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Timestamp: 2019-06-20 18:08:54
Document Index: 717951156

Matched Legal Cases: ['§ 190', '§ 1093', '§ 190', '§ 190', '§ 1044', '§ 1259']

People v. Sheldon (1989) :: :: Supreme Court of California Decisions :: California Case Law :: California Law :: US Law :: Justia
Justia › US Law › Case Law › California Case Law › Cal. 3d › Volume 48 › People v. Sheldon (1989)
People v. Sheldon (1989)
[No. S004704, Crim. No. 25109.
The jury returned special findings that the murder was deliberate and premeditated, that defendant intentionally killed the murder victim, and that he intentionally aided and abetted the murder with the specific intent to kill. The jury returned a verdict of death, and the trial court denied defendant's motion to modify the sentence. As will appear, we conclude that, with the exception of the weapon-assault charge, no prejudicial error was committed, but that the judgment of death should be vacated and the [48 Cal. 3d 943] case remanded to the trial court for further proceedings on defendant's automatic application for modification of sentence (§ 190.4, subd. (e)) because of the court's failure to state the reasons supporting the denial of that application.
[1] Defendant first contends that the trial court erred in denying his motion to have written copies of the jury instructions given to the jurors for [48 Cal. 3d 944] use during their deliberations at the guilt and penalty phases. Instead, the court advised the jurors that although they would not have the written instructions, "should you at any time wish to have any portion or all of the instructions read again, all you have to do is so indicate and we will do it." The jury did not request a rereading of any guilt phase instruction, although it did ask the court to repeat its penalty instructions.
Defendant concedes that at the time of trial the applicable statutes and case law gave the court discretion to provide the jury with written instructions. (See former §§ 1093, subd. (6), 1137; People v. Anderson (1966) 64 Cal. 2d 633, 640 [51 Cal. Rptr. 238, 414 P.2d 366] [upholding denial of written instructions, despite request by jury foreman, because compliance would unduly delay trial].) In 1986, section 1093, subdivision (6), was amended to provide for written jury instructions upon request by the jury. The section continues to provide for an exercise of discretion in the absence of such a request.
Defendant observes, however, that in the present case, unlike Anderson, supra, 64 Cal. 2d 633, the trial court stated no reason for denying defendant's motion. Moreover, the instructions comprise more than 60 pages of reporter's transcript, magnifying the likelihood of jury confusion regarding the various charges. According to defendant, the trial court both abused its discretion and denied defendant his constitutional rights by failing to provide written instructions.
It does not appear that any of the studies or articles cited by defendant took into consideration the alternative of a rereading of instructions, such as was available here. Indeed, the jurors asked for a rereading of the penalty instructions, and the record contains no further indication of uncertainty or confusion on the jury's part regarding the instructions. Although numerous criminal acts were charged, no complex legal issues were involved. Indeed, the jury's guilt phase deliberations were completed in two days. The penalty phase jury announced a possible "deadlock" after deliberating for two days, [48 Cal. 3d 945] but reached a verdict after two more days of deliberations. There is no indication that instructional confusion contributed to the deadlock.
[2a] As defendant observes, because of its potentially prejudicial impact on the jury, shackling is to be employed only as a last resort, based on "a showing of manifest need for such restraints." (See People v. Allen (1986) 42 Cal. 3d 1222, 1261 [232 Cal. Rptr. 849, 729 P.2d 115; People v. Duran (1976) 16 Cal. 3d 282, 290-291 [127 Cal. Rptr. 618, 545 P.2d 1322, 90 A.L.R.3d 1]; People v. Jacla (1978) 77 Cal. App. 3d 878, 883 [144 Cal. Rptr. 23].) According to defendant, there was no manifest need for shackling in this case. He contends that shackling cannot be justified solely on the basis of earlier prison disciplinary violations, and that the other evidence was insufficient to sustain the trial court's ruling. We disagree.
[3] The court's shackling decision "cannot be successfully challenged on review except on a showing of a manifest abuse of discretion." (Duran, supra, 16 Cal.3d at p. 293, fn. 12; Allen, supra, 42 Cal.3d at p. 1263.) [2b] Here, the evidence summarized above was a sufficient basis for shackling, [48 Cal. 3d 946] for it indicated a substantial risk that defendant might attempt an escape. Moreover, the court made a good faith, although inaccurate, determination that defendant's shackles would not be viewed by the jury.
Defendant also challenges the adequacy of the court's subsequent admonition, which referred merely to the fact that defendant was "in custody." Yet the court's euphemistic description was perhaps a more appropriate tactic than placing additional emphasis on defendant's shackles by directly mentioning them. It appears that many of the panelists remained unaware of the shackles, and the few jurors who actually observed them apparently had only a brief look at them. (See People v. Rich (1988) 45 Cal. 3d 1036, 1084-1085 [248 Cal. Rptr. 510, 755 P.2d 960] [brief viewing of defendant in shackles not prejudicial error]; People v. Duran, supra, 16 Cal.3d at p. 287, fn. 2 [same].) As previously noted, defense counsel neither objected to the admonition nor requested clarifying language.
C. CALJIC No. 2.11.5 The court gave the standard instructions regarding the corroboration and evaluation of accomplice testimony (CALJIC Nos. 3.10, 3.11, 3.12, 3.13, 3.16 and 3.18). In addition, the court gave CALJIC No. 2.11.5, which admonished the jury not to discuss or consider (1) why persons, other than defendant, who may have been involved in the offenses nonetheless were not being prosecuted in this trial, or (2) whether they have been or will be so prosecuted. [4] Defendant correctly observes that CALJIC No. 2.11.5 should not be given where such other "persons" actually appear at trial and testify for the prosecution. In such a case, it is entirely proper for the jury to consider whether cooperating accomplices avoided prosecution in return for testifying against defendant. (See People v. Williams (1988) 45 Cal. 3d 1268, 1313 [248 Cal. Rptr. 834, 756 P.2d 221].)
[5a] In the present case, defendant's wife, Denise, testified against defendant in return for a reduced sentence. (As the People point out, the instruction could also have applied to accomplice McFadden, who refused to testify at defendant's trial.) Defendant fears that CALJIC No. 2.11.5 may have hampered the jury's evaluation of Denise's highly inculpatory testimony. He observes that, in view of the "clear cut" nature of the felony-murder [48 Cal. 3d 947] rule, he does not contend that the instructional error affected the guilt verdicts. He maintains, however, that the error was sufficiently serious to require reversal of the special circumstances findings and penalty judgment.
[6] As we recently stated in a case involving a similar challenge to the giving of CALJIC No. 2.11.5, "In determining whether an instruction interferes with the jury's consideration of evidence presented at trial, we must determine 'what a reasonable juror could have understood the charge as meaning.' [Citation.] While the initial focus is on the specific instruction challenged [citation], we must also review the instructions as a whole to see if the entire charge delivered a correct interpretation of law. [Citation.]" (People v. Garrison (1989) 47 Cal. 3d 746, 780 [254 Cal. Rptr. 257, 765 P.2d 419]; see People v. Williams, supra, 45 Cal. 3d 1268, 1312-1313.)
We held in Garrison, supra, 47 Cal. 3d 746, that any error in giving CALJIC No. 2.11.5 was cured by other instructions, and that the same result would have obtained in the absence of this error. (See People v. Watson (1956) 46 Cal. 2d 818, 836 [299 P.2d 243].) [5b] We reach a similar conclusion here.
Finally, as previously noted, the jury was given the full set of instructions for evaluating accomplice testimony, including the admonition that accomplice testimony should be viewed with distrust. Accordingly, although error occurred in giving CALJIC No. 2.11.5, nonetheless as in Garrison, supra, 47 [48 Cal. 3d 948] Cal.3d 746, it is unlikely that the instruction prejudiced defendant in any way. Despite the "nonprosecution" instruction, the jury remained free to discredit Denise's testimony.
1. Prior Attempted Murder Charge -- As previously indicated, at the penalty phase the People introduced evidence of defendant's 1983 robbery of the Mahans. This evidence included testimony that his weapon discharged during a struggle with the arresting officer, and that the firing of the gun may have been intentional, and not merely accidental. In his closing [48 Cal. 3d 949] arguments, the prosecutor, without characterizing defendant's conduct as attempted murder, nonetheless emphasized his statement to his grandmother that "I tried to take one with me." In addition, the trial court, in instructing on the People's other-crimes evidence, and on the requirement that such crimes be proved beyond a reasonable doubt, listed attempted murder as one of these possible crimes.
In addition, the People were permitted to introduce evidence that a Chris Smith, a sheriff's deputy, responded to the Mahans' alarm and confronted defendant, who shoved a rifle into Smith's stomach. As Smith swatted the gun away, it discharged once. Defendant dropped the rifle, fled and was [48 Cal. 3d 950] eventually caught and jailed. He called his grandmother from the jail and, among other things, told her that "I tried to take one with me."
d. Discussion -- The People appear to concede that the court erred in instructing on attempted murder. They also agree that evidence or argument relating solely to the attempted murder charge would have been inadmissible, but they observe that the evidence admitted here was equally relevant to establish defendant's criminal assault on the officer, whether or not it technically amounted to attempted murder. According to the People, section 190.3 should not bar evidence that the defendant committed lesser crimes other than the particular crime of which he was acquitted. Thus, whereas the acquittal of attempted murder charges may have been based on lack of proof of a specific intent to kill, the evidence admitted here was [48 Cal. 3d 951] entirely consistent with an intent to shoot, criminal conduct properly admissible under section 190.3, first paragraph.
We disagree with the People. The bar of section 190.3 as to acquittals could be readily circumvented if the People could simply admit evidence surrounding the acquitted offense which involved additional, lesser criminal misconduct. We have acknowledged that double jeopardy and due process principles would bar retrial of "final verdicts of guilt or innocence (including lesser included and greater inclusive offenses) ...." (People v. Melton (1988) 44 Cal. 3d 713, 756, fn. 17 [244 Cal. Rptr. 867, 750 P.2d 741].) As defendant observes, under Nevada law his acquittal of attempted murder would bar conviction or retrial of all necessarily included lesser offenses, including the assaultive offenses cited by the People. We conclude that the court erred under section 190.3 in instructing on an attempted murder charge of which defendant had been formally acquitted. We also conclude that evidence supporting the attempted murder charge was inadmissible under that section.
The People note that trial counsel failed to object to either the evidence or argument regarding the foregoing evidence, and accordingly, the issue was waived for appeal. (See People v. Rodriguez (1986) 42 Cal. 3d 730, 788 [230 Cal. Rptr. 667, 726 P.2d 113]; People v. Green (1980) 27 Cal. 3d 1, 27 [164 Cal. Rptr. 1, 609 P.2d 468].) Although defendant characterizes his trial counsel's omission as incompetence, we have seldom found a mere failure to object to evidence or argument as reflecting counsel's incompetence. (See People v. Jackson (1980) 28 Cal. 3d 264, 291-292 [168 Cal. Rptr. 603, 618 P.2d 149].)
Moreover, as we explain, under the circumstances here, it does not appear that counsel's omission deprived defendant of a meritorious defense (see People v. Pope (1979) 23 Cal. 3d 412, 425 [152 Cal. Rptr. 732, 590 P.2d 859, 2 A.L.R.4th 1]) or affected the outcome of the penalty trial (see People v. Fosselman (1983) 33 Cal. 3d 572, 584 [189 Cal. Rptr. 855, 659 P.2d 1144]).
The error in instructing on attempted murder, and in admitting the challenged evidence, was not prejudicial error in this case. First, all of the remaining evidence concerning the armed assault and robbery of the Mahans was properly admitted as potential aggravating circumstances, including defendant's threats, while brandishing a rifle, to kill them both. That was the evidence the prosecutor emphasized in closing argument. Only that portion of the evidence pertaining to defendant's struggle, the discharge of his weapon, and defendant's subsequent remark to his grandmother, were inadmissible. As the record indicates, the prosecutor's argument was largely confined to the assault and robbery of the Mahans; he made no mention of [48 Cal. 3d 952] the firing of defendant's weapon, or the attempted murder charge arising therefrom.
[8b] The evidence at issue indicated that defendant confronted Mrs. Mahan in her garage, forcibly pulled her into the house (adjoining the garage), and dragged her through the hall, kitchen, dining room and finally into the den. Although the record does not reveal the distances involved, it does appear that the asportation took place almost entirely within the Mahan home. Defendant contends that, for this reason, and regardless of the actual distance involved, the asportation did not amount to kidnapping. (See People v. Brown (1974) 11 Cal. 3d 784, 788-789 [114 Cal. Rptr. 426, 523 P.2d 226] [forcible asportation through house, and outdoors for distance of 75 feet, not kidnapping]; People v. Daniels (1969) 71 Cal. 2d 1119, 1140 [80 [48 Cal. 3d 953] Cal.Rptr. 897, 459 P.2d 225, 43 A.L.R.3d 677] [movement from one room to another insufficient to constitute kidnapping for robbery]; People v. John (1983) 149 Cal. App. 3d 798, 804-810 [197 Cal. Rptr. 340] [465-foot asportation insufficient].)
[9b] The People note that there is no "bright line" test for kidnapping, and that the offense may occur as long as the distance involved is not "slight" or "trivial." (People v. Stanworth (1974) 11 Cal. 3d 588, 601 [114 Cal. Rptr. 250, 522 P.2d 1058]; see People v. Stender (1975) 47 Cal. App. 3d 413, 423 [121 Cal. Rptr. 334] [200-foot asportation from house to outdoor area underneath pier held sufficiently substantial].) Moreover, as the People observe, even if the offense here may not have involved kidnapping, it certainly did involve some form of criminal activity (e.g., false imprisonment, assault) properly admissible as an aggravating circumstance. (See § 190.3, factor (b).)
Finally, according to the People, defendant made no objection to the evidence at issue, and failed to request additional instructions apart from the general "other crimes" instruction which included kidnapping as one of defendant's possible offenses. Had defendant wished the jury to focus on the issue of distance, he could have asked for additional instructions which defined the elements of kidnapping. (See People v. Phillips (1985) 41 Cal. 3d 29, 68 [222 Cal. Rptr. 127, 711 P.2d 423].)
Defendant observes that the jury was instructed in the unadorned statutory language that "If you conclude that the aggravating circumstances outweigh the mitigating circumstances, you shall impose the sentence of death." [10] He suggests that these instructions were inadequate to inform the jury that it should find the "appropriate" penalty for defendant [48 Cal. 3d 954] regardless of the number or weight of the applicable aggravating and mitigating factors. (See People v. Edelbacher (1989) 47 Cal. 3d 983, 1035-1041 [254 Cal. Rptr. 586, 766 P.2d 1]; People v. Allen, supra, 42 Cal. 3d 1222, 1276-1277; People v. Brown (1985) 40 Cal. 3d 512, 541 [114 Cal. Rptr. 426, 523 P.2d 226].)
Our review of the record indicates the jury was not misled concerning the scope of its sentencing responsibilities. First, the jury was given a modified section 190.3 factor (k) instruction which advised it to consider "any other aspect of the defendant's character or record that the defendant offers as a basis for a sentence less than death, including sympathy." Thus, the instructions made it clear that the jury was to weigh and consider all mitigating evidence in the case (see People v. Easley (1983) 34 Cal. 3d 858, 878 [196 Cal. Rptr. 309, 671 P.2d 813]).
The prosecutor made certain comments indicating that a mere count of the various applicable sentencing factors would be determinative of penalty, but he later explained that mere count was insufficient. Thus, the prosecutor at one point urged the jury to "add up all the factors. Are the factors in favor of the defendant? Are the factors against the defendant? If the factors against the defendant outweigh the factors for the defendant, then your duty is to impose the death penalty." But later in his argument, the prosecutor reviewed the various sentencing factors, applied them to the evidence, and explained an important "caveat" set forth in the court's instructions: "[I]n determining whether or not circumstances in aggravation outweigh [48 Cal. 3d 955] those in mitigation ... you are not bound by the number of circumstances on each side. One circumstance in either mitigation or aggravation might outweigh all the contrary circumstances."
As we stated in People v. Hendricks (1988) 44 Cal. 3d 635, 655 [244 Cal. Rptr. 181, 749 P.2d 836], "[w]e see no impropriety in a prosecutor urging that the jurors 'follow the law' and base their penalty decision on a weighing of the applicable factors, so long as it is understood that inherent in the weighing process itself is the determination of 'appropriateness' .... As previously noted, the jury in the present case fully understood that it could assign whatever weight it deemed appropriate to the various aggravating and mitigating factors, and that its penalty decision should be based on all the evidence in the case."
As in Hendricks, we conclude that, by reason of the court's modifications of the standard sentencing instructions, and the jury arguments themselves, the jury in the instant case fully understood its sentencing responsibilities. The jury knew that it should consider all the mitigating evidence in the case, and knew that it could assign whatever weight it chose to the various applicable sentencing factors. It is inconceivable that a jury armed with such understanding would fail to appreciate its responsibility to find an "appropriate" penalty for defendant. The prosecutor urged the jury to return the verdict defendant "deserves," that is, the appropriate verdict under the circumstances. We find it significant that the jury, appreciating [48 Cal. 3d 956] the seriousness of its task, deliberated for several days before rendering its verdict of death.
[11] Defendant contends it was error to charge and instruct the jury on the robbery special circumstance (§ 190.2, subd. (a)(17)(i)), the burglary special circumstance (id., (a)(17)(vii)), and the kidnapping special circumstance (id., (a)(17)(ii)), because all three arose out of the same indivisible course of conduct, having the principal criminal purpose of robbing victim Neblett. He relies on the plurality opinion in People v. Harris (1984) 36 Cal. 3d 36, 60-67 [201 Cal. Rptr. 782, 679 P.2d 433]. We have since held, however, that multiple special circumstances can be charged and considered in aggravation of the penalty where, as here, each one invades a separate societal interest. People v. Bean (1988) 46 Cal. 3d 919, 954-955 [251 Cal. Rptr. 467, 760 P.2d 996]; People v. Melton, supra, 44 Cal. 3d 713, 765-769.) Thus, it was proper to allow the jury to find and consider all three special circumstances.
[12] We have held that the term "criminal activity [involving] force or violence" as used in section 190.3 factor (b) is limited to conduct other than the immediate circumstances for which the death penalty is being contemplated. (Melton, supra, 44 Cal.3d at p. 763; People v. Miranda (1987) 44 [48 Cal. 3d 957] Cal.3d 57, 105-106 [241 Cal. Rptr. 594, 744 P.2d 1127].) But as those cases explain, in the absence of improper argument by the prosecutor, any ambiguity in the language of the statute or current instructions will rarely have caused prejudice. (Ibid.) Defendant cites no such improper argument here.
[13] Defendant complains that the trial court, in instructing the penalty jury regarding its sentencing task, failed to delete inapplicable sentencing factors from the list of factors enumerated in section 190.3. The point was rejected in People v. Ghent (1987) 43 Cal. 3d 739, 776-777 [239 Cal. Rptr. 82, 739 P.2d 1250], and need not be reconsidered here. (See also People v. Melton, supra, 44 Cal. 3d 713, 770-771; People v. Miranda, supra, 44 Cal. 3d 57, 104.)
Defendant suggests that the instruction violated federal constitutional law, but the authorities cited do not support that thesis. Although juries properly may be instructed to ignore extraneous matters in deciding penalty (e.g., California v. Brown (1987) 479 U.S. 538, 543 [93 L. Ed. 2d 934, 941, 107 S.Ct. 1250]), to our knowledge no federal case has proscribed an instruction which sets forth the full range of potentially aggravating or mitigating circumstances, and which allows the jury to consider those factors "if applicable" to the case.
[14] Defendant next asserts the court erred in instructing (in the statutory language) that the jury could consider whether defendant was influenced by "extreme mental or emotional disturbance" when the offense was committed. Defendant suggests that confining the evidence to an "extreme" condition improperly limited the scope of the mitigating evidence admissible at the penalty phase. The point was rejected in People v. Ghent, supra, 43 Cal. 3d 739, 776, and need not be reconsidered here. (See also People v. Brown (1988) 46 Cal. 3d 432, 457-458 [250 Cal. Rptr. 604, 758 P.2d 1135].)
Defendant argues that Ghent, supra, 43 Cal. 3d 739, is distinguishable. He observes that in the present case the prosecutor minimized the significance of the evidence of defendant's mental distress arising from his childhood experiences and the breakup of his marriage. The prosecutor questioned whether such distress would amount to an "extreme" disturbance, but he stopped short of asking the jury to ignore such evidence as legally irrelevant to the penalty issue. Moreover, the court expressly instructed the jury (through a modification of the standard statutory language) that it could [48 Cal. 3d 958] consider any aspect of defendant's character that he offered as a basis for a sentence less than death. We conclude that Ghent controls here.
Included in these instructions was the admonition that "It is the duty of each of you to consider the evidence for the purpose of arriving at a verdict if you can do so. Each of you must decide the case for yourself, but should [48 Cal. 3d 959] do so only after a discussion of the evidence and instructions with the other jurors. [¶] You should not hesitate to change an opinion if you are convinced it is erroneous. However, you should not be influenced to decide any question in a particular way because a majority of the jurors, or any of them, favor such a decision."
The applicable legal principles are well established. Under section 1140, the trial court is precluded from discharging the jury without reaching a verdict unless both parties consent or "unless, at the expiration of such time as the court may deem proper, it satisfactorily appears that there is no reasonable probability that the jury can agree." [15] We have explained that "[t]he determination whether there is reasonable probability of agreement rests in the sound discretion of the trial court. [Citation.] The court must exercise its power, however, without coercion of the jury, so as to avoid displacing the jury's independent judgment 'in favor of considerations of compromise and expediency.' [Citations.]" (People v. Rodriguez, supra, 42 Cal. 3d 730, 775; see People v. Rojas (1975) 15 Cal. 3d 540, 546 [125 Cal. Rptr. 357, 542 P.2d 229, 92 A.L.R.3d 1127]; People v. Carter (1968) 68 Cal. 2d 810, 817 [69 Cal. Rptr. 297, 442 P.2d 353].)
Defendant argues, however, that it is inherently coercive to refuse to discharge a jury after learning of an 11-to-1 vote favoring the death penalty. We disagree. There is always a potential for coercion once the trial judge has learned that a unanimous judgment of conviction is being hampered by a single holdout juror favoring acquittal. In such a case, the judge's remarks to the deadlocked jury regarding the clarity of the evidence, the simplicity [48 Cal. 3d 960] of the case, the necessity of reaching a unanimous verdict, or even the threat of being "locked up for the night" might well produce a coerced verdict. (See People v. Carter, supra, 68 Cal. 2d 810, 816-820, and cases cited.) But the potential for coercion was not realized by anything said or done by the court in this case.
Here, the deadlock proceeding was heard by an assigned judge whose remarks or actions could not have been interpreted by the holdout juror as an agreement with the position taken by the 11 jurors voting for conviction. (See Carter, supra, 68 Cal.2d at pp. 816-817.) Moreover, the court made no remarks either urging that a verdict be reached or indicating possible reprisals for failure to reach agreement. We conclude that the trial court did not abuse its discretion in determining that it was reasonably probable the jury could reach a verdict after a rereading of the penalty instructions. (See also Lowenfield v. Phelps (1988) 484 U.S. 231 [98 L. Ed. 2d 568, 108 S. Ct. 546] [approving supplemental charge to deadlocked jury in capital case, urging jurors to consult with each other with the objective of achieving a unanimous verdict].)
[17] Defendant next asserts the death penalty is disproportionate punishment for his offense. (See People v. Dillon (1983) 34 Cal. 3d 441 [194 Cal. Rptr. 390, 668 P.2d 697]; In re Lynch (1972) 8 Cal. 3d 410 [105 Cal. Rptr. 217, 503 P.2d 921].) He also urges that we adopt some form of comparative sentencing review, a proposal we have repeatedly rejected. (See People v. Brown, supra, 46 Cal.3d at p. 462; People v. Allen, supra, 42 Cal. 3d 1222, 1286-1288; People v. Rodriguez, supra, 42 Cal.3d at pp. 777-779.)
In response, the People observe that defendant robbed and threatened to kill with a shotgun three restaurant employees, and kidnapped one of them; kidnapped, robbed and eventually beat and brutally strangled to death an elderly victim; and, only a few weeks later, attempted to rob, and threatened to kill, two other elderly victims. The nature of, and circumstances surrounding, defendant's offenses bore little resemblance to those involved in disproportionate-punishment cases such as Dillon, supra, 34 Cal. 3d 441. [48 Cal. 3d 961] (See also People v. Brown, supra, 46 Cal.3d at pp. 461-462.) We conclude that the death penalty is not disproportionate punishment in this case.
The People concede that the foregoing sua sponte instruction should have been given. (See People v. Valenzuela (1985) 175 Cal. App. 3d 381, 392-393 [222 Cal. Rptr. 405].) They contend, however, that the error was harmless because the assault issues were necessarily resolved by the jury, adversely to defendant, in its other findings. (See People v. Sedeno (1974) 10 Cal. 3d 703, 721 [112 Cal. Rptr. 1, 518 P.2d 913].) We disagree.
Defendant points out, however, that we have previously held ADW is not a lesser included offense within the crime of robbery with firearm use, for purposes of requiring an ADW instruction. (People v. Wolcott (1983) 34 Cal. 3d 92, 102 [192 Cal Rptr. 748, 665 P.2d 520].) As Wolcott states, "the [firearm use] enhancement does not supply the necessary elements of an attempt to inflict violent injury and present ability to do so. The menacing [48 Cal. 3d 962] display of a firearm to intimidate a victim is sufficient to prove use of the firearm under section 12022.5 [citation], but insufficient to prove assault with a deadly weapon [citation]. The use of an unloaded or inoperable gun justifies an enhanced sentence [citation], but ... does not support a conviction for an assault." (Fn. omitted.)
[19] The People concede the error but argue that, in light of the evidence here, it was harmless. Although we performed a harmless-error analysis in a case in which the trial judge had died during the appeal, we also explained in that case that if the judge had survived, "we would remand for a new hearing on the verdict-modification application simply out of an abundance of caution, since the trial judge's familiarity with the record would enable him to review the application and state reasons for his determination with relatively little delay and expenditure of judicial resources." [48 Cal. 3d 963] (People v. Heishman (1988) 45 Cal. 3d 147, 200 [246 Cal. Rptr. 673, 753 P.2d 629]; see also People v. Rodriguez, supra, 42 Cal. 3d 730, 792-795.)
The judge who tried the present case is alive and apparently available to hear the matter on remand. Accordingly, we believe a limited remand is appropriate here. The trial judge should rehear the motion personally, on the basis of the record certified to this court. If, however, he is unavailable, the motion may be heard before another judge of the same court. (See People v. Brown (1988) 45 Cal. 3d 1247, 1264, fn. 7 [248 Cal.Rptr, 817, 756 P.2d 204].)
The judgment convicting defendant of assault with a deadly weapon is reversed. The judgment of conviction is affirmed in all other respects but the judgment of death is vacated and the cause remanded to the trial court for the limited purpose of redetermining defendant's application for modification of the verdict in accordance with this opinion. If the trial court, upon application of the appropriate standards, denies the application for modification, it shall reinstate the judgment of death. If it grants the application, it shall enter a judgment of life without possiblity of parole. Any subsequent appeal shall be limited to issues related to the modification application. (See People v. Rodriguez, supra, 42 Cal. 3d 730, 794-795.)
At the penalty phase, the prosecutor introduced in aggravation evidence underlying the "attempted murder" of Deputy Sheriff Chris Smith in [48 Cal. 3d 964] Nevada, including testimony that defendant's rifle discharged in a struggle with Smith and his alleged admission to his grandmother that "I tried to take one with me." As the court and counsel knew from before trial had even commenced, defendant had been prosecuted for, and acquitted of, this offense. The prosecutor presented the "attempted murder" of Deputy Smith in his opening statement as a circumstance justifying imposition of the penalty of death. The court admitted evidence relating to the "crime." The prosecutor called five witnesses to prove the "attempted murder" -- two of whom testified about that "crime" and that "crime" alone. He alluded to the "attempted murder" again in his closing argument in asking for the death penalty. The court instructed the jury that it could consider the "crime" (if it found it established beyond a reasonable doubt) in determining whether defendant should live or die, and twice ordered the instruction reread during deliberations in response to requests from the jury. All the while, defense counsel stood by and did nothing.
When I judge his conduct in light of section 190.3, I am compelled to conclude that the prosecutor engaged in separate acts of misconduct by introducing the evidence of the "attempted murder" of Deputy Smith, by presenting it to the jury in his opening statement to support imposition of the penalty of death, and by alluding to it in his closing argument for the same purpose. Of course, it is misconduct for a prosecutor to intentionally introduce statutorily inadmissible evidence. (E.g., People v. Bonin (1988) 46 Cal. 3d 659, 689 [250 Cal. Rptr. 687, 758 P.2d 1217].) It is also misconduct to intentionally refer to such evidence in argument. (See, e.g., People v. Ledesma (1987) 43 Cal. 3d 171, 238 [233 Cal. Rptr. 404, 729 P.2d 839] (conc. opn. of Mosk, J.).)
I am also compelled to conclude that the court committed separate errors by admitting the evidence of the "attempted murder" of Deputy Smith, by failing to take any steps to prevent or correct the prosecutor's comments on the "crime," and by instructing and "reinstructing" the jury that it could take the "offense" into account in the determination of penalty. It is, of course, "the duty of the judge ... to limit the introduction of evidence and [48 Cal. 3d 965] the argument of counsel to relevant and material matters ...." (Pen. Code, § 1044; accord, People v. Ashley (1954) 42 Cal. 2d 246, 274 [267 P.2d 271].) Also, "'... there is a continuing duty upon the part of the trial court to see to it that the jury are properly instructed upon all matters pertinent to their decision of the cause.'" (People v. Graham (1969) 71 Cal. 2d 303, 319 [78 Cal. Rptr. 217, 455 P.2d 153], quoting People v. Keelin (1955) 136 Cal. App. 2d 860, 874 [289 P.2d 520, 56 A.L.R.2d 355].) It is clear on the face of the record that the court here failed to discharge its duties with respect to the evidence of the "attempted murder" of Deputy Smith.
Further, the evidence of the "attempted murder" of Deputy Smith carried within itself a marked potential for upsetting the balance of aggravating and mitigating circumstances to defendant's detriment. The threat of prejudice inherent in "other crimes" evidence is substantial and notorious. (See, e.g., People v. Robertson (1982) 33 Cal. 3d 21, 54 [188 Cal. Rptr. 77, 655 P.2d 279] (plur. opn.) [noting "the overriding importance of 'other crimes' evidence to the jury's life-or-death determination"]; People v. McClellan (1969) 71 Cal. 2d 793, 804, fn. 2 [80 Cal. Rptr. 31, 457 P.2d 871] [citing a study showing that "Evidence of a prior criminal record is the strongest single factor that causes juries to impose the death penalty"].) That threat must be deemed to be greater still when, as here, the victim of the "other crime" was a law enforcement officer: such evidence suggests that the defendant is altogether beyond the control of civilized society and can be checked only by means of the ultimate restraint.
In finding no prejudice, the majority conclude that a reasonable juror would not have found beyond a reasonable doubt that defendant attempted [48 Cal. 3d 966] to murder Deputy Smith and would not have then proceeded to use such a finding to support the penalty of death. I cannot agree.
First, in deliberations one or more of the jurors could have found beyond a reasonable doubt that defendant attempted to murder Deputy Smith. The evidence of the "crime" was more than legally sufficient. Surely, on this record we must answer in the affirmative the question "whether, after viewing the evidence in the light most favorable to the prosecution, any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt." (Jackson v. Virginia (1979) 443 U.S. 307, 319 [61 L. Ed. 2d 560, 573, 99 S. Ct. 2781].)
Second, in deliberations one or more of the jurors could have used the "attempted murder" of Deputy Smith to support the penalty of death. The majority appear to assume that the evidence of the "crime" is not of critical importance on the facts of this case. It is manifest, however, that the prosecutor treated this evidence as crucial: he presented the "attempted murder" in his opening statement and alluded to it in his closing argument, and called five witnesses to prove the "crime" -- two of whom testified about that "crime" and that "crime" alone. "There is no reason why we should treat this evidence as any less 'crucial' than the prosecutor -- and so presumably [48 Cal. 3d 967] the jury -- treated it." (People v. Cruz (1964) 61 Cal. 2d 861, 868 [40 Cal. Rptr. 841, 395 P.2d 889].) Indeed, the jury itself gave clear indication that it considered the evidence of critical importance to its determination: during deliberations, it once requested a rereading of the charge containing the erroneous "other crimes" instruction and once requested a rereading of the erroneous instruction alone. (See People v. Ford (1964) 60 Cal. 2d 772, 798 [36 Cal. Rptr. 620, 388 P.2d 892].)
Accordingly, I am of the opinion that there is a reasonable possibility that each of the prosecutor's acts of misconduct and each of the court's errors marginally affected to defendant's detriment the jury's weighing of aggravating and mitigating circumstances and its consequent determination of the appropriateness of death. Reversal of the judgment as to penalty is therefore required. (See generally People v. Brown (1988) 46 Cal. 3d 432, 446-448 [250 Cal. Rptr. 604, 758 P.2d 1135]; id. at pp. 463-470 (conc. opn. of Mosk, J.).)
It may well be, as the majority appear to conclude, that defense counsel "waived" any claims challenging the prosecutor's misconduct and the court's admission of the evidence by failing to make any objection whatever, express or implied. But to my mind, "waiver" merely denies a defendant the right to have his claims addressed by us on appeal -- it does not deprive us of the authority to reach those claims in the interest of justice in a capital case In any event, claims attacking the court's instructions are not waived by counsel's failure to object. (People v. Chavez (1985) 39 Cal. 3d 823, 830 [218 Cal. Rptr. 49, 705 P.2d 372]; see Pen. Code, § 1259.) This is so even when, as here, no objection was made to the evidence that is the subject of the challenged instruction. (People v. Hannon (1977) 19 Cal. 3d 588, 600 [138 Cal. Rptr. 885, 564 P.2d 1203].)
Under both the Sixth Amendment to the United States Constitution and article I, section 15, of the California Constitution, a criminal defendant has a right to the assistance of counsel. (E.g., Strickland v. Washington (1984) 466 U.S. 668, 684-685 [80 L. Ed. 2d 674, 691-692, 104 S. Ct. 2052] [construing the federal Constitution]; People v. Ledesma, supra, 43 Cal.3d at p. 215 [construing both the federal and state Constitutions].) The right entitles the defendant not to some bare assistance but rather to effective assistance. (Strickland v. Washington, supra, at p. 686 [80 L.Ed.2d at p. 692]; People v. Ledesma, supra, at p. 215.) [48 Cal. 3d 968]
First, he has shown that defense counsel's performance was deficient. Failure to make any attempt to keep from the jury evidence of the "attempted murder" of Deputy Smith must be judged to be "representation [falling] below an objective standard of reasonableness ... under prevailing professional norms." (Strickland v. Washington, supra, 466 U.S. at p. 688 [80 L.Ed.2d at pp. 693-694].) There was every reason to act and no reason to refrain from acting. Success was certain -- the evidence was inadmissible as a matter of law -- and could be obtained at absolutely no cost to the defense. Moreover, as stated above the prejudice that the evidence threatened was [48 Cal. 3d 969] substantial and notorious. (See, e.g., People v. Robertson, supra, 33 Cal.3d at p. 54; People v. McClellan, supra, 71 Cal.2d at p. 804, fn. 2.)