People v. Schultz
- Area
- criminal
- Panel
- Howard B. Wiener (author)
Analysis
The trial court convicted the defendant of two counts of forcible oral copulation in concert and refused to give a unanimity instruction (CALJIC No. 17.01) sua sponte. On appeal, the Court of Appeal affirmed one count but reversed the other due to a conceded technical error in the verdict, finding the instructional error harmless as to the affirmed count.
| Ruling reviewed | Standard | The court | The model |
|---|---|---|---|
Refusal to give CALJIC No. 17.01 (unanimity instruction) sua sponte“we think it preferable to treat the instruction as unnecessary and hence the failure to instruct is not error unless there is evidence based on which reasonable jurors could disagree as to which act the defendant committed.” | de novo | not reached | agree with court The court held that the instruction was not required because the evidence did not allow reasonable jurors to disagree on which specific act constituted the crime; the acts were so intertwined that a jury convicting on any act would necessarily find the defendant committed the charged acts. This aligns with the principle that instructions need not be given if the evidence precludes a reasonable jury from finding the instruction applicable. |
Authorities
- relied: People v. Flannel (1979) 25 Cal.3d 668 — A trial court is not obligated to give an instruction if the evidence presented at trial is such as to preclude a reasonable jury from finding the instruction applicable.
- relied: People v. Wickersham (1982) 32 Cal.3d 307 — The principle that unnecessary instructions should not be given applies to both requested and sua sponte instructions to avoid jury confusion.
- relied: People v. Gonzalez (1983) 141 Cal.App.3d 786 — Failure to give CALJIC No. 17.01 does not require reversal unless jurors could otherwise disagree which act a defendant committed and yet convict him of the crime charged.
- relied: People v. Madden (1981) 116 Cal.App.3d 212 — Cited by the defendant to argue for the necessity of the unanimity instruction; the court distinguished it based on the specific facts of the credibility contest.
The appellate opinion: sound — The opinion correctly applies the Flannel/Wickersham standard to determine that the unanimity instruction was unnecessary because the evidence did not support a reasonable disagreement on the specific act. The court's analysis of the factual record, noting the lack of corroboration for the defendant's partial admission, supports the conclusion that the instruction was not required.
How this analysis was made · dispute it
unusual dispositionA jury convicted Schultz of two counts of forcible oral copulation in concert (Pen. Code, § 288a, subd. (d)) arising from a series of incidents in the Vista jail, and the trial court did not give CALJIC No. 17.01 (unanimity) sua sponte. The Court of Appeal affirmed count one, holding the omission of the unanimity instruction was not error because the evidence left no basis for jurors to disagree about which acts Schultz committed, and reversed count three with directions to enter acquittal based on a conceded error in taking the verdict.
| Ruling reviewed | Standard | The court | The model |
|---|---|---|---|
Failure to instruct sua sponte with CALJIC No. 17.01 (juror unanimity on the specific act) despite evidence of more acts than charged counts“Turning to the facts of this case, we believe the trial court's failure to give the CALJIC No. 17.01 instruction was not error because the evidence was not such as to allow reasonable jurors to disagree as to which acts Schultz committed.” | de novo | correct | agree with court The court correctly drew on Flannel and Wickersham for the principle that an instruction unsupported by the evidence need not be given, and applied it to the unanimity context consistent with Gonzalez, Crawford and Jacobs. Only three acts involved Schultz (two as direct participant, one as onlooker), the case was a pure credibility contest between Hughes and Schultz with no alibi or corroboration, and the court persuasively explained that no rational juror could credit Schultz's liability for the watched act while rejecting one of the two direct acts. The conclusion that any guilty finding necessarily rested on the two charged direct acts is supported by the record described. |
Taking of the verdict on count three (technical error conceded by the Attorney General)“the Attorney General concedes that a technical error in the taking of the verdict requires reversal” | unclear | error (procedure) | unsure The analysis is in an unpublished portion of the opinion and the nature of the error is not described beyond the concession; the disposition (reversal with directions to enter acquittal and no retrial) is consistent with the People's concession, but the record quoted is insufficient to evaluate independently. |
Refusal to admit defense-proffered evidence (conceded error)“a conceded error by the trial judge in refusing to admit defense-proffered evidence cannot reasonably be said to have affected the result” | unclear | harmless error (evidentiary) | unsure The harmless-error analysis appears in an unpublished section not reproduced here; the opinion states only the conclusion. Without the content of the excluded evidence or the standard applied, the ruling cannot be independently assessed. |
Authorities
- relied: People v. Flannel (1979) 25 Cal.3d 668 — A trial court need not give an instruction when the evidence would preclude a reasonable jury from finding it applicable.
- relied: People v. Wickersham (1982) 32 Cal.3d 307 — The evidentiary-support requirement applies to both requested and sua sponte instructions.
- relied: People v. Gonzalez (1983) 141 Cal.App.3d 786 — Failure to give CALJIC No. 17.01 does not require reversal unless jurors could disagree about which act the defendant committed and yet convict; where the facts provide no basis for disagreement, omission is not error.
- relied: People v. Deletto (1983) 147 Cal.App.3d 458 — Omission of the unanimity instruction may be treated as error but harmless where the jury necessarily resolved the credibility dispute against the defendant.
- relied: People v. Crawford (1982) 131 Cal.App.3d 591 — Where the acts are substantially identical so that a juror believing one act occurred would believe all occurred, the unanimity instruction is unnecessary.
- relied: People v. Diedrich (1982) 31 Cal.3d 263 — Unanimity error is prejudicial where the verdict does not imply rejection of the only defense offered.
- relied: People v. Madden (1981) 116 Cal.App.3d 212 — Cited by defendant for the sua sponte duty to give CALJIC No. 17.01 when evidence shows more acts than charged counts; distinguished on the facts.
- relied: People v. Jacobs (1984) 158 Cal.App.3d 740 — Where the facts provide no basis for juror disagreement, failure to give CALJIC No. 17.01 is not error.
The appellate opinion: sound — The published portion squarely addresses the unanimity argument with the controlling Supreme Court principle from Flannel and Wickersham and reconciles the split in Court of Appeal treatment by framing the question as whether the instruction was supported by the evidence at all. Its factual analysis—that the case was a two-witness credibility contest in which any guilty finding necessarily encompassed the two direct acts—answers the specific scenario in which jurors might rely on the watched act, and the court sensibly left the harmless-error standard question open as unnecessary.
How this analysis was made · dispute it
record incompleteOpinion
THE PEOPLE, Plaintiff and Respondent,
v.
MARK JAMES SCHULTZ, Defendant and Appellant.
Court of Appeals of California, Fourth District, Division One.
*536 COUNSEL
Jerome P. Wallingford, under appointment by the Court of Appeal, for Defendant and Appellant.
John K. Van de Kamp, Attorney General, Steve White, Chief Assistant Attorney General, John W. Carney and Jeffrey J. Koch, Deputy Attorneys General, for Plaintiff and Respondent.
[Opinion certified for partial publication.[1]]
OPINION
WIENER, J.
Defendant Mark James Schultz appeals after a jury found him guilty of two counts of forcible oral copulation in concert (Pen. Code, § 288a, subd. (d))[2] based on events occurring in the San Diego County jail facility in Vista. As to one of the two counts, the Attorney General concedes that a technical error in the taking of the verdict requires reversal and *537 precludes retrial on that count. As to the remaining count, we conclude that a conceded error by the trial judge in refusing to admit defense-proffered evidence cannot reasonably be said to have affected the result and that Schultz's claims of instructional error are unpersuasive. Accordingly, we affirm as to one count and reverse as to the other.
FACTUAL AND PROCEDURAL BACKGROUND
In July 1985, Schultz was incarcerated in "Mod 4" of the Vista jail facility along with the alleged victim, John Hughes. On the afternoon of July 14, a fellow inmate named Edward Mills approached Hughes while he sat on the toilet and instructed Hughes to orally copulate him "or else." When Hughes refused, Mills responded by slapping him and repeating his demand. When Hughes said nothing, Mills slapped him again and said, "Hurry up." Hughes then proceeded to orally copulate Mills.
While these events took place, Schultz sat on his bunk and watched. Hughes testified that Mills laughed and acted as though the entire incident was for the purpose of "showing off." Schultz then got down off his bunk, snapped his fingers and told Hughes, "Suck this." When Hughes hesitated, Mills slapped him on the back of the head and said, "Do what the man says." Hughes then orally copulated Schultz, the incident lasting between one and two minutes. During that time, when Hughes pulled back, Mills slapped him saying, "Don't stop. Keep going." Schultz then backed off saying, "That's cool." He and Mills began to laugh.
A short time later after dinner, Mills approached Hughes saying, "You are going to do me again." When Hughes said "Why not later?" Mills slapped him and repeated his demand. The two then went to Hughes's cell where Hughes orally copulated Mills on Hughes's bunk for approximately 30 to 40 minutes. Hughes was then forced to orally copulate another inmate named Paul Prince.
Approximately 15 minutes later, Schultz approached Hughes and told him he was going to "give him head" in about five minutes whether Hughes liked it or not. Schultz instructed Hughes to put curtains around his bunk for privacy. When Schultz returned, Hughes suggested waiting but Schultz said, "No. We will do it right now." Schultz then crawled into Hughes's bunk and looked at a pornographic magazine while Hughes orally copulated him. Thereafter, Mills forced Hughes to orally copulate two other prisoners. Prior to one of these incidents, Mills slapped Hughes on the left side of his head with such force that it punctured Hughes's eardrum.
The entire series of incidents took place over a period of approximately seven hours. During this time, Hughes made repeated phone calls to relatives *538 in an attempt to have information conveyed to the guards that he was in trouble. He was continually frustrated in these attempts because one or more of the participants accompanied him to the phone and listened as he made his call. Finally, Hughes was able to phone his father without anyone overhearing. When the information from Hughes's father was relayed to the jail guards, they began observing Hughes.[3] At one point, Hughes entered the cell occupied by Mills, Schultz, Prince and one other prisoner and was obscured from view. When a guard went to check out the situation, a warning was sounded by one of the prisoners and there was a great deal of movement within the cell. One of the guards then removed Hughes from the cell and took him to the medical ward where he was diagnosed as having a punctured eardrum. The nurse who examined Hughes observed fresh blood in the ear canal. The nurse testified that such an injury is consistent with being slapped on the side of the head.
Schultz testified on his own behalf. He admitted to one act of oral copulation occurring on Hughes's bunk but maintained that Hughes's participation was voluntary. Schultz denied participating in or knowing anything about any other acts of oral copulation.
DISCUSSION
I, II[*]
.... .... .... .... .... .
III
(1a) Pointing to the fact that the evidence showed more than two acts of forcible oral copulation with which he could be connected, Schultz relies on People v. Madden (1981) 116 Cal. App.3d 212 [171 Cal. Rptr. 897] in arguing that the trial court erred in failing to instruct sua sponte pursuant to CALJIC No. 17.01 that the jurors must agree on the specific act constituting the charged crime.[5]
*539 (2) It is well established that a trial court is not obligated to give an instruction if the evidence presented at trial is such as to preclude a reasonable jury from finding the instruction applicable. (People v. Flannel (1979) 25 Cal.3d 668, 684 [160 Cal. Rptr. 84, 603 P.2d 1].) This principle applies to the trial court's obligations in giving both requested and sua sponte instructions (People v. Wickersham (1982) 32 Cal.3d 307, 325 [185 Cal. Rptr. 436, 650 P.2d 1]) and is implicitly based on the concern that the giving of unnecessary instructions even if abstractly correct increases the potential for jury confusion. (See generally People v. Jackson (1954) 42 Cal.2d 540, 546-547 [268 P.2d 6]; Davenport v. Stratton (1944) 24 Cal.2d 232, 254 [149 P.2d 4].) The "legalese" of many standard jury instructions is difficult enough for jurors to understand without their being forced to deal with additional instructions having no application to the facts of the case.
Applying this principle, numerous cases have concluded that the failure to give CALJIC No. 17.01 does not require reversal unless "the jurors could otherwise disagree which act a defendant committed and yet convict him of the crime charged." (People v. Gonzalez (1983) 141 Cal. App.3d 786, 791 [190 Cal. Rptr. 554]; see, e.g., People v. Deletto (1983) 147 Cal. App.3d 458, 464-474 [203 Cal. Rptr. 233]; People v. Parsons (1984) 156 Cal. App.3d 1165, 1174 [203 Cal. Rptr. 412]; People v. McIntyre (1981) 115 Cal. App.3d 899, 911 [176 Cal. Rptr. 3]; see also People v. Diedrich (1982) 31 Cal.3d 263, 283 [182 Cal. Rptr. 354, 643 P.2d 971] ("This is not a case where the jury's verdict implies that it did not believe the only defense offered.").) Some cases resolve the issue by concluding that where the facts provide no basis for juror disagreement, it is not error to fail to give CALJIC No. 17.01. (See, e.g., Gonzalez, supra, 141 Cal. App.3d at p. 792; People v. Jacobs (1984) 158 Cal. App.3d 740, 752 [204 Cal.Rptr 849]; see also People v. Crawford (1982) 131 Cal. App.3d 591, 599 [182 Cal. Rptr. 536] ("[W]here the acts were substantially identical in nature, so that any juror believing one act took place would inexorably believe all acts took place, the instruction is not necessary to the jury's understanding of the case.").) Others treat the failure to instruct as error but deem it harmless. (See, e.g., Deletto, supra, 147 Cal. App.3d at p. 473; Parsons, supra, 156 Cal. App.3d at p. 1174; People v. Turner (1983) 145 Cal. App.3d 658, 681-682 [193 Cal. Rptr. 614].)
Consistent with the Supreme Court pronouncements in Flannel and Wickersham, we think it preferable to treat the instruction as unnecessary and hence the failure to instruct is not error unless there is evidence based on which reasonable jurors could disagree as to which act the defendant *540 committed. If there is such evidence, the failure to give CALJIC No. 17.01 will most often, though not necessarily, be prejudicial.[6]
(1b) Turning to the facts of this case, we believe the trial court's failure to give the CALJIC No. 17.01 instruction was not error because the evidence was not such as to allow reasonable jurors to disagree as to which acts Schultz committed. First of all, there were only three acts of oral copulation during which Schultz was present: the two acts in which he participated and the first incident between Hughes and Mills which Schultz watched. As to all these instances, the case amounted to a credibility contest between Hughes and Schultz. There were no other witnesses to the events; no one corroborated Schultz's testimony that the one act to which he admitted was voluntary; no one provided him with an alibi as to the act he said never occurred.[7] Although the jury might have rejected as inconsequential Schultz's involvement in the incident where he watched Hughes orally copulate Mills, there was no way they could have relied on his involvement in that act while rejecting his involvement in one of the other two where his participation was more direct. In order for the unanimity instruction to be significant, there must be evidence from which reasonable jurors could both accept and reject the occurrence of at least the same number of acts as there are charged crimes. Such evidence is utterly lacking here. If the jury believed Schultz committed any acts of forcible oral copulation at all, at a minimum it must have found that he committed those two acts in which he was alleged to be a direct participant. Accordingly, the trial court did not err in failing to give CALJIC No. 17.01 sua sponte.
IV, V[*]
.... .... .... .... .... .
*541 DISPOSITION
The judgment as to count one is affirmed. The judgment as to the remaining count (count three) is reversed with instructions to enter a judgment of acquittal.
Kremer, P.J., and Work, J., concurred.
A petition for a rehearing was denied June 24, 1987, and appellant's petition for review by the Supreme Court was denied September 24, 1987.
NOTES
[1] Pursuant to California Rules of Court, rules 976.1 and 976(b), this opinion is certified for publication with the exception of sections I, II, IV and V.
[2] All statutory references are to the Penal Code unless otherwise indicated. When referring to statutory subparts, we omit repetition of the word "subdivision."
[3] One guard's testimony confirmed Hughes's statement that when Hughes went to make a phone call, he was followed by Mills, Schultz and Prince.
[*] See footnote, ante, page 535.
[5] CALJIC No. 17.01 (4th ed. 1979) provides as follows: "The defendant is charged with the offense of ____. He may be found guilty if the proof shows beyond a reasonable doubt that he committed any one or more of such acts, but in order to find the defendant guilty, all the jurors must agree that he committed the same act or acts. It is not necessary that the particular act or acts committed so agreed upon be stated in the verdict."
[6] We note in this context that courts have utilized different standards in assessing whether a failure to give CALJIC No. 17.01 is prejudicial. (Cf. People v. Deletto, supra, 147 Cal. App.3d at p. 473 (Chapman test) with People v. McIntyre, supra, 115 Cal. App.3d at p. 911 and People v. Turner, supra, 145 Cal. App.3d at pp. 681-682 ("reasonable probability" standard); see also People v. Kent (1981) 125 Cal. App.3d 207, 214, fn. 7 [178 Cal. Rptr. 28].)
[7] Other than Schultz, the only defense witness was a fellow inmate at the Vista facility who testified Hughes had previously demonstrated animosity toward Schultz and had indicated "that if he had a chance, he would sucker punch or get the better of Schultz, if he could get a chance to."
Cites, in this corpus
- People v. Schultz No. D004061 · 1987-06-08
- People v. Jacobs Crim. 43933 · 1984-07-25
- People v. Parsons Crim. 44212 · 1984-06-08
- People v. Deletto Crim. 12118 · 1983-09-27
- People v. Turner Crim. 13331 · 1983-08-02
- People v. Gonzalez 42433 · 1983-04-11
- People v. Wickersham Crim. 22406 · 1982-09-02
- People v. Diedrich Crim. 22045 · 1982-05-06
- People v. Crawford Crim. 12639 · 1982-04-26
- People v. Kent Crim. 11866 · 1981-11-03
- People v. Madden 4097 · 1981-02-24
- People v. McIntyre Crim. 11604 · 1981-02-13
- People v. Flannel Crim. 20869 · 1979-11-13
- People v. Jackson Crim. 5542 · 1954-03-19
- Davenport v. Stratton L. A. 18664 · 1944-05-02
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