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Robert Wayne
DANIELSON Jr.
No. S004730. Crim. No. 25937. Oct 22, 1992.
THE PEOPLE, Plaintiff and Respondent,
v. ROBERT WAYNE DANIELSON, Defendant and Appellant
Superior Court of Mendocino County, No.
8043-C, James W. Luther, Judge
Opinion by Lucas, C. J., with Panelli,
Arabian, Baxter and George, JJ., concurring. Separate concurring and
dissenting opinions by Mosk and Kennard, JJ.
OPINION
LUCAS, C. J.
I. Introduction
By amended information filed in Mendocino County
Superior Court, defendant Robert Wayne Danielson was charged with the
burglary, robbery, [3 Cal. 4th 702] kidnapping and murder of an
elderly couple, Benjamin and Edith Shaffer. The information alleged both
murders were in the first degree, based on alternative theories of
felony-murder-robbery (Pen. Code, §§ 189, 211; all further statutory
references are to this code unless otherwise indicated), and willful,
premeditated murder (§ 189), as to each victim. The information further
alleged three special circumstances: felony-murder-robbery (§ 190.2,
subd. (a)(17)(i)), felony-murder- kidnapping (id., subd. (a)(17(ii)),
and multiple murder (id., subd. (a)(3)).
The jury found defendant guilty on all counts,
determining the murders to be of the first degree, and finding true the
special circumstance allegations. The jury subsequently returned a death
verdict, and the trial court sentenced defendant to death. This appeal
is automatic. (§ 1239, subd. (b).)
As will appear, we reject defendant's claims of
prejudicial error and affirm the judgment in its entirety. (Defendant
previously had filed with us a petition for habeas corpus, alleging
incompetence of his trial counsel. In November 1991, we denied the
petition without issuing an order to show cause.)
II. Facts
The guilt phase evidence established that in the
summer of 1982, defendant and his girlfriend, Lanora Johnson, hitchhiked
from Oregon to a trailer park in Mendocino County, California. Lacking
funds, the two discussed robbing and killing someone. They chose as
their victims an elderly couple, Mr. and Mrs. Shaffer, with whom they
had earlier conversed. One morning in July 1982, Johnson and defendant (who
displayed and pointed a handgun) forced their way into the Shaffer
camper, which was parked nearby. While Johnson stood guard over the
Shaffers in the camper, defendant drove their adjoining truck to a
wooded area. At defendant's direction, Johnson tied up the Shaffers, and
then left the area to walk the Shaffers' dog.
While walking the dog, Johnson heard several gunshots.
She returned to the camper and found that both Mr. and Mrs. Shaffer had
been shot in the head and were lying on the ground. Defendant told
Johnson he had to shoot Mrs. Shaffer twice in order to kill her. After
defendant disposed of the bodies by rolling them down an embankment, the
couple ransacked the Shaffers' camper, removing their travelers checks,
credit cards, and other property.
Thereafter, defendant and Johnson drove to Nevada in
the Shaffers' camper, using their credit cards and travelers checks for
various purchases [3 Cal. 4th 703] along the way. On one occasion
in Nevada, defendant admitted to an acquaintance, Terry Brown, that he
had shot and killed the Shaffers. For nearly two years, the
disappearance of the Shaffers remained unsolved and their bodies went
undiscovered. In early 1984, Johnson implicated defendant in the crimes
and led police officers to the murder scene, where the Shaffers' remains
were discovered. In April 1984, defendant was arrested in Odessa, Texas.
He was ultimately charged with the present offenses in Mendocino County
Superior Court.
The primary guilt phase evidence was the testimony of
Johnson, who had been granted immunity from prosecution. Her testimony
was corroborated by circumstantial evidence linking defendant to the
murders, and by the testimony of Terry Brown, an associate of defendants,
who claimed that defendant made a detailed confession of the Shaffer
murders. The defense focused primarily on attempting to impeach or
contradict the incriminating testimony of Johnson and Brown.
At the penalty phase, the People introduced
defendant's record of prior felony convictions for drug possession,
firearm possession, voluntary manslaughter, and forgery. In addition,
the People introduced evidence of defendant's unadjudicated prior
violent acts, including a robbery-murder, and a robbery-attempted murder.
The defense at the penalty phase consisted of testimony from defendant
and others describing his troubled childhood, prison experiences, drug
use and depression, good conduct in jail, and remorse for his crimes.
Defendant read a statement to the jury explaining his conversion to
Christianity, the extent of his remorse, and his hope the jury would
render a "fair judgment."
III. Guilt and Special Circumstances Issues
A. Granting Hardship Excuses
[1a] Defendant contends his federal and state
constitutional rights to a jury drawn from the vicinage were violated by
the trial court's policy of excusing all prospective jurors claiming
hardship caused by residing more than an hour and a half from the
Mendocino County courthouse in Ukiah. (See Cal. Stds. Jud. Admin., §
4.5(d)(2).) In defendant's view, he was entitled to jurors from the "immediate
vicinity of the crime scene." We reject defendant's argument.
First, as the People observe, defendant made no
vicinage challenge to his jury; his only objection to the court's
excusal rulings was that they prevented [3 Cal. 4th 704] "getting
jurors from all over the county," an objection which failed to invoke
defendant's present "crime scene"/vicinage argument. (See former §
1060.)
In any event, defendant was not denied his vicinage
right. The Sixth Amendment of the United States Constitution provides in
pertinent part: "In all criminal prosecutions, the accused shall enjoy
the right to a speedy and public trial, by an impartial jury of the
state and district wherein the crime shall have been committed, which
district shall have been previously ascertained by law ...." Included in
this constitutional guarantee is the right to a trial by a jury residing
in the vicinage, applicable in state courts through the Fourteenth
Amendment. (See Williams v. Florida (1970) 399 U.S. 78, 96 [26 L.Ed.2d
446, 457-458, 90 S.Ct. 1893]; Hernandez v. Municipal Court (1989) 49
Cal. 3d 713, 721- 724 [263 Cal.Rptr. 513, 781 P.2d 547] [Hernandez].)
We have held, however, that for purposes of Sixth
Amendment challenges to prosecutions in California courts, "the
boundaries of the vicinage are coterminous with the boundaries of the
county." (Hernandez, supra, 49 Cal. 3d at p. 729, fn. omitted.) Thus,
our decision in Hernandez is dispositive of defendant's federal
constitutional claim, for he does not assert that the jurors in his case
were drawn from outside the county wherein the murders were committed.
Defendant contends that ex post facto or due process
principles would preclude application of Hernandez to his case, which
was tried before Hernandez was decided. Had defendant raised a vicinage
challenge at time of trial, based on pre-Hernandez law, the foregoing
issue would be squarely raised. But as we have seen, no such challenge
was presented.
Defendant also asserts a violation of his right under
the state Constitution to a jury drawn from the vicinage. [2] Although
the California Constitution does not contain an explicit vicinage
requirement, it nonetheless does provide an independent guarantee of the
right to a jury drawn from the vicinage. (See Hernandez, supra, 49 Cal.
3d at p. 721; People v. Guzman (1988) 45 Cal. 3d 915, 935 [248 Cal.Rptr.
467, 755 P.2d 917]; People v. Powell (1891) 87 Cal. 348 [25 P. 481].)
[1b] However, for purposes of state constitutional challenges to the
proper selection of jurors in criminal trials in state courts, the
boundaries of the vicinage are also coterminous with the boundaries of
the county. (People v. Powell, supra, 87 Cal. at pp. 354-357.) Thus, our
decision in Powell is dispositive of defendant's state constitutional
claim.
We note defendant has asked that we take judicial
notice of the contents of a standard map of Mendocino County. Although
such a countywide map is a [3 Cal. 4th 705] proper subject of
judicial notice (Evid. Code §§ 452, subd. (h), 459, subd. (a)), this
evidence is unnecessary in light of our conclusion that vicinage covers
the entire county.
B. Denial of Continuance
[3a] Defendant contends the trial court abused its
discretion in denying a requested three-day continuance to establish the
underrepresentation of various minority groups on the panel of
prospective jurors. The request for continuance was made near the
completion of the jury selection process and was denied on the ground
defendant failed to use reasonable diligence in marshalling the evidence
supporting the motion. We find no abuse of discretion.
The gist of defendant's claim was that Blacks and
Hispanics (among other identified groups) were potentially
underrepresented by reason of the trial court's liberal hardship excusal
policy, and that a continuance was needed to allow defendant's expert,
Dr. Bronson, additional time to evaluate the statistical data extracted
from the jury questionnaires. Dr. Bronson opined in his declaration that
although he could not confidently assert that any unconstitutional
underrepresentation occurred, the "limited data I have examined does
tend to support that conclusion." Dr. Bronson observed that although
only 51 percent of White venirepersons he had examined thus far had been
excused, 75 percent of "minority" venirepersons had been excused.
The trial court, noting that defendant had access to
the jury questionnaires for three weeks prior to the motion, denied the
continuance request as untimely. Defendant now asserts the trial court
erred because "no meaningful analysis of the data was feasible until the
voir dire process had nearly run its course," and prospective jurors
were either excused or accepted. As defendant observes, examination of
the questionnaires alone could not resolve the question whether the
court was exercising improper criteria in excusing prospective jurors,
and whether such criteria produced a jury unrepresentative of the
community.
[4] The People respond by citing the well-settled
rule that the trial courts possess broad discretion to grant or deny
continuances, and the defendant must show he exercised due diligence in
preparing for trial. (People v. Grant (1988) 45 Cal. 3d 829, 844 [248
Cal.Rptr. 444, 755 P.2d 894].) [3b] Here, the record indicates that
defendant failed to deliver the jury questionnaires to Dr. Bronson until
one day prior to the hearing on defendant's motion to quash the panel.
These questionnaires would have disclosed the racial background of each
responding juror and, combined with the court's excusal [3 Cal. 4th
706] practices to that point, possibly could have afforded some
support for defendant's motion to quash.
We conclude the trial court did not abuse its
discretion in denying defendant's continuance request as untimely.
Assuming for purposes of argument that the request was timely, it seems
clear any such error was harmless. At most, a continuance might have
allowed defendant's expert to present statistical evidence that the
court's allegedly liberal hardship excusal practices may have resulted
in excluding a disproportionate number of Blacks and Hispanics. But
defendant failed, and continues to fail, to set forth any basis for
concluding that such underrepresentation resulted from some improper
feature of the court's excusal practices.
Statistical underrepresentation of minority groups
resulting from race- neutral excusal practices does not amount to "systematic
exclusion" necessary to support a representative cross-section claim. (See
People v. Howard (1992) 1 Cal. 4th 1132, 1160 [5 Cal.Rptr.2d 268, 824
P.2d 1315], People v. Sanders (1990) 51 Cal. 3d 471, 492-493 [273
Cal.Rptr. 537, 797 P.2d 561]; People v. Bell (1989) 49 Cal. 3d 502, 524
[262 Cal.Rptr. 1, 778 P.2d 129]; People v. Morales (1989) 48 Cal. 3d
527, 546 [257 Cal.Rptr. 64, 770 P.2d 244].)
[5] As we stated in Sanders, supra, 51 Cal. 3d at
pages 492-493, "By basing his motion to quash on the expert statistical
evidence ..., defendant sought to show a statistical disparity occurred
over time and was thus the result of a 'systematic exclusion' of
Hispanics. As we recently explained in Bell, supra, however, such a
showing is insufficient, standing alone, to make out a prima facie case
of a Sixth Amendment violation. When, as here, 'a county's jury
selection criteria are neutral with respect to race, ethnicity, sex, and
religion, more is required to shift the burden to the People. The
defendant must identify some aspect of the manner in which those
criteria are being applied that is: (1) the probable cause of the
disparity, and (2) constitutionally impermissible.' (Bell, supra, 49
Cal. 3d at p. 524.) Evidence that 'race/class neutral jury selection
processes may nonetheless operate to permit the de facto exclusion of a
higher percentage of a particular class of jurors than would result from
a random draw' is insufficient to make out a prima facie case. (Morales,
supra, 48 Cal. 3d at p. 546, italics in original.)"
[3c] In the absence of any evidence that the trial
court's excusal policies were improperly applied in a more lenient
manner on behalf of minority venirepersons, defendant's motion to quash
lacked merit. Accordingly, the court properly denied a continuance to
pursue the motion on this basis. No suggestion is made that a
continuance would have developed such evidence. [3 Cal. 4th 707]
C. Motion to Suppress Evidence
Defendant contends the warrantless seizure by federal
authorities of his property from an open storage trailer violated his
rights under the Fourth Amendment, and that the trial court erred in
failing to suppress the items seized.
The following facts were elicited at the pretrial
hearing on defendant's motion to suppress under section 1538.5: On April
5, 1984, defendant and his girlfriend of six months, Londa Lynn, were
arrested in a carnival trailer in Odessa, Texas. The following day,
Federal Bureau of Investigation (FBI) Agent Billy Kirkwood obtained the
release of Lynn, and accompanied her to the carnival grounds. Lynn took
Kirkwood to a second trailer in which carnival employees stored many of
their personal belongings. As a carnival employee, Lynn had access to
the open storage trailer. Lynn entered the storage trailer alone and
retrieved her belongings as well as those of defendant. Lynn handed
Kirkwood defendant's property and indicated to him that she planned to
return home to Tennessee without further contact with defendant.
According to Kirkwood, he accepted custody of defendant's property for
safekeeping purposes only, rather than to search for evidence. He
testified that he was informed the carnival was leaving town on the day
of the seizure, and that he did not examine the property before sending
it to the FBI office in Eugene, Oregon.
Among the items seized was a green duffel bag, with
"888" or "BBB" printed in black ink on the exterior. When the printing
was magnified and examined under fluorescent lights, investigators found
victim Benjamin Shaffer's initials, "BFS," in red ink beneath the black
printing. At trial, the duffel bag was identified as belonging to
Shaffer.
Defendant moved to suppress the foregoing evidence,
arguing that no exigent circumstances existed to justify a warrantless
seizure of his property, and noting that the officer failed to ask him
where he wanted his belongings to be stored. The trial court denied the
motion to suppress, ruling that Lynn had the authority to enter the
trailer and deliver defendant's belongings to the officers. The court
further held the seizure was proper to safeguard defendant's property
and secure it as possible evidence.
[6] On appeal, the People suggest the seizure was
proper for a variety of reasons, including (1) Lynn's consent thereto,
(2) the need to safeguard defendant's property, and (3) defendant's lack
of standing to complain. Defendant contends that the seizure cannot be
upheld on any of the foregoing theories. [3 Cal. 4th 708]
First, the People failed to raise the third party
consent theory below, and therefore defendant had no occasion to attempt
to rebut it with evidence or argument showing Lynn's consent was legally
insufficient. (See Lorenzana v. Superior Court (1973) 9 Cal. 3d 626, 640
[108 Cal.Rptr. 585, 511 P.2d 33].) Although some evidence was elicited
on the issue, it does not appear the issue was as fully developed as it
would have been had the People formally pressed a consent theory.
Additionally, on this record it is uncertain whether Lynn, as
defendant's girlfriend, had authority to consent to such a seizure.
Second, although the issue of safekeeping was indeed
litigated, forming a basis for the trial court's denial of defendant's
suppression motion, it is questionable whether we would sustain that
ruling on appeal. The record indicates that although the seizing officer
indicated the property would be held for safekeeping, it was not
inventoried at the police station but was merely shipped to the FBI
agency in Oregon. Cases sustaining inventory or safekeeping seizures
generally require some kind of standardized or established inventory
procedure apparently lacking in this case. (See Florida v. Wells (1990)
495 U.S. 1, 5-7 [109 L.Ed.2d 1, 7-8, 110 S.Ct. 1632]; Illinois v.
LaFayette (1983) 462 U.S. 640, 646-648 [77 L.Ed.2d 65, 71-72, 103 S.Ct.
2605].) Additionally, although some exigency existed because the
carnival was being moved on the day of the seizure, the People failed to
show that a warrant could not have been obtained before that time. (United
States v. Howard (9th Cir. 1987) 828 F.2d 552, 555.)
Third, although the People did assert defendant's
lack of standing to object to the seizure, the trial court overruled the
objection before defendant had attempted to elicit evidence and argument
on the subject. According to defendant, it would be unfair to resolve
the issue on appeal in light of the incomplete record resulting from the
trial court's ruling that defendant had standing. Defendant, however,
fails to suggest what evidence could have been offered to demonstrate
his standing to object to the seizure of property belonging to, and
stolen from, the victim in this case. (See Rakas v. Illinois (1978) 439
U.S. 128, 134 [58 L.Ed.2d 387, 394-395, 99 S.Ct. 421]; In re Lance W.
(1985) 37 Cal. 3d 873, 885-890 [210 Cal.Rptr. 631, 694 P.2d 744].) It is
simply inconceivable that defendant could have established a basis for
claiming a legitimate possessory interest in the Shaffer duffel bag.
In any event, any improper admission of the evidence
in question was harmless beyond a reasonable doubt in light of all the
other evidence presented at trial. (See Chapman v. California (1967) 386
U.S. 18, 24 [17 L.Ed.2d 705, 710, 87 S.Ct. 824, 24 A.L.R.3d 1065].) As
previously indicated, defendant's accomplice, Lanora Johnson, testified
in detail regarding [3 Cal. 4th 709] his central role in the
Shaffer murders. Her testimony was itself strongly corroborated by Terry
Brown, a former friend of defendant. According to Brown, after drinking
some beer and smoking some marijuana, defendant admitted to Brown that
he had killed two people named Shaffer, and described the details of the
shootings. The defense attempted to impeach Brown by establishing that
he related his statement to the police only after he had been arrested
for armed robbery. Brown denied, however, that he gave his statement or
subsequent testimony in the hope of receiving a more lenient sentence.
According to Brown, whose testimony was not contradicted by defendant in
this regard, Brown had already negotiated a five-year prison sentence
when he volunteered information regarding defendant's statement, and no
further leniency was granted to him.
In addition, circumstantial evidence (other than the
green duffel bag at issue) tied defendant to the Shaffer murders,
including a close ballistic match of a gun at one time owned by
defendant with the bullets recovered from the crime scene. There was
also considerable evidence suggesting that defendant attempted to forge
the Shaffers' names on various credit card transaction slips and
traveler's checks, although the People's handwriting expert could not
conclusively state that defendant had signed these items.
In light of the entire record, we conclude that any
error in admitting evidence of Benjamin Shaffer's duffel bag was
harmless beyond a reasonable doubt.
D. Prosecutor's Argument Concerning Immunity
Agreement With Lanora Johnson
[7] Defendant contends the prosecutor in his closing
arguments misstated the legal effect of the immunity agreement with
Lanora Johnson. The agreement required Johnson to testify fully
regarding her knowledge of defendant's involvement in the charged
offenses. The agreement immunized Johnson from prosecution based on her
answers or evidence arising therefrom, but provided that she could be
prosecuted for any perjury or contempt in answering or failing to answer
the prosecutor's questions.
Defense counsel attempted to impeach Johnson's
testimony by stressing her motivation to assist the People, and assure
immunity from prosecution, by implicating defendant. In response, in
closing arguments, the prosecutor stressed that (1) Johnson accepted the
immunity agreement prior to her initial testimony before the grand jury;
(2) under the agreement, Johnson "could have simply said ... the
defendant is not the one [who committed [3 Cal. 4th 710] the
offenses]," and thereafter could have "walked out of here a free person";
and (3) Johnson had a "free reign [sic] if she wanted to let him
completely off the hook."
Defense counsel objected to the foregoing argument,
observing that if Johnson had tried to retract her earlier statements
implicating defendant, the prosecutor undoubtedly would have rescinded
the immunity agreement. The court overruled the objection.
As previously indicated, defendant contends the
prosecutor's argument was legally incorrect and tended to undermine the
defense theory that Johnson was testifying against defendant under the
compulsion or strong incentive of an immunity agreement. Defendant
observes that Johnson could not simply "walk away" after exonerating
defendant, because any such attempt would be wholly inconsistent with
her prior statements implicating him, and she would undoubtedly be
charged with perjury and risk losing immunity. Although defendant does
not challenge the validity of the immunity agreement itself (see, e.g.,
People v. Garrison (1989) 47 Cal. 3d 746, 768-771 [254 Cal.Rptr. 257,
765 P.2d 419]), he suggests the prosecutor's argument "defeated" his
right to confront and cross-examine Johnson.
In our view, defendant reads too much into the
prosecutor's remarks. Viewed in context, the prosecutor was simply
noting that the agreement did not compel Johnson to testify against
defendant but merely required her to tell the truth, whether or not
favorable to defendant, and that she would not lose her immunity if she
truthfully exonerated defendant. As the prosecutor stated, "she could
have said that if that was the case." (Italics added.) Although it is
possible a juror might have misinterpreted the prosecutor's remarks, we
find no reasonable likelihood such confusion occurred. (See People v.
Clair (1992) 2 Cal. 4th 629, 663 [7 Cal.Rptr.2d 564, 828 P.2d 705].)
Defendant previously had full opportunity to explore, in cross-examination
or argument, the precise nature of the immunity agreement and Johnson's
obligations and motivations thereunder.
E. Failure to Provide Jury With Written
Instructions
[8] Defendant argues the court erred in failing to
provide the jury with written instructions at both the guilt and penalty
phases, thereby denying defendant his right under the state and federal
Constitutions to due process, an informed jury, and a reliable
determination of guilt and penalty. We discuss the penalty phase issue
in a subsequent part of this opinion. (See post, p. 723.) As for the
guilt phase, prior to deliberations the trial court indicated to the
jury that it "preferred" not to give written instructions. [3 Cal.
4th 711] Instead, the court asked the jury to listen to the oral
instructions and inform the court if it had any questions the court
could answer. The court noted that its reading of the instructions would
require about an hour and 15 minutes.
Defense counsel failed to object to the foregoing
procedure or request that written instructions be provided. Accordingly,
the People contend defendant cannot raise the point on appeal. (See
People v. Chagolla (1983) 144 Cal. App. 3d 422, 432-433 [193 Cal.Rptr.
711].) Defendant responds that by reason of the court's announcement of
its "preference," a request or objection would have been futile. We
disagree. Assuming the court's statement to the jury amounted to a
ruling, no reason appears why defendant should be excused from objecting
thereto.
In any event, even assuming defendant has not waived
the point, he would not prevail. In reviewing claims of error of the
kind involved here, our main inquiry is whether the court abused its
broad discretion in failing to provide written instructions. (See People
v. Sheldon (1989) 48 Cal. 3d 935, 943-945 [258 Cal.Rptr. 242, 771 P.2d
1330]; People v. Anderson (1966) 64 Cal. 2d 633, 640 [51 Cal.Rptr. 254,
414 P.2d 882]; see also § 1093, subd. (f) [requiring court to give
written instructions to jurors upon their request therefor].) Defendant
urges us to reconsider Sheldon, pointing to our "mistaken assumption"
regarding the content of the various studies on jury comprehension of
oral instructions. We had stated in Sheldon that "it does not appear"
these studies took into account the possibility of a rereading of the
instructions. (People v. Sheldon, supra, 48 Cal. 3d at p. 944.)
According to defendant, one of the studies cited to us in that case did
include "the option of asking for further instructions ...." It is
unclear whether giving "further" instructions would include rereading
ones already given. But assuming defendant is correct, any "mistake" in
Sheldon seems harmless and entirely collateral to our holding confirming
the court's broad discretion to withhold written instructions in a
capital case.
The jury took only one day to reach its guilty
verdict. No questions were raised regarding any of the instructions, and
no request for rereading instructions was made. Thus, the record
contains no evidence indicating the jury was confused or misled by the
oral instructions given. (See People v. Sheldon, supra, 48 Cal. 3d at
pp. 944-945.) We conclude the court did not abuse its discretion in
failing to provide the jury with written guilt phase instructions. [3
Cal. 4th 712]
IV. Penalty Issues
A. Denial of Challenge to Juror Williams
Defendant asserts the court erred in failing to
excuse for cause prospective juror Charles Williams, who indicated
during voir dire his belief that persons such as defendant should be
given the death penalty. Williams actually served as a juror in the
case, despite the fact defendant retained one unused peremptory
challenge following jury selection.
Juror Williams initially stated on a jury
questionnaire that, based on his reading of various news articles,
defendant "should be executed." When asked to elaborate, Williams stated
that if defendant had indeed killed two persons as charged, he should be
executed. Williams also stated, however, that he would consider a
sentence of life imprisonment without parole if the mitigating
circumstances warranted it, that he was "capable of listening to the
evidence and making my mind up on what is presented," and that he had an
"open mind" regarding this case and could ignore what he had read in the
paper about defendant's crimes.
Williams also agreed there "could be reasons" why a
premeditated murder would not "deserve" a death penalty, and that he
could think of "many types" of such premeditated murder. When asked for
an example, Williams replied that if a man killed the person who raped
or killed his wife or daughter, "I see no reason to execute him for that."
When asked for other examples, Williams replied, "They would be
similar." The trial court denied defendant's challenge of Williams for
cause on the basis that he had credibly expressed a willingness to
consider any mitigating evidence.
Defendant first contends the court may have
mistakenly applied the "automatic vote" standard set forth in
Witherspoon v. Illinois (1968) 391 U.S. 510, 522, footnote 21 [20 L.Ed.2d
776, 785, 88 S.Ct. 1770], in appraising defendant's challenge to
Williams. [9] Defendant contends that the correct test is found not in
Witherspoon, supra, but in Wainwright v. Witt (1985) 469 U.S. 412, 424
[83 L.Ed.2d 841, 851-852, 105 S.Ct. 844]. Under Witt, the juror must be
excused if his "views [on capital punishment] would 'prevent or
substantially impair the performance of his duties as a juror in
accordance with his instructions and his oath.' " (Ibid.) We have
indicated the foregoing test applies to jurors expressing views either
opposing or favoring the death penalty. (People v. Coleman (1988) 46
Cal. 3d 749, 764-765 [251 Cal.Rptr. 83, 759 P.2d 1260].) [3 Cal. 4th
713]
The United States Supreme Court recently ruled that
trial courts must permit specific voir dire inquiry as to whether a
juror would "automatically" impose the death penalty without regard to
the particular facts or instructions on law in the case. (Morgan v.
Illinois (1992) 504 U.S. ___, ___[119 L.Ed.2d 492, 112 S.Ct. 2222].)
Citing both Witherspoon and Witt in support of its ruling, the high
court indicated that Witt reflects the proper standard for determining
when a prospective juror must be excused for cause because of his or her
views favoring capital punishment. (504 U.S. at p. ___[119 L.Ed.2d at p.
502].)
In the present case, the court, in conducting its own
voir dire, phrased some of its questions in terms of whether the
prospective jurors would "automatically vote" for (or against) the death
penalty regardless of the evidence. But the record also indicates the
court would have denied defendant's challenge for cause under the Witt
standard as well, based on Williams's willingness to consider the
mitigating evidence in the case.
Defendant argues that Juror Williams's views favoring
the death penalty strongly indicated he would be prevented from
performing his duties as a juror. The People suggest, however, that
Williams's responses could be deemed "conflicting" or ambiguous, and
therefore the trial court's determination regarding his true state of
mind should be binding on us. (See, e.g. People v. Mason (1991) 52 Cal.
3d 909, 954 [277 Cal.Rptr. 166, 802 P.2d 950], and cases cited.)
Several of Williams's responses reflected his ability
to weigh the aggravating and mitigating evidence. [10] But in light of
the fact defendant failed to use his one remaining peremptory challenge
to excuse Juror Williams, we need not resolve whether the court erred in
failing to excuse that juror for cause. (See People v. Morris (1991) 53
Cal. 3d 152, 185 [279 Cal.Rptr. 720, 807 P.2d 949] ["a party's failure
to exercise available peremptory challenges indicates relative
satisfaction with the unchallenged jurors. Having so indicated in this
case, defendant cannot reasonably claim error."]; People v. Gordon
(1990) 50 Cal. 3d 1223, 1248 [270 Cal.Rptr. 451, 792 P.2d 251]; People
v. Bittaker (1989) 48 Cal. 3d 1046, 1087-1088 [259 Cal.Rptr. 630, 774
P.2d 659]; People v. Coleman, supra, 46 Cal. 3d at pp. 768-770 [defendant
must exercise and exhaust his peremptory challenges to remove
prospective jurors who should have been excluded for cause]; but see
People v. Box (1984) 152 Cal. App. 3d 461, 464-466 [199 Cal.Rptr. 532] [where
defendant was improperly deprived of 16 peremptory challenges, his
tactical reservation of only 1 of his allotted 10 challenges did not bar
reversal].)
Defendant speculates that trial counsel was reserving
his remaining peremptory challenge in the event it became necessary to
challenge a prospective juror with even more extreme views than Williams.
But the fact remains [3 Cal. 4th 714] that counsel expressed
satisfaction with the jury selected ("We accept the jury as presently
constituted"), without using his remaining peremptory challenge and
without requesting additional challenges.
In People v. Box, supra, 152 Cal. App. 3d at page
465, relied on by defendant, the court observed that the proper practice
is for trial counsel "to express a timely on-the-record dissatisfaction
with the jury at the time the jury is accepted so the reviewing court
knows that in fact this was the situation at trial." (Id. at p. 465, fn.
3.) Although the present case was tried several years after Box was
decided, no such on-the-record statement was made herein.
Leaving open the question whether Box correctly
reversed the judgment despite the defendant's unexercised peremptory
challenge, we conclude that, by expressing his satisfaction with the
jury without exhausting such challenges or requesting additional
challenges, defendant waived his right to complain about the court's
failure to excuse Juror Williams for cause.
B. Denial of Challenge to Prospective Juror Mundy
Defendant asserts the court erred in failing to
excuse for cause prospective juror Mundy, who, like Juror Williams (see
ante, p. 711 et seq.), expressed a preference for the death penalty in
cases involving multiple murder. Defendant used a peremptory challenge
to excuse Mundy, but, as previously discussed, his retention of an
unused peremptory challenge demonstrates that any error in failing to
excuse Mundy for cause was harmless. (See People v. Coleman, supra, 46
Cal. 3d at pp. 768-770 [harmless error to require defendant to use
peremptory challenge to excuse juror properly excusable for cause, where
defendant held unused peremptory challenges]; see also People v. Mason,
supra, 52 Cal. 3d. at p. 954 [use of peremptory challenge to remove
excusable prospective juror renders moot claim of denial of impartial
jury].)
C. Prosecutor's Use of Peremptory Challenges
Defendant contends the prosecutor improperly used
peremptory challenges to remove jurors holding views opposed to the
death penalty. The argument has been repeatedly and recently rejected. (E.g.
People v. Pinholster (1992) 1 Cal. 4th 865, 912 [4 Cal.Rptr.2d 765, 824
P.2d 571]; People v. Ashmus (1991) 54 Cal. 3d 932, 967 [2 Cal.Rptr.2d
112, 820 P.2d 214]; People v. Turner (1984) 37 Cal. 3d 302, 315 [208
Cal.Rptr. 196, 690 P.2d 669].)
D. Defendant's Testimony About Choice of Penalty
During the penalty phase, after defendant had
testified on his own behalf regarding his religious conversion, his
remorse, and his desire for a "fair [3 Cal. 4th 715] judgment,"
the prosecutor asked on cross-examination, and over objection, what
penalty defendant believed was appropriate for his crimes. He replied, "If
I were one of the 12 jurors, I would vote for the death penalty." [11]
On appeal, defendant contends the prosecutor's question was improper for
two reasons: (1) it sought information that was irrelevant to any
statutory sentencing factor (see People v. Boyd (1985) 38 Cal. 3d 762,
773-774 [215 Cal.Rptr. 1, 700 P.2d 782]), and (2) it tended to diminish
the jury's sense of responsibility (see Caldwell v. Mississippi (1985)
472 U.S. 320, 341 [86 L.Ed.2d 231, 247, 105 S.Ct. 2633]; People v. Ramos
(1984) 37 Cal. 3d 136, 154-157 [207 Cal.Rptr. 800, 689 P.2d 430]). We
reject both arguments.
The People observe that defendant had the right to
testify on his own behalf, and on direct examination could have informed
the jury of his supposed choice of penalty (see People v. Guzman, supra,
45 Cal. 3d at p. 962). But the testimony at issue was elicited on cross-examination
over defense counsel's objection, and was not simply volunteered by
defendant. Thus, the issue cannot be decided on a "right to testify"
basis, and we must reach the merits of defendant's contentions.
1. Irrelevance.
A defendant's opinion regarding the appropriate
penalty the jury should impose usually would be irrelevant to the jury's
penalty decision. (See People v. Guzman, supra, 45 Cal. 3d at pp. 962-
963; People v. Boyd, supra, 38 Cal. 3d at pp. 773-774; but see People v.
Whitt (1990) 51 Cal. 3d 620, 646-648 [274 Cal.Rptr. 252, 798 P.2d 849] [defendant's
response to defense questions asking if he wanted to live or deserved to
live deemed potentially relevant mitigating evidence].) But under the
circumstances here, the evidence was relevant to matters raised by
defendant in his direct examination. The prosecutor's penalty question
followed defendant's self-serving testimony regarding his conversion to
Christianity, and his willingness to accept responsibility for his acts
in the form of a "fair judgment" from the jury. Seen in the context of
defendant's entire testimony, we think the prosecutor's question was
unobjectionable, for it bore on the extent of defendant's remorse for
his crimes, his realization of the seriousness thereof, and his
willingness to atone for them by paying society's highest price. As a
general rule, prosecutors should avoid asking such questions, but, under
the circumstances here, we conclude no misconduct occurred.
2. Jury's sense of responsibility.
Defendant argues that allowing him to suggest to the
jury an appropriate penalty may have reduced the jurors' own sense of
responsibility for selecting that penalty. Defendant contends this risk
was aggravated when, over defense objection, the prosecutor elicited
from a defense psychiatrist the fact that the psychiatrist's former
husband was working on defendant's appeal. [3 Cal. 4th 716] (See
Caldwell v. Mississippi, supra, 472 U.S. at pp. 325-326 [86 L.Ed.2d at
pp. 237-238] [prosecutor improperly mentioned availability of automatic
appeal in closing argument].)
We have already explained why defendant's view of the
appropriate penalty was relevant to certain matters raised by him on
direct examination. As for the reference by the defense psychiatrist to
an appeal, the record indicates the matter was raised in the course of
cross-examining the psychiatrist for the limited purpose of showing her
relationship with a member of the defense team. As will appear in the
following part of this opinion, the jury was properly instructed
regarding its responsibility to select an appropriate penalty, and we
find nothing in the record indicating the jury was unduly influenced by
defendant's penalty response or the reference to an appeal. Indeed, the
prosecutor made no mention of either subject in his closing arguments. (See
also People v. Fiero (1991) 1 Cal. 4th 173, 244-245 [3 Cal.Rptr.2d 426,
821 P.2d 1302] ["passing reference" to defendant's right to appeal
harmless where not made in context of possible appellate correction of
erroneous death verdict]; People v. Bloom (1989) 48 Cal. 3d 1194, 1223
[259 Cal.Rptr. 669, 774 P.2d 698] [mere request by defendant for death
penalty did not ensure jury would impose such penalty].)
E. Refusal to Give Defendant's Proposed Penalty
Instructions
[12] Defendant argues the court erred in refusing to
give instructions proposed by him and dealing with various aspects of
the jury's penalty determination. These instructions would have
permitted the jury to consider in mitigation such factors as (1) "mercy,
sentiment, and sympathy for the defendant," (2) defendant's potential
for rehabilitation, loving family ties, childhood experiences, probable
adjustment to prison life, and remorse, (3) any evidence offered by
defendant based on his individual characteristics, and notwithstanding
his culpability for the offense, (4) any mitigating aspect of
defendant's background or character, and (5) any evidence that defendant
was acting under the influence of a mental or emotional disturbance at
the time of the offenses, regardless of degree, and whether or not the
condition reduced his culpability.
Defendant also offered instructions that would have
admonished the jury to ignore any aggravating factors not specifically
listed by the court, and that would have permitted the jurors to
consider elements of "pity, sympathy or mercy" for defendant that
persuaded them that death was an inappropriate penalty in this case.
As will appear, the court gave instructions that were
comparable to those requested by defendant. Thus, the court
substantially modified the terms of [3 Cal. 4th 717] former
CALJIC No. 8.84.1, factor (k) to clarify the jury's responsibility to
consider "any sympathetic or other aspect of the defendant's character
or record that the defendant offers as a basis for a sentence less than
death, whether or not related to the offenses for which he is on trial."
(See People v. Easley (1983) 34 Cal. 3d 858, 878, fn. 10 [196 Cal.Rptr.
309, 671 P.2d 813].) Additionally, the court directed the jury to
disregard guilt phase instructions that told the jury not to be swayed
by sympathy.
Moreover, the court read to the jury a revised
version of CALJIC No. 8.84.2, directing that (1) the weighing of
aggravating and mitigating factors was not a mechanical or arbitrary
counting of factors, (2) the jury could "assign whatever moral or
sympathetic value you deem appropriate to each and all the various
factors," (3) the weighing process involves determining the "appropriate"
penalty under the relevant evidence, and, (4) to return a verdict of
death, the jury must be persuaded that the aggravating circumstances are
so substantial in comparison with the mitigating ones that they warrant
a death verdict. Finally, the court instructed the jury that even if the
aggravating factors substantially outweighed mitigating ones, "it is
within your discretion to return a verdict of either death or life
imprisonment without possibility of parole."
Thus, the instructions that defendant proposed
largely duplicated those that were actually given in this case. Under
these circumstances, the court did not err in refusing to give the
additional instructions offered by defendant. (See People v. Cox (1991)
53 Cal. 3d 618, 673-674 [280 Cal.Rptr. 692, 809 P.2d 351]; People v.
Benson (1990) 52 Cal. 3d 754, 805, fn. 12 [276 Cal.Rptr. 827, 802 P.2d
330], and cases cited; People v. Andrews (1989) 49 Cal. 3d 200, 227-228
[260 Cal.Rptr. 583, 776 P.2d 285], and fn. 26 [lack of "mercy"
instruction].) In addition, several of the proposed instructions were
argumentative, that is, " 'of such a character as to invite the jury to
draw inferences favorable to one of the parties from specified items of
evidence.' " (See People v. Benson, supra, 52 Cal. 3d at p. 805.) No
error is committed in refusing such instructions. (Id. at pp. 805-806;
see People v. Gordon, supra, 50 Cal. 3d at pp. 1276-1277; People v.
Williams (1988) 45 Cal. 3d 1268, 1323-1324 [248 Cal.Rptr. 834, 756 P.2d
221].)
We conclude the court did not err in refusing to give
defendant's proposed instructions.
F. Refusal to Instruct Regarding Immunity Granted
to Lanora Johnson
[13] Defendant proposed an instruction that would
have permitted the jury to consider "the concept of fairness" as applied
to a case in which an [3 Cal. 4th 718] accomplice who is "equally
culpable" as a principal was given immunity for the offenses with which
defendant was charged. The instruction continued by telling the jury it
could consider "the disparity of treatment" between defendant and Lanora
Johnson, his accomplice.
Although defendant cites to cases from other states
indicating that the sentencer may consider the sentences imposed on the
defendant's accomplices, the California rule is clearly to the contrary.
(See People v. Johnson (1989) 47 Cal. 3d 1194, 1249 [255 Cal.Rptr. 569,
767 P.2d 1047]; People v. Dyer (1988) 45 Cal. 3d 26, 69-71 [246 Cal.Rptr.
209, 753 P.2d 1]; People v. Belmontes (1988) 45 Cal. 3d 744, 811-813
[248 Cal.Rptr. 126, 755 P.2d 310].) As stated in Johnson, supra, 47 Cal.
3d at page 1249, "The focus in a penalty phase trial of a capital case
is on the character and record of the individual offender. The
individually negotiated disposition of an accomplice is not
constitutionally relevant to defendant's penalty determination."
We also note that defendant's proposed instruction
was argumentative, focusing on the particular evidence in the case and
even purporting to characterize ("equally culpable") that evidence. As
previously discussed, the proposed instruction properly could have been
rejected on that basis alone. (See People v. Benson, supra, 52 Cal. 3d
at p. 805.)
[14] In a related argument, defendant asserts the
trial court erred in denying his automatic motion for reconsideration of
sentence (§ 190.4, subd. (e)) without considering the grant of immunity
to Ms. Johnson. Defendant cites no California authority supporting the
theory that the trial court is permitted or required to consider such
matters in ruling on motions to modify sentence. Indeed, if the subject
of disparate sentences for accomplices is irrelevant to the sentencing
determination (People v. Johnson, supra, 47 Cal. 3d at p. 1249), it
would follow that the trial court should not consider such matters in
ruling on modification motions. (See People v. Lewis (1990) 50 Cal. 3d
262, 287 [266 Cal.Rptr. 834, 786 P.2d 892] [court limited to reviewing
evidence submitted to jury].)
G. Failure to Delete Assertedly Inapplicable
Sentencing Factors
Defendant asserts the court erred under both state
and federal law in failing to delete from the list of potential
mitigating factors those clearly inapplicable in the case, thereby
permitting the prosecutor to note their absence in his closing arguments.
We have rejected similar arguments on several occasions. (See, e.g.,
People v. Sheldon, supra, 48 Cal. 3d at p. 957; People v. Johnson, supra,
47 Cal. 3d at p. 1247; People v. Miranda (1987) 44 Cal. 3d 57, 104-105
[241 Cal.Rptr. 594, 744 P.2d 1127].) [3 Cal. 4th 719]
[15] In a related argument, defendant contends the
prosecutor committed "Davenport error" (see People v. Davenport (1985)
41 Cal. 3d 247, 289-290 [221 Cal.Rptr. 794, 710 P.2d 861]) when he
argued that the jury could consider as an aggravating circumstance the
fact that the victims were not coparticipants with defendant in the
offenses he committed. The People concede the error, but observe that
the trial court sustained defendant's objection to the argument, the
prosecutor was admonished not to make, and did not make, any similar
arguments, and defense counsel explained to the jury the correct
principles. Nothing in the record indicates the jury was misled by the
prosecutor's brief argument in this regard. (See also People v. Burton
(1989) 48 Cal. 3d 843, 864-865 [258 Cal.Rptr. 184, 771 P.2d 1270] [harmless
error]; People v. Johnson, supra, 47 Cal. 3d at p. 1247 [same]; People
v. Boyde (1988) 46 Cal. 3d 212, 255 [250 Cal.Rptr. 83, 758 P.2d 25] [same].)
H. Defendant's Unadjudicated Prior Offenses
During the penalty phase, the prosecution was
permitted (see § 190.3, factor (b)) to introduce evidence of various
prior offenses of defendant, namely, the killing of Thomas Davis, the
killing of Arthur Gray, and the armed robbery and attempted murder of Mr.
and Mrs. Edwin Davis. Defendant had been convicted of voluntary
manslaughter for killing Thomas Davis; the remaining offenses were
unadjudicated. [16] Defendant contends admission of evidence of the
prior unadjudicated offenses was improper under the due process and
equal protection guarantees of the state and federal Constitutions.
We have frequently held that neither the state nor
federal Constitution forbids admitting evidence of the defendant's
uncharged and unadjudicated offenses that involve force or violence, or
the threat or attempt to use force or violence. (See People v. McPeters
(1992) 2 Cal. 4th 1148, 1188 [9 Cal.Rptr.2d 834, 832 P.2d 146]; People
v. Medina (1990) 51 Cal. 3d 870, 906-907 [274 Cal.Rptr. 849, 799 P.2d
1282]; People v. Robertson (1989) 48 Cal. 3d 18, 42 [255 Cal.Rptr. 631
[767 P.2d 1109]; People v. Balderas (1985) 41 Cal. 3d 144, 204-205 [222
Cal.Rptr. 184, 711 P.2d 480].)
In a related contention, defendant argues the court
erred in allowing the People to introduce evidence of the circumstances
surrounding defendant's prior offenses involving force or violence.
According to defendant, section 190.3, factor (b), permits the People to
prove only the fact that defendant committed the offense, not the
underlying circumstances. We have frequently rejected similar
contentions. (See People v. Robertson, supra, 48 Cal. 3d at p. 47;
People v. Melton (1988) 44 Cal. 3d 713, 754 [244 Cal.Rptr. [3 Cal.
4th 720] 867, 750 P.2d 741]; People v. Gates (1987) 43 Cal. 3d 1168,
1203 [240 Cal.Rptr. 666, 743 P.2d 301].)
Defendant's equal protection claim is based on
asserted restrictions on the admissibility of evidence of prior offenses
or convictions in noncapital cases. (But see People v. Ratcliffe (1981)
124 Cal. App. 3d 808, 823 [177 Cal.Rptr. 627], and cases cited.) It
seems sufficient to observe that capital case sentencing involves wholly
different considerations than ordinary criminal sentencing and properly
allows the jury to focus on the defendant's prior criminal conduct and
propensity for violence, factors deemed relevant as possible aggravating
circumstances affecting the jury's ultimate penalty decision. (See
People v. McDowell (1988) 46 Cal. 3d 551, 568 [250 Cal.Rptr. 530, 758
P.2d 1060].) This distinction between capital and noncapital cases
adequately justifies the differences in treatment cited by defendant. (See
People v. McPeters, supra, 2 Cal. 4th at p. 1188 [denying equal
protection challenge]; People v. Medina, supra, 51 Cal. 3d at pp.
906-907 [same]; cf. People v. Allen (1986) 42 Cal. 3d 1222, 1286-1288
[232 Cal.Rptr. 849, 729 P.2d 115].)
I. Defendant's Prior Manslaughter Conviction
[17] Defendant contends the court erred in allowing
the prosecutor to elicit evidence regarding the circumstances of
defendant's prior conviction of voluntary manslaughter for the killing
of Thomas Davis. (See § 190.3, factor (c).) Defendant asserts that, in
light of the manslaughter conviction and the implied acquittal of murder
charges, the jury's consideration of evidence tending to show malice or
premeditation violated the proscriptions against double jeopardy in the
state and federal Constitutions. We have repeatedly rejected similar
contentions. (See People v. Visciotti (1992) 2 Cal. 4th 1, 71 [5
Cal.Rptr.2d 495, 825 P.2d 388]; People v. Morris, supra, 53 Cal. 3d at
p. 217; People v. Melton, supra, 44 Cal. 3d at p. 756, fn. 17.) As
stated in Visciotti, "The presentation of evidence of past criminal
conduct at a sentencing hearing does not place the defendant in jeopardy
with respect to the past offenses. He is not on trial for the past
offense, is not subject to conviction or punishment for the past offense,
and may not claim either speedy trial or double jeopardy protection
against introduction of such evidence. [Citation.]" (2 Cal. 4th at p.
71.)
J. Prosecutor's Argument About Defendant's Future
Dangerousness
During his penalty phase arguments, and over
defendant's objection, the prosecutor rhetorically asked the jury, "How
many of you would like your son or husband being a guard wherever this
man may be? How many of you [3 Cal. 4th 721] would like your
husband or son being a transportation officer handling him and you think
you would feel safe?"
[18] Defendant contends the foregoing argument was
improper, relying on a federal decision, Tucker v. Francis (11th Cir.
1984) 723 F.2d 1504, 1507, cert. den. 478 U.S. 1022 [92 L.Ed.2d 743, 106
S.Ct. 3340], which disapproved prosecutorial argument speculating on
possible murders of prison guards if the defendant were imprisoned. We
have held that expert testimony may not be elicited in a capital case on
the subject of the defendant's future dangerousness. (People v.
Murtishaw (1981) 29 Cal. 3d 733, 773-775 [175 Cal.Rptr. 738, 631 P.2d
446].) We have also stated, however, that "We do not believe a
prosecutor's comments during closing arguments present the same
potential for prejudice" as the expert evidence involved in Murtishaw. (People
v. Miranda, supra, 44 Cal. 3d at p. 111; see People v. Silva (1988) 45
Cal. 3d 604, 639 [247 Cal.Rptr. 573, 754 P.2d 1070]; People v. Dyer,
supra, 45 Cal. 3d at p. 81; People v. Davenport, supra, 41 Cal. 3d at p.
288.)
We conclude that the prosecutor's brief argument
quoted above fell within the range of argument permitted by the
foregoing cases.
K. Nonstatutory Aggravating Evidence
[19] Defendant contends the court erred in allowing
the prosecutor to elicit from penalty phase witnesses certain testimony
adverse to defendant and not bearing on any of the permissible statutory
aggravating factors. (See People v. Boyd, supra, 38 Cal. 3d at p. 776.)
The evidence at issue included prior assaultive or threatening conduct
toward defendant's former wife, Janice Grindel, a threat to kill
defendant's accomplice, Lanora Johnson, and physical abuse of Dianna
Loggins.
In response to defendant's objection to such evidence,
the trial court instructed the jury that the foregoing evidence had been
admitted for purposes other than to show aggravating circumstances, and
that the jury should not consider such evidence for that purpose.
Defendant asserts that this instruction was inadequate to protect him,
given the fact the penalty jury (1) is not required reach unanimous
agreement regarding use of "prior crimes" evidence (see People v. Ghent
(1987) 43 Cal. 3d 739, 773-774 [239 Cal.Rptr. 82, 739 P.2d 1250]), and
(2) does not receive sua sponte instructions on the requisite element of
such offenses (see People v. Phillips (1985) 41 Cal. 3d 29, 72, fn. 25
[222 Cal.Rptr. 127, 711 P.2d 423]).
The People evidently concede the challenged testimony
did not constitute evidence properly admissible under section 190.3,
factor (b). Accordingly, [3 Cal. 4th 722] we do not address that
issue. Nonetheless, we believe the court's cautionary instruction was
adequate to protect defendant. As the People observe, as a general rule
we must presume the jury understood and followed such admonitions or
instructions. (See Francis v. Franklin (1984) 471 U.S. 307, 324, fn. 9
[85 L.Ed.2d 344, 359-360, 105 S.Ct. 1965]; People v. Anderson (1987) 43
Cal. 3d 1104, 1120 [240 Cal.Rptr. 585, 742 P.2d 1306].) We also note
that, in light of the nature of the charged offenses, and the other
properly admitted "prior crimes" evidence in this case, it is not
reasonably possible defendant was prejudiced by the jury's consideration
of the assaultive or threatening conduct at issue. (See People v. Brown
(1988) 46 Cal. 3d 432, 449 [250 Cal.Rptr. 604, 758 P.2d 1135].)
L. Failure to Reread Guilt Phase Instructions
Following the presentation of the penalty phase
evidence, defendant requested a rereading of many of the guilt phase
instructions relevant to the penalty determination. The requested
instructions included "generic" instructions governing the jury's
consideration and evaluation of the evidence, and covered such matters
as direct and circumstantial evidence, admissions and confessions,
expert and lay testimony, and accomplice testimony. The court denied the
request, advising the jury instead that it should follow the guilt phase
instructions except as otherwise directed, and that the court would
reread any guilt phase instructions at the jury's request. No such
requests were made.
[20] Defendant asserts the court erred in denying his
request, thereby violating his Eighth Amendment right to a fair and
reliable penalty determination. He observes that more than two months
had elapsed since the jury had first heard the instructions at issue,
and he doubts the jurors had a clear recollection thereof.
As our cases uniformly hold, we may presume the jury
applied to the penalty determination any applicable guilt phase
instructions. (See People v. Wharton (1991) 53 Cal. 3d 522, 600 [280
Cal.Rptr. 631, 809 P.2d 290]; People v. Brown, supra, 46 Cal. 3d at p.
460; People v. Williams, supra, 45 Cal. 3d at p. 1321.) As stated in
Wharton, supra, 53 Cal. 3d at page 600, "Because none of these
instructions was, by its terms, limited to the guilt phase, and because
no penalty phase instructions contradicted those instructions, 'we
believe a reasonable jury would correctly assume those "generic"
instructions continued to apply.' [Citations.]" In the absence of
anything in the record indicating the jury was confused or misled by the
court's failure to reinstruct, we conclude that defendant's argument
must be rejected. [3 Cal. 4th 723]
M. Failure to Provide Jury With Written Penalty
Phase Instructions
[21] Defendant complains that the trial court failed
to provide the jury with a written set of penalty phase instructions to
assist its deliberations. As explained in the context of a similar
argument regarding the absence of written guilt phase instructions
(ante, pp. 710, 711), our main inquiry is whether the court abused its
broad discretion in failing to provide written instructions. (See People
v. Sheldon, supra, 48 Cal. 3d at pp. 943-944; People v. Anderson, supra,
64 Cal. 2d at p. 640.)
The jury deliberated less than four hours before
reaching its penalty verdict. No questions were raised regarding any of
the instructions, and no request for rereading instructions was made.
Thus, the record contains no evidence indicating the jury was confused
or misled by the oral instructions given. (See People v. Sheldon, supra,
48 Cal. 3d at pp. 944-945.) We conclude the court did not abuse its
discretion in failing to provide the jury with written instructions.
N. Failure to Hold Formal Competency Hearing
During Penalty Phase
Defendant complains of the trial court's failure to
hold a formal competency hearing during the penalty phase once a
question arose as to whether defendant had been overmedicated during his
penalty phase testimony. He asserts the omission denied him statutory
and constitutional protections, including his due process and
confrontational rights under the state and federal Constitutions. We
reject the contention.
Prior to the guilt phase, defendant had been examined
by two psychiatrists who deemed him competent to stand trial. Following
the guilt phase, and after the prosecutor had presented his penalty
phase evidence, the defense elicited mitigating evidence from defendant
personally, and from lay and expert witnesses. As previously indicated,
defendant testified personally regarding his childhood, background,
criminal experiences, and conversion to Christianity. In addition, he
read to the jury a prepared statement expressing his remorse and
requesting a "fair judgment."
Thereafter, one of defendant's experts, Dr. Peter
Mayland, testified regarding defendant's life experiences and personal
development. Dr. Mayland stressed how calm and controlled defendant
appeared when he testified on his own behalf. On cross-examination, the
prosecutor elicited from Dr. Mayland the information that he had
prescribed tranquilizers (Valium and Soma) for defendant during the
trial. Dr. Mayland indicated that Soma was a muscle relaxant and a "relatively
light medication" which was intended to [3 Cal. 4th 724] relax
defendant while testifying, and which was not likely to impair
defendant's mental processes. Although at one point during defendant's
testimony Dr. Mayland was concerned that he may have been overmedicated,
Dr. Mayland later concluded that defendant was "okay," and was not
seriously affected by the drugs.
A second defense expert, Dr. Judith Huff, testified
regarding defendant's psychological profile, and confirmed that, at
various stages of the trial, he had been taking Valium and Soma, as well
as Elavil, a strong antidepressant. Dr. Huff opined that her ability to
render an accurate psychiatric diagnosis of defendant may have been
hindered by the effects of these various medications. She also believed
that the dose of Soma prescribed by Dr. Mayland was twice the
recommended dose, and that following defendant's testimony at trial, he
seemed to lack energy and suffered short-term memory loss. Dr. Huff
concluded that defendant's "emotionless" appearance at trial may have
been partially a result of the drugs he was taking.
At the prosecutor's suggestion, the court held an "inquiry"
outside the jury's presence to determine the effect of the foregoing
drugs on defendant's competence while testifying. Defense counsel
consented to this procedure.
Dr. Mayland was recalled to testify in more detail
regarding the doses, and possible side effects, of the drugs prescribed
for defendant. Thus, Dr. Mayland testified that shortly before defendant
was scheduled to testify, and at defendant's request, he was taken off
Valium and given Soma, a stronger medication aimed at easing his anxiety
and anger in the courtroom and permitting him to "tell his story [to the
jury] as well as possible." Defendant had told Dr. Mayland that he had
tried Soma in the past and it was effective in calming his nerves.
Dr. Mayland observed only one occasion when defendant
appeared possibly overmedicated, namely, when he read to the jury a
statement he had composed. At this time, defendant appeared to have
trouble reading the statement and his words were "quiet, slurred." But
Dr. Mayland further explained that immediately following defendant's
trial testimony he appeared reanimated, leading Dr. Mayland to conclude
that it was the "pressure of the public eye in the courtroom," and not
defendant's medication, that had affected him. On each occasion
following defendant's trial testimony, Dr. Mayland observed and talked
with defendant and saw no impairment in his ability to think, remember
or communicate.
The defense then called Dr. Huff, who expressed her
disagreement with Dr. Mayland on several points. First, she opined that
defendant's need for [3 Cal. 4th 725] high doses of medication to
mask a possible depression or anxiety raised "serious questions" as to
his competence to stand trial. She speculated that perhaps defendant was
suffering from some "underlying problem" which should have delayed his
trial participation pending a more comprehensive evaluation.
Dr. Huff noted that Elavil is "very sedating" and the
doses given to defendant "quite likely" could have caused some degree of
mental confusion. Moreover, a large percentage of persons who are taken
off Valium will suffer "withdrawal syndromes" of varying kinds. In
addition, Dr. Huff felt it inappropriate to switch defendant from Valium
to Soma without first assessing the possible effects of such a change in
medication. Dr. Huff believed that the high dose of Soma given to
defendant likely would be "highly sedating," and would have a severe
influence on his "emotional demeanor" at trial.
Dr. Huff explained that although she did not view any
portion of defendant's trial testimony, she talked with him in his jail
cell shortly thereafter, and concluded he "looked sedated. His gait was
slow. His facial expressions were very limited." Dr. Huff also noted
some short-term memory loss as a probable result of the Soma. Once the
Soma dose was reduced, defendant seemed "markedly more like himself."
Thereafter, the prosecutor called Dr. Lee Coleman, a
physician specializing in psychiatry, who confirmed Dr. Mayland's view
that personal observation of a defendant on and off the witness stand
would be the best way to evaluate the effect of a given drug on his
mental condition. Dr. Coleman also believed defendant's dose of Elavil
was a "low" one, and that it would be unusual for a person discontinuing
Valium to suffer a withdrawal syndrome that would affect his testimony
at trial.
A sheriff's deputy, John Lewis, testified that on one
occasion he had noticed defendant seemed temporarily depressed and
unusually quiet following some "very emotional testimony" by his
relatives, but that in general Lewis noticed no "mood swings" or signs
of confusion or disorientation. Similar testimony was elicited from
another deputy, Frank Noyes.
Following Deputy Lewis's testimony, defense counsel
asked whether the proceedings should not be deemed a competency hearing
under section 1368, and whether a jury should be asked to evaluate
defendant's competence. The court responded that it had no doubt as to
defendant's competence, and that the limited purpose of the inquiry was
to determine whether defendant in fact had a fair opportunity to express
himself at trial. [3 Cal. 4th 726]
At the conclusion of the inquiry, the court announced
its ruling. The court first noted that it had observed defendant during
his testimony and was impressed at his responsiveness to questions. The
court observed that defendant appeared intelligent and articulate, and
at no time appeared to have difficulty expressing himself or remembering
and relating his testimony. The court further found that although
defendant remained calm during his testimony, he was able to express
himself without hesitation. Based on the court's observations, it
concluded that defendant was not oversedated or affected by drugs during
his testimony, and that he was competent and had full opportunity to
express himself during trial.
[22a] Defendant now argues he was improperly deprived
of a full competency hearing accompanied by a formal psychiatric
evaluation and jury trial. (See §§ 1367-1369; Pate v. Robinson (1966)
383 U.S. 375, 385 [15 L.Ed.2d 815, 822, 86 S.Ct. 836]; People v. Hale
(1988) 44 Cal. 3d 531, 538-541 [244 Cal.Rptr. 114, 749 P.2d 769]; People
v. Pennington (1967) 66 Cal. 2d 508, 518 [58 Cal.Rptr. 374, 426 P.2d
942].) In defendant's view, Dr. Huff's testimony regarding (1) the high
doses of medication prescribed for him, (2) his short-term memory loss
on one occasion, and (3) his possible underlying depression was
sufficient to raise a doubt as to his competence to stand trial. As will
appear, however, the testimony in question did not raise a reasonable
doubt about defendant's competence, and the contention thus lacks merit.
We recently stated the applicable principles in
People v. Jones (1991) 53 Cal. 3d 1115 [282 Cal.Rptr. 465, 811 P.2d
757], as follows: "A defendant who, as a result of mental disorder or
developmental disability, is 'unable to understand the nature of the
criminal proceedings or to assist counsel in the conduct of a defense in
a rational manner,' is incompetent to stand trial. (§ 1367.) [23] When
the accused presents substantial evidence of incompetence, due process
requires that the trial court conduct a full competency hearing. (People
v. Stankewitz (1982) 32 Cal. 3d 80, 92 [184 Cal.Rptr. 611, 648 P.2d
578].) Evidence is 'substantial' if it raises a reasonable doubt about
the defendant's competence to stand trial. (Moore v. United States (9th
Cir. 1972) 464 F.2d 663, 666.) The court's duty to conduct a competency
hearing arises when such evidence is presented at any time 'prior to
judgment.' (§ 1368; see also § 1367; People v. Zatko (1978) 80 Cal. App.
3d 534 [145 Cal.Rptr. 643], 548; People v. Melissakis (1976) 56 Cal. App.
3d 52, 62 [128 Cal.Rptr. 122].)" (People v. Jones, supra, 53 Cal. 3d at
pp. 1152-1153; see also People v. Howard (1992) 1 Cal. 4th 1132, 1163 [5
Cal.Rptr.2d 268, 824 P.2d 1315]; People v. Kelly (1992) 1 Cal. 4th 495,
542 [3 Cal.Rptr.2d 677, 822 P.2d 385]; People v. Price (1991) 1 Cal. 4th
324, 396- 397 [3 Cal.Rptr.2d 106, 821 P.2d 610].) [3 Cal. 4th 727]
The trial judge's ruling regarding whether a
competency hearing is required should be given great deference. "An
appellate court is in no position to appraise a defendant's conduct in
the trial court as indicating insanity, a calculated attempt to feign
insanity and delay the proceedings, or sheer temper." (People v.
Merkouris (1959) 52 Cal. 2d 672, 679 [344 P.2d 1]; see 5 Witkin &
Epstein, Cal. Criminal Law (2d ed. 1989) Trial, § 3003, p. 3683, and
cases cited.)
Additionally, we have noted that " 'more is required
to raise a doubt [of competence] than mere bizarre actions [citation] or
bizarre statements [citation] ... or psychiatric testimony that
defendant is immature, dangerous, psychopathic, or homicidal or such
diagnosis with little reference to defendant's ability to assist in his
own defense [citation].' " (People v. Deere (1985) 41 Cal. 3d 353, 358
[222 Cal.Rptr. 13, 710 P.2d 925].)
[22b] Applying these principles to the record before
us, we cannot say as a matter of law that the evidence raised a
reasonable doubt as to defendant's mental competence. As previously
noted, a defendant is mentally incompetent "if, as a result of mental
disorder or developmental disability, the defendant is unable to
understand the nature of the criminal proceedings or to assist counsel
in the conduct of a defense in a rational manner." (§ 1367, italics
added.) The evidence regarding defendant's drug doses, and his demeanor
on and off the witness stand, indicated at most that he may have been
overmedicated, but no substantial evidence was raised indicating he was
unable to understand the nature of the proceedings or to cooperate with
his counsel. Indeed, based on the observations of those persons who,
unlike Dr. Huff, actually witnessed his trial testimony and demeanor,
the contrary appears true. In light of the entire record, we conclude
the court was not required to order a formal competency hearing.
A similar situation arose in People v. Price, supra,
1 Cal. 4th 324, where, following defendant's heated expression of his
concerns regarding his counsel's representation, the prosecutor
suggested the court might wish to comment on his demeanor. The court
noted for the record that the defendant appeared "extremely upset," and
under great "emotional stress." The court further stated it was unclear
whether a "1368 problem" was indeed presented. (See id. at pp. 395-396.)
Defense counsel, having experience as a social worker, expressed her
belief that the defendant may be having a "psychotic episode" as well as
suffering from delusions. The court, declining to express "a 1368 doubt,"
nonetheless appointed a psychiatrist to further examine the defendant
and report regarding his competence to stand trial. (Ibid.)
In Price, the resulting psychiatrist's report was
inconclusive, expressing insufficient information to determine the
defendant's ability to rationally [3 Cal. 4th 728] collaborate
with counsel. The court nonetheless declined to commence formal
competency proceedings. We rejected a claim of error, finding no
substantial evidence of the defendant's incompetence, and rejecting the
contention that the court's own expressed concern about the defendant's
competence should be deemed an expression of "doubt" sufficient to
trigger formal competency proceedings. As we stated in Price, "A trial
court's expression of preliminary concerns about competency does not
require the commencement of competency proceedings. [Citation.]" (People
v. Price, supra, 1 Cal. 4th at pp. 396-397, italics added; accord,
People v. Gallego (1990) 52 Cal. 3d 115, 159, 162-163 [276 Cal.Rptr.
679, 802 P.2d 169].)
Similarly, in the present case, the trial court
expressed preliminary concerns about defendant's prior opportunity to
fully express himself at trial, concerns that were deemed sufficient to
justify the limited "inquiry" that was held. As in Price, we reject the
contention that the court was required to take any additional steps to
satisfy these concerns. (People v. Price, supra, 1 Cal. 4th at p. 397.)
O. Admission of Dr. Coleman's testimony
[24] Defendant next contends the court erred in
permitting Dr. Lee Coleman, a physician specializing in psychiatry, to
testify at the penalty phase regarding the doubtful value of certain
psychiatric testimony. This testimony followed that of the defense
psychiatrists, Drs. Mayland and Huff, reviewing defendant's
psychological development and predicting his ability to function well in
prison if sentenced to a life term without possibility of parole.
To rebut the foregoing testimony, the prosecutor
elicited from Dr. Coleman his opinion that psychiatric testimony is
generally neither reliable nor scientific; that forensic psychiatrists
have no particular expertise or skills in predicting future violent
behavior; that a psychiatrist is subject to high risks of being
manipulated by his patient, and that accordingly a psychiatrist's
evaluation of such matters as a criminal defendant's credibility,
motivation or remorse, based merely on a psychiatric examination or
interview with him, is no more reliable than the evaluation that could
be formed by a layperson or juror directly confronting the evidence.
In Dr. Coleman's view, the best way to evaluate a
defendant's credibility or motives is simply to look at the evidence,
listen to the witnesses, and decide the issue on the basis of the facts
in the case. On several occasions, Dr. Coleman stressed that he is not
suggesting that courts should bar psychiatrists from the courtroom,
because he acknowledged that current law [3 Cal. 4th 729] allows
them to testify. But, according to Dr. Coleman, in evaluating the
credibility of psychiatric testimony, the court and jury should be
permitted to take into account its considerable shortcomings.
Initially, it appears defendant has waived his
present challenge to Dr. Coleman's testimony by failing to secure a
ruling on his objection at trial. When Dr. Coleman was first asked his
opinion regarding the reliability of psychiatric testimony, defense
counsel remained silent and failed to object. After Dr. Coleman
responded, summarizing his view that such testimony was unreliable, the
prosecutor asked, "And then why are you here testifying then?" Dr.
Coleman responded that the purpose of his forthcoming testimony would be
to testify "about that" (i.e., the unreliability of psychiatric
testimony), and only then did defense counsel object on the basis that
such testimony would be irrelevant and a "legal conclusion."
The trial court sustained the objection as it
pertained to the last question posed by the prosecutor on the sole basis
that "The reason why he's [Dr. Coleman] here is to answer questions
you're going to ask him. So go ahead and ask your questions." The court
did not rule on the issue of the admissibility of Dr. Coleman's proposed
testimony, and defense counsel did not request a ruling on his objection.
Thereafter, Dr. Coleman stated at length his view of
the unreliability of psychiatric testimony, without objection by defense
counsel on grounds of inadmissibility. (Counsel did pose a few
objections on other grounds.) Thus, defendant has waived the issue on
appeal by failing to request a ruling on his earlier objection or by
renewing that objection. (See People v. Rhodes (1989) 212 Cal. App. 3d
541, 554 [261 Cal.Rptr. 1], and authorities cited.).
But assuming, arguendo, no such waiver occurred, we
find no error in admitting Dr. Coleman's testimony. Defendant asserts
this testimony, being a "generalized attack on the propriety of forensic
psychiatric testimony," was irrelevant to the issues once the court had
determined that Drs. Huff and Mayland were competent and qualified to
testify as experts. According to defendant, Dr. Coleman's testimony was
contrary to state and federal law recognizing that psychiatric opinions
may be helpful to the court and jury. (See, e.g., § 987.9; Ake v.
Oklahoma (1985) 470 U.S. 68 [84 L.Ed.2d 53, 105 S.Ct. 1087]; People v.
Worthy (1980) 109 Cal. App. 3d 514 [167 Cal.Rptr. 402].)
We had occasion to consider similar testimony by Dr.
Coleman in People v. Babbitt (1988) 45 Cal. 3d 660, 698-700 [248
Cal.Rptr. 69, 755 P.2d 253] (hereafter Babbitt), in the course of ruling
on a claim of prosecutorial [3 Cal. 4th 730] misconduct arising
from the prosecutor's reliance on Dr. Coleman's testimony to disparage
opinions by defense experts. In Babbitt, we summarized the gist of that
testimony (which cast doubt on the ability of psychiatrists and
psychologists to form helpful opinions regarding a criminal defendant's
mental state), and concluded, "Viewed in the context of Dr. Coleman's
testimony, the prosecutor's comments disparaging the expertise of the
defense psychologist and psychiatrist to form an opinion about
defendant's mental state were based on the evidence. The comments went
to the weight of the witnesses' testimony, not its admissibility. The
remarks therefore were not improper. [Citations]." (45 Cal. 3d at p.
699; italics added.) At no point in our opinion did we suggest that Dr.
Coleman's testimony was improper or inadmissible.
In Babbitt, we noted that additional remarks by the
prosecutor, labelling psychiatric courtroom testimony a "social cancer,"
approached misconduct, constituting a general attack against forensic
psychiatry. We observed that "The law permits a defendant to assert a
psychiatric defense and to have expert witnesses testify in his behalf.
The courtroom is not the proper forum to challenge the propriety of this
system." (45 Cal. 3d at p. 700.) We also noted, however, that the
prosecutor's remarks were nonprejudicial because neither the prosecutor
nor Dr. Coleman asked the jury to disregard psychiatric opinion, for
both realized the law permits the jury to consider it. In addition, the
court had instructed the jury that the law permitted expert evidence on
the issue of defendant's mental state and the jury was told to give that
testimony the weight to which to which the jury found it entitled. (Ibid.)
Similar considerations lead us to conclude that
admission of Dr. Coleman's testimony in this case was neither improper
nor prejudicial. As indicated above, as in Babbitt, Dr. Coleman freely
conceded that he was not suggesting that courts should bar psychiatrists
from the courtroom, because present law allows them to testify and
permits the jury to consider their opinions. His criticism of forensic
psychiatry, and specifically the opinions of Drs. Huff and Mayland, thus
went more to the weight of those opinions rather than their
admissibility. (See Babbitt, 45 Cal. 3d at p. 699; see also People v.
Prince (1988) 203 Cal. App. 3d 848, 857-858 [250 Cal.Rptr. 154] [upholding
admissibility of similar testimony by Dr. Coleman as relevant to the
weight and credibility accorded defense experts]; State v. Zespy (Wyo.
1986) 723 P.2d 564, 568 [same].)
Moreover, as in Babbitt, the trial court herein
instructed the jury that a duly qualified expert (such as Dr. Huff or
Dr. Mayland) was entitled to state an opinion on a matter at issue in
the trial. Additionally, the jury was [3 Cal. 4th 731] instructed
that it was not bound to accept an expert opinion (such as Dr. Coleman's)
as true and was entitled to disregard it if unreasonable. Thus, again as
in Babbitt, any impropriety in Dr. Coleman's testimony must be deemed "clearly
nonprejudicial." (Babbitt, 45 Cal. 3d at p. 700.)
P. Constitutionality of Sentencing Procedure
Defendant asserts the state's sentencing procedure in
capital cases is constitutionally flawed in various respects, including
the failure to explain to the jury which factors are mitigating and
which are aggravating, the failure to require a jury finding that death
is an appropriate penalty beyond a reasonable doubt, and the failure to
require written jury findings as to the particular aggravating factors
found to warrant the death penalty. Each of these contentions has been
repeatedly rejected. (See, e.g., People v. Wharton, supra, 53 Cal. 3d at
p. 603; People v. Rodriguez (1986) 42 Cal. 3d 730, 777-779 [230 Cal.Rptr.
667, 726 P.2d 113].)
Q. Sentence Not Arbitrary or Disproportionate
[25] Finally, defendant argues that his sentence is
arbitrary, discriminatory and disproportionate in light of the nature of
his crime, and he urges us to undertake a proportionality review of his
sentence. Neither the state nor federal Constitution requires such
review. (See People v. Wharton, supra, 53 Cal. 3d at p. 603, and cases
cited.) Moreover, even were such a procedure mandated in this state, it
is inconceivable that this defendant, having murdered an elderly couple
for financial gain, would benefit from it.
The judgment is affirmed.
Panelli, J., Arabian, J., Baxter, J., and George, J.,
concurred.
MOSK, J.,
Concurring and Dissenting.
I agree with Justice Kennard's concurring and
dissenting opinion: the convictions and special circumstance findings
must be sustained, but the sentence of death must be set aside because
the trial court erroneously permitted the prosecutor to ask defendant at
the penalty phase, "And ... what do you think your just punishment
should be?"
Consistency, thou art a jewel-but to some prosecutors
intent on obtaining a verdict of death, the jewel is rare indeed.
In People v. Whitt (1990) 51 Cal. 3d 620 [274
Cal.Rptr. 252, 798 P.2d 849], defense counsel asked Whitt in the penalty
phase of his trial: "And do you [3 Cal. 4th 732] want to live?"
and "Why do you deserve to live?" The trial court sustained prosecution
objections to the questions on grounds that the answers sought were
irrelevant and self- serving. Irrelevant? Life or death is the ultimate
issue. Self-serving? That is the very purpose of mitigating evidence.
Unsurprisingly, the jury fixed the penalty at death.
The trial court's rulings barring Whitt's response
were clearly erroneous under Skipper v. South Carolina (1986) 476 U.S. 1
[90 L.Ed.2d 1, 106 S.Ct. 1669], and clearly prejudicial under Chapman v.
California (1967) 386 U.S. 18 [17 L.Ed.2d 705, 87 S.Ct. 824, 24 A.L.R.3d
1065].
A bare majority of this court did not, or would not,
recognize that fact. While they reluctantly conceded the trial court
erred, and cautioned judges in future cases "against imposing similar
restrictions on a capital defendant's constitutionally protected right
to give relevant penalty phase testimony" (People v. Whitt, supra, 51
Cal. 3d at p. 647, fn. 17), they nevertheless labeled the error "harmless"
and hastened Whitt along his way to the execution chamber.
In effect, the majority in Whitt told prosecutors
that they can prevent a defendant's testimony for life at no risk. For
their part, the majority in this case tell them that they can elicit a
defendant's testimony for death with impunity. Thus, to prosecutors the
prevailing rule appears to be: If a defendant wants to live, his mouth
may be sealed; by contrast, if he wants to die, he may speak freely.
This is an unconscionable double standard.
I have no doubt that defendant's response to the
prosecutor's improper question-"If I were one of the 12 jurors, I would
vote for the death penalty"-must have had an adverse effect on the jury
as it deliberated whether defendant was to live or die, and cannot be
dismissed as merely "harmless." It does not require a crystal ball to
sense some, perhaps all, of the jurors thinking or saying: "If defendant
himself would vote for death, why should we do otherwise?"
For the foregoing reasons, I would set aside the
sentence of death.
KENNARD, J.,
Concurring and Dissenting.
I concur in the affirmance of the judgment as to
guilt and special circumstances, but I dissent from the affirmance of
the judgment as to penalty.
In my view, the trial court erred when it permitted
the prosecutor, over defense objection, to ask defendant what punishment
would be just for his capital crimes. The question called for an opinion
on the ultimate issue [3 Cal. 4th 733] before the jury at the
penalty phase, an issue on which defendant's personal opinion could have
no conceivable bearing.
The error was prejudicial. Defendant's admission that
death was the just punishment for his crimes-an admission that must have
electrified the courtroom-seriously undermined the defense case for the
alternative penalty verdict of life imprisonment without possibility of
parole. Because the balance of aggravating and mitigating circumstances
was fairly debatable in this case, there is a reasonable possibility
that the error affected the penalty verdict. I would therefore set aside
the judgment of death and remand the matter for a limited new trial on
the issue of penalty.
I
Defendant testified in his own behalf at the penalty
phase. At the conclusion of the direct examination, defendant accepted
his counsel's invitation to make a statement to the jury in mitigation.
Defendant told the jurors he was not the same person
he had been when he was arrested or when he had killed the Shaffers.
Defendant had recently begun to read the Bible, he said, and to "accept
Jesus Christ as being real." As a result of this religious experience,
and as a result also of realizing "the value of the human lives" he had
"stolen," defendant's "attitudes" and "personality in general" had
undergone "noticeable changes." Defendant said he had tried to be
sincere and truthful in his testimony and had tried "to find some way to
explain or apologize to the Shaffer family for the misery and anguish"
they had experienced because of his "lack of respect for human life and
[the] rights of all people."
Addressing the jury, defendant concluded with these
words: "I'm not asking any favors of you except fair judgment. I just
want to thank you all for the sacrifices you have made to be here and to
judge this case."
Near the beginning of the prosecutor's cross-examination,
the following exchanges occurred:
"Q. Have you learned now that the Bible tells you to
live by the law of the land?
"A. Yes, sir.
"Q. And that you're responsible for your own acts?
"A. Yes, sir. [3 Cal. 4th 734]
"Q. And that you are subject to the law and have to
take the punishment that's prescribed by the law?
"A. Yes, sir.
"Q. And as such what do you think your just
punishment should be here?
"Mr. McClure [defense counsel]: I object. That's not
relevant, your honor.
"The Court: Overruled.
"Mr. McClure: As to what he thinks.
"The Court: Overruled.
"The Witness: If I were one of the 12 jurors, I would
vote for the death penalty."
Thus, after eliciting defendant's admission that he
was "subject to the law and [would] have to take the punishment that's
prescribed by the law," the prosecutor asked for defendant's opinion "as
such" concerning the just punishment in this case. Because the jury had
convicted defendant of two first degree murders with special
circumstances, and because the law prescribes only two possible
punishments for these crimes-death and imprisonment for life without
possibility of parole-the prosecutor's question called for defendant's
opinion as to which of these penalties would be his "just punishment."
Thus, the question effectively made defendant a juror in his own trial,
forcing him to decide the ultimate issue of penalty. That defendant so
understood the question is shown by his answer: "If I were one of the 12
jurors, I would vote for the death penalty."
A defendant's opinion about the just punishment for
his or her own crimes has no relevance to the issue the jury must decide
at the penalty phase of a capital prosecution. Penal Code section 190.3
lists the factors that the jury may consider in determining the
punishment for capital murder. Most of these factors relate directly to
the charges that resulted in guilty verdicts and true findings at the
guilt phase of the trial. For instance, the jury is directed to consider
at the penalty phase the circumstances of these crimes and the related
special circumstances (factor (a)), together with specific aspects of
the defendant's mental condition during the commission of these criminal
[3 Cal. 4th 735] acts (factors (d) [extreme mental or emotional
disturbance], (f) [reasonable belief in moral justification], (g)
[extreme duress or substantial domination by another], & (h) [impairment
caused by mental disease, defect, or intoxication]), and the defendant's
age (factor (i)) at the time of the crimes.
In addition to the Penal Code section 190.3 factors
relating to the capital crimes, the jury is to consider any other
criminal activity by the defendant involving actual or threatened
violence (factor (b)), prior felony convictions (factor (c)), and "[a]ny
other circumstance which extenuates the gravity of the crime even though
it is not a legal excuse for the crime" (factor (k)). This last factor
includes any aspect of the defendant's character or record on which the
defendant seeks to rely in mitigation. (People v. Boyd (1985) 38 Cal. 3d
762, 775 [215 Cal.Rptr. 1, 700 P.2d 782].)
Appearing nowhere on Penal Code section 190.3's list
of penalty factors, a defendant's opinion as to the just punishment for
his or her own capital crimes cannot in itself be a circumstance either
in aggravation or mitigation. The majority effectively concedes this by
stating that in a capital case the defendant's opinion regarding the
appropriate penalty "usually would be irrelevant to the jury's penalty
decision." (Maj. opn., ante, p. 715.) Thus, defendant's penalty opinion
could lawfully play no direct role in the jury's penalty decision.
The majority nevertheless seeks to justify the trial
court's ruling by asserting that a capital defendant's penalty opinion
may play an indirect role as an intermediate fact tending to prove some
other fact that would be mitigating or aggravating. The majority offers
three such facts: "the extent of defendant's remorse for his crimes, his
realization of the seriousness thereof, and his willingness to atone for
them by paying society's highest price." (Maj. opn., ante, p. 715.) But
the majority does not explain how these facts relate to the statutory
penalty factors.
None of the three facts cited by the majority relates
to the circumstances of the crime, to other criminal acts by defendant,
or to prior convictions of the defendant. Thus, they are not admissible
under factors (a), (b), or (c) of Penal Code section 190.3.
The facts cited by the majority do have some bearing
on defendant's character, and therefore evidence concerning them could
be introduced under factor (k) of Penal Code section 190.3. But factor
(k) evidence can only be mitigating; the prosecution's case in
aggravation may not include unfavorable character evidence. (People v.
Boyd, supra, 38 Cal. 3d 762, 774-775.) [3 Cal. 4th 736]
Nevertheless, if the defendant "opens the door" by offering mitigating
evidence of a particular aspect of his character, the prosecutor may
introduce rebuttal evidence so long as it relates to the same specific
incident or character trait. (People v. Ramirez (1990) 50 Cal. 3d 1158,
1192-1193 [270 Cal.Rptr. 286, 791 P.2d 965].) Because I can conceive of
no other theory of admissibility, and the majority opinion suggests no
other, I assume that this is the basis on which the majority upholds the
trial court's ruling.
Defendant's testimony on direct examination tended to
prove that he had come to appreciate the gravity of the wrong he had
done by killing the Shaffers and that he was remorseful. To the extent
that it tended to prove these facts, his testimony constituted favorable
character evidence under factor (k) of Penal Code section 190.3, and
thereby opened the door to rebuttal by the prosecution directed to the
same specific traits or aspects of defendant's character. The prosecutor
could, in other words, seek to establish by cross-examination that
defendant failed to fully appreciate the enormity of his crimes and did
not feel as much remorse as he apparently claimed or as his crimes
warranted.
Whether the prosecutor could properly inquire about
the third topic-defendant's "willingness to atone for [his crimes] by
paying society's highest price"-is much less clear. Conceivably, a
capital defendant might offer his or her willingness to be executed as
favorable character evidence in mitigation, on the theory that it
demonstrated remorse and appreciation of the seriousness of the capital
crimes, but defendant did not do so in this case. True, defendant told
the jury he was not asking them for favors, only fair judgment, but such
testimony is a far cry from voluntary agreement to undergo execution. In
any event, I perceive no theory under which this topic could be relevant
other than to show remorse or appreciation for the gravity of the
capital crimes. Thus, the majority has identified at most two aspects or
traits of character that defendant placed in issue by his direct
testimony.
Of course, the prosecutor did not ask defendant how
much remorse he felt, or whether he would willingly be executed. The
prosecutor posed a quite different question. The prosecutor asked
defendant, in effect, whether execution or life imprisonment without
parole would be the more just punishment in this case. I seriously
question whether a capital defendant's opinion as to the just punishment
for his or her own crimes has "any tendency in reason" to prove the
degree of the defendant's remorse or the defendant's willingness to
undergo the ultimate penalty of death. (See Evid. Code, § 210 [defining
"relevant evidence" as evidence "having any tendency in reason to [3
Cal. 4th 737] prove or disprove any disputed fact that is of
consequence to the determination of the action"].) But I do not pursue
this point further, because the majority's reasoning suffers from a more
basic defect.
The majority's theory of relevance necessarily
assumes there is a "right" and a "wrong" answer to the prosecutor's
question. It assumes, in other words, that if defendant had given a
different answer, if he had replied that life imprisonment without
parole was the just punishment for his crimes, the prosecutor properly
could have argued and the jury reasonably could have inferred that
defendant's remorse was insufficient and that he did not fully
appreciate the gravity of his crimes. Yet a juror could draw these
inferences only by first deciding that defendant's penalty opinion was
manifestly incorrect. To do this-to decide that perpetual imprisonment
was inadequate punishment for defendant's crimes-a juror necessarily
would have to prejudge the penalty issue.
Thus, the majority's reasoning is fatally circular.
To be relevant, evidence introduced at the penalty phase must assist the
jurors in determining the appropriate penalty. But the evidence at issue
here could not be used, and thus was logically worthless, unless and
until the jurors determined whether the penalty of death was appropriate.
The majority's reasoning involves more than a mere
logical fallacy. It permits fundamentally unfair cross-examination of a
capital defendant in every case in which the defendant, in penalty phase
testimony, admits guilt while at the same time expressing remorse and
describing rehabilitation. A question calling for the defendant's
opinion as to the just penalty in the case presents the defendant with a
Hobson's choice, because there can be no exculpatory answer. A defendant
who replies, as this defendant did, that death would be the just
punishment, thereby provides persuasive support for the prosecution's
position and becomes perhaps the most damaging witness against his or
her own cause. A defendant giving the opposite response, that life
imprisonment without parole is the just punishment, is thereby laid open
to the prosecution's express or implied charge that the claimed remorse
and rehabilitation are insufficient or even insincere. Finally, a
defendant who declines to directly answer the question can expect the
prosecutor to characterize the response as evasive and uncooperative.
For all these reasons, I conclude that defendant's
opinion on the ultimate issue of penalty was irrelevant-that is, it had
no tendency in reason to prove or disprove any disputed fact of
consequence to the penalty determination. Therefore, the trial court
erred in overruling the defense objection to the [3 Cal. 4th 738]
prosecutor's question asking defendant what he thought his "just
punishment" should be.
II
When an error other than a violation of the federal
Constitution occurs at the penalty phase of a capital trial, this court
must reverse the judgment as to penalty if there is a reasonable
possibility that the error affected the verdict. (People v. Brown (1988)
46 Cal. 3d 432, 447- 448 [250 Cal.Rptr. 604, 758 P.2d 1135].) This is a
"more exacting standard of review" than that employed for state law
errors at the guilt phase. (Id. at p. 447.) Different standards are
warranted by the "fundamental difference between review of a jury's
objective guilt phase verdict, and its normative, discretionary penalty
phase determination." (Ibid.) When evidence has been erroneously
received at the penalty phase, this court should reverse the death
sentence if it is "the sort of evidence that is likely to have a
significant impact on the jury's evaluation of whether defendant should
live or die." (People v. Phillips (1985) 41 Cal. 3d 29, 83 [222 Cal.Rptr.
127, 711 P.2d 423] [cited with approval in Brown, supra, at p. 447].)
Here, the improperly received evidence was
defendant's stated opinion that he would vote for death were he one of
the twelve jurors. This dramatic testimony could not fail to make a
strong and indelible impression on the jurors, and to have a "significant
impact on the jury's evaluation of whether defendant should live or die."
(People v. Phillips, supra, 41 Cal. 3d 29, 83.)
How would a reasonable juror make use of this
improperly received evidence? If a juror believed the issue of penalty
was otherwise close, the juror might overcome any doubts about the
appropriateness of the death penalty in this case with the thought that
even defendant found this a proper case for a death verdict. This court
must reverse the penalty verdict if there is a reasonable possibility
that the jury's sense of responsibility for the penalty verdict was
diminished in this fashion. (See Caldwell v. Mississippi (1985) 472 U.S.
320, 328-329 [86 L.Ed.2d 231, 238-240, 105 S.Ct. 2633]; People v. Farmer
(1989) 47 Cal. 3d 888, 924-931 [254 Cal.Rptr. 508, 765 P.2d 940].)
The majority concludes that the testimony could not
have diminished the jurors' sense of responsibility because the jury was
properly instructed regarding its responsibility and because the
prosecutor did not mention the testimony during argument. (Maj. opn.,
ante, pp. 715-716.) I disagree. [3 Cal. 4th 739]
By overruling the defense objection to the question
eliciting this testimony, the trial court necessarily implied that
defendant's "just punishment" opinion was a proper subject for cross-examination,
and therefore that defendant's response had some legitimate role in the
process of penalty determination. Nothing in the trial court's
instructions to the jury contradicted this erroneous suggestion. There
is no reason for this court to assume that the jurors understood they
were to disregard evidence that had been adduced during the penalty
trial with the trial court's express approval. The prosecutor's silence
on the point did not cure the problem; it left the jury with no guidance
on the proper use of this testimony.
As repulsive as defendant's crimes were, this is not
a case in which the capital murders were many and of astonishing cruelty,
nor is this a case in which the defense introduced little or no evidence
of potentially mitigating circumstances. This is not a case, in other
words, in which I can say with confidence that the death penalty was
foreordained or even highly likely. I cannot escape the conclusion that
there is a reasonable possibility that the improperly received evidence
affected the penalty verdict. Therefore, I would reverse the judgment as
to penalty.