People v. Smith
The People, and v. Craig Smith, And
- Proceeding
- appeal
- Trial court
- Superior Court of San Diego County
- Trial judge
- Albeit T. Harutunian III
- Outcome
- reversed — The judgment is reversed.
- Area
- criminal
- Panel
- Judith L. Haller (author)
Analysis
The trial court denied Smith's motions to exclude evidence of his 0.17% post-accident blood-alcohol level and to limit the second jury's consideration of the 0.08% threshold based on his first-trial acquittal of per se DUI. The Court of Appeal reversed the generic DUI conviction, holding that collateral estoppel barred the second jury from considering whether Smith drove with a blood-alcohol level of 0.08% or more, although the 0.17% post-accident evidence itself was admissible.
| Ruling reviewed | Standard | The court | The model |
|---|---|---|---|
Admission of evidence that Smith had a 0.17% blood-alcohol level approximately one hour after the accident“Our holding that collateral estoppel barred relitigation of the issue of whether Smith drove with a 0.08 percent or more blood-alcohol level does not bar use of the evidence that his blood-alcohol level was 0.17 percent about one hour after the accident.” | de novo | correct | agree with court agree with court |
Failure to exclude the 0.08% blood-alcohol issue from the second jury's consideration“we conclude that based on the interrelationship between the generic and per se DUI offenses, collateral estoppel principles were violated when the second jury was permitted to consider the issue of whether Smith drove with a 0.08 percent or more blood-alcohol level.” | de novo | error | agree with court agree with court |
Instruction of the jury on the permissive presumption of driving under the influence arising from a 0.08% or more blood-alcohol level“the second jury should not have been instructed regarding the permissive presumption of driving under the influence arising from a 0.08 percent or more blood-alcohol level.” | de novo | error | agree with court agree with court |
Failure to instruct the jury to presume Smith's blood-alcohol level was less than 0.08% while driving“the jury should have been instructed that it must presume Smith's blood-alcohol level was not 0.08 percent or more at the time he was driving.” | de novo | error | agree with court agree with court |
Authorities
- relied: Ashe v. Swenson (1970) 397 U.S. 436 — Collateral estoppel prohibits relitigation of issues of ultimate fact necessarily decided by a valid and final judgment.
- relied: People v. Santamaria (1994) 8 Cal.4th 903 — Collateral estoppel applies if the issue is identical, the prior judgment is final, and the issue is an ultimate fact that must be proved beyond a reasonable doubt in the second trial.
- relied: Dowling v. United States (1990) 493 U.S. 342 — Collateral estoppel does not bar evidence of uncharged offenses if the prior acquittal did not determine an ultimate issue in the present case.
- relied: People v. Catlin (2001) 26 Cal.4th 81 — An issue is not an ultimate fact barred by collateral estoppel unless the prosecution is required to prove it beyond a reasonable doubt in the current proceeding.
- relied: Burg v. Municipal Court (1983) 35 Cal.3d 257 — A per se DUI offense based on a 0.08% blood-alcohol level is constitutional because scientific evidence shows impairment at that level.
- relied: People v. Milham (1984) 159 Cal.App.3d 487 — The Legislature authorized a permissive presumption allowing a jury to infer driving under the influence from a 0.08% or more blood-alcohol level.
- relied: Chapman v. California (1967) 386 U.S. 18 — Federal constitutional errors are harmless only if the state can prove beyond a reasonable doubt that the error did not affect the verdict.
- relied: People v. Watson (1956) 46 Cal.2d 818 — State law errors are harmless if there is no reasonable probability that a different result would have been reached.
The appellate opinion: sound — The court correctly applied the 'ultimate fact' test from Santamaria and Catlin by recognizing that the 0.08% threshold, while not an element of generic DUI, was functionally dispositive due to the statutory permissive presumption. The distinction between the admissibility of the 0.17% post-accident evidence and the preclusion of the 0.08% driving-level issue is logically consistent with the facts and the law.
How this analysis was made · dispute it
unusual dispositionAt a retrial on a generic DUI count (Veh. Code § 23152, subd. (a)) following an acquittal on the per se DUI count (§ 23152, subd. (b)) and a hung jury on the generic count, the trial court denied Smith's collateral-estoppel motion, admitted his postaccident 0.17 percent blood-alcohol evidence, instructed on the CALCRIM No. 2110 permissive presumption from a 0.08 percent level, and refused a limiting instruction about the acquittal, and the jury convicted. The Court of Appeal held the 0.17 evidence was admissible but that collateral estoppel barred the second jury from deciding whether Smith drove at 0.08 percent or more, so the presumption instruction was error and a limiting instruction was required, and it reversed the judgment (the opinion was later depublished per the editors' note).
| Ruling reviewed | Standard | The court | The model |
|---|---|---|---|
Denial of motion to exclude evidence of Smith's 0.17 percent postaccident blood-alcohol level at the retrial“the evidence that Smith's blood-alcohol level was 0.17 percent about one hour after the accident was still relevant to the prosecution's case on the issue of whether he was impaired at the time of driving.” | de novo | correct | agree with court The court never states a standard but independently applies collateral estoppel law to undisputed facts. Under Ashe and Dowling an acquittal does not exclude evidence that was not necessarily rejected; Smith himself conceded the 0.17 level and attributed it to postaccident drinking, so the first jury did not necessarily find he lacked that level an hour later, and the evidence remained relevant to impairment while driving. |
Denial of motion to limit issues: ruling that the second jury could consider whether Smith drove with a 0.08 percent or more blood-alcohol level despite the first jury's acquittal on the per se count“Applying the collateral estoppel protection in a practical, realistic manner, we conclude that the first jury's finding that the prosecution did not prove defendant drove with a 0.08 percent or more blood-alcohol level is binding on the prosecution in the second trial and cannot be relitigated.” | de novo | error (law misapplied) | disagree with court Santamaria (8 Cal.4th at pp. 916, 922) and Catlin (26 Cal.4th at pp. 124-125), following Dowling, hold that collateral estoppel reaches only an 'ultimate fact' the prosecution must prove beyond a reasonable doubt in the second trial. The opinion concedes a 0.08 percent level is not an element of generic DUI and that 'at first blush' the requirement is unmet, then declines a 'strict construction' because the offenses are interrelated. That is an expansion of the doctrine beyond the binding California Supreme Court definition rather than an application of it; the court's point that the first jury necessarily decided the 0.08 issue is sound, but the ultimate-fact prong was not satisfied under the cited authorities. |
Instructing the second jury on the CALCRIM No. 2110 / Veh. Code § 23610 permissive presumption of impairment arising from a 0.08 percent or more blood-alcohol level“The permissive presumption, which arises "[i]f the People have proved beyond a reasonable doubt that the defendant's blood-alcohol level was 0.08 percent or more" (CALCRIM No. 2110), is premised on a finding directly contrary to the finding rejected by the first jury.” | de novo | error (law misapplied) | unsure This holding depends on the court's expansive ultimate-fact analysis, which I think departs from Santamaria and Catlin. There is, however, a colorable distinction from Dowling: the instruction invited the jury to find beyond a reasonable doubt the very fact the first jury refused to find beyond a reasonable doubt, which is closer to the Ashe concern than mere admission of acquitted-conduct evidence under a lower standard. The opinion does not squarely confront why a non-element predicate becomes an ultimate fact, so the result is debatable either way. |
Refusal to give a limiting instruction informing the second jury of, or requiring it to presume consistent with, the first jury's acquittal on the 0.08 percent count“A special instruction effectively advising the jury about the first jury's acquittal on the 0.08 percent count was necessary to ensure that the second jury did not improperly rest its verdict on a finding that was expressly rejected by the first jury.” | de novo | error (law misapplied) | unsure The conclusion follows from the collateral-estoppel holding; if that premise is wrong, no instruction was compelled on this theory. Separately, the court did not consider People v. Griffin, which permits a defendant to show a prior acquittal when evidence of the acquitted conduct is admitted, a line of authority that might have supported some form of acquittal instruction on an evidentiary rather than constitutional basis. The court's required instruction (jury 'must presume' BAC below 0.08) goes beyond Dowling's model of simply informing the jury of the acquittal. |
Rejection of the Attorney General's forfeiture argument regarding the requested acquittal-based instruction“Although his trial counsel did not formulate language for such a special instruction, his trial counsel requested that the trial court give the jury a limiting instruction based on the acquittal. This was sufficient to preserve the issue.” | de novo | correct | agree with court Counsel moved to limit the issues, sought exclusion, and alternatively asked for a limiting instruction based on the acquittal; the trial court ruled on the point. That is enough to preserve the instructional claim even without proposed language. |
Sufficiency of the evidence to support the generic DUI verdict“There was sufficient evidence to support the jury's verdict, including Smith's postaccident 0.17 percent blood-alcohol level and his poor performance on the field sobriety tests.” | substantial evidence | correct | agree with court Odor of alcohol, bloodshot watery eyes, poor field sobriety performance, and the 0.17 percent result an hour later, viewed favorably to the judgment, amply support impairment; the sufficiency argument largely depended on the rejected inadmissibility claim. |
Prejudice determination and reversal of the judgment“The erroneous failure to preclude the second jury's consideration of the 0.08 percent issue was prejudicial under any standard of review.” | mixed | error | unsure The court applied both Chapman and Watson and found prejudice under either, which is reasonable if the premise of error holds, given the prosecutor's emphasis on 'twice the legal limit' and the presumption instruction. My disagreement is with the predicate finding of error, not the prejudice analysis. |
Cunningham-based sentencing challenge“Given our reversal of the judgment as to guilt, we need not consider his sentencing assertions.” | unclear | not reached | agree with court Mooted by the reversal; nothing to evaluate. |
Authorities
- relied: Ashe v. Swenson (1970) 397 U.S. 436 — Collateral estoppel is embodied in the Double Jeopardy Clause and bars relitigation of an issue of ultimate fact necessarily decided by a prior acquittal, applied with realism and rationality.
- relied: Dowling v. United States (1990) 493 U.S. 342 — An acquittal does not bar admission of evidence of the acquitted conduct where the fact need not be proved beyond a reasonable doubt in the later case and the prior jury did not necessarily decide it.
- misapplied: People v. Santamaria (1994) 8 Cal.4th 903 — Collateral estoppel requires an identical issue necessarily decided, a final judgment, same parties, and an 'ultimate fact' the prosecution must prove beyond a reasonable doubt in the second trial; a non-element fact does not qualify. The court recited this test but then declined to apply it 'strictly' to a 0.08 percent finding that is not an element of generic DUI.
- misapplied: People v. Catlin (2001) 26 Cal.4th 81 — A fact the prosecution is not required to prove beyond a reasonable doubt in the current trial is not an ultimate fact for collateral estoppel purposes, and admitting evidence relating to it is not unfair relitigation. The court distinguished Catlin on 'same criminal event' grounds the Supreme Court did not make part of the test.
- relied: People v. Barragan (2004) 32 Cal.4th 236 — Collateral estoppel principles may apply on retrial of a count after the jury acquitted on another count in the same proceeding.
- relied: People v. Bransford (1994) 8 Cal.4th 885 — Section 23152, subdivisions (a) and (b) define two distinct offenses with different elements addressing the same conduct.
- relied: Burg v. Municipal Court (1983) 35 Cal.3d 257 — The per se blood-alcohol offense is constitutional because scientific evidence shows impairment at the statutory level, and the threshold is widely known.
- relied: People v. Milham (1984) 159 Cal.App.3d 487 — The statutory permissive presumption of impairment from a 0.08 percent or more blood-alcohol level may properly be given in a generic DUI prosecution.
- relied: People v. Schrieber (1975) 45 Cal.App.3d 917 — To use a chemical test result to infer impairment while driving, the jury must infer the blood-alcohol level existed at the time of driving.
- relied: Chapman v. California (1967) 386 U.S. 18 — Federal constitutional error requires reversal unless harmless beyond a reasonable doubt.
- relied: People v. Watson (1956) 46 Cal.2d 818 — State-law error requires reversal when it is reasonably probable a result more favorable to the defendant would have been reached absent the error.
- missed: People v. Griffin (1967) 66 Cal.2d 459 — When evidence of conduct for which the defendant was acquitted is admitted, the defendant may present evidence of the acquittal to weaken the inference; this bears on whether the second jury should have been told of the acquittal and on the limiting-instruction analysis.
The appellate opinion: questionable — The opinion correctly identifies the governing framework and the admissibility of the 0.17 evidence, but it reaches its central holding by acknowledging that the acquitted 0.08 percent fact is not an element the prosecution had to prove at retrial and then refusing to apply the ultimate-fact requirement as defined by Dowling, Santamaria, and Catlin, substituting a 'same criminal event' and 'pivotal evidentiary role' rationale those cases do not support. The result may be defensible as a matter of fairness and the prejudice analysis is reasonable, but the core holding rests on a departure from binding Supreme Court authority, which is consistent with the editors' note that the opinion was depublished.
How this analysis was made · dispute it
inconsistent with cited authorityOpinion — Haller
[EDITORS' NOTE: THIS OPINION IS DEPUBLISHED. THE OPINION APPEARS BELOW WITH A GRAY BACKGROUND.] [EDITORS' NOTE: THIS PAGE CONTAINS HEADNOTES. HEADNOTES ARE NOT AN OFFICIAL PRODUCT OF THE COURT, THEREFORE THEY ARE NOT DISPLAYED.] *Page 624 OPINION
This appeal concerns two trials arising from Craig Smith's conduct of driving with alcohol in his system. Smith was arrested shortly after his vehicle was rear-ended by another vehicle. Approximately one hour after the accident, Smith's blood-alcohol level was 0.17 percent. Smith claimed this elevated level was the result of his drinking alcohol immediatelyafter the accident. In the first trial, the jury acquitted Smith of driving with a *Page 625 blood-alcohol level of 0.08 percent or more (Veh. Code, 1 § 23152, subd. (b), hereafter sometimes referred to as "per se DUI" (driving under the influence)), but could not reach a verdict as to whether he drove under the influence of alcohol (§ 23152, subd. (a), hereafter sometimes referred to as "generic DUI"). At the second trial, the jury convicted Smith of driving under the influence of alcohol. Challenging this conviction on appeal, Smith argues that at the second trial the court violated collateral estoppel principles by: (1) admitting the evidence that he had a postaccident 0.17 percent blood-alcohol level; (2) instructing the jury that a 0.08 percent or more blood-alcohol level creates a permissive presumption of driving under the influence; and (3) failing to instruct the jury that it should presume he did not drive with a blood-alcohol level of 0.08 percent or more. We reject Smith's argument that the 0.17 percent blood-alcohol evidence was inadmissible. However, we conclude that based on the interrelationship between the generic and per se DUI offenses, collateral estoppel principles were violated when the second jury was permitted to consider the issue of whether Smith drove with a 0.08 percent or more blood-alcohol level. Moreover, we agree with Smith that the jury should not have been instructed regarding the permissive presumption arising from a 0.08 percent or more alcohol level and should have been instructed to presume his blood-alcohol level was less than 0.08 percent while driving. We conclude the error requires reversal.
II. Application of Collateral Estoppel in the Context of Per Se and Generic DUI Offenses
Cites, in this corpus
- People v. Barragan S105734 · 2004-01-29
- People v. Santamaria S035076 · 1994-11-28
- People v. Bransford No.S033486 · 1994-11-23
- People v. Milham Crim. 44425 · 1984-08-23
- Burg v. Municipal Court S.F. 24622 · 1983-12-22
- People v. Schrieber Crim. 7831 · 1975-03-11
- People v. Watson Crim. 5813 · 1956-07-03