Opinion ID: 1801948
Heading Depth: 4
Heading Rank: 1

Heading: Alleged judicial bias and related errors

Text: During the noon recess on the second day of the prosecution's guilt phase case-in-chief, the trial judge, Judge Stephen P. Gildner, discovered that two upcoming prosecution witnesses were his close friends. Judge Gildner did not immediately disqualify himself, however. Rather, he continued to preside throughout that afternoon; the following morning he recused himself and transferred the case to another judge. Defendant contends that Judge Gildner's continuing to preside over the case after he became aware of facts requiring his disqualification violated state statutory law as well as defendant's due process right to an impartial judge under the state and federal Constitutions. Defendant further contends that the substitution of another judge who was not familiar with the trial testimony already presented violated state law and defendant's rights to due process of law, trial by jury, and a reliable penalty determination under the Sixth, Eighth and Fourteenth Amendments to the federal Constitution. For the reasons explained below, we reject each of defendant's claims.
Danny Phinney testified on May 15, 1996, the second day of the prosecution's guilt phase case-in-chief. At the end of the lunch recess that day, Judge Gildner informed the parties that he had just realized that two upcoming prosecution witnesses, Jerry and Terri Jones, were close family friends. Although he had seen their names on the witness list, he had not realized that they were his friends until he met them in the hallway during the recess. Moreover, the Joneses were not just casual family friends, but rather their older son and my older son are very close personal friends, have been since about fourth grade. The judge acknowledged learning during a brief conversation with them that Terri Jones was related to Alma Merck, and noted that he might possibly be called upon to judge their credibility in the future. After stating he was not sure what my obligations are beyond this point, the judge called a brief recess to allow counsel to confer with defendant. Following the recess, Judge Gildner confirmed that the Joneses were close family friends whom he had known for at least 10 years. Defense counsel then announced that although he believed the judge would make every effort to be fair, defendant had instructed him to move for a mistrial. Upon questioning from Judge Gildner, the prosecutor confirmed that the Joneses would testify regarding items of the Mercks' property that defendant allegedly had possessed. Defense counsel added that the Joneses also were potential penalty phase witnesses, and Judge Gildner acknowledged that if the jury returned a death penalty verdict, he would be required to assess their credibility in ruling on the automatic motion to modify the verdict under section 190.4, subdivision (e). At the conclusion of this discussion, the judge stated he was not going to precipitously rule, but would call another 25-minute recess to think about the matter. Following the second recess, Judge Gildner expressed his opinion that he was not required to do anything other than preside over the trial because he had been, and would continue to be, fair to both sides. However, because the situation implicated the appearance of justice and fairness, he would continue to assess the situation through the end of the day. He explained, I am unwilling at this point to grant the motion for a mistrial but it is chiefly because I am trying to buy some time, to be frank with you, to think about this a little bit more. He further explained that if the motion for a mistrial should be granted at this moment, it should be granted for the same reasons at a later moment, that he could not think of a matter that might arise that afternoon that would prejudice either side, and that he was extremely reluctant to disrupt the cross-examination of Phinney, who was clearly hostile yesterday when he was ordered back for continued testimony. Defendant objected to any further proceedings before Judge Gildner, who acknowledged a continuing objection. After stating he wanted to think about whether he could set aside my personal feelings in the matter, and ascertaining that the Joneses would not be testifying that day, the judge directed that the trial continue. That afternoon, the cross-examination of Danny Phinney was completed, with Judge Gildner ruling on various objections by both the defense and the prosecution. The parties and Judge Gildner then reconvened to discuss the mistrial motion. The judge noted that a new California Code of Judicial Ethics had been approved a month earlier which required a judge to disqualify himself or herself whenever required by law or when the judge's impartiality might reasonably be questioned. He further noted that then section 170.1, former subdivision (a)(6)(C) (now subd. (a)(6)(A)(iii)) of the Code of Civil Procedure required disqualification if `a person aware of the facts might reasonably entertain a doubt that the judge would be able to be impartial.' The judge stated in light of these provisions, he intended to recuse himself; however, he was unwilling to declare a mistrial because only the appearance of bias was at issue and because defendant refused to waive any right he might have to claim that double jeopardy barred a retrial. After discharging the jury for the day, the judge repeated that given that [judicial] canon and given the [Code of Civil Procedure] and given the present circumstances of this case and the possibility that I may have to assess the credibility of people who appear to be central to the prosecution's case, a recusal may be appropriate. It may even be required. The following morning, May 16, 1996, the parties again convened outside the jury's presence, and Judge Gildner again expressed his concern that absent defendant's express consent to a mistrial, double jeopardy might bar a retrial. He therefore denied the motion for a mistrial without prejudice, recused himself, and transferred the case to Judge Lee Felice.
Defendant contends that once Judge Gildner realized that his close friends Jerry and Terri Jones were both prospective witnesses and relatives of one of the victims, he should have refrained from presiding over the trial for the remainder of the afternoon of May 15, 1996. He asserts Judge Gildner should have either recused himself immediately or, if he needed more time to determine whether to recuse himself, continued the trial while he considered the issue. Defendant argues that Judge Gildner's continuing to preside over the trial while he was aware of facts that might require his recusal violated state statutory law as well as defendant's right to an impartial judge under the due process clauses of the state and federal Constitutions. (10) If defendant is entitled to relief under state statutory law, there will be no need to address his federal constitutional claim. Accordingly, we address his statutory claim first. Defendant argues that by continuing to preside over Phinney's cross-examination and ruling on the motion for mistrial after grounds for his disqualification arose, Judge Gildner failed to comply with Code of Civil Procedure section 170.3, subdivision (a)(1). That subdivision provides that when a judge determines himself or herself to be disqualified, the judge shall notify the presiding judge of the court of his or her recusal and shall not further participate in the proceeding, except as provided in [Code of Civil Procedure section] 170.4, unless his or her disqualification is waived by the parties as provided in subdivision (b). When the issue is properly raised, Code of Civil Procedure section 170.3, subdivision (a)(1), invalidates actions taken by a judge after voluntary disqualification other than those permitted by Code of Civil Procedure section 170.4, unless the disqualification is waived. [15] (See Geldermann, Inc., v. Bruner (1991) 229 Cal.App.3d 662, 665-666 [280 Cal.Rptr. 264] [judgment based on statement of decision issued by judge who had voluntarily disqualified himself after presiding over nonjury trial and issuing tentative decision must be reversed].) Here, there was no waiver; defendant objected to Judge Gildner continuing to preside over the case after learning facts that might require disqualification, and he moved for a mistrial. Nonetheless, Judge Gildner did not violate Code of Civil Procedure section 170.3, subdivision (a)(1), when he continued to preside over Phinney's cross-examination. By its terms, the statute requires a judge to cease participating in the proceeding only after the judge determines himself or herself to be disqualified. Here, Judge Gildner did not determine[] himself to be disqualified until after Danny Phinney's cross-examination was completed, when he stated, [h]aving considered the mandate which falls upon me ... as approved by the California Supreme Court and then having considered [Code of Civil Procedure section 170.1, former subdivision (a)(6)(C)], I think it is appropriate to recuse myself. Up until that time, the judge expressed concern about the situation, but he did not decide his recusal was required until he discovered the applicable judicial canon and code section. After determining to recuse himself, Judge Gildner did not further participate in the proceedings except to rule on defendant's mistrial motion and refer the case to Judge Felice. Defendant does not argue that Judge Gildner was not authorized to refer the case to Judge Felice. Nor could he, because Code of Civil Procedure section 170.4, subdivision (a)(2), expressly permitted Judge Gildner to [r]equest any other judge agreed upon by the parties to sit and act in his or her place. Defendant does complain that the statute did not permit Judge Gildner to rule on the mistrial motion. However, defendant did not object to Judge Gildner ruling on the motion or ask Judge Felice to reconsider Judge Gildner's ruling, even though Judge Gildner denied the motion without prejudice. To the contrary, defendant affirmatively sought a ruling from Judge Gildner. Accordingly, defendant forfeited any claim that Code of Civil Procedure section 170.3, subdivision (a)(1), prohibited Judge Gildner from ruling on the mistrial motion. In any event, because as we explain below (see, post, at pp. 458-459), a mistrial was not required, any statutory violation did not prejudice defendant. (See People v. Watson (1956) 46 Cal.2d 818, 836-837 [299 P.2d 243] [error of state law requires reversal only if it is reasonably probable the jury would have returned a different verdict absent the error].) (11) Because defendant is not entitled to relief on his claimed statutory violation, we turn to his federal constitutional claim. A criminal defendant has due process rights under both the state and federal Constitutions to be tried by an impartial judge. ( Caperton v. A. T. Massey Coal Co. (2009) 556 U.S. ___, ___ [173 L.Ed.2d 1208, 129 S.Ct. 2252, 2259] ( Caperton ); People v. Kipp (2001) 26 Cal.4th 1100, 1140 [113 Cal.Rptr.2d 27, 33 P.3d 450].) Indeed, [i]t is axiomatic that `[a] fair trial in a fair tribunal is a basic requirement of due process.' ( Caperton, supra, 556 U.S. at p. ___ [129 S.Ct. at p. 2259], quoting In re Murchison (1955) 349 U.S. 133, 136 [99 L.Ed. 942, 75 S.Ct. 623].) (12) Defendant argues that his federal due process right to an impartial judge was violated when Judge Gildner continued to preside over his case after learning facts that might require his disqualification. As we understand it, defendant reasons as follows: Judge Gildner recused himself under Code of Civil Procedure section 170.1, former subdivision (a)(6)(C) (now subd. (a)(6)(A)(iii)), which requires disqualification if, [f]or any reason ... a person aware of the facts might reasonably entertain a doubt that the judge would be able to be impartial. The doubt about Judge Gildner's ability to be impartial arose when he first learned that his friends the Joneses were both potential witnesses and relatives of victim Alma Merck. We have said former subdivision (a)(6)(C) of Code Civil Procedure section 170.1 appears to codify [federal] due process grounds for challenging the impartiality of a judge. ( People v. Brown (1993) 6 Cal.4th 322, 334 [24 Cal.Rptr.2d 710, 862 P.2d 710], citing In re Murchison, supra, 349 U.S. at p. 136, and Tumey v. Ohio (1927) 273 U.S. 510, 533 [71 L.Ed. 749, 47 S.Ct. 437]; see also People v. Brown, supra, 6 Cal.4th at p. 336 [Code Civ. Proc., § 170.1, former subd. (a)(6)(C) is drafted broadly enough to include `due process' grounds of relief for judicial bias].) Accordingly, because there was a doubt about Judge Gildner's ability to be impartial at the time he presided over Danny Phinney's cross-examination, and because such a doubt constitutes a due process ground[] for challenging the impartiality of a judge ( People v. Brown, supra, 6 Cal.4th at p. 334), defendant's federal due process right to an impartial judge was violated. (13) We recently rejected a similar claim in People v. Freeman (2010) 47 Cal.4th 993 [103 Cal.Rptr.3d 723, 222 P.3d 177]. There, the defendant was tried before a judge who had previously disqualified himself based on an appearance of biashis friendship with a judge whom the defendant was rumored to have been stalkingbut who later was reassigned to the defendant's case after the stalking rumors proved unfounded. On appeal, the defendant argued that her trial before the previously disqualified judge violated her due process right to an impartial judge. We rejected the claim, relying upon the United States Supreme Court's recent decision in Caperton, supra, 556 U.S. ___ [129 S.Ct. 2252]. As we explained, Code of Civil Procedure section 170.1, subdivision (a)(6)(A)(iii) provides an explicit ground for judicial disqualification based on a public perception of partiality, that is, the appearance of bias. ( People v. Freeman, supra, 47 Cal.4th at p. 1001.) Caperton, however, clarified that the due process clause operates more narrowly: while a showing of actual bias is not required for judicial disqualification under the due process clause, neither is the mere appearance of bias sufficient. Instead, based on an objective assessment of the circumstances in the particular case, there must exist `the probability of actual bias on the part of the judge or decisionmaker [that] is too high to be constitutionally tolerable.' ([ Caperton, supra, ] 556 U.S. at p. ___ [129 S.Ct. at p. 2259].) Where only the appearance of bias is at issue, a litigant's recourse is to seek disqualification under state disqualification statutes: `Because the codes of judicial conduct provide more protection than due process requires, most disputes over disqualification will be resolved without resort to the Constitution.' ([ Id. ] at p. ___ [129 S.Ct. at p. 2267].) Finally, the court emphasized that only the most `extreme facts' would justify judicial disqualification based on the due process clause. ( Id. at pp. ___, ___ [129 S.Ct. at pp. 2265, 2266].) ( People v. Freeman, supra, 47 Cal.4th at p. 996.) Turning to the facts before us, we concluded in Freeman that the defendant's case did not implicate any of the concernssuch as pecuniary interest, enmeshment in contempt proceedings, or the amount and timing of campaign contributionsthat had motivated the high court's decisions finding that due process required judicial disqualification. ( People v. Freeman, supra, 47 Cal.4th at p. 1006.) Further, the circumstances were not so extreme as to warrant a finding of a probability of actual bias. At most, [the judge's] decision to accept reassignment of defendant's case may have violated the judicial disqualification statutes that limit the actions that may be taken by a disqualified judge. [Citations.] But, without more, this does not constitute the kind of showing that would justify a finding that defendant's due process rights were violated. ( Ibid. ) Similarly here, it does not necessarily follow that due process was violated when Judge Gildner presided over the trial for a brief period after learning of facts that he later concluded gave rise to an appearance of bias sufficient to warrant his recusal under Code of Civil Procedure section 170.1, former subdivision (a)(6)(C), because such statutes `provide more protection than due process requires.' ( People v. Freeman, supra, 47 Cal.4th at p. 1005, quoting Caperton, supra, 556 U.S. at p. ___ [129 S.Ct. at p. 2267].) Nor would any possible violation of the statutes that limit the actions a disqualified judge may take, without more, amount to a due process violation. ( People v. Freeman, supra, 47 Cal.4th at p. 1006.) Rather, defendant must make the heightened showing of a probability, rather than the mere appearance, of actual bias to prevail. ( Ibid. ) This he cannot do. As the high court explained in Caperton, a constitutionally intolerable probability of actual bias exists only when the circumstances `would offer a possible temptation to the average man as a judge to forget the burden of proof required to convict the defendant, or which might lead him not to hold the balance nice, clear and true between the State and the accused.' ( Caperton, supra, 556 U.S. at p. ___ [129 S.Ct. at p. 2260], quoting Tumey v. Ohio, supra, 273 U.S. at p. 532.) This inquiry is an objective one, based on whether `under a realistic appraisal of psychological tendencies and human weakness,' the interest `poses such a risk of actual bias or prejudgment that the practice must be forbidden ....' ( Caperton, supra, 556 U.S. at p. ___ [129 S.Ct. at p. 2263], quoting Withrow v. Larkin (1975) 421 U.S. 35, 47 [43 L.Ed.2d 712, 95 S.Ct. 1456].) Defendant's showing falls short. Defendant argues there was a risk of bias because Judge Gildner would be reluctant to disbelieve his friends when ruling on motions contesting the sufficiency of the evidence of guilt or the propriety of a death sentence. But Judge Gildner recused himself before the Joneses testified and did not rule on any such motions; there was no such risk of bias during the brief period he presided over Danny Phinney's testimony while knowing the Joneses would be witnesses later. Defendant also argues there was a risk of bias because Judge Gildner was aware that Alma Merck was a relative of his friends the Joneses, who had been greatly saddened by her death. But these facts are not so extreme or extraordinary that they would tempt `the average ... judge ... not to hold the balance nice, clear and true between the State and the accused.' ( Caperton, supra, 556 U.S. at p. ___ [129 S.Ct. at p. 2260].) On this point, Richardson v. Quarterman (5th Cir. 2008) 537 F.3d 466, is instructive. There, the wife of the judge in a murder case was a friend of the victim. The Fifth Circuit determined that the judge did not face a significant temptation to be biased against Richardson. He did not stand to gain personally or professionally if Richardson were sentenced more harshly by the jury. It may have pleased his wife or her friends and acquaintances ... if Richardson received a harsh sentence, but this is not the type of `possible temptation' that would lead the average judge `not to hold the balance nice, clear and true.' ( Richardson v. Quarterman, supra, 537 F.3d at p. 476.) Similarly here, while it might have pleased the Joneses if Judge Gildner had ruled solely in favor of the prosecution on objections during Danny Phinney's cross-examinationwhich, we note, he did not dosuch a temptation was too remote and insubstantial to violate the due process clause. (See also People v. Williams, supra, 16 Cal.4th at pp. 651-653 [no due process violation established when the nephew of the judge's son-in-law was both a witness and the grandson of the victim in a murder case].) In sum, neither defendant's rights under Code of Civil Procedure section 170.3, subdivision (a)(1), nor his federal due process right to an impartial judge, were violated when Judge Gildner continued to preside over a brief period of the trial after learning that his close friends the Joneses were both upcoming witnesses and relatives of Alma Merck. [16] Defendant next argues that Judge Gildner erred when he denied defendant's motion for a mistrial and instead transferred the case to Judge Lee P. Felice, who presided over the remainder of the trial. Defendant contends the federal Constitution's due process and jury trial guarantees require the same judge to preside over all stages of a criminal trial. (See Freeman v. U.S. (2d Cir. 1915) 227 F. 732; Randel v. Beto (5th Cir. 1965) 354 F.2d 496, 500.) (14) As defendant acknowledges, we have rejected this precise contention. ( People v. Espinoza (1992) 3 Cal.4th 806, 829 [12 Cal.Rptr.2d 682, 838 P.2d 204]; see also People v. Gonzalez (1990) 51 Cal.3d 1179, 1211-1212 [275 Cal.Rptr. 729, 800 P.2d 1159].) As we explained in Espinoza, section 1053, which provides for the substitution of a new judge when the original judge in a criminal trial is unable to proceed, is not unconstitutional. [17] This rule is now settled law. (E.g., People v. Halvorsen (2007) 42 Cal.4th 379, 427-428 [64 Cal.Rptr.3d 721, 165 P.3d 512]; People v. Lewis (2004) 33 Cal.4th 214, 225-226 [14 Cal.Rptr.3d 566, 91 P.3d 928]; People v. Burgener (2003) 29 Cal.4th 833, 892 [129 Cal.Rptr.2d 747, 62 P.3d 1]; People v. Moreda (2004) 118 Cal.App.4th 507, 515-517 [13 Cal.Rptr.3d 154].) Accordingly, we decline defendant's invitation to revisit this issue. Because substitution of another judge was permissible once Judge Gildner had disqualified himself, the court did not abuse its discretion when it denied defendant's motion for a mistrial, to the extent the motion was based on this ground. (See People v. Price (1991) 1 Cal.4th 324, 428 [3 Cal.Rptr.2d 106, 821 P.2d 610] [abuse of discretion standard applies to review of denial of mistrial motion]; People v. Lucero (2000) 23 Cal.4th 692, 713 [97 Cal.Rptr.2d 871, 3 P.3d 248] [mistrial should be granted only if the defendant will suffer prejudice that is `incurable by admonition or instruction'].) Defendant argues nonetheless that he was entitled to a substitute judge who had thoroughly familiarized himself with the prior proceedings, and that Judge Felice had not done so. For example, on May 20, 1996, the first day Judge Felice presided over the trial, he acknowledged during a hearing on the admissibility of Danny Phinney's prior statements to police that he was not as swift on the uptake, if you will, [as] if I had been here during the trial, and later noted he had reviewed only certain portions of Phinney's trial testimony. Defendant argues that without reviewing the entire transcript of the prior proceedings, including the testimony of the eight witnesses who testified before Judge Gildner recused himself, Judge Felice could not exercise his discretion in an informed manner when ruling on the admissibility of Danny Phinney's prior statements and Gerry Tags's preliminary examination testimony; nor could he properly rule on defendant's automatic motion to modify the penalty verdict under section 190.4, subdivision (e). Defendant relies on People v. Espinoza, supra, 3 Cal.4th at pages 829-830. There, the defendant contended that a substitute judge who had not personally heard all of the guilt phase testimony could not fully exercise independent judgment when ruling on an automatic motion to modify the penalty verdict under section 190.4, subdivision (e); therefore, the denial of the motion was inherently unreliable under the federal Constitution's Eighth Amendment. We rejected the contention, noting that the substitute judge had reviewed the transcripts of the trial proceedings before his substitution. ( Espinoza, supra, 3 Cal.4th at pp. 829-830.) Defendant also relies on rules from other jurisdictions requiring a substitute judge to certify that he or she is familiar with the trial record before proceeding. (E.g., Fed. Rules Crim.Proc., rule 25(a), 18 U.S.C.; Iowa Ct. Rules, Rules of Crim. Proc., rule 2.19(7)(b)(1); Md. Rules, rule 4-361(b); Hood v. State (Ct.App. 1994) 334 Md. 52 [637 A.2d 1208].) (15) Preliminarily, we note that section 1053 imposes no requirement that a substitute judge certify his or her familiarity with the record, and defendant points to no other California statute or rule of court that does so. The authorities from other jurisdictions are inapplicable. In any event, defendant forfeited any claim of error based on Judge Felice's lack of familiarity with the record by failing to object on that ground at trial. (Cf. People v. Halvorsen, supra, 42 Cal.4th at p. 427 [by failing to object at trial, defendant forfeited his claim that, because the record did not reflect that the original judge was unable to proceed, substitution of judges violated § 1053].) In fact, at the outset of the hearing regarding the admissibility of Phinney's prior statements, Judge Felice proposed taking a 15-minute recess to read the transcript of Phinney's trial testimony, but defendant's counsel rejected that proposal and offered instead to go through the transcript page by page and delineate for you the basis of my argument. Had counsel objected, the matter could have been continued to give Judge Felice time to read the entire transcript. (See People v. Halvorsen, supra, 42 Cal.4th at p. 429 [had defense counsel objected, record would reflect reasons why original judge was unable to proceed, or original judge would have presided].) Nor did defendant object to Judge Felice ruling on the automatic motion to modify the penalty verdict on the ground that the judge was unfamiliar with the record. Were we to reach the merits, we would conclude that any error in Judge Felice's not having read the entire trial transcript before ruling on the admissibility of Phinney's prior statements and Tags's testimony was harmless. (Cf. People v. Halvorsen, supra, 42 Cal.4th at p. 429 [harmless error analysis applies to claim of improper substitution of a judge under § 1053].) Judge Felice had presided over some pretrial proceedings in this case before becoming ill and transferring the matter to Judge Gildner for trial. (See Cowan v. Superior Court, supra, 14 Cal.4th 367.) Accordingly, he was familiar with defendant and with some of the issues in the case. Further, Judge Felice had a copy of the transcript of Phinney's trial testimony before him during the hearing on Phinney's prior statements, and he read the relevant portions as they were pointed out by counsel. He proceeded in the same manner during the hearing on Tags's testimony. Thus, Judge Felice was familiar enough with the pertinent portions of the record to exercise his discretion in an informed manner. Defendant complains that ruling on the admissibility of Phinney's prior statements required Judge Felice to assess the credibility of Phinney's trial testimony without having seen him testify, but defendant fails to explain how reading the transcript would have aided the judge in that task. Moreover, if there was any error in Judge Felice's rulings on the admissibility of Phinney's and Tags's testimony, defendant would be entitled to relief on that ground. (See pts. II.C.3. & II.C.7., post. ) Finally, defendant makes no showing that Judge Felice had not thoroughly familiarized himself with the trial record by the time he considered defendant's automatic motion to modify the penalty verdict under section 190.4, subdivision (e). During the hearing on the admissibility of Phinney's statements, Judge Felice announced his intention to use the time before trial began in the mornings to read the daily transcripts and try to catch up with where you folks are at. In the absence of any evidence to the contrary, we presume Judge Felice did exactly what he said he was going to do. [18] For all of these reasons, defendant is not entitled to relief based on the midtrial substitution of Judge Felice for Judge Gildner.