Filed 6/4/13 P. v. Klein CA5

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IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

FIFTH APPELLATE DISTRICT

THE PEOPLE,

Plaintiff and Respondent,

v.

DOUGLAS WAYNE KLEIN,

Defendant and Appellant.

F064628

(Super. Ct. No. 1412323)

OPINION

THE COURT*

APPEAL from a judgment of the Superior Court of Stanislaus County. John D. 

Freeland, Judge.

Michael L. Pinkerton, under appointment by the Court of Appeal, for Defendant 

and Appellant.

Kamala D. Harris, Attorney General, Dane R. Gillette, Chief Assistant Attorney 

General, Michael P. Farrell, Assistant Attorney General, Catherine Chatman and Jeffrey 

Grant, Deputy Attorneys General, for Plaintiff and Respondent.

-ooOoo-

 

* Before Cornell, Acting P.J., Gomes, J. and Peña, J.
2.

Defendant and appellant Douglas Wayne Klein contends the trial court 

prejudicially erred in suggesting to the deadlocked jury that it might find helpful, among 

other things, asking for a readback of any trial testimony requested by any juror. We 

conclude the court‟s comments were neutral and did not intrude into the jury‟s 

deliberations. Accordingly, we affirm the judgment.

FACTS AND PROCEDURAL HISTORY

A jury found defendant guilty of one count of continuous sexual abuse of a child 

(Pen. Code, § 288.5, subd. (a)) and found that defendant engaged in substantial sexual 

conduct with his preteen victim. (See Pen. Code, § 1203.066, subd. (a)(8).) The court 

sentenced him to the lower term of six years in prison. 

At the trial, the jury sent a note out to the judge after it had deliberated for 

approximately five hours, reporting that “we cannot come to agreement on the first 

charge [i.e., the continuous sexual abuse charge]. We are not in agreement to move on 

[i.e., to lesser included offenses].” The court conferred with counsel and called the jury 

back into the courtroom.1 

The court advised the jury: “[W]hat the Court has found is that sometimes a lunch 

break or an evening recess is helpful in the jury focusing on the issues that they need to 

focus on. Sometimes it‟s not helpful. I think what would be best, given the amount of 

time invested in this case, is if you folks come back tomorrow to continue your 

deliberations. [¶] ... There were several witnesses that testified. There‟s been no 

request for read back. Is there any -- do any of you feel that there is any witness read 

back that might be helpful in discussing the issues in the case?” A juror replied, 

“Possibly,” and identified the victim (identified as Jane Doe) as the witness in question. 

 

1 Defense counsel indicated that he preferred the court ask the jury whether coming 

back the next day “would make a difference or if they‟re hopelessly deadlocked.” The 

court indicated that would not be productive, since the jury‟s note already informed the 

court the jury felt it was deadlocked. 
3.

The court then asked whether anyone on the jury had “a difficulty understanding a 

particular instruction and perhaps further instruction by the Court might be helpful? Or is 

this strictly a witness testimony issue?” Another juror responded: “I feel that we 

understand the court proceedings you read for us.” The court concluded: “I don‟t want 

to get involved in your deliberations. It‟s not my duty or job to tell you how to 

deliberate. [¶] If one of the jurors feels that a particular read back would be helpful, I 

would ask that you identify tomorrow for us in a jury note the name of the witness and 

the -- if you can, if you can pin down the areas of testimony because Jane Doe obviously 

testified for -- I think it was a couple hours at least. And it may be that you‟re not able to 

narrow it down. So if that‟s the case, that‟s fine. But I would ... ask that a note be 

presented to the Court through the bailiff so that we have a better idea of what is being 

requested.” The court ordered the jury to return the next day at 9:30 a.m. 

At 9:50 a.m., the jury sent out a note asking “to have Jane Doe‟s testimony read 

back to us.” The court indicated its approval on the note and presumably the testimony 

was read back. After breaking for lunch, the jury returned its verdict at 2:26 p.m. 

DISCUSSION

Defendant acknowledges that “[a]t first blush it might appear that the trial court‟s 

inquiry and response regarding testimony read back was neutral and helpful. However, 

given the facts of this case, the court abused its discretion in using this strategy ... 

[because] the court essentially suggested to the jury [it] should focus its deliberations on 

the words spoken in court rather than the attendant critical factors such as demeanor. 

This amounted to an unwarranted intrusion into the jury‟s deliberative process” since the 

jury had not asked for a readback of testimony.2 

 

2 We note that defendant‟s proposed rule, that a readback of testimony improperly 

focuses the jury on “the words” and not the “attendant critical factors such as demeanor,” 

would effectively bar all readbacks. Reading back testimony is not only specifically 

authorized by statute (see Pen. Code, § 1138), it is an established part of state and federal 
4.

The trial court is permitted to give guidance to the jury concerning its 

deliberations so long as the court‟s commentary is fair and “does not effectively control 

the verdict.” (People v. Rodriguez (1986) 42 Cal.3d 730, 768.) When the jury has 

announced it is deadlocked, it is within the court‟s broad discretion to determine whether, 

under Penal Code section 1140, “there is no reasonable probability that the jury can 

agree” on a verdict. (42 Cal.3d at p. 775.) Such a determination is to be made “at the 

expiration of such time as the court may deem proper.” (Pen. Code, § 1140.) In some 

cases, appellate courts have held that “the trial court, by insisting on further deliberations, 

expressed an opinion that a verdict should be reached” (42 Cal.3d at p. 775), thereby 

“displacing the jury‟s independent judgment „in favor of considerations of compromise 

and expediency.‟” (Ibid.) In the present case, however, the court did not insist the jury 

reach a verdict, nor did it insist the jury listen to a readback of certain—or, indeed, any—

testimony. It merely advised the jury that an overnight break in deliberations or a 

readback of testimony was sometimes helpful to juries in the court‟s experience; but the 

court also added that “Sometimes it‟s not helpful,” and left the choice to have testimony 

read back up to the jury. In sum, the court‟s statements in this case fell far short of 

coercive statements previously found to constitute error. (See ibid.; see also People v. 

Bell (2007) 40 Cal.4th 582, 616-617.)

Defendant contends that if the court permitted the jury to hear a reread of the 

victim‟s testimony fairness required a reread of defendant‟s testimony as well. He cites 

for this proposition United States v. De Palma, supra, 414 F.2d at p. 396. In that case, 

however, the appellate court was discussing the actions of a trial court in refusing to read 

back the testimony of one of the witnesses; the court was speculating about the reasons a 

 

trial practice. (See United States v. De Palma (9th Cir. 1969) 414 F.2d 394, 396 

[decision whether to permit readback of testimony “lies almost exclusively in the good 

judgment of the judge presiding”].)
5.

trial judge might decide a readback of testimony of a witness could unduly emphasize 

that testimony in a particular case. (Ibid.) The appellate court did not adopt or suggest a 

rule that would require a balanced readback in every case, noting instead that such a rule 

would make trials “almost endless.” (Ibid.) De Palma provides no guidance in the 

circumstances of the present case.

DISPOSITION

The judgment is affirmed.