Lead Opinion
OPINION
¶ 1 The state challenges the trial court’s order granting a mistrial after the jury returned contradictory verdict forms in which it found appellee Austin Hansen guilty of aggravated assault with a deadly weapon but not guilty of its lesser included offense of
Factual and Procedural Background
¶ 2 Hansen was charged with a single count of aggravated assault with a deadly weapon or dangerous instrument pursuant to A.R.S. § 13-1204(A)(2) as a result of a stabbing at a music festival. For sentencing enhancement purposes, the state alleged the offense was of a dangerous nature due to the use of a knife. See A.R.S. §§ 13-105(13), 13-704. The court bifurcated the trial to separately address the questions of guilt and dangerousness.
¶ 3 During the guilt phase, the jury received instructions and verdict forms for aggravated assault and its lesser included offense of simple assault. When the jury returned the forms in open court, the judge initially overlooked that the forms stated the jury had found Hansen both guilty of aggravated assault and not guilty of simple assault. Only the verdict of guilt was announced in court. The court asked the jurors whether this was their verdict, they replied in the affirmative, and no dissent was registered when the jury was polled at Hansen’s request.
¶ 4 After the jury was instructed on the question of dаngerousness and returned an affirmative finding, the trial court discovered its previous oversight.
Jurisdiction
¶ 5 This court’s appellate jurisdiction is provided and limited by statute. State v. Avila,
¶ 6 The state identifies § 13-4032(2) as the basis of our appellate jurisdiction. That provision allows the state to appeal “[a]n order granting a new trial.” Id. An order declaring a mistrial, however, is not equivalent to an order granting a new trial.
¶ 7 Although a new trial typically follows the declaration of a mistrial, see Gray v.
¶ 8 In the criminal context more broadly, the declaration of a mistrial does not automatically result in a new trial when the mistrial is occasioned by intentional prosecutorial misconduct. See State v. Jorgenson,
¶ 9 With our appellate jurisdiction lacking, we nevertheless find it appropriate to exercise our special action jurisdiction pursuant to § 12-120.21(A)(4) and address the merits of the state’s arguments presented in its brief. We exercise our discretion in this manner because this case presents an important legal question concerning the effect of an ambiguous verdict, and the state is without “an equally plain, speedy, and adequate remedy by appeal.” Ariz. R. P. Spec. Actions 1(a); see State v. Bayardi,
Mistrial
¶ 10 Both parties agree that a final verdict was returned by the jury that must be given effect; they simply disagree about which verdict is final and which should be ignored. We reject this premise.
¶ 11 This statement is an oversimplification, however, insofar as it presumes the verdict is valid and has been accepted by the court. “There is no verdict as long as there is any uncertainty or contingency to the finality of the jury’s determination.” Cook v. United States,
¶ 12 Here, the trial court did not accept the ambiguous verdict but rather discharged the jury and declared a mistrial as permitted by our rules of procedure. Under Rule 23.4, Ariz. R. Crim. P., which is derived from Rule 31(d), Fed. R. Crim. P., either party or the court may poll the jury “[a]fter the verdict is returned and before the jury is discharged.” The rule also allows the court to “direct [jurors] to retire for further deliberations or ... discharge[ ]” them based on their responses. This process “compels the conclusion that a verdict is not final when announced.” United States v. Love,
¶ 13 Historically, Arizona has permitted trial courts to reinstruet jurors and direct them to continue deliberations when the jury returns a verdict “‘so defective that the court cannot determine whether the jurors intended to acquit the defendant or to convict him of an offense for which judgment could be entered.’ ” State v. Barker,
¶ 14 As noted, a trial court’s choice of remedies when faced with such a verdict is either to reinstruct jurors and direct them to resume deliberations or declare a mistrial. Lee,
¶ 15 Although we conclude the trial court partially erred, we cannot find the court’s declaration of a mistrial constitutes a reversible error. A discretionary determination predicated on an error of law constitutes abuse of discretion. See Jimenez v. Chavez,
¶ 16 The state urges us to consider the record as a whole and find that the verdict of guilt, coupled with the dangerousness determination, represents the jury’s true intention to convict Hansen as charged. Although the state makes a non-trivial argument about the jury’s likely intentions, we cannot validate and accept the verdict in this manner for two principal reasons.
¶ 17 First, the trial court did not poll individual jurors to determine whether the not guilty verdict also represented their true verdict. Accordingly, while the existing record certainly suggests the foreperson viewed the not guilty verdict as an unintended mistake, we decline to speculate on this limited record about what the remaining seven members of the jury intended by their verdicts.
¶ 18 Second, any judicial interpretation of the verdict after the discharge of the jury deprives Hansen of the opportunity to poll the jurors and confirm such an interpretation. In addition, it might undermine the voluntary choice Hansen made arguing fоr a mistrial — a choice that waived any claim of double jeopardy protections arising from the verdict form in his favor. See United States v. Scott,
¶ 19 The state further asserts that the ambiguous verdicts here were simply “inconsistent verdicts” that “the law clearly allows.” Indeed, in Arizona we do not disturb inconsistent verdicts. Gusler v. Wilkinson,
¶ 20 The rаtionale for this approach is that the inconsistency might not represent an error detrimental to the defendant but instead could be a favorable error or the result of jury nullification, compromise, or lenity. See United States v. Moran-Toala,
¶ 21 However, this rationale does not apply to contradictory verdicts returned on a single count. These verdicts are not simply legally inconsistent or “ ‘rationally incompatible,’” United States v. Suarez,
¶ 22 We publish this opinion, as the state requests, to clarify this important distinction and give guidance to trial courts and parties who face issues of inconsistency or ambiguity. Ordinarily, an inconsistency involving criminal verdicts does not render them invalid or permit a trial court to reject them; in other words, an inconsistency does not authorize a court to reinstruct jurors and resume deliberations. See Webb,
¶ 23 Remedial efforts are appropriate, however, when a jury returns (1) guilty verdicts on both a greater and lesser included offense or (2) an ambiguous verdict finding the defendant guilty and not guilty of the same offense, or guilty of the greater offense but not guilty of the lesser included offense.
¶ 24 Under controlling Arizona case law, the trial court here would have erred by simply ignoring the not guilty verdict on the
¶ 25 We understand the perspective that the jury’s intentions to convict were “abundantly clear,” as our dissenting colleague maintains. And, on the dry record before us, we do not dispute that our colleague’s interpretation of the jury’s intent is a plausible one. But we do not write on a clean slate. Implicit in the trial court’s ruling was a conclusion that the jury’s intent had not been clarified either by the dangerousness finding or the foreperson’s incomplete statement thereafter. And, although the court presided over the proceeding and had the opportunity to assess the demeanor of both the foreperson and the jury, it declined to credit the foreperson’s suggestion that the not guilty verdict was a mere clerical error. Moreover, given the availability of the curative measures not taken, which could have readily clarified the jurors’ intent, we are reluctant now to place undue confidence in the limited evidence of such intent that still survives. Although the dissent maintains the poll of the jury demonstrates the jury’s intent to convict, the jury’s return of a not guilty verdict on the lesser offense is substantial evidence of a conflicting intent, and the trial court was entitled to consider it as such. Here, the jury poll did nothing to eliminate the ambiguity when that ambiguity was clearly the product of the jury’s misunderstanding of the law. We decline to speculate on the precise nature of that misunderstanding and do not consider the incomplete statement of the foreperson dispositive evidence of the mindset of the remaining seven jurors.
¶ 26 Procedurally, Hansen was entitled to a certain verdict confirmed by all jurors, and we cannot agree with the dissent that he somehow waived his right to poll the jury anew or otherwise confirm its intent when, after the trial court hаd refused to accept the verdicts based on their ambiguity, he requested a mistrial. A defendant does not waive an alternative remedy when he asks for, and is granted, relief that the law entitles him to have. In short, Hansen requested a mistrial rather than another poll, and it would be fundamentally unfair to now provide him neither.
Disposition
¶ 27 Accordingly, we accept special action jurisdiction and affirm the trial court’s order.
Notes
. "Logically, ... if one has not committed the lesser offensе, one cannot have committed the greater,” Peak v. Acuna,
. The record indicates that two bench conferences were held on this matter, but, because those discussions were not transcribed, we do not know what arguments or requests the parties may have made during that time. We disapprove the practice of not recording bench conferences. State v. Dann,
. We need not specifically address Hansen's claim that the verdict form finding him not guilty of simple assault constitutes an acquittal for purposes of the Double Jeopardy Clause. Hansen did not file a notice of appeal from the trial court’s mistrial order, and the double jeopardy issue is not otherwise ripe for our review. See State v. Rasch,
. A trial court also might postpone the discharge of the jury to allow legal briefing or to allow a party to seek a stay from this court for a special action. See Ariz. R.P. Spec. Actions 5.
. While Hansen asserts that the not guilty verdict should be given effect because it was announced in court, we note that not eveiy declaration by a jury in favor of a defendant constitutes a final verdiсt. See, e.g., Rastelli,
. A third possible situation, which was contemplated in Powell,
Dissenting Opinion
dissenting:
¶ 28 I must respectfully dissent because I сannot agree with my colleagues’ foundational premise, which redefines the attributes of a final verdict to conclude that the jury’s verdict here, on the only count the defendant was charged with, was ambiguous. On the record before this court, the jury’s intent to convict Hansen of aggravated assault was made abundantly clear, and the trial court reversibly erred in disregarding the jury’s decision on the basis of a mere clerical mix-up.
¶ 29 As my colleagues acknowledge, this сourt has observed that “[a] verdict is final if (1) the deliberations are over, (2) the result is announced in open court, and (3) the jury is polled and no dissent is registered.” State v. Riper,
¶ 30 Here, not only did the jurors expressly confirm their intentions when individually polled after the verdict had been rendered and announced, but any possible ambiguity was eliminated when the jury went on to find the offense a dangerous one, based on Hansen’s use of a weapon, and then verbally confirmed its decision in open court when queried by the judge. That a second verdict form relating to the lesser-ineluded offense of simple assault was marked “not guilty,” while inconsistent with the court’s instructions, was readily explained by the foreperson as simple confusion on her part in dealing with “the two sheets.” My col
¶ 31 My colleagues also voice concern that upholding the jury’s expressly confirmed verdict would deprive Hansen of the opportunity to have polled the jurors about the aberrational, if semantically logical, verdict sheеt marked “not guilty” of simple assault. But Hansen was free to request such polling, just as he did without hesitation for the aggravated assault verdict. Doing so would certainly have further clarified the foreperson’s mistake, a mere clerical matter not involving the jury’s deliberative process. Contrary to my colleagues’ assessment, the trial court did not decline to credit the foreperson’s explanation, but rather cut her off and did not consider it, under the erroneous beliеf that it went to the jury’s thought process. See Plummer v. Springfield Terminal Ry. Co.,
¶ 32 It requires no speculation, but only common sense to conclude the jury’s verdict finding Hansen guilty of aggravated assault with a dangerous weapon “ ‘was certain, unqualified and unambiguous considering the circumstances of the receipt of the verdict and poll of the jurors relative to their verdict.’ ” United States v. Morris,
