People v. SchaeferPeople v. Schaefer
Lead Opinion
delivered the opinion of the court:
After a joint trial on misdemeanor and felony charges, a jury convicted defendant, John R. Schaefer, of aggravated driving under the influence of alcohol (DUI) (
Defendant argues on appeal that: (1) a new trial is warranted because the trial court failed to question the jury venire in accordance with Illinois Supreme Court Rule 431(b) (eff. May 1, 2007); (2) the case must be remanded for a hearing as to his fitness at the time of trial; (3) the case must be remanded for a hearing on his pro se motion alleging ineffective assistance of counsel; and (4) his conviction of improper lane usage must be reversed because the State failed to prove his guilt beyond a reasonable doubt. We agree with defendant on the first and fourth issues. Therefore, we need not reach the second and third issues. We reverse and remand for a new trial on the DUI, transportation of open alcohol, and obstruction charges.
I. BACKGROUND
A. Jury Selection
The facts are undisputed. On January 14, 2008, the trial court addressed all prospective jurors and informed them that, in criminal cases, the State bears the burden to prove a defendant’s guilt beyond a reasonable doubt. The court asked all prospective jurors whether anyone had “any problem” with the concepts that defendant was presumed innocent and that they could find him guilty only if, after hearing all of the evidence and instructions of law at the end of trial, they determined that he was guilty beyond a reasonable doubt.
The jury was selected in a series of three panels; four jurors were selected from each panel. The trial cоurt asked no questions of any prospective jurors in those panels. The assistant State’s Attorney asked all prospective jurors whether they: (1) understood that the State bore the burden to prove its case beyond a reasonable doubt; (2) believed that the State could meet its burden even if it presented only one or two witnesses; and (3) had any moral, philosophical, or religious objections to standing in judgment of another person. In addition, the assistant State’s Attorney asked some prospective jurors in the second and third panels whether they would agree to follоw the law as instructed by the trial court at the end
Upon its return, the trial court informed the jury:
“As I have previously instructed you, the defendant in this or any criminal case is presumed innocent of the charges against him. Before a defendant in this case or in any American case can be convicted the State must prove beyond a reasonable doubt that he is guilty of the crime or crimes that he is charged with. The defendant is not required to offer any evidence at all on his own behalf. You may not infer anything negative or hold it against him if the defendant еlects not to testify. He has a right to testify on his own behalf. He also has a right to not testify on his own behalf.”
The court explained the trial process to the jury and noted that the defense could present evidence if it wished, but was under no obligation to do so.
B. Trial
Thereafter, the trial commenced. The evidence relevant to the issues on appeal established that, on July 31, 2005, Kane County emergency volunteer Charles Nadr was blocking off roads in Sugar Grove, due to a chemical spill on Route 47. Police cars, ambulances, emergency management vehicles, and fire truсks, all with flashing lights, were present. Nadr was blocking off the eastbound ramp on Route 30 heading onto Route 47. Route 30 passes over Route 47; Route 30 is a four-lane highway (two in each direction) divided by a 10-foot grassy median. At around 6:30 p.m., Nadr saw a car traveling west on Route 30 in an eastbound lane. Approximately one-quarter of a mile away, a semi-truck and several cars were approaching in the eastbound lanes. Nadr ran onto Route 30 and flagged down the car that was traveling in the wrong direction and tried to get the car “down the ramp to get him off the highway.” The car slowеd down and pulled in front of the guard rail along the exit ramp, lightly tapping the guard rail with its front bumper as it stopped. The car’s driver put the car in reverse and started backing up; Nadr hit the hood of the car and told the driver to stop and put the car in park. Police officers arrived shortly thereafter. Nadr observed a brief struggle between the officers and the car’s driver, defendant.
One of the officers, Kevin Smith, testified that he observed defendant’s car parked across the entrance to the ramp. He observed Sergeant John Gennaro speak with defendant through the driver’s door, and although he could not hear defendant’s replies, it appeared from Gennaro’s reactions that defendant was being uncooperative. Smith and Gennaro pulled defendant from the car and took him to the ground. Smith was partially on top of defendant. Smith detected a strong odor of alcohol coming from defendant. After being cuffed, defendant was walked to the squad car. Defendant was swaying, stumbling, and having a hard time maintaining balance while the officers walked him to the car. Defendant and Gennaro suffered some abrasions to their knees.
According to Smith, after defendant was placed inside the squad car, Gennaro discovered one open and three unopened beer cans in defendant’s vehicle. The open beer can had some beer left in it. At the police station, defendant refused a breath test. Smith testified that, based upon his experience as an officer trained in DUI detection and based upon his interactions with defendant, he believed that defendant was under the influence of alcohol and unfit to operate a vehicle.
The jury found defendant guilty of all four charges. Defendant appeals.
II. ANALYSIS
A. Jury Selection
Defendant argues first that he was denied a fair and impartial jury because the trial court failed to properly question the jury venire in accordance with Supreme Court Rule 431(b). Specifically, defendant argues that the court erred when it failed to ask the prospective jurors whether they understood and aсcepted that: (1) defendant was not required to present any evidence; and (2) defendant’s failure to testify could not be held against him. Defendant concedes that he did not object below to the court’s alleged error which, ordinarily, results in forfeiture of the issue. See People v. Barrow,
We may consider a forfeited error under the plain-error rule when “the evidence in a case is so closely balanced that the jury’s guilty verdict may have resulted from the error and not the evidence” or when “the error is so serious that the defendant was denied a substantial right, and thus a fair trial.” Herron,
Rule 431(b) provides:
“The court shall ask each potential juror, individually or in a group, whether that juror understands and accepts the following principles: (1) that the defendant is presumed innocent of the charge(s) against him or her; (2) that before a defendant can be convicted the State must prove the defendant guilty beyond a reasonable doubt; (3) that the defendant is not required to offer any evidence on his or her own behalf; and (4) that thе defendant’s failure to testify cannot be held against him or her; however, no inquiry of a prospective juror shall be made into the defendant’s failure to testify when the defendant objects.
The court’s method of inquiry shall provide each juror an opportunity to respond to specific questions concerning the principles set out in this section.” (Emphases added.) Ill. S. Ct. R. 431(b) (eff. May 1, 2007).
Supreme court rules are not aspirational or mere suggestions but, rather, they have the force of law and it is presumed that they will be obeyed and enforced as written. People v. Glasper,
Here, the State concedes that the trial court erred when it did not technically comply with Rule 431(b). Indeed, the trial сourt asked prospective jurors only whether they: (1) “had any problem” with (2) the first and second principles. During voir dire, the assistant State’s Attorney asked the prospective jurors whether they understood that the State bore the burden to prove its case beyond a reasonable doubt. Neither the court nor counsel asked any prospective juror whether he or she understood and accepted the third and fourth principles. The court’s general pronouncement of the law, including the third and fourth principles, after the jury was sworn and immediately preceding the trial’s сommencement, did not cure the error. That pronouncement did not ask the jurors whether they understood and accepted the principles, nor did it provide them any opportunity to respond. Rule 431(b) was promulgated specifically out of concern that broad pronouncements of the law were insufficient protections to demonstrate each juror’s understanding and acceptance of the four principles. See Blair,
We disagree with defendant that reversal under the first prong of the plain-error analysis is appropriate because the evidence was close such that the error, not the evidence, might have been the basis for the jury’s verdict. Herron,
Next, we consider under the second prong of the plain-error analysis whether the error was so serious that defendant was denied a substantial right and, thus, a fair trial. Herron,
Prior to May 1, 2007, Rule 431(b) required a trial court to ask prospective jurors about the four principlеs only upon a
In Glasper, our supreme court applied a harmless-error analysis to a court’s Rule 431(b) error and concluded that reversal for a new trial was unwarranted because there was no “structural error.” Glasper,
Notably, in Blair, a panel of this court recently considered the issue. In that case, the trial court failed to properly question the jury in accordance with Rule 431(b). This court, applying a plain-error analysis, reversed and remanded for a new trial. Blair,
In considering whether the error was so serious as to deny the defendant a substantial right and a fair trial, we recognized that our supreme court has stated that not every violation of its rules mandates reversal (Glaspеr,
“We are of the opiniоn that essential to the qualification of jurors in a criminal case is that they know that a defendant is presumed innocent, that he is not required to offer any evidence in his own behalf, that he must be proved guilty beyond a reasonable doubt, and that his failure to testify in his own behalf cannot be held against him. If a juror has a prejudice against any of these basic guarantees, an instruction given at the end of the trial will have little curative effect. *** We agree with the appellate court that ‘[e]ach of these questions goes to the heart of a particular bias or prejudiсe which would deprive defendantof his right to a fair and impartial jury’ [citation], and although they need not have been asked in precisely the form submitted, the subject matter of the questions should have been covered in the course of interrogation on voir dire.” (Emphasis added.) Zehr, 103 Ill. 2d at 477 .
Accordingly, we concluded that the error “denied defendant a substantial right, undermined the fairness of his trial, and impacted the integrity of the judicial process.” Blair,
Blair finds support in several recent decisions. For example, in People v. Blanton,
Analysis under either prong of the plain-error doctrine requires consideration of the facts and circumstances of the particular case. See People v. Magallanes,
The facts of this case are more egregious than those considered in the aforementioned cases. Indeed, they are more egregious than those considered by our court in Blair. With the exceрtion of Amerman, in the aforementioned cases where no reversible plain error was found, the trial court at least touched upon all four principles during the selection process. Here, the court failed to even inform the prospective jurors that: (1) defendant was not required to present any evidence; and (2) defendant’s failure to testify could not be held against him. The court (and the assistant State’s Attorney and defense counsel) never asked the prospective jurors whether they understood and accepted these principles. The court mеntioned those principles only after the jury was impaneled and sworn, immediately preceding the trial’s commencement, i.e., when all questioning was over. “The point of questioning is to determine whether any juror holds a belief making him or her unqualified to sit on a jury.” Owens,
B. Sufficiency of the Evidence
Because we are remanding for a new trial, we must consider defendant’s argument as to whether the evidence was sufficient to prove his guilt beyond a reasonable doubt. People v. Fornear,
When a defendant challenges the sufficiency of the evidence supporting his or her сonviction, the inquiry is whether, after viewing the evidence in the light most favorable to the State, any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt. People v. Collins,
The State argues that the evidence was sufficient because
We reject the State’s argument that the evidence was sufficient for the jury to reasonably infer that defendant violated both requirements because “wherever [he] crossed” from “the right-hand lanes onto the wrong side of a highway divided by a 10 foot grassy median” into oncoming traffic, he did so by not staying as nearly as practicable within his right-hand lane and without determining that the move could be safely made. There was no evidence establishing where or how defendant wound up driving the wrong direction, whether he was swerving outside of his lane when doing so, or whether he ever changed lanes. The evidence showed only that he drоve in the wrong direction and that he pulled over onto the ramp when directed to do so. There was simply no evidence to establish beyond a reasonable doubt that defendant did not drive as nearly as practicable within the lane or that he changed lanes without determining that the move could be done safely. Thus, we reverse defendant’s improper-lane-usage conviction.
III. CONCLUSION
For the foregoing reasons, defendant’s convictions and sentence are reversed. We remand the cause for a new trial on the DUI, transportation of open alcohol, and obstruction charges.
Reversed and remanded.
O’MALLEY, J., concurs.
Notes
During its deliberations, the jury asked the court: “(1) can we get a copy of the police report; (2) why was the arresting officer [Gennaro] not present at the trial; and (3) can we get a map of the intersection and location of the east and westbound exits and entrances?” The jury was instructed that it was not permitted under Illinois law to receive the police reports and that it could consider only the evidence admitted at trial.
We reject defendant’s assertion that our review is de novo; the cases upon which he relies (People v. Lamborn,
Concurrence Opinion
concurring in part and dissenting in part:
For the same reasons set forth in my dissent in People v. Blair,
I concur, however, with the majority’s determination that the State failed to prove beyond a reasonable doubt that the defendant was guilty of improper lane usage.