Stone v. Superior Court
Stone v. Superior Court
Opinion of the Court
Opinion
That no criminal defendant should be twice forced to bear the risk of conviction for a single offense is a basic precept of our system of criminal justice. From this deceptively simple premise is derived much of the complex, rapidly expanding body of law implementing the constitutional prohibition against double jeopardy.
Beginning in June 1980, defendant Clifford Stone stood trial on a charge of murder. (Pen. Code, § 187.) The jury was instructed on first degree murder, second degree murder, voluntary manslaughter, and involuntary manslaughter. The verdict forms presented the jury with six options: declare the defendant guilty of the charged offense or any of the three uncharged lesser included offenses; find that he committed a justifiable homicide; or simply acquit him. Parenthetically, we can perceive no reason for distinguishing, in this context, justifiable homicide and acquittal.
The jury deliberated for seven days, but was unable to reach a unanimous verdict within the options presented to it. The prosecution and defense counsel then stipulated to an inquiry to determine the jury’s position. The foreman reported in open court that the members of the jury stood as follows:
First degree murder No votes
Second degree murder No votes
Voluntary manslaughter Four votes
Involuntary manslaughter Two votes
Justifiable homicide Six votes
Acquittal No votes
In response to questioning from the court, each juror expressed the opinion that the jury was hopelessly deadlocked and further deliberations would not yield a verdict. The court dismissed them for the day.
“The Court: ... I think your remedy, if there is one at all, lies with the California Supreme Court....
“Mr. Silverman [defense counsel]: ... if it gets to the California Supreme Court, I think that the court here, the trial court should have a clear expression from this jury as to its finding with respect to first and second degree murder.
“The Court: I am ruling that there is a clear expression that after approximately ten weeks of trial and one week of deliberations there is not one juror of the 12 who believes that the evidence is sufficient to support a finding of first! degree murder beyond a reasonable doubt. I don’t think I can give you any more.” (Italics added.)
When the jury was brought into the courtroom and again polled to see if each juror believed that further deliberations could possibly result in a verdict, one juror expressed hope that a verdict might be reached. The court ordered further deliberations. However, a day and a half later, the foreman again indicated that the jury was unable to render a unanimous verdict, and each juror agreed. Before discharging the jury
First degree murder No votes
Second degree murder No votes
Voluntary manslaughter Three votes
Involuntary manslaughter Five votes
Justifiable homicide Four votes
Acquittal No votes
After the court declared a mistrial and denied defendant’s motion for dismissal of some or all of the charges, defendant sought extraordinary relief in the form of a writ of prohibition.
I.
First addressing the question whether double jeopardy principles forbid a retrial of defendant on the charge of murder, we are mindful that the double jeopardy clause of the Fifth Amendment applies to the states through the general provisions of the Fourteenth Amendment.
Defendant contends that the jury effectively found him not guilty of the offenses of first and second degree murder and that we should give formal effect to the jury’s intent by preventing his retrial for those offenses. The early cases interpreting the double jeopardy clause established the fundamental principle that no criminal defendant can be retried for an offense of which he has once been acquitted. (See United States v. Ball (1896) 163 U.S. 662, 671 [41 L.Ed. 300, 303, 16 S.Ct. 1192]; People v. Webb (1869) 38 Cal. 467, 479-480.) This basic protection was long ago codified in Penal Code sections 687 and 1023, enacted in 1872.*
The facts demonstrate overwhelmingly that the jury, having evaluated for one entire week all the evidence the prosecution was able to muster, unanimously concluded that the prosecution had not introduced sufficient evidence to convince them to convict the defendant of murder. The trial court made an unambiguous and amply supported finding of this fact. The question is whether we should accord the terminal effect of a verdict to such an unequivocally expressed conclusion of a jury.
Two lines of authority are cited for the proposition that we should recognize the jury’s plain intent not to convict defendant of murder.
In a different factual setting, courts have found an “implied verdict” when the jury made no expression, formal or informal, of its conclusion regarding the particular charge involved. Such cases hold that a verdict of guilty of a lesser included offense constitutes an implied acquittal of the greater offense of which the jury could have convicted the defendant.
This court rejected the defendant’s claim of former acquittal, reasoning as follows: “We may not infer from the foreman’s statement that the jury had unanimously agreed to acquit of first degree murder. There is no reliable basis in fact for such an implication, for the jurors had not completed their deliberations and those voting for second degree murder may have been temporarily compromising in an effort to reach unanimity.” (Id. at p. 464.)
While cases in other states are in disarray on the issue of giving effect to implied partial verdicts of acquittal on a charged offense when the jury is deadlocked as to an uncharged lesser included offense,
In Magee v. Superior Court (1973) 34 Cal.App.3d 201 [109 Cal.Rptr. 758], the jury in the defendant’s first trial was given the options of acquitting him or of finding him guilty of either the charged offense of kidnaping for the purpose of extortion (§ 209) or of the uncharged lesser included offense of simple kidnaping (§ 207). The jury was unable to reach a verdict within those options, and a mistrial was declared. In the second trial, the defendant argued that the jury had functionally acquitted him of the greater offense. In support of this contention, he produced an affidavit of the jury foreman to the effect that the jury had unanimously agreed that he was not guilty of violating section 209, yet was deadlocked as to the lesser offense. An affidavit of another juror, however, stated that the jurors never voted or otherwise agreed that the defendant should be found not guilty of the greater offense. The court discussed Griffin and Doolittle, but rejected the defendant’s claim of former jeopardy primarily on a theory that by twice moving for a mistrial he had consented to the discharge of the jury and thereby waived his jeopardy claim. (Id. at pp. 215-218; see also People v. Hathcock (1973) 8 Cal.3d 599, 613-614 [105 Cal.Rptr. 540, 504 P.2d 476]; Curry v. Superior Court (1970) supra, 2 Cal.3d 707, 712-713; People v. Terry (1970) 2 Cal.3d 362, 386 [85 Cal.Rptr. 409, 466 P.2d 961; Cardenas v. Superior Court (1961) supra, 56 Cal.2d 273, 276; People v. Snyder (1976) 56 Cal.App.3d 195, 201-202 [128 Cal.Rptr. 297].)
Griffin, Doolittle, and Magee are all factually distinguishable from the case at bar. In each, the trial judge was given no indication of how
The primary concern of the Griffin court was to insure that a verdict represents the definite and final expression of the jury’s intent with respect to the disposition of the factual issues presented by a particular case. The members of the jury in Griffin never gave any indication of a final intent to acquit the defendant of the murder charge, and the facts in Doolittle and Magee were similarly equivocal. Here, by contrast, the foreman twice declared — prior to discharge, in open court, and in the presence of the other jurors — that the jury stood firmly and finally 12 to nothing in favor of acquittal of both degrees of murder. The court then made a factual findipg and legal ruling to the same effect. In these circumstances there is nó realistic basis for the sheer speculation that the jurors may have been merely “temporarily compromising in an effort to achieve unanimity.” Thus, although clear and uncontradicted evidence revealed that the jury was prepared to render a partial verdict of acquittal of murder arid the court was inclined to accept the verdict, it was only the lack of an established procedure for giving formal effect to the jury’s conclusion that prevented the court from receiving such a verdict. Because of these compelling circumstances, we conclude the jury’s obvious intent shoulcl be recognized here by holding that defendant was in fact acquitted of murder.
However, we do not rest our decision solely on the above-noted factual distinctions between this case and the prior authorities: there are other grounds for refusing to allow this defendant to be retried for murder. The present facts raise an issue that was not addressed in Griffin: whether the double jeopardy clause requires that trial courts, in future cases, receive a partial verdict when the jury clearly favors acquittal on a charged offense but is unable to agree on the proper disposition of an uncharged lesser included offense. If we conclude that such a procedure is constitutionally mandated, then the discharge of the jury in the present case was premature with respect to the murder offenses, and Stone could not be retried thereon even if the jury had not in fact acquitted him.
A brief review of the development of general principles of double jeopardy law is helpful at this point. One of the primary purposes of the double jeopardy protection is to prevent successive prosecutions for the
Recognizing the overriding importance of the prohibition against multiple prosecutions, the Supreme Court recently held that a defendant may not be retried for an offense after an appellate court has reversed his conviction on the ground of the insufficiency of the evidence to support the jury’s verdict. (Burks v. United States (1978) 437 U.S. 1 [57 L.Ed.2d 1, 98 S.Ct. 2141].) The court declared: “The Double Jeopardy Clause forbids a second trial for the purpose of affording the prosecution another opportunity to supply evidence which it failed to muster in the first proceeding. This is central to the objective of the prohibition against successive trials.” (Fn. omitted.) (Id. at p. 11 [57 L.Ed.2d at p. 9]; see also Greene v. Massey (1978) 437 U.S. 19 [57 L.Ed.2d 15, 98 S.Ct. 2151]; Hudson v. Louisiana (1981) 450 U.S. 40 [67 L.Ed.2d 30, 101 S.Ct. 970].) The Supreme Court has also applied the principles of collateral estoppel in the double jeopardy context to prevent relitigation of factual issues once decided adversely to the government. (Ashe v. Swenson (1970) 397 U.S. 436 [25 L.Ed.2d 469, 90 S.Ct. 1189].) These holdings are consistent with the rule that an acquittal triggering the prohibition against multiple prosecutions is “a resolution, correct or not, of some or all of the factual elements of the offense charged” in the defendant’s favor. (United States v. Martin Linen Supply Co. (1977) 430 U.S. 564, 571 [51 L.Ed.2d 642, 651, 97 S.Ct. 1349]; see also United States v. Scott (1978) 437 U.S. 82, 97 [57 L.Ed.2d 65, 78, 98 S.Ct. 2187].)
Keeping these general principles in view, we turn to the precise issue here — whether the double jeopardy clause requires formulation of
If the prosecutor charges different offenses in separate counts and the jury reaches a verdict as to some counts but not as to others, the jury “may render a verdict as to the charge or charges upon which they do agree, and the charges on which they do not agree may be tried again.” (§ 1160; see also Selvester v. United States (1898) 170 U.S. 262, 269-270 [42 L.Ed. 1029, 1032, 18 S.Ct. 580].) In that situation, the trial court is required to receive a verdict as to those counts on which the jury has reached agreement; failure to do so bars retrial on such counts. (People v. Ham (1970) 7 Cal.App.3d 768, 776 [86 Cal.Rptr. 906], disapproved on other grounds in People v. Compton (1971) 6 Cal.3d 55, 60, fn. 3 [98 Cal.Rptr. 217, 490 P.2d 537].) The rule of section 1160 thus allows a jury to render a partial verdict of acquittal on a greater offense without reaching a verdict on a lesser included offense charged in a separate count. (§ 954; People v. Allen (1974) 41 Cal.App.3d 821, 825 [116 Cal.Rptr. 493].)
For the purpose of delineating the scope of the double jeopardy protection, we believe the situation before us to be logically indistinguishable from the case in which a greater offense and a lesser included offense are charged in separate counts. It would be anomalous to for
The Supreme Court flatly rejected such a distinction in Green v. United States, supra, 355 U.S. 184. There, the court adopted the rule that a defendant who succeeds in obtaining a reversal on appeal of a conviction of a lesser included offense may not be retried for the greater offense. Green relied on a dual rationale. First, when a jury convicts the defendant of a lesser included offense, although it may not expressly reach a verdict on the greater offense, it acquits on the greater offense by implication. Second, a judge’s failure to give the jury the opportunity to return an express verdict of acquittal on the greater offense gives rise to a plea of once in jeopardy as to that offense barring retrial thereon, even though the jury did not render a verdict on the offense. (Id., at pp. 190-191 [2 L.Ed.2d at pp. 205-206].)
In Green the defendant had been charged in only one count, but the court made it clear that his substantive rights should not turn on that fact: “In substance the situation was the same as though Green had been charged with these different offenses in separate but alternative counts of the indictment. The constitutional issues at stake here should not turn on the fact that both offenses were charged to the jury under one count.” (Id. at p. 190, fn. 10 [2 L.Ed.2d at p. 205]; see also Price v. Georgia (1970) 398 U.S. 323 [26 L.Ed.2d 300, 90 S.Ct. 1757].) For the same reason, we decline to perpetuate the artificial distinction that has developed between expressly charged and impliedly charged lesser included offenses.
To guide the trial courts of this state in fulfilling the obligations which this rule entails, we suggest procedures derived by analogy from the multiple count situation (see Sturms v. Justice Court (1970) 4 Cal.App.3d 36, 39 [84 Cal.Rptr. 69]; State v. Castrillo, supra, 566 P.2d 1146, 1149; see also N.Y. Crim. Proc. Law, § 310.70).
When a trial judge has instructed a jury on a charged offense and on an uncharged lesser included offense, one appropriate course of action would be to provide the jury with forms for a verdict of guilty or not guilty as to each offense. The jury must be cautioned, of course, that it should first decide whether the defendant is guilty of the greater offense before considering the lesser offense, and that if it finds the defendant guilty of the greater offense, or if it is unable to agree on that offense, it should not return a verdict on the lesser offense.
Alternatively, the court may decide to wait and see whether the jury is unable to reach a verdict; if it is, the court should then inquire whether the jury has been able to eliminate any offense. If the jury declares
II.
Broadly stated, the next issue is whether defendant may be retried on the lesser included offense of manslaughter. He asserts two grounds for preventing such a retrial. First, he contends that section 1023 bars retrial on an uncharged lesser included offense after a verdict of acquittal of a charged greater offense. Second, he asserts that retrial is barred because the trial court prematurely discharged the jury. We address these contentions in order.
Section 1023 provides that an acquittal “is a bar to another prosecution for the offense charged ... or for an offense necessarily included therein, of which [the accused] might have been convicted under that accusatory pleading.” The language of the statute seems to require that an acquittal of a greater offense must bar retrial for a lesser included offense under all circumstances. However, the cases have rejected such a rigid construction, holding that an acquittal of a greater offense does not bar retrial for a lesser included offense as to which the jury was deadlocked, when the lesser included offense is expressly charged in a separate count. In People v. Webb (1967) 66 Cal.2d 107, 127 [56 Cal. Rptr. 902, 424 P.2d 342, 19 A.L.R.3d 708], we stated that “a retrial of a count on which the jury fails to agree is not ‘another prosecution’ within the meaning of Penal Code section 1023, and hence is not barred by the double jeopardy doctrine.” (See also People v. Tideman (1962) 57 Cal.2d 574, 583 [21 Cal.Rptr. 207, 370 P.2d 1007]; People v. James (1980) 102 Cal.App.3d 108, 111 [162 Cal.Rptr. 263]; People v. Allen, supra, 41 Cal.App.3d 821, 825.) These cases represent but a specific application of the general rple that a retrial after a jury deadlock does not violate the double jeopardy clause.
Nevertheless, in the situation in which the jury favors acquittal on the charged greater offense but cannot agree as to an uncharged lesser included offense contained by implication in the same count, it has been held in one case that section 1023 bars retrial on the lesser included of
The result in Menjou rests solely on its interpretation of the language of section 1023. That language, we believe, envisions the situation in which a jury acquits a defendant of the greater offense, yet remains silent as to the lesser offense. In that event, it would be unfair to subject the defendant to another trial, because the probable intent of the jury was to acquit him of the lesser offense as well. Section 1023 may also have been directed to preventing a prosecutor from charging only the single, greater offense, and then, after failing to obtain a conviction on that charge, subsequently trying the same defendant on each of the lesser included offenses in succession until finally obtaining a conviction. Under modern procedures, of course, there is no longer a possibility of such vindictive multiple prosecutions. But the language of section 1023, unfortunately, exceeds the scope of its original purpose.
We reach the final issue: whether the trial court’s refusal to accept a partial verdict of acquittal on the murder charge caused the mistrial on manslaughter | to be premature. Defendant argues that the court should have received a partial verdict on the murder charge; we have previously agreed with this premise. But it does not follow, as defendant suggests, that the action on the murder charge made it less likely that the jury would, be able to reach a verdict on manslaughter. We fail to perceive any lbgical support for this contention. The facts clearly showed that the jury had unanimously rejected the possibility of convicting defendant of murder, and we rely on those facts for our conclusion that retrial on the murder charge should be barred. We cannot now accept the contradictory assertion that the jury may have been still attempting to compromise between the murder charge and acquittal. The jury twice indicated after individual polling that there was no reasonable probability that a verdict could be reached on the offenses of voluntary and involuntary manslaughter. It is well settled that a defendant may be retried for offenses as to which the jury is deadlocked. (§§ 1140, 1141; People v. Rojas, supra, 15 Cal.3d 540, 545-546; Paulson v. Superior Court, supra, 58 Cal.2d 1, 5.) The determination of the apparent state of mind of the jurors and the dbcision whether further deliberations will likely result in a unanimous verdict properly rests in the sound discretion of the trial judge, who has been able to personally observe the progress of the jurors’ deliberations. (See People v. Rojas, supra, 15 Cal.3d at p. 546; Paulson v. Superior Court, supra, 58 Cal.2d at p. 6; People v. Ham, supra, 7 Cal.3d 768, 775.) Here it is plain that the trial court correctly exercised its discretion in declaring a mistrial as to the manslaughter offenses, and defendant may therefore be retried for those offenses.
Let a peremptory writ ofj prohibition issue preventing retrial of defendant on a charge of murder; the trial court is directed to enter a judgment of acquittal on that charge. As to the manslaughter offenses, the writ is denied.
lt is well settled that a writ of prohibition is an appropriate remedy to prevent retrial on a claim of former jeopardy. (Paulson v. Superior Court (1962) 58 Cal.2d 1, 5 [22 Cal.Rptr. 649, 372 P.2d 641]; Cardenas v. Superior Court (1961) 56 Cal.2d 273, 275 [14 Cal.Rptr. 657, 363 P.2d 889, 100 A.L.R.2d 371]; Gomez v. Superior Court (1958) 50 Cal.2d 640, 653 [328 P.2d 976].)
This rule must be reconciled with the apparently inconsistent holdings of earlier cases which required a jury finding on factual issues raised by a plea of former jeopardy. (E.g., People v. Greer (1947) 30 Cal.2d 589, 595-596 [184 P.2d 512].) In addition, numerous statutory provisions refer to the “plea” of on once in jeopardy. (E.g., Pen. Code, §§ 1016, 1017, 1041, 1151.) Retention of the rule that a claim of former jeopardy is a jurisdictional defense cognizable on a pretrial writ will promote the efficient administration of justice by disposing of some cases prior to trial. Also, defendants will be protected from having to endure a second trial after being once placed in jeopardy.
Greer and like cases are compatible with continued review of double jeopardy issues by pretrial writ. Those cases merely stand for the proposition that when a defendant chooses to raise his claim as a defense at trial, he is entitled to a resolution by the jury of any material issues of fact raised by the claim. We note that a claim of double jeopardy is most appropriately raised by way of a pretrial motion to dismiss the accusatory pleading or portion thereof allegedly barred by double jeopardy. The determination of the validity of a claim of double jeopardy is a matter for the trial judge in the first instance. If there is no material issue of fact, the judge rules on the double jeopardy claim. If, however, a material issue of fact exists, then it is for the jury to resolve.
hereinafter, all statutory references are to the Penal Code. Section 687 provides: “No person can be subjected to a second prosecution for a public offense for which he has once been prosecuted and convicted or acquitted.
Section 1023 provides: “When the defendant is convicted or acquitted or has been once placed in jeopardy upon an accusatory pleading, the conviction, acquittal, or jeopardy is a bar to another prosecution for the offense charged in such accusatory pleading, or for an attempt to commit the same, or for an offense necessarily included therein, of which he might have been convicted under that accusatory pleading.”
The People cite People v. Dixon (1979) 24 Cal.3d 43 [154 Cal.Rptr. 236, 592 P.2d 752]. That case held only that a judge may not receive a verdict of guilty of murder
There is no conflict with Code of Civil Procedure section 618, which delineates the formal procedures required for the reception of jury verdicts in civil cases; it requires that such verdicts be in writing. However, that section does not apply to jury verdicts in criminal cases; the procedures applicable to criminal cases are contained in Penal Code sections 1149, 1162, 1163, and 1164. These sections do not require a verdict to be in writing, and the cases cited above have so held.
This court recognized the notion of implied acquittal as early as 1854: “A conviction for manslaughter is an acquittal of the charge of murder, and the verdict, though general in its terms, must, by legal operation, amount to an acquittal of every higher offense charged in the indictment than the particular one of which the prisoner is found guilty.” (People v. Gilmore (1854) 4 Cal. 376; see also People v. Serrato (1973) 9 Cal.3d 753, 760 [109 Cal.Rptr. 65, 512 P.2d 289]; Gomez v. Superior Court, supra, 50 Cal.2d 640, 643 [328 P.2d 976]; In re Hess (1955) 45 Cal.2d 171, 175-176 [288 P.2d 5]; People v. Gordon (1893) 99 Cal. 227, 229-232 [33 P. 901].) In connection with this well-established application of the theory of implied acquittal, we observe that prior to this case a criminal defendant who was actually convicted of an uncharged lesser in-
In People v. Hall (1975) 25 Ill.App.3d 992 [324 N.E.2d 50, 52], an intermediate appellate court rejected defendant’s “novel” claim of implied partial acquittal, citing Griffin: “ [I] t is very possible that several of the jurors did believe that the defendant was guilty of murder, but they agreed to find the defendant guilty of the lesser offense of voluntary manslaughter in a spirit of compromise to reach a verdict.” A recent New Mexico Supreme Court case declined to follow Griffin, stating: “If charges are presented to a jury as separate or alternative counts rather than included offenses, [New Mexico statutes allow] retrial only for counts upon which the jury cannot agree.... Retrial is thus precluded for counts upon which the jury reached unanimous agreement and returned a verdict. [Citation.] The same result should also obtain if a jury has voted unanimously for acquittal on any of several included offenses.” (State v. Castrillo (1977) 90 N.M. 608 [566 P.2d 1146, 1149].) In New York, partial verdicts are expressly allowed by statute. (See N.Y. Crim. Proc. Law, § 310.70.)
The Supreme Court has at , times referred to this aspect of the double jeopardy protection as the defendant’s ‘“valued right to have his trial completed by a particular tribunal.’” (Arizona v. Washington, supra, 434 U.S. 497, 503 [54 L.Ed.2d 717, 727]; Illinois v. Somerville (1973) 410 U.S. 458, 466 [35 L.Ed.2d 425, 432, 93 S.Ct. 1066]; United States v. Jorn (1971) 400 U.S. 470, 484 [27 L.Ed.2d 543, 556, 91 S.Ct. 547]; Wade v. Hunter (1949) 336 U.S. 684, 689 [93 L.Ed. 974, 978, 69 S.Ct. 834].)
In Brock v. North Carolina (1953) 344 U.S. 424, 440-441 [97 L.Ed. 456, 466, 73 S.Ct. 349], Justice Douglas observed that as early as 1795, “when the reasons for the guarantee against double jeopardy were still fresh in men’s minds,” a North Carolina court held: “The rule as laid down in 3 Co. Inst. 110, and 1 Inst. 227, is general and without exception that a jury in a capital case cannot be discharged without giving a verdict. Afterwards, however, in the reigns of the latter sovereigns of the Stuart family, a different rule prevailed, that a jury in such case might be discharged for the purpose of having better evidence against him at a future day; and this power was exercised for the benefit of the crown only] but it is a doctrine so abhorrent to every principle of safety and security that it ought not to receive the least countenance in the courts of this country. In the time of James the second, and since the Revolution, this doctrine came under examination, and the rule as laid down by my L.Coke was revived with this addition, that a jury should not be discharged in a Capital case unless for the benefit of the prisoner .... In the present case the jury were suffered by the court’s officer to separate without giving a verdict. As they could not agree to convict, it is strong evidence of the party’s innocence; and perhaps he could not be tried again with the same advantage to himself as then. Perhaps his witnesses are dead, or gone away, or their attendance not to be procured, or some accident may prevent their attendance. We will not again put his life in jeopardy, more especially as it is very improbable we shall be able to possess him of the same advantages.” (State v. Garrigues (1795) 2 N.C. 241, 242.)
The following passage from People v. Doolittle, supra, 23 Cal.App.3d 14, illustrates the confusion that has followed in the wake of Griffin: “we apprehend that in the trial of an offense which necessarily includes a lesser offense, as was the case here, the jury, before they can return a verdict, must on the one hand, agree that the defendant is guilty of the offense charged or any included offense or, on the other hand, agree that he is not guilty of any offense, whether the greater or the lesser. We are of the opinion that although the law contemplates the conviction of an accused of a lesser offense
Similarly, existing jury instructions suggest that a partial verdict on a greater offense is impermissible. (See CALJIC No. 8.74 (1976 rev.).) To the extent that they do so, they are also disapproved.
On several previous occasions, we have prescribed judicial rules of criminal procedure when necessary to effectuate a fundamental constitutional principle or a specific constitutional protection of individual liberty. (People v. Rhodes (1974) 12 Cal.3d 180 [115 Cal.Rptr. 235, 524 P.2d 363]; People v. Vickers (1972) 8 Cal.3d 451, 461-462 [105 Cal.Rptr. 305, 503 P.2d 1313]; Bryan v. Superior Court (1972) 7 Cal.3d 575, 586-589 [102 Cal.Rptr. 831, 498 P.2d 1079]; People v. Riser (1956) 47 Cal.2d 566 [305 P.2d 1]; People v. Cahan (1955) 44 Cal.2d 434, 442 [282 P.2d 905, 50 A.L.R.2d 513].)
Section 1023 was amended in 1951, the sole change being the substitution of the words “accusatory pleading” for previous references to “indictment or information.” Although we are cognizant of the rule that a statutory reenactment subsequent to a judicial interpretation of the statute is ordinarily presumed to affirm the preexisting interpretation (In re Marriage of Skelley (1976) 18 Cal.3d 365, 369 [134 Cal.Rptr. 197, 556 P.2d 297]), there are strong reasons for departing from that rule of construction under the circumstances of this case. In addition to the above-discussed ground for rejecting the rule of Menjou, we stress that canons of statutory construction are merely aids to ascertaining probable legislative intent. Here, there was but a single judicial declaration, by a lower appellate court, interpreting section 1023 as applied to this factual situation. It is highly unlikely that under those circumstances the Legislature intended to codify the rule of Menjou when, 19 years later, it made minor changes in wording unrelated to the substance of that decision.
Dissenting Opinion
I respectfully dissent. The majority’s prospective rule requires trial courts “to afford the jury an opportunity to render a partial verdict of acquittal on a greater offense when the jury is deadlocked only on an uncharged lesser included offense.” (Ante, p. 518.) In the absence of such an opportunity, “a subsequently declared mistrial [will be deemed] to be without legal necessity.” (Ibid.) The majority then applies this newly fashioned rule to the instant case and forbids retrial of this defendant on the charge of murder.
The error in the majority’s reasoning is that the jury here did not enter a partial verdict nor, at the time of the trial, was the court required to afford the jury an opportunity to do so. Our own opinion in People v. Griffin (1967) 66 Cal.2d 459 [58 Cal.Rptr. 107, 426 P.2d 507], is very instructive. In Griffin, we rejected the defendant’s assertion that a retrial for first degree murder violated double jeopardy where, in the earlier trial, after the jury had been discharged, the foreman disclosed in open court that the jury stood at 10 for acquittal and 2 for second degree murder. We stated that “We may not infer from the foreman’s statement that the jury had unanimously agreed to acquit of first degree murder. There is no reliable basis in fact for such an implication, for the jurors had not completed their deliberations and those voting for second degree murder may have been temporarily compromising in an effort to reach unanimity.” (66 Cal.2d at p. 464.) Similarly, here the jurors were never put to the test and required actually to enter a judgment on the greater offense. The record discloses that at the time the jury first claimed that it was deadlocked, it stood as follows:
First degree murder No votes
Second degree murder. No votes
Voluntary manslaughter Four votes
Involuntary manslaughter Two votes
Justifiable homicide Six votes
Acquittal No votes
After the jury returned for further deliberations and again concluded that it could not reach a verdict, the jury foreman stated that the jurors then stood: “Three voluntary [manslaughter], five involuntary [manslaughter], four justifiable [homicide].”
As in Griffin, we do not know whether the reported votes represented a “temporary compromise” reached by any particular juror in an attempt to reach a unanimous verdict. The jurors were never instructed that their failure to reach unanimity on a lesser verdict would mean an acquittal on a greater offense. Nor were they ever required actually to reach and report a final verdict on the greater offenses. This fact readily distinguishes this case from those in which federal juries are instructed to the effect that “if the jury should unanimously find the accused ‘Not Guilty’ of the prime charged in the indictment . . . then the jury must proceed to determine the guilt or innocence of the accused as to any lesser offense which is necessarily included in the crime charged.” (Devitt & Blackmar, Federal Jury Practice and Instructions (3d ed. 1977) § 18.05, italics added.) A form of this instruction was approved in United States v. Tsanas (2d Cir. 1978) 572 F.2d 340, 344-347 (cert. den. 435 U.S. 995 [56 L.Ed.2d 84, 98 S.Ct. 1647]).
The votes reported by the foreman here merely demonstrated, at a particular time, the closest that the jury could come to a unanimous verdict. They were flash pictures taken of jury negotiations at particular moments in their deliberations. The votes did not reveal what the jurors would have done if they had been required actually to vote on each possible offense as a separate matter. Most certainly, the reported, votes did not show that the jurors had unanimously reached a verdict on the greater offenses as would be the case under the standard federal instructions above described.
Nor does Green v. United States (1957) 355 U.S. 184 [2 L.Ed.2d 199, 78 S.Ct. 221, 61 A.L.R.2d 1119], cited by the majority (ante, p. 515) compel a different conclusion. In Green, the jurors had reached unanimity on the lesser included offense, thus leaving no room for speculation on their finding on the greater offense. Indeed, if the federal instruction cited above had been given, the Green jurors’ verdict on the lesser offense clearly demonstrated that they had unanimously reached
Moreover, in my view, if California is now to adopt a “partial” verdict policy in criminal cases it should be accomplished by legislative enactment as has been done by New York (ante, p. 512), rather than by judicial construction in a case in which no final verdict had been reached.
Under the circumstances, I cannot conclude that the jury here had “completed its deliberations . ..." (Ante, p. 519.) I therefore would deny the writ and permit retrial of defendant on the charge of murder.
Dissenting Opinion
I, too, must dissent. I agree with Justice Richardson that, in principle, this case is indistinguishable from People v. Griffin (1967) 66 Cal.2d 459, 464 [58 Cal.Rptr. 107, 426 P.2d 507]. The majority’s attempt to distinguish Griffin appears to be based on a misreading of the record that was shared by the trial court: the opinion states that here “the foreman twice declared .. . that the jury stood firmly and finally 12 to nothing in favor of acquittal of both degrees of murder.” As I read the record, the foreman did nothing of the sort: he merely reported the breakdown of the votes and said that there was no hope for a verdict. No one will ever know whether this was so in spite of the heroic efforts of one or more jurors who would have voted for a murder conviction to compromise on the basis of a manslaughter verdict. This possibility was apparently overlooked by the trial court which ruled “that there is a clear expression that ... there is not one juror of the 12 who believes that the evidence is sufficient to support a finding of . . . murder .. .. ” This statement — the majority’s second basis for distinguishing Griffin — was made while the jury was out of the courtroom: if the court was mistaken — as it very easily might have been — the foreman was not around to protest.
Thus, in my view, the record here — as in Griffin — does not demon- . strate that a partial verdict was reached. Accordingly, I dissent from the majority’s conclusion that defendant may not be retried on the murder charges.
It should go without saying that since no partial verdict had been reached, the discussion of the constitutional issues decided by the majority is academic.
On June 15, 1982, the dissenting opinion by Justice Kaus was modified to read as printed above.
Reference
- Full Case Name
- CLIFFORD STONE, Petitioner, v. THE SUPERIOR COURT OF SAN DIEGO COUNTY, Respondent; THE PEOPLE, Real Party in Interest
- Cited By
- 208 cases
- Status
- Published