Lead Opinion
John Gary Arredondo appeals from the district court’s denial of his 28 U.S.C. § 2254 habeas petition. Arredondo was convicted by a superior court jury in April 1999 of assault by means of force likely to produce great bodily injury and battery with serious bodily injury in violation of California Penal Code §§ 243(d), 245(a)(1). The only issue before us is whether the trial court violated Arredondo’s Sixth Amendment right to present a defense by refusing to order a witness to testify after the witness invoked his Fifth Amendment privilege against self-incrimination as to prior convictions and pending charges. As the California Court of Appeal’s decision upholding the trial court’s ruling did not run afoul of clearly established law as determined by the United States Supreme Court, we affirm.
I
Arredondo and Robert Reed lived in different rooms in an old hotel in downtown Los Angeles. They were friends and occasionally borrowed money from each other, but they got into a fight on the
Arredondo’s version was quite different. Arredondo testified that he went to Reed’s room to collect a debt, and that for no reason, Reed hit him in the head and then pulled him into his room, causing the two men to fall. As the two stood up, Reed hit Arredondo two more times. At that point, Arredondo, acting in self-defense, hit Reed twice. Reed responded by hitting him in the head with a broom. The two men again fell down. Reed stood up and approached Arredondo with a knife. Arre-dondo grabbed Reed and hit him four times, hoping to render him unconscious. Reed dropped the knife and fell onto the bed. Arredondo left.
Before trial, Arredondo’s counsel indicated that he intended to call Jeffrey Hansen to testify that he and a companion saw Arredondo knock on Reed’s door and ask for money. Reed opened the door, and punched Arredondo in the face, causing Arredondo to fall backward and then forward into Reed’s room, landing on Reed. The door closed, and Hansen and his companion left.
Hansen, who was facing an alcohol theft charge in an unrelated Three Strikes case in which four prior convictions were alleged, was represented by Deputy Public Defender Peter Swarth. Swarth acknowledged that the prosecutor could properly impeach Hansen on cross-examination with his prior felony convictions, but explained that Hansen’s answers could potentially incriminate him in his own trial if Hansen later decided to contest whether he had suffered the priors. Swarth also acknowledged that it would be' reasonable to question Hansen about his pending charge-because theft is a crime of moral turpitude, yet explained that such questioning could get Hansen “into very [sic] trouble.” Finally, Swarth told the court that he believed Hansen was on parole, raising the possibility that Hansen’s presence at the hotel or his association with Arredondo could constitute, a parole violation. Swarth asked to be present during Hansen’s testimony so that he could review with Hansen on a question-by-question basis the decision whether to invoke his Fifth Amendment right. The trial court deferred ruling until the defense case was-presented.
When that. time came, Arredondo offered to stipulate to Hansen’s convictions but the prosecution declined. Swarth represented that he had advised Hansen not to testify. Hansen was sworn, and stated that he wanted to “take the Fifth.” The trial court concluded that it could not order Hansen to testify, particularly given Swarth’s advice and the substantial liability he was facing. The court then ruled that Hansen should not be called in front of the jury or be allowed to testify on direct as he could not be cross-examined.
Arredondo was convicted and subsequently sentenced to an aggregated term of 45 years to life on account of four prior
Arredondo filed a habeas petition in district court claiming that his constitutional right to present a defense \yas violated when the trial court accepted Hansen’s invocation of the Fifth Amendment. The district court denied the petition and Arre-dondo’s application for a certificate of ap-pealability (COA). However, we granted a COA on one issue: “whether the trial court violated appellant’s Sixth Amendment right to present a defense by refusing to order a witness to testify after the witness invoked his Fifth Amendment privilege against self-incrimination as to collateral matters.”
II
We review a district court’s decision to grant or deny a 28 U.S.C. § 2254 habeas petition de novo. See Benn v. Lambert,
First, however, we must consider whether a Teague analysis is required. Teague v. Lane,
Ill
Arredondo’s appeal turns on his view that the Fifth Amendment privilege against self-incrimination applies only to testimony that relates directly to the matters at issue in his criminal trial, not to “collateral” matters. For this he relies on United States v. Esparsen,
Arredondo’s reliance on Ninth Circuit or other circuit authority is misplaced. He must show that the California Court of Appeal decision was “contrary to, or involved an unreasonable application of, clearly established Federal law, as determined by the Supreme Court.” 28 U.S.C. § 2254(d)(1) (emphasis added). This he has not done, and cannot do. Chambers and Washington v. Texas,
In Chambers, the defendant was unable to cross-examine a witness who had repudiated a prior confession or to present witnesses who would have discredited that witness’s repudiation and demonstrated his complicity in the crime for which the defendant was accused because of the state’s
In light of these precedents we cannot say that the California Court of Appeal decision was contrary to, or an unreasonable application of, law established by the Supreme Court. There is no question that a witness’s credibility is properly subject to exploration once he takes the stand. Indeed, Arredondo does not quarrel with the prosecution’s right to discredit Hansen by his criminal record or with Hansen’s right to invoke his Fifth Amendment privilege with respect to his prior convictions and pending theft charge. He posits impropriety only in disallowing all testimony when -the privilege would have extended only to “collateral” matters. However, this is.not a distinction that the Supreme Court has made, so the California Court of Appeal’s decision is not contrary to clearly established law. See Williams v. Borg,
While the right to call witnesses on behalf of the defense is well established, the Supreme Court has indicated that the right is not without limitation and it has never indicated that a trial court has no discretion in determining whether the areas on which a defense witness has properly invoked the Fifth Amendment will so affect the probative value or prejudicial impact of his testimony as á whole that he should not-be allowed to take the stand at all. The alternative is for the witness to testify on direct, then to strike his testimony upon refusal to answer any questions on cross-examination having to do with his credibility. It is not objectively unreasonable for the trial court in Arredondo’s case to have perceived that such an exercise would have been pointless, confusing and wasteful. Hansen’s unimpeached testimony could have been helpful to Arredondo because it would have bolstered Axredon-
AFFIRMED.
Concurrence Opinion
concurring in the result:
I join the majority’s analysis of the duty of states to provide meaningful argument under Teague v. Lane,
Arredondo’s trial was, at bottom, a credibility contest between Arredondo and his alleged victim, Reed, that came down to this question: Which of these men threw the first punch and, therefore, was more likely the aggressor in the fight that ensued in Reed’s room? To help answer that question, Arredondo sought to call Jeffrey Hansen as a witness. Hansen was the only person at trial, other than Arredondo and Reed, who could offer the jury any direct perspective on this critical issue. Nevertheless, the trial judge excused Hansen from testifying, because Hansen planned to invoke the privilege against ■self-incrimination in response to certain questions on cross-examination by the prosecution. The California Court of Appeal affirmed.
Arredondo argues in part that the exclusion of Hansen’s testimony was either contrary to, or involved an unreasonable application of, Washington v. Texas,
Whether the exclusion of Hansen’s testimony involved an unreasonable application of Washington is a much tougher question. The majority reasons that, because Washington did not involve the assertion of the privilege against self-incrimination, it is not controlling. But “[sjection 2254(d)(1) permits a federal court to grant habeas relief based on the application of a governing legal principle to a set of facts different from those of the case in which the principle was announced.” Lockyer v. Andrade,
That principle is surely applicable here. Quite simply, to paraphrase Washington, the state trial court denied Arredondo the right to put on the stand Hansen, a witness physically and mentally capable of testifying to events he had personally observed, whose testimony would have been relevant and material to Arredondo’s defense. The only question is whether the court did so in an objectively unreasonable manner — as always, the devil is in the details.
If Arredondo had sought to compel Hansen to relinquish the privilege and testify to self-incriminatory matters, I would have no trouble joining the majority. As my colleagues point out, “a defendant’s right to present relevant testimony is not without limitation and ‘may, in appropriate cases, bow to accommodate other legitimate interests in the criminal trial process.’ ” Maj. op. at 783 (quoting Chambers v. Mississippi,
But Arredondo did not seek to extinguish Hansen’s invocation of the privilege. Rather, he asked the trial judge to compel Hansen’s testimony on nonincriminating matters. The trial judge refused, and the court of appeal affirmed on the rationale that “Hansen’s assertion of the Fifth Amendment on cross-examination would have deprived the prosecutor of his right to cross-examine and would have resulted in the striking of Hansen’s direct testimony.” People v. Arredondo, No. B132564, at 7 (Cal. Ct.App. June 28, 2000) (mem.). The question, then, is whether Arredondo’s right to present relevant evidence had to bow to the prosecution’s desire to impeach Hansen as to certain matters on- cross-examination.
That is a close question, and it merits close consideration. In habeas cases, “[w]e employ a balancing test for determining whether the exclusion of testimony violates due process.” Alcala v. Woodford,
Hansen’s testimony was clearly probative. Hansen was a direct percipient witness to the start of the fight in the hallway outside Reed’s doorway. He would have testified that he saw Reed throw the first punch. Thus, his testimony would have tended to support Arredondo’s claim that Reed, not Arredondo, was the aggressor. Further, by backing part of Arredondo’s story, Hansen’s testimony would also have bolstered Arredondo’s credibility, thus tending to support Arredondo’s account of the events that unfolded inside Reed’s apartment and his claim that he acted in self-defense.
As to reliability, there were no circumstances that rendered Hansen’s testimony inherently unreliable. The prosecution offered no evidence, for example, that Hansen was not on the scene to witness the beginning of the altercation, nor did the prosecution suggest that Hansen’s ability to perceive or recall the events was somehow impaired. Moreover, the record reveals no facts suggesting that Hansen’s testimony would have been self-serving in any way, or that he personally knew either
In addition, there surely can be no doubt that the jury would have been able to evaluate Hansen’s testimony. It presented no complicated or technical issues to navigate and was merely a straightforward narrative of what Hansen witnessed in the hallway of Arredondo’s and Reed’s residential hotel.
Hansen’s excluded testimony also would not have been cumulative, since he was the only eyewitness available to corroborate Arredondo’s account of the start of the altercation. See United States v. Parry,
And, finally, if Hansen’s testimony was not essential to Arredondo’s defense, it was quite significant. Even the trial judge acknowledged that Hansen’s testimony would have been helpful to Arredondo, for what was at the heart of this case was whether Arredondo acted in self-defense. If Reed had been shown to be the aggressor, Arredondo’s self-defense theory would have been more plausible. Perhaps nothing speaks more to the importance of Hansen’s testimony than the fact that the prosecution strove so mightily to keep it out— refusing even to stipulate, as defense counsel was willing to do, to Hansen’s prior convictions in order to lessen the need for Hansen to invoke the privilege.
Of course, that all of these factors weigh in Arredondo’s favor is not conclusive. We must also take account of the state’s interests, Alcala,
That assertion does not stand for two reasons: It isn’t entirely true and, even if it were true, striking all of Hansen’s testimony would still have been an extreme sanction unjustified in light of Arredondo’s constitutional right to present a defense. The state indicated that it would have sought to impeach Hansen’s testimony on two bases — that Hansen had four prior convictions and that a charge of alcohol theft was pending against him.
All that really hung in the balance for the state, then, was whether it could impeach Hansen with the circumstances that formed the basis of his pending charge. The prosecution could have introduced this evidence as proof that Hansen had committed a crime of moral turpitude, and did seek to use it to impeach Hansen’s statement to Arredondo’s investigator that Hansen did not know Reed because he did not associate with alcoholics. Or, to dispense with the legalese, the prosecution wanted to tell the jury that Hansen was a thief and a drunk and thus not believable.
Even assuming that this proposition would have carried any real weight with the jury, it was objectively unreasonable for the trial court to excuse Hansen’s testimony and for the court of appeal to affirm. The prosecution had available a means to introduce Hansen’s prior convictions by documentary evidence rather than by cross-examination. The prosecution further remained free to test the reliability and truth of Hansen’s testimony by exploring the circumstances under which he witnessed the events in question. And, finally, the other factors under Miller fairly outweigh the prosecution’s desire to further impeach Hansen’s credibility with the circumstances of his pending charge. This is so because the issue of Hansen’s credibility, while important, did not go to the heart of the matter to which Hansen was testifying. The facts underlying Hansen’s pending alcohol theft charge had no bearing on what he saw in the hotel hallway. Hansen’s credibility was, in other words, a collateral issue. See United States v. Gould,
Of course, these cases are not clearly established federal law from which Arre-dondo can draw the constitutional principle that he alleges was violated in his trial and, thus, as the majority recognizes, do not by themselves mandate that his conviction be vacated. Hernandez v. Small,
Because the state’s interest in impeaching Hansen on cross-examination was outweighed by the other factors under Miller, I would hold that the California Court of Appeal’s decision was an objectively unreasonable application of Washington. Ultimately, however, the error committed by the trial court cannot provide the basis for habeas relief, as it was harmless. The jury heard both Arredondo and Reed testify. Reed admitted that he was the first to make physical contact by pushing Arre-dondo with his hands, making the question of who threw the first punch less significant. The jury also heard evidence that the knife Arredondo claims Reed wielded was later found in Arredondo’s girlfriend’s apartment, consistent with Arredondo’s story that he took away the knife after Reed passed out. This evidence corrobo
Because I believe exclusion of Hansen’s testimony was harmless, I concur in the result reached by the majority. In addition, I join my colleagues’ analysis of Teague v. Lane,
As a final note, I distance myself from the majority’s parting observation that “the defense is not without options in these circumstances [such as Arredondo’s], for immunity may also be sought for the witness.”. Maj. op. at 784. Certainly defense counsel may seek immunity, but this will give little. consolation to criminal defendants in California. In California, most requests for immunity will fall under section 1324 of the Penal Code, which provides a means by which a prosecuting agency can seek immunity for a state witness.
Notes
. In addition, Hansen's lawyer .expressed concern that Hansen could later be prosecuted for perjury, and the state trial judge queried whether the terms of Hansen's parole might prohibit his presence at the hotel where the fight between Arredondo and Reed took place. Neither ground is valid in our analysis. A witness cannot invoke the privilege out of fear of a perjury charge as to a statement not yet made. United States v. Vavages, 151
. The court of appeal cited People v. Hecker,
. All Williams held was that the distinction between collateral and non-collateral matters is not by itself of constitutional magnitude, at least as to criminal defendants who take the stand on their own behalf. Williams,
. That provision states in its entirety:
In any felony proceeding or in any investigation or proceeding before a grand jury for any felony offense if a person refuses to answer a question or produce evidence of any other kind on the ground that he or she may be incriminated thereby, and if the district attorney of the county or any other prosecuting agency in writing requests the court, in and for that county, to order that person to answer the question or produce the evidence, a judge shall set a time for hearing and order the person to appear before the court and show cause, if any, why the question should not be answered or the evidence produced, and the court shall order the question answered or the evidence produced unless it finds that to do so would be clearly contrary to the public interest, or could subject the witness to a criminal prosecution in another jurisdiction, and that person shall comply with the order. After complying, and if, but for this section, he or she would have been privileged to withhold the answer given or the evidence produced by him or her, no testimony or other information compelled under the order or any information directly or indirectly derived from the testimony or other information may be used against the witness in any criminal case. But he or she may nevertheless be prosecuted or subjected to penalty or forfeiture for any perjury, false swearing or contempt committed in answering, or failing to answer, or in producing, or failing to produce, evidence in accordance with the order. Nothing in this section shall prohibit the district attorney or any other prosecuting agency from requesting an order granting use immunity or transactional immunity to a witness compelled to give testimony or produce evidence.
Cal.Penal Code § 1324.
