Lead Opinion
Opinion
I. INTRODUCTION
A jury of 11 persons found defendant Heidi Ann Traugott guilty of possession of methamphetamine for sale and two related misdemeanor drug offenses.
On appeal, defendant argues the trial court violated her constitutional and statutory rights to a unanimous verdict by accepting the verdict with only 11 jurors present and by taking the verdict in defendant’s absence. She further contends she was denied effective assistance of counsel, in that counsel failed to object to the prosecutor’s misstatements of the law relative to the issues of corpus delicti and aiding and abetting.
We hold that defendant’s state constitutional right to a unanimous 12-person verdict was violated and that valid verdicts were not returned. We further hold that the error is structural and requires reversal. Because of our conclusion on this issue, we do not address defendant’s remaining arguments.
II. SUMMARY OF FACTS
At approximately 1:30 a.m. on February 11, 2007, the vehicle in which defendant was seated was approached by two Riverside County Sheriff’s deputies. The vehicle was located in a gas station next to a gas pump, with its
Testimony in defendant’s trial began on Tuesday, January 29, 2008. Jurors began deliberating on Friday, February 1. On the following Monday, at approximately 3:30 p.m., the court was informed the jury had reached a verdict. However, only 11 members of the jury were present to render the verdicts. Defendant was not present.
HI. ANALYSIS
Defendant argues her federal and state constitutional rights were violated because a jury comprised of only 11 persons, not 12, returned guilty verdicts. The People contend defendant forfeited her right to a unanimous 12-person verdict. They base this argument on the facts that counsel stipulated to taking the verdict with only 11 jurors present and defendant absented herself from the courthouse prior to the return of the verdicts. As we explain below, we hold that defendant had not waived or forfeited her state constitutional right to a unanimous 12-person verdict and, therefore, a valid verdict was not returned in this case. The error is structural and requires reversal.
A. Factual Background
The jury commenced deliberations in the late afternoon of Friday, February 1, 2008
At this point, the following colloquy occurred:
“MR. REDINGER: I understand that Heidi was told by the bailiff she could go home and be on call, so I don’t know if that’s tme. That’s what Heidi represented to me.
“THE COURT: Who is Heidi?
“MR. REDINGER: The defendant.
“THE COURT: Have we got a hold of her yet?
“MR. REDINGER: I reached her by phone. She is in Fontana. She indicated to me—I asked her why she wasn’t in court. She indicated to me the bailiff had told her she was on call and she could go home.[4 ]
“THE BAILIFF: I said—what I said was stay close so your attorney can get a hold of you if the verdict comes. She will call, and you have to be here.
“MR. REDINGER: I’m only told what she told me. [f] . . . [U
“THE BAILIFF: ... I told your defendant to stay close, and when the verdict comes, that you could call her and she would have to be here shortly after.
“MR. REDINGER: Okay. I’m only reporting what my client told me. I don’t know. I wasn’t there obviously.
“THE COURT: She jusf probably misinterpreted the information.
*498 “MR. REDINGER: She’s made all of her appearances. Perhaps we could set it for sentencing and I’ll get her there, assuming it’s guilty.
“THE COURT: You have no objection for me to take the verdict in her absence?
“MR. REDINGER: I have no objection, no.
“THE COURT: And you go along with that, Miss Garcia?
“MS. GARCIA: We can appear [Penal Code section] 977 so long as he has authorization, yes.
“THE COURT: You don’t have written authorization on a felony. That’s what’s required by law. However, I think at this point in time because of the miscommunication, we could probably allow the [Penal Code section] 977 appearance and we could maybe, I think—I don’t think I want to do a failure to appear, but I would put it on the record that she, after the jury dismissed, that she did not show up because she was given this bad information.
“MR. REDINGER: That’s fine, your Honor. I have confidence she will show up whenever you want her.
“THE COURT: Confused information is what I would say. So I’ll set the sentencing date[,] which I think has already been pre-arranged.”
After some further discussion not relevant here, a recess was taken. After the recess, the following took place:
“THE COURT: Court’s in session, Judge O’Rourke presiding. Present in court are the two stand-in attorneys, Mr. Kim and Miss Garcia. And we have now developed a new scenario. Juror No. 4 has escaped because he had a job interview at 4:00 o’clock and is not here. I would at this point in time proceed to take the verdict and declare the verdicts in the absence of [Juror] No. 4 unless there’s a real objection to proceeding at this point in time. If so, we’d have to continue this until tomorrow and bring them all in.
“MR. KIM: No objection, Your Honor.
“MS. GARCIA: I don’t have authorization to object or not object on this matter, Your Honor.
“THE COURT: You are standing in as attorney of record. You have all authorization and all power to do it. If not, you shouldn’t be here.
*499 “MS. GARCIA: I understand, Your Honor.
“THE COURT: You have to make a decision, Counsel.
“MS. GARCIA: We can proceed, Your Honor. No objection.
“THE COURT: All right. It’s time. And also for the record, the defendant is not present here because she misunderstood the instruction of the bailiff and has left also, and counsel has agreed I can proceed in her absence. [I] Is that correct, Miss Garcia?
“MS. GARCIA: Yes, Your Honor.”
The remaining 11 jurors were then brought into the courtroom. The court noted, “for the record, Juror No. 4 ... is missing. And we have agreed we would proceed in her absence because of the confusion.” The verdict forms were handed to the foreperson, who confirmed that the documents he signed were the verdicts and the unsigned documents “are supposed to be unsigned.” The verdicts on counts 1, 3, and 4 were then read. The jury foreperson confirmed that no verdict was reached on count 2 and that the jurors were unable to reach a verdict on that count. The court then declared a mistrial as to that count.
The court asked the foreperson whether the verdicts on counts 1,3, and 4 were “your true and correct verdicts,” and the foreperson responded, “Yes, they are.” The court then asked: “All 12 members of the jury panel voted on them and you signed them accordingly?” The foreperson answered, “Yes, I did.”
The court asked counsel if anyone wanted the jurors polled. Ms. Garcia said she did. The court stated, “I can’t poll [Juror] No. 4,” to which Ms. Garcia responded, “Yes, I understand.” The remaining 11 jurors were then each asked if the verdicts on counts 1, 3, and 4 were their true verdicts, and each individually responded, “Yes.”
B. Analysis
Article I, section 16 of the California Constitution provides: “Trial by jury is an inviolate right and shall be secured to all... . A jury may be waived in a criminal cause by. the consent of both parties expressed in open court by the defendant and the defendant’s counsel. ...[][] In criminal actions in which a felony is charged, the jury shall consist of 12 persons. In criminal actions in which a misdemeanor is charged, the jury shall consist of 12 persons or a lesser number agreed on by the parties in open court.” Our state Supreme
“Among the essential elements of the [California constitutional] right to trial by jury are the requirements that a jury in a felony prosecution consist of 12 persons and that its verdict be unanimous. [Citations.] [][]... The requirement that 12 persons reach a unanimous verdict is not met unless those 12 reach their consensus through deliberations .... The elements of number and unanimity combine to form an essential element of unity in the verdict. By this we mean that a defendant may not be convicted except by 12 jurors who have heard all the evidence and argument and who together have deliberated to unanimity.” (People v. Collins (1976)
It follows from these authorities that a criminal defendant has a fundamental right under the California Constitution to a trial by a 12-person jury. This right requires that all 12 jurors deliberate and reach a unanimous verdict voted upon and, upon request by any party, declared orally by each of the 12 jurors. In the absence of such a declaration, “there is no verdict. . . .” (Green, supra,
Although the right to a 12-person jury is fundamental, it may be waived. (People v. Collins, supra,
Because the right to a jury may be waived, the defendant may stipulate to a trial by a jury of fewer than 12 persons. (People v. Trejo (1990)
Furthermore, the right to an oral affirmation of the verdicts by the jurors is not a mere procedural formality. Even if each of the jurors voted to convict a defendant during deliberations, jurors may equivocate or change their vote when called upon in open court. In Green, supra,
Here, defendant never expressly waived her right to a unanimous verdict of 12 jurors or consented to fewer jurors than the constitutional minimum. Although her counsel consented to having the verdicts declared by only 11 jurors, the foregoing authorities make clear that counsel’s consent alone is ineffective. There was thus no verdict by a 12-person jury as required by our state Constitution. Moreover, without the oral declaration of the missing juror, there is no way to know whether that juror actually voted for the verdicts or whether, if he or she did vote for the verdicts, he or she might have equivocated or changed his or her mind when asked to affirm the verdict in court as in Green and Thomas. Indeed, although the judge indicated that Juror No. 4 “ha[d] escaped” to go to a job interview, we cannot determine from our record when Juror No. 4 left the courthouse, whether he or she finished deliberating with the other jurors and voted on the verdicts, or even how the judge learned that the juror had left. Even if the foreperson informed the court that all 12 jurors voted on the verdicts, this is insufficient to satisfy the 12-person requirement. In Thomas, all of the jurors were present and initially informed the court that the announced verdict was their verdict; it was only when each juror was polled that the defect in the verdict was revealed. (Thomas, supra, 67 Cal.2d at pp. 930-932.) Here, there is not even an initial affirmation of the verdicts from Juror No. 4. Under these circumstances, we conclude defendant did not receive the unanimous verdicts of 12 jurors that the state Constitution requires.
While acknowledging that a defendant has the right under California law to a unanimous verdict rendered by 12 persons and that the verdict be individually declared in open court upon request, the People argue that defendant forfeited this right by absenting herself from court.
The People refer us to People v. Concepcion (2008)
Regarding the right to be present when witnesses testify at trial, the Concepcion court explained: “The [constitutional] right to be present may be waived .... [Citations.] Waiver may be express or implied. [Citation.] Cases finding implied waivers have often involved disruptive behavior. [Citations.] A waiver may also be implied by escape during trial [citation] or failure to return to trial while on bail [citation]. ‘ “Neither in criminal nor in civil cases will the law allow a person to take advantage of his own wrong. And yet this would be precisely what it would do if it permitted an escape from prison, or an absconding from the jurisdiction while at large on bail, during the pendency of a trial before a jury, to operate as a shield.” ’ [Citation.]” (Concepcion, supra,
Concepcion is not controlling here. First, that case did not involve the right to jury trial. It concerned the right to be present at trial, which flows from the confrontation clause of the Sixth Amendment to the federal Constitution, the due process clause of the Fourteenth Amendment, and article I, section 15 of the state Constitution. (Concepcion, supra,
Here, there is arguably an inconsistency with defendant’s absence from the courtroom at the time the jurors returned to the courtroom and her right to be present during trial. However, even if we assume defendant’s absence
“It long has been established that the denial of the right to a jury trial constitutes a ‘ “structural defect[]” in the judicial proceedings’ that, by its nature, results in ... a ‘miscarriage of justice.’ [Citations.] . . . ‘ “[I]f a court should undertake to deny to a defendant charged with a felony the right of trial by jury, and after a hearing of the evidence render a judgment of conviction, it cannot be doubted that such judgment should be set aside even though there had been the clearest proof of guilt.” ’ [Citation.]” (People v. Ernst, supra,
IV. DISPOSITION
The judgment is reversed.
Miller, J., concurred.
Notes
The jury was unable to reach a verdict on one count of transporting methamphetamine.
While it is unclear where jury deliberations took place, it would appear that the courtroom itself was used for purposes of jury deliberation because the courthouse apparently did not maintain an adequate jury room.
The reporter’s transcript does not reflect certain proceedings noted in the court’s minute orders. For example, a minute order indicates that the jurors were admonished and ordered to return on February 4, 2008, and that defendant was “ordered to return on any and all future hearing dates.” These orders are not reflected in the reporter’s transcript. Additionally, minute orders for January 28 and January 31, 2008, indicate that defendant was ordered to return on future hearing dates; however, no corresponding orders can be found in the reporter’s
The case was tried in the City of Banning. We take judicial notice of the fact that the Banning courthouse is approximately 39 miles from the City of Fontana. (Evid. Code, §§ 452, subd. (h), 459, subd. (a).)
“As with the waiver required of several other constitutional rights ... a defendant’s waiver of the right to jury trial may not be accepted by the court unless it is knowing and intelligent ... as well as voluntary ‘ “ ‘in the sense that it was the product of a free and deliberate choice rather than intimidation, coercion, or deception.’ ” ’ [Citations.]” (People v. Collins, supra,
The People actually assert that “defense counsel forfeited any state right to the juror’s presence.” The right at issue is not merely the “juror’s presence” in the courtroom, but the right to that juror’s affirmation of the verdict as his or her own. If the juror’s presence was all that mattered, there would be no need to poll the jurors, the jury in Green would not have needed to deliberate further, and there would have been no basis for the mistrial called in Thomas. The People’s attempt to diminish the right to a unanimous, 12-person verdict by characterizing it as a right to the juror’s presence in the courtroom is not well taken.
Forfeiture of the Sixth Amendment right of confrontation was addressed in People v. Giles (2007)
Because we reverse the judgment based upon our state Constitution, we do not consider whether the federal constitutional right to jury trial was also violated.
Concurrence Opinion
I concur in the result.
Penal Code section 1147
As the court stated in People v. Loving (1977)
“When the jury have agreed upon their verdict, they must be conducted into court by the officer having them in charge. Their names must then be called, and if all do not appear, the rest must be discharged without giving a verdict. In that case the action may be again tried.” (Pen. Code, § 1147.)
