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Filed 11/9/09; on rehearing
CERTIFIED FOR PUBLICATION
IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA
SIXTH APPELLATE DISTRICT
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THE PEOPLE,
Plaintiff and Respondent,
v.
JACOB TOWNLEY
HERNANDEZ,
Defendant and Appellant.
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H031992
(Santa Cruz
County
Super. Ct.
No. F12934) |
After a jury trial defendant Jacob
Townley Hernandez (Townley) was convicted of premeditated attempted
murder, in violation of Penal Code sections 187, subdivision (a), and
664. The jury also found true the allegations that Townley had
personally used a gun and had personally inflicted great bodily injury
in committing the crime. (Pen. Code, § 12022.53, subdivision (c); §
12022.7, subd. (a).) On appeal, he raises numerous issues bearing on
his right to consult with counsel, admission of statements made by
witnesses in police interviews, prosecutor misconduct, improper judicial
comments, admission of gang evidence, and jury instructions. He further
challenges the denial of his pretrial motion to suppress evidence
obtained as a result of his detention. On July 23, 2009, this court
filed an unpublished opinion affirming the judgment. On August 14,
2009, we granted Townley’s petition for rehearing to give more attention
to a gag order that prevented defense counsel from discussing the
contents of two declarations by witnesses with Townley. Upon further
review, for the reasons stated below, we will reverse the judgment.
I. Background
Seventeen-year-old Townley was accused
by information with attempted murder, committed with three accomplices:
18-year-old Jose Ruben Rocha, 16-year-old Jesse Carranco, and
18-year-old Noe Flores. The charges arose from the shooting of Javier
Zurita Lazaro around 9:00 p.m. on February 17, 2006. In a telephone
call at about 7:00 p.m. that night, Townley asked Flores to "do a
ride." Flores drove his 1992 white Honda Accord to pick up Townley and
his girlfriend, Amanda Johnston, in Santa Cruz. Once in the car,
Townley showed Flores a small black handgun, which Flores handled and
returned to Townley.
Townley directed Flores to drive to
Watsonville, where they picked up Carranco (known as "Little Huero") and
Rocha (known as "Listo"), whom Flores had not met before. Townley was
wearing People's Exhibit 23, a red and black plaid flannel jacket, which
Johnston had given him as a gift. Carranco wore a red hooded
sweatshirt; he had four dots tattooed on his knuckles, signifying his
association with the Norteno gang. Flores wore black sweatpants, a
white T-shirt, gloves, and a black zip-up hooded sweatshirt. Rocha wore
a black flannel jacket with white in it.
The group then drove back to Santa
Cruz, dropping Johnston off before heading downtown. They went to an
apartment on Harper Street where Anthony Gonzalez lived. About 20
minutes later, the four drove toward the Ocean Terrace apartments,
located at the corner of Merrill Street and 17th Avenue in an area known
as Sureno gang territory. As they were moving down 17th Avenue, they
saw Javier Lazaro on the sidewalk across the street, walking back to his
apartment at the Ocean Terrace complex. Lazaro, aged 29, was not
associated with any gang, but the sweatshirt he wore was blue, the color
associated with the Surenos. Carranco told Flores in a "[k]ind of
urgent" voice to turn around and pull over, and Flores did so. Grabbing
a T-ball bat that Flores kept in the front passenger area, Carranco
jumped out of the car, along with Townley and Rocha. Flores waited in
the driver's seat with the engine running. He heard what sounded like
firecrackers; then the three others ran back to the car and Carranco
told him "urgently" to go. Flores drove away rapidly with his
passengers and followed Carranco's directions back to Gonzalez's
apartment.
Lazaro testified that as he was walking
back to his apartment he heard three or four voices from inside Flores's
car, and then someone yelled, "Come here." He thought it was directed
at someone else, so he continued walking without turning around. Just
as he reached the parking lot of the apartment complex, he saw the group
get out of the car and run across the street toward him. They asked him
whether he was Norteno or Sureno. At that point Lazaro was frightened
and ran, until he felt something push him to the ground. Lazaro
received five gunshot wounds, including a fractured rib and a bruised
lung. Two bullets remained in his body.
Lazaro did not see who shot him, but
Ginger Weisel, Lazaro's neighbor, was in the parking lot when Lazaro
walked away from the group. She heard them call out "fucking scrap" and
ask where Lazaro was from before seeing one of them shoot Lazaro six to
eight times. Lazaro fell after about four shots. Weisel recalled that
the shooter was about five feet, nine inches tall
and wore a red and black plaid Pendleton shirt. Weisel called 911 from
her apartment and returned to help Lazaro.
David Bacon was driving on 17th Avenue
when he saw Flores's car parked in a no-parking zone. He saw what
appeared to be two Latino males of high school age, about five feet 10
inches tall. Seconds later he heard snapping sounds and saw one of the
group standing in a "classic shooting position," holding a gun. He
heard a total of five or six shots from what appeared to be a
small-caliber gun. Bacon had the impression that the shooter wore a
plaid jacket, which could have been People's Exhibit 22. The second man
appeared to be a lookout. Bacon then saw two people run back to the
car, which sped away. He parked his car, called 911, and returned to
help Lazaro, who was lying on the ground with two women tending to him.
Emergency personnel arrived within a minute after the last shot.
Susan Randolph stepped outside her home
on 17th Avenue when she heard the gunshots. She described the three as
young Latinos between 16 and 20 years old, ranging from five feet, six
inches to five feet, nine inches.
Julie Dufresne was driving on 17th
Avenue with Jeanne Taylor when she heard popping noises that sounded
like fireworks, followed immediately by three people running across the
street in front of her car. They were all about her height, five feet
nine or 10 inches, or probably shorter, and they appeared to be between
15 and 20 years old. One wore a thin, red and black plaid flannel
jacket.
Taylor thought there were five popping
sounds, followed by the "three young men" running across the street in
front of the car. One of them was less than five feet, five inches and
wore what looked like a plaid Pendleton shirt in black and red. He
appeared to be staggering as if he were drunk or "having difficulty with
his coordination." The other two were taller; one wore a white and
black plaid shirt, People's Exhibit 22, and the other a hooded
sweatshirt. When they reached the white car, one went to the backseat
on the driver's side, and the other two went around to the passenger
side. Taylor thought that People's Exhibit 23 looked like the red and
black shirt the "shorter person" had been wearing; Dufresne "couldn't
say for sure."
Randi Fritts-Nash was one of the
teenagers drinking at the Harper Street apartment. Sitting in
Gonzalez's bedroom with five others, she heard a car pull into the
parking lot, followed by a couple of knocks at the window. Gonzalez
went to the window and then left the room. Before he left, Fritts-Nash
heard the anxious voices of two people outside, one of whom said the
words "hit" and "scrap."
When Gonzalez reappeared, Townley and
the other three were with him. Townley was wearing a red and black
plaid jacket, People's Exhibit 23. Fritts-Nash heard Townley say
something to Gonzalez about Watsonville Nortenos. She also saw Townley
pull a small handgun out of his pocket and wipe off the prints with a
blanket. Townley moved the gun several times from one pocket to
another, saying, "I need to hide this gun." He also told her he was
"looking at 25 to life." Rejecting Fritts-Nash's suggested hiding
place, Townley put the gun in his shoe and a small black velvet bag of
bullets into his other shoe. Townley told her to cross her fingers for
good luck. Fritts-Nash asked him if he had shot someone; his head
movement indicated an affirmative answer.
Townley and Carranco were tried
together as adults under Welfare and Institutions Code section 707,
subdivision (d)(2). On January 25, 2007, the court granted Townley's
motion to sever his trial from that of his codefendants. Before trial
both Flores and Rocha entered into plea agreements in which the
prosecution would reduce the charges in exchange for their declarations
under penalty of perjury. Flores thereafter pleaded guilty to assault
with a firearm subject to a three-year prison term, and the prosecutor
dismissed the attempted murder charge against him. Rocha pleaded guilty
to assault with force likely to produce great bodily injury, with an
expected sentence of two years. On the same date that Flores and Rocha
entered their pleas, April 17, 2007, the prosecution filed a motion to
reconsolidate the cases against Carranco and Townley, which the court
subsequently granted on April 26, 2007.
The jury found Townley guilty of
attempted premeditated murder and found the People's allegations of
firearm use and great bodily injury to be true. (Pen. Code, § 12022.53,
subds (b), (c), (d); § 12022.5, subd. (a); § 12022.7, subd. (a).) On
September 12, 2007, he was sentenced to life in prison with the
possibility of parole for the attempted murder, with a consecutive term
of 25 years to life for the section 12022.53 firearm enhancement.
II. Discussion
A. Issues Related to Witness Declaration
1. Restriction on Attorney-Client Discussion of the
Flores Declaration
The guilty pleas in Flores's and
Rocha's cases were taken in closed proceedings and the reporter's
transcripts were sealed by trial court order.
At Flores's plea hearing the prosecutor stated that Flores would be
permitted to serve his sentence out of state "because he was previously
stabbed in the jail. There are very serious concerns about his physical
well-being."
Rocha's declaration stated that he
understood that he had "to tell the judge in open court and under oath
what I myself did on February 17, 2006." In Flores's declaration, on
the other hand, he stated: "I understand that I have to tell the judge
in open court and under oath that the contents of this declaration are
true." He also stated, "I do understand that I may be called as a
witness in any hearing related to the events that transpired on February
17, 2006."
At each change-of-plea hearing, the
court ordered the declaration to be filed under seal, to be opened only
if the prosecution called him to testify about any of the matters
covered in the declaration. Defense counsel were permitted to look at
the document, but they were "prohibited from discussing the contents or
the existence of the document with their client or any other person."
Defense counsel also were not permitted to have a copy of the
declarations. As the Attorney General notes, Flores's counsel
emphasized that, even if the declaration was opened under those
circumstances, it "will not ultimately be part of the paperwork that
follows Mr. Flores to his prison commitment." Thereafter, the
prosecution provided a written copy to the defense counsel.
Counsel for Townley and Carranco were
unsuccessful in moving to withdraw the order not to discuss the contents
or existence of the document with their clients. At a hearing from
which the defendants were excluded, the court reasoned that it would be
improper to rescind the order without Flores's and Rocha's counsel being
present. The court did advise defense counsel that if the witnesses
testified inconsistently with their statements, then the sealing order
"would be undone" and counsel would be free to cross-examine them with
the declarations. When the prosecutor asserted that defense counsel had
a right to use the documents to cross-examine and impeach them, the
court stated, "That's going a little beyond what we put on the record,
those plea agreements. The agreement was for their protection." The
court agreed with the prosecutor's statement, "So once they take the
stand, the order would necessarily disappear because it doesn't make
sense anymore."
Neither Flores nor Rocha was on the
prosecutor's list of proposed witnesses filed April 27, 2007. Rocha was
not called as a witness at trial. Flores was called as a witness on the
second day of trial testimony. At the end of the day, in the jury's
absence, his attorney was called in to a hearing at which the court
explained that, "in order to provide for adequate cross-examination of
Mr. Flores . . . that Counsel be provided with copies of his statement.
. . . [T]he statement may not be shared with the clients. We've already
talked about that." "They're subject to the same nondisclosure to
clients, to investigator, to other attorneys[. I]t's only to be used
by" defense counsel for purposes of cross-examination. "They have to be
returned." Carranco's counsel asked again to be able to discuss it with
his client. The court denied the request, pointing out that counsel had
a lengthy statement from Flores to the police. The court added, "Put
that in your briefcase and do not share it with Mr. Carranco. Put it in
[your] briefcase right now."
Direct examination of Flores resumed
two trial days later. He was the sole witness on the fifth day of
testimony. During Carranco's cross-examination of Flores, the
prosecutor successfully objected to defense counsel's reading the title
of the document. Carranco's counsel tried to ask Flores about the
requirement that he sign the declaration in order to obtain the
three-year sentence; again the prosecutor's objection was sustained, as
was a question about Flores's methamphetamine use on the night of the
shooting. In the jury's absence, the court explained that it also
sustained some of the prosecutor's objections because they were
"questions about things that weren't in the document . . . suggesting to
the jury that we'd intentionally omitted facts. And that's
misleading." The court stated that "[t]he document is sealed for
protection of Mr. Flores." The examination of Flores concluded on the
sixth day of testimony. Eventually the trial court took judicial notice
of the fact that the declaration was part of the plea bargain and
accordingly instructed the jury.
On appeal, Townley contends that the
court's restrictions before trial and during examination of Flores
violated Townley's Sixth Amendment right to consult with his attorney.
Finding no California authority directly on point, we review federal
authority.
Maine v. Moulton (1985) 474 U.S.
159 (106 S.Ct. 477) recognized at pages 168 and 169: "The right to the
assistance of counsel guaranteed by the Sixth and Fourteenth Amendments
is indispensable to the fair administration of our adversarial system of
criminal justice. [Fn. omitted.] Embodying 'a realistic recognition of
the obvious truth that the average defendant does not have the
professional legal skill to protect himself' (Johnson v. Zerbst
[(1938)] 304 U.S. 458, 462-463), the right to counsel safeguards the
other rights deemed essential for the fair prosecution of a criminal
proceeding."
"The special value of the right to the
assistance of counsel explains why '[i]t has long been recognized that
the right to counsel is the right to the effective assistance of
counsel.' " (U. S. v.
Cronic (1984) 466 U.S. 648, 654 [104 S.Ct. 2039], quoting McMann
v. Richardson (1970) 397 U.S. 759, 771, fn. 14 [90 S.Ct. 1441].)
Courts have recognized that legal
assistance can be more effective when attorneys and clients are allowed
to confer, consult, and communicate. Inevitably, there are practical
limitations that restrict the opportunities of criminal defendants to
consult with their attorneys, including the defendant's custodial
status, technological means available, the attorney's other commitments,
the availability of courtrooms, the needs for orderly and timely court
proceedings. In the context of a request for continuance, the United
States Supreme Court has recognized, "Not every restriction on counsel's
time or opportunity to investigate or to consult with his client or
otherwise to prepare for trial violates a defendant's Sixth Amendment
right to counsel." (Morris v. Slappy (1983) 461 U.S. 1, 11 [103
S.Ct. 1610].) But when the government unjustifiably interferes with
attorney-client communication, the result may be determined to be a
violation of a criminal defendant's constitutional "right to the
assistance of counsel." (Geders v. United States (1976) 425 U.S.
80, 91 [96 S.Ct. 1330] [Geders].)
In Perry v. Leeke (1989) 488
U.S. 272 (109 S.Ct. 594) (Perry), the United States Supreme Court
discussed 20 cases from federal and state courts (but not California) in
footnote 2 on page 277 in support of the proposition: "Federal and
state courts since Geders have expressed varying views on the
constitutionality of orders barring a criminal defendant's access to his
or her attorney during a trial recess." (Cf. Annot., Trial court's
order that accused and his attorney not communicate during recess in
trial as reversible error under Sixth Amendment guaranty of right to
counsel (1989) 96 A.L.R. Fed. 601; Annot., Scope and extent, and remedy
or sanctions for infringement, of accused's right to communicate with
his attorney (1966) 5 A.L.R.3d 1360.)
In Geders, the United States
Supreme Court held "that an order preventing petitioner from consulting
his counsel 'about anything' during a 17-hour overnight recess between
his direct- and cross-examination impinged on his right to the
assistance of counsel guaranteed by the Sixth Amendment." (Geders,
supra, 425 U.S. 80, 91.) In Perry, the United States
Supreme Court held "that the Federal Constitution does not compel every
trial judge to allow the defendant to consult with his lawyer while his
testimony is in progress if the judge decides that there is a good
reason to interrupt the trial for a few minutes." (Perry,
supra, 488 U.S. 272, 284-285.) "[W]hen a defendant becomes a
witness, he has no constitutional right to consult with his lawyer while
he is testifying." (Id. at p. 281.) In Perry, "[a]t the
conclusion of his direct testimony, the trial court declared a 15-minute
recess, and, without advance notice to counsel, ordered that petitioner
not be allowed to talk to anyone, including his lawyer, during the
break." (Id. at p. 274.)
California decisions are in accord.
People v. Zammora (1944) 66 Cal.App.2d 166 (Zammora) appears
to have been a gang case of sorts (though not a criminal street gang)
involving 22 defendants, 12 of whom were convicted of murder and assault
with a deadly weapon. (Id. at pp. 173-174.) On appeal, the
defendants asserted "that the right of appellants to defend in person
and with counsel was unduly restricted by the seating arrangement of the
appellants in the courtroom, which, together with certain rulings of the
court, prevented the defendants from consulting with their counsel
during the course of the trial or during recess periods." (Id.
at p. 226.) The defendants were seated in a group in the courtroom at
sufficient distance from the five defense counsel as to be unable to
confer except by walking the distance between their locations. (Id.
at pp. 227, 234.) The court had ordered that counsel not talk to the
defendants during court recesses. (Id. at p. 227.)
The appellate court observed: "To us
it seems extremely important that, during the progress of a trial,
defendants shall have the opportunity of conveying information to their
attorneys during the course of the examination of witnesses. The right
to be represented by counsel at all stages of the proceedings,
guaranteed by both the federal and state Constitutions, includes the
right of conference with the attorney, and such right to confer is at no
time more important than during the progress of the trial." (Zammora,
supra, 66 Cal.App.2d 166, 234.) "The Constitution primarily
guarantees a defendant the right to present his case with the aid of
counsel. That does not simply mean the right to have counsel present at
the trial, but means that a defendant shall not be hindered or
obstructed in having free consultation with his counsel, especially at
the critical moment when his alleged guilt is being made the subject of
inquiry by a jury sworn to pass thereon." (Id. at pp. 234-235.)
The convictions were reversed on this basis. (Id. at
pp. 235-236.)
People v. Miller (1960) 185
Cal.App.2d 59 presented a different situation. In that case the trial
court denied a defendant's request to confer with his attorney in the
middle of the defendant's cross-examination. The appellate court
concluded, "The refusal of the trial court to permit the defendant to
speak to his counsel in the midst of his cross-examination did not
constitute an infringement upon his constitutionally guaranteed right to
counsel. This right assures a defendant of every reasonable opportunity
to consult with his counsel in the preparation and presentation of his
defense [citations], but does not confer upon him the right to obstruct
the orderly progress of a trial." (Id. at pp. 77-78.)
The court orders in the cases above
involved a total ban, though limited temporally, on attorney-client
communication, not what we may call a topical ban. None of the above
cases involved an order preventing an attorney from talking with a
defendant about a part of the evidence.
The same distinction applies to Jones v. Vacco (2d Cir. 1997) 126
F.3d 408, on which Townley relies. In that case, the trial judge
ordered the defendant not to talk to his attorney during an overnight
break in his cross-examination. (Id. at p. 411.) The court
found Geders controlling. (Id. at p. 416.)
Townley also invokes precedent
involving court orders containing topical bans of varying durations. In
four cases, trial courts barred defense attorneys from discussing the
defendant's testimony, though explicitly or implicitly allowing
consultation on other topics. In Mudd v. United States (D.C.
Cir. 1986) 798 F.2d 1509 (Mudd), the restriction was imposed
during a weekend recess between the defendant's direct and
cross-examination. (Id. at p. 1510.) In U. S. v. Cobb
(4th Cir. 1990) 905 F.2d 784 (Cobb), the restriction was imposed
during a weekend recess in the cross-examination of the defendant. (Id.
at p. 1990.) In U. S. v. Santos (7th Cir. 2000) 201 F.3d 953 (Santos),
the restriction was imposed during an overnight recess between the
defendant's direct and cross-examination. The court also essentially
told defense counsel to comply with Perry. (Id. at p.
965.) In U. S. v. Sandoval-Mendoza (9th Cir. 2006) 472 F.3d 645
(Sandoval-Mendoza), the restriction was imposed during two
morning recesses, a lunch recess, and an overnight recess in the
defendant's cross-examination. (Id. at p. 650.)
In Mudd, which predated Perry,
the court concluded that, "While the order in this case was indeed more
limited than the one in Geders, the interference with [S]ixth [A]mendment
rights was not significantly diminished." (Mudd, supra,
798 F.2d at p. 1512.) "[A]n order such as the one in this case can have
a chilling effect on cautious attorneys, who might avoid giving advice
on non-testimonial matters for fear of violating the court's
directive." (Ibid.)
The court in Cobb had "no
difficulty in concluding that the trial court's order, although limited
to discussions of Cobb's ongoing testimony, effectively denied him
access to counsel." (Cobb, supra, 905 F.2d at p. 792.)
Santos concluded, "Perry
makes clear, as do the cases before and after it (though some of the
'before' cases go too far, by forbidding any limit on discussions
between lawyer and client), that while the judge may instruct the lawyer
not to coach his client, he may not forbid all 'consideration of the
defendant's ongoing testimony' during a substantial recess, 488 U.S. at
284, since that would as a practical matter preclude the assistance of
counsel across a range of legitimate legal and tactical questions, such
as warning the defendant not to mention excluded evidence." (Id.
at p. 965.) The appellate court concluded that defense counsel in that
case "was given
confusing marching orders that may well have inhibited the
exercise of Sixth Amendment rights" (Id. at p. 966.)
In 2006, the Ninth Circuit, in reliance
on Geders and Perry, concluded in Sandoval-Mendoza
"that trial courts may prohibit all communication between a defendant
and his lawyer during a brief recess before or during cross-examination,
but may not restrict communications during an overnight recess." (Sandoval-Mendoza,
supra, 472 F.3d at p. 651, fn. omitted.) In view of this rule,
the trial court "erred in prohibiting Sandoval-Mendoza and his lawyer
from discussing his testimony during an overnight recess." (Id.
at p. 652.)
Perry explained that a criminal
defendant's right to the assistance of counsel does not include
obtaining advice during short trial recesses about how to answer ongoing
cross-examination. However, it does protect "the normal consultation
between attorney and client that occurs during an overnight recess
[which] would encompass matters that go beyond the content of the
defendant's own testimony – matters that the defendant does have a
constitutional right to discuss with his lawyer, such as the
availability of other witnesses, trial tactics, or even the
possibility of negotiating a plea bargain." (Perry, supra,
488 U.S. 272, 284; our italics.)
Despite this language in Perry,
one decision, on which the Attorney General heavily relies, has upheld
an order barring a defense attorney from identifying to the defendant
one of the witnesses anticipated the following day at trial. In
Morgan v. Bennett (2d Cir. 2000) 204 F.3d 360 (Morgan), the
Second Circuit Court of Appeals concluded "that Geders and
Perry stand for the principle that the court should not, absent an
important need to protect a countervailing interest, restrict the
defendant's ability to consult with his attorney, but that when such a
need is present and is difficult to fulfill in other ways, a carefully
tailored, limited restriction on the defendant's right to consult
counsel is permissible." (Id. at p. 367.)
In Morgan, the defendant was
charged with murder as well as the attempted murder of a former
girlfriend. The girlfriend was a potential witness. Before trial, she
declined to testify because two associates of the defendant had made
threatening statements while visiting her in jail. The defendant had
also been making comments to the witness in the courthouse halls. (Id.
at pp. 362-363.) It was apparently to avoid further witness
intimidation that the trial court made its order. (Id. at p.
368.)
The appellate court stated: "In the
present case, the problem addressed by the state trial court's limited
gag order was far more troubling than the possibility of witness
coaching involved in Geders and Perry, for intimidation of
witnesses raises concerns for both the well-being of the witness and her
family and the integrity of the judicial process."
(Id. at p. 367.) The court concluded "that valid concerns
for the safety of witnesses and their families and for the integrity of
the judicial process may justify a limited restriction on a defendant's
access to information known to his attorney." (Id. at p. 368.)
The court upheld the order, observing
that its impact was quite limited. The attorney and client could
discuss everything except the expected appearance of one witness. Since
the witness had already been scheduled to testify, defense counsel
presumably was already prepared to cross-examine her, so there was no
impact on counsel's preparation. (Id. at p. 368.)
Again, we find California law in
general accord. At issue in Alvarado v. Superior Court (2000) 23
Cal.4th 1121 (Alvarado) was not an order confining information to
defense counsel, but "the validity of an order, entered prior to trial
in a criminal action, that authorizes the prosecution to refuse to
disclose to the defendants or their counsel, both prior to and
at trial, the identities of the crucial witnesses whom the
prosecution proposes to call at trial, on the ground that disclosure of
the identities of the witnesses is likely to pose a significant danger
to their safety." (Id. at p. 1125; first italics ours.) The
court concluded that it violated neither the right of confrontation nor
due process to keep a witness's identity secret before trial for good
cause. (Id. at pp. 1034-1036.)
" 'Good cause' "
is limited to threats or possible danger to the safety of a victim or
witness, possible loss or destruction of evidence, or possible
compromise of other investigations by law enforcement." (Pen. Code, §
1054.7.) The court noted that, included in California discovery
statutes in the Penal Code, "is the requirement that a prosecutor
disclose the names and addresses of the individuals whom he or she
intends to call at trial. (§ 1054.1, subd. (a).) The disclosure may be
made to defense counsel, who is prohibited from revealing, to the
defendant or others, information that identifies the address or
telephone number of the prosecution's potential witnesses, absent
permission by the court after a hearing and a showing of good cause. (§
1054.2.)" (Alvarado, supra, at p. 1132.)
The Supreme Court found that "the
evidence presented to the trial court clearly justified its order
protecting the witnesses' identities before trial." (Alvarado,
supra, 23 Cal.4th at p. 1136.) In issuing its order after a
series of in camera hearings from which the defense was excluded, the
trial court explained in part: the charged crime was apparently an
organized jailhouse murder of a snitch ordered by the Mexican Mafia
prison gang; the Mexican Mafia is known for ordering the murders of
other snitches and it has an excellent intelligence-gathering network;
before such a murder is ordered, the gang has an informal trial based in
part on paperwork identifying the snitch; and one of the three
prospective witnesses had been cut while in jail and warned not to
testify. (Id. at pp. 1128-1129.)
As to precluding pretrial disclosure to
the defense, the court stated: "we are keenly aware of the serious
nature and magnitude of the problem of witness intimidation. [Fn.
omitted.] Further, we agree that the state's ability to afford
protection to witnesses whose testimony is crucial to the conduct of
criminal proceedings is an absolutely essential element of the criminal
justice system. As we have explained, a trial court has broad
discretion to postpone disclosure of a prospective witness's identity in
order to protect his or her safety, and may restrict such pretrial
disclosure to defense counsel (and ancillary personnel) alone." (Alvarado,
supra, 23 Cal.4th at pp. 1149-1150.)
However, the Supreme Court reached a
different conclusion about the impact on the rights of confrontation and
cross-examination of keeping a witness anonymous during trial. The
court reviewed United States Supreme Court authority requiring witnesses
in criminal trials in general to provide their names and residences
during cross-examination and a number of California and federal
appellate opinions considering whether danger to the witness changed
those requirements. (Id. at pp. 1141-1146.) It summarized
precedent as follows on page 1146. "In short, although the People
correctly assert that the confrontation clause does not establish an
absolute rule that a witness's true identity always must be
disclosed, in every case in which the testimony of a witness has been
found crucial to the prosecution's case the courts have determined that
it is improper at trial to withhold information (for example, the name
or address of the witness) essential to the defendant's ability to
conduct an effective cross-examination. (Accord, Roviaro v.
United States [(1957)] 353 U.S. 53 [when an informant is a material
witness on the issue of guilt, the prosecution must disclose his or her
identity or incur a dismissal]; Eleazer v. Superior Court (1970)
1 Cal.3d 847, 851-853 . . . [when an informant is a material witness to
the crime of which the defendant is accused, the prosecution must
disclose the informant's name and whereabouts]; People v. Garcia
(1967) 67 Cal.2d 830 . . . [same].) [Fn. omitted.]"
The court concluded in Alvarado,
"the state's legitimate interest in protecting individuals who, by
chance or otherwise, happen to become witnesses to a criminal offense
cannot justify depriving the defendant of a fair trial. Thus, when
nondisclosure of the identity of a crucial witness will preclude
effective investigation and cross-examination of that witness, the
confrontation clause does not permit the prosecution to rely upon the
testimony of that witness at trial while refusing to disclose his or her
identity." (Id. at p. 1151.) "[W]e conclude that the trial
court erred in ruling, on the record before it, that the witnesses in
question may testify anonymously at trial." (Id. at p. 1149, fn.
omitted.)
It is also relevant to our analysis
that a criminal defendant in California is generally entitled to
discover before trial "[r]elevant written . . . statements of witnesses
. . . whom the prosecutor intends to call at the trial." (Pen. Code, §
1054.1, subd. (f); cf. Funk v. Superior Court (1959) 52 Cal.2d
423, 424.) People v. Fauber (1992) 2 Cal.4th 792 stated on page
821: "[T]he existence of a plea agreement is relevant impeachment
evidence that must be disclosed to the defense because it bears on the
witness's credibility. (Giglio v. United States (1972) 405 U.S.
150, 153-155 . . . .) Indeed, we have held that 'when an accomplice
testifies for the prosecution, full disclosure of any agreement
affecting the witness is required to ensure that the jury has a complete
picture of the factors affecting the witness's credibility.' (People
v. Phillips (1985) 41 Cal.3d 29, 47 . . . .)"
With the foregoing precedent in mind,
we examine the order at issue and the parties' contentions. Absent
countervailing considerations, Flores's written statement should have
been disclosed to the defense during pretrial discovery once the
prosecutor determined to call him as a witness, particularly because it
reflected a plea agreement that was potentially relevant to his
credibility. In this case, there were apparently some countervailing
considerations that motivated the trial court to order the conditional
sealing of the statement as well as the reporter's transcript of
Flores's change of plea hearing that contained the court's sealing
order. Flores's counsel expressed his concern that the paperwork not
follow him into prison. The court several times stated that the order
was made for the protection of Flores.
On appeal, the Attorney General asserts
that "[t]his state's policy of protecting witnesses from bodily harm and
intimidation is in accord with the principles in Morgan." "[T]he
trial court's order here was narrowly tailored to address a compelling
need to protect witness Flores's life. Flores was a cooperating witness
in a gang-motivated attempted murder. He had been assaulted and stabbed
with a knife while in pretrial custody." Citing a web site and the
facts in People v. Reyes (2008) 165 Cal.App.4th 426, 429, the
Attorney General claims, "[i]t is well established that a cooperating
witness's assistance to law enforcement is severely punished (usually
with death) when the 'paperwork' documenting the individual's
cooperation becomes known to the gang community."
This assertion is an attempt to create
a record that was not made in this case to justify a restriction broader
than the one upheld in Morgan, supra, 204 F.3d 360. In
that case, defense counsel was prohibited from disclosing that the
attempted murder victim would be appearing as a witness the following
day. In this case, defense counsel was prohibited, as best we can tell,
from both showing Flores's written declaration to Townley and discussing
its contents with him, whether before, during, or after Flores's
testimony at trial. Contrary to the Attorney General's
characterization, this went well beyond "simply prevent[ing] the
documentary evidence of Flores's cooperation . . . from being circulated
through [Townley] into jail and prison populations." If that were the
court's objective, it could have been served by a much more limited
order prohibiting counsel from providing Townley with a copy, while
permitting discussion of its contents.
The Attorney General asserts that the
"order did not materially impede defendant's ability to consult with his
attorney about Flores's knowledge of the crime and his statements."
After all, Townley and his counsel had access to a police report of an
interview of Flores. According to the Attorney General, "[t]hese
statements were substantially similar." According to a part of
Townley's petition for rehearing that was filed under seal, there are 23
different details in the declaration. Since the declaration remains
under seal, it would be improper for us to discuss purported differences
in an opinion that will become part of the public record. To the extent
there was no difference between the report and the declaration, we
perceive no need to prohibit defense counsel from discussing the
contents of the declaration with Townley. But we have to wonder why the
prosecutor drafted a declaration for Flores to sign if his other
pretrial statements were equally incriminatory.
The Attorney General further points out
that Townley did eventually learn at trial about the existence and
contents of Flores's sealed declaration, at least to the extent that its
contents were brought out during direct and cross examination of
Flores. The Attorney General asserts that "nothing in the court's order
prevented counsel from discussing fully with his client Flores's
testimony at trial."
We do not believe that the scope of the
court's order was that clear. During in limine motions, the court
acceded to the prosecutor's statement that "the order would necessarily
disappear" once Flores or Rocha took the witness stand. But later,
during the direct examination of Flores, the court denied a request by
Carranco's counsel to discuss the statement with his client and
instructed counsel to put the written statement in his briefcase
immediately. The court had initially explained the terms and conditions
of the sealing order at Flores's change of plea hearing, but Townley's
attorney was not present at that hearing and its transcript was itself
sealed, at least initially. As restated by the court during the trial,
the order could be reasonably interpreted as prohibiting counsel from
discussing the contents of the declaration with Townley even after
Flores testified to the contents. Any ambiguity in the sealing order
could well encourage defense counsel to err on the side of caution to
avoid the risk of "inviting the judge's wrath, and possibly even
courting sanctions for contempt of court, in disobeying the judge's
instruction." (U. S. v. Santos, supra, 201 F.3d 953,
966.)
For the sake of discussion, we will
accept the holding of Morgan, supra, 204 F.3d 360, "that
the court should not, absent an important need to protect a
countervailing interest, restrict the defendant's ability to consult
with his attorney, but that when such a need is present and is difficult
to fulfill in other ways, a carefully tailored, limited restriction on
the defendant's right to consult counsel is permissible." (Id.
at p. 367.)
Even under this test, the challenged
order exhibits fatal defects. As indicated above, it was not carefully
tailored to serve the objective of keeping "paperwork" out of the hands
of prison gangs. Instead, it appears to have been tailored to allow the
prosecution to produce trial testimony that was a surprise to Townley,
if not his counsel. It was also tailored to impede counsel's
investigation of the accuracy of the declaration, as he was prohibited
from discussing its contents with Townley, his investigator, and anyone
else.
In addition, assuming that such a
nondisclosure order could be justified based on an "important need" for
witness protection, there was no express finding or showing of this kind
of good cause. Rule 2.550 of the California Rules of Court provides in
part: "Unless confidentiality is required by law, court records are
presumed to be open." (Subd. (c).) "The court may order that a record
be filed under seal only if it expressly finds facts that establish:
[¶] (1) There exists an overriding interest that overcomes the right of
public access to the record; [¶] (2) The overriding interest supports
sealing the record; [¶] (3) A substantial probability exists that the
overriding interest will be prejudiced if the record is not sealed;
[¶] (4) The proposed sealing is narrowly tailored; and [¶] (5) No
less restrictive means exist to achieve the overriding interest." (Subd.
(d).)
We do not discount the evidence that
Flores was stabbed in jail. But we see neither evidence nor a finding
in the record that this assault was directed or intended by Townley or
his codefendant or the Mexican Mafia or any other gang to silence Flores
in this case. There is no allusion in the sealed record to other
hearings at which Flores or the prosecution made such a showing. On
this point, the record pales in comparison to the evidence of witness
intimidation before the trial courts in Morgan and in
Alvarado. And we note that, despite the compelling showing made in
Alvarado, the California Supreme Court concluded that it did not
justify allowing witnesses in a prison gang case to testify anonymously
at trial. In that case, the court discussed a number of other ways by
which the government could attempt to ensure witness safety and prevent
witness intimidation. (Alvarado, supra, 23 Cal.4th 1121,
1150-1151.) In seeking to accomplish these worthy objectives, trial
courts should consider the entire range of available alternatives before
imposing orders that restrict open communication and consultation
between criminal defendants and their counsel about the written pretrial
statements of prosecution witnesses against the defendant.
Without more evidence of good cause for
a court order barring defense counsel from discussing the contents of
Flores's written declaration with Townley, we conclude that this order
unjustifiably infringed on Townley's constitutional right to the
effective assistance of counsel.
The remaining question is what standard
of prejudice applies to such a constitutional violation. That was the
question on which the United States granted certiorari in Perry,
supra, 488 U.S. 272. (Id. at p. 277.) The court
concluded, "[t]here is merit in petitioner's argument that a showing of
prejudice is not an essential component of a violation of the rule
announced in Geders. In that case, we simply reversed the
defendant's conviction without pausing to consider the extent of the
actual prejudice, if any, that resulted from the defendant's denial of
access to his lawyer . . . ." (Id. at pp. 278-279.) The court
distinguished its later discussion in Strickland v. Washington
(1984) 466 U.S. 668 of "the standard for determining whether counsel's
legal assistance to his client was so inadequate that it effectively
deprived the client of the protections guaranteed by the Sixth
Amendment." (Perry, supra, at p. 279.) Strickland's
citation of Geders "was intended to make clear that '[a]ctual or
constructive denial of the assistance of counsel altogether' [citation],
is not subject to the kind of prejudice analysis that is appropriate in
determining whether the quality of a lawyer's performance itself has
been constitutionally ineffective." (Id. at p. 280.)
Despite this clear holding, the
Attorney General argues that the automatic reversal rule adopted by
Perry does not qualify under later United States Supreme Court rules
for identifying structural error.
U. S. v. Gonzalez-Lopez (2006)
548 U.S. 140 (126 S.Ct. 2557) explained this concept at pages 148 and
149. "In Arizona v. Fulminante, 499 U.S. 279 . . . (1991), we
divided constitutional errors into two classes. The first we called
'trial error,' because the errors 'occurred during presentation of the
case to the jury' and their effect may 'be quantitatively assessed in
the context of other evidence presented in order to determine whether
[they were] harmless beyond a reasonable doubt.' (Id., at
307-308 (internal quotation marks omitted).) These include 'most
constitutional errors.' (Id., at 306.) The second class of
constitutional error we called 'structural defects.' These 'defy
analysis by "harmless-error" standards' because they 'affec[t] the
framework within which the trial proceeds,' and are not 'simply an error
in the trial process itself.' (Id., at 309-310 [fn. omitted.]
See also Neder v. United States, 527 U.S. 1, 7-9 . . . (1999).)
Such errors include the denial of counsel, see Gideon v. Wainwright,
372 U.S. 335 . . . (1963), the denial of the right of
self-representation, see McKaskle v. Wiggins, 465 U.S. 168,
177-178, n. 8, . . . (1984), the denial of the right to public trial,
see Waller v. Georgia, 467 U.S. 39, 49, n. 9, . . . (1984), and
the denial of the right to trial by jury by the giving of a defective
reasonable-doubt instruction, see Sullivan v. Louisiana, 508 U.S.
275 . . . (1993)." To that list of structural errors, U. S. v.
Gonzalez-Lopez, supra, 548 U.S. 140 added "erroneous
deprivation of the right to counsel of choice." (Id. at p. 150.)
The United States Supreme Court has not
expressly considered whether Geders involved a structural defect
or a trial error. Some federal courts have avoided answering this
question by finding other reversible error. (U. S. v.
Sandoval-Mendoza, supra, 472 F.3d 645, 652; U. S. v.
Santos, supra, 201 F.3d 953, 966.) However, Geders
was among the cases cited in footnote 25 of U. S. v. Cronic,
supra, 466 U.S. 648 for the proposition, "The Court has uniformly
found constitutional error without any showing of prejudice when counsel
was either totally absent, or prevented from assisting the accused
during a critical stage of the proceeding." (Id. at p. 659, fn.
25.) Jones v. Vacco, supra, 126 F.3d 408 stated,
"Inherent in Geders, and later made explicit, is the presumption
that prejudice is so likely to follow a violation of a defendant's Sixth
Amendment right to counsel that it constitutes a structural defect which
defies harmless error analysis and requires automatic reversal." (Id.
at p. 416.)
Mudd, supra, 798 F.2d
1509, which was decided before Perry, reasoned: "We find that a
per se rule best vindicates the right to the effective assistance
of counsel. To require a showing of prejudice would not only burden one
of the fundamental rights enjoyed by the accused [citation], but also
would create an unacceptable risk of infringing on the attorney-client
privilege. [Citation.] The only way that a defendant could show
prejudice would be to present evidence of what he and counsel discussed,
what they were prevented from discussing, and how the order altered the
preparation of his defense." (Id. at p. 1513.)
We need not wander far afield to
determine whether the United States Supreme Court meant what it said in
Perry. The Attorney General provides no authority that the
United States Supreme Court has retreated from that holding. The
Attorney General's attempts to minimize the impact of the restriction in
this case of "counsel's ability to confer with his client on one very
limited topic" do not alter our conclusion that on this topic – the
written declaration of an accomplice who was a significant witness at
trial – Townley was deprived by court order of the effective assistance
of counsel. It follows that Townley is entitled to reversal without
making a showing of prejudice resulting from this error. In light of
this conclusion, we consider other issues only to the extent necessary
to provide guidance in the event of a retrial. We need not and do not
reach Townley's claims of prosecutorial misconduct and improper judicial
comment.
2. Testimony by Flores to a Particular Version of
Facts
"A prosecutor may grant immunity from
prosecution to a witness on condition that he or she testify truthfully
to the facts involved. (People v. Green (1951) 102 Cal.App.2d
831, 838-839 . . . .)" (People v. Boyer (2006) 38 Cal.4th 412,
455.) "[A]n agreement [that] requires only that the witness testify
fully and truthfully is valid, and indeed such a requirement would seem
necessary to prevent the witness from sabotaging the bargain." (People
v. Fields (1983) 35 Cal.3d 329, 361.) "But if the immunity
agreement places the witness under a strong compulsion to testify in a
particular fashion, the testimony is tainted by the witness's
self-interest, and thus inadmissible. (People v. Medina (1974)
41 Cal.App.3d 438, 455 . . . .) Such a 'strong compulsion' may be
created by a condition ' "that the witness not materially or
substantially change her testimony from her tape-recorded statement
already given to . . . law enforcement officers." ' (People v.
Medina, supra, 41 Cal.App.3d at p. 450.)" (People v. Boyer,
supra, 37 Cal.4th at p. 455.)
In this case Townley contends that
Flores's declaration compelled him to testify to the version of facts
contained in that document or risk being prosecuted for perjury and
losing the benefit of his plea bargain. That compulsion, Townley
insists, "tainted" Flores's testimony, resulting in error that was
prejudicial in light of the importance the prosecutor placed on this
testimony. We disagree. In the declaration Flores averred that the
statements he was making in the document were "true under penalty of
perjury." He had discussed his statement with his attorney and had not
been threatened or offered an agreement to testify in exchange for
telling the truth in the declaration, aside from the plea agreement his
attorney had negotiated. Flores's understanding that he would be
expected to – indeed, "have to"-- tell the judge that he had made
truthful statements in the declaration did not nullify his claim in the
declaration itself that he was telling the truth. The trial court
properly interpreted Flores's statement to mean that if he
testified, he must do so truthfully. Furthermore, we have taken
judicial notice of a subsequent modification of Flores's declaration.
The challenged sentence was replaced with the following: "I understand
that I have to acknowledge to the Judge in open court and under oath
that the contents of this declaration are true at the time of the
entrance of my plea." Also added was Flores's handwritten statement, "I
understand if called as a witness I must tell the truth." Flores was
cross-examined on these changes at trial.
In these procedural circumstances we
find no error. The declaration at issue does not compare to People
v. Medina, supra, 41 Cal.App.3d at page 450, where accomplice
witnesses were given immunity on the condition that they not "materially
or substantially" alter their testimony from the recorded account they
had given to the police. Also clearly distinguishable is People v.
Green, supra, 102 Cal.App.2d at pages 838-839, where the
accomplice was promised dismissal of the case against him if his
testimony resulted in the defendant's being held to answer for the same
charges. It was not improper to require the witness to tell the truth
in court.
3. Earlier Versions of Witness Declarations
Townley next contends that he should
have been afforded the opportunity to inspect previous versions of
Flores's and Rocha's declarations, which they had declined to sign,
along with correspondence between the prosecutor and Flores about
factual scenarios Flores refused to confirm. In Townley's view, these
materials were discoverable under section 1054 and its predecessor
authority, People v. Westmoreland (1976) 58 Cal.App.3d 32. In
Westmoreland, the court held that the prosecutor must disclose to
the defense "any discussions he may have had with the potential witness
as to the possibility of leniency in exchange for favorable testimony
even though no offer actually was made or accepted." (58 Cal.App.3d at
pp. 46-47.) Townley further argues that the withholding of these
"discussions of leniency" denied him his constitutional rights to due
process and confrontation of witnesses.
The trial court expressed the view that
prior drafts of the witnesses' plea agreements were "not evidence of
anything." It did, however, query whether an unsigned version might
allow the jury to find a discrepancy worth exploring at trial. The
prosecutor maintained that this was work product, a "creature of [her]
head" which was not discoverable, and the People adhere to this position
on appeal. After extensive discussion among counsel and the court, the
court reiterated its opinion that an unsigned declaration was not
evidence of anything and that no obligation to produce it arose under
Brady v. Maryland (1963) 373 U.S. 83 (83 S.Ct. 1194).
We find no error in this ruling. Even
discounting the People's position that the prosecutor's suggested
version represented her work product, we nonetheless agree with the
court that the unsigned declaration was not relevant or material
evidence. This case does not present facts similar to those in
Westmoreland, where the prosecutor remained silent while the witness
falsely testified that he had not been offered the opportunity to plead
guilty to a lesser offense. Here there was no attempt to mislead the
jury or any arrangement that was not disclosed to the defense. Flores
was not promised leniency beyond the negotiated disposition of his
case. And here the witness did not agree to any version of the document
except the one he signed. That was the relevant evidence that was
material to Flores's credibility, and on that document defense counsel
were permitted to cross-examine the witness.
Furthermore, even if any prior draft
was material evidence favorable to the defense, any error in excluding
it was harmless beyond a reasonable doubt. (Cf. People v. Phillips,
supra, 41 Cal.3d 29, 48 [failure to disclose agreement between
prosecution and witness's attorney but not communicated to witness
harmless error].) The jury was fully informed of the details of the
plea bargain between Flores and the prosecution. He was cross-examined
on the discrepancy between his testimony and his declaration, including
the statement in the declaration that he had been wearing a "red and
black Pendleton shirt" on the night of the shooting. In addition, the
court instructed the jury that Flores's declaration was part of his plea
agreement with the prosecution. The withholding of the earlier versions
offered to Flores was not prejudicial to Townley.
B. Exclusion of Defendants during Discussions of Declarations
Townley next claims that his exclusion
from hearings at which the declarations were discussed violated his
constitutional right to be present at critical stages of the proceedings
against him. "The rule is established that a defendant has a federal
constitutional right that emanates not only from the confrontation
clause of the Sixth Amendment but also from the due process clause of
the Fourteenth Amendment to be present at any stage of the criminal
proceedings ' "that is critical to its outcome if his presence would
contribute to the fairness of the procedure." ' [Citations.]" (People
v. Marks (2007) 152 Cal.App.4th 1325, 1332-1333.) It is also
settled, however, that "a defendant does not have a right to be present
at every hearing held in the course of a trial. 'During trial, a
defendant is not entitled to be personally present at the court's
discussions with counsel occurring outside the jury's presence on
questions of law or other matters unless the defendant's presence bears
a reasonable and substantial relation to a full opportunity to defend
against the charges. [Citation.] A defendant claiming a violation of
the right to personal presence at trial bears the burden of
demonstrating that personal presence could have substantially benefited
the defense. [Citation.]' " (People v. Price (1991) 1 Cal.4th
324, 407-408.)
Townley has not met that burden. He
has not shown that his physical presence would have contributed to his
attorney's efforts to secure a retraction of the order to withhold the
declarations from him. Nor does he offer argument to support the bare
assertion that "the error was not harmless beyond a reasonable doubt."
C. Admission of Witness Statements for Impeachment
At trial the prosecution called Anthony
Gonzalez and Sarah Oreb, who were among the teenagers at Gonzalez's
Harper Street apartment when Townley arrived with Flores, Carranco, and
Rocha. Oreb, who was Gonzalez's girlfriend at the time, said that she
was "pretty drunk" when sheriffs arrived. To one of the officers,
Stefan Fish, however, Oreb appeared to be sober. Several of the
teenagers were taken to the sheriff's office for interrogation.
During her first interview by Detective
Pintabona, Oreb said she saw the white Honda, a statement she denied at
trial. Oreb contributed no further information to Pintabona; she swore
"on [her] life up and down" that she did not hear anyone say what
Pintabona quoted four others as saying, that the visitors to Gonzalez's
apartment had "just shot some scraps." Even when Pintabona insinuated
that she could be treated as an accessory, she insisted that she was
telling him the truth and that he was "badgering " her to get her to
lie. While sitting with the others in the hallway, Oreb saw Gonzalez
being taken into custody. A short time later, angry and frustrated, she
was re-interviewed. This time Oreb said she heard the words "hit" or
"scrap." At trial, she explained that she had told that to Pintabona
only so that she could go home. By that time it was almost 7:00 a.m.;
she had not slept and had not eaten since the evening.
Stefan Fish, a sergeant by the time of
trial, testified that the day after the shooting, Oreb contacted him by
telephone and agreed to meet with him because she "felt bad" that she
had not previously told the investigator what she had heard the night
before. Oreb said that she was at the window in Gonzalez's apartment
when she heard one of the people outside say that a "Scrap got hit."
At trial Oreb recanted much of her
statement to the police. During examination as a hostile witness by the
prosecution, she denied hearing the words "I hit a scrap" spoken outside
the window. She testified that the police took her and her friends to
the police station, where she told the officers that she had not heard
anything outside the window. The police did not believe her, and they
kept threatening to lock her up "just like [her] boyfriend," so she
eventually lied and told the officer what he wanted to hear. Oreb
denied telling Sergeant (then Deputy) Fish that she felt bad about lying
the day before; she initiated the contact only to ask him why Gonzalez
had been arrested.
In light of Oreb's adamant retraction,
the prosecutor sought to play for the jury a recording of the first
police interview between Officer Pintabona and Oreb. Over defense
objections, the court allowed the evidence, finding that Oreb's trial
testimony was "a fabrication . . . It was really shocking." Based on a
draft prepared jointly by Townley's counsel and the prosecutor, the
trial court gave the jury a cautionary instruction about the use of that
evidence. The court explained that any opinion, conclusion, or summary
of the facts by the officer was an interviewing technique which could
not be used as evidence of either defendant's guilt. The jury was
admonished to "totally discount what the police officer says,"
particularly those statements that the officers "know things" about the
defendants. Instead, the jurors were permitted to weigh what they heard
in the taped interview against what Oreb had said on the witness stand
"about how that interview was conducted."
On appeal, Townley contends that Oreb's
incriminating statements should not have been admitted because they were
coerced: She was only 16 years old, she was intoxicated, she was
deprived of food and sleep for six hours, and she was threatened without
Miranda warnings before she finally told the officer what he
wanted to hear to avoid being arrested.
The evidence on these points was not so
straightforward, however. Oreb did not appear to be inebriated to
Deputy Fish when he arrived at the apartment. At trial Oreb said she
arrived at 1:00 or 2:00 in the morning; yet during the interview—which
appears to have lasted between 30 minutes and an hour-- Pintabona
mentioned that it was 3 a.m. After listening to the CD recording, Oreb
conceded that she was not threatened, but only felt threatened. She
also admitted that she was not threatened during the second interview
when she told the detective "what he wanted to hear." The trial court
found that "Oreb's statements about what happened during the interview
were quite consistent with what happened during the interview." The
transcripts of her trial testimony and the recorded interview support
this factual conclusion. Oreb resisted the officer's attempt to
persuade her to accede to his account of the statement about shooting a
"scrap." She admitted that there was no badgering or threats in the
second interview, at which she voluntarily admitted hearing the
reference to "scraps." And even if the second interview was a product
of the earlier pressure, the effect did not carry over to the contact
with Deputy Fish the next day, which she initiated by asking
specifically for him. Oreb told the deputy that she had heard the words
"hit" and "scrap," and that she felt bad for not having admitted this
earlier. There is no evidence that this disclosure was precipitated by
trauma or the fear of arrest; Oreb herself denied having repeated those
words and explained that she had contacted the deputy only to discuss
Gonzalez's arrest.
Additionally, almost six weeks after
the shooting, while Gonzalez was out of custody, Oreb met with Detective
Montes, who investigated gang-related cases for the district attorney's
office. Montes showed a photo spread to Oreb. In the course of their
meeting, she told him that at the window of Gonzalez's apartment she had
overheard "somebody say they hit a scrap." Oreb was not threatened with
custody, nor was Gonzalez in custody at that time. She mentioned the
statement three times, and her demeanor was "[c]alm, patient, soft
spoken[, and] pleasant." She was cooperative, "[j]ust fine."
Finally, in none of the interviews did
she attribute the "scrap" reference to Townley. Taking all of these
circumstances into account, we find no conceivable prejudice from Oreb's
statements. Any error in admitting the assertedly coerced statement was
harmless beyond a reasonable doubt. (Cf. People v. Cahill (1993)
5 Cal.4th 478, 510 [adopting the federal standard prejudice standard for
evaluating admission of defendant's coerced confession];
Arizona v. Fulminante (1991) 499 U.S. 279, 306-312 [111 S.Ct. 1246];
see also People v. Lee (2002) 95 Cal.App.4th 772, 789 [coerced
identification of defendant not harmless beyond a reasonable doubt where
other evidence of defendant's guilt insufficient].)
When police officers arrived at the
Harper Street apartment, they saw that Gonzalez was drunk and was being
held up by Oreb. Sergeant Sulay thought Gonzalez was "probably still
under the influence" when he was at the station being interviewed, an
impression reinforced by Gonzalez at trial. During the interview,
however, he said he did not think he was still drunk.
The transcript of the interview with
Gonzalez reflected his persistent denials of knowledge. Eventually, the
interviewer arrested Gonzalez "for accessory to attempted murder"
because he was "covering up." At that point he was read his Miranda
rights. That interview lasted about 45 minutes in the early morning of
February 18, 2006. In a second conversation with Detective Sulay,
Gonzalez offered the statement that Townley had come to his house and
said, "We beat up some scrap," and shortly afterward the police showed
up and started "harassing" him and the rest of the group. At trial
Gonzalez said that he did not recall making this statement.
Townley contends that Gonzalez, like
Oreb, was coerced into giving the inculpatory statement. We disagree.
The first interview was not unduly prolonged, nor, contrary to
Gonzalez's claim at trial, did the interviewer tell him what he wanted
Gonzalez to say. The evidence of Gonzalez's degree of inebriation was
conflicting. The bare fact that the interviewer advised Gonzalez that
if he withheld information he could be considered an accessory after the
fact did not in itself make his later statement involuntary. "There is
nothing improper in confronting a suspect with the predicament he or she
is in, or with an offer to refrain from prosecuting the suspect if the
witness will cooperate with the police investigation. More is needed to
show that testimony is the inadmissible product of coercion . . . ." (People
v. Daniels (1991) 52 Cal.3d 815, 863.) Unlike the defendant in
People v. Lee, supra, 95 Cal.App.4th 772, on which Townley relies,
neither Oreb nor Gonzalez was threatened with an accusation of the
charged crime itself. Our independent review reveals no coercion in
violation of Townley's due process rights.
D. Instruction on Voluntary Intoxication
Jeanne Taylor, who was the passenger in
the car driven by Julie Dufresne, testified at trial that she saw three
young men running across the street in front of the car. The shorter
one in the red and black plaid Pendleton jacket (which she recognized
when shown People's Exhibit 23) was memorable because he had a
"staggered ga[it]" and was "almost stumbling." Having been
professionally involved in body mechanics, Taylor thought the gait
"looked like a staggering drunk in an attempt to run. . . . Not losing
his balance, just having difficulty with his coordination."
Townley contends that in light of this
testimony, the trial court had a duty to instruct the jury on voluntary
intoxication with CALCRIM No. 626. Recognizing that he did not request
such instruction, he argues that it should have been given sua sponte
because there was substantial evidence that the shooter was voluntarily
intoxicated. If the jury had received the instruction, Townley
maintains, the jury might not have found intent to kill or premeditation
and deliberation.
Townley's argument cannot succeed. The
Supreme Court has repeatedly held that "an instruction on voluntary
intoxication, explaining how evidence of a defendant's voluntary
intoxication affects the determination whether defendant had the mental
states required for the offenses charged, is a form of pinpoint
instruction that the trial court is not required to give in the absence
of a request." (People v. Bolden (2002) 29 Cal.4th 515, 559,
citing People v. Saille (1991) 54 Cal.3d 1103, 1120; see also
People v. Rundle (2008) 43 Cal.4th 76, 145, disapproved on another
point in People v. Doolin (2009) 45 Cal.4th 390, 421, fn. 22.)
Nor would it have been error to refuse the instruction had there been a
request. "A defendant is entitled to such an instruction only when
there is substantial evidence of the defendant's voluntary intoxication
and the intoxication affected the defendant's 'actual formation of
specific intent.' " (People v. Williams (1997) 16 Cal.4th 635,
677; accord, People v. Roldan (2005) 35 Cal.4th 646, 715.)
Jeanne Taylor was the only witness who suggested that the person wearing
Exhibit 23 "looked like a staggering drunk" as he ran across the street;
no other witness made any observation or reported that he had been
drinking, much less that he was incapable of forming the requisite
intent for attempted murder. It is not remotely probable that the jury
could have had a reasonable doubt on the question of whether Townley was
"not conscious of his actions or the nature of those actions," within
the meaning of CALCRIM No. 626. Thus, no pinpoint instruction on
voluntary intoxication was necessary.
E. Instruction on Intent to Kill
The trial court instructed the jury
with CALCRIM Nos. 875 and 915, which defined the lesser offenses of
assault with a deadly weapon and simple assault. Townley recognizes
that these were proper instructions in themselves, but he asserts error
in the failure of the court to state clearly that these instructions
applied only to the assault crimes. By giving "[c]ontradictory
instructions," Townley argues, the court "eliminated the prosecution's
burden of proving intent to use force and intent to kill in the
attempted murder, premeditation and enhancement instructions."
This contention requires no expansive
analysis, because the record discloses no ambiguity in the instructions
given. The trial court introduced each crime and associated element and
enhancement by clearly stating what the prosecution had to prove for
that specific concept. In defining attempted murder, for example, the
court explicitly stated that the People must affirmatively prove the
defendant's specific intent to kill the victim. In defining
premeditation and deliberation, the court twice stated that it was the
prosecution's burden to prove the allegation and that these elements
could not be inferred merely from the commission of an assault with a
deadly weapon. The explanations of the assault charges were clearly
distinguished from the instructions pertaining to attempted murder. We
find no reasonable likelihood that the jury was confused or misled into
incorrectly applying the intent instructions. (Cf. People v.
Kelly (2007) 42 Cal.4th 763, 791 [no reasonable likelihood the jury
would have interpreted instruction not to require intent]; People v.
Coffman (2004) 34 Cal.4th 1, 123 [no reasonable likelihood the jury
was confused by lack of instruction defining implied malice].)
F. Holding Case for Medina
Townley requested that this court
"defer consideration of the appeal" pending the Supreme Court's decision
in People v. Medina, No. S155823 regarding the "natural and
probable consequences" doctrine. The Supreme Court's opinion in
Medina has now been filed, and it offers no ground for reversal in
this case.
G. Admission of Gang Evidence
Townley next asserts prejudicial error
in admitting evidence of gang membership, vocabulary, and behavior,
because he was not a gang member. "Even if the evidence had some
relevance to Carranco's case, the court should have denied the
prosecutor's 11th-hour motion to consolidate their cases," presumably
for the same reason, that it was irrelevant to Townley's. We find no
error.
"In cases not involving the gang
enhancement, we have held that evidence of gang membership is
potentially prejudicial and should not be admitted if its probative
value is minimal. (E.g., People v. Cardenas (1982) 31 Cal.3d
897, 904-905 . . . .) But evidence of gang membership is often relevant
to, and admissible regarding, the charged offense. Evidence of the
defendant's gang affiliation-- including evidence of the gang's
territory, membership, signs, symbols, beliefs and practices, criminal
enterprises, rivalries, and the like-- can help prove identity, motive,
modus operandi, specific intent, means of applying force or fear, or
other issues pertinent to guilt of the charged crime." (People v.
Hernandez (2004) 33 Cal.4th 1040, 1049.)
Here there was abundant evidence that
the shooting was gang related and that Townley had participated for the
benefit of the Norteno gang, even though he was not a member.
Codefendant Carranco clearly was a Norteno member; the occupants of the
car talked about finding a Sureno; the victim happened to be wearing
blue, the color of the rival Sureno gang and was walking outside an
apartment complex associated with the Surenos; the assailants demanded
to know whether the victim was a Norteno or a Sureno and one yelled the
word "scrap"; and later at Gonzalez's apartment—a Norteno-safe refuge--
one of them mentioned having "hit a scrap," a slang reference to
assaulting a Sureno. Given the irrefutable motivation for the shooting,
this evidence was unquestionably probative. It made no difference that
Townley was not a formal member of the Norteno gang. Thus, even without
the evidence recovered from a search of his bedroom (which included
items reflecting a Norteno association), the record unambiguously
supports the trial court's admission of testimony explaining the
practices, culture, and parlance of these rival gangs. Likewise, it was
neither error nor prejudicial to admit testimony from Sergeant Fish and
Detective Montes that the Ocean Terrace apartments were associated with
the Surenos. Because the admission of the gang evidence was proper as
to Townley, his assertion of prejudice from the joint trial with
Carranco must also fail.
H. Detention and Transportation
Before trial the defense moved to
suppress the evidence of the gun and ammunition found in Townley's shoes
while being transported to the sheriff's station. The defense argued
that the evidence was the fruit of an unlawful detention; although
Townley was subject to a probation search, the scope of that condition
did not encompass consent to any detention for questioning. The trial
court denied the motion, relying on the probation search condition and
the evidence the officers had gathered from interviewing witnesses in
Gonzalez's bedroom.
The court agreed with the prosecutor's suggestion that the officers had
probable cause to arrest Townley based on these interviews, but the
prosecutor insisted that the transportation was only a detention. The
court found that the officers had "probable cause to accuse him of
something" when they decided to transport Townley, and they "certainly
had probable cause to arrest him" once they had the information from
Fritts-Nash about the gun in his shoe.
The People concede that the decision to
transport Townley was a "de facto" arrest, but they maintain that it was
supported by probable cause. Alternatively, they argue, the probation
search condition, along with the information supplied by Fritts-Nash,
provided an independent source for the search of the shoes, thereby
attenuating any illegality of the transportation. Even if probable
cause to arrest was lacking, we agree that the valid probation search
condition attenuated the connection between the transportation to the
sheriff's station and the subsequent discovery of the concealed gun and
ammunition. (Cf. People v. Brendlin (2008) 45 Cal.4th 262, 272
[outstanding warrant sufficiently attenuated connection between unlawful
traffic stop and subsequent discovery of drug paraphernalia].)
Disposition
The judgment is reversed.
ELIA, J.
WE CONCUR:
RUSHING, P. J.
PREMO, J.
Trial
Court: Santa Cruz County Superior
Court
Trial
Judge: Hon. Jeff Almquist
Attorney for
Appellant: Marc J. Zilversmit
Attorneys for
Respondent: Edmund G. Brown, Jr.,
Attorney
General,
Dane R.
Gillette,
Chief
Assistant Attorney General,
Gerald A.
Engler,
Sr.
Assistant Attorney General,
Laurence K.
Sullivan and
Amy Haddix,
Deputy
Attorneys General

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