Opinion ID: 397156
Heading Depth: 1
Heading Rank: 2

Heading: replacement of a juror after deliberations began9

Text: 37 After giving the instructions to the jury, the trial court discussed with counsel procedural options in the event that a juror became incapacitated after deliberations had begun. Defense counsel unanimously stated that they would refuse to stipulate to a jury of less than twelve. See Fed.R.Crim.P. 23(b). They also objected to a proposal that an alternate juror might be impaneled if a regular juror became unable to continue. Despite defense objection, the court ordered that the remaining alternate juror, Mr. Lewis, not be dismissed but rather that he be separately sequestered while the regular jurors deliberated. 10 Lewis was directed not to watch television newscasts. 38 The jury began deliberations on a Friday and deliberated from 9:30 a. m. until 4:30 p. m. The following day the jurors deliberated from 9:30 a. m. until approximately 2:30 p. m., when they asked to return to the hotel because one juror, Mr. Zalc, felt ill. At one point during the jury's deliberations the foreman requested that some trial testimony be made available to the jury. Before the court had decided whether to allow the jury to review the requested testimony, the foreman indicated that several jurors recalled several incidents which helped them remember the requested testimony and stated that this probably will make us look at other testimony with a greater insight. Mr. Zalc was hospitalized on Sunday and on Monday suffered a heart attack. The court thus found it necessary to excuse Zalc from further jury service. 39 On Tuesday the court decided to replace Zalc with Lewis. Before the court decided to impanel Lewis, it questioned Lewis and the remaining jurors. The court first questioned Lewis and received his assurances that he had neither discussed the case with anyone nor received any extrinsic information about it. Lewis also assured the court that he would have no difficulty working with the other jurors from a clean slate. The court summoned the other jurors to the courtroom, informed them of the events, and ordered that all materials upon which they had written during deliberations be confiscated. The court then sent the jury out of the courtroom and ordered that the jurors return individually for questioning. Although the court did not ask the jurors whether they had either personally or collectively arrived at opinions or conclusions about any of the charges or defendants, 11 the court did ask each juror whether he or she could and would wipe from his or her mind the deliberations of the two previous days and start fresh and anew. Each juror gave the court that assurance. The court then instructed the jury on its duty to start its deliberations anew. 12 After Lewis was impaneled a foreman was again elected and the jury deliberated for six days until reaching a verdict. 13 40 Appellants urge that the action of the trial court in impaneling an alternate after jury deliberations had begun was reversible error. They object to the action on both constitutional grounds, as violative of their right to a trial by a fair and impartial jury under the Sixth Amendment, 14 and statutory grounds, as violative of Fed.R.Crim.P. 24(c). 41 Initially, we agree with the Government's position that the language of Rule 24(c) concerning substitution of alternate jurors prior to the jury's retirement is not constitutionally mandated. See Henderson v. Lane, 613 F.2d 175, 179 (7th Cir.), cert. denied, 446 U.S. 986, 100 S.Ct. 2971, 64 L.Ed.2d 844 (1980) (state trial court substitution of alternate juror after regular juror suffered heart attack held not to violate defendant's right to trial by jury under Sixth and Fourteenth Amendments). Cf. People v. Collins, 17 Cal.3d 687, 552 P.2d 742, 131 Cal.Rptr. 782 (1976), cert. denied, 429 U.S. 1077, 97 S.Ct. 820, 50 L.Ed.2d 796 (1977) (substitution of alternate juror after jury deliberations have begun permissible under California constitution); but cf. People v. Ryan, 19 N.Y.2d 100, 224 N.E.2d 710, 278 N.Y.S.2d 199 (1966) (New York constitution prohibits substitution of alternate after jury deliberations have begun. 15 See also United States v. Evans, 635 F.2d 1124 (4th Cir. 1980) (no fundamental unfairness in replacing regular juror with alternate after jury deliberations had begun where defendant agreed to such replacement). 16 The California Supreme Court held, with reference to its own state constitution, that the right to trial by jury does not require a declaration of a mistrial when a properly qualified alternate juror is available and that juror fully participates in all of the deliberations which lead to a verdict. People v. Collins, supra, 131 Cal.Rptr. at 786, 552 P.2d at 746. The court found no constitutional objection to substitution of an alternate after deliberations have begun where good cause has been shown for the dismissal and the jury has been instructed to begin its deliberations anew. Id. 17 We believe that such reasoning is applicable to the federal Constitution and disposes of appellants' constitutional argument. 18 42 Appellants' second challenge to the substitution of the alternate after deliberations had begun is based on Fed.R.Crim.P. 24(c), which provides in pertinent part: 43 Alternate jurors in the order in which they are called shall replace jurors who, prior to the time the jury retires to consider its verdict, become or are found to be unable or disqualified to perform their duties .... An alternate juror who does not replace a regular juror shall be discharged after the jury retires to consider its verdict. 44 Appellants urge that the district court's substitution of the alternate, in violation of the language of Rule 24(c), is reversible error. In evaluating appellants' argument we are guided by the Supreme Court's statement in Fallen v. United States, 378 U.S. 139, 142, 84 S.Ct. 1689, 1691, 12 L.Ed.2d 760 (1964), that the Federal Rules of Criminal Procedure are not, and were not intended to be, a rigid code to have an inflexible meaning irrespective of the circumstances. See United States v. Mendoza, 565 F.2d 1285, 1289 (5th Cir.), rehearing en banc, 581 F.2d 89 (5th Cir. 1978) (adopting relevant portion of panel decision). The question before this Court is whether the appellants were prejudiced by the substitution of the alternate after jury deliberations had begun. We conclude that they were not because the procedural precautions taken by the trial court obviated the danger of prejudice to the appellants and overcame the concerns of the draftsmen of Rule 24(c). 45 The present language of Rule 24(c) is little changed from a preliminary draft prepared in February 1944. 3 L. Orfield, Criminal Procedure Under the Federal Rules 94 (1966). The draftsmen had previously considered and discussed the restriction against substituting an alternate once deliberations have begun. Id. at 94, 98; Orfield, Trial Jurors in Federal Criminal Cases, 29 F.R.D. 43, 46, 53 (1961). A preliminary draft dated May 1942, which contained a proposed rule that would have allowed substitution of an alternate juror after the jury retired for deliberations, was submitted to the Supreme Court for comment. The Court queried the rules committee whether the committee had satisfied itself that such a procedure would be desirable or constitutional. Orfield, Trial Jurors in Federal Criminal Cases, supra, 29 F.R.D. at 46. The draftsmen of the rules committee did not adopt that proposed rule. It was feared that if such substitutions were permitted (t)he members of the regular jury might bring such influence on a dissenter as to disable him and then require an alternate. The alternate may have been exposed to improper influences before he takes part as he does not previously sit in the jury room. 3 Orfield, Criminal Procedure Under the Federal Rules, supra, at 94. 46 In addition to those proposals presented to the draftsmen of Rule 24(c) which would have permitted substitution of alternates during deliberations, subsequent proposals have been made that Rule 24(c) be amended to permit such substitutions. Supplemental Report of Committee on Federal Rules of Civil Procedure-Judicial Conference-Ninth Circuit, 37 F.R.D. 71, 74 (1965) (advocating substitution of alternates in protracted trials after case submitted to jury); Preliminary Draft of Proposed Amendments to the Federal Rules of Criminal Procedure, Committee on Rules of Practice and Procedure of the Judicial Conference of the United States (1973) (quoted in United States v. Lamb, 529 F.2d 1153, 1162 n.7 (9th Cir. 1975) (dissenting opinion)) (advocating substitution of alternate after deliberations have begun; would also require that the court shall advise the entire jury that all facts shall be reviewed and discussed with the juror who has previously served as an alternate juror); Paisley, The Federal Rule on Alternate Jurors, 51 A.B.A.J. 1044 (1965). 47 Some states have adopted statutory criminal rules provisions allowing substitution of an alternate juror after deliberations have begun. E. g., Cal.Pen. Code § 1089 (West); see Paisley, The Federal Rule on Alternate Jurors, supra, 51 A.B.A.J. at 1045. See generally Annot., 84 A.L.R.2d 1288 (1962). However, the American Bar Association Project on Minimum Standards for Criminal Justice, Standards Relating to Trial by Jury § 2.7 (Approved Draft 1968), rejected such substitution provisions. The ABA Advisory Committee on the Criminal Trial believed that it was undesirable to substitute a juror who had not had the benefit of prior deliberations. Id. § 2.7 at 83. 48 The initial decision by the district court in this case not to discharge the alternate Lewis when the jury retired was a violation of the language of Rule 24(c) which provides that an alternate who does not replace a regular juror shall be discharged after the jury retires to deliberate. This Court, however, does not apply a per se rule of reversal to Rule 24(c) violations. United States v. Allison, 481 F.2d 468, 472 (5th Cir.), aff'd after remand, 487 F.2d 339 (5th Cir. 1973), cert. denied, 416 U.S. 982, 94 S.Ct. 2383, 40 L.Ed.2d 759 (1974); accord, United States v. Hayutin, supra, 398 F.2d at 950. Admittedly, that provision of Rule 24(c) has been held by this Circuit to be a mandatory requirement that should be scrupulously followed. United States v. Allison, supra, 481 F.2d at 472; accord, United States v. Hayutin, supra, 398 F.2d at 950; United States v. Lamb, supra, 529 F.2d at 1156. Despite the mandatory language of Rule 24(c), however, this Court in United States v. Allison, refused to hold that any departure from the rule automatically required a new trial. The Court held that a new trial would not be required unless there was a reasonable possibility that the presence of the alternate affected the jury's verdict. 481 F.2d at 472. In Allison the trial court did not discharge an alternate juror when the jury retired, but rather permitted the juror to sit in the deliberation room with the regular jurors although he was directed not to participate in any way. This Court remanded the case for an evidentiary hearing on the possibility that the jury's verdict was affected. The district court's subsequent finding was affirmed on appeal. 487 F.2d 339. 19 49 Other technical violations of Rule 24(c) have been held not to be reversible error. In United States v. Cohen, 530 F.2d 43, 48 (5th Cir.), cert. denied, 429 U.S. 855, 97 S.Ct. 149, 50 L.Ed.2d 130 (1976), this Court sanctioned the replacement of a regular juror by an alternate after the jury had been ordered to retire for deliberations, but before actual deliberations had commenced. Replacement of a disabled juror after deliberations have begun has been approved if the defendant stipulates to such substitution. United States v. Evans, supra, 635 F.2d 1124; Leser v. United States, 358 F.2d 313, 317 (9th Cir.), petition for cert. dismissed, 385 U.S. 802, 87 S.Ct. 10, 17 L.Ed.2d 49 (1966). Failure to discharge alternate jurors, if the alternates had been separated from the jury while deliberating and at no time had been in contact with the deliberating jury, has been held not to be prejudicial, reversible error under Rule 24(c). United States v. Hayutin, supra, 398 F.2d 944. 50 Appellants rely upon United States v. Lamb, supra, 529 F.2d 1153, in which the Ninth Circuit, sitting en banc, reversed a conviction on the ground that the district court failed to comply with the plain requirements of Rule 24(c). Lamb, however, is clearly factually distinguishable from the present case. The trial court in Lamb initially directed an alternate to stand by in case she was needed, but then discharged her when the jury returned a verdict of guilty after four hours of deliberation. The court, however, refused the verdict because it was inconsistent with the instructions. The court recalled the alternate and impaneled her in the place of another juror who had requested to be excused. The court then reinstructed the jury and told it to begin its deliberations anew. The newly constituted jury returned a guilty verdict after only twenty-nine minutes of deliberation. After the final verdict was returned, the court sought and received assurances from the jury foreman and the alternate who had been substituted that the jury had begun deliberations anew and had discussed all the points of evidence. Id. at 1158. 51 The brief amount of time in which the second verdict was reached demonstrated to the appellate court that the alternate was impermissibly coerced and that the newly constituted jury did not give conscientious, careful reconsideration to the case despite the trial court's instruction that it begin anew. Id. at 1156. However, the Lamb court's reversal of the conviction was apparently based on the mere fact that the mandatory provision of Rule 24(c) was violated; the court stated that the length of deliberation by the newly constituted jury was essentially irrelevant. Id. at 1156 n.7. 20 The Ninth Circuit noted some of the reasons underlying Rule 24(c), most significantly the inherent coercive effect upon an alternate who joins a jury after it has deliberated for some length of time and the possibility that a juror who disagreed with the other jurors might be coerced into feigning incapacity to continue sitting on the jury. Id. at 1156. 52 The dissenting opinion in Lamb criticized the majority's adoption of a per se rule of reversal and asserted that a determination should be made as to whether violation of the rule was prejudicial to the defendant, citing this Court's decision in United States v. Allison, supra, 481 F.2d at 472, and United States v. Hayutin, supra, 398 F.2d at 950-51. Id. at 1159. The Lamb dissent would not, however, have remanded the case for an evidentiary hearing on the possibility of prejudice, as this Court did in Allison, because the district court had already made the necessary fact finding on the issue of possible prejudice. Id. at 1161. The dissent also stated that there is greater justification for a rule of reversal per se if an alternate is present with the jury during deliberations, since the privacy of jury deliberations is thereby violated, than for such a rule when an alternate is substituted after deliberations have commenced. Id. at 1160, citing Leser v. United States, supra, 358 F.2d at 318. 53 The most substantial concern about substitution of an alternate juror after deliberations have begun is that the alternate might be coerced by jury members who might have already formulated positions or viewpoints or opinions. Here, the trial court after careful consideration utilized a number of procedural mechanisms in order to protect the appellants' rights. The court sequestered the alternate during the preliminary jury deliberations, carefully questioned each juror individually about whether he or she could and would start the deliberations anew, and pointedly instructed the jury to begin its deliberations anew. These extreme precautions, in addition to the continuation of deliberations for an entire week after the alternate was impaneled, negated any possible coercive effect or any undue influence. 21 54 The safeguards utilized by the court neutralized the possible prejudice to the appellants. We need not remand for an evidentiary hearing on the issue of prejudice, see United States v. Allison, supra, 481 F.2d at 472, because we conclude that the instructions to the jury to begin anew, the jurors' individual assurances that they could in fact begin anew, and the full participation of the substituted alternate in the deliberations, which lasted six days, obviated the danger of undue prejudice. On the record before us we cannot discern that appellants were prejudiced by the substitution. The substitution procedure utilized by the court did not deprive appellants of their right to a full consideration of their cases by an impartial jury panel. 55 We emphasize that the court's decision to substitute the alternate was made in the context of a most complex and protracted trial, lasting over four months, of multiple defendants on numerous substantive and conspiracy charges. Our conclusion that the district court committed no reversible error must likewise be understood as limited to such an exceptional context. We have considered the relief sought by the appellants-a new trial-in light of the purpose of the federal rules of criminal procedure: to secure simplicity in procedure, fairness in administration and the elimination of unjustifiable expense and delay. Fed.R.Crim.P. 2. The district court's substitution procedure secured a just and non-prejudicial result and served to further the purpose of the federal rules of criminal procedure and the administration of justice.