Title: State v. Johnson
Citation: 122 Ariz. 260, 594 P.2d 514
Docket Number: 4151
State: Arizona
Issuer: Arizona Supreme Court
Date: April 4, 1979

122 Ariz. 260 (1979) 594 P.2d 514 STATE of Arizona, Appellee, v. Andrew JOHNSON, Travis Boyd Williams and Ronald White, Appellants. No. 4151. Supreme Court of Arizona, In Banc. April 4, 1979. Rehearing Denied May 8, 1979. *264 Bruce E. Babbitt, Former Atty. Gen., John A. LaSota, Jr., Former Atty. Gen., Robert K. Corbin, Atty. Gen. by William J. Schafer, III, Crane McClennen, Asst. Attys. Gen., Phoenix, for appellee. Henry L. Zalut, Phoenix, for appellant Johnson. Peter N. Serino, Phoenix, for appellant Williams. Gregory R. Jordan, Phoenix, for appellant White. STRUCKMEYER, Vice Chief Justice. Appellants, Andrew Johnson, Travis Boyd Williams, and Ronald White, inmates of Arizona State Prison, were tried and found guilty of obstructing a criminal investigation, a violation of A.R.S. § 13-541.01. They were each sentenced to not less than four nor more than five years in prison; sentences to commence upon termination of their present terms of commitment. They appeal. We have jurisdiction pursuant to Rule 47(e)(5), Rules of the Supreme Court, 17A A.R.S. On August 5, 1976, Reserve Deputy Ray Newby of the Maricopa County Sheriff's Department, pursuant to an order of Judge C. Kimball Rose, proceeded to the Arizona State Prison where he obtained custody of Charles W. Robinson, Donald Helgeson, Ronald White, Travis B. Williams, Andrew Johnson, and Paul Espinoza. Robinson, Helgeson, White, Williams, and Johnson were to be taken to the Maricopa County Jail where they were to be held pending their testimony in a murder trial. The record does not disclose why Espinoza was to be taken to the Maricopa County Jail. Before leaving for Phoenix, the six men were handcuffed together and were placed in the enclosed rear section of a two and one-half ton van driven by Newby. When the prisoners were removed at the Maricopa County Jail in Phoenix, Arizona, Robinson had bruises and abrasions on his upper body which were not present when he was placed in the van at Florence. Newby noticed that Robinson's t-shirt, which was clean when he entered the van, was soiled. Helgeson suffered similar but less extreme changes. Robinson told authorities, and later testified at trial, that on entering the van White began questioning Helgeson about why he was being returned to Phoenix. Helgeson answered that he didn't know, but thought it was to testify in the murder trial of Leroy McCowan. Shortly afterward, White, with the assistance of Williams and Johnson, kicked and choked Helgeson and forced him to perform an act of fellatio. Afterward, White asked Robinson questions which were similar to those which had been asked Helgeson. They were particularly interested in how Robinson became involved in the McCowan case. Robinson's answers did not satisfy appellants, so they attacked him, forced him to the floor of the van and stood on his neck until he was unconscious. When Robinson regained consciousness, he was asked if it was still his intention to testify in the McCowan case, to which he replied, no. Thereafter more discussion ensued, followed by another attack during which Robinson was rendered unconscious as in the first attack. Appellants were subsequently indicted and convicted of obstruction of justice. From an examination of the appellants' position, we have concluded that there are ten issues presented for decision. BREACH OF AGREEMENT It is undisputed that Johnson, his attorney, and the prosecutor met to determine whether Johnson would testify for the State in the McCowan murder trial. Against the advice of his counsel, Johnson agreed to testify and was present at the trial but was never called to the witness stand. Thereafter, prosecution was instituted in the present case. Johnson moved to dismiss the charges because the prosecutor had promised to drop the charges against him if he agreed to testify. The court denied the motion after it heard the testimony of appellant's former attorney. It was of the opinion that the effect of the agreement was that if appellant actually testified, the charges would be dropped. The dismissal of a prosecution is governed by the Arizona Rules of Criminal Procedure, 17 A.R.S. Rule 16.5 states in part: The comment following this rule indicates that the policy of the 1956 Arizona Rules of Criminal Procedure, Rule 239, was retained, in that once a criminal action is filed, the county attorney does not have the sole discretion to decide whether to dismiss. The Superior Court on good cause shown may order that a prosecution be dismissed. In Application of Parham, 6 Ariz. App. 191, 193, 431 P.2d 86, 88 (1967), the Court of Appeals, in addressing a similar issue, said: The prosecuting attorney did not have the sole authority to agree to a dismissal. His role was limited to recommending to the court that the case be dismissed. Any agreement exceeding this limited scope of authority would be void and unenforceable. Appellant Johnson argues that the court erred when it refused to allow Gerald Moore, Johnson's former counsel, to testify. It is asserted that as a result, Johnson changed his strategy and took the stand to *266 testify in his own behalf and that this was a violation of the Fifth Amendment to the United States Constitution and Article 2, § 10 of the Arizona Constitution because Johnson was thereby compelled to take the stand to explain certain matters to the jury. We do not agree. In State v. Rodriquez, 113 Ariz. 409, 413, 555 P.2d 655, 659 (1976), the appellant argued that because the trial court "found his statements to be admissible, he was forced to take the stand `in an attempt to balance and correct what he viewed as improper admission of his confession.'" We quoted from Harrison v. United States, 392 U.S. 219, 222, 88 S. Ct. 2008, 2010, 20 L. Ed. 2d 1047 (1968), stating that: CROSS-EXAMINATION OF APPELLANT JOHNSON Appellant urges that the prosecution's line of questioning on cross-examination was an attempt to project into the trial the fact that the defendant had not answered questions relating to how the offense occurred, thereby penalizing him for exercising his Fifth Amendment right to remain silent. The significant portion of the cross-examination as taken from the Reporter's Transcript is: This testimony must be read in the light of the defendant Johnson's defense that he and the victim had been in nothing more than a fight. Johnson's answer was not in any way responsive to the question: "Could it have been this Officer here?" Since the answer was volunteered, the State should not be held responsible for a possible damaging inference arising from it. However, if the prosecution's questions could be considered as a deliberate attempt to bring out the fact that defendant had claimed his constitutional right to remain silent, it is plainly harmless beyond a reasonable doubt. See Chapman v. California, 386 U.S. 18, 87 S. Ct. 824, 17 L. Ed. 2d 705 (1967); State v. Anderson, 110 Ariz. 238, 517 P.2d 508 (1967). Where evidence of guilt is overwhelming, as here, it has repeatedly been held that the error in bringing out a defendant's silence is harmless. Booten v. Hanaver, 541 F.2d 296 (1st Cir.1976); Chapman v. United States, 547 F.2d 1240 (5th Cir.1977); Meeks v. Havener, 545 F.2d 9 (6th Cir.1976); Hayton v. Egeler, 555 F.2d 599 (6th Cir.1977); United States v. Wycoff, 545 F.2d 679 (9th Cir.1976); United States v. Helina, 549 F.2d 713 (9th Cir.1977). PROSECUTORIAL MISCONDUCT Appellants assert that during the course of final arguments the prosecution made numerous statements concerning the facts of the case which were not supported by the evidence. Appellants argue that the court erred when it refused to allow them to object during closing argument. We note that only appellant Williams objected during closing argument: In State v. White, 56 Ariz. 189, 193, 106 P.2d 508, 510 (1940), the prosecutor made certain statements during closing argument to which the defense failed to object. Addressing the issue of whether the failure to object waives the error, we said: In State v. Evans, 88 Ariz. 364, 371, 356 P.2d 1106, 1110 (1960), we explained the holding in White: Claimed errors occurring during arguments must be preserved as a minimum by an objection at the close of the argument. However, because the trial court's statement concerning interruption of arguments could have been interpreted as a ruling that no objections would be allowed, we will assume that all appellants registered appropriate objections. The misstatements, according to appellants, could have resulted in their convictions. They set out the following examples: We find without exception that the statements were either the result of invited error, see State v. Fish, 109 Ariz. 219, 220, 508 P.2d 49 (1973), were supported either directly or inferentially in the record, or the asserted prejudicial argument cannot be found in the record. As an example, the jury could have inferred that Robinson was near death when he went into convulsions and lapsed into unconsciousness while in the van coming from Florence. The statement that the prosecutor kicked his chair in a fit of anger is not supported by the record. FAILURE TO GRANT A SEVERANCE On several occasions before and during the trial, appellants moved for severance. Appellants complain of three occasions in particular. First, on January 12, 1977, Johnson moved to sever, alleging that *268 he would be prejudiced by the introduction of testimony concerning the homosexual acts of his codefendants. Second, appellants White and Williams moved to sever on January 10, 1977, when counsel for appellant Johnson moved for a continuance because of illness. The court initially granted this motion, but changed its ruling when Johnson would not waive jeopardy. On February 3, 1977, counsel for Johnson again requested a continuance because of illness. The court again denied White's and Johnson's renewed motions to sever. We do not think there was reversible error in the denial of the motion for severance because of illness of counsel. We have said: Appellant Johnson's claim that he was prejudiced by the introduction of testimony concerning the homosexual act between his codefendants and Helgeson is completely without foundation. Johnson's argument seems to be that the same evidence would not be admissible against him had he been given a separate trial. But we do not think so. Robinson testified: This testimony of Robinson implicates Johnson as a participant in the homosexual act. It would therefore be admissible in a separate trial, just as it was admissible in the joint trial. PREJUDICIAL TRIAL DELAY AND DUE PROCESS Appellants next claim that they were denied due process as a result of prejudicial trial delays. More specifically they claim a violation of their right to a speedy trial. This claim arises out of these circumstances. On August 12, 1976, appellants were indicted by the Maricopa County Grand Jury. They were arraigned on August 18, 1976. As a result of two successive motions by appellant White, the court continued the matter to December 15, 1976. On December 16, the court noted that the prosecutor was engaged in another trial and entered its order continuing the trial until December 27, 1976, at which time the jury was sworn. Appellants complain that the court violated Rule 8.5, Rules of Criminal Procedure, 17 A.R.S., which states: A trial court's order continuing a trial does not violate Rule 8.5, however, unless a defendant's trial was delayed beyond the speedy trial period contained in Rule 8.2. If there is an excluded time, there is no prejudice resulting from the granting of the continuance. State v. Barnett, 112 Ariz. 210, 540 P.2d 682 (1975). In the present case, a total time of 131 days elapsed between arraignment on August 18 and the swearing of the jury on December 27, 1976. During this time, appellant White made and the court granted two consecutive motions to continue, which accounted for 45 days of properly excludable time. By subtracting the excludable time from *269 the total days elapsed, the number of days that have elapsed is obtained for the purposes of determining whether Rule 8 has been violated. The jury was sworn in the 86th day after arraignment, four days prior to the 90-day maximum. On December 27, 1976, the court impaneled the jury and thereafter ordered a recess until January 4, 1977, because the prosecutor scheduled to try this case was still engaged in another trial. Appellants contend that the impaneling of the jury followed by an eight-day recess was an obvious subterfuge in violation of Rule 8. We do not agree. In State v. Ferguson, 120 Ariz. 345, 347, 586 P.2d 190, 192 (1978), the court ordered the jury impaneled on the ninetieth day after arraignment and then ordered a fourteen-day recess. The defendant argued that impaneling the jury on the last day of the Rule 8 time limit was a mere subterfuge. We held: The eight-day delay in the instant case is well within the limits announced in Ferguson. Thereafter, on January 3, 1977, one day before evidence was to be taken, the court was informed that Henry Zalut, counsel for appellant Johnson, had been hospitalized and could not appear. Over the objections of White and Williams, the court ordered a seven-day recess. At the end of this recess it was revealed that Mr. Zalut required surgery. Counsel from Zalut's office then moved for a further continuance. The court then recessed until February 7, 1977. Appellants renewed their objections. On February 3, 1977, counsel from Zalut's office again moved for a 30-day recess, which the court granted over the objections of the State, Williams and White. Appellants admit that the delays occurring after January 4, 1977 were occasioned by illness of a co-defendant's counsel. Delay occasioned by or on behalf of one of several defendants is attributable to his co-defendants for the purpose of determining whether the speedy trial time limits have been violated. State ex rel. Berger v. Superior Court, 111 Ariz. 335, 529 P.2d 686 (1974). See also, 17 A.R.S., Rules of Criminal Procedure, Rule 8.4(e). Appellants argue that the court should have granted a severance pursuant to Rule 8.4(e) in order to shorten the delay and "preserve the applicable time limits." However, we do not think that the rule on "applicable time limits" is concerned with the delay after the jury was sworn in on the 86th day following the appellant's arraignment. We certainly do not approve of the delays in this case. But since such delays must in the end be left to the sound discretion of the trial judge, we will not reverse unless it appears that substantial prejudice occurred. No such prejudice appears from the record. Appellants also claim error resulting from delay when the trial court ordered a recess to allow a member of the jury panel to take a planned vacation. This delay resulted from the fact that in the selection of the jury, one juror, Mrs. Mary Lynn Kerr, informed the court that she had been planning a vacation for some time and that it could not be postponed. The court assured her that the trial would not interfere with her plans. On March 10, 1977, the court made the following statement: Counsel for appellant Johnson would not stipulate to Mrs. Kerr's designation as the alternate. The court later ordered a tenday recess while Mrs. Kerr completed her vacation. Appellants argue that they were prejudiced by this delay because of the obvious inability of the jury to recall the testimony. However, we do not think this was prejudicial since after the jurors commenced their deliberations, certain of the testimony in which the jury was interested was read to it. DESTRUCTION OF NOTES After discovering the condition of Helgeson and Robinson, Deputy Newby booked the six prisoners into the Maricopa County Jail. Robinson was then interviewed by Detective James Pomush. During an interview, Pomush made notes and recorded Robinson's statement. When Pomush wrote his final report, he used the recording, his notes and his memory. At the trial, the following testimony was elicited from Detective Pomush: Appellants urge on appeal that the "destruction" of Detective Pomush's notes resulted in reversible error. The Federal courts have considered this problem in a series of cases in which FBI agents intentionally destroyed notes which were made during interviews or interrogations. Typically these notes were destroyed after they had been incorporated into the agent's final report, a copy of which was available to the defense. The leading case is Killian v. United States, 368 U.S. 231, 82 S. Ct. 302, 7 L. Ed. 2d 256 (1961), in which the defendant was charged with falsely swearing in an affidavit that he was not a member of the Communist Party. The government's case depended on the testimony of two informants who joined the Communist Party at the request of the FBI. On cross-examination, both informants testified that they were reimbursed for their expenses which they orally reported to an FBI agent. The agent made notes of the amounts and later reimbursed each informant in cash. The defendant moved for production of the notes. It was subsequently revealed that the notes had been destroyed before trial, but not before the information had been transferred to receipts which the informants had signed. The Supreme Court remanded the case to the district court with instructions to make three findings of fact: (1) whether the notes were made only for the purpose of transferring the data to receipts, (2) whether the agent acted in good faith, and (3) whether the agent acted in accordance with normal procedure of the agency in destroying the notes. The Court stated: Initially and almost uniformly, lower federal courts followed the reasoning of Killian. See e.g., United States v. Covello, 410 F.2d 536 (2d Cir.1968), cert. denied 396 U.S. 879, 90 S. Ct. 150, 24 L. Ed. 2d 136 (1969); United States v. Lepiscopo, 429 F.2d 258 (5th Cir.1970), cert. denied 400 U.S. 948, 91 S. Ct. 255, 27 L. Ed. 2d 254 (1970); United States v. Fruchtman, 421 F.2d 1019 (6th Cir.1970), cert. denied 400 U.S. 849, 91 S. Ct. 39, 27 L. Ed. 2d 86 (1970); Ogden v. United States, 323 F.2d 818 (9th Cir.1963), cert. denied 376 U.S. 973, 84 S. Ct. 1137, 12 L. Ed. 2d 86 (1964). See also, Comment, Judicial Response to Governmental Loss or Destruction of Evidence (1972), 39 U.Chi.L. Rev. 542, 549. The Fourth Circuit, however, questioned the practical effects of Killian in United States v. Johnson, 337 F.2d 180, 201-02 (4th Cir.1964), saying: The Ninth Circuit, in United States v. Carrasco, 537 F.2d 372 (9th Cir.1976), recognized, as did the Fourth Circuit, that: In United States v. Harrison, 173 U.S. App.D.C. 260, 524 F.2d 421 (1975), the District of Columbia Court of Appeals refused to follow the Killian approach. It observed: Finally the argument was rejected in United States v. Harris, 543 F.2d 1247 (9th Cir.1976), that the good-faith destruction of rough notes in accordance with normal FBI procedure was justifiable. It was held that the routine disposal of potentially discoverable materials amounts to a usurpation of the judicial function of determining what evidence should be produced in a criminal case. It was also held that original or rough notes of an interview must be preserved. In each of the cases discussed, the courts were construing the Jenks Act.[1] While the Jenks Act is not applicable to the states, the conclusions reached are significant to the decision here. Rule 15.4(a)(2) reads: Where, as here, the officer writing a report testifies that "* * * a lot of things * * *272 weren't reflected in the report," the court is left with little basis to judge compliance with the above-indicated portion of the rule. However, neither counsel developed the issue and there is therefore no indication of prejudice to the defendant. A caveat to law enforcement officers may well be added to the comment on the rule. Comply with the rule by substantially incorporating the notes in the statement or report so that if the original notes are lost or destroyed, testimony can be introduced to that effect. Appellants essentially argue that they were denied due process because the State destroyed evidence which might have been exculpatory. We recently discussed this point in State v. Hughes and Soloman, 119 Ariz. 261, 580 P.2d 722 (1978). There, Soloman pled guilty to a charge of first degree rape while armed with a knife. Because he was not fully informed by the court of the special conditions of sentencing, we remanded to the Superior Court to determine, if possible, whether the guilty plea was not intelligently made. On retrial it was determined that most of the physical evidence had been lost or destroyed after the first trial. On appeal, Soloman urged that the loss of evidence by the State had violated his right to due process by forever depriving him of the opportunity to a fair and just trial. In response to this argument, we noted that this was not a case dealing with discovery "one in which evidence possibly favorable to the accused has been withheld from him." We held that: At the outset, we observed that there was no evidence of bad faith on the part of the State. Moreover, appellants do not suggest they were prejudiced by the loss of the notes. Both Detective Pomush and Robinson testified at the trial. Appellants had the opportunity to cross-examine them concerning any facts which would support their defenses or theories of what occurred. Appellants could also have called Paul Espinoza, the sixth person present in the rear of the van, who could have testified in contradiction to the officer's testimony, if that were the case. SHACKLING BEFORE JURY Appellants assert next that the court committed reversible error when it allowed appellants to appear before the jury shackled (leg irons) and heavily guarded. Whether a defendant will appear before the jury shackled and guarded is within the sound discretion of the trial court. State v. Reid, 114 Ariz. 16, 559 P.2d 136 (1976); State v. Watson, 114 Ariz. 1, 559 P.2d 121 (1976). We stated in Reid that: The record in this case supports the action of the trial court. After considering information provided by the sheriff on prior violent conduct of appellants, the court believed there was need for some type of restraint. It said: We think the trial court demonstrated its desire to present the appellants to the jury in the least oppressive light possible under the circumstances, and did not abuse its discretion in restraining appellants. Appellants argue that there was no evidence that they had tried to escape or that they would be violent in the court room. But a trial court need not wait until an *273 escape or other violence has occurred in its presence before exercising its discretion. DEADLOCK OF JURY After the jury retired to deliberate, word was sent to the judge that the jurors wanted a transcript of the testimony of appellant Williams. Defense counsel would not agree that a transcript of Williams' testimony would be submitted to the jury. While the matter was being argued to the court, several other notes were sent out by the jury. The last read: "Without the transcript, we are unable to reach an agreement." From this note, appellants conclude that the jury was hopelessly deadlocked and that the court should have declared a mistrial. We think, however, that the note can reasonably be interpreted to mean that the jury members differed in their recollection as to how the witness testified and that in order to resolve those differences they needed the transcripts. Under Rule 22.3, Arizona Rules of Criminal Procedure, 17 A.R.S., it is within the sound discretion of the court to determine whether the jury should have testimony from the trial read to them. That rule provides: The court did not abuse its discretion in settling the disagreement between counsel by having all the testimony read back to the jury. The jury also sent the court this note: "Do we have to be present when the verdict is read?" It is argued from this note that the jury was intimidated by the defendants and that, therefore, the jurors must have been prejudiced against them. Even if we assume that the jurors were intimidated by the defendants, we do not think it necessarily follows that they were so prejudiced against them that they would return a verdict of guilty if not convinced beyond a reasonable doubt. FAILURE TO PRODUCE DOCTOR'S REPORT Appellants sought to discover an asserted Arizona State Prison psychologist's report on Charles Robinson, one of the victims. The State was unable to produce such a report. Appellants urge that because of its non-production, Robinson's testimony should have been excluded from the trial. We think the following statement by the prosecuting attorney discloses adequate grounds for its nonproduction: FAIR AND IMPARTIAL VERDICT Appellants argue that a fair and impartial trial could not be had because of the number of prejudicial events which occurred. The events referred to by appellants include those discussed above and the following incident. Shortly after the jury retired, appellants were removed from the court room to the holding tank. In order to reach the holding tank they had to pass through the hallway just outside the jury *274 room. While moving through the hallway, appellant Williams attacked a guard. A scuffle ensued which lasted approximately thirty seconds. While the door to the jury room was closed and locked, the jurors were aware that an incident of some kind occurred. One of the jurors later read an account of the incident in a newspaper and the next day discussed the newspaper story with the other jurors. The court conducted an inquiry into the matter and asked each juror whether he could still render a fair and impartial verdict. All indicated that they could. The trial judge believed the jury could render an impartial verdict and we are convinced that the jurors were correct in their assessment of the facts. Appellants, however, point out that the newspaper account which was discussed by the jurors contained an erroneous statement of fact. We do not think it was such an error as would work to the appellants' disadvantage. Finally, appellants argue that when all the events are considered together, they amount to prejudice. We have previously held in State v. Fleming, 117 Ariz. 122, 571 P.2d 268 (1977): Judgments affirmed. I dissent from the majority's conclusion that despite the lengthy delay in bringing the defendants to trial, no prejudice occurred. Over their repeated objections, defendants White and Williams were brought to trial approximately 72 days after the maximum time limits allowable under 17 A.R.S., Rules of Criminal Procedure, rule 8. This was not a per se violation of the defendants' speedy trial rights, however, because a jury had been impaneled within the time limits of rule 8. The majority opinion properly cites State v. Ferguson, 120 Ariz. 345, 586 P.2d 190 (1978), for the proposition that fourteen days of delay, after a jury has been impaneled, approaches the outer limits of permissible delay. Although that case dealt with delays caused by the prosecution, we stated that "[d]elay much longer than this would compel us to find a violation of Rule 8." State v. Ferguson, 120 Ariz. 345, 347, 586 P.2d 190, 192. Most of the delay in the instant case was caused by the illness of counsel for one of the three defendants. This is analogous to delay caused by the state in that it was not precipitated by the other two defendants, nor was it condoned by them. (A previous motion for severance had been denied.) When defendant Johnson's attorney moved to continue, and counsel for Williams and White objected, the cases of Williams and White should have proceeded to trial. Severance is not always mandated to preserve the speedy trial rights of one defendant. Because of the nature of the delay, however, and because all of the remaining parties were ready and willing to proceed to trial, severance should have been granted to preserve the applicable time limits. See 17 A.R.S., Rules of Criminal Procedure, rule 8.4.e. The resulting delay so far exceeds what we have previously deemed permissible that it subverts the very purpose of rule 8 and is, in and of itself, prejudicial. I also strongly disapprove of the trial court's continuing the trial for ten days and allowing the jury to depart unsequestered, in order to accommodate a juror's vacation schedule. Because the jury could not remember portions of the testimony, all of the evidence had to be read back to them, causing further delay. I feel that the combined effect of these delays prejudiced all three of the defendants and deprived them of a fair trial. *275 The majority opinion cites State v. White, 56 Ariz. 189, 106 P.2d 508 (1940) for the proposition that if no objection is made by the appellant in the trial court, the objection is waived. I agree with this statement of the law but simply add that if the error amounts to fundamental error, we are compelled to review it whether or not a proper objection was made at trial. A.R.S. § 13-4035B; State v. Rose, 121 Ariz. 131, 589 P.2d 5 (1978). I would agree with the majority as to its handling of the remaining issues. CAMERON, Chief Justice (concurring): I concur with Justice Gordon. [1] 18 U.S.C. § 3500