Court Opinion

ID: 9648086
Source: CourtListenerOpinion
Date Created: 2023-08-23 14:01:45.350399+00
Date Added: 2024-06-11T18:11:56.060113
License: Public Domain

RUIZ, Associate Judge,
dissenting:
This ease is one of first impression under the Jury Trial Amendment Act of 1994, D.C. Law 10-232, D.C.Code § 16-705(c) (1997) (“JTAA”). I agree with the majority that although Salmon’s trial counsel did not explicitly state the reasons now advanced on appeal in support of a mistrial, we should review the trial court’s ruling on the merits for abuse of discretion. The unanticipated situation presented by the death of Juror # 2’s aunt and its consequences provided the parties with no time to research the JTAA or refine their arguments. Both the trial court and counsel in these situations may be “understandably taken off guard by a completely unexpected denouement.” Duvall v. United States, 676 A.2d 448, 452 n. 5 (D.C.1996) (quoting McCall v. United States, 596 A.2d 948, 960 (D.C.1991) (Schwelb, J., dissenting)). In this quickly-developing situation involving a new law, Salmon’s counsel cannot be expected to have precisely articulated every reason for requesting a mistrial. During the trial court’s brief discussion on the subject, Salmon’s counsel raised two arguments objecting to dismissal of Juror # 2, and, when the trial court decided to dismiss the juror over counsel’s objection, moved for a mistrial. We would be in a different posture had Salmon’s counsel not requested a mistrial. See Cowan v. United States, 629 A.2d 496 (D.C. 1993).
The Jury Trial Amendment Act provides in pertinent part that
(c) The jury shall consist of twelve persons, unless the parties, with the approval of the court and in the manner provided by rules of the court, agree to a number less than twelve. Even absent such agreement, if, due to extraordinary circumstances, the court finds it necessary to excuse a juror for just cause after the jury has retired to consider its verdict, in the discretion of the court, a valid verdict may be returned by the remaining eleven jurors.
D.C.Code § 16-705 (1997).1
Salmon argues on appeal that the trial court abused its discretion in dismissing Ju*959ror #2 and in denying his motion for a mistrial. Applying a very generous abuse of discretion standard, I would agree with the majority’s conclusion deferring to the trial court’s discretion in deciding to excuse Juror # 2 due to the “extraordinary circumstances” of the death of his aunt who had raised him, and his resulting need to travel to California to attend her funeral, if the trial court had separately considered the question whether the absence of Juror # 2 warranted a mistrial under the circumstances of this case. See note 7 infra. Otherwise, I believe that the trial court’s decision to dismiss Juror #2 does not survive closer scrutiny in light of that juror’s offer before he left on Tuesday to complete deliberations on Friday upon his return from California. The trial court failed to consider the offer and did not inquire of the other jurors whether they would be willing to postpone completion of their jury duty for a few days in order to accommodate then-fellow juror’s unanticipated need to attend his aunt’s funeral.2
I disagree with the majority with respect to Salmon’s second argument, that the trial court abused its discretion in denying Salmon’s motion for a mistrial after the court dismissed Juror #2. The proper course of action, after considering the brevity and simplicity of Salmon’s trial,3 was to declare a mistrial rather than proceed, over the objection of the defendant, with an eleven-member jury.
The Advisory Committee’s note to Federal Rule of Criminal Procedure 234 provides that:
[I]f a juror is excused after the jury has retired to consider its verdict, it is within the discretion of the court whether to declare a mistrial or to permit deliberations to continue with 11 jurors. If the trial has been brief and not much would be lost by retrial, the court might well conclude that the unusual step of allowing a jury verdict by less than 12 jurors absent stipulation should not be taken. On the other hand, if the trial has been protracted the court is much more likely to opt for continuing with the remaining 11 jurors.
(Emphasis added.) While recognizing that the decision to declare a mistrial or allow deliberations to continue with only eleven jurors is within the trial court’s discretion, the Advisory Committee note is not silent as *960to how that discretion should be exercised, clearly stating that in “brief cases [where] not much would be lost by retrial,” the trial court “might well conclude” not to take the “unusual step” of allowing a verdict to be taken by less than a twelve-person jury. Id.
The majority applies the usual standard for review of denials of motions for a mistrial, “if the decision appears irrational, unreasonable, or so extreme that failure to reverse would result in a miscarriage of justice.” Bragdon v. United States, 668 A.2d 403, 405 n. 2 (D.C.1995) (per curiam). Applying that standard, the majority concludes that because there is nothing “magic” about the number twelve as the size for a constitutionally-permissible jury, citing Williams v. Florida, 399 U.S. 78, 87-90, 90 S.Ct. 1893, 1899-1900, 26 L.Ed.2d 446 (1970), Salmon has not made the case for a mistrial because his case “does not entail an injustice.” Ante at 956. That reasoning misses that Salmon’s argument on appeal is based on the relevant statute, D.C.Code § 16-705(c), not on the Constitution, and that the trial court’s authority to grant a mistrial in this case is governed by the statutory language. When interpreting a statute we look primarily at the statutory language and its context. Cf. Duvall, supra, 676 A.2d at 450. Although a twelve-person jury is not constitutionally required, the statute expressly provides that the jury “shall” consist of twelve persons, subject to the exception at issue in this case.5 Id. In the context of D.C.Code § 16-705(c), a verdict rendered by a jury of eleven, although permissible, is clearly a departure from the norm established by the statute. As the Advisory Committee note states, it is an “unusual step” for a court so to proceed. Moreover, the legislative history of the JTAA states that the act was “not intended to change the basic principle that a jury shall consist of 12 persons.” Council of the District of Columbia, Committee on the Judiciary, Report on D.C. Law 10-232 at 2 (Oct. 14, 1994).
The legislative determination that defendants charged with serious crimes in the District are entitled to a jury of twelve should hot lightly be set aside. In view of that statutory mandate courts should strive to have verdicts rendered by a jury of twelve. In this regard, I find persuasive the Seventh Circuit’s interpretation, of when district courts should proceed with eleven-member juries under Federal Rule 23:
The option of a retrial will always involve a significant expenditure of money, time, and judicial resources, no matter how brief the trial. In our view, the burden [of retrial] must be of a degree or a kind that is out of the ordinary to justify the decision to deprive the defendant of a jury of twelve.6
United States v. Araujo, 62 F.3d 930, 937 (7th Cir.1995).
Given the statutory preference for twelve-person juries, therefore, the inquiry whether to grant a mistrial does not end once it is determined that there is “just cause” due to “extraordinary circumstances” to dismiss a juror. That is but the preliminary step that makes the inquiry about a mistrial necessary. The lesson to be learned from the Federal Rules Advisory Committee note is that the second step, whether to grant a mistrial or proceed with an eleven-person jury, should be made with an eye toward the details of each controversy. Just, as the “just cause” and “extraordinary circumstances” determinations are made on a case-by-ease basis, the determination to proceed with eleven jurors or to declare a mistrial should be made by *961considering the relative social costs — rather than the fact that there will be some social costs — after considering the length of the trial, the complexity of the issues and the burden to the parties against the District of Columbia’s statutory preference in favor of twelve-member juries. The majority’s reasoning, however, collapses the inquiry into a single issue: if “extraordinary circumstances” justify excusing a juror, the remaining eleven-member jury proceeds to verdict and mistrial need never be granted.7 The majority’s analysis renders unnecessary and superfluous the statutory language in the JTAA and Rule 23 which expressly vests discretion in the trial court as to whether to proceed to verdict once it has determined it is necessary to excuse a juror due to extraordinary circumstances. D.C.Code § 16-705(c) (“/IJf due to extraordinary circumstances, the court finds it necessary to excuse a juror for just cause after a jury has retired to consider its verdict, in the discretion of the court, a valid verdict may be returned by the remaining eleven jurors.”) (emphasis added).
The majority places great reliance on United States v. Harrington, 323 U.S.App. D.C. 431, 108 F.3d 1460 (1997). Interpreting Federal Rule of Criminal Procedure 23, the court rejected Harrington’s argument that the district court should have granted a mistrial, stating that:
Rule 23(b) explicitly and without reservation assigns the stop/go decision to the discretion of the trial court, and nothing in the accompanying Advisory Committee notes, or in any case of which we are aware, cabins this discretion_ [The defendant’s] argument that his trial was a relatively short and simple one is well taken, but the Advisory Committee notes say only that in such eases, a trial court “might well” decide that a mistrial is appropriate, while for longer and more complex trials courts would be “more likely” to decide against a mistrial. Because Rule 23(b) expressly leaves this decision in the trial court’s discretion, and because we find no policy statement, case, or principle of fairness that would invalidate the discretionary decision made by the trial court here, [the defendant’s] challenge to the eleven-member jury fails.
Id. at 443, 108 F.3d at 1472 (internal citation omitted).
The court’s reasoning in Harrington applying Federal Rule 23(b) does not support the majority’s conclusion that there was no abuse of discretion in this case. First, the JTAA and Superior Court Rule 23(b), unlike federal Rule 23(b), require that trial court discretion be exercised under a standard requiring “exceptional circumstances” in addition to “just cause” for excusing a juror. See note 4 supra. Therefore, cases interpreting Federal Rule 23(b) are not necessarily persuasive because of the different language controlling trial court discretion. Second, the circumstances in Harrington are distinguishable from those in the present case. Harrington’s trial took place over the course of three days and involved three felony charges. The presentation of evidence in Salmon’s trial, on the other hand, took less than a day and involved only one misdemean- or count. Moreover, unlike in Harrington, the jury in this case indicated at several points that it was deadlocked. The defendant’s preference for a complete twelve-member jury is particularly important in a case where the jury, through its actions, demonstrates it is having difficulty deciding the case.
Finally, although the court in Harrington recognized that there is no mandate to require mistrial in short trials, it emphasizes the exercise of trial court discretion. See Harrington, supra, 323 U.S.App. D.C. at 443, 108 F.3d at 1472; Stratton, supra, 779 F.2d at 832 (stating that “we read the ‘just cause’ standard ... to encompass a variety of temporary problems that may arise during jury deliberations, confronting the trial judge with the need to exercise sound discretion as to the procedure to be followed at a particularly sensitive stage of the trial”) (emphasis added). We have said that a discretionary call *962requires, at a minimum, that there be an exercise of discretion applying the correct legal principles to the particular facts of the case. See Johnson v. United States, 398 A.2d 354, 363-64 (D.C.1979).
Here there is no indication in the record that the trial court in any way considered the relevant factors in favor of granting a mistrial. See id. at 364 (“Just as a trial court’s action is an abuse of discretion if no valid reason is given or can be discerned for it, so also is it an abuse if the stated reasons do not rest upon a specific factual predicate.”) (citation omitted). The record on this issue is sparse at best. The only discussion concerns whether Juror # 2’s situation constituted “exceptional circumstances” warranting that he be excused. There is no ruling on the record on Salmon’s motion for a mistrial, let alone consideration on the record of the reasons why a mistrial would or would not be appropriate in this case.8 The trial court appears to have proceeded on the same erroneous assumption adopted by the majority that once “exceptional circumstances” are found to exist warranting that the juror be excused, the jury should proceed to deliberate with only eleven jurors, without first pausing to consider the brevity and simplicity of the case or the likelihood of a retrial. But see Duvall, supra, 676 A.2d at 452 (noting that the JTAA “provides the trial court with unconditional authority, in appropriate circumstances, to proceed to verdict with eleven jurors”) (emphasis added). In the absence of a record explaining the reasons for denying the motion for a mistrial or providing a basis for discerning the reasons for such a denial, the trial court’s summary decision becomes effectively unreviewable on appeal, even under a generous abuse of discretion standard.
Faced with a silent record, the majority substitutes its concern with the “domino” effect a retrial will have on other pending proceedings. That concern, however, cannot be the sole focus and determinative factor in deciding when and if to grant a mistrial. Applying such reasoning, mistrial would never be warranted for any retrial will always entail some disruption of established schedules and unavoidable expenditure of additional judicial resources. See United States v. Mechanik, 475 U.S. 66, 72, 106 S.Ct. 938, 942, 89 L.Ed.2d 50 (1986) (noting that mistrial and retrial “entails substantial social costs: it forces jurors, witnesses, courts, the prosecution, and the defendants to expend further time, energy, and other resources ... [and] victims may be asked to relive their disturbing experiences.”); see also Allen v. United States, 603 A.2d 1219, 1228 n. 19 (D.C.1992) (en banc), cert. denied, 505 U.S. 1227, 112 S.Ct. 3050, 120 L.Ed.2d 916 (1992).
Because the declaration of a mistrial, like the reversal of a conviction by an appellate court, requires that the trial begin anew, trial courts are to strike a balance in implementing the JTAA and Rule 23. As explained by the Federal Advisory Committee note, that balance is to be struck in the context of the particular case, between the expenditure of judicial resources entailed by a mistrial, such as in the ease of re-trying protracted litigation, and the deprivation of the- defendant’s statutory right to a jury of twelve. The JTAA does not, however, contemplate that trial court should avoid the expenditure of any resources. The pertinent question is how much cost should be tolerated in order to safeguard the competing interest of a defendant’s statutory entitlement to a twelve-person jury. A valid concern with unduly burdening the Superior Court calendar might be presented in cases of greater complexity and length or where necessary witnesses may not be available at a new trial. None of those factors appears to exist here. Rigid social-cost reasoning, which attempts to turn the retrial of this particular case into a cog which will bring judicial processes to a halt, proves too much. I fear that the majority’s affirmance of the trial court’s summary denial of defendant’s motion for a mistrial in the context of the present simple, short case implicitly means that the JTAA’s allowance of an eleven-member jury verdict in the trial court’s discretion has effectively overridden defendant’s statutory right to a twelve-per*963son jury. The importance of this issue merits en banc review by the court.

. Superior Court Criminal Rule 23 provides:
(b) Jury of Lass Than Twelve. Juries shall be of twelve (12) but at any time before verdict the parties may stipulate in writing with the approval of the Court that the jury shall consist of any number less than twelve (12) or that a valid verdict may he returned by a jury of less than twelve (12) should the Court find it necessary to excuse one or more jurors for any just cause after trial commences. Even absent such agreement, if, due to extraordinary circumstances, the Court finds it necessary to excuse a juror for just cause after the jury has retired to consider its verdict, in the discretion *959of the Court, a valid verdict may be returned by the remaining eleven (11) jurors.

.I cannot subscribe to the majority’s reliance on the "realistic possibility of having to suspend jury deliberations for nearly a week,” see ante at 954, because there is no reason based on the particulars of this case for the trial court to have been concerned about a seven-day delay. The delay might not have been longer than two days, if deliberations resumed on Friday as Juror #2 suggested, which is the usual break for a weekend. Indeed, the weekend break in this case would have been three days if the Fourth of July had fallen on Friday instead of Thursday. Even assuming that deliberations would not have resumed until Monday, after a four-day break, there is no reason why a willing jury could not do as good a job on Monday as it could on Friday.
The majority's reliance on United States v. Stratton, 779 F.2d 820 (2d Cir.1985), to support the trial court’s decision to proceed with an eleven-member jury rather than risk a break of four and a half days is misplaced. In Stratton, after being informed before the jury began its deliberations that a juror would need to absent herself to observe a religious holiday, the defendant refused the trial court’s suggestion that the juror be excused and replaced with an alternate, which would have avoided the problem. Id. at 830-31. The court noted that the defendant therefore waived any objection to excusing the juror once the anticipated absence occurred after deliberations had begun. Id. at 830 n. 9.

. The trial, which was for one misdemeanor count of threats, took a total of five hours during which five witnesses testified.

. Federal Rule 23 is substantially the same as the Superior Court’s Criminal Rule 23, with the notable exception that the federal rule does not contain the language requiring "extraordinary circumstances” before a juror may be excused once the jury has retired to deliberate. Federal Rule of Criminal Procedure 23 provides in relevant part:
(b) Jury of Less Than Twelve. Juries shall be of 12 but at any time before verdict the parties may stipulate in writing with the approval of the court that the jury shall consist of any number less than 12 or that a valid verdict may be returned by a jury of less than 12 should the court find it necessary to excuse one or more jurors for any just cause after trial commences. Even absent such stipulation, if the court finds it necessary to excuse a juror for just cause after the jury has retired to consider its verdict, in the discretion of the court a valid verdict may be returned by the remaining 11 jurors.

. The statute also allows a verdict by an eleven-member jury with the consent of the parties.

. In Araujo, supra, the court held that “just cause” did not exist for the dismissal of the juror and thus did not decide the question of whether a mistrial would have been appropriate under the circumstances of the case, a five-day trial of two defendants on a single charge. The majority eschews Araujo’s insistence on twelve-person juries absent "out of the ordinary” burdens to retrial as difficult to reconcile with our decision in Duvall or with Williams. The cases, however, are easily reconciled. All Duvall and Williams suggest is that a jury of twelve is not constitutionally required. This does not run counter to Arau-jo's reasoning that once the legislature has made a decision and statutorily set the number of jurors to which a defendant is entitled, a court should strive to see that verdicts are rendered by juries composed of that number. Araujo's reasoning, that the burden must be out of the ordinary to justify a decision by less than the statutorily mandated number of jurors, holds true whether the number be twelve or six.

. If this truncated analysis and review are to prevail, greater scrutiny should be applied to the first step, whether there are “extraordinary circumstances” and "just cause” warranting dismissal of the twelfth juror over the defendant’s objection. In my view, this case would not survive such scrutiny. See p. 959 and note 2 supra.

. Thus, there is no basis for the majority's conclusion that "on the record before us ... we are satisfied that the judge did not abuse her discretion in allowing the trial to proceed to verdict with eleven jurors.” Ante at 958.