Opinion ID: 1309317
Heading Depth: 3
Heading Rank: 5

Heading: Response to a Jury Question Concerning its Inability to Reach a Unanimous Decision

Text: (21) About the same time the jury submitted the personal choice question to the court, it submitted another question, asking, [i]f the jury feels the possibility at this time that we will not be able to find a unanimous decision, what will then be the court's decision? In response the court told the jury, [t]hat is not your province. Defendant contends this response was inadequate and that the court should have told the jury  as was the situation under the 1977 death penalty law (former § 190.4, subd. (b)) [20]  that if it were unable to reach a unanimous verdict defendant would be sentenced to life imprisonment without possibility of parole. As defendant acknowledges, we held in an analogous context (involving guilt phase instructions) that a jury should not be instructed on the consequences of its failure to reach a unanimous verdict. In People v. Dixon (1979) 24 Cal.3d 43 [154 Cal. Rptr. 236, 592 P.2d 752], the defendant was tried for murder. During deliberations the jury asked the court whether, if it agreed the crime was murder but could not agree it was first degree, any verdict of second degree would have to be unanimous. The court answered yes, and the jury ultimately returned a first degree verdict. On appeal the defendant asserted that the court (i) misstated the law and (ii) should have told the jury that a failure to agree on a first degree verdict would automatically result in a second degree finding. We rejected the first contention, holding that in these circumstances a second degree verdict must be unanimous. In dismissing the second contention we observed, inter alia, that it contemplates an instruction which would constitute an open invitation to a juror favoring the lesser degree to have his way by simply adhering to his opinion in spite of any arguments which might be raised by his fellow jurors against it. ( Id., at p. 53.) Defendant urges we should resist extending our reasoning in Dixon to the present situation, and draws our attention to out-of-state authority to support this view. As we shall explain, however, most states hold, consistently with Dixon, that in the situation presented here, the trial court does not err by responding as it did. In State v. Williams (La. 1980) 392 So.2d 619, the Louisiana Supreme Court held there was no error on facts essentially identical to ours. ( Id., at p. 625.) On rehearing, however, a plurality held that by failing to explain that a nonunanimous verdict would require the court to impose a life sentence, the trial court injected into the jury's sentencing determination a potential for arbitrariness and speculation, thereby resulting in a constitutionally unreliable penalty verdict: In the present case the jurors were not fully informed of the consequences of their votes and the penalties which could result in each eventuality. They were not told that, by their failure to decide unanimously, they would in fact decide that the court must impose a sentence of life imprisonment without benefit of probation, parole or suspension of sentence. Instead, the members of the sentencing body were left free to speculate as to what the outcome would be in the event there was not unanimity. Under these circumstances, individual jurors could rationally surmise that in the event of disagreement a new sentencing hearing, and perhaps a new trial, before another jury would be required. [¶] Such a false impression reasonably may have swayed a juror to join the majority, rather than hold to his honest convictions, in order to avoid forcing the parties, witnesses and court officials to undergo additional proceedings. Consequently, by allowing the jurors to remain ignorant of the true consequence of their failure to decide unanimously upon a recommendation, the trial court failed to suitably direct and limit the jury's discretion so as to minimize the risk of arbitrary and capricious action. ( Id., at pp. 634-635.) [21] Defendant suggests that other states have followed Williams on this point, but we find the cases distinguishable. In State v. Ramseur (1987) 106 N.J. 123 [524 A.2d 188, 277-286] the New Jersey Supreme Court cited Williams with apparent approval, but a close reading of the case discloses that the court's conclusion did not rest on Williams's premise that the jury had been misinformed in violation of the federal Constitution. ( Id., at pp. 282-284.) Instead, Ramseur turns on the court's determination, under state law, that repeated supplementary instructions on the importance of a unanimous verdict coerced the jury's verdict, amounting to an  Allen -type ( Allen v. United States (1896) 164 U.S. 492 [41 L.Ed. 528, 17 S.Ct. 154]) charge that required reversal and resentencing. (524 A.2d at pp. 280-283, 284-285.) In People v. Durre (Colo. 1984) 690 P.2d 165, the Colorado Supreme Court reversed a penalty judgment because the jury's decision to sentence the defendant to death was not unanimous. The jury in Durre, unlike in Williams, Ramseur, and the present case, did not express to the court any difficulty arriving at a verdict. Instead, the jury announced it had reached a verdict, and sent a note to the court along with its findings on mitigation and aggravation. The note explained that whereas the jury (i) unanimously found no mitigating circumstance sufficient to justify a sentence of life imprisonment rather than death, and (ii) unanimously found at least one aggravating factor, still five of the twelve jurors did not agree that death was warranted, and ask[ed] for life imprisonment only. ( Id., at p. 170.) The trial court accepted this verdict, and sentenced the defendant to death. The state supreme court reversed, noting that a unanimous decision on the appropriateness of the death penalty was required under state law. ( Id., at pp. 171-173.) The court observed that the jury apparently did not understand that it was supposed to determine whether death is the appropriate penalty in the context of its findings on mitigation and aggravation, and required that trial courts thereafter make this clear by additional instruction. (P. 174.) [22] In the process the court made a passing reference to Williams, supra, 392 So.2d 619, but in context it would be unreasonable to interpret this as suggesting the court's approval of the Williams holding. Instead, it appears the Durre court cited Williams for the general proposition that a sentencing jury must be informed that its verdict for death must reflect the jury's unanimous agreement that death is warranted. (690 P.2d at p. 174.) Whalen v. State (Del. 1985) 492 A.2d 552, is similar to Durre. In Whalen, the Delaware Supreme Court reversed a death sentence because, inter alia, the jury instructions did not adequately inform the jury  pursuant to the mandate of the United States Supreme Court  about the nature of aggravating and mitigating circumstances, the role of those factors in the jury's deliberations, and the jury's discretion to chose either death or life imprisonment. (492 A.2d at pp. 559-562.) Almost as an afterthought, the court cited Williams, supra, 392 So.2d 619, and suggested that additional instructional error occurred based on the failure of the instructions to inform the jury that if it did not unanimously agree on death, the trial court would impose life imprisonment. ( Id., at p. 562.) In Commonwealth v. Baker (1986) 511 Pa. 1 [511 A.2d 777], the Pennsylvania Supreme Court reversed a penalty verdict because the prosecutor, in violation of Caldwell v. Mississippi (1985) 472 U.S. 320 [86 L.Ed.2d 231, 105 S.Ct. 2633], argued to the jury in such a way that it may have mistakenly believed that the ultimate responsibility for determining the appropriateness of a death sentence rested not with the jury, but with a reviewing court. The court observed in a footnote that, in addition to the Caldwell error which itself required reversal, the court was also troubled that defense counsel had not been summoned when the jury at one point reported it was deadlocked. The court suggested at least two things counsel might have done if present  including that counsel  might ... have argued that special instructions had to be given to a hopelessly deadlocked jury informing them that if a unanimous death verdict could not be reached, that defendant would be sentenced to life imprisonment without parole. See, State v. Williams .... (511 A.2d at p. 789, fn. 8, italics in original.) As with Durre and Whalen, we do not read this brief, uncritical dictum as suggesting the court's approval of the holding of Williams. Other cases decided contemporaneously with Williams or shortly thereafter have rejected the assertion that a jury must, or should, be informed of the consequences of its failure to reach unanimity under death penalty statutes similar to the 1977 law. These decisions, unlike the post- Williams cases cited above, view the statutory provision at issue here in its procedural context and critically analyze, as we did in Dixon, the potential effect of such an instruction on a penalty jury. In State v. Adams (1981) 277 S.C. 115 [283 S.E.2d. 582], the South Carolina Supreme Court rejected an assertion that the jury should have been instructed as advocated here, reasoning as follows: The language of the statute provides that where a sentence of death is not recommended by the jury, a life sentence must be given. The situation implicitly envisioned here is that normally the jury will unanimously either recommend life or death. The undecided jury is the exception. That portion of the statute addressing the legal effect given to the existence of an unalterably divided jury is addressed to the trial judge only and need not be divulged to the jury.  ( Id., at p. 587, italics added.) The Alabama Court of Criminal Appeals soon thereafter echoed this theme: The appellant correctly [notes] that `[i]f the jury cannot agree on a sentence of death, the defendant shall be sentenced to life imprisonment without parole.' [Citations.] This mandate, however, is an instruction for the trial court, not for the jury.  ( Coulter v. State (Ala.App. 1982) 438 So.2d 336, 346, italics added (affd. sub nom. Ex Parte Coulter, 438 So.2d 352).) Similarly, the Virginia Supreme Court has held: The court properly refused an instruction offered by the defendant which would have told the jury that if it could not reach agreement as to the appropriate punishment, the court would dismiss it and impose a life sentence. While this was a correct statement of law it concerned a procedural matter and was not one which should have been the subject of an instruction. It would have been an open invitation for the jury to avoid its responsibility and to disagree. ( Justus v. Commonwealth (1980) 220 Va. 971 [266 S.E.2d 87, 92], italics added; accord, State v. Smith (1982) 305 N.C. 691 [292 S.E.2d 264, 276].) Finally, as the Supreme Court of Tennessee has observed, instructing a jury in the manner suggested by defendant would inject a constitutionally irrelevant consideration into the sentencing jury's penalty determination. ( Houston v. State (Tenn. 1980) 593 S.W.2d 267.) In Tennessee, a statute provides (as did our 1977 death penalty law) that if the jury cannot agree on a sentence the trial court shall impose a sentence of imprisonment. It further provides, The judge shall not instruct the jury, nor shall the attorneys be permitted to comment at any time to the jury, on the effect of the jury's failure to agree on a punishment. The Houston court held, This statute does not deprive the jury of any knowledge of relevant evidence or aggravating circumstances or mitigating circumstances, necessary for them to fix punishment. It does no more than prevent the judge and counsel from informing the jury of the effect of its disagreement on which sentence should be imposed. The after-effect of a jury's deliberation is not a proper consideration for the jury. ( Id., at p. 278, italics added.) We find these decisions persuasive, and we therefore agree with the People that Dixon's principles apply here. First, we agree the former statute contemplates that (i) juries will normally recommend either life or death, (ii) an unalterably undecided jury will be the exception, and (iii) in the event such an exception occurs, the statutory provision requiring that the court impose a sentence of life in prison without the possibility of parole is a procedural direction addressed to the trial court, not a substantive factor intended for the jury's consideration. [23] Second, by parity of reasoning from our decision in Dixon, supra, 24 Cal.3d at page 53, we believe that if the court in the present case had instructed as defendant claims it should, any juror inclined against a finding that death was the appropriate penalty would have realized he could prevail simply by refusing to participate in good faith in the deliberations: by remaining obdurate and causing a jury deadlock, he would have in effect a veto power over the verdict. The likelihood of a minority juror's drawing this obvious inference far outweighs defendant's speculations as to what a jury uninformed on the point might have believed  i.e., that a juror otherwise disposed against voting for death in a given case might discard his considered moral judgment simply to avoid the perceived necessity of a retrial. The instruction now urged by defendant would thus have confused the jury's role in the penalty-determination process. We conclude the court did not err in its response to the jury's question, and in failing, sua sponte, to give the clarifying instruction advocated by defendant.