People v. PartidaPeople v. Partida
Lead Opinion
Opinion
In this case, the trial court admitted evidence of defendant’s gang involvement over his objection that the evidence was more prejudicial than probative. (See
Defendant argues on appeal primarily, perhaps exclusively, that the trial court should have excluded the evidence for the reason asserted at trial—that it was more prejudicial than probative. He also argues that this asserted error violated his right to due process. He may make that argument. To the extent, if any, he argues that due process required the court to exclude the evidence for a reason not included in the trial objection, that argument is forfeited because he did not object to the evidence on that basis at trial.
On the merits, we accept the Court of Appeal’s conclusion that the trial court erred in overruling defendant’s trial objection as to some of the gang evidence. We also conclude that error of the kind asserted here rises to the level of a due process violation only if it renders the trial fundamentally unfair. Finally, we also accept the Court of Appeal’s conclusions that the perceived error was harmless under state law and did not render the trial fundamentally unfair.
I. Facts and Procedural History
On August 11, 2001, Jesse Moreno and three companions were ordering food at a Tacos El Unico taco stand in the Compton area of Los Angeles. A passenger in a green van, identified as defendant, asked Moreno, “Where are you from?” Moreno and a companion told defendant, “We don’t bang.” Defendant responded, “Pm from USV, Unos Sin Vergüenza.” The van then left but soon turned around. Later defendant approached Moreno on foot, holding a gun. When defendant pointed the gun at Moreno, Moreno tried to flee, but defendant shot him from behind. As he did so, defendant said, “Fuck you, I’m from USV, Unos Sin Vergüenza.” Moreno died of two gunshot wounds in the back.
Defendant was charged with Moreno’s murder. At trial, after a pretrial hearing, and over defendant’s objection, the court permitted a sheriff’s detective to testify as an expert on criminal street gangs. He testified that in English, “Unos Sin Vergüenza” means “those without shame” or “ones without shame.” He provided substantial testimony about gangs, including how they mark out their territory, and how they commit violent crimes to enhance their reputation. Just before the detective testified, defense counsel renewed on the record that he was objecting to the gang evidence on the basis of Evidence Code
A jury found defendant guilty of Moreno’s murder in the first degree and found true a weapon enhancement allegation. The court sentenced him to prison for a total of 50 years to life. He appealed.
The Court of Appeal affirmed the judgment. It found that, although much of the gang evidence was properly admitted, the trial court abused its discretion under Evidence Code
We granted defendant’s petition for review.
II. Discussion
A. Forfeiture
Defendant objected to the gang evidence at trial on the ground that it should have been excluded under Evidence Code
The first question we must decide is whether petitioner’s objection under Evidence Code
A century ago, long before the Evidence Code existed, we explained the need for a specific objection. “To require this is simply a matter of fairness and justice, in order that cases may be tried on their merits. Had attention been called directly in the court below to the particular objection which it is now claimed the general objection of appellant presented, that court would have had a concrete legal proposition to pass on, and counsel for plaintiff would have been advised directly what the particular complaint against the question was, and, if he deemed it tenable, could have withdrawn the inquiry or reframed his question to obviate the particular objection. Trial judges are not supposed to have the numerous, varied, and complex
The objection requirement is necessary in criminal cases because a “contrary rule would deprive the People of the opportunity to cure the defect at trial and would ‘permit the defendant to gamble on an acquittal at his trial secure in the knowledge that a conviction would be reversed on appeal.’ ” (People v. Rogers (1978)
Thus, the requirement of a specific objection serves important purposes. But, to further these purposes, the requirement must be interpreted reasonably, not formalistically. “Evidence Code section 353 does not exalt form over substance.” (People v. Morris, supra,
In this case, defendant objected at trial that the gang evidence should be excluded under Evidence Code
We believe, however, that defendant may make a very narrow due process argument on appeal. He may argue that the asserted error in admitting the evidence over his Evidence Code
We recently concluded that, “[a]s a general matter, no useful purpose is served by declining to consider on appeal a claim that merely restates, under alternative legal principles, a claim otherwise identical to one that was properly preserved by a timely motion that called upon the trial court to consider the same facts and to apply a legal standard similar to that which would also determine the claim raised on appeal.” (People v. Yeoman (2003)
Here, as discussed in part II.B., post, the admission of evidence, even if error under state law, violates due process only if it makes the trial fundamentally unfair. Accordingly, the due process argument is not identical to the trial objection. (See also Duncan v. Henry (1995)
When a trial court rules on an objection to evidence, it decides only whether that particular evidence should be excluded. Potential consequences of error in making this ruling play no part in this decision. A reviewing court, not the trial court, decides what legal effect an erroneous ruling has.
If the trial objection fairly informs the court of the analysis it is asked to undertake, no purpose is served by formalistically requiring the party also to state every possible legal consequence of error merely to preserve a claim on appeal that error in overruling the objection had that legal consequence. Specifically, no purpose would be served by requiring the objecting party to inform the court that it believes error in overruling the actual objection would violate due process. Indeed, if a defendant who objected on Evidence Code
The Attorney General cites a number of cases in which we found a due process argument on appeal not cognizable when the defendant had not objected on due process grounds at trial. (E.g., People v. Heard (2003)
Here, to the extent defendant asserts a different theory for exclusion than he asserted at trial, that assertion is not cognizable.
B. The Merits
Permitting defendant to argue that erroneously overruling his trial objections violated due process does not, of course, mean that the argument is meritorious; it only means that he may make the argument.
The Court of Appeal held that the trial court abused its discretion under Evidence Code
The Court of Appeal applied the correct test both when it found no due process violation (fundamental fairness) and when it found the state law error harmless (Watson). Because the Court of Appeal’s application of these tests is fact specific, we also accept its conclusions on these points.
III. Conclusion
We affirm the judgment of the Court of Appeal.
George, C. J., Werdegar, J., and Moreno, J., concurred.
Notes
Evidence Code
The concurring and dissenting opinion asserts that defendant’s argument that “the gang evidence was inherently prejudicial in that it was akin to propensity evidence, criminal profile evidence, and evidence of crimes committed by third parties” is new and not included in his trial objection under Evidence Code
The concurring and dissenting opinion also relies heavily on these cases, but they do not consider this question. For example, the case that opinion discusses most extensively as “typical” (conc. & dis. opn., post, at p. 440), People v. Rowland, supra,
The concurring and dissenting opinion states that these three cases neither reflected that the Attorney General had asserted the claims were forfeited nor cited Evidence Code section 353. (Conc. & dis. opn., post, at p. 442, fn. 1.) The same is true of the cases the concurring and dissenting opinion cites as supposedly resolving this entire question. (Id. at p. 440.) (In People v. Yeoman, supra,
In response to the concurring and dissenting opinion’s assertion that we are somehow permitting “a challenge to an evidentiary ruling based on an argument never presented to the trial court” (conc. & dis. opn., post, at p. 446) and, accordingly, are permitting defendants to “blindsid[e]” the trial court and prosecution {id. at pp. 450, 451), we can merely reiterate what we have already stressed: If the court overrules the objection, the objecting party may argue on appeal that the evidence should have been excluded for the reason asserted at trial, but it may not argue on appeal that the court should have excluded the evidence for a reason different from the one stated at trial. A party cannot argue the court erred in failing to conduct an analysis it was not asked to conduct. (Ante, at p. 435.) We are permitting no blindsiding.
In response to the concurring and dissenting opinion’s assertion that this opinion is “likely to breed confusion” (cone. & dis. opn., post, at p. 449), we believe that permitting defendants to argue that error in overruling a trial objection was so serious as to render the trial fundamentally unfair in violation of their due process rights is neither particularly complex nor beyond the comprehension of future courts.
Concurrence Opinion
When a party objects at trial to the admission of certain evidence as substantially more prejudicial than probative under Evidence Code
The analysis here therefore should be straightforward. The general forfeiture rule set forth in Evidence Code section 353 “applies equally to any claim on appeal that the evidence was erroneously admitted, other than the stated ground for the objection at trial.” (People v. Kennedy (2005)
Rowland and our other cases construing Evidence Code section 353 are indistinguishable from the circumstances here, which involve the admission of evidence of defendant’s gang involvement to explain the motive for his senseless murder of Jesse Moreno. At an Evidence Code section 402 hearing prior to trial, the prosecution made an offer of proof concerning the gang expert’s testimony and argued that this evidence tended to show the motive for Moreno’s murder as well as the identity of the murderer. Defendant objected to this evidence, but on the specific grounds that the evidence was irrelevant and cumulative. Almost as an afterthought, and without any elaboration, defendant also summarily objected on the ground the evidence was “more prejudicial than probative” under
At trial, the gang expert explained that “Where you from?” constitutes a “challenge” in the gang culture and is a question with “no correct answer.” The questioner “is asking you to either say ‘yes’ and claim your gang or do what is shameful and rank out which means you deny you’re ... a member of the gang.” When the questioner identifies his own gang—such as by saying, “This is USV, Unos Sin Vergüenza”—he is making sure the victim and the others nearby know that the gang is “claiming” this territory. The expert also explained that gangs commit crimes to enhance their reputations, that more violent crimes instill more fear and respect in the community, and that the shooter would thus perceive no need to disguise himself
On appeal, for the first time, defendant articulated a due process objection to this evidence. His due process objection was based not on the theory that the probative value of this evidence was substantially outweighed by the danger of undue prejudice but instead on the theory that the gang evidence was inherently prejudicial in that it was akin to propensity evidence, criminal profile evidence, and evidence of crimes committed by third parties.
As the majority concedes, defendant “did not object at trial that admitting the evidence would violate his due process rights.” (Maj. opn., ante, at p. 433.) The majority likewise concedes that the trial court had no opportunity to evaluate the constitutional arguments defendant now urges on appeal. (See id. at pp. 436-437.) Under the plain language of Evidence Code section 353 and our case law construing that statute in this precise context, defendant forfeited his claim that the admission of the gang evidence violated his due process rights. The majority, remarkably, finds to the contrary, although the precise basis for its conclusion remains obscure. In particular, the majority does not explain how an objection on
The majority does try to distinguish our long-standing line of cases construing Evidence Code section 353 to bar a defendant from claiming due process error for the first time on appeal, but the distinction is a false one. The majority suggests that these cases “hold only that the constitutional argument is forfeited to the extent the defendant argued on appeal that the constitutional provisions required the trial court to exclude the evidence for a reason not included in the actual trial objection.” (Maj. opn., ante, at pp. 437-438.) But, as discussed above, we have applied the forfeiture rule even when the actual trial objection was that the evidence was more prejudicial than probative under
The majority fails utterly to grapple with the doctrine of stare decisis and the special justification necessary to overrule a point of statutory construction. That is unfortunate. (See Shepard v. United States (2005)
1. Is defendant’s due process claim identical to his trial objection? No.
The majority quotes our recent opinion in People v. Yeoman (2003)
Defendant, like the Court of Appeal, argued that his due process claim was identical to his objection under
2. Did defendant’s trial objection, even if not identical to his due process argument on appeal, “fairly inform” the trial court of his due process argument? No.
The majority at various points deems it “important” that an objection “fairly inform” the trial court of the argument sought to be advanced on appeal. (Maj. opn., ante, at p. 435.) I agree that an objection should, at a minimum, fairly inform the trial court and the opposing party of the specific ground sought to be urged on appeal—but this, once again, offers no help to defendant. As the high court explained in Duncan v. Henry, supra,
3. Even if defendant’s due process claim is not preserved, may he nonetheless argue that the “legal consequence” of overruling his statutory objection was a due process violation? No.
The majority never actually states that defendant’s due process objection is preserved for appeal notwithstanding his failure to fairly present it to the trial court. Instead, the majority asks, “when, if ever, a trial objection on Evidence Code
The majority never explains what qualifies as a claim and what qualifies as a legal consequence (or how to distinguish between the two), nor does the majority explain why the former is barred but the
More problematically, the majority’s blanket assertion that we may review a challenge to an evidentiary ruling based on an argument never presented to the trial court so long as the argument is cast as a “consequence” rather than as an independent “claim” is utterly bereft of legal support. The majority cites no authority, here or elsewhere, in support of this newly minted distinction. This is not surprising, inasmuch as we long ago foreclosed such sophistic analysis: “ ‘The general rule confining the parties upon appeal to the theory advanced below is based on the rationale that the opposing party should not be required to defend for the first time on appeal against a new theory that “contemplates a factual situation the consequences of which are open to controversy and were not put in issue or presented at the trial.” ’ ” (Yeoman, supra,
Even on its own terms, the distinction the majority draws between this case and our existing rule is at best an elusive one. As I understand it, the majority would continue to bar defendants from arguing for the first time on appeal that by overruling a
4. Is the trial court incompetent to decide a due process claim? No.
The majority observes that in resolving a
In my view, it is plain that trial courts are competent—indeed, well equipped—to resolve evidentiary objections based on due process. The judge who sits through the trial and hears the witnesses firsthand is in a much better position to gauge the impact of the challenged evidence on the jury than is an appellate tribunal, which has only the cold record to review. (Cf. People v. Cornwell (2005)
Our forfeiture rule reflects the principle “that a trial on the merits, whether in a civil or criminal case, is the ‘main event,’ and not simply a ‘tryout on the road’ to appellate review.” (Freytag v. Commissioner (1991)
5. Whatever the rationale for the majority’s exception to our long-standing forfeiture rule, has defendant actually satisfied the exception? No.
Evidence Code section 353 bars relief based on the admission of evidence unless the objecting party stated an objection so as “to make clear the specific ground of the objection” (italics added) and the appellate court agrees that the evidence should have been excluded “on the ground stated.” Defendant’s due process claim is forfeited through any fair application of this clear statutory command. But, under the majority’s strained interpretation of the statute, relief may be granted “for a reason asserted at trial” or “included in the trial objection.” (Maj. opn., ante, at p. 431, italics added.) However, the objecting party “may not argue on appeal that the court should have excluded the evidence for a reason different from the one stated at trial.” (Id. at p. 435.) Although the majority’s new formulation is sure to spawn hard-fought but largely pointless litigation as to what constitutes the same reason or a different reason, this case seems to fit in the latter category, not the former.
As the majority concedes, the sole reason defendant identified at trial for excluding the gang evidence was his unadorned contention that it was more prejudicial than probative. On appeal, though, defendant’s claim has undergone a transformation. Defendant does not claim merely that the admission of evidence that was more prejudicial than probative, in that its probative value was so slight, violated his due process rights. Rather, he argues that his due process rights were violated by the admission of evidence that was “inherently prejudicial” and that this evidence should be treated like evidence of a defendant’s propensity to commit crimes, evidence of a criminal profile, and evidence of crimes committed by third parties. As to propensity, he argues that the gang evidence caused the jury to believe he “was more likely to have committed the violent offenses charged against him because of his membership in the . . . gang.”
As amicus curiae State Public Defender explained at oral argument, the burden rests with the appellant to show that the appellate claim was the same as the trial objection. Defendant has not discharged this burden. Neither the trial court nor the prosecutor was ever alerted to these theories for exclusion, let alone any of the case law on which defendant is now relying. The prosecution never had the chance to “respond appropriately” to these bases for excluding the evidence, and the trial court never had the chance to “make a fully informed ruling” on them. (Maj. opn., ante, at p. 435.) As the Attorney General pointed out in his brief and again at oral argument, a fair reading of the record reveals that defendant’s due process claims do not fall within the majority’s newly created exception to the forfeiture rule.
Thus, rather than “reiterate” its general rule that a defendant may argue on appeal that the evidence “should have been excluded for the reason asserted at trial” but not “for a reason different from the one stated at trial” (maj. opn., ante, at p. 438, fn. 5), the majority ought instead to identify which of these due process arguments were preserved by defendant’s perfunctory
In sum, there is no rationale—let alone a coherent one—for repudiating our long-standing forfeiture rule in this context. Even if this were a question of first impression, there is likewise no justification for the exception the majority has crafted to Evidence Code section 353’s clear command. Although such an exception has the potential to be extended in unpredictable and mischievous ways, one hopes that it will instead remain a curiosity, applicable only to the singular circumstance when a defendant unsuccessfully challenges the admission of evidence at trial as more prejudicial than probative under
If, on the other hand, the new exception created by the majority were to have any practical effect, it will come only at the cost of blindsiding trial courts that have conscientiously considered the objections actually made and burdening appellate courts by forcing them to address evidentiary objections never passed on below. When a defendant objects that the admission of certain evidence would violate
If the prosecution were similarly alerted in a timely manner to the due process claim, it too would likewise have an opportunity to make appropriate adjustments. The prosecutor (or the trial court) might propose a limiting instruction that would ameliorate the possibility the jury might use the evidence for an improper purpose, such as to prove that the defendant had a propensity to commit this type of crime, that defendant fit a criminal profile, or that defendant was guilty because of his association with criminals. The prosecutor might choose to offer additional evidence on the points in controversy, thereby diminishing the importance of the challenged evidence. The prosecutor might achieve the same result by electing not to rely on the disputed evidence in closing argument. In short, both the trial court and the prosecutor might make numerous adjustments upon learning the true nature of defendant’s objection. I therefore respectfully disagree with the majority’s assertion that “no purpose would be served by requiring the objecting party to inform the court that it believes error in overruling the actual objection would violate due process.” (Maj. opn., ante, at p. 437.) At a minimum, the majority’s approach will undermine what defense counsel and amicus curiae State Public Defender conceded at oral argument was the “best practice” for trial lawyers—i.e., to present the trial court with an objection on both
Aside from blindsiding the trial court and the opposing party, the majority’s new exception to Evidence Code section 353 encourages defendants to withhold all but one of the grounds for an objection from the trial court and then, on appeal, to invoke every conceivable constitutional provision as a legal consequence of overruling the objection actually made at trial. This will do nothing but burden appellate courts with the task of evaluating a multiplicity of legal consequences, none of which was ever presented to the trial court and
Evidence Code section 353 requires a party’s objection to be “timely made and so stated as to make clear the specific ground of the objection.” (Italics added.) The majority concedes that defendant never made clear to the trial court that he objected to the gang evidence on the specific ground of due process and concedes as well that his due process objection is not “identical,” within the meaning of Yeoman, supra,
Kennard, J., and Ashmann-Gerst, J.,
Respondent’s petition for a rehearing was denied February 8, 2006. Chin, J., did not participate therein. Kennard, J., and Baxter, J., were of the opinion that the petition should be granted.
The majority also cites three cases in which we proceeded to decide a due process claim even though the face of the opinion did not reflect that an objection on that ground had been made in the trial court. (People v. Cole (2004)
People v. Wheeler (1978)
Batson v. Kentucky (1986)
I agree with the majority that a trial court, in ruling on an evidentiary objection, “would not decide whether an erroneous ruling would be prejudicial under the . . . test” of People v. Watson (1956)
Associate Justice of the Court of Appeal, Second Appellate District, Division Two, assigned by the Chief Justice pursuant to article VI, section 6 of the California Constitution.