2017 IL App (2d) 160087
No. 2-16-0087
Opinion filed September 25, 2017
______________________________________________________________________________
IN THE
APPELLATE COURT OF ILLINOIS
SECOND DISTRICT
______________________________________________________________________________
THE PEOPLE OF THE STATE ) Appeal from the Circuit Court
OF ILLINOIS, ) of McHenry County.
)
Plaintiff-Appellee, )
)
v. ) No. 13-CF-1123
)
DAVID D. KIMBLE, ) Honorable
) Sharon L. Prather,
Defendant-Appellant. ) Judge, Presiding.
______________________________________________________________________________
JUSTICE ZENOFF delivered the judgment of the court, with opinion.
Justices McLaren and Jorgensen concurred in the judgment and opinion.
OPINION
¶1 On January 22, 2014, a McHenry County grand jury indicted defendant, David D.
Kimble, on four counts of aggravated criminal sexual abuse (720 ILCS 5/11-1.60(c)(1) (West
2012)) against 9-year-old S.M. The indictment charged that, on four separate occasions between
August and November 2013, defendant touched S.M.’s vagina over her clothing. The jury trial
consumed three days. After less than three hours’ deliberation, the jury communicated to the
court through the bailiff that it was at an “impasse.” Without notifying the State and the defense,
the judge directed the bailiff to instruct the jury to continue deliberating. After a total of five
hours of deliberation, with significant interruptions, the jury foreman reported in open court that
the jury was still at an impasse. The court denied the State’s and defendant’s request to give the
2017 IL App (2d) 160087
Prim instruction for juries in disagreement, 1 remarking that it would be “futile” to do so, and
sua sponte declared a mistrial. Defendant appeals the order denying his motion to dismiss the
charges on the ground that reprosecution would be barred by double jeopardy pursuant to section
3-4(a)(3) of the Criminal Code of 2012 (720 ILCS 5/3-4(a)(3) (West 2014)). We reverse.
¶2 I. BACKGROUND
¶3 Trial commenced on November 2, 2015. The evidence showed the following. S.M. lived
in Wonder Lake, Illinois, with her father, Jeff, her three siblings, Jeff’s girlfriend, Jen, and Jen’s
two children. For a time, they lived next door to defendant. Defendant and Jeff worked and
socialized together. All of the children frequented defendant’s home, and defendant babysat
them. Even after Jeff and his family moved some distance away, the children continued to visit
defendant. Defendant gave S.M. presents, including clothing, money, and a bicycle.
¶4 On December 5, 2013, Jen asked S.M. whether defendant had ever touched her
inappropriately. S.M. at first was silent but then said yes. On December 10, 2013, Detective
Misty Marinier interviewed S.M. at the Children’s Advocacy Center (CAC) in Woodstock,
Illinois. The interview was videotaped. During the interview, S.M. told Marinier that defendant
1
See People v. Prim, 53 Ill. 2d 62, 75-76 (1972) (approving the language of a draft
instruction to be used by trial courts faced with juries in disagreement); Illinois Pattern Jury
Instructions, Criminal, No. 26.07 (4th ed. 2000) (taken verbatim from the language approved in
Prim). The Prim instruction informs the jury that the verdict must be unanimous, the jury has a
duty to deliberate, the jurors must impartially consider the evidence, and the jurors should not
hesitate to reexamine their views and change their opinions if they believe them to be erroneous,
provided that the change is not due solely to the other jurors’ opinions or the mere desire to reach
a verdict. People v. Chapman, 194 Ill. 2d 186, 222 (2000).
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touched her “privates” with his hand, and she pointed to the genital area on a chart depicting the
female anatomy. S.M. told Marinier that her clothes were “usually” on when defendant touched
her. Marinier testified that, according to S.M., the touching happened between two and five
times, in defendant’s bedroom. S.M. did not tell Marinier that defendant held her down or that
he pulled down her pants. According to Marinier, children sometimes disclose more after they
have been formally interviewed.
¶5 S.M., 11 years old at the time of trial, testified that defendant pushed her onto his bed,
removed her clothes, and rubbed her “bad spot” approximately 10 times. She did not remember
when it happened, but she recalled that it was still daylight, and it always occurred in defendant’s
bedroom. S.M. testified that she did not tell Marinier that defendant removed her clothes. She
testified that she was not comfortable talking to Marinier.
¶6 Anne Huff, the principal at S.M.’s school, testified that she interviewed Jen’s daughter,
Brooklyn, and then spoke to S.M. because Brooklyn told Huff that defendant had “snuggled”
with her.
¶7 The parties stipulated that S.M. was interviewed by the State’s Attorney’s victim witness
coordinator, Kelly Gallagher, on October 30, 2015. Assistant State’s Attorneys Sharyl
Eisenstein and John Gibbons were also present. S.M. told them that defendant had touched her
over her clothes approximately 10 times. S.M. denied that defendant ever touched her under her
clothes. S.M. stated that she was confused when she told the prosecutors the previous week that
defendant touched her under her clothes. S.M. also stated on October 30, 2015, that defendant
held her down and that her clothes were both “on” and “off.” S.M. then said in that interview
that, because she was embarrassed to talk about it, she told them that her clothes were on.
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¶8 Brooklyn, age 9 at the time of trial, testified that she knew “Dave,” but she did not see
him in the courtroom. Brooklyn testified that “Dave” knelt beside her and rubbed his hand over
her upper thigh when she was on his bed.
¶9 Detective Michelle Asplund testified that she interviewed defendant on December 11,
2013. During the three-hour interview, defendant repeatedly denied any wrongdoing. The State
rested. The court denied defendant’s motion for a directed verdict, and defendant rested without
presenting evidence.
¶ 10 On November 5, 2015, the jury began deliberating at 10:50 a.m. The jurors asked to
watch the tape of Marinier’s CAC interview with S.M. again. The time of that request is not
noted in the record. The video of the interview was replayed for the jury in the courtroom at
1:40 p.m. The jurors returned to the jury room at 2:15 p.m.
¶ 11 At 4:25 p.m., the foreman sent a note to the judge: “Dear Judge Prather, after deliberating
for 5 hours and despite our best efforts, we are at an empasse [sic].” After receiving this
communication, the judge convened defense counsel and the State. The record does not show
whether defendant was present. The judge disclosed the note, and she also disclosed that the jury
had earlier indicated to her, through her bailiff, that it was at an “impasse.” She divulged that
she had instructed the bailiff to tell the jury to continue deliberating. According to the judge, that
ex parte communication occurred “shortly after” the jury rewatched Marinier’s CAC interview
with S.M. Now, the judge suggested that she inquire whether further deliberation would help.
She noted that she was willing to ask if the jurors would like to go home, sleep on it, and return
the next morning. When the State wondered whether the judge’s questions would elicit multiple
responses, the judge stated: “I’ll inquire of the foreperson.” Defense counsel agreed to that
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procedure. The judge then acquiesced to the State’s request to follow up on the foreman’s
answers with arguments outside the jury’s presence on how next to proceed.
¶ 12 The jurors returned to the courtroom, and the judge asked the foreman how long the jury
had been at an impasse. He replied, “[p]retty much a good part of the day. Four and a half hours
or five hours.” He indicated that “some numbers changed here and there, but we were stuck at a
certain proportion” for the last three hours. The judge asked if it would do any good to go home
and “sleep on it” and continue deliberations the next day. The foreman stated: “I asked that
question, and it was indicated that it would not [do any good].” The judge asked: “It would
not?” The foreman replied: “No, ma’am.” The jury then returned to the jury room.
¶ 13 The State and defense counsel both asked the judge to give the Prim instruction and to
bring the jury back for further deliberations the following morning. The judge responded: “I am
fearful, folks, if I do that, you’re going to have some extremely angry jurors. *** There has
been [sic] some very loud voices back there for a period of time. I think it would be futile to do
that. Therefore, I would decline.” The prosecutor said: “Understood, Judge.” Defense counsel
did not respond. The judge then excused the jurors and declared a mistrial. The State asked for
another trial date. Defense counsel requested a status date.
¶ 14 On December 4, 2015, defendant filed a motion to dismiss the charges on the ground that
reprosecution was barred by double-jeopardy principles. Defendant argued that, as he and the
prosecution had both requested the court to give the Prim instruction and to order further
deliberation, there was no “manifest necessity” to declare a mistrial. The court found that a
manifest necessity existed and denied the motion. Defendant filed a timely appeal.
¶ 15 II. ANALYSIS
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¶ 16 Defendant contends that the court abused its discretion in denying his motion to bar
retrial where the trial judge’s ex parte communication with the jury caused the conditions that
led to the mistrial. The State argues that defendant consented or acquiesced to the mistrial or,
alternatively, that there was a manifest necessity to declare the mistrial because the jury was
hopelessly deadlocked. We review the denial of a motion to dismiss on double-jeopardy grounds
for an abuse of discretion. People v. Wilson, 309 Ill. App. 3d 235, 242 (1999).
¶ 17 A. Double-Jeopardy Principles
¶ 18 The fifth amendment to the United States Constitution provides that no person shall “be
subject for the same offence to be twice put in jeopardy of life or limb.” U.S. Const., amend. V.
The double-jeopardy clause applies to the states through the due process clause of the fourteenth
amendment. Benton v. Maryland, 395 U.S. 784, 787 (1969). The Illinois Constitution also
prohibits placing persons in double jeopardy. Ill. Const. 1970, art. I, § 10 (“[n]o person shall ***
be twice put in jeopardy for the same offense”). The Illinois double-jeopardy clause is construed
in the same manner as the double-jeopardy clause of the fifth amendment to the United States
Constitution. People v. Staple, 2016 IL App (4th) 160061, ¶ 13. The deeply ingrained idea
behind the prohibition against double jeopardy is that the State, with all its resources and power,
should not be permitted to subject a defendant to the embarrassment, expense, and ordeal of
multiple prosecutions. People v. Cervantes, 2013 IL App (2d) 110191, ¶ 24. Indeed, the
prohibition against trying a defendant twice for the same crime is the sine qua non of American
due process standards. State v. Olson, 609 N.W.2d 293, 303 (Minn. Ct. App. 2000). In a jury
trial, jeopardy attaches when the jury is empaneled and sworn. People v. Bellmyer, 199 Ill. 2d
529, 538 (2002).
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¶ 19 Because a second prosecution subjects a person to the ignominy alluded to above, the
protection against double jeopardy embraces a defendant’s “valued right” to have his trial
completed by a particular tribunal. Arizona v. Washington, 434 U.S. 497, 503 (1978). For this
reason, as a general rule, the prosecution is entitled to only one opportunity to try a defendant.
Washington, 434 U.S. at 505. However, retrial is not automatically barred after a mistrial is
declared. Washington, 434 U.S. at 505. A defendant’s valued right to have his trial completed
by a particular tribunal sometimes must be subordinated to the public interest in affording the
prosecution one “full and fair” opportunity to present its evidence to an impartial jury.
Washington, 434 U.S. at 505. Reprosecution is also permissible where the mistrial is attributable
to the defendant by virtue of his motion or consent. People v. Dahlberg, 355 Ill. App. 3d 308,
312 (2005). A defendant who requests or consents to a mistrial is presumed to have waived his
or her valued right to have the trial completed by the jury that was originally seated. People v.
Bagley, 338 Ill. App. 3d 978, 981 (2003).
¶ 20 When a mistrial is declared without a defendant’s consent, retrial is permitted if there was
a “manifest necessity” for declaring the mistrial. Washington, 434 U.S. at 505; People v. Street,
316 Ill. App. 3d 205, 211 (2000). 2 Discussing the phrase “manifest necessity,” the Supreme
Court held that it cannot be interpreted literally, but that a “manifest” necessity means a “high
degree” of necessity. Washington, 434 U.S. at 505-06. The prosecution shoulders a heavy
burden of justifying a mistrial to avoid the double-jeopardy bar. Washington, 434 U.S. at 505.
That said, a trial judge may discharge a genuinely deadlocked jury and require a defendant to
submit to a second trial. Washington, 434 U.S. at 509. The decision to declare a mistrial when
2
The “manifest necessity” doctrine was first articulated in United States v. Perez, 22 U.S.
(9 Wheat.) 579 (1824).
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the jury is deadlocked is accorded great deference by a reviewing court. Washington, 434 U.S. at
510. Whether a manifest necessity exists depends upon the particular facts, and a trial court’s
decision to declare a mistrial is reviewed for an abuse of discretion. People v. Edwards, 388 Ill.
App. 3d 615, 625 (2009).
¶ 21 B. Whether Defendant Consented to the Mistrial
¶ 22 Before the trial court, defendant joined the State in requesting the Prim instruction and in
arguing that the jury should be brought back the next day to resume deliberations. Nevertheless,
the State now maintains that defendant consented or acquiesced to the mistrial. Relying on
People v. Camden, 115 Ill. 2d 369 (1987), the State contends that defendant had to specifically
object to the mistrial, although at oral argument the State could not articulate when the objection
should have been made.
¶ 23 In Camden, our supreme court held that defense counsel consented to a mistrial where he
had two opportunities to object but stood mute and then later agreed to a date for retrial.
Camden, 115 Ill. 2d at 377-78. Camden is readily distinguishable from our case. Here, defense
counsel did not stand mute. Counsel joined in the State’s request for the Prim instruction, and he
also suggested that the court order the jury to keep deliberating. That conduct is inconsistent
with a request for, or acquiescence to, a mistrial.
¶ 24 The State also relies on People v. Escobar, 168 Ill. App. 3d 30 (1988). In Escobar, the
judge called the foreman of a deliberating jury into chambers when he discovered that the jurors
had access to police street files. Escobar, 168 Ill. App. 3d at 35-36. When the judge suggested
that he declare a mistrial, defense counsel stated: “We’ll just have to proceed. We don’t want to
jeopardize our client’s position.” Escobar, 168 Ill. App. 3d at 36. The jury kept deliberating
until it informed the court that it was unable to reach a verdict. Escobar, 168 Ill. App. 3d at 36.
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Then, the judge rejected defense counsel’s request for the Prim instruction and sua sponte
declared a mistrial. Escobar, 168 Ill. App. 3d at 36. Days later, the defendant objected to the
mistrial and moved to dismiss the cause on double-jeopardy grounds. The judge denied the
motion, and the defendant appealed. Escobar, 168 Ill. App. 3d at 36. The First District of the
Appellate Court affirmed, holding that the defendant was required to contemporaneously object
to the mistrial, in words that specifically invoked the right against double jeopardy. Escobar,
168 Ill. App. 3d at 39. The court noted that the “suggestion of a Prim instruction, alone, is
insufficient.” Escobar, 168 Ill. App. 3d at 39.
¶ 25 Reviewing the Escobar decision in the context of a federal habeas corpus proceeding, the
Seventh Circuit disagreed. In Escobar v. O’Leary, 943 F.2d 711 (7th Cir. 1991), the court noted
that the United States Supreme Court has never required that an objection to a mistrial contain an
explicit reference to double jeopardy to preserve a defendant’s double-jeopardy rights. O’Leary,
943 F.2d at 715-16. “As long as the defendant’s desire that the first jury continue deliberating is
clear, there is no additional obligation to broach the topic of retrial.” O’Leary, 943 F.2d at 716.
This is so because judges are capable of recognizing that a mistrial has double-jeopardy
implications. O’Leary, 943 F.2d at 716. The court concluded that Escobar’s “unequivocal
expression of his desire to proceed to verdict in the first trial was sufficient to dispel any
implication that he consented to the mistrial or waived his double jeopardy objection.” O’Leary,
943 F.2d at 717.
¶ 26 We agree with the reasoning in O’Leary and reject the Escobar decision. In Bagley, this
court held that a defendant who “forcefully argued” his position that the trial should proceed was
not obligated to specifically object when the court sua sponte declared a mistrial. Bagley, 338
Ill. App. 3d at 982. Other caselaw supports our conclusion.
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¶ 27 In State v. Kendrick, 868 S.W.2d 134 (Mo. Ct. App. 1993), after a State’s witness
admitted committing perjury, the judge expressed his belief off the record that a directed verdict
in the defendant’s favor would be appropriate. Kendrick, 868 S.W.2d at 135. The judge
indicated on the record that he wanted to end the case, but defense counsel suggested allowing
the prosecution to proceed so that counsel could make a motion for a directed verdict at the end
of the State’s case. Kendrick, 868 S.W.2d at 135. Instead, the judge sua sponte declared a
mistrial. Kendrick, 868 S.W.2d at 135. The defendant moved to dismiss the case on double-
jeopardy grounds, but the motion was denied. Kendrick, 868 S.W.2d at 136. The Missouri
Court of Appeals held that the defendant did not implicitly consent to the mistrial by failing to
make a specific objection. Kendrick, 868 S.W.2d at 137. The court held that determining
consent “does not turn on any mechanical formula.” Kendrick, 868 S.W.2d at 136.
¶ 28 We agree. In our case, defense counsel’s position that he wanted the trial to continue
could not have been clearer. Defense counsel stated three times that he was requesting the Prim
instruction. When the State suggested that the court give the Prim instruction before discharging
the jury, defense counsel stated: “I would agree with the State, your Honor.” The court
responded: “Pardon?” Defense counsel repeated: “I would agree with the State.” The court
inquired: “You agree with the State?” Defense counsel replied: “I do.” Defense counsel then
suggested that the jury return the next day to deliberate. Surely, three requests for the Prim
instruction as well as asking that the jury return the next day qualify as “forceful argument”
under Bagley. In Bagley, in response to the State’s eleventh-hour production of a videotape of
the defendant’s arrest that it had earlier represented was lost, defense counsel suggested that the
court exclude the tape and proceed with the trial. Bagley, 338 Ill. App. 3d at 980. Here, defense
counsel argued his position at least as forcefully as did counsel in Bagley. There was no need to
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2017 IL App (2d) 160087
make a pro forma objection when the court declared the mistrial. Accordingly, we hold that
defendant did not consent or acquiesce to the mistrial.
¶ 29 C. Whether There Was a Manifest Necessity for the Mistrial
¶ 30 1. Judicial Indiscretion
¶ 31 Much of the caselaw applying the manifest-necessity doctrine involves the proper
evaluation of alternatives to a mistrial. 5 Wayne R. LaFave et al., Criminal Procedure § 25.2(d),
at 615-16 (3d ed. 2007); see Street, 316 Ill. App. 3d at 212 (one of the factors in determining
whether there was a manifest necessity for a mistrial is whether the trial judge considered the
alternatives). Here, defendant maintains that the judge’s improper ex parte jury communication
contributed to her subsequent decision to declare a mistrial rather than provide the available
alternative of the Prim instruction. Defendant argues that this “judicial indiscretion” bars
reprosecution.
¶ 32 Defendant relies on People v. Wiley, 71 Ill. App. 3d 641, 644-45 (1979), where the trial
judge’s sua sponte dismissal of the charges barred a retrial. In Wiley, after the arresting officer
testified for the prosecution, the State requested an overnight continuance to bring in its two
remaining witnesses. Wiley, 71 Ill. App. 3d at 642. The judge denied the request, and then, “on
his own unprompted motion,” dismissed the case. Wiley, 71 Ill. App. 3d at 642. The State
appealed, arguing that the dismissal was not an acquittal that would trigger double-jeopardy
concerns. Wiley, 71 Ill. App. 3d at 642-43. The appellate court held that, even if the dismissal
was not an outright acquittal, retrial was prohibited because the decision to abort the trial was the
result of what the court cryptically termed “judicial indiscretion.” Wiley, 71 Ill. App. 3d at 644.
¶ 33 The court in Wiley relied on United States v. Jorn, 400 U.S. 470 (1971). In Jorn, the trial
judge sua sponte declared a mistrial so that government witnesses, who assisted in preparing
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fraudulent tax returns, could consult with attorneys. Jorn, 400 U.S. at 473. Even though the
government and the witnesses themselves assured the court that federal agents had warned them
of their constitutional rights, the court refused to believe them. Jorn, 400 U.S. at 486-87. Then,
the court opined that, even if the witnesses had been warned of their rights, the warnings were
insufficient. Jorn, 400 U.S. at 487. The Supreme Court held that reprosecution was barred
because the trial judge considered nothing less drastic, such as a continuance, before declaring a
mistrial. Jorn, 400 U.S. at 487.
¶ 34 A legal commentator has construed Jorn to mean that a trial judge abuses his or her
discretion by ordering a mistrial without a “scrupulous” search for alternative means to deal with
the difficulties. Stephen J. Schulhofer, Jeopardy and Mistrials, 125 U. Pa. L. Rev. 449, 465
(1977). Professor Schulhofer also observed that Jorn upheld the defendant’s double-jeopardy
claim “in the absence of actual or potential harassment and in the absence of identifiable
prejudice to the defendant.” Schulhofer, supra, at 466. 3
¶ 35 When we read Wiley in light of Jorn, we interpret Wiley to mean that a mistrial is
improper where the trial judge is responsible for the difficulty and alternatives are available. We
agree with defendant that Wiley is apt.
¶ 36 In our case, the judge’s ex parte jury communication led to the precipitous declaration of
a mistrial without considering available alternatives. A criminal defendant has a constitutional
right to a public trial, and to appear and participate in person and by counsel at all proceedings
involving his or her substantial rights. U.S. Const., amend. VI; Ill. Const. 1970, art. I, § 8;
People v. Childs, 159 Ill. 2d 217, 227 (1994). Jury deliberations are a critical stage of trial,
3
According to Professor Schulhofer, the decision in Illinois v. Somerville, 410 U.S. 458
(1973), distinguished Jorn but can be reconciled with it. Schulhofer, supra, at 466-69.
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involving substantial rights that trigger a defendant’s right to be present and participate in person
and by counsel. People v. Ross, 303 Ill. App. 3d 966, 975 (1999). Communications between the
judge and the jury after the jury has retired to deliberate, except when held in open court and in
the defendant’s presence, deprive the defendant of his or her fundamental rights. People v.
Cotton, 393 Ill. App. 3d 237, 262 (2009). Thus, defendant suffered a deprivation of his
fundamental rights when the judge engaged in the ex parte communication with the jury.
¶ 37 This tipped the scales in the judge’s decision to sua sponte abort the trial rather than give
the Prim instruction. The judge disclosed the ex parte communication to emphasize that the
4:25 p.m. note from the jury was “the second time” the court “received information from the jury
that they [sic] are at an impasse.” Hence, the judge concluded that it would be “futile” to give
the Prim instruction and allow further deliberations. Without the earlier ex parte
communication, the court could not reasonably have believed that giving the Prim instruction
would be futile. The foreman’s note said that the jury had been deliberating for five hours.
However, we note that, in that time, it had also picked the foreman, eaten lunch, and rewatched
the video of the CAC interview with S.M.
¶ 38 Furthermore, we determine that the judge’s ex parte communication prejudiced
defendant. We look at whether the content of the communication created prejudice. Ross, 303
Ill. App. 3d at 975. The judge told the bailiff to instruct the jury to “continue to deliberate.”
Presumably, that is what the bailiff conveyed to the jury, though the bailiff’s precise words are
not part of the record. That direction was given when the jury first indicated that it was at an
impasse, “shortly after” it rewatched the video. The purpose of the Prim instruction is to guide a
jury that is unable to reach a verdict. Chapman, 194 Ill. 2d at 222. Having the bailiff tell the
jury to “continue to deliberate” left the jury with no guidance. Indeed, jurors voting in the
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minority conceivably could feel coerced if, when seeking guidance from the court, “they are met
with stony silence and sent back to the jury room for further deliberation.” Prim, 53 Ill. 2d at 74.
¶ 39 As a result, our supreme court approved a jury instruction to avoid that state of affairs.
Prim, 53 Ill. 2d at 76. In Prim, the instruction was given after approximately four hours of
deliberation. Prim, 53 Ill. 2d at 71. In People v. Andrews, 364 Ill. App. 3d 253, 267 (2006), a
mistrial was not declared until after the jury had been deliberating under the Prim instruction for
90 minutes. In People v. Dungy, 122 Ill. App. 3d 314, 324 (1984), the Prim instruction was
given after 12 hours of deliberation. In Dungy, the appellate court noted that “[i]t is within the
trial court’s discretion to permit further deliberation and to monitor the length of such
deliberation even after a jury has indicated that it is hopelessly deadlocked.” (Internal quotation
marks omitted.) Dungy, 122 Ill. App. 3d at 324.
¶ 40 The purpose of a defendant’s right to be present with counsel at any jury communication
is so that counsel can “aid and advise the defendant as to what course of action he should take,
including whether to object, concur, or attempt to influence how the court addresses the jury.”
Ross, 303 Ill. App. 3d at 976. Here, the court’s ex parte communication foreclosed defendant’s
option to request the Prim instruction earlier in the afternoon when the jury first considered itself
at an impasse. Then, because the jury declared itself still at an impasse approximately two hours
later, the court declined to give the Prim instruction, which provides as follows:
“The verdict must represent the considered judgment of each juror. In order to
return a verdict, it is necessary that each juror agree thereto. Your verdict must be
unanimous.
It is your duty, as jurors, to consult with one another and to deliberate with a view
to reaching an agreement, if you can do so without violence to individual judgment.
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Each of you must decide the case for yourself, but do so only after an impartial
consideration of the evidence with your fellow jurors. In the course of your deliberations,
do not hesitate to reexamine your own views and change your opinion if convinced it is
erroneous. But do not surrender your honest conviction as to the weight or effect of
evidence solely because of the opinion of your fellow jurors, or for the mere purpose of
returning a verdict.
You are not partisans. You are judges—judges of the facts. Your sole interest is
to ascertain the truth from the evidence in the case.” Prim, 53 Ill. 2d at 75-76.
Our supreme court explicitly directed that trial courts give this instruction when faced with juries
in disagreement. Prim, 53 Ill. 2d at 76. In People v. Cowan, 105 Ill. 2d 324, 328 (1985), the
court held that whether and when to give the instruction is discretionary, based upon such factors
as the length of the deliberations and the complexity of the issues. It is proper to give the Prim
instruction if the court perceives that the jury is having difficulty reaching a verdict. People v.
Preston, 76 Ill. 2d 274, 284 (1979). The court is not required to delay giving the instruction until
the foreman flatly states that the jury cannot reach a verdict. Preston, 76 Ill. 2d at 284. The
court may have the jury continue to deliberate even though it has reported that it is deadlocked
and will be unable to reach a verdict. Cowan, 105 Ill. 2d at 328. When faced with a deadlocked
jury, a trial judge should not leave the jury “to grope in such circumstances without some
guidance from the court.” Prim, 53 Ill. 2d at 74.
¶ 41 The State argues that the court’s ex parte admonition to “continue to deliberate” was the
equivalent of the Prim instruction. We disagree. The purpose of the Prim instruction is to
ensure that deadlocked jurors will closely examine their competing views and attempt to reach a
unanimous verdict. People v. Bibbs, 101 Ill. App. 3d 892, 900 (1981). The instruction to
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“continue to deliberate” did not contain the five points inherent in the Prim instruction: (1) to
return a verdict, each juror must agree thereto, (2) jurors have a duty to consult with one another
and to deliberate with a view to reaching agreement, (3) each juror must decide the case for
himself or herself but only after an impartial consideration of the evidence with fellow jurors,
(4) jurors should not hesitate to reexamine their own views and change their opinions if
convinced they are erroneous, and (5) no juror should surrender his or her honest conviction.
Prim, 53 Ill. 2d at 74-75. Whereas the Prim instruction encourages jurors to reexamine their
opinions and to abjure them if the evidence warrants it, the direction to “continue to deliberate”
conveys a different message: “Keep doing the same thing you’re already doing.” The judge’s
ex parte communication thus might have contributed to the jury’s lack of progress and later did
unduly influence her denial of the joint request for the Prim instruction. Consequently, we hold
that the court’s judicial indiscretion, rather than a manifest necessity, prompted the mistrial.
Under these circumstances, reprosecution is barred.
¶ 42 2. Jury Deadlock
¶ 43 Even though we have determined that retrial is barred due to judicial indiscretion, we
nevertheless will consider defendant’s argument that there was no manifest necessity to declare
the mistrial due to jury deadlock. In Andrews, this court identified six factors to consider where
the issue presented is the manifest necessity for declaring a mistrial based on jury deadlock:
(1) the jury’s collective opinion that it cannot agree, (2) the length of the deliberations, (3) the
length of the trial, (4) the complexity of the issues, (5) any proper communications that the judge
has had with the jury, and (6) the effects of possible exhaustion and the impact that coercion of
further deliberations might have on the verdict. Andrews, 364 Ill. App. 3d at 266-67. Reviewing
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courts must examine the facts of each case to determine the propriety of a double-jeopardy claim.
Street, 316 Ill. App. 3d at 211.
¶ 44 Turning to the factors set forth in Andrews, we examine whether the mistrial in the
present case was a manifest necessity.
¶ 45 a. The Jury’s Collective Opinion That It is Deadlocked
¶ 46 After receiving the jury’s 4:25 p.m. note, the court brought the entire jury into the
courtroom but spoke only to the foreman. 4 The foreman related that the jury had been at an
impasse “pretty much a good part of the day. Four or five hours.” He also indicated that “some
numbers changed here and there, but we were stuck at a certain proportion for the last three
hours.” (Emphasis added.) The foreman opined that it would not do any good to continue
deliberations the next day. The salient point is that the actual deadlock was only three hours old.
¶ 47 As the court explained in Mills v. Tinsley, 314 F.2d 311, 313 (10th Cir. 1963), “[t]he jury
cannot determine the length of its deliberations.” The court also noted that “[i]t is not unusual
for a jury to advise the court that it is deadlocked and to thereafter agree and return a verdict.”
Mills, 314 F.2d at 313. In Mills, the jury reported that it was deadlocked, but it nevertheless
returned a verdict after being given a deadlocked-jury instruction. Mills, 314 F.2d at 312-13.
Thus, the jury’s own view of whether it can reach a verdict is only one factor in the court’s
determination. People v. Thompson, 93 Ill. App. 3d 995, 1008 (1981). “There is no requirement
4
In Andrews, this court held that a mistrial due to jury deadlock may be declared even
where the trial judge relies on the foreperson’s statement without polling the other jurors.
Andrews, 364 Ill. App. 3d at 268. However, we expressed that polling each juror with respect to
his or her opinion on the issue of deadlock is the preferred procedure. Andrews, 364 Ill. App. 3d
at 268.
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that a mistrial be declared because of the jurors’ inability to come to a unanimous verdict
immediately.” People v. Logston, 196 Ill. App. 3d 30, 33 (1990). Pertinently, a trial court is not
required to accept a jury’s assessment of its own inability to reach a verdict. Logston, 196 Ill.
App. 3d at 33.
¶ 48 Here, the judge expressed her belief that “you’re going to have some extremely angry
jurors” if deliberations were allowed to continue. Experience shows that tempers flare in the
emotional atmosphere of a criminal trial. In other words, angry voices do not necessarily signal
a hopelessly deadlocked jury.
¶ 49 b. The Length of Deliberations, Length of Trial,
and Complexity of Issues
¶ 50 Generally, the longer the trial and the more complex the issues, the longer the jury should
be given to deliberate. Andrews, 364 Ill. App. 3d at 269. Here, the trial involved four counts of
aggravated criminal sexual abuse, and it lasted three days. The five hours that the jury
deliberated included time-outs to pick the foreman and to eat lunch, as it retired to deliberate
near the lunch hour. Then, the jury spent over a half hour rewatching the video of the CAC
interview.
¶ 51 The issue that the jury had to resolve was S.M.’s credibility. That issue was anything but
straightforward. Jen was the first person to ask S.M. if defendant had touched her
inappropriately. S.M. at first did not answer, but then she indicated that defendant had touched
her. The indictment charged that the touching occurred over S.M.’s clothing, because that was
what she told investigators. She also told investigators that it happened two to five times. Then,
S.M. testified that it happened 10 times and that defendant removed her clothes. The parties
stipulated that S.M. had variously told members of the State’s Attorney’s office that she was
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dressed or undressed. Consequently, we cannot agree with the State that determining S.M.’s
credibility was a simple job.
¶ 52 c. Communications Between the Judge and the Jury
¶ 53 The judge and the jury communicated three times. The first communication was on the
jury’s request to rewatch the video of the CAC interview. As discussed above, the second,
ex parte communication caused the court to end the trial prematurely when it received the third
communication (the note), because the court had foreclosed all other options. It is significant
that neither side moved for a mistrial.
¶ 54 d. Effect of Exhaustion on the Jury
¶ 55 Because the jury did not deliberate for even a full workday, this factor weighs against a
manifest necessity to declare a mistrial.
¶ 56 We are mindful that, while trial judges have “considerable leeway” in determining
whether the jury is hopelessly deadlocked, the reviewing court has an obligation to satisfy itself
that the trial judge exercised sound discretion. Renico v. Lett, 559 U.S. 766, 785 (2010)
(Stevens, J., dissenting, joined by Sotomayor, J., and joined in part by Breyer, J.). If the record
establishes that the trial judge failed to exercise sound discretion, the reason for deference
disappears. Renico, 559 U.S. at 785-86. Accordingly, we hold that there was no manifest
necessity for the court’s sua sponte declaration of the mistrial. It follows that the court abused its
discretion in denying defendant’s motion to bar reprosecution. Pursuant to this court’s authority
under Illinois Supreme Court Rule 366(a)(5) (eff. Feb. 1, 1994), we grant defendant’s motion to
bar reprosecution.
¶ 57 III. CONCLUSION
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¶ 58 For the foregoing reasons, the judgment of the circuit court of McHenry County is
reversed and defendant’s motion to bar reprosecution is hereby granted.
¶ 59 Reversed.
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