James v. People
James v. People
Opinion
¶1 James sought review of the court of appeals' judgment affirming his conviction for possession of methamphetamine. Upon realizing that it had failed to discharge the alternate juror before the jury retired to deliberate, the district court recalled and dismissed the alternate; instructed the jury to continue on with deliberations uninfluenced by anything the alternate may have said or done; and denied the defense motion for dismissal or mistrial. The court of appeals concluded that the trial court's error in allowing the alternate juror to retire with the jury and *337 the juror's presence for part of the deliberations were harmless beyond a reasonable doubt, and after rejecting James's other assignments of error, affirmed his conviction.
¶2 Because the evidence supporting the defendant's guilt of the lesser offense of possession, the only offense of which he was convicted, was overwhelming and was in fact never seriously challenged, the district court's failure to recall the alternate for approximately ten minutes amounted, under the facts of this case, to harmless error. The judgment of the court of appeals is therefore affirmed.
I.
¶3 Dustin James was initially charged with two counts of distribution of a controlled substance, one count of possession with intent to manufacture a controlled substance, and one count of possession with intent to distribute a controlled substance, all but the last of which were dismissed before trial. He was acquitted of the charged offense of possession with intent to distribute methamphetamine but was convicted of the lesser offense of possession. He was sentenced to three years of intensive supervised probation.
¶4 At trial, the People presented evidence to the effect that the defendant was present at a house upon which the police executed a search warrant. With regard to the lesser offense of possession, of which the defendant was actually convicted, the evidence indicated that the police also searched a car the defendant had been seen driving and found a handgun in the console and a backpack in the back seat containing the defendant's identification and twenty grams of methamphetamine. An investigator testified that the defendant told him, after being Mirandized, that the handgun and everything inside the backpack were his. The defense rested without presenting evidence and did not offer a theory of the case instruction.
¶5 Shortly after the jury retired to deliberate, the district court realized that it had not discharged the alternate and immediately called him back. In response to questioning by the court and counsel, the alternate indicated that during the approximately ten minutes he was in the jury room, he had agreed to serve as the foreperson and the jury had taken a preliminary vote to get the sense of the group. He also indicated that the jury was just beginning to discuss the elements of the charges when he was recalled by the judge.
¶6 After allowing the alternate to leave, the court also recalled the entire jury to the courtroom, explained its mistake in not stopping the alternate from retiring with the other jurors, and instructed the jurors to continue on with their deliberations, uninfluenced by anything the alternate had said or done. It then entertained and denied the defendant's motion for either dismissal or a mistrial. After accepting the jury's verdicts and determining that neither counsel wished to have the jury polled, the court itself queried each juror individually whether his or her verdict was uninfluenced by any discussion with the alternate. Each juror answered that the alternate had not influenced his or her verdict.
¶7 On direct appeal, the court of appeals affirmed, finding, as relevant to the issue before this court, that although the defendant had a constitutional right to a jury of twelve and a verdict reached in secrecy, and although those rights were implicated by the presence of the alternate, in this case the error was nevertheless harmless beyond a reasonable doubt. In reaching this conclusion, the intermediate appellate court reasoned that the district court's instruction to the jurors that they were not to be influenced by the alternate's words or actions, in conjunction with the individual statements of the jurors affirming that their verdicts were in fact not influenced by the alternate, eliminated any reasonable possibility that the error affected the verdict.
¶8 We granted the defendant's petition for a writ of certiorari on the question whether the court of appeals erred in finding the alternate's participation harmless.
II.
¶9 Some thirty-five years ago, in
People v. Boulies
,
¶10 On appeal by the People, this court found, in reliance on a state constitutional right to a twelve-person jury and existing United States Supreme Court jurisprudence concerning a defendant's entitlement to a jury verdict reached in secret, that the presence of an alternate during jury deliberations sufficiently impinged upon the defendant's constitutional right to a jury trial to create a presumption of prejudice that, if unrebutted, would require reversal.
¶11 Between that time and this, the law governing the nature and remedies for error occurring in the trial process in general, and the presence and use of alternate jurors in particular, has undergone considerable development in the jurisprudence of both this court and the United States Supreme Court. In
People v. Burnette
,
¶12 Although we found, in the absence of any such precautions in
Burnette
, that the presumption was not overcome,
¶13 Although in
Boulies
we relied largely on federal authority concerning an entitlement to jury secrecy in concluding that the mere presence of an alternate during jury deliberations sufficiently impinges on a defendant's constitutional right to a jury trial to create a presumption of prejudice, in doing so we did not have the benefit of the Supreme Court's subsequent analysis in
United States v. Olano
,
¶14 Rather, the Supreme Court explained that there were two ways in which the presence of alternate jurors during deliberations might be prejudicial: either because the alternate actually participated in the deliberations or because the alternate's presence exerted a chilling effect.
¶15 Finally, since the time of our prior analyses of the presence and participation of alternate jurors during deliberations, the jurisprudence of both this court and the United States Supreme Court concerning the nature and effect of errors committed in the trial process has undergone substantial refinement. As we indicated in
People v. Novotny
, with regard to the proper remedy for the erroneous denial of challenges to the qualifications of prospective jurors, we have largely come to accept the structural error/trial error dichotomy developed by the Supreme Court, even with regard to matters other than those involving federal constitutional error.
*340
United States v. Gonzalez-Lopez
,
III.
¶16 Without regard for the merits of our ultimate decision to remand in
Boulies
, it is now apparent not only that our former classifications of error have undergone both substantial and terminological refinements over the intervening period, but also that our reliance on federal case law for the proposition that an error of constitutional magnitude is committed by the mere presence of an alternate juror in the jury room during deliberations has turned out to have been mistaken.
See
Olano
,
¶17 Because the defense had not registered an objection when the trial court in
Olano
permitted the alternate to retire with the other jurors, the Supreme Court considered the effect of the error only as to the standard for plain error.
¶18 Apart from preserved federal constitutional error raised on direct appeal, the harmlessness of which must, according to Supreme Court fiat, be proved beyond a reasonable doubt by the government,
see
Brecht v. Abrahamson
,
*341
¶19 It is clear that in
Olano
the Supreme Court did not treat the presence of an alternate, or even an actual intrusion in the form of participation or some chilling conduct by the alternate, which would call for an analysis of prejudicial impact, as error defying harmless error analysis, or "structural error." 507 U.S. at 739,
¶20 Whatever may be the continued vitality of our juror-substitution line of cases in light of these subsequent developments, we do not understand the considerations expressed in those cases to govern the harmfulness of an "intrusion" by an alternate upon the deliberations of a properly constituted jury. Like all errors in the trial process that do not amount to structural error, whether an intrusion or outside influence on jury deliberations should be disregarded as harmless must depend upon an evaluation of the likelihood that the outcome of the proceedings in question was adversely affected by the error.
Novotny
, ¶ 20,
¶21 In this case, the evidence relative to the only offense of which the defendant was convicted consisted of the discovery by police of a backpack containing the defendant's identification and twenty grams of methamphetamine, in a car the defendant had been seen driving, and the fact that the defendant, after being Mirandized, admitted that the illegal drugs were his. Aside from cross-examination about the extent of police investigation and a general denial, the defendant offered no defense or theory to dispute his possession of the illegal drugs. Although the alternate was inadvertently permitted to retire with the jury, he was recalled within some ten minutes and testified in response to questioning by both counsel and the court that while the jurors were getting settled he had acceded to the request of some, although without formal vote, to serve as foreperson; that a preliminary vote was taken to get the sense of the group; and that discussion of the charges was just beginning when he was recalled. Under these circumstances, we are confident beyond a reasonable doubt that the error was harmless. 1
IV.
¶22 Because the evidence proving the defendant's guilt of the lesser offense of possession, the only offense of which he was convicted, was overwhelming and was in fact never seriously challenged, the district court's failure to recall the alternate for approximately *342 ten minutes amounted, under the facts of this case, to harmless error. The judgment of the court of appeals is therefore affirmed.
JUSTICE GABRIEL concurs in the judgment, and JUSTICE HOOD and JUSTICE HART join in the concurrence in the judgment.
JUSTICE GABRIEL, concurring in the judgment.
¶23 Today, the majority concludes that recent decisions of our court and the United States Supreme Court have established a harmless error or structural error dichotomy for cases like the present one and that the harmless error standard should apply here. In reaching this conclusion, the majority effectively overrules over three decades of precedent and applies an outcome-determinative, harmless error standard, notwithstanding the fact that the error in this case defies review under such a standard.
¶24 The majority's analysis appears to be based on a false dichotomy. Specifically, contrary to the majority's view that in a case like this, our review must either be for harmless error or structural error, both the United States Supreme Court and this court have recognized that in cases like the present one, which defy harmless error review, courts apply a third category of error, namely, one of presumed prejudice.
See
United States v. Olano
,
¶25 Accordingly, I would continue to follow the principle set forth in Olano , Burnette , and Boulies and would conclude that when a case defies harmless error review, we should assess the error by applying a rebuttable presumption of prejudice.
¶26 Applying that analysis here, I agree with the majority's ultimate decision to affirm the judgment. In my view, the record in this case establishes that the presumed prejudice that arose from the trial court's inadvertently allowing an alternate juror to deliberate for approximately ten minutes has been effectively rebutted. Accordingly, I perceive no basis for reversal.
I. Analysis
¶27 I first address the presumption of prejudice standard as recognized by both the United States Supreme Court and this court. After concluding that the presumption of prejudice standard should govern this case, I apply that standard to the facts presented.
A. The Presumed Prejudice Standard
¶28 Both the United States Supreme Court and this court have long recognized that the consequences of certain errors are "necessarily unquantifiable and indeterminate."
See, e.g.
,
Sullivan v. Louisiana
,
¶29 Although such errors are ordinarily deemed structural errors and mandate reversal without a showing of prejudice,
see
Sullivan
,
¶30 For example, in
Olano
,
*343 claims that they can be impartial should not be believed").
¶31 Similarly, in
Boulies
,
¶32 In my view, we should continue to recognize such a rebuttable presumption standard in cases in which a nonstructural trial error defies harmless error review. By not doing so, we are creating an analytical regime that will virtually always result in our recognizing a wrong while simultaneously denying an aggrieved party any remedy for that wrong.
¶33 In reaching this conclusion, I respectfully disagree with the majority's suggestion that the Court in
Olano
expressly ruled that the presumed prejudice standard does not apply to cases involving the improper presence of an alternate juror in the jury room.
See
maj. op. ¶¶ 13-16. In my view, the Olano Court's statements that it need not and would not presume prejudice in the case before it,
Olano
,
¶34 Unlike the majority, I do not believe that the Olano Court's ultimate conclusion would necessarily apply in every case involving alternate jurors' unauthorized presence in the jury room. In
Olano
, the Court had some information, namely, an express jury instruction, on which it could rely to assume a lack of participation by the alternates. It is in this context-specifically, the presence of alternate jurors who had been instructed not to participate in the jury's deliberations-that the Court stated that the mere presence of alternate jurors was insufficient to warrant a presumption of prejudice in the case before it.
Olano
, 507 U.S. at 741,
¶35 Moreover, Olano itself observed that the presence of alternate jurors might be prejudicial if the alternates actually participated in the deliberations, either verbally or through body language.
See
¶36 In the present case, as well as in
Johnson v. Schonlaw
,
¶37 Accordingly, in my view, Olano 's presumed prejudice standard should continue to apply in cases in which nonstructural trial errors defy a showing of prejudice.
¶38 I likewise am unpersuaded by the majority's suggestion that cases like Novotny somehow altered the analysis in
Boulies
and its progeny.
See
maj. op. ¶ 15. Novotny did not expressly do so. Rather, it overruled prior cases that had mandated automatic reversals when challenges for cause were erroneously denied and the aggrieved party had exercised all of his or her peremptory challenges.
See
Novotny
, ¶¶ 2, 27,
¶39 Moreover, I perceive nothing in
Novotny
that is inconsistent with
Boulies
. To the contrary, as noted above, both the United States Supreme Court and this court have recognized that the outcome-determinative, harmless error standard and the rebuttable presumption of prejudice are different standards that apply to different types of cases.
See
Olano
,
¶40 Accordingly, and given our consistent recognition that stare decisis principles require us to follow a rule of law established in our prior cases unless sound reasons exist for departing therefrom,
see
People v. Kutlak
,
¶41 Because the parties appear to agree that the trial court erred in allowing, albeit inadvertently, the alternate juror to participate in the jury's deliberations, the question for me becomes whether the presumed prejudice that arose from this error has been rebutted. I turn to that question next.
B. Whether the Presumption Has Been Rebutted
¶42 In
Burnette
,
¶43 *345 Here, just moments after the jurors retired to deliberate, the trial court informed the parties that an alternate juror had inadvertently gone into the jury room. The court immediately removed that juror and questioned him in a general way as to the involvement that he had had in the deliberations. Although the alternate advised that he had been selected as the foreperson of the jury, he noted that prior to the time that he had been removed from the room, two jurors had used the restroom and the jurors had done nothing more than take a preliminary vote, and not even on all of the charged counts. The jurors had just begun to discuss the elements of the charged crimes when the alternate was removed from the jury room. The total time that the alternate participated in the jury's deliberations appears to have been approximately ten minutes.
¶44 The court discharged the alternate, advised the jury to select a new foreperson, instructed the jurors to continue their deliberations, and instructed the remaining jurors that they were not to be influenced by anything that the alternate juror had said or done.
¶45 Finally, after the jurors reached their verdict, the court asked each juror to confirm that his or her verdict had not been influenced by the alternate. Each juror did so. Although I recognize that CRE 606(b) 's limits on inquiry into juror deliberations require that courts proceed cautiously in making inquiries of this nature, in my view, the trial court's limited inquiry and other actions here were appropriate and reflected precisely the kind of extraordinary precautions that we have concluded are necessary to rebut the presumption of prejudice in a case like this. Indeed, I cannot conceive of anything more that the trial court could realistically have done here to eliminate any possible prejudice.
II. Conclusion
¶46 For these reasons, I believe that the presumed prejudice that arose from the brief involvement of the alternate juror in the jury's deliberations was overcome in this case. I would therefore affirm the judgment below, albeit on grounds different from those on which the majority relies.
¶47 Accordingly, I respectfully concur in the majority's judgment only.
I am authorized to state that JUSTICE HOOD and JUSTICE HART join in this concurrence.
We therefore need not address the question whether inquiring of the jury whether their verdicts were actually influenced by the alternate's participation comported with CRE 606.
Reference
- Full Case Name
- Dustin Lee JAMES, Petitioner v. the PEOPLE of the State of Colorado, Respondent.
- Cited By
- 518 cases
- Status
- Published
- Syllabus
- James sought review of the Court of Appeals' judgment affirming his conviction for possession of methamphetamine. Upon realizing that it had failed to discharge the alternate juror before the jury retired to deliberate, the district court recalled and dismissed the alternate, instructed the jury to continue with deliberations uninfluenced by anything the alternate may have said or done, and denied the defense motion for dismissal or mistrial. The Court of Appeals concluded that the trial court's error in allowing the alternate juror to retire with the jury and the juror's presence for part of the deliberations were harmless beyond a reasonable doubt and, after rejecting James's other assignments of error, affirmed his conviction. The Supreme Court held that the evidence proving defendant's guilt of the offense of possession was overwhelming, and therefore the district court's failure to recall an alternate juror for approximately 10 minutes amounted, under the facts of the case, to harmless error. Accordingly, the judgment of the Court of Appeals was affirmed.