Opinion ID: 2517324
Heading Depth: 3
Heading Rank: 1

Heading: The Adequacy of the Record

Text: Defendant challenges the adequacy of the appellate record in a number of respects. He initiated lengthy proceedings below to correct and augment the record, which resulted in three settled statements designating omissions that could not be rectified. (1) [S]tate law entitles a defendant only to an appellate record `adequate to permit [him or her] to argue' the points raised in the appeal. [Citation.] Federal constitutional requirements are similar. The due process and equal protection clauses of the Fourteenth Amendment require the state to furnish an indigent defendant with a record sufficient to permit adequate and effective appellate review. [Citations.] Similarly, the Eighth Amendment requires reversal only where the record is so deficient as to create a substantial risk the death penalty is being imposed in an arbitrary and capricious manner. [Citation.] The defendant has the burden of showing the record is inadequate to permit meaningful appellate review. [Citation.] ( People v. Rogers (2006) 39 Cal.4th 826, 857-858 [48 Cal.Rptr.3d 1, 141 P.3d 135]; see also People v. Rundle (2008) 43 Cal.4th 76, 110-111 [74 Cal.Rptr.3d 454, 180 P.3d 224].) Defendant urges us to reconsider our rule placing on the appellant the burden of demonstrating that the record is so inadequate as to frustrate meaningful review. He argues that he should not be required to speculate about issues that might have arisen from missing parts of the record, and that an incomplete record amounts to a structural defect requiring reversal without a specific showing of prejudice. Certainly a substantially defective record could amount to such a structural defect, but it remains the appellant's burden to make that showing. Defendant fails to do so here. Defendant complains about a number of items in the first settled statement that are not typically reflected in an appellate record, so that their omission cannot be said to be an obstacle to review absent some special circumstance. These include physical gestures by witnesses during testimony and by the prosecutor during argument; charts referred to by counsel during the course of argument but not entered into the record as exhibits; the identities of jurors whose comments or questions were recorded by the reporter or whose actions were otherwise described in the transcript; the specific portions of a witness's taped statement that were played for the jury during closing argument; and the circumstances surrounding notes sent by the jury during its deliberations (i.e., why only certain portions of a witness's testimony were read back to the jury, exactly when the court received a note, and when or how counsel agreed to a response). A defendant must rely on counsel to make items like these a part of the record if they have some significance regarding a potential appellate issue. Defendant also contends that various off-the-record discussions deprived him of his right to a complete record. Section 190.9 requires all proceedings during trial to be transcribed in a capital case. This requirement does not include private conferences between defense counsel and defendant, or among counsel and cocounsel or their witnesses. ( People v. Samayoa (1997) 15 Cal.4th 795, 820 [64 Cal.Rptr.2d 400, 938 P.2d 2].) Here, the record does not reflect the nature of the discussions in question. Although the failure to transcribe them may have been a violation of section 190.9, it gives rise to no presumption of prejudice. Defendant must demonstrate that the omissions deprive him of meaningful appellate review. ( People v. Hinton (2006) 37 Cal.4th 839, 919 [38 Cal.Rptr.3d 149, 126 P.3d 981].) He makes no effort to do so, failing to analyze the context of the off the record references in the reporter's transcripts. In each instance counsel and the court were unable to recall the substance of the discussions. Thus, the likelihood is that they involved either private discussions, routine issues of scheduling and the like, or other matters that would not affect our review. [2] The second settled statement concerned four pretrial hearings in municipal court that were not recorded. Neither the court nor counsel could recall these hearings, which should have been reported under section 190.9. (See People v. Freeman (1994) 8 Cal.4th 450, 509 [34 Cal.Rptr.2d 558, 882 P.2d 249].) Clerks' transcripts reflect the subject matter of each of these hearings, however. Defendant does not analyze these transcripts or make any effort to discuss how the absence of reporters' transcripts affects his right to meaningful review, other than to complain that he lacks the information they would have provided. He fails to show prejudice. ( People v. Hinton, supra, 37 Cal.4th at p. 919.) The third settled statement reveals that the prosecutor and defense counsel submitted lists of proposed jury instructions at both the guilt and penalty phases, neither of which could be located by the clerk's office for inclusion in the record. The attorneys could not find the originals or copies of these lists. Furthermore, the court was unable to ascertain if it had compiled a list of the instructions it rejected; if such a list existed, its content could not be settled. Defendant argues that without knowing which of his proposed instructions were refused by the court, his appellate counsel cannot provide him effective assistance and there can be no meaningful review of the guilt and special circumstance verdicts. As to the guilt phase instructions, the record includes lengthy discussions between the court and counsel on substance and terms. Defendant makes no attempt to detail how these discussions are insufficient for our review. He merely asserts that in many instances, which he does not specify, it cannot be discerned which party requested the instruction being discussed, or what it was the trial court refused to adopt. This assertion is insufficient to establish an inadequate record. Defense counsel stated on the record that he had gone over all the modifications worked out by the court and counsel, and had no further changes or deletions to suggest. Counsel raised no omissions from the guilt phase instructions in his motion for a new trial. Appellate counsel has raised a number of guilt phase instructional issues, which are addressed below. The lack of a written list of proposed instructions, and of instructions refused, does not appear to have hindered this effort. Regarding the penalty phase, defendant acknowledges that the court read into the record all but one of the six special instructions his counsel submitted. He contends the contents of the omitted instruction cannot be ascertained. However, the court and counsel discussed this instruction, which concerned mitigating factors, in sufficient detail that it is clear defendant was not entitled to have it read to the jury. The prosecutor objected to the instruction because it singled out particular incidents and identified them as mitigating factors, when they could also be viewed as aggravating. The court noted that the instruction tended to pinpoint certain pieces of evidence and not pinpoint others. Defense counsel argued that the instruction properly allowed the jurors to consider the incidents in mitigation if you find they so apply. The prosecutor responded that if the instruction were given, she would in turn be entitled to a pinpoint instruction on every aggravating factor shown by the penalty phase evidence. The court concluded that the substance of the instruction was appropriate for argument, but not for instruction. We have frequently ruled that instructions providing a partial list of mitigating factors, with reference to particular items of evidence, are improper. (See, e.g., People v. Cook (2007) 40 Cal.4th 1334, 1364 [58 Cal.Rptr.3d 340, 157 P.3d 950], and cases therein cited.) Defendant establishes no likelihood that the absence of a written record of his proposed special instruction has prevented his counsel from effectively evaluating the denial of this instruction as a possibly meritorious claim on appeal. The second item on the third settled statement is a proposed questionnaire given by the trial court to counsel before jury selection, with a request for their suggestions. The clerk was unable to locate this document. Defendant mentions this omission but makes no effort to demonstrate how it might affect his right to meaningful appellate review. The third settled statement also notes that defense counsel's proposed additional questions for the jury questionnaire could not be found by the clerk or by counsel. Defendant again fails to develop any argument as to how the lack of this document has hampered appellate review. Next, the third settled statement states that during jury selection, the court provided written questions to a group of male jurors regarding a remark by one prospective juror to the effect that we'll give him a fair trial and then we'll hang him. The comment was made to the court clerk, who was unable to identify the juror. The court and counsel devoted some time to investigating which prospective juror made the remark, and the man who was generally agreed to be the most likely suspect was eventually excused. Although the settled statement declares that the questions given to the jurors on this subject could not be found or reconstructed, the court in fact read the questions aloud to the group of jurors, and they were transcribed by the reporter. Thus, defendant has suffered no prejudice from the absence of the document itself. Finally, the third settled statement states that neither the clerk nor counsel were able to locate copies of letters given by defense counsel to the clerk to be mailed to four jurors after trial, in connection with defendant's motion for a new trial. Defendant speculates that the content of these letters may have prevented him from establishing the basis for obtaining a new trial. Any such possibility appears remote indeed, and furnishes no ground for deeming the record inadequate. We emphasize, once again, that trial courts should take care to avoid off-the-record discussions in capital cases, and to comply with section 190.9 in all respects. ( People v. Freeman, supra, 8 Cal.4th at p. 511.) Maintaining the documentary record is equally important. (See § 190.7.) These measures not only assure an adequate appellate record, but also obviate the burden of settling the record. ( Freeman, at p. 511.) Human affairs being what they are, however, perfect records are not always achieved. Appellants must do more than merely complain about omissions; they must demonstrate that the record is insufficient for meaningful appellate review. ( People v. Rogers, supra, 39 Cal.4th at pp. 857-858.) The significance of missing items must be analyzed with reference to what is reflected by the record. Here, defendant fails to establish that the omissions he notes resulted in a record so deficient as to make the appellate process unreliable.