Avitia v. Superior Court of San Joaquin Cnty.
Avitia v. Superior Court of San Joaquin Cnty.
Opinion
After a prosecutor questioned and dismissed a grand juror outside the presence of other jurors and the trial court, the resulting grand jury returned an indictment against defendant Leo Brian Avitia. Before trial, Avitia moved to set aside the indictment under Penal Code section 995 on the ground that the prosecutor's dismissal violated his constitutional and statutory rights to an impartial and independent grand jury. (All undesignated statutory references are to the Penal Code.) The trial court denied the motion, and the Court of Appeal found no error. We consider whether an indictment must be set aside because of a prosecutor's dismissal of a juror during grand jury proceedings.
We hold that a prosecutor's dismissal of a grand juror violates section 939.5; only the grand jury foreperson may dismiss a grand juror. We further hold that a defendant may seek dismissal of an indictment on the ground that the prosecutor violated section 939.5 by filing a pretrial motion under section 995, subdivision (a)(1)(A). In order to prevail on such a motion, the defendant must show that the error reasonably might have had an adverse effect on the impartiality or independence of the grand jury.
In this case, a grand juror explicitly acknowledged that he could not fairly evaluate the case, and the prosecutor dismissed that juror outside the presence of other jurors. Because Avitia has not shown that the error reasonably might have had an adverse effect on the impartiality or independence of the grand jury, the motion here fails.
I.
Avitia was allegedly driving under the influence of alcohol when he crashed into another driver and killed him. The San Joaquin County District Attorney's Office filed a complaint charging Avitia on six counts: second degree murder (§ 187), gross vehicular manslaughter while intoxicated with gross negligence and prior convictions (§ 191.5, subd. (d) ), resisting an executive officer (§ 69), driving under the influence of alcohol or drugs causing injury ( Veh. Code, § 23153, subd. (a) ), driving with a blood-alcohol content level of 0.08 percent or more causing injury ( id. , § 23153, subd. (b) ), and driving when the privilege has been suspended or revoked ( id. , § 14601.2, subd. (a) ).
The trial court impaneled a grand jury of 19 members. At a grand jury proceeding, the prosecutor said to the jurors, "I'm asking if anybody here, after listening to the charges, or listening to the witnesses, has the state of mind which will prevent him or her from acting impartially and without prejudice to the substantial rights of parties." The prosecutor also asked, "Does anyone have any bias as a result of the charges, or as a result of the witnesses that were read?" Grand Juror No. 6, the foreperson, responded, "Yeah." Grand Juror No. 18 responded, "I've arrested people for 148." The prosecutor then said, "What we're going to do now, everybody is going to get out of the jury room and we're going to talk to Juror Number 6, the jury foreman. So can everybody leave?"
The prosecutor questioned Juror No. 6 outside the presence of the grand jury. Juror No. 6 said to the prosecutor, "I just want to divulge that my religion, we don't believe in drinking at all. I do acknowledge people have their agency to do what they want. But I'm morally opposed to drinking, period. But I realize other people don't feel that way." The prosecutor asked, "You do know that it is not against the law to drink and then drive a car?" Juror No. 6 said yes. The prosecutor then asked, "Do you have a problem finding that there's not probable cause just because you have these religious beliefs?" Juror No. 6 said no. The prosecutor then asked, "So you can follow the law?" Juror No. 6 responded, "Yeah." The prosecutor did not dismiss Juror No. 6.
The prosecutor then questioned Juror No. 18, also outside the presence of the grand jury. Juror No. 18 said to the prosecutor, "I am a peace officer. I work for the Department of Alcohol Beverage Control, and I have arrested subjects for 148 PC." The prosecutor asked, "Aren't you exempt from jury duty?" Juror No. 18 responded, "I'm not. I'm 830.2. We don't follow the exemption." The prosecutor then asked, "The fact that you arrested people for resisting arrest before, do you think that's going to affect your impartiality in this case?" Juror No. 18 said, "Yes." The prosecutor asked, "You do?" Juror No. 18 said, "I do, in addition to the fact that I'm currently conducting an investigation that's very similar to these charges." The prosecutor asked, "So you don't think you can be fair?" Juror No. 18 answered, "No, I don't think so." The prosecutor then concluded, "What I'm going to ask you to do is go down to the basement, let them know that you were excused." Juror No. 18 followed the prosecutor's instruction and did not serve on the grand jury. After three days of proceedings, the grand jury returned an indictment on all six counts as well as an additional count of vehicular manslaughter while intoxicated with ordinary negligence while operating a vehicle (§ 191.5, subd. (b) ).
Avitia moved to dismiss the grand jury's indictment by way of a nonstatutory motion to the trial court. The trial court granted permission for Avitia to include the nonstatutory motion as part of a section 995 motion to dismiss the indictment either entirely or at least as to count 6 on resisting an executive officer. But the trial court ultimately denied the motion. In a written ruling, the court concluded that there was no evidence that the dismissal impacted the mindset of the grand jury panel or led it to believe that the prosecutor's judgment ultimately controlled the operation and functions of the grand jury. Furthermore, the court concluded that a violation of section 939.5 does not require a per se finding of a due process violation, and Avitia had not shown actual bias or prejudice. The court refrained from deciding whether Avitia had a due process right to an unbiased grand jury, instead concluding that Avitia had failed to establish that any of the grand jurors were in fact biased. The court similarly concluded that because Avitia had not demonstrated that the error reasonably might have affected the outcome of the grand jury proceedings, Avitia had not shown any denial of a substantial right.
Avitia filed a petition for a writ of mandate seeking relief from the trial court's denial. The Court of Appeal denied the petition in an unpublished opinion. Section 995 provides that an "indictment ... shall be set aside by the court" either "[w]here it is not found, endorsed, and presented as prescribed in this code" ( § 995, subd. (a)(1)(A) (hereafter section 995(a)(1)(A) ) )
or when "the defendant has been indicted without reasonable or probable cause" ( id. , subd. (a)(1)(B) (hereafter section 995(a)(1)(B) ) ). The Court of Appeal rejected Avitia's argument under section 995(a)(1)(A) that the indictment was "not found, endorsed, and presented as prescribed in this code." But the court said Avitia had properly raised a due process challenge to the indictment, whether under section 995(a)(1)(B) or through a nonstatutory motion.
Evaluating this claim, the Court of Appeal observed "two parallel standards: (1) Whether the error substantially impaired the independence and impartiality of the grand jury, or (2) whether the error constituted the denial of a substantial right." The court said "it does not matter which analysis is used because ... neither standard was met." The court held that Avitia had made no showing that the improper dismissal substantially impaired the independence and impartiality of the grand jury, or that it otherwise reasonably might have impacted the outcome of the proceedings to constitute a denial of a substantial right. The court also held that the dismissal did not constitute structural error and that the grand jury was properly constituted. The court said "the prosecutor's violation of statutory requirements is troubling, [but] the trial court's decision to deny petitioner's motion was not error."
We granted review.
II.
" 'Under the ancient English system ... the most valuable function of the grand jury was not only to examine into the commission of crimes, but to stand between the prosecutor and the accused, and to determine whether the charge was founded upon credible testimony or was dictated by malice or personal ill will.' [Citation.] [¶].... [¶] The grand jury's 'historic role as a protective bulwark standing solidly between the ordinary citizen and an overzealous prosecutor' [citation] is as well-established in California as it is in the federal system.... 'A grand jury should never forget that it sits as the great inquest between the State and the citizen, to make accusations only upon sufficient evidence of guilt, and to protect the citizen against unfounded accusation, whether from the government, from partisan passion, or private malice.' [Citation.] [¶] The protective role traditionally played by the grand jury is reinforced in California by statute." (
Johnson v. Superior Court
(1975)
Several provisions of the Penal Code establish procedures to select and dismiss grand jurors. Regarding initial selection, section 909 provides: "Before accepting a person drawn as a grand juror, the court shall be satisfied that such person is duly qualified to act as such juror. When a person is drawn and found qualified he shall be accepted unless the court, on the application of the juror and before he is sworn, excuses him from such service for any of the reasons prescribed in this title or in Chapter 1 (commencing with Section 190), Title 3, Part 1 of the Code of Civil Procedure." Section 910 provides: "No challenge shall be made or allowed to the panel from which the grand jury is drawn, nor to an individual grand juror, except when made by the court for want of qualification, as prescribed in Section 909."
After selection, the dismissal of a grand juror must also follow certain procedures. Section 935 provides: "The district attorney of the county may at all times appear before the grand jury for the purpose of giving information or advice relative to any matter cognizable by the grand jury, and may interrogate witnesses before the grand jury whenever he thinks it necessary."
But the statute confers no authority on a prosecutor to dismiss a grand juror. Rather, section 939.5 provides: "Before considering a charge against any person, the foreman of the grand jury shall state to those present the matter to be considered and the person to be charged with an offense in connection therewith. He shall direct any member of the grand jury who has a state of mind in reference to the case or to either party which will prevent him from acting impartially and without prejudice to the substantial rights of the party to retire. Any violation of this section by the foreman or any member of the grand jury is punishable by the court as a contempt." These statutes serve to ensure the impartiality and independence of the grand jury.
The parties agree, and we also agree, that a prosecutor's dismissal of a grand juror violates section 939.5. During selection of the grand jury, section 909 authorizes "the court"
to "excuse[ ] [a juror] from such service" for lacking certain qualifications. After selection, section 939.5 authorizes "the foreman of the grand jury" to "direct any member of the grand jury who has a state of mind in reference to the case or to either party which will prevent him from acting impartially and without prejudice to the substantial rights of the party to retire." Section 935 authorizes the prosecutor to "give[ ] information or advice relative to any matter cognizable by the grand jury." But no provision authorizes a prosecutor to dismiss a grand juror, as the prosecutor did here. The prosecutor could have made his concerns about Juror No. 18 known to the foreperson, who in turn could have directed the juror to retire in accordance with section 939.5. But the prosecutor's dismissal of Juror No. 18 exceeded his authority.
III.
We next consider whether an indictment must be set aside because of a prosecutor's violation of section 939.5. That provision says: "Any violation of this section by the foreman or any member of the grand jury is punishable by the court as a contempt." But the provision does not say what remedy is available for a violation by the prosecutor. Avitia argues that an indictment can nonetheless be set aside under section 995. We agree that a defendant may seek a remedy under section 995(a)(1)(A) when a prosecutor dismisses a grand jury member in violation of section 939.5.
In two early cases, we said that a grand jury foreman's noncompliance with section 907, the precursor to section 939.5, was not grounds for dismissing an indictment under section 995. In
People v. Kempley
(1928)
Kempley
and
Jefferson
are distinguishable because they concerned violations of section 939.5 (former section 907) by the grand fury foreperson and not, as here, by a prosecutor. Section 939.5 specifies a penalty of contempt for violations by the foreperson but provides no comparable mechanism to deter violations by a prosecutor. (
Kempley
,
supra
, 205 Cal. at pp. 447-448,
Section 995(a)(1)(A)'s directive to set aside an indictment "not found, endorsed, and presented as presented in this code" may provide a remedy in certain cases when procedural rights of the accused have been violated. In the related context of setting aside an information under section 995, we have explained that " '[a]n information ... will not be set aside merely because there has been some irregularity or minor error in procedure in the preliminary examination. [Citation.] But where it appears that, during the course of the preliminary examination,
the defendant has been denied a substantial right
, the commitment is unlawful within the meaning of section 995, and it must be set aside upon timely motion.' " (
Jennings v. Superior Court
(1967)
The Attorney General relies on
Jefferson
's observation that section 995(a)(1)(A)"has been interpreted as applying only to those sections in part 2, title 5, chapter 1, of the Penal Code beginning with section 940." (
Jefferson
,
supra
, 47 Cal.2d at p. 442,
We next address whether a section 939.5 violation by a prosecutor can amount to the violation of a substantial right. Although we have focused our analysis on "substantial rights" in some contexts (
People v. Standish
(2006)
Although not every prosecutorial violation of section 939.5 is reason to set aside an indictment, an indictment must be set aside where the violation results in the denial of a substantial right. (See
Stark
,
supra
, 52 Cal.4th at p. 417,
IV.
Next, we consider what standard applies in determining whether a prosecutor's violation of section 939.5 amounts to the denial of a defendant's substantial right to an impartial and independent grand jury. Avitia argues that no showing of prejudice is required because he is seeking dismissal of the indictment in a pretrial motion . The Attorney General disagrees. We hold that the defendant, when proceeding by way of a section 995(a)(1)(A) motion, must show that the section 939.5 violation reasonably might have had an adverse effect on the impartiality or independence of the jury.
"[S]ome errors such as denial of the right to counsel by their nature constitute a denial of a substantial right." (
Standish
,
supra
, 38 Cal.4th at p. 882,
More recently, we have explained that "whether a showing of prejudice is required depends on the stage of the proceedings at which the claim is raised in the reviewing court." (
People v. Booker
(2011)
Pompa-Ortiz
involved a posttrial motion and did not provide an occasion for application of its language concerning "pretrial
challenges of irregularities." (
Pompa-Ortiz
,
supra
, 27 Cal.3d at p. 529,
In light of this case law, we hold that outside a narrow category of errors that "by their nature constitute a denial of a substantial right" and hence require dismissal "without any showing of prejudice," a defendant seeking to set aside an indictment before trial must show that an error "reasonably might have affected the outcome." (
Standish
,
supra
, 38 Cal.4th at pp. 882, 886,
V.
We now apply this inquiry to the facts of this case. As noted, the prosecutor's dismissal of Juror No. 18 was unlawful under section 939.5. But Juror No. 18 had said he thought he would be biased in evaluating the case, and the prosecutor appeared to dismiss the juror on that basis. We cannot be certain what the foreperson would have done if not for the prosecutor's actions or how the grand jury would have otherwise proceeded. But in light of Juror No. 18's unequivocal statement that he would not be able to fairly review the case, there is a high probability that the foreperson ultimately would have removed the juror. In any event, the dismissal of Juror No. 18 helped to ensure the grand jury's impartiality by removing a potential juror who said he could not be impartial.
As for the independence of the grand jury, the prosecutor unquestionably influenced the composition of the grand jury by removing Juror No. 18. But mere influence over the composition of the grand jury is not impermissible; section 935 provides that the prosecutor may "giv[e] information or advice relative to any matter cognizable by the grand jury." The facts here are different from cases where the prosecutor was actively involved in the selection of grand jurors or excused a grand juror in the presence of other grand jurors. In those cases, the prosecutor's actions could have led grand jurors to believe they were beholden to the prosecutor during the decisionmaking process. (See
De Leon v. Hartley
(N.M. 2013)
In this case, nothing in the record suggests that the prosecutor was improperly involved in the selection of the grand jurors or in the grand jury's subsequent decisionmaking process. Instead, the record indicates that the prosecutor dismissed Juror No. 18 outside the presence of other grand jurors after the grand jury heard Juror No. 18 express concern about his own bias. The fact that the prosecutor dismissed Juror No. 18 outside the presence of the other grand jurors does not make the dismissal any less unlawful. But it reduced the likelihood that the independence of the remaining grand jury was impaired. The other members had no reason to think that the prosecutor, as opposed to the foreperson, dismissed Juror No. 18. On the record before us, the foreperson was the only grand juror who could have known that he was not the one who removed Juror No. 18, and even the foreperson did not necessarily know it was the prosecutor who had done so. Avitia therefore has not shown that the error reasonably might have affected the impartiality or independence of the grand jury in an adverse manner.
Dustin v. Superior Court
(2002)
Although we conclude that Avitia's motion fails on the facts before us, we emphasize that prosecutors must be mindful of the dictates of section 939.5 and conform their conduct accordingly. We agree with the New Mexico high court's admonition that the "entity charged with the actual selection and excusal of grand jurors is of paramount importance to the process. As such, the statutory provisions assigning that role ... should be seen as mandatory, not directory, because they are critical to ensuring that the process
of impaneling a grand jury is impartial and free of unfair influences. [Citations.] [¶].... [¶] The manner in which grand jurors are selected and excused goes to the very heart of how the public views the integrity of the grand jury system. [¶].... [¶] And if the integrity of the grand jury is called into question, there is little hope that the public at large, or the accused in particular, will view the grand jury as capable of returning well-founded indictments or serving as a realistic barrier to an overzealous prosecution." (
De Leon
,
supra
, 316 P.3d at pp. 900-901.) Section 939.5 makes clear that the foreperson, not the prosecutor, has authority to dismiss grand jurors. The prosecutor, who " ' "is in a peculiar and very definite sense the servant of the law" ' " (
People v. Eubanks
(1996)
We affirm the judgment of the Court of Appeal and vacate the stay we previously imposed.
Justice Chin filed a concurring opinion in which Chief Justice Cantil-Sakauye concurred.
We Concur:
CANTIL-SAKAUYE, C. J.
CORRIGAN, J.
CUÉLLAR, J.
KRUGER, J.
RUBIN, J. *
I agree that Penal Code section 995, subdivision (a)(1)(A), permits a motion to dismiss the grand jury indictment on the ground that the prosecutor violated Penal Code section 939.5. I also agree that the superior court correctly denied the motion in this case. But the prosecutor's action in dismissing the grand juror is not as pernicious as the majority opinion makes it appear.
Although the majority barely acknowledges it, the prosecutor excused a grand juror who was biased against defendant, Leo Brian Avitia. Excusing a grand juror who was biased against a defendant does not violate that defendant's substantial rights. Nor does it call into question " 'the integrity of the grand jury.' " (Maj. opn., ante , 241 Cal.Rptr.3d at p. 541, 431 P.3d at p. 1179.)
As a result, I do not read today's opinion as answering the question that both the high court and our state courts have previously avoided answering-whether defendants have a due process right to enforce procedures that ensure the impartiality of
a grand jury under pain of dismissal. (
Beck v. Washington
(1962)
This is an odd case. Decades ago, we noted with approval that the Court of Appeal in the case had "held that the
obligation
of the prosecutor to assure independence, procedural regularity, and
fairness
in grand jury proceedings is compelled by due process...." (
People v. Backus
(1979)
A credible argument exists that the prosecutor has
inherent
authority under
People v. Backus
,
supra
, 23 Cal.3d at p. 392,
But no party is arguing that, as part of his obligation to ensure fairness, the prosecutor had inherent authority to excuse the biased juror. Accordingly, I accept that the prosecutor erred; only the foreperson may excuse a grand juror. But it was a technical error. Rather than excuse the juror himself, the prosecution could have advised the foreperson to excuse the juror. Certainly, the prosecutor had the authority to do that. "The district attorney of the county may at all times appear before the grand jury for the purpose of giving information or advice relative to any matter cognizable by the grand jury...." ( Pen. Code, § 935, italics added.) In turn, the foreperson probably would have excused the juror, and perhaps would have been required to do so to ensure fairness.
The difference between excusing the biased juror directly and advising the foreperson to do so could not have affected any substantial right of the defendant. Either way, a juror biased against him would have been removed.
I do not suggest that an indictment can never be set aside because of a Penal Code section 939.5 violation. In some situations, such a violation could infringe a defendant's substantial right-for example, if the prosecutor manipulated excusals and selections to keep as grand jurors only those perceived to be favorable to the prosecution, and to remove those perceived to be favorable to the defendant. But this case is not remotely similar.
I Concur:
CANTIL-SAKAUYE, C. J.
Presiding Justice of the Court of Appeal, Second Appellate District, Division Five, assigned by the Chief Justice pursuant to article VI, section 6 of the California Constitution.
Reference
- Full Case Name
- Leo Brian AVITIA, Petitioner, v. the SUPERIOR COURT OF SAN JOAQUIN COUNTY, Respondent; The People, Real Party in Interest.
- Cited By
- 12 cases
- Status
- Published