 291, 77 L.Ed. 575 (1932). The reason for taking a partial verdict is apparent in cases where there has been a long trial and there exists the prospect of long deliberations. By taking a partial verdict, the court is able to hedge against the possibility of juror illness or death or prejudice by publicity. Of course, finality is not sought for its own sake. But where a partial verdict has been recorded, we perceive no reasons of sufficient magnitude to depart from the normal rules governing impeachment of jury verdicts. 19 A recorded partial verdict ought not to be disturbed absent a showing of the type which would permit impeachment of a complete verdict. 23 In this particular case Judge Bonsal entered into a discussion with the two jurors which to some extent implied that they might, along with the other jurors, reconsider the recorded verdict. To the extent that this may have been error, it was harmless. 24 After the in camera interviews with Judge Bonsal, the two jurors joined the others in verdicts of guilt and innocence on a number of counts. At no point did they again voice any reservation with respect to appellants' conviction on Count One. The appellants argue that Judge Bonsal's conduct in dealing with the two jurors had the effect of coercing them into giving up reasonable doubts they may have had about appellants' guilt in subsequent deliberations. This contention might have some merit if Judge Bonsal's in camera conduct had in any way been coercive, but his management of this difficult and novel situation was the opposite of coercive. 20 We emphasize, however, that in the future the appropriate action of the trial judge faced with a similar request by a juror to reconsider a prior recorded partial verdict should be to advise the juror simply that such a verdict is final, avoiding the discussion engaged in here.