People v. Bailey
People v. Bailey
Opinion of the Court
Under the California Constitution, a criminal defendant has the right to a unanimous jury verdict. The jury in this case returned verdict forms finding defendant Christopher Bailey guilty of driving under the influence of alcohol (count 1) and driving with a blood alcohol content of 0.08 percent or more (count 2)-but when the trial court polled the jury, one juror replied that she did not find defendant guilty of count 1. Notwithstanding the lack of a *379unanimous verdict on count 1, the court recorded guilty verdicts for both counts and discharged the jury.
Defendant contends that the court erred by discharging the jury without a unanimous verdict on count 1 and that the evidence at the preliminary hearing was insufficient to hold him to answer for count 3-driving under the combined influence of an alcoholic beverage and a drug. We hold that defendant was denied his constitutional right to a unanimous verdict as to count 1, no objection was required to preserve the issue, the error is structural, and retrial of that count would violate the prohibition against double jeopardy. We also conclude, however, that the court properly denied defendant's pretrial motion to dismiss count 3.
PROCEDURAL BACKGROUND
By information filed April 7, 2016, defendant was charged with driving under the influence of an alcoholic beverage ( Veh. Code, § 23152, subd. (a) ; count 1); driving with a blood alcohol content (BAC) of 0.08 percent or more ( Veh. Code, § 23152, subd. (b) ; count 2); and driving a vehicle under the combined influence of alcohol and a drug ( Veh. Code, § 23152, subd. (f) ; count 3).
Before trial, defendant moved to dismiss all counts under section 995; the motion was denied. After the prosecution rested at trial, defendant moved to dismiss all counts under section 1118.1. The trial court denied the section 1118.1 motion as to counts 1 and 2 but granted it as to count 3. While the jury was deliberating, defendant waived his right to a jury trial on the prior-conviction allegations.
The jury returned verdict forms finding defendant guilty of counts 1 and 2, and *142defense counsel asked the court to poll the jurors. When the clerk asked each juror if the verdict represented his or her individual verdict, Juror No. 4 answered, "No." The court followed up: "Okay. It is not your-so you did not intend to vote guilty as to count 1?" Juror No. 4 responded, "Yes." Then *380the court asked, "And guilty as to count 2?" Juror No. 4 said, "Yes." Finally, the court asked, "Did you intend to vote guilty as to count 2? So those are your verdicts?" Juror No. 4 answered, "Yes." After the clerk polled the remaining jurors, the court thanked the jurors for their service and excused them. Once the jury left the courtroom, defense counsel objected to the court's acceptance of the verdict. Neither the court nor the prosecutor responded.
Defendant waived his right to a court trial on the prior-conviction allegations and admitted them. The court then sentenced defendant to an aggregate prison term of five years. The court selected count 1 as the base term and sentenced defendant to five years-the middle term of two years, doubled for the strike prior ( § 667, subd. (d) ; § 1170.12, subd. (b) ), plus one year for the prison prior (§ 667.5, subd. (b) ). The court imposed an identical sentence for count 2 and stayed the sentence under section 654.
Defendant filed a timely notice of appeal.
FACTUAL BACKGROUND
According to the evidence presented at the preliminary hearing,
Tettleton walked to the front car. Defendant was in the driver's seat. As he approached, Tettleton smelled "the strong odor of burnt cannabis" and alcohol coming from inside defendant's Camaro. Tettleton asked defendant when he had last smoked marijuana and how much alcohol he had had to drink. Defendant replied that he had smoked marijuana 30 minutes earlier and consumed one Corona beer. Tettleton told defendant to get out of the car, then escorted defendant to the patrol car. As he passed the other two cars, Tettleton told the drivers, "you guys can both go about your day." In response to additional questions, defendant revealed that he had actually smoked marijuana five minutes before he was pulled over.
Tettleton administered four field sobriety tests. The horizontal gaze nystagmus test indicated defendant "could be potentially under the influence of *381alcohol and marijuana." Defendant's performance on the one leg stand "could indicate impairment" and his performance on the walk and turn "contribute[s] to impairment, as well." Tettleton then administered a blood alcohol test using a preliminary alcohol screening device, which returned readings of 0.107 percent BAC at 11:10 p.m. and 0.106 percent BAC at 11:13 p.m. Tettleton arrested defendant. He later administered a BAC breath test using a Datamaster device, which generated results of 0.09 percent at 12:00 a.m. and 0.09 percent at *14312:03 a.m. Tettleton testified that he had successfully completed the requisite training certified by the Commission on Peace Officer Standards and Training to qualify him to testify at preliminary hearings.
DISCUSSION
1. The Section 995 Motion
2. The jury did not reach a unanimous verdict for count 1.
In response to our request for supplemental briefing, defendant contends that the court violated his right to a unanimous jury when it recorded a non-unanimous verdict for count 1 and that the double jeopardy clause bars retrial of that count. The People argue the verdict was unanimous, defendant forfeited the issue, any error was harmless, and the double jeopardy clause does not bar retrial.
We hold that when a polled juror disavows the written verdict but the court nevertheless records it, the court violates the defendant's right to a unanimous jury under the California Constitution. We also hold that defendant was not required to object to preserve the issue, the error is structural, and double jeopardy bars retrial of that count.
2.1. Right to a Unanimous Verdict
Article I, section 16, of the California Constitution provides: "Trial by jury is an inviolate right and shall be secured to all.... A jury may be waived in a criminal cause by the consent of both parties expressed in open court by the defendant and the defendant's counsel.... [¶] In criminal actions in which a felony is charged, the jury shall consist of 12 persons." The right to a jury trial is fundamental in this State ( People v. Collins (2001)
To safeguard this fundamental right, the "Legislature has set forth in prescriptive detail the procedures that trial courts must follow in receiving a jury verdict." ( People v. Carbajal (2013)
This polling procedure allows the court to determine whether the written verdict form "represents the 'true verdict,' i.e., the verdict that each and every juror is willing to hold to under the eyes of the world, or whether it is a product of mistake or unduly precipitous judgment." ( People v. Thornton (1984)
The verdict is complete only if no juror expresses disagreement on polling. (§ 1164, subd. (a).) Thus, "it is 'the oral declaration of the jurors, not the submission of the written verdict forms [that] constitutes the return of the verdict.' " ( Traugott , supra , 184 Cal.App.4th at p. 500,
*3832.2. Proceedings Below
Defendant's case was submitted to the jury on June 20, 2016. Later that day, the jury returned verdict forms finding defendant guilty of both charged counts. After the clerk read each verdict form and asked whether it was the jury's verdict, the jurors collectively answered in the affirmative.
Defense counsel asked the court to poll the jury. The clerk instructed the jurors, "Ladies and gentlemen of the jury, when your juror number is called, please answer 'yes' or 'no' to the following question: Is this your individual verdict ...?" In response, the first three jurors individually answered yes. Then the following occurred:
"Clerk. Juror number 4.
Juror 4. No.
Court. Okay. It is not your-so you did not intend to vote guilty as to count 1?
Juror 4. Yes.
Court. And guilty as to count 2?
Juror 4. Yes.
Court. Did you intend to vote guilty as to count 2? So those are your verdicts?
Juror 4. Yes."
The remaining jurors were polled and each answered that the verdict was his or hers.
The court then thanked the jurors for their time, told them they had completed their service, and instructed them with CALCRIM No. 3590. That instruction provides in part, "Now that the case is over, you may choose whether or not to discuss the case and your deliberations with anyone." Finally, the court concluded, "Everyone is excused. Go to the second floor, jury services, and they will give you your check-out slips so that you [can] check out."
When the jurors left the courtroom, the court turned to defense counsel and asked, "Concerning [defendant's] court trial as to his priors and probation and sentencing, when would you like to do that?" Counsel replied, "Yes. And then just for the record, defense objects to the acceptance of that verdict just based *384on Juror No. 4's responses. I didn't feel confident that was her verdict. It was confusing to me, and I think she should have been further polled *145and explained why she was changing. And her demeanor seemed to be uncertain."
Neither the court nor the prosecutor responded. The court did not attempt to recall the jurors or declare a mistrial. Instead, the verdicts were recorded, and defendant admitted his prior convictions and was sentenced that day.
2.3. Juror No. 4 did not agree with the verdict.
The colloquy between the court and Juror No. 4 is clear: the juror did not find defendant guilty of count 1. The People nevertheless invite us to interpret the exchange as establishing that Juror No. 4 intended to convict. We decline their invitation.
When the clerk asked the jurors, "Is this your individual verdict," Juror No. 1 said yes. Juror No. 2 said yes. Juror No. 3 said yes. But Juror No. 4 said no. When the court asked her, "So you did not intend to vote guilty as to count 1?" Juror No. 4 said yes-that is, she confirmed she "did not intend to vote guilty as to count 1." Plainly, Juror No. 4 disagreed with the count 1 verdict.
Given the clear textual meaning of this exchange, to the extent anything about Juror No. 4's body language or tone of voice indicated her words were ambiguous or susceptible to another interpretation, the court and prosecutor were required to make a record of it. (See, e.g., People v. Superior Court (1967)
2.4. Defendant did not forfeit the error.
The People argue defendant has forfeited this claim by objecting to the non-unanimous verdict only after the jury was discharged. (See People v. Thornton , supra ,
*385Keener v. Jeld-Wen, Inc. (2009)
Nor do the People cite any authority for the proposition that a defendant must object to preserve a challenge to an incomplete or non-unanimous verdict-and our research has revealed none. To the contrary, numerous cases have held that the fundamental right to a unanimous verdict by a 12-person jury cannot be forfeited.
Traugott is instructive. ( Traugott , supra ,
"The remaining 11 jurors returned to the courtroom, the clerk read the verdict, and the foreperson acknowledged it as correct. ( Traugott , supra , 184 Cal.App.4th at p. 499 [
"The Court of Appeal reversed. It noted that while a defendant's state constitutional right to a unanimous 12-person jury is fundamental, a defendant can waive it. ( Traugott , supra , 184 Cal.App.4th at pp. 500-501 [
Similarly, in Garcia , the court excused a juror during deliberations. ( People v. Garcia (2012)
Furthermore, the California Supreme Court has long held that no objection is required in situations analogous to the one before us. In Marks , for example, the Supreme Court addressed section 1157, which provides that when a trier of fact fails to specify the degree of an offense, the verdict is deemed a conviction of the lesser degree. ( Marks , supra , 1 Cal.4th at p. 71,
The Supreme Court held the defendant had "no obligation to bring the omission to the court's attention." ( Marks , supra , 1 Cal.4th at p. 77, fn. 20,
*387In so holding, the Marks court emphasized that "our state law requires and directs regularity in the jury's verdict" ( Marks , supra , 1 Cal.4th at p. 72, fn. 14,
We see no reason to treat a present juror's clear repudiation of a verdict during polling differently than the silence of an absent juror. In California, the right to a jury trial includes the right to a unanimous 12-person verdict, orally affirmed by each individual juror. In the absence of an express waiver by the defendant, an 11-person verdict violates that right-regardless of the reason it occurs. Nor do we see any reason to treat a polled juror's statement that the verdict is not hers differently from the jury's failure to explicitly designate the degree of an offense. In all of these circumstances, because the right to a jury trial is personal to the defendant, it cannot be forfeited by defense counsel's failure to object. (See, e.g., People v. Blackburn (2015)
Having concluded the court's erroneous recording of the non-unanimous verdict is properly before us, we turn to the question of whether defendant may be retried *148on count 1.
2.5. The double jeopardy clause bars retrial.
Article I, section 15, of the California Constitution provides, "Persons may not twice be put in jeopardy for the same offense...." " 'The fundamental nature of the guarantee against double jeopardy can hardly be doubted. Its origins can be traced to Greek and Roman times, and it became *388established in the common law of England long before this Nation's independence.' [Citation.] 'The prohibition is not against being twice punished, but against being twice put in jeopardy; and the accused, whether convicted or acquitted, is equally put in jeopardy at the first trial.' [Citation.]" ( Marks , supra , 1 Cal.4th at pp. 71-72,
"Implementing this constitutional command, the decisions of [the California Supreme Court] have settled the now familiar rules that (1) jeopardy attaches when a defendant is placed on trial in a court of competent jurisdiction, on a valid accusatory pleading, before a jury duly impaneled and sworn, and (2) a discharge of that jury without a verdict is equivalent in law to an acquittal and bars a retrial, unless the defendant consented thereto or legal necessity required it. [Citations.]" ( Curry v.Superior Court , supra , 2 Cal.3d at p. 712,
Here, judgment was entered in a court of competent jurisdiction on a valid accusatory pleading before a jury duly impaneled and sworn. Thus, jeopardy had attached. As discussed, defendant did not consent to an 11-person verdict, and the court did not declare a mistrial. Since the jury was discharged without a verdict, the only remaining issue is whether legal necessity justified the discharge.
"California provides its citizens a greater degree of protection against double jeopardy than that provided by federal law by placing limitations on what constitutes 'legal necessity.' [Citations.] A judicial error of law or procedure does not constitute legal necessity. [Citations.] Rather, 'legal necessity for a mistrial typically arises from an inability of the jury to agree [citations] or from physical causes beyond the control of the court [citations], such as the death, illness, or absence of judge or juror [citations] or of the defendant [citations].' [Citation.]" ( Carrillo v. Superior Court (2006)
The defendant moved for a mistrial, which the court denied. The defendant then petitioned the court of appeal for a writ of mandate directing the superior court "to vacate the order for recordation of the verdict and to grant the motion for mistrial." ( Chipman , supra , 131 Cal.App.3d at p. 267,
Here, of course, defendant did not request a mistrial, and the court did not grant one. Indeed, as the jury had deliberated for only an hour, and there is nothing in the record to indicate the jury was hopelessly deadlocked or would be unable to reach a verdict if it had continued deliberating, the court was in no position to declare a mistrial. ( People v. Medina (1980)
DISPOSITION
Count 1 is reversed and the matter is remanded with directions to enter a verdict of acquittal for count 1. The judgment is modified to lift the stay on count 2 and to strike the fees associated with count 1. ( Pen. Code § 1260 [appellate courts' authority to modify judgments];
*390People v. Alford (2010)
Upon remand, the superior court is directed to: (1) modify the minute order of June 20, 2016, to reflect that defendant was acquitted of count 1, (2) modify the minute order of June 20, 2016, to reflect the judgment as modified, (3) amend the abstract of judgment to reflect the judgment as modified, and (4) send a certified copy of the amended abstract of judgment *150to the Department of Corrections and Rehabilitation.
WE CONCUR:
EDMON, P. J.
EGERTON, J.
Effective July 1, 2018, the legislature amended Vehicle Code section 23152 and redesignated subdivision (f) without substantive change as subdivision (g). (Stats. 2016, ch. 765, § 1.)
When reviewing the denial of a section 995 motion, we " 'directly review[ ] the determination of the magistrate holding the defendant to answer.' [Citations.]" (Lexin v. Superior Court (2010)
See footnote *, ante .
As the error is structural, reversal is required regardless of prejudice. (Traugott , supra , 184 Cal.App.4th at p. 496,
Case-law data current through December 31, 2025. Source: CourtListener bulk data.