Court Opinion

ID: 9630979
Source: CourtListenerOpinion
Date Created: 2023-08-22 10:26:13.941344+00
Date Added: 2024-06-11T12:06:49.669998
License: Public Domain

MOSK, J.
I dissent.
As I shall explain, the judgment of death should be reversed because of prejudicial Skipper error. (Skipper v. South Carolina (1986) 476 U.S. 1 [90 L.Ed.2d 1, 106 S.Ct. 1669].) Through certain of its instructions and statements in the course of deliberations, the court improperly precluded the jury from considering in mitigation evidence bearing on defendant’s possible insanity or mental or emotional disturbance at the time of the offenses. On this record, the error cannot be deemed harmless.
“[I]n capital cases the fundamental respect for humanity underlying the Eighth Amendment, [citation], requires consideration of the character and record of the individual offender and the circumstances of the particular offense as a constitutionally indispensable part of the process of inflicting the penalty of death.
“This conclusion rests squarely on the predicate that the penalty of death is qualitatively different from a sentence of imprisonment, however long. Death, in its finality, differs more from life imprisonment than a 100-year prison term differs from one of only a year or two. Because of that qualitative difference, there is a corresponding difference in the need for reliability in the determination that death is the appropriate punishment in a specific case.” (Woodson v. North Carolina (1976) 428 U.S. 280, 304-305 [49 L.Ed.2d 944, 961, 96 S.Ct. 2978] (lead opn. of Stewart, Powell and Stevens, JJ.).)
To guarantee that capital sentencing decisions are as individualized and reliable as the Constitution demands, the Eighth Amendment requires that the defendant may not be barred from introducing any relevant mitigating evidence. (Skipper v. South Carolina, supra, 476 U.S. at pp. 4-8 [90 L.Ed.2d at pp. 6-9]; see Eddings v. Oklahoma (1982) 455 U.S. 104, 112-116 [71 L.Ed.2d 1, 9-12, 102 S.Ct. 869]; Lockett v. Ohio (1978) 438 U.S. 586, 597-*252605 [57 L.Ed.2d 973, 985-990, 98 S.Ct. 2954] (plur. opn. by Burger, C. J.); Bell v. Ohio (1978) 438 U.S. 637, 642 [57 L.Ed.2d 1010, 1016, 98 S.Ct. 2977] (plur. opn. by Burger, C. J.).)
It follows that the Eighth Amendment also requires that a jury and its individual members (McKoy v. North Carolina (1990) 494 U.S. 433, [108 L.Ed.2d 369, 378-381, 110 S.Ct. 1227, 1231-1234]) “may not ... be precluded from considering ‘any relevant mitigating evidence.’ ” (Skipper v. South Carolina, supra, 476 U.S. at p. 4 [71 L.Ed.2d at p. 6] (quoting Eddings v. Oklahoma, supra, 455 U.S. at p. 114 [71 L.Ed.2d at p. 11]); accord, McKoy v. North Carolina, supra, 494 U.S. at pp._-_ [108 L.Ed.2d at pp. 378-381, 110 S.Ct. at pp. 1231-1234]; Hitchcock v. Dugger (1987) 481 U.S. 393, 394, 398-399 [95 L.Ed.2d 347, 350, 352-353, 107 S.Ct. 1821]; Mills v. Maryland (1988) 486 U.S. 367, 374-375 [100 L.Ed.2d 384, 393-394, 108 S.Ct. 1860].)
Such evidence, of course, includes information relating to insanity and mental or emotional disturbance. (See, e.g., Eddings v. Oklahoma, supra, 455 U.S. at p. 116 [71 L.Ed.2d at pp. 11-12] [holding that a defendant’s “mental and emotional development” at the time of the offense is material in capital sentencing].)1
Therefore, when any barrier, whether statutory, instructional, evidentiary, or otherwise (see Mills v. Maryland, supra, 486 U.S. at pp. 374-375 [100 L.Ed.2d at pp. 393-394]), precludes a jury or any of its members (McKoy v. North Carolina, supra, 494 U.S. at pp._-_ [108 L.Ed.2d at pp. 378-381, 110 S.Ct. at pp. 1231-1234]) from considering relevant mitigating evidence, there occurs federal constitutional error, which is commonly referred to as “Skipper error.” (See generally Skipper v. South Carolina, supra, 476 U.S. at pp. 4-8 [90 L.Ed.2d at pp. 6-9]; Hitchcock v. Dugger, supra, 481 U.S. at pp. 394, 398-399 [95 L.Ed.2d at pp. 350, 352-353]; Mills v. Maryland, supra, 486 U.S. at pp. 374-375 [100 L.Ed.2d at pp. 393-394]; McKoy v. North Carolina, supra, 494 U.S. at pp. _-_ [108 L.Ed.2d at pp. 378-381, 110 S.Ct. at pp. 1231-1234].)
When the claimed barrier to the jury’s consideration of relevant mitigating evidence is an instruction, the crucial question for determining error “is *253whether there is a reasonable likelihood that the jury has applied the challenged instruction in a way that prevents the consideration of” such evidence. (Boyde v. California (1990) 494 U.S. 370, _ [108 L.Ed.2d 316, 329, 110 S.Ct. 1190, 1198].)
To conclude that Skipper error has in fact occurred, however, does not end the analysis. This error is not automatically reversible, but is subject to harmless-error review under the test of Chapman v. California (1967) 386 U.S. 18 [17 L.Ed.2d 705, 87 S.Ct. 824, 24 A.L.R.3d 1065] (hereafter sometimes Chapman). (E.g., People v. Lucero (1988) 44 Cal.3d 1006, 1031-1032 [245 Cal.Rptr. 185, 750 P.2d 1342].)
Under Chapman, “before a federal constitutional error can be held harmless, the court must be able to declare a belief that it was harmless beyond a reasonable doubt.” (386 U.S. at p. 24 [17 L.Ed.2d at pp. 710-711].) The “burden of proof” as to prejudice rests on the government. “Certainly error, constitutional error, . . . casts on someone other than the person prejudiced by it a burden to show that it was harmless .... [T]he beneficiary of a constitutional error [is required] to prove beyond a reasonable doubt that the error complained of did not contribute to the verdict obtained.” (Ibid. [71 L.Ed.2d at p. 710].) When the constitutional error occurred at the penalty phase of a capital trial, the court must proceed with special caution. (See Satterwhite v. Texas (1988) 486 U.S. 249, 258 [100 L.Ed.2d 284, 295, 108 S.Ct. 1792] [stating that “the evaluation of the consequences of an error in the sentencing phase of a capital case may be more difficult because of the discretion that is given to the sentencer”].) In such a situation, the “burden of proof” must be deemed very heavy indeed.
I turn to the case at bar. The themes that the People and defendant chose to play throughout the penalty phase were “lingering doubt” and mercy: the People’s position was that defendant was indeed the perpetrator of the crimes of which he had been convicted, and that he was undeserving of mercy; defendant’s position was the opposite. These themes did not include whether or not defendant was insane or mentally or emotionally disturbed.
It became evident from their questions and comments to the court during deliberations that the jury entertained doubts as to whether there was evidence bearing on defendant’s possible insanity or mental or emotional disturbance and, more important, whether insanity or mental or emotional disturbance was a circumstance they could consider in mitigation of the penalty of death. The source of the difficulty is apparent.
There was indeed evidence in the record that could support an inference that defendant was insane or mentally or emotionally disturbed: defendant *254had always loved children and treated them kindly; nevertheless, he brutally and repeatedly stabbed to death his very own nephews, who were four and eleven years of age.
But as noted, neither the People nor defendant had played the theme of insanity or mental or emotional disturbance. They had chosen “lingering doubt” and mercy instead.
Moreover, the court had not clearly instructed on insanity or mental or emotional disturbance. One penalty factor, it is true, covered “extreme mental or emotional disturbance.” (Italics added.) But it was uncertain whether this factor embraced insanity, or even mental or emotional disturbance that was not “extreme.” Another penalty factor covered “Any . . . circumstance which extenuates the gravity of the crime . . . and any . . . aspect of the defendant’s character or record that the defendant offers as a basis for [a] sentence less than death." (Italics added.) But it was uncertain whether this factor encompassed insanity or mental or emotional disturbance: although such conditions could perhaps be said to “extenuate[] the gravity of the crime,” none was “offer[ed]” by defendant “as a basis for [a] sentence less than death.”
On the first day of deliberations, the jury directed no questions or comments to the court.
On the second day, the jury asked about the phrase “special circumstances,” and the court responded that it referred to the multiple murder of defendant’s nephews.
On the third day, the jury asked a number of questions, including the following: “Do we have to have expert testimony as to mental or emotional disturbance to consider it as a mitigating circumstance?” In response, the court instructed: “Mental or emotional disturbance is not always necessarily proved by the testimony of an expert such as a psychiatrist. It may be proved by any other testimonial evidence but not by speculation.” (Paragraphing omitted.) With apparent reference to the foregoing, one of the jurors stated: “On one question, without going into detail, you answered it, but I don’t think it answers it.” The court replied: “All I can suggest is that you return to the jury room and be very specific about the unanswered problem, but I am not allowed to discuss anything without consulting the attorneys.”
Later that day, the jury asked further questions. The first was: “Do we have the option of concluding from the nature of the crimes committed that Randy Haskett may be/is mentally or emotionally disturbed based on the *255testimony regarding the nature of the crimes?” (Italics in original.) The court responded: “I do not have an answer this time to Question Number One. I will have an answer tomorrow morning.” (Paragraphing omitted.)
The next morning, on the fourth day, the court stated to the jury: “In relation to Question Number One, Ladies and Gentlemen, the attorneys and I have consulted and this is our request: Will you please expand and clarify as much as possible what you have in mind so that we can understand it a little better and answer your question. The minute I receive that, I will be in touch with the attorneys, and we will try to answer it for you.” (Paragraphing omitted.)
Later that morning, the jury directed the following note to the court: “We the jury on the Case of Randy Haskett can not reach a unamious [svc] decision.” In open court, in the presence of the jury, the court stated: “Mr. Foreman, you sent to the court a note which in effect indicates that the jury is hopelessly deadlocked. If the court were to ask you to continue deliberations, do you think there is any reasonable probability that you might ever arrive at a verdict?” (Paragraphing omitted.) The foreman answered: “No, Your Honor. I don’t think at this time that we could.” The court then asked: “Is there anything at all that the court could do further to assist the jury in arriving at any kind of a verdict?” The foreman answered: “Yes.” The court stated: “If there is, in my opinion, I believe it should be written down and submitted to the court.”
That afternoon, the jury directed another note to the court. Contained therein were, among other things, a statement, a question, and a request.
The jury’s statement was: “[Sjome of us feel there is not a williness [s7c] among some of the jurors to discuss the case and to go by the evidence that has been presented. [T]hey are trying to speculate on evidence not presented. [Tjhere is a doubt in their mind about the sanity of Randy Haskett which has not been presented in this case.”
Next, the jury’s question—which was evidently the “expansion” or “clarification” of the previous day’s “Question Number One” sought by the court—was as follows: “[Tjhere was to be a question asked of the judge whether we could consider insanity based on the act of repeated stabbings of the victims.”
In response, the court instructed: “The defendant is presumed to be sane. The jurors cannot consider insanity as a mitigating factor.” The court had earlier informed counsel of this instruction outside the presence of the jury. One of defendant’s attorneys had asked, “Would the court consider with *256respect to whether the jury can consider insanity or not, amending that to indicate, though they can’t consider insanity, they can consider the mental state of the defendant as reflected by any of the evidence in determining which penalty to give?” The court had responded, “No.”
Finally, the jury’s request was: “All 12 jurors need to be further clarified on their obligation as jurors. The instructions as read so far are not considered by the majority to be sufficient. We need to have clarified whether we may use something as a mitigating factor if it has not been proven or substantiated by evidence presented. Can we ignore testimony of witnesses if there is substantial corroborating evidence to that [s/c] witnesses’ testimony?”
In response, the court instructed: “It is the duty of the jurors to discuss the evidence and not speculate on evidence not presented. Each juror should decide the case for him[self] or herself after a discussion of the evidence and instructions with the other jurors. You may consider pity, sympathy, and mercy in deciding the appropriate penalty. However, you must not be governed by mere conjecture, prejudice or public opinion.” (Paragraphing omitted.)
On the morning of the sixth day, the jury directed yet another note to the court: “We have (1) juror who continues to use insanity or mental disturbance as a mitigating circumstance even though you (the judge) have said, ‘we can’t use this.’ He refuses to discuss the case anymore. Is there anything you can do, being he is disregarding your ruling completely?”
That same morning, the court commented on the note outside the presence of the jury: “The court feels that on the basis of this, that there should be a hearing as to whether or not the juror involved is unable to perform his or her duties so that this court will know whether or not there is good cause to discharge any particular juror.”
That afternoon, the court held a hearing with the jury as a whole. It opened by reading the note referred to above. It then asked the jurors if any of them could not or would not consider the evidence and follow the instructions. When no one responded, over defense objection it asked the foreman to identify the juror who was the subject of the inquiry. He named Roy Lizana. It then excused all the jurors except Lizana.
At a hearing with Juror Lizana, the court stated: “What I am obligated to go into is the subject matter of the note which indicates that you were considering something as a mitigating factor that I indicated there was no evidence of.” The court elaborated: “The only problem that I have to find *257out at this time is are you disregarding the court’s instruction that was given to you that Mr. Haskett is presumed sane and that this may not be considered as a mitigating factor.” Lizana denied he was disregarding the instruction, albeit somewhat ambiguously. The court asked: “Then, as far as you are concerned, are you following the court’s instruction on this particular point?” He answered: “Yes, I am.” The court asked: “Then it’s your assurance that you are not using this as a mitigating circumstance and you are following the court’s instructions as far as whatever conclusions you have come to; is that correct?” He answered: “I figure if he was, we wouldn’t be sitting in here now. If he was judged insane, we wouldn’t have had to come in. Leave it at that.” (Paragraphing omitted.) The hearing closed.
Later that afternoon, the court reopened the hearing with Juror Lizana “just to be sure that I understand you.” It asked: “Do you use insanity or mental disturbance as a mitigating circumstance?” He answered, “No, Ma’am.” The court summoned the rest of the jurors into the courtroom and announced: “Ladies and Gentlemen, the court finds there has been no failure on the part of any juror to follow the court’s instructions, and I will ask you to continue your deliberations.”
On the seventh day, the jury returned a verdict of death.
As stated above, Skipper error occurred in this case: there is a reasonable likelihood that the jury applied the court’s mid-deliberation instructions and statements in such a way as to prevent itself from considering in mitigation evidence bearing on defendant’s possible insanity or mental or emotional disturbance.
It clearly appears to have been the court’s intent to preclude the jury from considering evidence of insanity or mental or emotional disturbance.
As noted, the court refused defense counsel’s request to “amend” its instruction on the conclusive presumption of sanity and the immateriality of insanity “to indicate, though [the jurors] can’t consider insanity, they can consider the mental state of the defendant as reflected by any of the evidence . . . .”
That instruction, however, was contrary to federal constitutional law. As noted, under the Eighth Amendment a jury and its individual members (McKoy v. North Carolina, supra, 494 U.S. at pp._-_ [108 L.Ed.2d at pp. 378-381, 110 S.Ct. at pp. 1231-1234]) “may not ... be precluded from considering ‘any relevant mitigating evidence.’ ” (Skipper v. South Carolina, supra, 476 U.S. at p. 4 [90 L.Ed.2d at p. 6] (quoting Eddings v. Oklahoma, supra, 455 U.S. at p. 114 [71 L.Ed.2d at p. 11]); accord, McKoy v. North Carolina, supra, 494 U.S. at pp. _-_ [100 L.Ed.2d at pp. 378-381, 110 *258S.Ct. at pp. 1231-1234]; Hitchcock v. Dugger, supra, 481 U.S. at pp. 394, 398-399 [95 L.Ed.2d at pp. 350, 352-353]; Mills v. Maryland, supra, 486 U.S. at pp. 374-375 [100 L.Ed.2d at pp. 393-394].) Such evidence includes information relating to insanity. (See, e.g., Eddings v. Oklahoma, supra, 455 U.S. at p. 116 [71 L.Ed.2d at pp. 11-12] [holding that a defendant’s “mental and emotional development” at the time of the offense is material in capital sentencing].)
The instruction was also contrary to state statutory law. Under former Penal Code section 190.3 (Stats. 1977, ch. 316, § 11, pp. 1258-1260), which is applicable here, the jury may not be precluded from considering, as a circumstance in mitigation, “Whether or not at the time of the offense the capacity of the defendant to appreciate the criminality of his conduct or to conform his conduct to the requirements of law was impaired as a result of mental disease or the affects [szc] of intoxication.” It follows from the very words of the provision that the jurors may not be barred from taking insanity into account; by definition, a defendant who was insane possessed “capacity” that was “impaired as a result of mental disease . . . .”2
Also, under former Penal Code section 190.3, the jury may not be precluded from considering, as a circumstance in mitigation, any “lingering doubt” they might have about the defendant’s guilt of the capital offense. The court held as much in People v. Terry (1964) 61 Cal.2d 137, 145-147 [37 Cal.Rptr. 605, 390 P.2d 381], with regard to former Penal Code section 190.1 (Stats. 1959, ch. 738, § 1, pp. 2727-2728), which is relevantly similar to the provision in question. Neither reason nor authority supports the conclusion that the basis of such “lingering doubt” is of any consequence whatever. It follows that the jury may not be barred from taking into account any “lingering doubt” about guilt based on any factor—including insanity.3
Further, when the jury clearly manifested their erroneous belief that they could not consider insanity or mental or emotional disturbance— *259“We have (1) juror who continues to use insanity or mental disturbance as a mitigating circumstance even though you (the judge) have said, ‘we can't use this’” (italics added)—the court did nothing whatever to correct their misunderstanding.
Finally, in the hearings with the jury as a whole and with Juror Lizana alone, the court effectively instructed that insanity or mental or emotional disturbance could not be considered as a mitigating circumstance. For example, it told Lizana in substance that insanity or mental or emotional disturbance was “a mitigating factor that I indicated there was no evidence of.” And it suggested to him that the appropriate response to its question, “Do you use insanity or mental disturbance as a mitigating circumstance?” (italics added), was negative.
But whether the court intended to preclude the jury from considering evidence of insanity or mental or emotional disturbance is not dispositive. What is crucial is whether there is a reasonable likelihood that the jury or any of its members was in fact precluded. The answer must be affirmative.
Clear proof that the jury or at least one of its members was precluded from considering evidence of insanity or mental or emotional disturbance is found in the note: “We have (1) juror who continues to use insanity or mental disturbance as a mitigating circumstance even though you (the judge) have said, ‘we can't use this.’ ” (Italics added.)
Proof clearer still is found in the record of the reopened hearing with Juror Lizana. As noted, the court asked, “Do you use insanity or mental disturbance as a mitigating circumstance?” (Italics added.) Lizana answered, “No, Ma’am.”
The majority conclude that Skipper error did not in fact occur. They claim in substance that insanity is not a material issue at the penalty phase of a capital trial. But as shown, the point founders on the Eighth Amendment as well as former Penal Code section 190.3. They also claim that “insanity” was used and understood by both the court and the jury in its technical legal sense, and not somewhat loosely as denoting mental or emotional disturbance of any degree. But in light of the record set out above—including the fact that the judge never instructed the jurors on insanity in its technical legal sense—the assertion is untenable. They then claim that the issue of insanity or mental or emotional disturbance was not before the jury. To be sure, the matter was not raised by the parties. But it was indeed raised—by the jurors themselves. They finally claim that the question with which the jury was concerned during deliberations was not whether they could consider insanity or mental or emotional disturbance as a *260mitigating circumstance, but merely whether they could find any evidence in support. But here again, in light of the record set out above, the assertion is untenable.
As also stated, the Skipper error in this case cannot be deemed harmless. The People do not even attempt to carry their very heavy burden of proving harmlessness beyond a reasonable doubt. Any attempt, however, would have been unsuccessful. The question of penalty must be considered close. The jury’s deliberations on the issue of insanity or mental or emotional disturbance were crucial, difficult, and long: the point is proved by the questions and comments quoted above, and by the fact that the deliberations filled almost 33 hours over 7 days. To be sure, the circumstances of the crimes of which defendant was convicted, together with his prior violent criminal activity, weighed in favor of death. But defendant’s possible insanity or mental or emotional disturbance—which is strongly suggested by the fact that although he had always loved children and treated them kindly, he nevertheless brutally and repeatedly stabbed to death his very own nephews—weighed in favor of life. On this record, I am not “able to declare a belief that [the Skipper error] was harmless beyond a reasonable doubt.” (Chapman v. California, supra, 386 U.S. at p. 24 [17 L.Ed.2d at p. 711].)
Because of the result I reach, I need not proceed further in my analysis. One additional point, however, must be made, and made forcefully. The trial judge’s examination of one juror, Lizana, was egregiously improper, and calls for the strongest disapproval. As the record set out above establishes, the court’s inquiry invaded Lizana’s mental processes. Such an inquiry, however, is clearly prohibited. A juror’s mental processes are sacrosanct, and may not be opened to scrutiny. (See In re Stankewitz (1985) 40 Cal.3d 391, 398 [220 Cal.Rptr. 382, 708 P.2d 1260]; People v. Guzman (1977) 66 Cal.App.3d 549, 559 & fn. 7 [136 Cal.Rptr. 163] (per Kaus, J.) [stating with persuasive reasoning that such an inquiry “may well” be prohibited]; see also People v. Hedgecock (1990) 51 Cal.3d 395, 418-419 [272 Cal.Rptr. 803, 795 P.2d 1260] [to similar effect].)
At oral argument the People essentially conceded as much. Subsequently, in a letter brief presented after the cause was taken under submission, the People attempted to withdraw their concession on the “authority” of People v. Eggers (1947) 30 Cal.2d 676 [185 P.2d 1]. Of course, “It is axiomatic that cases are not authority for propositions not considered.” (People v. Gilbert (1969) 1 Cal.3d 475, 482, fn. 7 [82 Cal. Rptr. 724, 462 P.2d 580].) Eggers simply did not consider the propriety of a court’s inquiry into the mental processes of a juror.
The majority state that “the task of determining whether misconduct occurred” is different from “the concededly more delicate task of *261determining the effect of misconduct on jurors.” (Maj. opn., ante, at p. 240, fn. 11, italics in original.) But when, as here, the asserted “misconduct” comprises the juror’s mental processes, the difference between the two “tasks” is of semantics and not substance. The majority also state that “Asking a juror whether he is following the court’s instructions—or using insanity as a mitigating fact, in contravention of the court’s instructions— does not implicate the juror’s reasoning process.” {Ibid., italics in original.) They are right. For the court to ask a juror such a question does not “implicate the juror’s reasoning process.” But for the juror to answer does.
Because of the prejudicial Skipper error, I would reverse the judgment of death.
Broussard, J., concurred.

 The majority imply that “relevant mitigating evidence” for purposes of the Eighth Amendment includes mental or emotional disturbance but not insanity. If they were correct, evidence that merely reduces culpability would be allowed on the crucial Eighth Amendment issue of “ ‘personal responsibility and moral guilt’ ” (People v. Marshall (1990) 50 Cal.3d 907, 938 [269 Cal.Rptr. 269, 790 P.2d 676]), but evidence that totally negates culpability would be barred—surely an untenable result. Contrary to their suggestion, in Lockett v. Ohio, supra, 438 U.S. 586, and Bell v. Ohio, supra, 438 U.S. 637, the United States Supreme Court did not validate a statute excluding evidence of insanity. Rather, in those decisions the court invalidated a statute even though it included evidence of mental states less than insanity.

 The majority argue that mental or emotional disturbance was included in the words of former Penal Code section 190.3, quoted above, but not insanity. They are unpersuasive. Contrary to their implication, the fact that impaired capacity less than insanity was relevant to the issue of mitigation under the 1977 death penalty law simply does not support an inference that impaired capacity amounting to insanity was otherwise. Of course, for purposes here “mitigation” embraces that which reduces the capital defendant’s personal moral culpability. (See former Pen. Code, § 190.3.) To be sure, impairment less than insanity extenuates responsibility to some degree. But impairment amounting to insanity extenuates responsibility further still—and indeed removes it altogether. If the majority were correct, evidence that merely reduces culpability would be allowed, but evidence that totally negates culpability would be barred—surely an untenable result. (Compare fn. 1, ante.)

 The majority attempt to avoid the holding of People v. Terry, supra, 61 Cal.2d 137, but are unsuccessful. To be sure, Terry did indeed conclude that the exclusion of certain evidence to support a “lingering doubt” of the defendant’s guilt of the capital offense was erroneous. But it did so because it first concluded that a defendant’s possible innocence of that offense is a mitigating circumstance that the jury may properly consider. (Id. at pp. 145-147.)