Filed 8/6/07
IN THE SUPREME COURT OF CALIFORNIA
THE PEOPLE,
Plaintiff and Respondent,
S027730
v.
MARIA DEL ROSIO ALFARO,
Orange
County
Defendant and Appellant.
Super. Ct. No. C-82541
A jury convicted defendant Maria Del Rosio Alfaro of the first degree
murder of Autumn Wallace (Pen. Code, § 187)1 (count I), first degree residential
burglary (§§ 459, 460.1) (count II), and first degree residential robbery (§ 211,
212.5 subd. (a)) (count III). The jury also found true the special circumstances
allegations of robbery-murder and burglary-murder (§ 190.2, subd. (a)(17)(i)),
(a)(17)(vii)) and the allegation that defendant personally used a deadly weapon (a
knife) in the commission of the murder.
The first penalty phase trial ended in a mistrial. After a retrial as to penalty,
a jury returned a verdict of death. The trial court denied the automatic motion to
modify the penalty (§ 190.4, subd. (e)), stayed imposition of sentence on counts II
1
All further statutory references are to the Penal Code unless otherwise
indicated.
1
and III, and imposed a sentence of death. Defendant’s appeal is automatic.
(§ 1239, subd. (b).) We affirm the judgment in its entirety.
I. STATEMENT OF FACTS
A. Introduction
A jury found that defendant murdered nine-year-old Autumn Wallace on
June 15, 1990 in the course of committing a burglary and a robbery at the Wallace
home. Autumn’s body was discovered in the bathroom of the home, stabbed more
than 50 times. Defendant was a high school friend of the victim’s sister, April
Wallace, and resided approximately three blocks from the Wallace residence.
DNA testing revealed that blood found on the bottom of defendant’s shoe was
consistent with Autumn Wallace’s blood and not consistent with defendant’s
blood. Additionally, shoe prints and fingerprints found at the murder scene
connected defendant to the murders. Upon her arrest, and after waiving her rights
to an attorney and to remain silent, defendant confessed to the murder. Defendant
did not testify at the guilt phase of the trial, but argued that the man who had
driven her and a coconspirator to the Wallace residence had pressured her to
murder Autumn under threat to the lives of defendant and her family.
Defendant’s first penalty phase trial, at which she testified, ended in a
mistrial. At the penalty retrial, defendant did not testify but presented evidence of
her impoverished and violent childhood, her history of drug abuse, and her
impaired mental state. Defendant’s testimony from her first penalty phase trial
was read to the jury.
B. Procedural
History
Following a preliminary hearing held in mid-November 1990, at which no
affirmative defense was offered, defendant was held to answer in the Orange
County Superior Court. In an information filed in late November 1990, the
2
Orange County District Attorney charged defendant in count I with the June 15,
1990 murder of Autumn Wallace in violation of section 187, subdivision (a).
Defendant was charged in count II with first degree residential burglary, in
violation of sections 459 and 460.1, and in count III with first degree residential
robbery in violation of sections 211 and 212.5, subdivision (a). The information
further alleged that defendant personally used a deadly and dangerous weapon (a
knife) during the commission of all three charged offenses within the meaning of
section 12022, subdivision (b). The information further alleged two special
circumstances — that the murder was committed while defendant was engaged in
the commission of a robbery (§190.2, subd. (a)(17)(i)), and that the murder was
committed while defendant was engaged in the commission of a first degree
burglary. (§190.2, subd. (a)(17)(vii).)
Defendant entered a plea of not guilty to each count and denied the special
circumstances and weapon allegations. Prospective jurors were sworn, and
opening statements commenced in mid-March 1992. Nearly two weeks later, the
jury found defendant guilty as charged and found true the knife-use and special
circumstance allegations. The first penalty phase trial began in late March 1992.
The court declared a mistrial as to the penalty phase in early April 1992 after it
determined there was no reasonable probability that the jury would be able to
reach a verdict. (§ 1140.)
Prospective jurors were sworn, and a second penalty phase trial
commenced in mid-May 1992. The jury determined early in June 1992 that
defendant should be sentenced to death.
The trial court denied defendant’s motions for modification of sentence and
for new trial, sentencing defendant to death and ordering that imposition of
sentence on counts II and III for the burglary and robbery convictions be stayed
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pursuant to section 654. Defendant’s appeal is automatic. (§ 1239, subd. (b).)
She requests a stay of execution.
C. Guilt Phase Evidence
Autumn Wallace, the murder victim, was nine years of age. She resided
with her mother, Linda Wallace, a clerk employed by the Orange County Superior
Court, her older sister April Wallace, and April’s infant son on Hedlund Street in
Anaheim, California. Autumn’s friend, Christina S., testified that their school had
an “early day” on Friday, June 15, 1990; school recessed at 2:35 p.m., and about
that time she and Autumn left school and went to Autumn’s home.
Three of the Wallaces’ neighbors testified that on the afternoon of
Autumn’s murder, they each separately observed a “reddish” or “goldish-bronze”
Monte Carlo parked in the driveway of the Wallace residence and two Hispanic
men standing nearby facing the street. One of the men was holding a child,
approximately 18 months of age. The man with the infant subsequently was
identified as Antonio “Shorty” Reynoso.
April Wallace testified that she attempted to telephone Autumn at
approximately 4:30 p.m. to inform Autumn that she would arrive home late from
work, but Autumn did not answer the phone. April returned to the residence at
approximately 5:15 p.m. and found the front door locked. She entered and
observed the residence was in a state of disarray. The hall closet was open and
things were “scattered around.” April called out for Autumn but received no
answer. When April entered her bedroom, she noticed that her television and
mirror were missing and some clothing had been thrown around. April
immediately left the residence and went across the street to a neighbor’s home.
At approximately 5:40 p.m., Linda Wallace arrived at the residence and
was informed by April that the house had been burglarized and that Autumn was
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missing. Linda entered in search of Autumn and noticed that many items were
missing. Unable to locate a telephone in the house, Linda instructed April to
telephone the police from another location. While April ran to a neighbor’s
residence to make the call, Linda searched her home and discovered Autumn’s
body in the back bathroom.
Defendant was a high school friend of April Wallace’s and resided
approximately three blocks from the Wallace residence. In the course of her
friendship with April, defendant visited the Wallace home on many occasions and
resided there for a short time while pregnant with her second child. April testified
that after 1989, she and defendant ceased to be friends because April doubted
defendant’s veracity. Defendant nonetheless continued to contact April to request
that she drive defendant to various destinations.
Orange County Sheriff’s Department Investigator Tom Giffin testified that
he arrived at the Wallace residence at approximately 7:20 p.m. on the night of the
homicide. At approximately 11:15 p.m., defendant, her boyfriend Manuel Cueva,
and their son Manny walked past the Wallace home. Defendant asked Giffin for
permission to speak with April, but Giffin declined. Giffin testified that while
speaking to defendant, he recalled witness accounts that a small child had been
seen in front of the house with two Hispanic men. The following day, after
learning that a fingerprint lifted from the Wallace bathroom matched defendant’s
fingerprint, Giffin conducted an interview with defendant at the sheriff’s
department substation in Stanton. Defendant denied any involvement in the
crimes during this interview.
Sometime after the murder, defendant left a bag of clothing at Maria
Ruelas’s home, where defendant and Cueva periodically stayed overnight. Ruelas
testified that the clothes belonged to defendant. Defendant had telephoned Ruelas
and asked her to leave the bag of clothing outside, because defendant was leaving
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for Mexico early the next morning, but defendant never returned for the clothes.
Investigator Giffin obtained the bag from Ruelas on June 24, 1990. When the bag
was searched pursuant to a warrant, it was found to contain April Wallace’s boots
and defendant’s LA Gear tennis shoes.
Immediately thereafter, the police obtained a warrant for defendant’s arrest,
and she was arrested the following day. Shortly thereafter, defendant was
interviewed during a videotaped session that lasted more than four hours. In the
course of the interview, defendant confessed to murdering Autumn and
burglarizing the Wallace residence. Defendant’s videotaped confession was
presented to the jury. Defendant told the police that on the day Autumn was
murdered, defendant was staying at Manuel Cueva’s father’s home in Anaheim.
Defendant was 18 years of age, the mother of two children, and pregnant with
twins. Cueva was the father of defendant’s younger children. Defendant was
addicted to heroin and cocaine, and on the day of the murder she left Cueva’s
residence at approximately 11:00 a.m. to purchase drugs, taking Manny with her.
Defendant was driven by an unidentified acquaintance to an area of Anaheim
known as “Little Tijuana,” where defendant sought out a man named Juan, who
was employed with her mother at Disneyland. Juan directed defendant to a nearby
apartment, where “some guy downstairs named Huero” was rumored to be selling
drugs. Defendant left Manny with Juan at his apartment while she and another
woman named Sabrina left to buy drugs, purchasing two “dime bags” each of
cocaine and heroin. Thereafter, defendant and Sabrina returned to Juan’s
apartment, proceeding to cook and inject the drugs until approximately 2:00 p.m.
Defendant’s acquaintance, Antonio Reynoso, who had been released from
prison the previous day, also visited Juan’s apartment that afternoon. When
defendant and Sabrina exhausted their supply of drugs, Reynoso offered to share
his own drugs if defendant would share her “rig” (a term referring to the needle,
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syringe, and other paraphernalia used to inject drugs). After defendant agreed, she
and Reynoso injected additional quantities of drugs while Sabrina looked after
Manny. After consuming Reynoso’s entire supply of drugs, defendant desired to
continue taking drugs, but had run out of money.
Thereafter, defendant, Reynoso, and a second man drove to the Wallace
home. Defendant told Reynoso that she formerly resided with the Wallaces and
was willing to sell Reynoso a videocassette recorder (VCR) that she had left at the
residence. Defendant admitted to the police that she knew Autumn would be
home alone that afternoon because both Linda and April Wallace were at work.
Upon arriving at the Wallace home, defendant told Reynoso to hold her baby son
while she entered the residence.
Defendant admitted stabbing Autumn, initially telling the police that shortly
after entering the house, she saw a knife on the ground and stabbed Autumn.
Later in the interview, defendant told the police that she noticed and picked up the
knife, which was on top of the washer or dryer near the rear bathroom, and then
called Autumn into the bathroom and stabbed her. Defendant subsequently
described taking the knife from a kitchen drawer after Autumn admitted her to the
residence. Defendant repeatedly stated that she acted alone in killing Autumn and
repeatedly denied that either of the men who came with her to the Wallace
residence knew of defendant’s plans to burglarize the house.
Defendant told the police she decided to kill Autumn because the child
could identify her as the perpetrator of the burglary. She explained that she took
the knife into the bathroom with her and for several minutes considered killing
Autumn. After calling Autumn into the bathroom, defendant removed some
eyelash curlers from her makeup bag and asked Autumn to clean them for her.
Autumn agreed to do so, and after she turned around at defendant’s request,
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defendant began to stab her. Defendant told the police she repeatedly stabbed
Autumn in the back, chest, and head.
Defendant told the police that she next removed the television set from
April’s room and a VCR from the living room and carried these items outside to
the vehicle where Reynoso and the driver waited with Manny. Defendant went
back inside the house and took a typewriter, mirror, telephone, clock radio,
clothing, and pair of boots from April’s bedroom. She removed a telephone, iron,
lamp, radio, and Nintendo game from Linda Wallace’s bedroom, and a clock and a
calculator from the living room. Defendant attempted to take a microwave oven
but later determined it was too large to fit inside the automobile. Defendant took
the knife she had used to stab Autumn with her when she departed from the
Wallace residence.
Although defendant consistently maintained that Reynoso remained outside
in the driveway with Manny throughout defendant’s commission of the homicide
and the burglary, defendant was inconsistent during the course of the police
interview in describing the whereabouts of the second man. Defendant initially
said he exited from the vehicle to help her place the items she had removed from
the Wallace residence inside the vehicle but did not enter the house. Later,
defendant suggested that the man may have entered the residence. When
defendant explained her decision not to take the microwave, however, she implied
that the man had gone inside the residence as far back as the rear bedroom.
Defendant told the police that the vehicle driven to the Wallace residence
was an older model, dark blue Camaro and that neither she nor Reynoso knew the
identity of the driver. The police repeatedly challenged her description of the
vehicle, telling her that numerous witnesses had described the car as a goldish-
bronze or brown Monte Carlo. Defendant nonetheless repeated that the vehicle
was blue and that she did not know the identity of the driver. Despite being
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afforded numerous opportunities by the police to implicate another person in
Autumn’s murder, defendant repeatedly insisted that she had acted alone.
At trial, Reynoso testified that he and the driver, whom he did not know
and could not identify, remained outside the Wallace residence, in or around the
driveway, for approximately 10 minutes until defendant exited from the house
carrying some household items. Reynoso testified that neither he nor the driver
ever entered the Wallace home. Reynoso confirmed at trial that defendant told
him she formerly resided at the house and that he initially believed defendant
when she told him she owned the property she had removed from the house. After
loading the car, defendant, defendant’s son, and Reynoso were driven back to
“Little Tijuana” by the second man.
Reynoso variously testified that he decided not to buy the VCR, because he
knew it was stolen, and conversely that he had grown angry because defendant had
sold the VCR to someone else. Reynoso testified he did not notice any blood on
defendant and did not learn about Autumn’s murder until he read about it in the
newspaper, at which time he turned himself in to the authorities. Reynoso was
asked to identify the driver of the vehicle from a photograph (marked exhibit
No. 89), but Reynoso testified that he did not recognize the man in the photograph
as the driver.
In attempting to identify the second Hispanic male (other than Reynoso)
who had been observed by witnesses outside the Wallace home, police
investigators considered more than 100 individuals. The police identified but
subsequently eliminated as a possible suspect a man named Robert Frias Gonzales.
Investigator Giffin testified that the police pursued this part of the investigation
because Giffin had difficulty believing that defendant could have committed the
murder alone. Giffin concluded that defendant knew who the driver was but
would not reveal his identity.
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As noted above, an autopsy revealed that Autumn Wallace suffered more
than 50 stab wounds on her head, neck, upper portion of her torso, chest, front, and
back. Wounds to Autumn’s heart and larynx caused her death. The coroner
testified that the angle of most of the wounds suggested they were inflicted
contemporaneously, and that a paring knife, discovered on the floor near the
murder scene and admitted as People’s exhibit No. 61, had a “configuration and
appearance” that could easily have caused “most if not all of the injuries.” With
regard to at least one of the wounds, the coroner could not state positively that it
was caused by the paring knife. During the police investigation, Linda Wallace
informed the police that a boning knife with a 12-inch blade was missing from her
residence.
DNA testing conducted by the Orange County Sheriff’s Department crime
laboratory revealed that blood found on the bottom of defendant’s LA Gear shoe
was consistent with Autumn Wallace’s blood and was not consistent with
defendant’s. Several shoe prints found on the linoleum floor outside the bathroom
revealed the same general class characteristics as hash marks made by defendant’s
LA Gear shoes. Additionally, defendant’s fingerprints and palm prints matched
some of the 26 fingerprints and a palm print discovered at various locations in the
house. The paring knife and an eyelash curler were found on the bathroom floor
next to Autumn’s body.
Defendant waived her right to testify in her own defense, and the defense
rested without calling any witnesses. The jury found defendant guilty of the
charges and found true the allegation that she used a knife in the commission of
the offense, as well as the special circumstances allegations that she committed the
murder in the course of a first degree burglary and a robbery.
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D. Evidence Received at the First Penalty Phase Trial
At the first penalty phase trial, the prosecution rested after introducing a
photograph of the murder victim taken when she was alive.
The defense witnesses testified as follows:
Manuel Cueva, defendant’s boyfriend and the father of three of defendant’s
four children, testified that defendant was the loving and caring mother of four
children, two of them twin boys born after her arrest in the present case.
Following her arrest, defendant continued to express concern for her children and
to write and speak to them.
Janell Laird, a friend of defendant’s who had known her since preschool,
testified that defendant’s father was an alcoholic who often vomited in front of
them and struck defendant and her mother. Laird explained that she was afraid of
defendant’s father, who eventually abandoned the family. Laird testified that
defendant was in the sixth grade when she started using drugs. Laird recounted
that defendant had written her from jail, telling her of the importance of staying
away from drugs and living a law-abiding life. Laird also testified that defendant
had telephoned her from jail, telling her that Autumn Wallace did not deserve to
die and that defendant never planned to harm her.
Tamara Benedict, a neighbor of defendant’s during defendant’s childhood,
remembered defendant’s father as a violent alcoholic. She testified that defendant
dropped out of school in seventh grade, at which time she began to run away from
home and started injecting “speed balls,” a mixture of heroin and cocaine, as often
as 50 times each day. Defendant often told Benedict that defendant wanted to quit
taking drugs but was unable to do so because of her addiction. Benedict testified
that defendant sometimes had sex with her drug dealers in order to obtain drugs,
had attempted to “clean up” on multiple occasions, and was able to obtain
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temporary employment. Defendant wrote Benedict several letters from jail,
expressing sorrow for what she had done.
Defendant’s mother, Sylvia Alfaro, testified that she worked 10 to 14 hours
each day, sometimes seven days a week. She testified that defendant’s father was
an alcoholic, often struck both Sylvia and defendant in the presence of the other
children in the family, and threw the family out of the home during drunken rages.
Defendant began to be truant from school at the age of 11 years. Sylvia became
aware of defendant’s drug problem when defendant was 12 years of age, and
thereafter attended counseling with her three to four times a week. Defendant
became a prostitute when she was 13 years of age in order to support her drug
habit. Thereafter, defendant was sent to reside with her grandmother in Mexico
but was returned home within five months, after which defendant’s mother often
found her on the streets, dirty, hungry, and shoeless. Defendant’s father refused to
intervene and abandoned the family when defendant was 14 years of age, the same
year defendant became pregnant with her first son, Danny.
Sylvia Alfaro further testified that at one point, she placed defendant into a
drug rehabilitation program, but defendant was discharged after 10 days because
her insurance coverage expired. Although defendant was able to avoid using
drugs during her pregnancy, she resumed her drug use three months after Danny’s
birth. Sylvia testified that she took defendant’s children to visit her in jail, and
that she would continue to do so in the event defendant were to receive a sentence
of life imprisonment without the possibility of parole. Sylvia did not want to see
her daughter die.
Dolores Onofre, who had known defendant since she was a child, testified
that defendant’s father was an alcoholic who had acted violently in the presence of
his children and had threatened to kill his wife. Betty Clearly, a manager at a
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McDonald’s restaurant where defendant had worked briefly, testified that
defendant was a good employee, dependable and congenial.
Sylvia Archuleta, an employee of a Christian program called Teen
Challenge, testified that she met defendant at the Orange County Jail. She
testified that defendant often cried and expressed sorrow for the grief she had
caused the victim’s family.
Norman Morein, a sentencing consultant, testified that defendant had
adjusted satisfactorily at the county jail and that her confrontation with an inmate,
which Morein explained stemmed from the other inmate’s discussing defendant’s
case with prison staff, was natural and expected behavior. Morein testified that
defendant expressed genuine remorse and sorrow for the underlying crime, and
that she had become religious since being incarcerated. Morein opined that
defendant could have a positive influence on other persons if allowed to live.
Dr. Armando Morales, a psychosociologist, testified that defendant had a
relatively stable childhood until the age of five years. Thereafter, she was abused
by her violent and alcoholic father, was raped at the age of nine years by her
father’s friend, experienced racism at school, and suffered from drug abuse. Dr.
Morales opined that defendant developed emotional problems, including
depression associated with trauma, which contributed to her substance abuse. He
further believed that in light of defendant’s stable early childhood, she was
capable of developing close attachments and of being a positive influence on
others. Morales testified that defendant felt remorse and empathy for the victim
and her family.
Defendant testified at the first penalty phase trial. She told the jury of her
unhappy home life, her violent and abusive alcoholic father, the racial prejudice
she suffered at school, and her problems with drug abuse. She testified that she
began to use “hard” drugs in the sixth grade. She was forced by economic
13
circumstances to engage in prostitution shortly after becoming addicted to drugs.
Defendant testified that she had stolen property to sell in order to pay for drugs.
She described the extent of her drug problem and her mother’s efforts to address it
by placing her into rehabilitation facilities. Defendant also read a letter she had
written to Autumn Wallace, expressing her sorrow and remorse for Autumn’s
death and stating that “we took your innocent life.”
The court ruled that defendant’s reference to “we” had “opened the door” to
cross-examination regarding the circumstances of the crime. During cross-
examination, defendant admitted she had murdered Autumn Wallace, but testified
she had done so under pressure from the second Hispanic male, whom she referred
to as “Beto.” She refused to reveal anything more regarding the identity of the
second man. She testified she had used cocaine and heroin shortly before going to
the Wallace home, and was “out of her head.” She testified she did not know
Autumn would be home and did not plan to harm her. She also testified that
Autumn recognized her before letting her into the house, that she gave Autumn her
eyelash curlers and asked her to clean them, and that she had brought the curlers
into the house because she “wanted to play the part.” Defendant testified that
“Beto” also was “wired” on drugs, and that upon discovering Autumn in the
house, he had become angry, put a knife to defendant’s back, and threatened to kill
her baby if she did not stab Autumn. Defendant testified she stabbed Autumn “a
couple of times” initially, but claimed “Beto” must have inflicted the remainder of
the stab wounds found on the victim’s body. She testified that when she came
down from her “high,” she learned—but could not believe—that Autumn was
dead.
The prosecutor questioned defendant extensively regarding the
identification of “Beto” that she had provided to Dr. Consuelo Edwards, a mental
health expert who had examined defendant on behalf of the defense but had not
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testified. Defendant testified that initially she told Edwards that the third man’s
name was “Miguel” and that he was a friend of defendant’s father, and
subsequently that she had told Edwards that the man’s name was, in fact, “Beto”
and that on his neck a woman’s name was tattooed in cursive writing. Defendant
identified as “Beto” the man depicted in the photograph marked exhibit No. 89.
In questioning defendant and Reynoso, defense counsel suggested that
Robert Frias Gonzales was “Beto.” In rebuttal, the prosecution presented
witnesses Robert Frias Gonzales and his sister Rosalinda Gonzales, both of whom
testified that the police had contacted them and investigated Robert’s involvement
in Autumn Wallace’s murder. Robert Gonzales testified that he is known as
“Beto,” but explained he was home with his sister all day and night on the date of
the homicide. He was not the man depicted in the photograph labeled exhibit
No. 89 whom defendant had identified as “Beto.”
Ultimately, the jury at the first penalty phase trial was unable to reach a
verdict, and the trial court declared a mistrial.
E. Evidence Received at the Second Penalty Phase Trial
At the penalty retrial, held in April 1992 before a newly sworn jury,
Christina S., April Wallace, and Linda Wallace each testified for the prosecution
regarding the grief and suffering they had endured as a result of Autumn
Wallace’s death. The prosecution also introduced testimony from most of the
witnesses who had testified at the guilt phase of the trial.
Defendant did not testify. Defense witnesses Manuel Cueva, Janell Laird,
Tamara Benedict, Dolores Onofre, Sylvia Archuleta, Sylvia Alfaro, and
Dr. Armando Morales testified again, in a manner substantially similar to their
testimony at the first penalty phase trial. The defense additionally called the
following witnesses.
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Marc Taylor, a criminalist retained as an expert by the defense, testified
that he examined various items of evidence, including pieces of clothing,
bloodstained flooring, shoe prints, blood-spattered furniture, a bloodstained towel,
plastic casts of shoe prints found outside the Wallace home, men’s and women’s
LA Gear tennis shoes, boots, and sandals. Taylor testified that some of the shoe
prints found inside and outside the house did not match defendant’s LA Gear
shoes. He testified his tests established that the bloodstains on the towel were
caused by the wiping of a knife other than the weapon designated as exhibit No.
61. On cross-examination, Taylor acknowledged that examining blood wipes was
not an exact science and that the patterns could have been caused by wiping a belt
or a shoe on the towel.
Toby Silver, a registered nurse and mental health professional at the Orange
County jail during defendant’s incarceration, testified that during clinical sessions,
defendant exhibited signs of depression and low self-esteem, stated that she
missed her children, and expressed remorse for her crimes.
Kenneth Harer, a deputy sheriff at the Orange County jail, testified that he
identified a man named “Beto” as a person who resembled the suspect depicted in
a flier posted after the murder. After he saw the flier, Harer remembered that he
had seen the same man entering a blue Camaro parked across the street from the
main jail.
Gerardo Rangel, a bilingual school counselor who knew defendant while
she was a junior high school student, testified that he met with defendant’s mother
regarding her absenteeism and performance problems at school. Rangel attempted
to help Sylvia Alfaro enroll defendant in drug rehabilitation programs but was
unsuccessful because Sylvia could not afford the required fees.
Albert Lopez, a minister with Gleaners, an inmate ministry, testified that he
visited with defendant on approximately 20 to 25 occasions at the Orange County
16
jail and believed she exhibited remorse for having committed the crime. On one
occasion, Lopez recalled, defendant cried in Lopez’s presence, and he believed her
sorrow to be genuine.
Finally, defense counsel presented Dr. Consuelo Edwards as a mental
health expert witness. Dr. Edwards, a medical doctor trained in Spain, testified
extensively regarding defendant’s childhood, referring to her abusive father, her
drug use, her multiple pregnancies, her limited work as an employee at
McDonald’s, and her relationship with Manuel Cueva. Edwards described
defendant’s intellectual functioning as “borderline,” opining that she had an IQ of
78 and learning disabilities that were exacerbated by her traumatic experiences as
a child. In Dr. Edwards’s opinion, defendant was a passive and dependent person
with low impulse control, a condition that was further compromised when she was
under the influence of drugs. Edwards described defendant as a follower.
Dr. Edwards also testified that although defendant admitted to her that she
had killed Autumn Wallace, and defendant described in detail the events preceding
the homicide, she refused to answer any questions regarding the second Hispanic
male, other than to say he was a friend of her father’s named “Miguel.” Edwards
testified that defendant told her “Miguel” had threatened to kill defendant and her
baby unless she killed Autumn Wallace, and that after stabbing the victim four or
five times, defendant ran from the room, not having planned to kill her. In a
subsequent interview with defendant, Edwards told defendant that her defense
attorney had shown Edwards a photograph of “Beto,” whom the defense identified
as the man seen outside the Wallace residence. At that time, defendant agreed that
the man with her on the day of the murder was named “Beto.” Edwards testified
that defendant had expressed great sorrow for her involvement in the crime.
Edwards was of the opinion that defendant was legally sane at the time of
the crime, but was suffering from an ongoing organic mental disorder and was
17
under the influence of drugs, either because of intoxication or withdrawal.
Edwards also diagnosed defendant as having attention deficit disorder, learning
disabilities, a conduct disorder characterized by childhood anti-social behavior, an
adjustment disorder characterized by anxiety and depression, and a dependent
personality disorder. Edwards was of the opinion that defendant was not
malingering, and that she possessed the potential for change and improvement.
In rebuttal, the prosecutor presented the testimony of several Orange
County jail employees. One employee testified he had seen defendant strike
another inmate. Other jail employees testified to having heard her comment
during a conversation with another inmate: “I’m a frustrated person who takes
things out on people, and have to learn to live with that,” and “I’m not going to be
able to do this again. I’m no actor. I’m going to be cold this time. I just want to
get this over with.”
The prosecution presented in rebuttal the testimony of Orange County
Sheriff’s Department investigator Robert Harper, who contradicted the defense
claim that Robert Frias Gonzales was the person outside the Wallace home
identified as Beto. Harper testified that Gonzales had a butterfly tattoo on his neck,
but not a tattoo of a woman’s name. Investigator Thomas Giffin testified that
defense witness Lopez stated he was going to marry defendant when her trial was
concluded. The prosecution also called a consulting psychologist, Martha Rogers,
who had conducted psychological testing of defendant on behalf of the defense
and whose notes and raw data were provided to Drs. Morales and Edwards by
defense counsel. Rogers was questioned regarding the meaning of the phrase
“probable fake bad,” which she had entered in her written notes. As discussed
below in detail, Rogers testified that this phrase was susceptible of multiple
meanings, among them malingering.
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After argument and instructions, the matter was submitted to the second
penalty phase jury, which returned a verdict of death.
II. DISCUSSION
A. Guilt Phase Issues
1. The Trial Court’s Asserted Failure to Address an Alleged Conflict
Between Defendant and Defense Counsel Concerning Defendant’s
Desire to Enter a Plea of Guilty
Defendant contends the trial court erred by failing to address adequately a
conflict that arose between defense counsel and defendant concerning her desire to
enter a plea of guilty shortly before the commencement of the guilt phase of the
trial. Defendant maintains that she repeatedly informed her counsel that she
wished to plead guilty but that counsel “unreasonably withheld” consent to a
guilty plea and thereafter insisted on presenting a defense that ultimately proved to
be unsuccessful and prejudiced defendant’s ability to demonstrate at the penalty
phase her remorse and acceptance of responsibility.2 Defendant asserts that the
trial court failed to conduct an adequate inquiry into the alleged conflict between
defendant and her counsel regarding her desire to enter a plea of guilty, and that,
had such an inquiry been conducted, the trial court would have determined that
counsel’s refusal to consent was unreasonable. Defendant further asserts that as a
result of the trial court’s inaction, she was deprived of her right to plead guilty and
that such a plea would have enhanced her defense at the penalty phase. Although
defendant concedes that the plain language of section 1018 conditions a guilty plea
in a capital case upon the consent of counsel, she urges that a trial court
2
As discussed in detail below, section 1018 provides that no plea of guilty
to a felony for which the maximum punishment is death shall be received without
the consent of the defendant’s counsel.
19
nonetheless has a duty to ensure that defense counsel does not unreasonably
withhold such consent. Defendant asserts that the trial court’s alleged error
deprived her of her constitutional right to the assistance of counsel, of control over
her own defense, and of her right to a fair trial.
For the reasons that follow, we find no error in the trial court’s inquiry into,
and resolution of, the purported conflict between defendant and her counsel
regarding her plea.
a. Factual
Background
On the day of defendant’s arrest in late June 1991, police officers gave
defendant Miranda advisements (Miranda v. Arizona (1996) 384 U.S. 436), and
thereafter she agreed to be interviewed by law enforcement officers without
counsel being present. In a four-hour videotaped confession, she assumed
complete responsibility for the murder of Autumn Wallace. Defendant described
in detail the circumstances of the crimes, including her intention to steal property
when she entered the Wallace home, as well as taking a knife from the drawer in
the kitchen shortly after entering the residence. Defendant admitted that she
inflicted all of Autumn’s wounds, specifically acknowledging that no one else
participated in the murder and that she knew the wounds she inflicted could cause
death.
In mid-February 1992, 11 days prior to the commencement of jury
selection, defendant’s counsel filed an in camera “request for special instruction”
wherein he informed the court: “My client . . . refuses to follow my instructions
and take the stand and implicate ‘Beto’ . . . If my client insists on pleading guilty
to the special circumstances, it is against my most vigorous advice. I am
requesting instructions from the court as to whether or not the court believes it is
20
necessary for me to withdraw from the case at this late stage or whether or not I
should remain on the case.”
The following day, the court met with defense counsel, William Monroe,
and defendant ex parte. During the lengthy ensuing discussion, Monroe described
an “out and out conflict” between himself and defendant regarding her desire to
plead guilty and his “wish to proceed to trial on the guilt phase.” Monroe told the
court that because of fears for the safety of defendant and her family should she
implicate “Beto” in the crime, defendant “adamantly refused” to allow counsel to
call “Beto” as a witness, to cross-examine Antonio Reynoso regarding his
relationship with “Beto,” or to question any other witnesses regarding a possible
identification of “Beto.” Monroe also informed the court that defendant would not
testify and implicate “Beto” in Autumn’s murder, because of fears for her safety,
and that she sought to plead guilty “against my vigorous, vigorous advice.” The
trial court explained that pursuant to Penal Code section 1018, it did not have
authority to accept a guilty plea from a defendant in a capital trial without the
consent of counsel, and accordingly, even if she desired to do so, defendant could
not enter a guilty plea without counsel’s consent.3 Ultimately, the court refused to
remove counsel from the case, concluding that the asserted conflict between
defendant and her counsel was one involving trial tactics and, as such, did not
require the removal of counsel or the appointment of new counsel.
Nearly a week after this hearing, defense counsel filed a motion to suppress
evidence of defendant’s videotaped confession, arguing that drugs affected her
3
Section 1018 provides, in pertinent part, “No plea of guilty of a felony for
which the maximum punishment is death, or life imprisonment without the
possibility of parole, shall be received from a defendant who does not appear with
counsel, nor shall that plea be received without the consent of the defendant’s
counsel.”
21
judgment and rationality at the time of the confession, and asserting that
introduction of the confession would violate defendant’s right to counsel, privilege
against self-incrimination, and right to due process of law. The court denied the
motion, concluding that defendant’s statements were voluntary and that the
amount of drugs in her system did not affect her ability to waive her rights
knowingly and voluntarily.
The trial proceeded, and during cross-examination of the prosecution’s
witnesses, Shorty Reynoso and Tom Giffin, as well as in his closing argument,
defense counsel suggested that “Beto” was a “second killer” who goaded
defendant into murdering Autumn Wallace by threatening to harm defendant’s
family unless she committed the murder (purportedly to eliminate the victim as an
eyewitness to the robbery). As expected, the defense rested its case without
defendant testifying on her own behalf. A few days later, the jury found defendant
guilty on all charges, finding that the murder was of the first degree and that the
alleged special circumstances were true.
During both the first and second penalty phase trials, the district attorney
told the jury that defendant had not accepted responsibility for the murder and that
she lacked remorse. The jury did not hear evidence reflecting that prior to the
guilt phase trial, defendant had attempted to accept the prosecutor’s offer to enter
an unconditional plea of guilty.
b. Analysis
As a threshold matter, the parties vigorously disagree with respect to
whether the guilty plea proffered by defendant was conditional or unconditional.
Defendant contends that the discussion between the trial court and defense counsel
clearly establishes that defendant sought to enter an unconditional plea. The
Attorney General maintains, on the other hand, that defendant sought to enter a
22
conditional plea of guilty, that is, she desired to plead guilty in exchange for
receiving a sentence of life imprisonment without the possibility of parole ⎯ and
that this offer was communicated by defense counsel to the prosecutor, who
rejected the offer. The Attorney General reasons that because evidence of a desire
to plead guilty conditionally (that is, in exchange for an agreement to avoid the
death penalty) would not have provided evidence that defendant was remorseful,
defense counsel did not render ineffective assistance by refusing to accede to
defendant’s wish, and the trial court did not err in failing to further investigate the
purported conflict.
The record supports the inference that defendant had communicated to her
counsel a desire to enter an unconditional guilty plea. The transcript of the in
camera proceedings conducted to discuss defense counsel’s “request for special
instruction” reflects that defense counsel and the trial court discussed defendant’s
desire to plead guilty to a capital offense and that doing so could subject her to the
death penalty. When the trial court asked defendant what she wanted to do, she
answered, without any expressed condition, “plead guilty.” Defense counsel
stated several times that his objection to entry of a guilty plea was based upon his
refusal to allow defendant to plead guilty to a capital offense. Counsel stated, “I
can’t turn around and say I consent to allow my client to plead guilty when I know
she’s pleading guilty for all intents and purposes to a death sentence”, and “A
twenty year old child is going to plead guilty to a death penalty?” The trial court,
in turn, expressed doubt that any attorney in Orange County “would consent to
somebody pleading guilty to a capital offense.” The clear inference is that defense
counsel withheld his consent to what he perceived as an unconditional guilty plea.
Moreover, approximately one week after the foregoing hearing, the
prosecution moved to exclude evidence of defense counsel’s offer to “allow his
client to plead guilty to life without possibility of parole in lieu of the death
23
penalty. In lieu of us seeking the death penalty.” Thus, it appears that defense
counsel specifically offered that defendant would plead guilty in exchange for a
sentence of life imprisonment without possibility of parole. Accordingly, it is
apparent that the conflict between defendant and counsel that was the subject of
the in-camera discussion concerned defendant’s desire to enter an unconditional
guilty plea and her attorney’s refusal to consent to her doing so.
Turning to the substance of defendant’s argument, we note at the outset that
defendant did not make an unequivocal request to discharge her counsel, William
Monroe, and to represent herself. Rather, Monroe himself sought guidance from
the court regarding what he feared was an “irreconcilable” conflict. Nonetheless,
although defendant acknowledges that she did not herself invoke her right to self-
representation under Faretta v. California (1975) 422 U.S. 806 (Faretta), she
contends that a defendant’s right to self-representation under Faretta encompasses
a duty on the part of the trial court to ensure that defense counsel does not
unreasonably withhold consent to the entry of a guilty plea in a capital case.
Reasoning that a defendant has the ultimate, fundamental right to control his or her
own defense, and contending that defendant desired to plead guilty in order to
establish her acceptance of responsibility that in turn would enhance her penalty
phase defense, defendant argues that she had the right to enter an unconditional
plea of guilty against the advice of counsel and that the trial court erred in not
allowing her to do so.
Section 1018, limiting a defendant’s right to plead guilty in a capital case,
is one of several exceptions to the general rule recognizing “the need to respect the
defendant’s personal choice on the most ‘fundamental’ decisions in a criminal
case.” (People v. Bloom (1989) 48 Cal.3d 1194, 1221-1222, fn. 6.) Indeed, “it is
difficult to conceive of a plainer statement of law than the rule of section 1018 that
24
no guilty plea to a capital offense shall be received ‘without the consent of the
defendant’s counsel.’ ” (People v. Chadd (1981) 28 Cal.3d 739, 746 (Chadd).)
We considered section 1018’s consent requirement in Chadd, supra, 28
Cal.3d 739, in which we held that the trial court committed prejudicial error in
accepting the defendant’s plea of guilty without obtaining the consent of his
counsel. (Id. at p. 746.) The capital defendant in Chadd initially pleaded not
guilty, but after attempting suicide, he waived his right to a preliminary hearing
and through his appointed counsel informed the court that he sought to plead
guilty against the advice of counsel.4 As characterized by defendant’s counsel, his
“ ‘basic desire [was] to commit suicide,’ ” and the defendant was “ ‘asking for the
cooperation of the State in that endeavor.’ ” (Id. at p. 744.) Indeed, when the trial
court directly inquired, the defendant in Chadd expressly confirmed that he was
seeking the court’s assistance in committing suicide. The trial court found the
defendant competent within the meaning of Faretta, reasoning that a finding of
competence under that decision justified a departure from the consent requirement
of section 1018. Although the court did not officially relieve counsel, it accepted
the defendant’s guilty plea to first degree murder and his admission of all charged
enhancements and special circumstances, despite counsel’s continuing objections.
Thereafter, a penalty phase jury imposed a judgment of death. (Chadd, at p. 748.)
4
Because the defendant in Chadd did not ask to be relieved of counsel, we
did not consider the Attorney General’s contention that section 1018 permits a
capital defendant to discharge his or her attorney, represent himself or herself,
and enter a guilty plea. (Chadd, supra, 28 Cal.3d at p. 746.) Similarly, because
defendant in the present case did not request that counsel be relieved and that she
be allowed to represent herself, we need not and do not consider whether section
1018 may be so construed.
25
Emphasizing the plain language of section 1018, and concluding the trial
court committed prejudicial error in accepting the defendant’s plea, we reversed
the judgment of death. (Chadd, supra, 28 Cal.3d at pp. 754-755.) Although
acknowledging that in California’s system of criminal justice, the decision how to
plead to a criminal charge is personal to the defendant, we also emphasized that “it
is no less true that the Legislature has the power to regulate, in the public interest,
the manner in which that choice is exercised.” (Id. at pp. 747-748.) We
specifically considered the interplay between the section 1018 consent
requirement and the Sixth Amendment right of self-representation discussed in
Faretta, and observed that, as Faretta recognized, the Sixth Amendment grants the
right to defend directly to the accused, because he or she suffers the consequences
in the event the defense fails. (Chadd, at p. 751.) In rejecting the Attorney
General’s contention that therefore the so-called veto power vested in defense
counsel renders section 1018 unconstitutional, we explained that “in capital cases
. . . the state has a strong interest in reducing the risk of mistaken judgments.
Nothing in Faretta, either expressly or impliedly, deprives the state of the right to
conclude that the danger of erroneously imposing a death sentence outweighs the
minor infringement of the right of self-representation resulting when defendant’s
right to plead guilty in capital cases is subjected to the requirement of his
counsel’s consent.” (Chadd, supra, 28 Cal.3d at p. 751.)
Defendant urges us to revisit and limit our holding in Chadd because unlike
the defendant in that case — who sought to waive any defense entirely and
confirmed unambiguously that his desire to plead guilty amounted to an attempt to
commit suicide with state assistance ⎯ defendant in the present case sought to
plead guilty in order to help establish a foundation for a “remorse” defense at the
penalty phase. But we need not decide in this case whether Chadd would apply to
a defendant’s desire to enter a guilty plea as part of a strategy to obtain a life
26
sentence at the penalty phase, because the record here does not indicate that
defendant sought to plead guilty in furtherance of such a strategy. Instead, the
record supports an inference that defendant desired to plead guilty in order to
avoid testifying against “Beto,” whom her counsel sought to implicate as an
accomplice in the murder of Autumn Wallace.
During the ex parte colloquy prior to jury selection, defense counsel
informed the court that defendant refused to testify because she was in “absolute
fear of her safety and she’s in absolute fear of the safety of her family should it
become known to Beto that we in some way, shape, or form, for lack of a better
term, have given him up.” Although defense counsel did not state explicitly that
defendant’s desire to plead guilty and her refusal to testify were interconnected,
the tenor of the lengthy discussion clearly supports that inference. Defendant, who
was present at the colloquy, did not dispute counsel’s characterization of her
position and said nothing more than that she desired to “plead guilty.” In
particular, she made no overt or implicit reference to remorse or a desire to take
responsibility for the crime. Thus, as defense counsel informed the trial court,
although defendant told him that “Beto” had pressured her to murder Autumn by
threatening defendant’s child, she refused to testify to that effect, because she
allegedly continued to fear for the safety of herself and her family. In other words,
it appears that defense counsel reasonably believed that defendant sought to plead
guilty to a capital offense not in order to help establish a foundation for a defense
of “remorse” at the penalty phase, but instead to avoid naming an alleged
coconspirator and thus protect herself and her family from harm. Defense
counsel’s refusal to consent to a guilty plea under these circumstances was not
unreasonable.
As we recognized in Chadd, the 1973 statutory revision adding to
section 1018 the requirement of counsel’s consent was part of a more extensive
27
revision of California’s death penalty legislation and thus was intended to serve as
a “further independent safeguard against the erroneous imposition of a death
sentence.” (Chadd, supra, 28 Cal.3d at p. 750.) In Chadd, we explained that
“ ‘[a] plea of guilty is more than a confession which admits that the accused did
various acts; it is itself a conviction; nothing remains but to give judgment and
determine punishment.’ ” (Chadd, supra, 28 Cal.3d at p. 748, quoting Boykin v.
Alabama (1969) 395 U.S. 238, 242.) The consent requirement of section 1018 has
its roots in the state’s strong interest in reducing the risk of mistaken judgments in
capital cases and thereby maintaining the accuracy and fairness of its criminal
proceedings. (Chadd, at pp. 750, 753.) The statute constitutes legislative
recognition of the severe consequences of a guilty plea in a capital case, and
provides protection against an ill-advised guilty plea and the erroneous imposition
of a death sentence.
Defense counsel’s refusal to consent to defendant’s guilty plea under the
present circumstances was well within the purview of our holding in Chadd.
Although defendant did not seek to enter a guilty plea in order to effectuate a
state-assisted suicide, the record demonstrates that she nonetheless sought to
waive her right to present a defense in order to prevent the presentation of
evidence regarding an accomplice — evidence that her counsel believed would
mitigate her culpability for the murder. Had defense counsel capitulated to
defendant’s desire to plead guilty unconditionally despite the information she had
conveyed to him implicating another person in the murder, defendant’s plea would
have cast doubt on potentially critical mitigating evidence. A guilty plea entered
under such circumstances might very well lead to the erroneous imposition of the
death penalty — precisely the outcome section 1018 is intended to prevent.
We likewise reject the claim that counsel’s refusal to consent to the guilty
plea became unreasonable because defendant’s refusal to testify at the guilt phase
28
of her trial hindered counsel’s presentation of her defense. Defendant contends
that because counsel was well aware she would not testify, and because the
defense strategy would be substantially undercut by defendant’s silence, counsel
should have consented to defendant’s entering an unconditional guilty plea.
However, in view of the circumstance that the trial court admitted into evidence
the videotape of defendant repeatedly confessing to the murder of Autumn
Wallace, defense counsel was not unreasonable in attempting to present a defense
that would mitigate defendant’s culpability in the crime.
Defendant faults the trial court for failing to inquire into defendant’s
reasons for desiring to plead guilty. She claims that had the trial court done so, it
would have discovered that defendant sought to take responsibility for the crime in
order to demonstrate her remorse, and that defense counsel’s refusal to consent
was patently unreasonable in light of the weak defense case. Although defendant
vigorously argues that the trial court had a duty to intervene after it was apprised
of the conflict between defendant and her counsel, there is no express duty on the
part of the trial court to ensure that counsel’s consent to a guilty plea is not
unreasonably withheld. Even assuming the existence of such a duty, the trial court
conducted a complete and adequate inquiry into the purported conflict between
defendant and her counsel in the present case. The court reasonably relied upon
counsel’s representation, unrebutted by defendant, that the conflict concerned
defendant’s desire to plead guilty in order to avoid testifying against “Beto,” who
might retaliate against her and her family. Although defendant had ample
opportunity during the lengthy ex parte discussion between defense counsel and
the court to elaborate on her motivation to enter a guilty plea, she told the court
only that she wished to “plead guilty.” Moreover, as we have held in the context
of Marsden hearings (People v. Marsden (1970) 2 Cal.3d 118 (Marsden)), any
conflict over the wisdom of presenting evidence that “Beto” had pressured
29
defendant into participating in the murder was merely a dispute over tactics and
would not by itself constitute an “irreconcilable conflict.” (People v. Cole (2005)
33 Cal.4th 1158, 1190 (Cole); People v. Welch (1999) 20 Cal.4th 701, 728-729
(Welch).) Indeed, as we noted in Cole, a “ ‘defendant does not have the right to
present a defense of his own choosing, but merely the right to an adequate and
competent defense.’ ” (Cole, supra, 33 Cal.4th at p. 1192, quoting Welch.)
Defendant contends the decision how to plead is “fundamental,” and
therefore her disagreement with counsel concerned a fundamental aspect of her
defense that the trial court should have recognized must remain within defendant’s
control. As set forth above, however, nothing in the record supports defendant’s
contention that her desire to plead guilty was motivated by a desire to establish a
defense of remorse or to demonstrate her acceptance of responsibility for the
murder so that a lesser punishment might be imposed at the penalty phase.
Accordingly, the trial court reasonably concluded that the dispute between
defendant and her counsel did not implicate a constitutionally protected
fundamental interest that might override the plain terms of section 1018. 5
5
The present case is distinguishable from In re Alvernaz (1992) 2 Cal.4th
924 (Alvernaz), in which we recognized that a defendant possesses a
“constitutionally protected right to participate in the making of certain decisions
which are fundamental to his or her defense” and that the decision as to whether
to accept or reject a “proffered plea bargain and proceed to trial should not be
made by a defendant encumbered with a ‘grave misconception as to the very
nature of the proceeding and possible consequences.’ ” (Id. at p. 936.)
In
Alvernaz, the defendant contended that trial counsel erroneously had
advised him regarding the length of the sentence that might be imposed should he
proceed to trial and be found guilty. He further asserted that had he known of the
potential consequences, he would have accepted the plea agreement offered by
the prosecution prior to trial. In light of the fundamental nature of the decision to
accept or reject an offer to plead guilty in exchange for a lesser sentence, we
concluded that the rendering of ineffective assistance by counsel, resulting in a
defendant’s decision to reject an offered plea agreement and proceed to trial,
(footnote continued on next page)
30
Defendant also contends that if the trial court believed defendant’s desire to
plead guilty was unreasonable, it had a duty to order a competency hearing. There
is no indication in the record, however, that the trial court believed defendant’s
desire to plead guilty was unreasonable. The trial court recognized that defendant
sought to plead guilty, that defense counsel would not consent, and that the dispute
was one involving tactics, requiring no action on the court’s part. Defense counsel
did not mention any issue concerning defendant’s competency, and explained that
defendant’s desire to plead guilty was the product of her alleged fear of testifying
against “Beto.” In addition, defendant did not provide any indication that she was
incompetent. The trial court had no duty to inquire further into defendant’s
competence.
Defendant further faults the trial court for failing to appoint second counsel
after defense counsel conveyed the circumstances of the conflict between himself
(footnote continued from previous page)
constitutes a constitutional violation not remedied by a fair trial. (Alvernaz,
supra, 2 Cal.4th at p. 936.) Thus, a defendant can establish prejudicial error if he
or she is able to demonstrate both deficient performance and a reasonable
probability that, but for counsel’s deficient performance, the defendant would
have accepted a proffered plea agreement that, in turn, would have been approved
by the trial court. (Id. at p. 937.)
In the present case, the prosecution did not offer a plea agreement. Unlike
the conditional plea agreement offered and rejected in Alvernaz, the prosecution
here rejected defense counsel’s offer of a plea of guilty in exchange for a sentence
of life in prison without possibility of parole. To the extent the prosecution made
any “offer,” it was merely to suggest that defendant enter an unconditional guilty
plea — a plea to which defense counsel would not consent. Even assuming our
reasoning in Alvernaz applies to the present case, in which defense counsel
withheld consent to an unconditional plea of guilty in a capital case, as explained
above defendant has not established that counsel acted unreasonably in
withholding consent, and thus has not demonstrated that counsel’s performance
fell below an objective standard of reasonableness under the prevailing norms of
practice. (Alvernaz, supra, 2 Cal.4th at p. 937.)
31
and defendant and suggested that another counsel be appointed to advise
defendant. Section 987, subdivision (d) provides in relevant part: “In a capital
case, the court may appoint an additional attorney as a cocounsel upon a written
request of the first attorney appointed. The request shall be supported by an
affidavit of the first attorney setting forth in detail the reasons why a second
attorney should be appointed. . . . The court shall appoint a second attorney when
it is convinced by the reasons stated in the affidavit that the appointment is
necessary to provide the defendant with effective representation.” (See also
People v. Keenan (1982) 31 Cal.3d 424, 430.)
Defendant concedes that defense counsel did not file a written request for
cocounsel as required by section 987, subdivision (d), but asks that we interpret
defense counsel’s oral suggestion as a formal request for Keenan counsel. We
decline to do so. The sole allusion to such a request was defense counsel’s
suggestion that second counsel might be appointed to advise defendant regarding
the consequences of her decision not to testify. The trial court was not requested
to, and did not, rule on a formal motion to appoint second counsel. Thus, the issue
was not preserved for appeal. (Evid. Code, § 353, subd. (a); People v. Alvarez
(1996) 14 Cal.4th 155, 186.)
In the alternative, defendant asserts that defense counsel rendered
ineffective assistance by failing to invoke the trial court’s discretion to appoint a
second attorney to assist counsel at the guilt and penalty phases of this capital
case. (People v. Keenan, supra, 31 Cal.3d at p. 430; § 987, subd. (d).) Defendant
asserts that (1) her case was unusually daunting, (2) counsel was overwhelmed and
improperly relied on his investigator to perform tasks that should have been
performed by an attorney, (3) the lack of cocounsel led to presentation of a
deficient and ill-advised defense that relied solely upon a “duress” theory that
ultimately was not available to absolve defendant of responsibility for the murder
32
of Autumn Wallace, and (4) counsel was not prepared to offer evidence in
mitigation at the penalty phase, which required the development of issues and
evidence different from what was presented at the guilt phase.
The record on appeal does not establish that counsel provided
constitutionally inadequate assistance in failing to request cocounsel. Nothing in
the record demonstrates that Monroe performed below constitutional standards,
especially in light of the lack of cooperation he received from defendant. (People
v. Michaels (2002) 28 Cal.4th 486, 523 (Michaels).) To the contrary, the record
reveals that defense counsel sought to present a defense that would minimize
defendant’s culpability based upon her own description of the events, and that
possibly would avoid imposition of the death penalty. The circumstance that
defendant refused to assist counsel in presenting that version of the events to the
jury, allegedly because she was afraid of the consequences of further identifying
the second man, thereby hindering presentation of her defense, does not render
unreasonable the refusal of counsel to accede to defendant’s desire to plead guilty
or counsel’s continuing representation inadequate. Moreover, the cooperation
between Monroe and his investigator in performing “quasi-legal” tasks such as
examining appropriate areas of defense and/or mitigation was not improper and
does not demonstrate that Monroe was overwhelmed in conducting the defense.
In any event, “because the claim is presented as one of ineffective
assistance of counsel, relief depends solely on whether counsel’s error, if any, may
have affected the outcome.” (People v. Webster (1991) 54 Cal.3d 411, 437, citing
Strickland v. Washington (1984) 466 U.S. 668, 692-693.) The record does not
reflect that, but for counsel’s refusal to permit defendant to enter an unconditional
guilty plea, or his failure to request appointment of second counsel, a more
favorable verdict was reasonably probable. (Michaels, supra, 28 Cal.4th at
p. 525.)
33
2. Failure to Admit Evidence of Offer to Plead Guilty
Defendant urges that the trial court erred in ruling inadmissible defendant’s
offer to plead guilty, thereby depriving her of crucial mitigating evidence and
violating her constitutional right to due process of law.6 As discussed in detail
above, after extensive in camera consultation between defense counsel and the
trial court regarding defendant’s desire to enter a guilty plea, the trial court
concluded no irreconcilable conflict between defendant and her counsel existed,
and the case proceeded to trial. The transcript of those in camera proceedings
discloses that defense counsel believed that defendant sought to enter an
unconditional plea of guilty, and counsel’s refusal to grant consent was based
upon his concern that defendant would be “pleading guilty for all intents and
purposes to a death sentence.”
Thereafter, the prosecutor, who was not present at the in camera
proceedings, made a pretrial motion to exclude evidence of defense counsel’s offer
to enter a conditional plea of guilty.7 The prosecutor contended that although an
offer of an unconditional guilty plea would be relevant mitigating evidence,
defendant’s offer to plead guilty on condition that she receive a sentence of life
imprisonment without possibility of parole did not constitute mitigating evidence
and should be excluded from consideration by the jury.8 It is evident from the
6 Defendant
contends
this
error prejudiced her in her penalty phase trial.
She does not seek a new guilt phase trial.
7
In arguing in favor of the motion, the prosecution stated there had been a
“request by defense to allow his client to plead guilty to life without possibility of
parole in lieu of the death penalty. In lieu of us seeking the death penalty.”
8
Specifically, the prosecutor stated: “If the defendant wanted to plead
guilty, she can plead guilty right up front, right now. Go right into the penalty
phase and show the jury that she pled guilty and that’s the mitigation. Not the
fact that she extended or her attorney extended some kind of an offer, because the
attorney extending some kind of an offer isn’t anything.”
34
colloquy between the prosecutor and the trial court that the prosecutor’s in limine
motion sought solely to exclude evidence of defendant’s conditional offer to plead
guilty.
In opposing the motion, defense counsel reiterated the offer to enter a
conditional guilty plea in order to demonstrate that defendant indeed felt remorse
for her commission of the crime. In response, the prosecutor stated that pursuit of
the death penalty in this case was nonnegotiable and that only an unconditional
plea of guilty would constitute evidence of remorse. The trial court granted the
prosecutor’s motion and prohibited defense counsel from introducing evidence ⎯
at either the guilt phase or the penalty phase ⎯ of defendant’s conditional offer to
plead guilty. The court reasoned that a mere offer to plead guilty, on condition
that the prosecutor not seek the death penalty, would not be relevant evidence at
the guilt phase and would not be the proper subject of mitigating testimony at the
penalty phase. Ultimately, no evidence of defendant’s unaccepted conditional
offer to plead guilty was presented at either the guilt or the penalty phase of trial.
The Attorney General urges that defendant forfeited her claim because after
the court made its ruling, defense counsel did not raise the issue with the court
again or attempt at either of the two penalty phase trials to introduce evidence of
defendant’s conditional offer to plead guilty. “While it may not be necessary to
renew an objection already overruled in the same trial [citation], absent a ruling or
stipulation that objections and rulings will be deemed renewed and made in a later
trial [citation], the failure to object bars consideration of the issue on appeal.”
(People v. Clark (1990) 50 Cal.3d 583, 623-624.) Defendant’s claim of error
relates to the exclusion, from her penalty retrial, of evidence of her unaccepted
conditional offer to plead guilty. Defendant’s claim is forfeited, because the
prosecutor did not renew his motion to exclude evidence of defendant’s
unaccepted conditional offer to plead guilty at the penalty retrial, no stipulation
35
was entered into regarding the renewal of objections and rulings at defendant’s
penalty retrial, and defendant did not herself seek to present evidence of her earlier
conditional plea offer in mitigation at her penalty retrial.
Defendant’s claim also fails on the merits. The jury at the second penalty
phase trial was presented with extensive evidence of defendant’s remorse,
including her full taped confession, during which she repeatedly expressed
remorse for her commission of the crime. The jury also heard the testimony given
by defendant at her first penalty trial, in which she read a letter she had written to
the victim and her family expressing remorse for committing the murder. Finally,
numerous defense witnesses described defendant’s sorrow and remorse concerning
the murder, and provided multiple accounts of defendant breaking down and
crying because of her remorse. The admission of defendant’s offer to enter a
conditional plea of guilty to demonstrate her remorse and her acceptance of
responsibility for the crime would have been cumulative to these accounts. There
is no reasonable possibility the outcome would have been different had the trial
court admitted evidence of defendant’s conditional offer to plead guilty. (People
v. Robinson (2005) 37 Cal.4th 592, 641-642; People v. Brown (1988) 46 Cal.3d
432, 448.)
Although the prosecutor’s motion to exclude the offer to enter the guilty
plea, and the ensuing discussion between the parties and the trial court at the
hearing, focused solely upon defendant’s conditional offer to plead guilty,
defendant now contends that the trial court erred in granting the motion because,
as the court was well aware, defendant sought (but was not permitted to) enter an
unconditional plea of guilty at the February 21, 1992 in camera hearing.
Defendant apparently contends the trial court had a duty, on its own motion,
specifically to acknowledge and admit evidence of defendant’s desire to plead
guilty unconditionally, having become aware at the in camera proceedings of that
36
desire. As noted above, defendant’s claim of error relates to exclusion of this
evidence at the penalty retrial, but because defendant did not seek admission of
such evidence at that trial, defendant’s claim is forfeited. To the extent defendant
argues the trial court had an independent duty to raise the issue on its own and
thereafter offer and admit such evidence at her penalty retrial, defendant does not
offer any authority recognizing such a duty, and we decline to impose such an
obligation on the trial court.
Defendant contends defense counsel rendered ineffective assistance of
counsel in failing to seek admission of evidence of defendant’s willingness to
plead guilty unconditionally and failing to cite People v. Williams (1988) 45
Cal.3d 1268, to the trial court for the proposition that an offer to plead guilty
might be admissible as mitigating evidence in a capital case if tending to
demonstrate remorse.9 As we discussed above, trial counsel presented extensive
evidence to the second penalty phase jury relating to defendant’s remorse.
Accordingly, trial counsel’s failure to seek admission of evidence of defendant’s
desire to plead guilty unconditionally, or to cite authority supporting the admission
of such evidence, was harmless because no reasonable probability exists that, but
for counsel’s failure to seek the admission of such evidence, the result of the
9 In
Williams, we recognized that the purpose of section 1192.4, which bars
the admission of evidence of a withdrawn plea in any proceeding, is to promote
the public interest by encouraging the settlement of criminal cases without the
necessity of a trial, and that in furthering this purpose the statute appears to
prevent a prosecutor from presenting evidence of an offered or withdrawn guilty
plea as an admission of guilt. (See People v. Williams, supra, 45 Cal.3d at p.
1333, fn. 9; People v. Wilson (1963) 60 Cal.2d 139, 155-156.) Accordingly, we
observed in dictum, “[i]t is not clear to us that section 1192.4 would bar a
defendant from offering in mitigation his expressed willingness to plead guilty —
when that expressed willingness does in fact tend to show remorse, etc.”
(Williams, supra, 45 Cal.3d at p. 1333, fn. 9, italics omitted.)
37
proceedings would have been more favorable to defendant. (People v. Stanley
(2006) 39 Cal.4th 913, 965 (Stanley); Strickland, supra, 466 U.S. at pp. 688, 694,
104 S.Ct. 2052.).
3. Failure to Close the Trial Proceedings During Defendant’s
Testimony
Defendant contends the trial court erroneously denied her request to close
the guilt phase proceedings to the public so that she might testify regarding the
actions of the second man, “Beto,” without fearing for her safety. After the
prosecution had rested its case-in-chief, defendant moved to exclude the press and
the public from the courtroom while defendant testified, asserting that their
presence “during her testimony will be so prejudicial to the defendant that she will
be deprived of a fair trial.” Defendant’s declaration in support of the motion
summarized her intended testimony and stated she feared retaliation from the
“other male Hispanic” if she testified in open court. The declaration concluded:
“If I testify in public so the newspapers get the information and I identify this male
Hispanic, I believe my family will be harmed because the man is still out in the
community. [¶] I cannot and will not testify unless my testimony is taken in a
closed courtroom with my testimony sealed.” Defendant further declared that the
second Hispanic man induced her to murder Autumn Wallace by threatening to
harm her and her family if she did not “do something about Autumn.”
During the colloquy with defense counsel at the hearing, the trial court
observed there was no evidence that defendant’s mother or children ever had been
threatened with harm, or that the unidentified man was “even in the area or
counsel would have been able to locate the person.” The court further advised that
the defense of duress was not available in a capital murder case, that the facts did
not support an aider and abettor theory of culpability, and that therefore it was
unclear that defendant could present a defense based upon the proposed testimony.
38
The court observed that the clear inference from the declaration was that defendant
did, in fact, know the identity of the third man and that therefore her testimony in
open court might facilitate his identification and apprehension. The court also
explained that closing the courtroom to the public during defendant’s testimony
might lead the jury to infer that the court attached some credibility to defendant’s
testimony or “in fact, believed that there was a valid threat to exclude the public
during her testimony. And I don’t believe any instruction to the contrary would
alleviate the possible danger of that interpretation.”
Although many of defendant’s claims on appeal are founded upon the
premise that defense counsel rendered ineffective assistance by presenting a third-
party culpability defense, she implicitly embraces that same defense in advancing
her present claim of error. She contends the trial court’s failure to close the trial
prevented her from testifying because of her fear for the safety of her family, and
was prejudicial because her testimony would have provided evidence in mitigation
at the penalty phase.
As we have recognized, the trial court in unusual circumstances may
exercise its discretion to close portions of a criminal trial to the public without the
consent of the defendant for good cause in order to promote the interests of justice
or for the protection of witnesses or parties. (People v. Cummings (1993) 4
Cal.4th 1233, 1298-1299 (Cummings); People v. Cash (1959) 52 Cal.2d 841, 846,
citing discussion in Kirstowsky v. Superior Court (1956) 143 Cal.App.2d 745.)
The trial court in Kirstowsky, ordered the courtroom closed during the testimony
of the defendant at a murder trial because she intended to testify regarding
embarrassing “abnormal sexual practices” that had been “enforced upon her,” and
because she was experiencing extreme emotional disturbance and would be unable
to testify on her own behalf unless she could do so in a courtroom closed to the
public and the press. (Kirstowsky, supra, 143 Cal.App.2d at p. 748.) The trial
39
court below distinguished Kirstowsky, because the present case did not involve
any abnormal practices, sexual or otherwise, and there was “no evidence that our
accused is in the condition of extreme emotional disturbance and bewilderment at
the prospect of testifying.”10
A court may restrict attendance by members of the public only if restriction
is necessary to preserve a defendant’s right to a fair trial. (Cummings, supra, 4
Cal.4th 1233 at p. 1299.) In the present case, we find no error, because defendant
has not established she was denied the right to a fair trial by the court’s ruling.
(Id. at pp. 1298-1299.) Defendant was aware of her right to testify and willingly
chose not to exercise that right. She admitted that she had not been threatened to
refrain from testifying, and that the only actual “threats” were those allegedly
made by the unidentified man on the day of the murder and several days
thereafter, a time (as the trial court noted) one and a half years earlier.
In any event, defendant did not suffer any prejudice from the denial of her
motion. She testified during her first penalty phase trial. When the subject of the
second man’s identity was raised during defendant’s cross-examination, defendant
refused to answer, stating she was “scared” to identify him. As the Attorney
General points out, defendant could have taken a similar course of action during
the presentation of testimony at the guilt phase portion of her trial. Finally, in
view of the admission in evidence of defendant’s lengthy and detailed videotaped
10
The court also emphasized the presumption that a trial should remain open
to the public as discussed in our decision in People v. Pompa-Ortiz (1980) 27
Cal.3d 519, in which we held that the trial court erred in granting a prosecution
request to close a pretrial hearing over defendant’s objection, because of a
defendant’s paramount right to an open and public trial. (See also NBC
Subsidiary (KNBC-TV), Inc. v. Superior Court (1999) 20 Cal.4th 1178, 1197-
1207, and cases cited therein.)
40
confession, it is not reasonably probable that her testimony regarding the
involvement of the second man in the murder would have changed the outcome of
the guilt phase. Defendant contends her testimony would have provided
mitigating evidence at the second penalty phase trial. But her testimony at the first
penalty phase trial was read to the jury at the penalty phase retrial, and therefore
any error in denying the motion to exclude the public from the trial during the
guilt phase would have been harmless.
B. Voir Dire Relating to the Guilt and Penalty Phases of Trial
1. Restriction Regarding the Age of the Victim
Defendant contends the trial court committed numerous errors in
conducting voir dire during the guilt phase of the trial and the penalty phase
retrial. For the reasons that follow, we find no error.
Defendant asserts the trial court erred in denying defense counsel’s request
for additional voir dire, at both the guilt phase and second penalty phase, regarding
the victim’s age. With respect to the guilt phase, defense counsel proposed a juror
questionnaire that included the questions: (1) “It is expected that you will hear
testimony regarding the multiple stabbing death of a eight-year-old girl.11 Do you
expect that such testimony would so upset you that you could not honestly be fair
and impartial?” and (2) “If such evidence is introduced and proved to your
individual satisfaction beyond a reasonable doubt, do you believe that would
prompt you to automatically urge the death penalty regardless of any potential
mitigating factors?” In a second proposed juror questionnaire, defense counsel
11
Although the victim, Autumn Wallace, was nine years of age when she
was murdered, defense counsel mistakenly stated her age as eight years in the
proposed questionnaires and during his voir dire questioning of some prospective
jurors.
41
proffered the following question: “Please explain if the fact that the victim in this
case is an eight-year-old little girl would prohibit you from being a fair and
impartial juror in this case?”12
The court denied each party’s request for a written juror questionnaire and
declined to permit the defense’s proposed questions during the voir dire on the
ground they improperly would ask that the prospective jurors prejudge the
evidence in the case. Thereafter, the court denied defense counsel’s request to
conduct direct voir dire of the jurors as well as follow-up voir dire. Ultimately,
the trial court conducted the entire voir dire and did not permit defendant or the
prosecutor to question the jurors directly.
At the penalty retrial, defense counsel repeated his request for additional
voir dire to ascertain whether prospective jurors would harbor a bias against
defendant because the victim was a child. At that trial, both the prosecutor and
defense counsel were allowed to conduct direct voir dire, and defense counsel
questioned certain jurors regarding any bias they would have because the victim
was a child.
Defendant contends the trial court committed prejudicial error both at the
initial trial and the penalty retrial by denying defendant’s request for additional
voir dire focusing upon the victim’s age and inquiring concerning the effect, if
any, of the victim’s age upon the prospective jurors’ ability to remain fair and
impartial. As a threshold matter, because error occurring in the death-qualification
of the jury at most may be prejudicial only as to the penalty phase, any error in the
12
The prosecution’s proposed questionnaire included questions regarding the
prospective jurors’ health, personality traits, and attitudes toward the death
penalty, including a series of proposed questions pertaining to any
“conscientious” objections to the death penalty.
42
death qualification of the first jury is irrelevant because that jury decided only
defendant’s guilt. Accordingly, even if the trial court erred in conducting voir dire
of the first jury, such error did not affect the penalty verdict and was harmless.
Defendant contends the circumstance that at the penalty retrial certain
prospective jurors were excused for cause on the basis of bias triggered by the
victim’s age establishes that the first jury, which was not questioned so
extensively, was prejudicially biased. She speculates that had the trial court
permitted more extensive questioning of the initial jury regarding the circumstance
that the victim was a child, that jury would not have acted out of bias and would
have returned a verdict of life without possibility of parole, thereby eliminating the
need for a penalty retrial. This theory is pure speculation and finds no support in
the record. Accordingly, even if the trial court erred in conducting voir dire of the
first jury, any such error did not affect the penalty verdict and was harmless.
With regard to the second penalty phase jury, defendant concedes the trial
court allowed defense counsel to question prospective jurors at the penalty retrial
regarding the victim’s age, and that such questioning revealed a bias in favor of
the death penalty on the part of some prospective jurors who then were excused
for cause. Although the trial court rejected defendant’s specific questions
concerning whether the victim’s age would impair the prospective jurors’ ability
to remain fair and impartial,13 it nonetheless permitted extensive questioning on
this subject.
13
The proposed question read: “Who, if any of you, believe that you could
not feel any sympathy or compassion for someone such as the defendant who has
committed this kind of crime?” During the course of discussion, defense counsel
proposed a modified question “to the effect, who, if any of you, believe that you
could not feel any sympathy or compassion for someone such as the defendant
who has been convicted of killing a nine-year-old child or nine-year-old girl.”
43
Notably, the court agreed with defense counsel that the victim’s age might
affect the prospective jurors’ views. Indeed, the prosecution posed no objection to
asking prospective jurors whether “they would be biased to the point they could
not be fair and impartial if the victim is a nine-year-old child.” Accordingly, the
court agreed to inform the prospective jurors at the outset that defendant had been
found guilty of killing a nine-year-old child, and that the victim died of multiple
stab wounds. When appropriate, the court also reiterated the circumstances of the
crime during questioning of individual prospective jurors.
Thereafter, during the course of extensive questioning of each prospective
juror conducted in open court in the presence of all the prospective jurors,
numerous prospective jurors conceded that the circumstance the victim was a child
might affect his or her ability to be fair and impartial. Those jurors thereafter were
excused for cause.14 Additionally, defense counsel was permitted to question
14
For example, in response to the court’s question whether pretrial publicity
“would affect your ability to be a completely fair and impartial juror in the
case[,]” Prospective Juror T.D. answered “possibly, because a child died . . . with
a child dying, I think it should be a death penalty.” The trial court excused
Prospective Juror T.D. for cause. Similarly, Prospective Juror N.J. told the court
that the circumstance that the victim was a child caused him to conclude that
regardless of the evidence presented, the death penalty should be “automatic” in
this case. The trial court dismissed Prospective Juror N.J. for cause. Prospective
juror R.R. also told the court that after learning that the victim in this case was a
child, she had concluded that death was the only appropriate punishment and she
would be unable to remain impartial. Prospective Juror R.R. was excused for
cause. Although Prospective Juror M.O. did not specifically mention that the
victim’s age played a role, she told the court that learning of the circumstances of
the crime had caused her to form a fixed opinion regarding death as the
appropriate punishment. The court excused her for cause. Prospective Juror E.A.
told the court “it would be awfully hard” to maintain an open mind “when there is
a nine year old involved” and was similarly excused for cause. Prospective Juror
C.F., who stated that “the fact that there is a child involved” would preclude her
being a fair and impartial juror, also was excused for cause.
44
prospective jurors regarding the circumstance that the victim was a child even
when the prospective juror had not declared that such information might lead to
bias.15
In sum, although the trial court declined to inquire specifically of each
prospective juror concerning the impact, on his or her ability to remain impartial,
of the circumstance that the victim in this case was a child, the record reveals that
the issue was discussed exhaustively throughout the voir dire conducted at the
penalty retrial. All of the prospective jurors repeatedly were made aware of the
unusual circumstances of this case, and numerous prospective jurors revealed that
the victim’s young age would prevent their serving as fair and impartial jurors.
Numerous other prospective jurors candidly told the court that this circumstance
would weigh heavily on them, but maintained they nonetheless could retain an
open mind, and defense counsel was permitted to fully examine each of those
jurors regarding the sincerity of those stated beliefs. In light of the exhaustive
examination of the issue during the penalty retrial, we discern no prejudicial error
in the trial court’s rejection of defendant’s specific proposed question regarding
the victim’s age.
2. Failure to Excuse Prospective Juror A.P. for Cause
Defendant contends that the trial court erred in declining to excuse
Prospective Juror A.P. for cause during the initial voir dire after A.P., during a
15
In questioning Prospective Juror A.N., defense counsel noted that “you
heard a little bit about the fact that it was a stabbing death of a little nine-year-old
girl” and inquired whether such information would cause the juror to have a
closed mind. In questioning Prospective Juror R.T., defense counsel asked:
“[Y]ou heard a little bit about the circumstances of the crime and you have a
couple of youngsters who are eight years old. Do you think that will just close
down your mind?” Prospective Juror R.T. replied that “it will be hard but I think
I could [keep an open mind].”
45
private conference in chambers, informed the court that a preteen friend of his
granddaughters’ had been raped and murdered shortly after leaving their home,
that the girls had been subjected to participation in trial proceedings for several
years in that case, and that, as a result, the subject of the present case was
“emotional” for him. In a capital case, a juror is properly excused for cause if that
juror would “automatically” vote for a certain penalty or if the juror’s views on
capital punishment would “ ‘prevent or substantially impair’ ” the performance of
his or her duties in keeping with the juror’s oath and the court's instructions.
(People v. Stitley, (2005) 35 Cal.4th 514, 538 (Stitley), quoting Witherspoon v.
Illinois (1968) 391 U.S. 510, fn. 21, and Wainwright v. Witt (1985) 469 U.S. 412,
424.)
In the present case, the trial court asked A.P. whether his emotions would
influence his fairness in this case, to which A.P. responded: “I don’t think it
would have any impact on the case. I think I could act fair in this trial.” In
response to a follow-up question from the court, A.P. stated that the circumstance
that the victim in the present case was a young girl would not bias his judgment.
After voir dire resumed, in response to a question whether he would have a strong
emotional reaction to videotaped evidence of the crime scene and of the victim’s
body, A.P. stated he believed he could examine such evidence without having a
strong emotional reaction to it. The court thereafter denied defense counsel’s
motion to challenge Prospective Juror A.P. for cause, and counsel used his last
peremptory challenge to strike this prospective juror.
Defendant asserts that the trial court erred in denying defendant’s motion to
excuse this prospective juror for cause, and in denying defendant’s request for
additional peremptory challenges. Defendant further contends that because the
trial court failed to conduct adequate questioning of all prospective jurors, it is
difficult to discern how many other prospective jurors should have been excused
46
for cause. Defendant notes that she exercised peremptory challenges to remove
Prospective Jurors V.E., T.B., S.S., and G.L. after each individual expressed some
hesitation concerning his or her impartiality in a child-victim murder case.
Defendant speculates that further questioning would have revealed grounds for
challenging each of these excused prospective jurors, as well as Prospective Juror
A.P., for cause. Defendant urges that she was deprived of her constitutional right
to a fair and impartial jury, because she was obliged to use, at a minimum, five
peremptory challenges to remove prospective jurors who should have been
removed for cause, and that the court’s refusal to sustain defendant’s challenge to
Prospective Juror A.P. for cause resulted in the denial of defendant’s Fifth, Sixth,
Eighth, and Fourteenth Amendment rights to a fair and impartial jury.
A defendant who claims a trial court wrongly denied a challenge for cause
must demonstrate that his or her right to a fair and impartial jury thereby was
affected, by establishing that he or she (1) was deprived of a peremptory challenge
that he or she would have employed to excuse a juror who sat on the case,
(2) exhausted all available peremptory challenges, and (3) expressed to the court
dissatisfaction with the jury selected. (People v. Crittenden (1994) 9 Cal.4th 83,
121-122; People v. Hawkins (1995) 10 Cal.4th 920, 939; People v. Horton (1995)
11 Cal.4th 1068, 1093.) Defendant has not identified any person who sat on her
jury panel whom she would have peremptorily challenged but for the circumstance
that she had used her final challenge to excuse another prospective juror.
Accordingly there was no error in failing to excuse A.P. for cause. Moreover, any
error in failing to excuse A.P. for cause would not have been prejudicial, because
there is no basis for us to conclude that the jury empanelled was anything but
impartial. (Ross v. Oklahoma (1988) 487 U.S. 81, 86-91; People v. Yeoman
(2003) 31 Cal.4th 93, 114 (Yeoman).) Finally, defendant’s claims that Prospective
Jurors V.E., T.B., S.S., and G.L. should have been excused for cause are purely
47
speculative, and there is no support in the record for defendant’s claim that further
questioning would have revealed a basis for removing any of those jurors for
cause.
Defendant claims the trial court erred in failing to grant her request for
additional peremptory challenges. The court was not required to grant such a
request absent a likelihood that defendant otherwise would receive an unfair trial
before a partial jury (People v. Pride (1992) 3 Cal.4th 195, 230), a standard not
met in the present case. As noted above, defendant has not demonstrated that the
trial court erroneously denied any challenge for cause, and no basis for reversal
has been shown. (Ibid.)
3. Denial of Request for Sequestered Voir Dire
Defendant contends that the trial court erred in failing to conduct individual
death-penalty-qualification voir dire at both the guilt phase and the second penalty
phase trial. In Hovey v. Superior Court (1980) 28 Cal.3d 1, 80, we stated that in
order to minimize the potentially prejudicial effects of voir dire conducted in open
court, in future capital cases the portion of the voir dire of each prospective juror
involving death qualification should be conducted individually and in
sequestration. Our holding in Hovey has been abrogated by Code of Civil
Procedure section 223, as added in 1990 by Proposition 115. (People v. Vieira
(2005) 35 Cal.4th 264, 288 (Vieira).) That statute provides, in pertinent part:
“Voir dire of any prospective jurors shall, where practicable, occur in the presence
of the other jurors in all criminal cases, including death penalty cases.” Because
defendant’s trial was held after section 223 of the Code of Civil Procedure was
enacted, that statute governs here.
Notwithstanding Code of Civil Procedure section 223, defendant contends
the trial court’s failure to conduct individual voir dire as enunciated in Hovey
48
violated her federal constitutional rights. We disagree. The rule in Hovey was not
constitutionally compelled. (People v. Anderson (1987) 43 Cal.3d 1104, 1135;
accord, Vieira, supra, 35 Cal.4th at p. 287.) This statute was intended to overrule
the conclusion in Hovey that individual sequestered voir dire is required during
death penalty qualification (Vieira, supra, 35 Cal.4th at p. 288; People v. Waidla
(2000) 22 Cal.4th 690, 713-714), and defendant does not cite any authority in
support of her argument that individual sequestered voir dire is constitutionally
compelled.
Defendant asserts the trial court mistakenly determined it lacked discretion
to conduct Hovey voir dire following the passage of Proposition 115. This
contention clearly is belied by the record. In denying without prejudice
defendant’s request for sequestered voir dire, the trial court observed: “[O]ne of
the principal reasons Proposition 115 passed was to eliminate — the court
overruled the requirements of the Hovey case. I recognize the court would have
discretion to have individual voir dire, but counsel hasn’t pointed out on the
Witherspoon type of voir dire any unique aspect of the case . . . that would
separate this case from any other special circumstances case insofar as individual
voir dire on death penalty qualification . . . . In your response you indicate that
even though Prop. 115 might have overruled Hovey, the court still has discretion
to allow it if there was some unique fact of this case that would separate it just
from the ordinary, if there is such a thing, capital case . . . . I’m not inclined,
unless there is some unusual circumstances, to allow Hovey voir dire.” Although
the trial court subsequently stated that Hovey voir dire is “not permissible” under
Proposition 115, the court’s earlier remarks reveal that it understood that it
retained discretion to allow sequestered voir dire in an appropriate case.
In the alternative, defendant contends the trial court abused its discretion in
the manner in which it conducted group death-penalty-qualification voir dire of
49
the prospective jurors. We disagree. A trial court has broad discretion over the
number and nature of voir dire questions concerning the death penalty. (Stitley,
supra, 35 Cal.4th at p. 540.) Defendant contends that at both trials the court’s voir
dire impermissibly was slanted toward a death-oriented jury because of a series of
questions regarding the circumstances under which prospective jurors might be
unwilling to impose the death penalty. As we previously have recognized, a trial
court should be evenhanded in questioning prospective jurors during death-penalty
qualification and should inquire into the jurors’ attitudes both in favor of and
against the death penalty. (People v. Champion (1995) 9 Cal.4th 879, 908-909.)
Nonetheless, when the trial court asks jurors only whether their views on the death
penalty would prevent their imposing a sentence of death, such questioning does
not predispose the jury in favor of imposing the death penalty. (Ibid.) Indeed, we
repeatedly have held that questions designed to ensure that a jury is death-penalty
qualified do not result in a jury that is death-penalty oriented. (People v.
Pinholster (1992) 1 Cal.4th 865, 913; People. v. Clark, supra, 50 Cal.3d at p. 597;
People v. Stankewitz (1990) 51 Cal.3d 72, 104.)16
Defendant has not established that the trial court’s questioning
impermissibly prejudiced the jury at either trial or that the court abused its
discretion in conducting group voir dire. The court clearly recognized its
obligation to comply with section 223 of the Code of Civil Procedure. Defendant
fails to convince us that the voir dire procedure followed by the trial court either at
the guilt phase or the penalty phase retrial constituted an abuse of discretion or
16
At the penalty phase retrial, although the court denied defense requests to
conduct the entire death-penalty qualification voir dire individually, it nonetheless
permitted sequestered voir dire of some of the jurors because of information they
possessed concerning the case, or for some other reason.
50
violated any provision of the federal Constitution. (People v. Avila (2006) 38
Cal.4th 491.)
4. Alleged
Cumulative
Errors
During Jury Voir Dire
Finally, defendant asserts that the trial court’s individual and cumulative
errors in conducting the voir dire compromised her right to a fair and impartial
jury. Because we have found no error in the voir dire procedures employed by the
court at the trial of either the guilt phase or the second penalty phase, defendant’s
claim of cumulative error is without merit.
C. Penalty Phase Issues
1. Failure To Substitute Counsel
Defendant contends the trial court violated her Sixth Amendment right to
counsel by denying her request for substitute counsel after her first penalty phase
trial ended in a mistrial. Defendant urges that the initial breakdown in the
attorney-client relationship when defense counsel refused to consent to
defendant’s entry of a guilty plea was exacerbated by counsel’s insistence on
presenting what defendant terms a “some-other-dude-did-it defense” despite
defendant’s refusal to testify and the absence of any independent evidence to
corroborate that theory of the crime. Defendant asserts the ongoing conflict
culminated in a complete breakdown in the attorney-client relationship after
defendant testified at the first penalty trial, allegedly while under the impression
that she was not subject to cross-examination with regard to the circumstances of
the crime.
On direct examination during her first penalty phase trial, defendant
testified concerning her background and upbringing. At defense counsel’s request,
she also read a letter she had written to Autumn Wallace, stating in part:
“Autumn, if you could hear me, please don’t turn away ‘cause I want you to know
51
that I’m sorry we took your innocent life.” Thereafter, the prosecutor began to
cross-examine defendant about the circumstances of the crime, over defense
counsel’s repeated objection. The trial court ruled that the defense had opened the
door to cross-examination concerning the details of the crime. A week later, the
first penalty phase jury informed the trial court that it was unable to reach a
verdict, and a mistrial was declared. The following day, defendant requested that
the trial court appoint substitute counsel.
At the subsequent hearing held pursuant to Marsden, supra, 2 Cal.3d 118,
defendant stated to the trial court that her attorney had “misrepresented” to her the
scope of cross-examination, and that her attorney wanted “to do things I never
wanted to do. He still goes ahead and does them.” She told the trial court that her
“main complaint” was that her attorney had informed her she would not be cross-
examined regarding the circumstances of the crime, “and I kept asking him, ‘is the
D.A. going to ask me that? Is he going to bring that up?’ and he told me he wasn’t
going to. And that’s why I went up there on the stand. But ‘cause he told me the
D.A. wasn’t going to ask me anything.” Defendant also described the larger,
central dispute between herself and her attorney — his insistence on pursuing and
presenting a defense that implicated the “other person” and her persistent refusal
to name or implicate another person in Autumn Wallace’s murder. Defendant
complained, among other things, of her attorney’s decision to call as a witness at
the second penalty phase trial Dr. Edwards, a move opposed by defendant because
she understood that Dr. Edwards planned to testify regarding defendant’s
relationship with “Beto,” while defendant was steadfast in her intention to avoid
any mention of “Beto” either as her crime partner or as the man who had raped her
as a child. In turn, Defense Counsel Monroe informed the trial court that
defendant felt counsel had “betrayed” her, and that as a result, defendant refused
to cooperate with him with respect to the pending retrial of the penalty phase.
52
The trial court conducted a diligent and in-depth inquiry into the subject of
the discussion that had taken place between defendant and her counsel prior to
defendant’s taking the stand, specifically focusing upon what counsel had told
defendant regarding cross-examination and repeatedly questioning Attorney
Monroe with regard to whether he actually told defendant she would not face
cross-examination if she testified. Counsel acknowledged that defendant’s
recollection or perception of what counsel had told her was different from his own,
but stated that although his memory was imprecise, “I did not say to her
unequivocally that I would keep [the prosecutor’s] cross-examination out. I said I
would object to it in the event — not in the event, when he did attempt to get into
it.”
Defense counsel also told the trial court that counsel had attempted to avoid
questioning defendant regarding the circumstances of the crime, but acknowledged
having asked defendant to make a statement of remorse to Linda Wallace which
subsequently was determined by the trial court to have opened the door to the
prosecutor’s cross-examination. Defense counsel acknowledged having reviewed
defendant’s letters to Autumn and Linda Wallace, repeatedly having discussed
with defendant the importance of her testimony, and having told her that, should
the prosecutor seek to cross-examine her, counsel would object. “How Rosie
perceived that, I can’t say; or how she interpreted it, I can’t say.”
The trial court stated with regard to the comment defendant directed to
Autumn Wallace, “I’m sorry we took your innocent life,” that in its view “under
any reasonable interpretation of evidence that anybody is going to be able to cross-
examine about what she meant by that. So I’m puzzled as to what kind of advice
you gave her about that.” Defense counsel admitted he had not provided any
advice as to the significance of the comment insofar as it might determine the
scope of the prosecution’s cross-examination. Defense counsel denied, however,
53
having advised defendant that she would not be cross-examined, and reiterated he
had informed defendant he would object in the event the prosecutor attempted to
cross-examine her regarding the circumstances of the crime. Defense counsel also
agreed with the trial court’s statement that after the jury had seen defendant’s
videotaped confession, “if [defendant] didn’t testify, she didn’t have much of a
chance to save her life.”
Counsel expressed frustration at defendant’s continued refusal to cooperate,
especially her refusal to identify the second man. Counsel noted that “Rosie sent
us on any number of wild-goose chases before we finally nailed this Beto
character down.” In particular, counsel expressed concern that “if [defendant] is
going to refuse to see me in the jail or cooperate with me, do I end up with a
conflict so I can’t do the damn job for her?” Thus, counsel, although denying that
he had performed incompetently, himself was concerned that defendant’s stated
refusal to cooperate would compromise his continuing efforts to provide a defense.
The trial court observed that the “alleged betrayal” with respect to the
possible scope of cross-examination was not raised by defendant on the day she
testified. When questioned about the delay, defendant told the trial court: “I
didn’t really know what I was supposed to do to bring it up. I had to ask one of
the girls in the jail and they kind of told me what — that I could talk and say
anything I want whenever I wanted too [sic] . . . so I didn’t know I could have
brought it up at that point. I didn’t know that at the time.”
Ultimately, the trial court found that defendant’s request for substitute
counsel was untimely, having been made on the morning of the day the court had
scheduled a hearing to set a date for retrial. Substantively, the court found that
although defense counsel did not specifically tell defendant she would not be
subject to cross-examination, she misunderstood his explanation regarding the
scope of cross-examination and was under the impression she could read a letter to
54
Autumn without being cross-examined regarding the circumstances of the crime.
The court also explained that even if defendant did not understand the nature of
cross-examination before her trial began, she should have acquired an
understanding, after observing the direct testimony and cross-examination of
numerous witnesses, that her statement in the letter — declaring that she was
“sorry we took your innocent life” — would subject her to cross-examination
regarding the circumstances of the victim’s death.
The trial court also found that counsel had not committed any misconduct,
and had not demonstrated incompetence, by aggressively pursuing a defense
theory that minimized defendant’s role in the murder. The trial court noted that if
another attorney were appointed to replace Monroe, such an attorney invariably
would pursue the same defense strategy because, in light of defendant’s
videotaped confession, a defense that would attempt to lessen defendant’s
culpability for the murder of Autumn Wallace by placing shared responsibility for
the crime on the second man would provide significant mitigating evidence.
The trial court explained in sum that although defendant and her counsel
consistently disagreed regarding tactics, and defendant threatened to withhold all
cooperation from defense counsel, there had been no showing that counsel’s
continued representation of defendant at the second penalty trial would
substantially impair or deny defendant’s fundamental rights. As a result, the trial
court stated, defendant’s refusal to cooperate with her counsel during the penalty
phase retrial would be at her own “peril.”
We find no error in the trial court’s ruling. As we have stated, “a Marsden
hearing is not a full-blown adversarial proceeding, but an informal hearing in
which the court ascertains the nature of the defendant’s allegations regarding the
defects in counsel’s representation and decides whether the allegations have
sufficient substance to warrant counsel’s replacement.” (People v. Hines (1997)
55
15 Cal.4th 997, 1025.) The trial court afforded defendant ample opportunity to set
forth her complaints regarding counsel’s representation, and after hearing
defendant’s complaints the trial court allowed counsel to respond. The trial court
was not required to do more.
Defendant complained primarily of defense counsel’s (1) insistence on
pursuing a defense that would attempt to temper defendant’s culpability for the
murder of Autumn Wallace by placing shared responsibility for the crime on the
second man, “Beto,” and (2) defense counsel’s allegedly inaccurate advice
regarding the scope of the cross-examination to which defendant would be
subjected. The complaints regarding Monroe’s defense strategy were essentially
tactical disagreements, which do not by themselves constitute an “irreconcilable
conflict.” (Cole, supra, 33 Cal.4th at p. 1190; Welch, supra, 20 Cal.4th a 728-
729.) As noted above with regard to the alleged conflict between defendant and
counsel regarding entry of a guilty plea, a disagreement of this nature, by itself, is
insufficient to compel discharge of appointed counsel. (See Smith, supra, 30
Cal.4th 581, 606.)
“When a defendant chooses to be represented by professional counsel, that
counsel is ‘captain of the ship’ and can make all but a few fundamental decisions
for the defendant.” (People v. Carpenter (1997) 15 Cal.4th 312, 376.) The record
does not establish that Attorney Monroe was incompetent or that he would not
provide adequate representation during the forthcoming retrial, assuming he
received defendant’s cooperation. (Cole, supra, 33 Cal.4th at p 1190, citing
Michaels, supra, 28 Cal.4th at p. 523.) To the contrary, the record reveals that
defense counsel vigorously and conscientiously pursued a defense designed to
temper defendant’s culpability, based upon the version of events conveyed by
defendant both to counsel and to the expert witness Dr. Edwards. The
circumstance that defendant refused to assist counsel in presenting that version of
56
events to the jury, assertedly because she feared the consequences of her
identification of the second man, does not suggest that counsel rendered
ineffective assistance. Although defendant’s apparent feeling of “betrayal”
regarding her cross-examination may have strained the relationship between
defendant and her counsel, the trial court properly found that defendant
misunderstood her attorney’s advice, and this misunderstanding, although
unfortunate, did not justify defense counsel’s discharge.
2. Denial of Motion for Change of Venue for Penalty Retrial
Defendant contends the jurors who sat on the penalty phase retrial were
exposed to extensive inflammatory pretrial publicity. The trial court denied
defendant’s request for a change of venue, concluding the publicity was unlikely
to have an impact on defendant’s ability to select a fair and impartial jury.
Defendant contends the trial court’s denial of her request violated her Fifth and
Fourteenth Amendment rights to a fair trial and due process of law, her Sixth
Amendment right to a fair and impartial jury, and her Eighth Amendment right to
a reliable, rational, and accurate determination of the appropriate punishment. We
disagree.
“ ‘A change of venue must be granted when the defendant shows a
reasonable likelihood that in the absence of such relief, a fair trial cannot be had.
“Whether raised on petition for writ of mandate or on appeal from a judgment of
conviction, ‘the reviewing court must independently examine the record and
determine de novo whether a fair trial is or was obtainable.’ ” [Citation.] “The de
novo standard of review applies to our consideration of the five relevant factors:
(1) nature and gravity of the offense; (2) nature and extent of the media coverage;
(3) size of the community; (4) community status of the defendant; and
57
(5) prominence of the victim.” [Citation.]’ ” (People v. Panah (2005) 35 Cal.4th
395, 447 (Panah), quoting People v. Sully (1991) 53 Cal.3d 1195, 1236-1237.)17
Defendant cites numerous newspaper articles published after her arrest and
during the course of her trial, following conviction, and after the first penalty
phase ending in a mistrial. The news articles reported that defendant had
confessed to killing the victim in order to “keep from being caught” for stealing
items from the house and that she had been “wired” on drugs during the crime. In
one news article, defendant was described as a drug-addicted prostitute who
resided in Anaheim’s Hispanic “barrio,” and the victim as a “popular” White
“A-student,” nine years of age, who was at home wearing a pink polka dot dress
and cutting out paper dolls when defendant stabbed her 57 times. Several news
articles contained statements by the victim’s mother indicating that she was not
convinced by defendant’s expression of remorse, supported imposition of the
death penalty because defendant “deserved to die,” and hoped the second penalty
phase jury was “not so indecisive.”
As a threshold matter, defendant’s claims are undermined by her failure to
exercise all of her available peremptory challenges. “In the absence of some
explanation for counsel’s failure to utilize his remaining peremptory challenges, or
any objection to the jury as finally composed, we conclude that counsel’s inaction
17
In evaluating the propriety of the trial court’s denial of the requested
change of venue, we consider the timing of defendant’s motion, which was made
before the penalty phase retrial, after a prior jury had determined defendant’s
guilt and made special circumstances findings. As the trial court properly
recognized, the guilt and special circumstances issues were not before the penalty
jury, and the sole consideration before the trial court was whether the publicity
preceding the penalty retrial had predisposed potential jurors toward choosing a
death sentence over a sentence of life imprisonment without possibility of parole.
58
signifies his recognition that the jury as selected was fair and impartial.” (People
v. Daniels (1991) 52 Cal.3d 815, 854 (Daniels).)
Defendant’s claim also fails on the merits. The first factor we consider in
determining whether error occurred in the trial court’s denial of a motion for
change of venue, the nature and gravity of the offense, might weigh in favor of
granting the motion. This factor alone is not dispositive, however. (Panah, supra,
35 Cal.4th at p. 449; People v. Weaver (2001) 26 Cal.4th 876, 905 (Weaver).)
With regard to the second factor, the pretrial publicity in this case was neither
extensive nor prejudicial. In her motion, defendant cited 20 newspaper articles
concerning her case that appeared between July 1990 and April 1992. Twenty
articles during a 22-month period cannot be considered “extensive” coverage.
(Panah, supra, at p. 448 [18 articles over 12-month period not “extensive”].) Nor
were the articles particularly prejudicial. Certain of the articles were news stories
that variously reported the circumstances of defendant’s arrest and the victim’s
death, and others reported developments as the case proceeded through the guilt
phase and the first penalty trial. Although the articles recounted the disturbing
circumstances of the crime and described the victim’s mother’s grief and desire
that the defendant receive the death penalty, the coverage was not biased or
inflammatory. (Ibid. [articles describing the circumstances of the child’s murder
and grief of the victim’s family were not biased or inflammatory].) Moreover,
defendant’s trial did not commence until February of 1992, more than 18 months
after publication of many of the articles. Any potential prejudice arising from
those articles was attenuated by the passage of time. (Welch, supra, 20 Cal.4th at
p. 744.) The two articles that were published, respectively, six and four weeks
prior to trial, quoting the victim’s mother as supporting imposition of the death
penalty, were neither biased nor inflammatory.
59
Moreover, “the fact that prospective jurors may have been exposed to
pretrial publicity about the case does not necessarily require a change of venue.”
(Panah, supra, 35 Cal.4th at p. 448.) “ ‘ “It is sufficient if the juror can lay aside
his impression or opinion and render a verdict based on the evidence presented in
court.” ’ ” (Ibid., quoting Chadd, supra, 28 Cal.3d at p. 750.) All of the jurors
and alternates who had prior knowledge of the case stated they were capable of
setting aside that knowledge and deciding the case based on the law and the
evidence presented at trial.
None of the remaining relevant factors support a change of venue in the
present case. Defendant’s trial was held in Orange County, which, as we
previously have observed, is one of the largest counties in population not only in
the State of California, but in the entire United States. (People v. Edwards (1991)
54 Cal.3d 787, 807; People v. Douglas (1990) 50 Cal.3d 468, 495.) Accordingly,
the size of the community does not support a change of venue. (People v. Staten
(2000) 24 Cal.4th 434, 449.) Moreover, neither defendant nor the victim occupied
positions of prominence and popularity. Autumn Wallace became known
following her murder, but otherwise was not prominent as an individual or as a
member of a well-known family. (Panah, supra, 35 Cal.4th at p. 449; Daniels,
supra, 52 Cal.3d at p. 852.) Although the articles describe Autumn as “popular”
and “well-liked,” these assessments were made by the limited audience of her
grade school peers and her teachers at the school she attended. Moreover, nothing
in the record suggests that Linda Wallace’s status as an employee of the Orange
County Superior Court had any effect on members of the jury pool. (Panah,
supra, 35 Cal.4th at p. 449; Weaver, supra, 26 Cal.4th at p. 906.) Although
defendant urges that the pretrial publicity emphasized her status as a Hispanic,
drug-addicted prostitute who had failed to integrate into Anaheim’s middle class,
“ ‘there was no evidence of unusual local hostility to such persons, such that a
60
change of venue would likely produce a less biased panel. Nor was the pretrial
publicity calculated to excite local prejudices in this regard.’ ” (Panah, supra, at
p. 449, quoting People v. Balderas (1985) 41 Cal.3d 144, 179; cf. People v.
Williams (1989) 48 Cal.3d 1112, 1129 [pretrial publicity focused on the
defendant’s race and status as an outsider to the community, in contrast with the
victim’s ties to the community].)
3. The
Prosecution’s
Examination
of Defense Expert Witnesses
Defendant contends the trial court committed reversible error by permitting
the prosecutor to cross-examine two defense expert witnesses based on the rough
notes and data prepared by a third expert, and by allowing the prosecutor to call
that third expert, a defense consulting psychologist, to testify as a “rebuttal”
witness. We find no error.
At the penalty phase retrial, defense counsel called expert witnesses Dr.
Armando Morales and Dr. Consuelo Edwards, who testified regarding defendant’s
sociological and psychiatric condition at the time of the offenses and at the time of
trial. Both experts testified that they had been provided raw data and rough notes
prepared by psychologist Martha Rogers, reflecting her administration of the
Minnesota Multiphasic Personality Inventory (MMPI) to defendant.18 Dr. Rogers
did not prepare a report analyzing the MMPI data and was not called as a defense
witness at trial, but furnished her raw data and notes to defense counsel, who then
provided the data and notes to Morales and Edwards. On one page of the report,
Rogers had written the phrase “probable fake bad.”
18
Rogers testified that the MMPI is “a 567 item true-false-type instrument
for measuring personality functioning. It’s used with psychiatric patients . . . .
But it’s basically used to measure overall personality functioning.”
61
Dr. Morales, in response to questions on cross-examination regarding Dr.
Rogers’s notes, testified that the MMPI notes containing raw data “made no sense
to him because he was not a licensed psychologist.” In response to questioning
regarding the meaning of the phrase “probable fake bad,” Morales testified that he
was not familiar with the term and that he had not contacted Rogers to inquire into
its meaning. Similarly, during cross-examination, the prosecution asked Dr.
Edwards whether she had examined Rogers’s MMPI data and notes. Edwards
testified that she reviewed the psychological reports only long enough to ascertain
that the reports were raw data, and that she does not rely on another professional’s
“raw data” when making evaluations if no report analyzing that data has been
prepared. In response to the prosecution’s inquiry regarding the meaning of the
phrase “probable fake bad,” Edwards testified that the phrase had multiple
meanings, and that malingering was not the only possibility. Edwards also
testified that she did not attempt to contact Rogers.
After the defense rested, the prosecution called Dr. Rogers to testify as a
rebuttal witness and questioned her regarding the meaning of the phrase “probable
fake bad.” Rogers testified that her assistant had administered an MMPI to
defendant in October 1990, and that Rogers had reviewed the test and made some
notations, including writing the term “probable fake bad.” Rogers explained that
the term “may mean one of several things. What it always means is that probably
the person has over responded in some way. There may have been some
exaggeration or overstatement of whatever this person’s current psychiatric
condition is.” Rogers also testified that the term would be “one thing you would
consider” when considering the possibility of malingering. Defense counsel did
not cross-examine Rogers.
In closing argument, the prosecution emphasized Rogers’s notation,
observed that the defense experts had not wanted to consider the data, and stated
62
with reference to this information that defendant controls the defense and “chooses
to fabricate, fake, embellish and create.”
Defendant asserts the trial court erred in permitting the prosecutor to cross-
examine Drs. Morales and Edwards regarding the “probable fake bad” notation,
because both experts testified they had not relied upon the MMPI data in forming
their conclusions, and their testimony regarding the raw data therefore was
irrelevant. Defendant further contends that Dr. Rogers’s preliminary test scores
and notations constituted inadmissible hearsay. Defendant urges that the
prejudicial nature of the data and the notation outweighs their probative value as a
basis for expert opinion, and accordingly the evidence should have been excluded
altogether.
The Attorney General contends that defendant has forfeited the issue,
because defense counsel failed to object to each prosecutorial question regarding
the MMPI. We find no forfeiture. Defense counsel repeatedly objected to the
prosecution’s questions regarding the MMPI and the “probable fake bad” notation
during the questioning of both Dr. Morales and Dr. Edwards, variously contending
that the questioning was irrelevant, argumentative, and beyond the scope of the
direct examination. The trial court overruled all those objections. The issue was
not forfeited by counsel’s failure to object to each and every question posed on the
issue of the MMPI, because it is clear that further objections would have been
unsuccessful.
On the merits of the claim, we conclude the trial court did not abuse its
discretion in permitting the prosecution to cross-examine Dr. Morales and Dr.
Edwards regarding their evaluation of the MMPI raw data and Dr. Rogers’s
notations, including the term “probable fake bad.” First, the line of questioning
was not irrelevant. Although both experts testified they had not utilized the MMPI
results in evaluating defendant’s sociological and psychological state of mind,
63
both acknowledged having reviewed the raw data and notations before concluding
the information was of no use to them. “A party ‘may cross-examine an expert
witness more extensively and searchingly than a lay witness, and the prosecution
was entitled to attempt to discredit the expert’s opinion. [Citation.] In cross-
examining a psychiatric expert witness, the prosecutor’s good faith questions are
proper even when they are, of necessity, based on facts not in evidence.
[Citation.]’ ” (People v. Wilson (2005) 36 Cal.4th 309, 358, quoting People v.
Dennis (1998) 17 Cal.4th 468, 519.) Here, the trial court properly allowed the
prosecutor to inquire as to both experts’ reasons for disregarding the MMPI data
as well as Rogers’s “probable fake bad” notation.
The trial court also did not abuse its discretion in allowing the prosecution
to call Dr. Rogers in rebuttal and to question her regarding the meaning of the
phrase “probable fake bad.” Both Dr. Morales and Dr. Edwards testified that they
reviewed the raw data and rough notes prepared by Rogers, but that they either did
not understand the data and notes, in the case of Morales, or understood but
disregarded them as meaningless, in the case of Edwards. Because the defense
expert witnesses questioned the relevance and usefulness of the psychological
testing notes they reviewed, the prosecution was entitled to question Rogers
concerning the circumstances surrounding the testing, including the various
meanings of the term “probable fake bad.” (People v. Cooper (1991) 53 Cal.3d
771, 824.)
Even if the court had erred in allowing the prosecution to present evidence
of the “probable fake bad” notation for the truth of the matter asserted (that is, to
establish that defendant was malingering), any such error would not have been
prejudicial. The court stated on three occasions that the evidence was being
received only for the purpose of indicating the basis for the witness’s opinion.
Moreover, the testimony regarding the MMPI was relatively brief, as was the
64
prosecution’s mention of the issue during closing argument. Dr. Morales testified
he did not understand the data and was not qualified to interpret MMPI tests.
Nothing in his testimony would lead the jury to find that Dr. Rogers’s notation
was conclusive evidence of defendant’s malingering. Similarly, although Dr.
Edwards testified regarding her understanding of the meaning of “probable fake
bad” and acknowledged that in some circumstances the phrase could indicate
malingering, she also testified that there were many other meanings for the phrase,
and that it was meaningless to her and of no use in her evaluation because the
notation was raw data and was unaccompanied by a psychologist’s report. In
addition, Rogers testified that the phrase “probable fake bad” had multiple
meanings other than that defendant was malingering. Moreover, in closing
argument, defense counsel again told the jury that the term “probable fake bad”
was meaningless because it was being discussed out of context and should be
disregarded.
Additionally, the jury was given a limiting instruction ― prior to Dr.
Morales’s testimony, again during his testimony, and a third time in the final
instructions ― informing them that the statements made by an expert in the course
of examining defendant could be considered only for the limited purpose of
disclosing the information upon which the expert based his or her opinion, and that
such statements were not to be considered as evidence of the truth of the facts
related in the expert’s testimony. We presume the jury followed these
instructions, and defendant has not rebutted this presumption. (People v. Boyette
(2002) 29 Cal.4th 381, 453.)
We also reject defendant’s assertion that it was error to admit testimony
concerning the “probable fake bad” notation because this evidence was more
prejudicial than probative. All three defense experts testified that the phrase
“probable fake bad” had multiple meanings aside from a conclusion that a
65
defendant was malingering. Additionally, as noted, the jury was instructed that
this testimony should not be considered as evidence of the truth of the facts
discussed in the expert’s testimony. In view of the inconclusive nature of the
expert’s testimony regarding the meaning of the phrase, and the limiting
instruction given to the jury, this testimony, even if it had been admitted in error,
would not have been prejudicial. There is no reasonable likelihood that the
testimony in question influenced the jury’s verdict or that the outcome of the case
would have been different had the court limited the scope of Dr. Rogers’s
testimony or Drs. Morales’s and Edwards’s cross-examination. (Brown, supra, 46
Cal.3d at p. 448.)
4. Admission
of
Evidence
of Juvenile Misconduct
Defendant contends the trial court erred in overruling defendant’s
objections to certain aspects of the prosecution’s cross-examination of Dr.
Morales, during which Morales was asked a series of questions regarding his
conclusion that defendant did not suffer from antisocial personality disorder.19
During questioning, Morales briefly and generally described defendant’s juvenile
history of petty theft and fighting, to which he also had alluded on direct
examination in referring to defendant’s history of “stealing, lying, burglary, [and]
running away.” Defendant contends the questioning of Morales regarding
defendant’s prior acts of misconduct “raised the specter that Ms. Alfaro had a
history of bad conduct relevant to the jury’s determination as to whether she
should live the rest of her life out in prison or be sentenced to die.”
19
Prior to her commission of the present offenses, defendant had no record
of criminal activity involving the use or attempted use of force or violence or the
express or implied threat to use force or violence.
66
Although defense counsel objected several times during the prosecution’s
examination on the grounds that the questions were argumentative, vague and
ambiguous, or assumed facts not in evidence, none of the defense objections
asserted that the prosecution improperly introduced evidence of defendant’s prior
misconduct. Accordingly, the issue has been forfeited. (Evid. Code, § 353, subd.
(a); People v. Alvarez, supra, 14 Cal.4th at p. 186.)
Even if the issue had been preserved for review on appeal, we would
conclude that defendant’s claim is without merit. During its closing argument, the
prosecution told the jury that the statutory aggravating factors relating to prior
felony convictions and prior violent conduct were inapplicable in this case.
Additionally, the trial court specifically instructed the jury to disregard any
evidence of defendant’s prior misconduct when considering aggravating
circumstances. Again, we presume the jury followed these instructions, and
defendant has not demonstrated otherwise. (People v. Boyette, supra, 29 Cal.4th
at p. 436.)
5. Prosecutorial Misconduct
Defendant raises numerous claims of prosecutorial misconduct relating to
the retrial of the penalty phase. She contends the prosecutor committed prejudicial
misconduct by (1) eliciting evidence of defendant’s juvenile misconduct through
the reference in the direct examination of investigator Tom Giffin to the term “Cal.
I.D. hit” as it related to his arrest of defendant; (2) eliciting evidence of
defendant’s juvenile misconduct during the cross-examination of Morales;
(3) eliciting evidence that defendant was a “bad mother” by questioning Morales
regarding his awareness that defendant allowed “ex-cons” to babysit her children;
(4) asserting during closing argument that defendant lacked remorse for her
crimes; (5) soliciting evidence of intent to kill during redirect examination of the
67
coroner; (6) denigrating defense expert witnesses Dr. Consuelo Edwards and Marc
Taylor, and insinuating that defendant’s third-party-involvement defense was
created only after she acquired a defense team; (7) mischaracterizing the law in a
remark to a prospective juror during voir dire; (8) mischaracterizing the law with
regard to defendant’s burden of proof; and (9) inflaming the jury’s passions during
closing argument.
A prosecutor who uses deceptive or reprehensible methods to persuade the
jury commits misconduct, and such actions require reversal under the federal
Constitution when they infect the trial with such “ ‘unfairness as to make the
resulting conviction a denial of due process.’ ” (Darden v. Wainwright (1986) 477
U.S. 168, 181; People v. Cash (2002) 28 Cal.4th 703, 733.) Under state law, a
prosecutor who uses such methods commits misconduct even when those actions
do not result in a fundamentally unfair trial. (People v. Frye (1998) 18 Cal.4th
894, 969.) In order to preserve a claim of misconduct, a defendant must make a
timely objection and request an admonition; only if an admonition would not have
cured the harm is the claim of misconduct preserved for review. (People v. Earp
(1999) 20 Cal.4th 826, 858.)
With regard to defendant’s contentions concerning the prosecution’s cross-
examination of Dr. Morales, and the alleged denigration of Dr. Edwards, it is not
misconduct to question a defense expert’s veracity. (People v. Clark (1993) 5
Cal.4th 950, 1017 (Clark).) Even if the prosecution’s questions and comments
suggesting that the defense experts were deceitful and that defendant had been
coached to provide a false story that she had been raped as child were improper,
they were not so deceptive or reprehensible as to render defendant’s penalty phase
retrial a denial of due process. In any event, the trial court sustained defendant’s
objections to both lines of questioning, thereby limiting the possible prejudicial
effect of the prosecutor’s questions and comments.
68
As to defendant’s remaining claims of misconduct, she made no objection
and sought no curative admonition at trial, and accordingly has forfeited each of
these claims. (People v. Crew (2003) 31 Cal.4th 822, 839; People v. Cunningham
(2001) 25 Cal.4th 926, 1001.) Even had defendant objected at trial and thus
preserved the remaining claims for review on appeal, they provide no basis for
reversal. The prosecution’s inquiry concerning the meaning of “Cal. I.D. hit” was
logical and appropriate, because it was unlikely any juror would have been
familiar with the term.20 Giffin did not refer to defendant’s arrest record, and the
prosecution did not attempt to elicit such information.
The prosecution’s cross-examination similarly was proper. During his
testimony on direct examination, Dr. Morales referred to defendant’s acts of
misconduct, and the prosecution’s related questions constituted permissible
impeachment of Morales’s testimony that defendant was not malingering and did
not suffer from antisocial personality disorder. The prosecution’s comment during
closing argument concerning defendant’s lack of remorse, made in the context of
reviewing possible mitigating factors, was proper. (People v. Williams (1997) 16
Cal.4th 153, 254.) Likewise, the inquiry made of the coroner regarding
defendant’s intent to kill was not improper, and even if it had been improper, it
would have been harmless because the guilt phase jury already had determined
that defendant was guilty of killing the victim, and defendant in her videotaped
20
Giffin testified that he had obtained a “Cal. I.D. hit” on a fingerprint lifted
from the bathroom where the victim was murdered. The prosecution questioned
Giffin regarding the meaning of this term. In response, Giffin explained that it
referred to “a computerized fingerprint system in the State of California that has
in its data base people that have been arrested in the State of California. And
when an unknown fingerprint is entered into the base, it compares the points of
identification with the known fingerprints in the data base, and it puts out a list of
potential matches.”
69
confession (viewed by the jury) had told the police she intended that fatal result.
The prosecution’s questions regarding criminalist Marc Taylor’s qualifications and
testing methods were permissible — as noted above, it is not misconduct to
question a defense expert’s veracity. (Clark, supra, 5 Cal.4th at p. 1017.) The
reference to defendant’s third party involvement defense having arisen only after a
defense team was assembled constituted a fair comment on the evidence in view
of the circumstance that, during the course of defendant’s four-hour videotaped
confession, she repeatedly rejected the contention that a third party participated in
the murder. In closing argument, the prosecution expressly informed the jury that
the People bore the burden of proof in the case, thus belying defendant’s
contention that the opposite message was conveyed. Finally, the prosecution’s
reference during closing argument to “every parent’s nightmare,” and the display
of the crime-scene photograph of Autumn Wallace’s body, were not improper.
The prosecutor was entitled to comment upon the gravity of the offense, and the
argument was fair and legitimate. (People v. Sanders (1995) 11 Cal.4th 475, 551.)
Defendant contends that cumulative prejudice resulted from a pervasive
pattern of misconduct by the prosecution and that such misconduct rendered
defendant’s penalty phase trial fundamentally unfair, requiring reversal of the
penalty judgment. Having rejected each of defendant’s claims of misconduct, we
reject her claim that she was prejudiced by the cumulative impact of the alleged
misconduct.
6. Constitutionality of California’s Death Penalty Statute
Defendant raises numerous constitutional challenges to California’s death
penalty statute, claims we consistently have rejected and find no persuasive reason
to reexamine.
70
We repeatedly have rejected the contention that California’s 1978 death
penalty statute unconstitutionally fails to narrow in a meaningful manner the class
of death-penalty-eligible defendants, and we have concluded that section 190.2
adequately narrows the class of murders for which the death penalty may be
imposed. (People v. Snow (2003) 30 Cal.4th 43, 125; People v. Frye, supra, 18
Cal.4th at p. 1029.) We also have rejected claims that the death penalty statute
unconstitutionally grants unfettered discretion to prosecuting officials to decide
whether to charge eligible defendants with a capital offense, thereby resulting in
disparate imposition of the death penalty throughout the state. (Vieira, supra, 35
Cal.4th at p. 366; People v. Lucas (1995) 12 Cal.4th 415, 477.)
Defendant contends section 190.3, factor (a) is unconstitutional as applied,
because it is susceptible of “arbitrary, wanton and freakish” application. We
repeatedly have held that consideration of the circumstances of the crime under
section 190.3, factor (a) does not result in arbitrary or capricious imposition of the
death penalty. (People v. Harris (2005) 37 Cal.4th 310, 365; People v. Brown
(2004) 33 Cal.4th 382, 401 (Brown).) As in Brown, defendant argues that a
seemingly inconsistent range of circumstances can be collected from decisions
upholding imposition of the death penalty. As we observed in Brown, however,
“[w]hat this reflects is that each case is judged on its facts, each defendant on the
particulars of his offense. Contrary to defendant’s position, a statutory scheme
would violate constitutional limits if it did not allow such individualized
assessment of the crimes but instead mandated death in specified circumstances.”
(Brown, supra, at p. 401.) We also have rejected defendant’s contention that the
court must specify which factors under section 190.3 apply in aggravation and
which in mitigation. (People v. Osband (1996) 14 Cal.4th 622, 694; People v.
Espinoza (1992) 3 Cal.4th 806, 827.)
71
Defendant asserts that factor (d) (“extreme mental or emotional
disturbance”) within the list of mitigating factors under section 190.3 (and in
CALJIC No. 8.85; see also Judicial Council of Cal., Crim. Jury Instns. (2006-
2007) CALCRIM No. 763) unconstitutionally precludes the jury from considering
mental or emotional disturbance that is less than “extreme” in mitigation of
penalty. We repeatedly have rejected this contention, explaining that section
190.3, factor (k), the so-called catchall provision, is the statutory factor under
which “ ‘ “consideration of nonextreme mental or emotional conditions:” ’ ”
clearly is permitted. (Stanley, supra, 39 Cal.4th at p. 963; People v. Nicolaus
(1991) 54 Cal.3d 551, 586.)
Defendant contends the death penalty law is unconstitutional in failing to
require that the jury be instructed on certain burdens and standards of proof as to
aggravating and mitigating evidence. It is settled, however, that California’s death
penalty law is not unconstitutional in failing to impose a burden of proof —
whether beyond a reasonable doubt or by a preponderance of the evidence — as to
the existence of aggravating circumstances, the comparative weight of aggravating
and mitigating circumstances, or the appropriateness of a sentence of death.
(Stanley, supra, 39 Cal.4th at p. 963; Brown, supra, 33 Cal.4th at p. 401; People
v. Lenart (2004) 32 Cal.4th 1107, 1136; People v. Hillhouse (2002) 27 Cal.4th
469, 510-511.)
Defendant’s remaining contentions all are without merit. The jury need not
determine the existence or nonexistence of every aggravating factor set out in
section 190.3 before returning a verdict of death (People v. Cook (2006) 39
Cal.4th 566, 603; People v. Prieto (2003) 30 Cal.4th 226, 262-263), and need not
prepare written findings identifying the aggravating factors upon which it relied
(People v. Jurado (2006) 38 Cal.4th 72, 144; Yeoman, supra, 31 Cal.4th at p. 165).
Finally, there was no error in failing to inform the jury that it had the discretion to
72
decline to impose the death penalty even if it found no evidence in mitigation.
(Cook, supra, 39 Cal.4th at p. 603.)
7. Violations of International Law
Defendant contends she was denied the “right to a fair trial by an
independent tribunal and the right to protection against the arbitrary deprivation of
life and the discriminatory application of a state’s criminal laws” established by
customary international law and the Universal Declaration of Human Rights, the
International Covenant on Civil and Political Rights, and the American
Declaration of the Rights and Duties of Man. We assume, without deciding, that
defendant has standing to invoke provisions of the international charters and
agreements upon which she relies. (See Sanchez-Llamas v. Oregon (2006) 548
U.S. ___ [126 S.Ct. 2669]; Breard v. Greene (1998) 523 U.S. 371, 377.)
Defendant’s claim lacks merit, because she was not denied a fair trial or subjected
to racial discrimination. “ ‘ “International law does not prohibit a sentence of
death rendered in accordance with state and federal constitutional and statutory
requirements.” ’ ” (People v. Cornwell (2005) 37 Cal.4th 50, 106; People v.
Harris, supra, 37 Cal.4th at p. 366.)
8. Denial of Automatic Application for Modification of the Death
Verdict
Section 190.4 provides for an automatic motion to modify the jury’s death
verdict. Pursuant to this statute, the trial court rules on the motion after
independently reweighing the evidence supporting the aggravating and mitigating
factors (§ 190.3) and determining whether in the court’s independent judgment
this evidence supports the death verdict. (People v. Steele (2002) 27 Cal.4th 1230,
1267.) This court then independently reviews the trial court’s ruling in light of the
record, “but we do not determine the penalty de novo.” (Ibid.)
73
Defendant contends the trial court improperly failed to consider as
mitigating factors the absence of criminal activity involving the attempted use of
force or violence (§ 190.3, factor (b)) and the absence of any prior felony
conviction (§ 190.3, factor (c)). Although the trial court recognized that the
aggravating factors of prior felonies and violent criminal activity were not present,
defendant urges that the court should have gone further and considered the
absence of prior felonies or violent criminal activity as factors in mitigation.
Defendant further contends the trial court improperly discounted or ignored
defendant’s youth and troubled background, her intoxication at the time of the
murder, her mental disabilities, and the evidence suggesting that she acted under
the substantial domination of another person in committing the murder. Defendant
urges that each of these circumstances was mitigating and that the trial court
therefore improperly failed to modify the jury’s death verdict to life imprisonment
without the possibility of parole.
In denying the automatic motion for modification of the verdict, the trial
court considered each factor set forth in section 190.3, finding that neither factor
(b) nor (c) was present. The trial court further found that, although some evidence
indicated that defendant committed the offense while under the influence of
extreme mental or emotional disturbance (§ 190.3, factor (d)), the evidence was
“insubstantial to justify a finding that this factor is present.”
With regard to section 190.3, factor (g), whether defendant acted under
extreme duress or under the substantial domination of another person, the court
acknowledged that the jury had heard evidence that defendant committed the
murder under the substantial domination of the second man. After observing that
defendant had multiple opportunities to implicate another person during the course
of her confession to Investigator Giffin, but failed to do so until she was
represented by counsel, and noting the utter lack of physical evidence to support
74
the presence or participation of another person in the murder, the court concluded
that “the evidence is grossly insufficient to even raise [the participation of another
person in the murder] as a strong inference in this case, especially when you
consider the numerous opportunities Mr. Giffin gave [defendant] on the
videotape.”
With regard to section 190.3, factor (i), the age of the defendant at the time
of the crime, the court acknowledged that the circumstance that the defendant was
18 years of age when she committed the crime might be a mitigating factor, but
concluded that nonetheless there was no mitigation in this case because “you have
to put the age in context of what her background shows.” The court observed that
defendant was a high school dropout who had been on the streets and involved
with the drug culture for a substantial period of time. The court concluded that in
a “streetwise” sense, defendant was “more mature” than her age would indicate.
Finally, with regard to section 190.3, factor (k), concerning extenuating
circumstances of the crime, the trial court considered defendant’s disadvantaged
background, her early involvement with drugs, and her troubled relationships with
her own father and with the fathers of her own children. The court found no
mitigation, however, because although defendant was a young mother, she “chose
to use drugs. She chose to engage in acts of prostitution on the streets. She chose
to hang out in the area . . . where . . . the drug culture is involved.” Ultimately, the
trial court concluded that defendant’s background had no substantial weight,
because defendant’s drug and prostitution history were products of her own free
will.
In reviewing the circumstances of the crime, the court remarked that the
murder of Autumn Wallace was “one of the most senseless, brutal, vicious, callous
killings that this court has ever seen.” The court concluded that not having found
the presence of any mitigating factors, the “circumstances of the crime itself
75
standing alone far outweigh any mitigating circumstances, if there are any, that are
presented in this case.”
In ruling upon a motion to modify, “ ‘[t]he trial judge’s function is not to
make an independent and de novo penalty determination, but rather to
independently reweigh the evidence of aggravating and mitigating circumstances
and then to determine whether in the judge’s independent judgment, the weight of
the evidence supports the jury verdict. [Citations.]’ ” (People v. Guerra (2006)
37 Cal.4th 1067, 1161, italics omitted.) The trial court is not required to find that
evidence offered in mitigation does in fact mitigate. (People v. Scott (1997) 15
Cal.4th 1188, 1222.)
In the present case, the record indicates the trial court considered all of the
evidence offered in aggravation and mitigation. The court noted the evidence of
defendant’s age and troubled background, her intoxication on the day of the
murder, and her lack of felony convictions or history of violent criminal conduct.
The court then independently weighed the evidence of aggravating and mitigating
circumstances and found, as stated above, that the evidence of aggravating
circumstances substantially outweighed that of mitigating circumstances. The
court concluded that the findings of the jury were appropriate in light of the
evidence presented. The trial court is not required to do more. (Guerra, supra, 37
Cal.4th at p. 1163; People v. Lang (1989) 49 Cal.3d 991, 1045.)
9. Ruling on Motion for New Trial
Section 1181, subdivision 7 allows the trial court to modify a verdict and
impose a lesser punishment without granting or ordering a new trial if the court
concludes that a “verdict or finding is contrary to [the] law or [the] evidence.”
Defendant asserts the trial court erred by failing to consider, in connection with
her motion for a new trial, evidence that was not presented to the jury but which
76
was known to the court. Defendant contends that because not all of the available
mitigating evidence was presented to the jury, its determination that the
aggravating factors outweighed the mitigating factors is “contrary to evidence.”
Specifically, defendant claims that the trial court breached its duty to consider
evidence described in the probation officer’s report and the materials submitted
with that report, such as the defense investigator’s report and a comparative study
of the proportional review of other sentences imposed in various cases. She
asserts that information in these materials, such as a reference to a letter written by
defendant to Linda Wallace expressing remorse, tended to establish defendant’s
remorse. Additionally, defendant contends other comments made in the probation
officer’s report confirming defendant’s difficulties in school and her problems
with drug abuse provided evidence in mitigation that had not been presented to the
jury but that should have been considered by the trial court in ruling on the section
1181, subdivision 7 motion. Defendant also contends the trial court should have
considered the circumstance that defendant demonstrated remorse in seeking to
plead guilty unconditionally, but was prevented by her attorney from doing so.
The trial court did not err in its consideration of defendant’s motion for a
new trial. Prior to ruling upon defendant’s motion, the court stated it had
considered the information submitted with the probation officer’s report —
information it appropriately had not previously considered in denying defendant’s
motion to modify the verdict pursuant to section 190.4. Moreover, evidence
contained in the probation officer’s report and supporting materials (documenting
defendant’s drug abuse history, difficulty in school, and expressions of remorse)
was duplicative of evidence presented at trial and thus already had been evaluated
by the trial court in its ruling on defendant’s motion to modify the verdict.
Finally, even if the trial court erroneously failed to consider evidence of
defendant’s desire to plead guilty unconditionally in ruling upon defendant’s
77
motion under section 1181, subdivision 7, such error would have been harmless,
because abundant evidence of defendant’s remorse was presented at trial and was
evaluated by the trial court in ruling upon defendant’s posttrial motions.
Although the trial court’s rejection of defendant’s motion for a new trial
makes reference to its ruling denying defendant’s motion for modification of the
verdict, we infer from the record of the hearing that the court properly discharged
its separate duty to conscientiously consider the motion for new trial. The
transcript of the hearing on the latter motion reveals that the court considered both
the evidence presented at trial and the evidence contained in supplemental
materials that had not been presented to the jury. The hearing transcript reveals
that the court carefully considered defendant’s claims before ruling on the motion
for new trial. (People v. Lewis and Oliver (2005) 39 Cal.4th 970, 1063.)
“Because no manifest or unmistakable abuse of discretion appears, we will not
disturb the ruling on appeal.” (Ibid.)
III. DISPOSITION
We affirm the judgment in its entirety and deny defendant’s requests for
modification of the verdict and for a stay of execution.
GEORGE, C. J.
WE CONCUR:
KENNARD, J.
BAXTER, J.
WERDEGAR, J.
CHIN, J.
MORENO, J.
CORRIGAN, J.
78
See next page for addresses and telephone numbers for counsel who argued in Supreme Court.
Name of Opinion People v. Alfaro
__________________________________________________________________________________
Unpublished Opinion
Original Appeal XXX
Original Proceeding
Review Granted
Rehearing Granted
__________________________________________________________________________________
Opinion No. S027730
Date Filed: August 6, 2007
__________________________________________________________________________________
Court: Superior
County: Orange
Judge: Theodore E. Millard
__________________________________________________________________________________
Attorneys for Appellant:
Karen L. Snell and Nanci L. Clarence, under appointments by the Supreme Court; Clarence & Snell and
Anne W. Lackey, for Defendant and Appellant.
__________________________________________________________________________________
Attorneys for Respondent:
Bill Lockyer and Edmund G. Brown, Jr., Attorneys General, David P. Druliner, Chief Assistant Attorney
General, Gary W. Schons, Assistant Attorney General, Laura Whitcomb Halgren and Kyle Niki Cox
Shaffer, Deputy Attorneys General, for Plaintiff and Respondent.
Counsel who argued in Supreme Court (not intended for publication with opinion):
Karen L. Snell
Clarence & Snell
899 Ellis Street
San Francisco, CA 94109
(415) 749-1800
Kyle Niki Cox Shaffer
Deputy Attorney General
110 West A Street, Suite 1100
San Diego, CA 92101
(619) 645-2226
Opinion Information
| Date: | Docket Number: |
| Mon, 08/06/2007 | S027730 |
Parties
| 1 | The People (Respondent) Represented by Attorney General - San Diego Office Kyle Niki Cox Shaffer, Deputy Attorney General P.O. Box 85266 San Diego, CA |
| 2 | Alfaro, Maria Del Rosio (Appellant) Central California Women's Facility Represented by Federal Public Defender - La Sean K. Kennedy, Federal Public Defender 321 East Second St. Los Angeles, CA |
| Disposition | |
| Aug 6 2007 | Opinion: Affirmed |
| Dockets | |
| Jul 14 1992 | Judgment of death |
| Jul 20 1992 | Filed certified copy of Judgment of Death Rendered 7-14-92. |
| Jun 10 1996 | Counsel appointment order filed Upon request of appellant for appointment of counsel, Karen L. Snell is hereby appointed to represent appellant on her automatic appeal now pending in this court, including any related habeas proceedings. |
| Jul 1 1996 | Application for Extension of Time filed By Applt to request correction of the Record. |
| Jul 3 1996 | Extension of Time application Granted To Applt To 9-3-96 To request Corr. of Record. |
| Aug 27 1996 | Application for Extension of Time filed By Applt to request correction of the Record. |
| Sep 4 1996 | Extension of Time application Granted To Applt To 10-15-96 To request Corr. of Record. |
| Oct 2 1996 | Application for Extension of Time filed By Applt to request correction of the Record. |
| Oct 10 1996 | Extension of Time application Granted To Applt To 11-25-96 To request Corr. of Record. |
| Nov 1 1996 | Change of Address filed for: Atty Karen L. Snell. |
| Jan 14 1997 | Compensation awarded counsel |
| May 14 1997 | Compensation awarded counsel |
| May 21 1997 | Filed: Applt's request for appointment of Nanci L. Clarence as Assoc. Counsel. |
| Jun 25 1997 | Order filed: Good cause appearing, Nanci L. Clarence is hereby appointed as associate attorney of record for appellant Maria del Rosio Alfaro. Counsel is appointed to represent appellant in her automatic appeal now pending in this court, including any related habeas corpus proceedings. |
| Sep 19 1997 | Record on appeal filed C-13 (2,129 pp.) and R-36 (5,012 pp.) |
| Sep 19 1997 | Appellant's opening brief letter sent, due: 10-29-97. |
| Oct 21 1997 | Application for Extension of Time filed By Applt to file AOB |
| Oct 23 1997 | Extension of Time application Granted To December 29,1997 To file AOB |
| Nov 20 1997 | Compensation awarded counsel |
| Dec 17 1997 | Application for Extension of Time filed To file Aob. |
| Dec 23 1997 | Extension of Time application Granted To 2-27-98 To file Aob. |
| Feb 23 1998 | Application for Extension of Time filed By Applt to file AOB |
| Feb 26 1998 | Extension of Time application Granted To 4-29-98 To file AOB |
| Mar 11 1998 | Compensation awarded counsel |
| Apr 24 1998 | Application for Extension of Time filed To file Aob. |
| Apr 28 1998 | Extension of Time application Granted To 6-29-98 To file AOB |
| Jun 23 1998 | Application for Extension of Time filed To file Aob. |
| Jun 24 1998 | Extension of Time application Granted To 8-28-98 To file Aob. |
| Aug 21 1998 | Application for Extension of Time filed To file Aob. |
| Aug 28 1998 | Extension of Time application Granted To 10-27-98 To file Aob. |
| Oct 21 1998 | Application for Extension of Time filed By Applt to file AOB |
| Oct 22 1998 | Filed: Respondent's Opposition to Applt's request for Extension of time to file AOB |
| Nov 2 1998 | Filed: Suppl Decl of Karen Snell in support of request for Eot. |
| Nov 3 1998 | Extension of Time application Granted To 12-28-98 To file Aob. |
| Dec 22 1998 | Application for Extension of Time filed To file Aob. |
| Jan 4 1999 | Compensation awarded counsel |
| Jan 6 1999 | Extension of Time application Granted To 2-26-99 To file AOB |
| Feb 18 1999 | Compensation awarded counsel |
| Feb 19 1999 | Application for Extension of Time filed To file Aob. |
| Feb 24 1999 | Extension of Time application Granted To 4-27-99 To file AOB |
| Apr 19 1999 | Application for Extension of Time filed To file Aob. |
| Apr 20 1999 | Filed: Resp's Anticipatory Opposition (received 4-14-99) to Applt's request for Ext. of time to file Aob. |
| Apr 30 1999 | Filed: Declaration of Atty Karen Snell in support of request for Ext. of Time. |
| May 5 1999 | Extension of Time application Granted On representation by counsel Karen Snell that she "fully expect[s] absent any unforseen extraordinary circumstances, to be able to complete the AOB for filing with the Court no later than 8-31-99," the request for extension of time is granted, and AOB shall be served and filed on or before 6-28-99. |
| Jun 24 1999 | Application for Extension of Time filed to file AOB. |
| Jul 2 1999 | Extension of Time application Granted On representation by counsel Karen L. Snell that she believes that she will meet the projected filing date of August 31, 1999, "barring unforseen circumstances," the request for extension of time is granted, and appellant's opening brief shall be served and filed on or before 8-31-99. No further extensions of time are contemplated. |
| Aug 11 1999 | Application for Extension of Time filed By Applt to file AOB |
| Aug 16 1999 | Extension of Time application Granted To 11-1-99 To file AOB no further Extensions of time will be granted |
| Aug 16 1999 | Compensation awarded counsel |
| Nov 1 1999 | Filed: Applt's Application for Leave to file AOB in Excess of 280 pages. (AOB submitted Under Separate Cover) |
| Nov 4 1999 | Order filed: Applt's Application for Leave to file AOB in Excess of 280 pages Is Granted. |
| Nov 4 1999 | Appellant's opening brief filed (384 pp.) |
| Nov 10 1999 | Filed: Resp's motion for release of Sealed Transcripts |
| Nov 19 1999 | Received letter from: Atty Karen Snell Re no Objection to Sealed Motions and Transcripts Discussed And/or Cited in AOB be Unsealed and copies be Made Available to A.G. |
| Nov 23 1999 | Application for Extension of Time filed Resp's brief. |
| Nov 30 1999 | Extension of Time application Granted To 2/2/2000 To file Resp's brief. |
| Dec 15 1999 | Compensation awarded counsel Atty Snell |
| Dec 15 1999 | Compensation awarded counsel Atty Snell |
| Jan 26 2000 | Application for Extension of Time filed To file Resp's brief. |
| Feb 4 2000 | Extension of Time application Granted To 4/3/2000 To file Resp's brief. |
| Feb 16 2000 | Compensation awarded counsel Atty Snell |
| Feb 17 2000 | Order filed: The motion for release of sealed transcripts, filed on November 10, 1999, is granted. The clerk of this court is ordered to transmit copies of the following transcripts described in that motion to the Office of the Attorney General: (1) C.T. Pen. Code Sec. 987.9 materials, pp. 274-335 (9/9/91); (2) Supp. R.T. pp. 15-25 (11/1/91); (3) Supp. R.T. pp. 26-43 (11/8/91); (4) Supp. R.T. pp. 44-61 (11/15/91); (5) Supp. C.T. pp. 8-11 (2/20/92); (6) Supp. R.T. pp. 106-123 (2/21/92); (7) Supp. R.T. pp. 124-130 (2/24/92); (8) Supp. R.T. pp. 184-187 (2/26/92); (9) Supp. R.T. pp. 196-279 (2/26/92 - 2/27/92); (10) Supp. R.T. pp. 297-355 (3/2/92); (11) C.T. Pen. Code Sec. 987.9 materials, pp. 535-539 (3/5/92); (12) C.T. Pen. Code Sec. 987.9 materials, pp. 531-532 (3/9/92); (13) Supp. C.T. pp. 497a-497c (3/18/92); (14) Supp. R.T. pp. 1979-1981 (4/2/92); (15) Supp. R.T. pp. 2119-2149 (4/9/92); and (16) Supp. C.T. pp. 83-84 (4/21/92). |
| Mar 29 2000 | Application for Extension of Time filed To file Resp's brief. |
| Apr 7 2000 | Extension of Time application Granted To 6/2/2000 To file Resp's brief. |
| May 31 2000 | Respondent's brief filed (198 pages) |
| Jul 6 2000 | Application for Extension of Time filed to file reply brief. |
| Jul 11 2000 | Extension of Time application Granted To 7/31/2000 to file reply brief. |
| Jul 25 2000 | Application for Extension of Time filed To file reply brief. (2nd request) |
| Aug 1 2000 | Extension of Time application Granted to 8-30-2000 to file reply brief. |
| Aug 23 2000 | Application for Extension of Time filed To file reply brief. (3rd request) |
| Aug 25 2000 | Extension of Time application Granted To 9/29/2000 to file reply brief. |
| Sep 28 2000 | Application for Extension of Time filed To file reply brief. (4th request) |
| Oct 3 2000 | Extension of Time application Granted To 10/30/2000 to file reply brief. |
| Oct 25 2000 | Application for Extension of Time filed To file reply brief. (5th request) |
| Nov 3 2000 | Extension of Time application Granted To 11/29/2000 to file reply brief. |
| Nov 28 2000 | Application for Extension of Time filed To file reply brief. (6th request) |
| Dec 8 2000 | Extension of Time application Granted To 12/29/2000 to file reply brief. |
| Dec 29 2000 | Application for Extension of Time filed To file reply brief. (7th request) |
| Jan 4 2001 | Extension of Time application Granted To 1/29/2001 to file reply brief. |
| Feb 1 2001 | Application for Extension of Time filed To file reply brief. (8th request) |
| Feb 5 2001 | Extension of Time application Granted To 3/1/2001 to file reply brief. |
| Mar 1 2001 | Application for Extension of Time filed To file reply brief. (9th request) |
| Mar 7 2001 | Extension of Time application Granted To 4/2/2001 to file Reply Brief. No further extensions of time are contemplated. |
| Mar 30 2001 | Application for Extension of Time filed to file reply brief. (10th request) |
| Apr 10 2001 | Extension of Time application Granted To 5/2/2001 to file Reply Brief. No further extensions of time granted. |
| May 2 2001 | Application to file over-length brief filed (156 Pp. reply brief submitted under separate cover) |
| May 3 2001 | Order filed: Application of appellant to file reply brief in excess of page limit is granted. |
| May 3 2001 | Appellant's Reply Brief filed (156 Pp.). |
| Jul 18 2001 | Habeas funds request filed (confidential) |
| Jul 20 2001 | Compensation awarded counsel Atty Snell |
| Oct 17 2001 | Compensation awarded counsel Atty Snell |
| Nov 20 2001 | Order filed re habeas funds request (confidential) |
| Nov 13 2002 | Compensation awarded counsel Atty Snell |
| May 3 2004 | Motion to withdraw as counsel filed by Nanci L. Clarence to withdraw as associate counsel. |
| May 3 2004 | Filed: Consent of appellant Alfaro to Nanci L. Clarence's request to withdraw as associate counsel. |
| May 12 2004 | Withdrawal of counsel allowed by order Good cause appearing, the application of appointed associate counsel for permission to withdraw as attorney of record for appellant Maria del Rosio Alfaro, filed May 3, 2004, is granted. The order appointing Nanci L. Clarence as associate counsel of record for appellant Maria del Rosio Alfaro, filed June 25, 1997, is hereby vacated. Karen L. Snell shall remain as counsel of record for appellant Maria del Rosio Alfaro for both the direct appeal and related state habeas corpus/executive clemency proceedings, in the above automatic appeal now pending in this court. |
| Jan 22 2007 | Oral argument letter sent advising counsel that the court could schedule this case for argument as early as the March calendar, to be held the week of March 5, 2007, in San Francisco. The advisement of "focus issues," notification that two counsel are required, and any request for oral argument time in excess of 30 minutes must be submitted to the court within 10 days of the order setting the case for argument. |
| Jan 31 2007 | Change of contact information filed for: attorney Karen L. Snell. |
| Jan 31 2007 | Received: letter from attorney Karen Snell, dated January 29, 2007, requesting that oral argument be postponed for at least 60 days. |
| Feb 2 2007 | Filed: supplemental "Proof of Service of Notice of Change of Address." |
| Mar 1 2007 | Letter sent to: counsel advising that the court will target this case for its late May calendar, to be held the week of May 28, 2007, in San Francisco. |
| May 2 2007 | Case ordered on calendar to be argued on Thursday, May 31, at 1:30 p.m., in San Francisco |
| May 18 2007 | Filed letter from: Deputy Attorney General Kyle Niki Shaffer, dated May 10, 2007, re focus issues for oral argument. |
| May 21 2007 | Filed letter from: attorney Karen L. Snell, dated May 11, 2007, re appellant's focus issues for oral argument. |
| May 21 2007 | Received: letter from attorney Karen L. Snell, dated May 18, 2007, re appellant's additional authority for oral argument. |
| May 24 2007 | Received: letter from attorney Karen L. Snell, dated May 22, 2007, re correction to citation to new authority in letter of May 18, 2007. |
| May 31 2007 | Cause argued and submitted |
| Jul 25 2007 | Compensation awarded counsel Atty Snell |
| Aug 3 2007 | Notice of forthcoming opinion posted |
| Aug 6 2007 | Opinion filed: Judgment affirmed in full defendant's motion for modification of the verdict and for stay of execution are denied. Opinion by George, C.J. -----joined by Kennard, Baxter, Werdegar, Chin, Moreno, Corrigan, JJ. |
| Aug 8 2007 | Compensation awarded counsel Atty Snell |
| Aug 17 2007 | Rehearing petition filed by appellant. (17pp - csl to submit certificate of word count) |
| Aug 27 2007 | Time extended to consider modification or rehearing The time for granting or denying rehearing in the above-entitled case is hereby extended to and including November 2, 2007, or the date upon which rehearing is either granted or denied, whichever occurs first. |
| Oct 24 2007 | Rehearing denied The petition for rehearing is denied. |
| Oct 24 2007 | Remittitur issued (AA) |
| Nov 1 2007 | Received: receipt for remittitur acknowledged by superior court. |
| Jan 7 2008 | Received: Letter from U.S.S.C. dated January 2, 2008. Advising that the Petition for Writ of Certiorari was filed on December 26, 2007. No. 07-8483. |
| Jan 17 2008 | Compensation awarded counsel Atty Snell |
| Jan 30 2008 | Compensation awarded counsel Atty Snell |
| Feb 4 2008 | Received: Copy of Brief in Opposition to Petition for Writ of Certiorari sent to U.S.S.C. dated January 31, 2008. |
| Mar 3 2008 | Certiorari denied by U.S. Supreme Court |
| Mar 2 2009 | Related habeas corpus petition filed (post-judgment) no. S170966. |
| Mar 2 2009 | Motion to withdraw as counsel filed by Karen L. Snell. |
| Mar 2 2009 | Motion for appointment of counsel filed by the Federal Public Defender. (declaration by Craig A. Harbaugh, Deputy Federal Public Defender) |
| Mar 18 2009 | Withdrawal of counsel allowed by order Good cause appearing, the application of appointed counsel for permission to withdraw as attorney of record for condemned prisoner Maria del Rosio Alfaro, filed March 2, 2009, is granted. The order appointing Karen L. Snell as counsel of record for condemned prisoner Maria del Rosio Alfaro, filed June 10, 1996, is hereby vacated. The Federal Public Defender for the Central District of California is hereby appointed attorney of record for condemned prisoner Maria del Rosio Alfaro. Counsel is appointed for purposes of all postconviction proceedings in this court, and for subsequent proceedings, including the preparation and filing of a petition for clemency with the Governor of California, as appropriate. |
| Briefs | |
| Nov 4 1999 | Appellant's opening brief filed |
| May 31 2000 | Respondent's brief filed |
| May 3 2001 | Appellant's Reply Brief filed (156 Pp.). |
