People v. Wells
People v. Wells
Opinion of the Court
Wesley Robert Wells appeals from a judgment entered upon a jury verdict that he is guilty of violation of section 4500 of the Penal Code, and from an order denying his motion for new trial. Section 4500 provides that certain kinds of assault committed by life-term prisoners “with malice aforethought” are capital offenses. Defendant contends: (1) Section 4500 was never intended to apply to persons, such as he, serving an unfixed, indeterminate sentence for a maximum term of life imprisonment, and to apply it to him is to deprive him of equal protection of the laws in violation of the Fourteenth Amendment of the federal Constitution. (2) The indictment was returned upon insufficient evidence and is therefore void. (3) The trial court erred to his prejudice by admitting evidence of misconduct of defendant prior and subsequent to the offense charged. (4) The trial court erred to his prejudice by excluding evidence of medical experts offered to show that he did not act with “malice aforethought.” For the reasons hereinafter stated we conclude that contentions (1), (2) and (3) are not sustained; as to contention (4) we conclude that the proffered evidence should have been received but that the error in rejecting it is not prejudicial.
(1) Applicability and Constitutionality of Section 4500 of the Penal Code
Section 4500 provides, in material part, that “Every person undergoing a life sentence in a State prison of this State, who, with malice aforethought, commits an assault upon the person of another ... by any means of force likely to produce great bodily injury, is punishable with death.” Defendant at the time he allegedly violated section 4500 was undergoing an indeterminate sentence for violation of section 4502 of the Penal Code (which proscribes the possession of weapons by inmates of state prisons). The minimum term of
In 1901, the statute now numbered section 4500 was enacted as section 246 of the Penal Code. The contention that the statute denied to life-term prisoners the equal protection of the laws was rejected in People v. Finley (1908), 153 Cal. 59, 62 [94 P. 248], affirmed in Finley v. California (1911), 222 U.S. 28, 31 [32 S.Ct. 13, 56 L.Ed. 75]. This court pointed out, as reasons for separately classifying “life-termers,” that their term of imprisonment could not be shortened by virtue of their good conduct and that the offenses for which life sentences were imposed were usually more serious and showed “more abandoned and malignant hearts” than the offenses of those sentenced for terms of years. The Supreme Court of the United States added that “life-termers” could not be further punished by increasing their terms of imprisonment and the Legislature could fix death as appropriate additional punishment for offenders in such class.
Thereafter, in 1917, this state, in furtherance of the policy of placing before prisoners the incentive to do well, adopted the indeterminate sentence law (In re Lee (1918), 177 Cal. 690, 692-693 [171 P. 958]). The prisoner whose term has not been fixed by the Adult Authority has since been regarded as, in effect, serving the maximum term—in defendant’s case, life—in order that the sentence be not void for uncertainty (id.). According to the McNabb (1935) case, supra, page 457 of 3 Cal.2d, the question whether an unfixed term such as defendant’s “is in law a life sentence . . . was definitely settled by In re Lee, . . . and has been the pronounced law of the state since. Every person is charged with a knowledge of its existence. The fact that section 246 of the Penal Code was adopted in 1901, at a time trial courts pronounced a fixed term of imprisonment, can in nowise affect the operation of the present rule of law as declared in In re Lee, supra.” This holding is approvingly referred to in People v. Jones (1936), 6 Cal.2d 554, 556. [59. P.2d 89]; People v. Ralph (1944), 24
Defendant urges that the holding of the McNabb case does not take into consideration the change in the composition of the class known as life-term convicts which occurred in 1917 with enactment of the indeterminate sentence law. No longer, defendant says, is the class composed of the hopeless and therefore dangerous men to whom the Finley opinions refer and whom the Legislature had in mind when it enacted section ,246.
(2) The Indictment
Defendant contends that two essential allegations of the indictment—that he committed the assault with “malice aforethought” and that he was then “undergoing a life sentence”—were not shown to the grand jury by any competent evidence and therefore the indictment is void and the court was without jurisdiction to try him. (See Greenberg v. Superior Court (1942), 19 Cal.2d 319, 322 [121 P.2d 713].) This contention was timely raised by a motion to quash the indictment, which was denied, a demurrer thereto, which was overruled, and by application to this court for an alternative writ of prohibition, which was denied without written opinion (Wells v. Superor Court (1947), Sac. 5880). On each such occasion the contention was properly rejected.
The record clerk of Folsom State Prison testified before the grand jury that defendant was held under a commitment for violation of section 4502, which was punishable by an indeterminate term of from five years to life; that defendant’s term had not been fixed by the Adult Authority; and that defendant was therefore carried on the prison rolls as a “lifetermer.” The following evidence of the circumstances of the crime was before the grand jury: Noble Brown, a prison guard, was the victim of the assault. Prior to the commission of the offense Brown had preferred charges of misconduct against defendant. Defendant was taken before prison officials for a hearing on the charges. He became angry, insolent and noisy and the warden directed him to leave the hearing room. This, defendant did. In the hall outside the room defendant sat down on the floor and refused to go to his cell. Brown then came from the room and walked along the hall. Defendant seized a heavy crockery cuspidor and threw it at Brown. The cuspidor, apparently as defendant was swinging it in the course of throwing it at Brown, struck two other officers (who were near and to the rear of defendant endeavoring to stop him) and then hit Brown with great force, injuring him severely.
It is said in the Greenberg case, supra (p. 321 of 19 Cal. 2d), “A grand jury’s function is to return an indictment against a person only when the evidence presented to it indi
(3) Evidence of Misconduct of Defendant on Other Occasions
It is the theory of the prosecution that defendant committed an aggravated assault upon Officer Brown in a spirit of revenge—which would constitute malice aforethought—because Brown had reported to the warden that defendant had broken prison rules by cursing Brown and by “creating a disturbance.” (Defendant committed the latter violation of prison rules on the night before his scheduled hearing on the charge of - cursing an officer. He beat his iron bed against the steel floor, and shouted and cursed because a lieutenant with whom he had asked to speak did not come to his cell within the time limit he set. See footnote 6, post, p. 358.) Defendant, on the other hand, testified that he had no intent to strike Brown; that after he sat down in the corridor and refused to return to his cell he informed Officers Robinson and Hogan, who were escorting him, that they were “yellow dogs”; that Robinson “took offense” and struck defendant with his baton; that defendant picked up the cuspidor to defend himself; that “I caught it [the blow of a guard’s baton] behind the head, I fall forward and release the cuspidor. I ain’t saying whether I threw it, or it slipped out of my hands, but I think I threw it as I fell” and it struck Brown, who, defendant said, he did not know was present.
Evidence of prior and subsequent misconduct of defendant toward prison guards other than Brown was first offered as part of the prosecution’s case in chief as tending to prove the essential element of “malice aforethought” in the commission of the assault. Specifically the prosecution sought to establish that the defendant bore and expressed malice toward the entire class of custodial officers; that defendant had a fixed purpose “to avoid the rules of the institution and conduct himself as he saw fit, and if any officer of the institution had the effrontery to report him, which would occasion disciplinary action, he [defendant] would take punitive action himself.” The trial judge at this stage of the proceeding, apparently acting under some misapprehension as to the state of the record or as to the law governing the admissibility of evidence of prior misconduct, denied the offer of proof but
Thereafter, on redirect examination, defendant testified that he “got along” with the prison officers and that he had no prejudice against the guards as a class. The prosecution was then permitted to introduce evidence of misbehavior of defendant toward guards on other occasions. When defendant’s counsel objected to such evidence, the trial court ruled, “you opened it up when you asked him about his attitude toward the officers there.” This was not a proper basis for the ruling. “The argument that defendant’s counsel ‘opened the gates’ is unavailing . . . Legitimate cross-examination does not extend to matters improperly admitted on direct examination. Failure to object to improper questions on direct examination may not be taken advantage of on cross-examination to elicit immaterial or irrelevant testimony.” (People v. McDaniel (1943), 59 Cal.App.2d 672, 677 [140 P.2d 88].) Neither is it within the proper scope of impeachment to show that a witness has given false testimony as to a matter which could not be proved independently in the case. (People v. Chin Mook Sow (1877), 51 Cal. 597, 600; People v. McKeller (1878), 53 Cal. 65; People v. Bell (1878), 53 Cal. 119; People v. Dye (1888), 75 Cal. 108, 111-112 [16 P. 537]; Davis v. California Powder-Works (1890), 84 Cal. 617, 627 [24 P. 387]; People v. Tiley (1890), 84 Cal. 651, 654 [24 P. 290]; Moody v. Peirano (1906), 4 Cal.App. 411, 416 [88 P. 380]; People v. Factor (1932), 125 Cal.App. 618, 621 [13 P.2d 984]; People v. Pollock (1939), 31 Cal.App.2d 747, 757 [89 P.2d 128]; People v. Burness (1942), 53 Cal.App.2d 214, 220 [127 P.2d 623].) We must, therefore, determine whether the evidence was admissible for a proper purpose.
The prosecution was allowed to put in evidence the following matters (it did not seek to show details of the various instances of misconduct) : On December 24, 1937, defendant cursed a prison officer. On October 9, 1938, defendant cursed a guard. On April 16, 1939, defendant threatened a guard. On October 9, 1939, defendant was insolent to the turnkey. On November 21; 1939, defendant cursed a guard. On November 18, 1940, defendant was placed in solitary confinement because he had again cursed a guard. In December, 1944, defendant was placed in solitary confinement because he struck a prison physician. In January, 1946, defendant “had an altercation with Mr. Harwood [a prison official] in the laundry.” On April 3, 1946, defendant threatened Captain
The prosecution was also allowed to prove in detail a series of incidents which took place in 1945 and which were somewhat similar to the 1947 events which resulted in the instant charge. On February 12, 1945, defendant notified the officer in charge of the area where he was confined that he wished to see a captain. When the captain did not come at once defendant threatened to and shortly thereafter did “destroy his cell”; he “broke out the toilet and tore down the wash basin,” dismantled his bed and when guards attempted to remove him to another cell he held a piece of the iron bedstead in a threatening manner and said, “Don’t come in this cell.” After some conversation defendant was induced to go to another cell but when he entered it he attempted to take a cane from one of the officers. Another officer, Jensen, thereupon struck defendant a single severe blow on the head with his baton. Jensen did not see defendant again until April 4, 1945. On that day defendant was to appear before the Adult Authority. Jensen was in charge of admitting prisoners to the hearing room. He opened a gate; defendant with two officers came through the gate; and defendant, without a word, struck Jensen two severe blows with his fists. Defendant testified that he thus attacked Jensen in revenge because Jensen had previously struck him.
The evidence of such other instances of misconduct was not admitted for the improper purpose of showing that defendant, because he had done many bad acts, was a bad person likely to do other bad acts, and, therefore, probably committed the crime charged.
In the last-cited (Dietz) case the charge was murder, in that defendant killed a sheriff who sought to arrest him. Evidence of assaults upon and resistance to arrests by law enforcement officers over a period of seven years was admitted to negative defendant’s claim that he believed he was defending himself against a wrongdoer. In the opinion it
“Mr. Wigmore in his work on Evidence (vol. 1, § 302 [3d ed., vol. 2, p. 196]) thus very clearly states the idea:
“ ‘In short, similar results do not usually occur through abnormal causes; and the recurrence of a similar result (here in the shape of an unlawful act) tends (increasingly with each instance) to negative accident or inadvertence or self-defense, or good faith, or other innocent mental state, and tends to establish (provisionally at least, though not certainly) the presence of the normal, i.e., criminal, intent accompanying such an act. ’
“It is true that some of the acts of resistance to arrest in the present case were remote in point of time from the act under investigation, but that does not of itself render such evidence incompetent, especially where, as here, the acts were repeated year after year down to a comparatively recent period, and were all apparently inspired by one purpose, namely, the purpose to resist the execution of legal process.”
(4) Excluded Evidence of Defendant’s Physical and Mental State, Offered to Show Lack of “Malice Aforethought.”
In every crime there must exist a union or joint operation of act and intent. (Pen. Code, § 20.) In the present case there is little dispute as to the act done by defendant; the crucial factual question is whether such act was done with the intent or motive which is an essential element of the crime denounced by section 4500 of the Penal Code; i.e., “with malice aforethought.”
This issue, then, necessarily involves proof of a mental state (the specific intent or motive amounting to malice aforethought) and, as pertinent and material to resolving such issue, the prosecution (as has been shown hereinabove) was properly allowed to introduce evidence of various objective manifestations by defendant from which it could be inferred that he bore such “malice aforethought” toward prison
The proffered evidence above summarized would be incompetent to establish the defense known as “self-defense” because one’s rights in self-defense are limited to such acts as are either actually reasonably necessary or which would appear to a reasonable person, under the same circumstances, to be reasonably necessary. (Fraguglia v. Sala (1936), 17 Cal.App.2d 738, 744 [62 P.2d 783]; Vaughn v. Jonas (1948), 31 Cal.2d 586, 599 [191 P.2d 432].) But here the evidence was not offered to prove self-defense; it was offered solely in relation to the specific mental state which was necessarily put in issue by the charge and the not guilty plea and concerning. which the prosecution had already produced substantial evidence. Under the circumstances the materiality of this evidence in defendant’s case is patent. If he acted only under the influence of fear of bodily harm, in the belief, honest though unreasonable, that he was defending himself from such harm by the use of a necessary amount of force, then defendant, although he would not be guiltless of crime, would not have committed that particular aggravated offense with which he is charged, for the essential element of “malice aforethought” would be lacking. In resolving this question in a close case the jury could well be materially aided by the knowledge that, in the opinion of qualified experts, the defendant’s condition was such that he might readily have acted from genuine fear rather than from a desire for vengeance or from any other malicious purpose.
The People seek to support the exclusionary ruling on the ground that under sections 1016, 1020, and 1026 of the Penal Code, and various decisions of this court (see, e. g., People v. Troche (1928), 206 Cal. 35, 47 [273 P. 767]; People v. Coleman (1942), 20 Cal.2d 399, 405-406 [126 P.2d 349],
(5) Admissibility of Evidence to Show or Disprove a Specific Mental State on the Trial Under a Not Guilty Plea
The following discussion is to be understood as having reference only to those classes of crimes which require proof of a specific mental state, as, for example, the homicides, wherein, if a charge of murder in either degree is to be supported, there must be proof of malice aforethought; lacking proof of malice aforethought the homicide can be no higher offense than manslaughter. Likewise, by way of further examples, a charge of violation of section 4500 of the Penal Code, (this
Disregarding for the moment the effect of sections 1016, 1020 and 1026 of the Penal Code, it is fundamental that at the trial upon a not guilty plea evidence, competent in character, which tends to show that a defendant, at the time he committed the overt act, either possessed or did not possess the specific essential mental state (as of malice aforethought, deliberate intent, etc.) is admissible. But those code sections, by providing for a bifurcated trial, in effect qualify this fundamental rule. The extent to which they qualify it appears from the following discussion;
Section 1016 enumerates the five kinds of pleas which may be entered; they include “not guilty” and “not guilty by reason of insanity.” The section then declares, “A defendant who does not plead not guilty by reason of insanity shall be conclusively presumed to have been sane at the time of the commission of the. offense charged ... A defendant who pleads not guilty by reason of insanity, without also pleading not guilty thereby admits the commission of the offense [the overt act] charged.” Section 1026 provides that “When a defendant pleads not guilty by reason of insanity, and also joins with it another plea or pleas, he shall first be tried as if he had entered such other plea or pleas only, and in such trial he shall be conclusively presumed to have been sane at the time the offense is alleged to have been committed. If the jury shall find the defendant guilty, or if the defendant plead only not guilty by reason of insanity, then the question whether the defendant was sane or insane at the time the offense [the overt act] was committed shall be promptly tried, either before the same jury or before a new jury in the discretion of the court.”
The words “the overt act” have been inserted in brackets in the above quotations of sections 1016 and 1026 to make their meaning clear. That such indicated meaning is the true
“One. Children under the age of fourteen, in the absence of clear proof that at the time of committing the act charged against them, they knew of its wrongfulness.
“Two. Idiots.
‘ ‘ Three. Lunatics and insane persons.
“Four. Persons who committed the act or made the omission charged under an ignorance or mistake of fact, which disproves any criminal intent.
“Five. Persons who committed the act charged without being conscious thereof.
‘ ‘ Six. Persons who committed the act or made the omission charged through misfortune or by accident, when it appears that there was no evil design, intention, or culpable negligence.
‘ ‘ Seven. Married women (except for felonies) acting under the threats, command, or coercion of their husbands.
“Eight. Persons (unless the crime be punishable with death) who committed the act or made the omission charged under threats or menaces sufficient to show that they had reasonable cause to and did believe their lives would be endangered if they refused. ’ ’
Section 26, above quoted, is of double importance in our consideration of the problem before us because it establishes two things: 1. That an insane person is not capable of committing crime; 2. That there are several states of mind, other than insanity, which render a person incapable of committing crime.
. Bearing in mind that there are, therefore, several states of mind, other than insanity, which render a person incapable of crime in the commission of an overt act while in. such mental state, it is to be observed that the code sections providing for the bifurcated trial relate exclusively to the defense of not guilty by reason of insanity. That is to say, the conclusive presumption of sanity is a conclusive presumption of sanity; it is not a conclusive presumption of legal capacity to commit crime. (For example, the declared pre
It is to be remembered that in the eyes of the law there is still only one trial (People v. Troche (1928), supra, 206 Cal. 35, 48; People v. Leong Fook (1928), 206 Cal 64, 70, 73, 77 [273 P. 779]; People v. Marshall (1930), 209 Cal. 540, 547 [289 P. 629]) but the trial is broken up into two sections or stages if insanity is pleaded as a defense. Upon the first stage the issues raised by the general plea of not guilty are tried; as a second stage, if the verdict is guilty on the first, the issues are purely those of legal insanity. The plea of not guilty by reason of insanity, it has been said, is one of confession and avoidance. (People v. Troche (1928), supra, 206 Cal. 35, 44; People v. Leong Fook (1928), supra, 206 Cal. 64; People v. French (1939), supra, 12 Cal.2d 720, 739.) Commission of the overt act is conceded but criminal guilt (the mental capacity to commit a criminal act) is denied upon
By section 1026, on the first stage of the trial the defendant “shall be conclusively presumed to have been sane at the time the offense [overt act] is alleged to have been committed,” but, by section 1020, “All matters of fact tending to establish a defense other than [former conviction or acquittal, once in jeopardy, or not guilty by reason of insanity] . . . may be given in evidence under the plea of not guilty. ’ ’
It thus appears that on the trial in its first stage, mental capacity to commit the crime, insofar as sanity, but sanity only, is concerned, is conclusively presumed but that the specific mental state (intent or motive) necessary to be proved as a fact in order to establish guilt of the particular crime is not presumed, either conclusively or otherwise. Whenever a particular mental state, such as a specific intent, is by statute made an essential element of a crime, that specific state must be proved like any other fact. (People v. Watson (1899), 125 Cal. 342, 343 [57 P. 1071]; People v. Richardson (1911), 161 Cal. 552, 558-559 [120 P.20]; People v. Fewkes (1931), 214 Cal. 142, 148 [4 P.2d 538]; People v. Kirk (1928), 94 Cal.App. 378, 381 [271 P. 347].) Since, however, the mental capacity to commit the crime—insofar as legal sanity is concerned—-is conclusively presumed at the first section of the trial, it follows that the fundamental or general rule hereinabove stated must be deemed to be qualified to this extent: That evidence tending to show lack of mental capacity to commit the crime because of legal insanity is barred at that stage. This simply means that legal sanity is not in issue at the first stage of the trial and that the evidence must be confined to that which is pertinent to issues then being litigated. The issues then being litigated, if the crime is one of the types under discussion, necessarily include the question of the existence or nonexistence of the specific mental state essential to the crime charged.
The fundamental rule above stated, with its qualification, is, therefore, as follows: As a general rule, on the not guilty plea, evidence, otherwise competent, tending to show that the defendant, who at this stage is conclusively presumed sane, either did or did not, in committing the overt act, possess
The rule as above enunciated preserves the full effect of the statute as enacted and guards against construction or application of it in such manner as might breach the requirements of due process. To go beyond such rule in excluding evidence would not preserve and enforce the statute but, rather, would extend it beyond its own terms and might transcend constitutional limits. Let us emphasize: The statute (as to the first phase of the trial) conclusively presumes the defendant to be sane; i.e., to be capable of guilt insofar as sanity is concerned; it does not, conclusively or otherwise, presume any factual element of guilt; it does not even declare any presumption of criminal capacity other than legal sanity. Legal sanity, in a criminal ease, under our court declared law, means “reasoning capacity sufficient to distinguish between right and wrong as to the particular act he is doing, knowledge and consciousness that what he is doing is wrong and criminal and will subject him to punishment.” (People v. Sloper (1926), 198 Cal. 238, 245 [244 P. 362], and cases there cited.) Thus, the statutory conclusive presumption of sanity is only that defendant’s mental condition was such that he was able to know the nature of his act and appreciate that it was wrongful and could subject him to punishment; there is no presumption that the defendant did in fact have any specific state of mind (intent or motive) essential to comprise, together with the wrongful act, a particular kind or degree of crime.
In support of such proposition it is argued that “The legislative purpose, as expressed in the amendments [Pen. Code, §§ 1016, 1020 and 1026] was to simplify the issues before the jury, and not to restrict the admission of evidence relevant to those issues.” It may be conceded at once, that the last quoted sentence is substantially true: ‘ The legislative purpose . . . was to simplify the issues before the jury, and not to restrict the admission of evidence relevant to those issues.” But in order to “simplify the issues before the jury” the Legislature removed entirely from the first stage of the trial any issue as to legal sanity. Hence, if the Legislature had power to provide for such separation of issues, it would follow as of course that the only evidence admissible at the first stage would be evidence relevant to issues then being tried. We think that the Legislature did have the power to separate the trial into two stages and to exclude from the first stage any issue as to legal sanity. As pointed out by Justice Shenk, speaking for the court in People v. Coleman (1942), 20 Cal. 2d 399, 406-407 [126 P.2d 349], “They [the enactments in question] were declared to be valid in 1928 in the case of People v. Troche, 206 Cal. 35 [273 P. 767], and have been upheld in a line of unvarying decisions . . . some of which are the following: People v. Leong Fook, 206 Cal. 64 [273 P. 779]; People v. Valenzuela, 7 Cal.2d 650 [62 P.2d 142]; People v. Boggs, 12 Cal.2d 27 [82 P.2d 368]; People v.
“In People v. French, supra [12 Cal.2d 720 (87 P.2d 1014)], this court quoted with approval the general rule ‘that insanity ... is either a complete defense or none at all, and . . . there is no degree of insanity sufficient to acquit, of murder but not of manslaughter.’ It was said: ‘The insanity of a defendant cannot be used for the purpose of reducing his crime from murder in the first degree to murder in the second degree. If responsible at all in this respect, he is responsible in the same degree as a sane man, and if he is not responsible at all he is entitled to an acquittal on both degrees. ’ Obviously an insane person accused of a crime would be inhumanely dealt with if his insanity were considered merely to reduce the degree of his crime or the punishment therefor. In the Troche case it was also pointed out that whether the issue of guilt or the issue of insanity should be tried first was a matter to be determined by the Legislature in the absence of any constitutional prohibition.”
The force which otherwise would attach to the above quoted argument that, “If the defendant was insane, he did not have the particular motive which the law requires, and he would be entitled to a verdict of not guilty upon the trial of the issue raised by his plea of not guilty,” is fully obviated by the provisions for trial on the issue of not guilty by reason of insanity. We are satisfied that the enactments in question, interpreted and applied in accord with the views herein expressed, are a valid exercise of legislative power and that the evidence to be received at the first stage of the trial is properly limited to the extent of excluding evidence tending to show either sanity or insanity.
The French case, the Coleman ease, and others, rely strongly on and quote from People v. Troche (1928), supra, 206 Cal. 35. In the Troche case (pp. 46-47) it is declared that “The trial court committed no error in strictly following the letter of the statute (Pen. Code, secs. 1020 and 1026) and excluding, on the trial of the general issue of not guilty, all evidence tending to show the mental condition of the defendant at the time of the commission of the offense. [This sentence must be read in its context; it cannot mean that all evidence tending to prove the mental state of the defendant as possessing or not
The above quotation, taken in its entirety, is a thoroughly correct statement of the rule there under discussion, but it is not to be interpreted as meaning that evidence, not amounting to proof of legal insanity, and which is otherwise competent, tending to either prove or to disprove a specific mental state which is an essential element of a crime, cannot be received on the trial of the not guilty plea. By bifurcating the
The enactments under discussion are themselves simple in language; so too is the exclusionary rule we have stated, which but follows the enactments precisely and neither enlarges nor diminishes the import of the legislative language. The difficulties which both trial judges and reviewing courts have experienced in applying the law appear to have arisen principally from an understandable tendency of prosecutors
Triers of fact are often required, as were the jury in this case, to ascertain whether a nonobjective fact, a certain intent or state of mind, existed. In a prosecution for felonious homicide a trier of fact may have to determine whether the accused had that state of mind which would make the killing justifiable in self-defense—whether he acted only under the influence of honest, reasonable fear (Pen. Code, § 198); whether he acted in the heat of passion resulting from provocation which would naturally arouse the passions of the ordinary, reasonable man (Pen. Code, § 192; People v. Valentine (1946), 28 Cal.2d 121, 137-139 [169 P.2d 1]), in which case the offense is manslaughter ; whether “the circumstances attending the killing shqAV an abandoned and malignant heart” (Pen. Code, § 188), and not a more severely condemned criminal intent or state of mind, in which case the offense is a type of second degree murder; whether the killer has not only acted with “malice aforethought” but also formed and carried out a deliberate, premeditated intention to kill (Pen. Code, § 189; People v. Thomas (1945), supra, 25 Cal.2d 880, 900), in which case the offense is a type of first degree murder. Burglary requires proof of entry with specific “intent to commit grand or petit larceny or any felony” (Pen. Code, § 459).- In each of such cases the intention is manifested by, and found by the trier of fact from, “the circumstances connected with the offense” (Pen. Code, §21). And in each case where such intention must be determined the trier of fact should have the advantage of being informed as completely as possible of such circumstances, in aid of appraisement of the ultimate, nonobjective fact.
Here, the offer was to show not insanity, not a lack of mental capacity to have malice aforethought, but, rather, the fact of nervous tension and that the particular tension was directly relevant to the issue of “purpose, motive, or intent”; i.e., to the critical question as to whether defendant’s
The issue upon which the improperly excluded evidence was offered does not, however, appear to have been a close one. In accord with the mandate of section 4% of article VI of the state Constitution we have examined the entire cause, including the evidence, and have concluded that the rejection of the physicians’ proffered testimonies did not result
For the reasons above stated the judgment and order appealed from are affirmed.
Gibson, C. J., Shenk, J., and Spence, J., concurred.
A similar argument was accepted by the Supreme Court of Utah in State v. Nemier (1944), 106 Utah 307, 318-319 [148 P.2d 327, 332], Mr. Justice Larson dissenting.
That defendant is in fact the sort of prisoner to whom section 4500 should apply appears to be indicated by the nature of certain of his prior felony convictions and by certain other offenses committed by him in prison. In 1931, he was convicted of manslaughter committed while he was an inmate of Folsom State Prison. In 1944, he struck a prison doctor. Also in 1944, he was convicted of possessing a knife while he was a prisoner in Folsom State Prison, a violation of section 4502 of the Penal Code. (The opinion of the District Court of Appeal affirming such conviction discloses that defendant on that occasion used such illegally possessed knife to injure seriously a fellow prisoner. People v. Wells (1945), 68 Cal.App.2d 476 [156 P.2d 979].) In February, 1945, defendant assaulted certain guards with an iron rod torn from his bedstead and attempted to wrest a cane from an officer. In April, 1945, defendant committed a battery with his fist upon a guard.
As .to the above summarized evidence the jury were instructed that “evidence of assaults, threats and altercations allegedly engaged in by the defendant other than the assault alleged to have been committed on Noble JE. Brown has been admitted only as such evidence may tend in your minds to prove any material fact or facts relating to the offense charged in the indictment. If the evidence of other alleged assaults, threats and altercations is believed by you and tends, in relation to the offense charged
This instruction is quoted, not as a model of excellence, but to show that the trial judge, although he originally gave a wrong reason for his ruling admitting the evidence, upon reflection appreciated and adequately advised the jury of the proper purpose for which such evidence was ad-, missible.
In addition to the above summarized evidence of other instances of misconduct, the prosecution introduced the following evidence tending to show “malice aforethought": Testimony of a prisoner (contradicted by defendant) that on the night before the assault defendant said, “I will demand that son-of-a-bitch [Brown] be in the Warden’s office [at the time of the disciplinary hearing] and I will hit him with the first thing I can get my hands on"; testimony of prison officials as to defendant’s conduct, as evidencing his state of mind, immediately before the disciplinary hearing (defendant said, when he was told that he should enter the hearing room, “You’ll be sorry you took me first"), at the hearing (defendant “became very noisy and upset"), and immediately after he left the hearing room and before he injured Brown (defendant was weeping and “trembling all over").
Defendant testified as to Ms feelings toward prison officers in general and Brown in particular; as to Ms state of mind at the time he picked up and threw the cuspidor; and as to the attitude engendered when he learned (in 1946) that, after his 1944 conviction, the deputy district attorney who prosecuted that case (and the present case) recommended to the Adult Authority that it “not fix a definite term in this case. As long as you fail to. do so, Ms maximum sentence will remain at life, and he will be subject to prosecution under the statute which makes it a capital offense for a life term prisoner to commit an assault."
‘‘Q. [Referring to the night before Brown was injured, when defendant violated a prison rule by creating a disturbance]. You made sufficient noise to awaken every one in that immediate vicinity? ... A. I would say yes. Q. In other words, you at that time were not concerned with awaking people, although you had been making all this fuss when you had been awakened when the officer was doing his duty in counting the cells? A. I am interested in looking out for Wells’ welfare. I was due to appear before the court the next morning for disciplinary action, and I wanted to be able to present some kind of a case ... I rattled my cup on the door, which is proper to do if you want to sgeak to the guard. The guard came up and I made my request and he said he would make his report, and I told him that I must see Lieutenant Stevenson ... I said, ‘I will give him about twenty minutes. I don’t want to create any disturbance to cause anybody any trouble, but I want to see him this morning, because I am going to court. ’ Q. In other words, you were laying down an ultimatum? A. If you want to put it that way ... I was going to continue to make a noise until I saw Lieutenant Stevenson . . . Any time I feel I am being misused by an officer or by anyone I resent it, and I will let them know I resent it, and if they haven’t given occasion to show any different use toward me, I conduct myself as a gentleman. ’ ’
Dissenting Opinion
For the reasons stated in my dissenting opinion in People v. Danielly, post, p. 362 [202 P.2d 18], I agree that the testimony of the prison physicians who had Wells under observation just prior to the time of the commission of the acts with which he was charged, was improperly excluded. Evidence tending to prove that a defendant did not have the state of mind which the statute requires as an essential element of a crime should always be admissible upon a
As in the case of premeditation and deliberation necessary to establish murder of the first degree (see dissent in People v. Danielly, post, p. 362 [202 P.2d 18]) the nature of the inquiry into “malice aforethought” calls for the application of a subjective test. When a statute requires a particular intent as an essential element of a crime, the inquiry may include, among other factors, evidence bearing upon the capacity of the mind of the accused. The restriction of the inquiry to the test of the actions of a “reasonable man” subverts the very purpose of the requirement of the specific criminal intent.
The considerations which govern an appellate court in passing upon the prejudicial effect of an erroneous exclusion of evidence are somewhat different from those which apply when evidence is improperly admitted. Clearly, the prejudicial effect of error committed by the exclusion of evidence can be cured where other evidence has been admitted to prove the fact or condition sought to be established (Siebel v. Shapiro, 58 Cal.App.2d 509 [137 P.2d 56]; Ash v. Soo Sing Lung, 177 Cal. 356 [170 P. 843]) or where the challenged testimony was later admitted without objection (Callahan v. Marshall, 163 Cal. 552 [126 P. 358]; Robertson v. Bonelli, 65 Cal.App.2d 704 [151 P.2d 307]), for, under such circumstances, the question concerns only the effect of the exclusion of evidence additional to that otherwise presented. But where the court, as here, bars a defendant from introducing any medical evidence whatever tending to show either his state of mind or capacity to act maliciously for the purpose of disproving the existence of an element of the crime specified by the statute, the ruling necessarily constitutes a miscarriage of justice within the meaning of section 4% of article VI of the Constitution.
I would reverse the judgment and the order denying a new trial.
Traynor, J., concurred.
Dissenting Opinion
I dissent.
I agree with the holding in the majority opinion that the
Turning first to the limitation placed upon evidence of the mental condition of the defendant bearing upon the presence or absence of specific intent, malice, premeditation and the like, it is my understanding that the majority opinion holds that if the evidence offered shows a mental condition amounting to total insanity or legal insanity—the inability to distinguish between right and wrong, then it is not admissible at the trial of the issue raised by the plea of not guilty. For illustration, it is said: “Thus, if the proffered evidence tends to show not merely that he did or did not, but rather that because of legal insanity he could not, entertain the specific intent or other essential mental state, then that evidence is inadmissible under the not guilty plea and is admissible only on the trial on the plea of not guilty by reason of insanity.” In my opinion that rule is unsound, wholly impractical to apply and will lead not only to absurd results but will tend to encourage perjury and the juggling of words by expert witnesses on the question of defendant’s mental condition. It is unsound because it violates the fundamental principle that “the greater contains the less.” (Civ. Code, § 3536.) If the accused’s mentality at the time of the commission of the unlawful act was such that he could not distinguish between right and wrong—-had no reasoning capacity at all, he could not have had a specific intent, premeditated or acted maliciously. Thus evidence of that condition would establish a total lack of intent, premeditation or malice-elements, the proof of which, is indispensable to establish guilt. It is strange reasoning to say that you may prove a partial mental quirk or disability to refute the presence of intent but cannot give evidence of a total mental aberration. That is equivalent to saying that blindness in one eye will absolve a person from guilt, but that two sightless eyes will constitute no defense. Is this not a paradoxical absurdity?
The impracticability of the application of the rule is manifest. I have no doubt that trial judges, counsel and expert witnesses will be completely bewildered when they endeavor, each in his sphere, to apply the rule—to attempt to present and give evidence in a trial under the plea of not guilty.. It is to
I have assumed in the foregoing discussion that the rule stated in the majority opinion could be applied. At least an endeavor would be made to apply it, but its use is so impossible that it could not be followed, thus leaving nothing of it but words. Counsel for the defense would be urgently tempted to frame their questions to defendant’s expert witnesses in such a' fashion that the answers would show any mental condition short of insanity and to coach the witness to beware of pronouncing the defendant insane. Rather than putting a question and receiving an answer that the defendant could not distinguish between right and wrong, the elicited testimony would state that with his mental condition, he did not have a specific intent, nor did he premeditate or deliberate the commission of the crime, all of which would encourage
In my opinion there can be no doubt that the error in excluding the evidence of mental condition was prejudicial to defendant. The majority concedes that the “crucial factual question” was whether the act was done with malice aforethought and that “the materiality of this evidence in defendant’s case is patent.” The only evidence of malice was the inference that might be drawn from the conduct of defendant on other occasions. It certainly was not so overwhelming that it may be said, as does the majority, that it established malice as a matter of law. On the other hand the evidence offered by defendant was direct and forceful and from qualified witnesses who examined defendant at the time the offense was committed. Nothing could have been more pertinent. To say that the result would not have been different is impossible. It is equivalent to barring a defendant from offering any evidence on a defense such as insanity or self-defense, which would clearly be prejudicial.
I would, therefore, reverse the judgment and remand the case for a new trial.
Appellant’s petition for a rehearing was denied February 21, 1949. Edmonds, J., Carter, J., and Traynor, J., voted for a rehearing.
Reference
- Full Case Name
- The PEOPLE, Respondent, v. WESLEY ROBERT WELLS, Appellant
- Cited By
- 362 cases
- Status
- Published