United States v. McIntosh

380 F.3d 548, 2004 U.S. App. LEXIS 17725, 2004 WL 1858172
CourtCourt of Appeals for the First Circuit
DecidedAugust 20, 2004
Docket03-2522, 03-2524, 03-2566
StatusPublished
Cited by21 cases

This text of 380 F.3d 548 (United States v. McIntosh) is published on Counsel Stack Legal Research, covering Court of Appeals for the First Circuit primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
United States v. McIntosh, 380 F.3d 548, 2004 U.S. App. LEXIS 17725, 2004 WL 1858172 (1st Cir. 2004).

Opinion

SELYA, Circuit Judge.

A federal grand jury charged defendants-appellants Dennis P. McIntosh, Janice Douglas, and Herbert H. Cates with multiple counts of mail and wire fraud. See 18 U.S.C. §§ 1342, 1343. After their first trial ended in a hung jury, the appellants moved to dismiss the indictment, asserting that further prosecution would run afoul of the Fifth Amendment’s double jeopardy bar. The district court denied this joint motion and the appellants brought these interlocutory appeals. We affirm the denial of the motions to dismiss. 1

I. BACKGROUND

Given the nature of these appeals, we trace the case’s procedural history with care. The appellants were indicted following what the government alleged was a fraudulent scheme to purchase over $3,000,000 worth of computer equipment using a university’s discount with the intent to resell the merchandise at a profit. The case went to trial on July 28, 2003. The jury began its deliberations on August II, 2003, at approximately 1:20 pm. At about 3:00 pm, the foreperson reported that Juror No. 1 had become ill. The *551 district court thereupon excused the jury for the day.

That afternoon, several jurors reported to the deputy clerk that Juror No. 1 had been interrupting the deliberations by frequent trips to the bathroom. To make matters worse, the jurors alleged that he had been speaking while there on his cell phone, in violation of courthouse policy. The district court discussed the matter with counsel for the parties and decided to interview Juror No. 1 the next day.

Overnight, the clerk received a voicemail from a juror stating his belief that Juror No. 1 would be an impediment to future deliberations. The juror added that Juror No. 1 “had a problem when we got back to the courtroom as well, stating that he feels that everybody is innocent and that nobody is going to change his mind.... [Wjhen we told him that we have to go through the steps and the process and everything ... that’s when he started feeling sick.”

The next morning, the district court prudently played the voicemail for all counsel and proceeded to interview Juror No. 1 out of earshot of the remaining jurors. The talesman admitted that he had his cell phone with him the previous day but denied using it. When the court asked if he could deliberate in good faith, the juror responded “absolutely.”

At the request of the Assistant United States Attorney (AUSA) and over defense counsels’ objections, the district court also conducted individualized voir dire interviews of the foreperson and Juror No. 5. Although both had seen Juror No. 1 with his cell phone, neither had actually seen him using it. The district court then brought all twelve jurors into the courtroom at 9:39 am, directed them to continue their deliberations, and sent them back to the jury room.

At 2:15 pm, the jury reported that it was deadlocked. After showing the note to counsel, the district court brought the jury into the courtroom and delivered a modified Allen charge. See Allen v. United States, 164 U.S. 492, 501, 17 S.Ct. 154, 41 L.Ed. 528 (1896); see also United States v. Keene, 287 F.3d 229, 235 (1st Cir.2002).

Once the jury left to continue deliberations, the court stated that if it received another note indicating a continuing deadlock, it would not give a further Allen charge but, rather, would declare a mistrial. None of the lawyers for the several defendants voiced any objection to this proposed course of action. The foreperson sent a second such note at 3:10 pm, this time indicating that the jury had reached an impasse because one juror had made up his mind before deliberations began and would not budge. The district court again consulted with the attorneys. The prosecutor suggested interviewing the foreperson to determine whether the jury had actually been deliberating, but defense counsel unanimously objected to that proposal. Ultimately, the district court summoned the foreperson, who reported that the recalcitrant juror (whom she did not identify) had made up his mind and “will not deviate no matter what is presented before him.”

Out of earshot of the foreperson, the district court asked the lawyers if they had further questions. Douglas’s counsel responded, “I think you asked everything that need be asked.” McIntosh’s counsel concurred. The prosecutor pressed for an inquiry into whether the recalcitrant juror was refusing to talk about the evidence, but the district court rejected that entreaty. The court then instructed the foreperson to return to the jury room and determine whether the jurors were deadlocked on all counts.

At 4:05 pm, the jury sent a note asking to be excused for the day. This note also inquired whether the court would like to *552 meet with the recalcitrant juror and stated that the other jurors felt the deliberations would end in a deadlock.

The district court decided to speak with the recalcitrant juror (who turned out to be Juror No. 1). On questioning by the court in the presence of all counsel, Juror No. 1 vouchsafed that he had not made up his mind before the case had been submitted to the jury. He also said that he and the other jurors had been debating the charges and going through the evidence. When specifically queried whether his opinion as to guilt or innocence was based on his “gut or on the evidence,” he responded “[ijt’s on my evidence.” Upon concluding her interrogation, the district judge asked the attorneys if they had any further questions. There were no takers.

After Juror No. 1 left the room, Douglas’s lawyer suggested that the district court declare a mistrial. The prosecutor opposed a mistrial and instead recommended that the court inquire further of the foreperson (a recommendation that the district court chose not to accept). Although tentatively concluding that the deliberations were at an impasse, the district court nonetheless instructed the jury to deliberate anew.

While the jury continued its deliberations, the district court conferred with the attorneys. The court specifically asked whether any defense counsel believed there would be a bar to retrial if the court were to declare a mistrial. None of them responded affirmatively.

The district court received a fourth jury note at approximately 4:45 pm. The jurors again reported that they were deadlocked. After the court told the parties of this billet-doux, the prosecutor informed the court that he had secured a criminal background check on Juror No. 1 and that the check showed that the juror had experienced fourteen arrests during the preceding ten years (all of which had been dismissed or continued without findings). One was very recent. The prosecutor contended that this pedigree raised questions about Juror No. l’s eligibility to serve, both because of his criminal history per se and because the information given during the jury qualification process was arguably false.

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Bluebook (online)
380 F.3d 548, 2004 U.S. App. LEXIS 17725, 2004 WL 1858172, Counsel Stack Legal Research, https://law.counselstack.com/opinion/united-states-v-mcintosh-ca1-2004.