Opinion
A jury, convicted defendant and appellant Lee Rivers of robbery (Pen. Code, § 211) 1 ; defendant having waived a jury on enhancement allegations, the court then found true the allegation that defendant had suffered a prior serious felony conviction within the meaning of section 667, subdivision (a). Defendant was sentenced to a total term of eight years, comprised of the three-year midterm for the robbery, and a five-year enhancement.
On this appeal, defendant argues that the CALJIC No. 2.21.2 impermissibly and prejudicially authorized the jury to believe testimony based only upon a “probability” that it was truthful, thus lessening the prosecution’s burden of proof. He also alleges error in the trial court’s refusal to allow him to represent himself. We find merit only in his second contention, but find the error harmless. Accordingly, we affirm the judgment.
Statement of Facts
The prosecution presented only two witnesses, Edward Plunkett, the victim, and Officer Valmont Graham, who apprehended defendant. Plunkett’s testimony was by far the more important, and it was towards his testimony that the challenged instruction obviously related.
In short, Plunkett testified that, on the night of the incident, he had been drinking in a downtown Riverside bar. After he left around midnight, he was
However, the conversation “drifted into coke rock,” and it was agreed that Plunkett would purchase $10 worth of cocaine from the pair. Plunkett followed the pair to a secluded area, where he was “blind side punched” and knocked down by defendant. A scuffle ensued between Plunkett and defendant, with the companion, McGlothan, eventually stepping in to help defendant. Plunkett was briefly choked, and the two men seized his money from his pants pocket and fled.
Plunkett followed, and saw a white Cadillac taking off down the street. As he pursued the car, he found it stopped by the police nearby. He approached, and told the police that he had been robbed of $21. He identified defendant and his companion to the police, but did not identify a third man.
A photograph of Plunkett taken at the time showed his shirt out of the waistband and unbuttoned almost to the waist; there were red marks around his neck and jaw and blood on his face. His jacket was dirty, inferrably from the fall and scuffle.
On cross-examination, Plunkett admitted that he had not told the police officers that the robbery had its genesis in an arranged drug sale. He denied that the drug purchase had been consummated, that he had been given fake cocaine, and that he had fabricated the robbery report out of anger and a desire for revenge.
Officer Graham made an unrelated traffic stop on the white Cadillac immediately after the incident. He testified that Plunkett ran up and said that he had just been robbed by “those guys.” Plunkett was out of breath, his clothes were disheveled, and he had what appeared to be fresh scratches on his face. Plunkett told him that the driver of the Cadillac was not involved, but identified defendant and McGlothan.
Defendant also had a fresh scratch on his face; he attempted to prevent a photograph being taken. He claimed to have received the scratch while trimming a tree, although this was not consistent with its fresh appearance. A crumpled-up $20 bill and $1 bill were found in defendant’s sock. Fake rocks of cocaine were found in his shirt pocket.
Finally, Officer Graham testified that Plunkett did not appear to be drunk at the time and spoke coherently.
A.
The Giving ofCALJICNo. 2.21.2 3
As instructed, the jury was informed that “A witness who is willfully false in one material part of his or her testimony is to be distrusted in others. You may reject the whole testimony of a witness who willfully has testified falsely as to a material point, unless, from all the evidence, you believe the probability of truth favors his or her testimony in other particulars.” Defendant argues that because the jury was told that it could use a
probability
standard to determine whether or not to accept some of Plunkett’s testimony, the instruction conflicts with the “beyond a reasonable doubt” standard imposed on. the prosecution. (See § 1096, codifying the standard;
In re Winship
(1970)
The People rely on cases in which the instruction was challenged on the basis that it improperly increased the defendant’s burden when he testified, by telling the jury that his exculpatory testimony should not be accepted unless it was favored by the “probability of truth”; accordingly, it has been argued that this is a heavier burden than that of merely raising a reasonable doubt. This position has been repeatedly rejected.
(People
v.
Beardslee
(1991)
The considerations, however, are slightly different when the instruction is applied to a prosecution witness who provides the critical evidence against the defendant. In this case, Plunkett’s testimony about the actual circumstances under which defendant took his money was not corroborated; defendant’s flight, and even the evidence of a scuffle, could have been explained by
However, a similar argument was rejected in
People
v.
Salas
(1975)
“It is well established in California that the correctness of jury instructions is to be determined from the entire charge of the court, not from a consideration of parts of an instruction or from a particular instruction.”
(People
v.
Burgener
(1986)
As noted above, we have some concerns about the use of the instruction where it affects the crucial testimony of a sole percipient witness. However, we follow Salas here in part because, as in Clay, there is no possibility of prejudice.
The trial court apparently believed that CALJIC No. 2.21.2 was justified due to inconsistencies between Plunkett’s testimony concerning his explanations to the officers, and Officer Graham’s testimony. However, there were no material variations.
Plunkett’s lack of recollection concerning his having told Officer Graham that defendant wanted 75 cents to buy alcohol was on a trivial point; even if he had positively testified that he had not said this, the discrepancy would have been insignificant because he did testify, consistently with Officer Graham, that he had told a story about making change in the alley. He also admitted that he had concealed the proposed drug transaction. His testimony was not subject to doubt on these factual points.
The only
material
fact as to which Plunkett testified, which the jury might have found false, was the fact central to the prosecution’s case: that defendant had jumped him and taken his money by force, before any drug sale took place. If the jury had found him willfully false in this testimony, it would have acquitted defendant without further ado. Obviously it found him truthful, and Plunkett gave no other testimony which could have been found willfully false on a material point. Thus, CALJIC No. 2.21.2 cannot have come genuinely into play. Even if we were to find error, we would hold it harmless beyond a reasonable doubt. (Cal. Const, art. VI, § 13;
Rose
v.
Clark
(1986)
B.
The Denial of the Faretta Motion
After the jury returned its verdict on the robbery charge, as the court proposed to take up the allegation of the prior conviction, defendant asked for “everything pertaining to my counselor that’s written on paper before we got any further on proceedings.” When the court asked for clarification, counsel said “I think in a way what he’s doing is like a Marsden hearing, 5 wants to take over pro per from this point on is what I think it is.” Defendant said “That’s right.”
Without discussion or inquiry, the court denied the request as untimely. This was error.
As the trial court recognized, defendant’s request, coming
during
trial, was not timely. Although a bifurcated trial on allegations of a prior conviction has some of the elements of a separate trial, the court in
People
v.
Givan
(1992)
Although in this case, some of the factors which influenced the court in Hamilton and Hardy do not apply—for example, defendant waived a jury on the priors, so that the issue would not here be determined by the same trier of fact that decided guilt—we nevertheless agree with the Givan court that defendant’s request came in “midtrial” of a proceeding which had been divided into separate components for defendant’s benefit. It was therefore not timely and the trial court was not absolutely required to grant it.
However, the record fails to demonstrate that the trial court exercised its discretion on the motion.
Windham
instructs the trial court faced with an untimely request under
Faretta
to consider such factors as “the quality of counsel’s representation of the defendant, the defendant’s prior proclivity to substitute counsel, the reasons for the request, the length and stage of the proceedings, and the disruption or delay which might reasonably be expected to follow the granting of such a motion.”
(People
v.
Windham, supra,
As the Attorney General points out, one reason for requiring the court to undertake such an inquiry is to ensure that the record permits meaningful appellate review. (
The Attorney General asserts that “the trial judge safely concluded that the record already sufficiently demonstrated the quality of counsel’s representations, the lack of any prior interest in appellant’s part in representing himself, and the stage of the proceedings at which the request was made.” We find it difficult to interpret the trial court’s immediate denial of the request as demonstrating that it gave any consideration whatsoever either to the state of the record or the Windham factors.
While the trial court may conceivably have given thought to the quality of counsel’s representation, a defendant dissatisfied with counsel must be permitted to recount specific examples of claimed inadequacy; the court may not rely solely on its courtroom observations.
(People
v.
Marsden, supra,
We also reject the Attorney General’s reliance on defendant’s failure to make any earlier requests for self-representation as somehow demonstrating the whimsical nature of his request. This factor is usually employed against the defendant who has made numerous requests for new counsel or who has demanded counsel after obtaining self-representation privileges. (See
People
v.
Williams
(1990)
As for the stage of the proceedings, we agree that it is clear from the record, but find that the timing of the request does not militate in favor of the ruling. As the Attorney General concedes, the trial court apparently did not consider whether any delay would be necessary. We note that defendant did not request a continuance of the hearing on the priors. (See
People
v.
Tyner
(1977)
By delaying his Faretta motion until virtually the end of proceedings, defendant waived, or forfeited, his absolute constitutional right. His right was based on case law (e.g. People v. Windham), as was that in Crandell. Thus, we conclude that although the court erred in its handling of his request under the applicable precedents, this error is not automatically reversible, but is reviewed under the “harmless error” test of Watson. That case, construing what is now article VI, section 13 of the California Constitution, defined the standard as whether in the absence of the error, it is “reasonably probable” that a result more favorable to the appellant would have been reached. We therefore proceed to apply this standard.
It is true that it is routinely held that any
substantial impairment
of the right to counsel is reversible per se. Thus, in
People
v.
Hosner
(1975)
In this case there was no deprivation of counsel in the sense of denial or absence. As noted above, it is conceivable that defendant had some instances of ineffectiveness which he could have presented to the court had he been asked. However, the record is devoid of any indication that defendant wished to challenge the completed proceedings by way of a motion for new trial. (Cf. Ivans, supra, 2 Cal.App.4th 1654) Apparently he said nothing of the sort to his attorney, and certainly nothing to the trial court. He simply confirmed that he wanted to represent himself. 8
We therefore consider it proper to evaluate the error in light of the
subsequent
proceedings. It is candidly recognized that a defendant who represents himself virtually never improves his situation or achieves a better result than would trained counsel. (See, e.g.,
Faretta,
Here, the case proceeded to a court trial of the prior conviction allegation. The record indicates that a “969b” packet was introduced into evidence, bearing defendant’s name (as well as at least one alias) and photograph. A fingerprint expert testified that the prisoner’s fingerprints in the packet belonged to defendant. The expert was cross-examined on the number of points of similarity between the prints; however, there were numerous similarities, to a level of scientific significance, and no dissimilarities were observed by the expert. No other defense was presented and none is visible from the record. It is not conceivable that defendant, representing himself, could have achieved a more favorable result.
The same is true of the sentencing hearing. Defendant, of course, had the opportunity to present his side of the story and his reasons for lenience to the probation officer, and he did so. He also wrote a letter to the court protesting his innocence, and asking for mercy because he was suffering from stomach cancer and other serious ailments. Counsel’s argument also reminded the court that the five-year enhancement penalty alone ensured that defendant would be severely punished, and asked for the lower term on the robbery. The court found that the circumstances amply justified the upper term; the probation report listed five factors in aggravation and only one in mitigation. 9
Nevertheless, the court imposed only the middle term. Once again, it cannot be argued that defendant might have obtained a better result on his own; the lower term simply was not a genuine possibility. Furthermore, defendant did have the personal opportunity to set out reasons for leniency, and took advantage of those opportunities. Any interference with his right of
As in Crandell and Chavez, there simply is no reasonable probability—or even possibility—that defendant would have obtained a more favorable result acting for himself. Any error was clearly harmless. 10
Disposition
Accordingly, the judgment is affirmed in its entirety.
Ramirez, P. J., and Hollenhorst, J., concurred.
Appellant’s petition for review by the Supreme Court was denied March 17, 1994.
The court decided to give CALJIC No. 2.21.2 because it felt that Plunkett’s testimony concerning his reasons for not mentioning drugs to the officer was arguably inconsistent with the officer’s testimony concerning what was said at the site. We express no opinion on the propriety of the instruction from the point of view of the prosecution; however, we do note that the only “evidence” that the robbery report itself was totally fabricated came from the insinuations of defense counsel.
Notes
All further statutory references are to the Penal Code.
McGIothan was acquitted of the charges against him.
This possibility was supported by the chunks of “fake cocaine” found on defendant’s person.
People
v.
Marsden
(1970)
See, however,
People
v.
Tarver
(1991)
The transcript leaves it somewhat unclear what it was that defendant really wanted; defense counsel first restated defendant’s complaints as “like a Marsden hearing,” but then “clarified” that defendant “wants to take over pro per from this point on. . . .” We have accepted defendant’s position on appeal that his affirmation “That’s right” referred to the statement that he wanted to represent himself; he does not claim on appeal that he really wanted new counsel.
Requests under both
Marsden
and
Faretta
must be clear and unequivocal; the one does not imply the other. (See
People
v.
Crandell, supra,
46 Cal.3d at pp. 854-855;
People
v.
Williams, supra,
We do recognize that defendant’s failure to explain himself cannot be stretched too far against him, because the court gave him little opportunity to go into details. However, defendant had later chances to talk to his attorney and demand that counsel seek to have him relieved of the consequences of any alleged incompetence—e.g., by a motion for new trial. Had defendant asked that a new trial motion be made on the grounds of incompetence, the attorney would have been obliged to notify the court and ask that new counsel be appointed to evaluate the claim. (See
People
v.
Stewart
(1985)
In aggravation, the report noted the factors of planning and premeditation (shown by luring the victim into a secluded area), defendant’s numerous prior convictions (including drug offenses, three robberies, and other theft-related crimes), the fact that he was on probation at the time the crime was committed, the fact that he had previously performed poorly on probation, and the fact that he had served previous prison terms. In mitigation, the probation report listed only his poor health.
The defendant has been found guilty and sentence enhancements have been found true and he has not raised as an issue on appeal the unconstitutionality of the definition of “reasonable doubt” in CALJIC No. 2.90 and/or error by the trier of fact in its application of the “reasonable doubt” standard, as so defined.
This court deems defendant to have contended: (1) that the definition of reasonable doubt, as set forth in the CALJIC No. 2.90 jury instruction, is unconstitutional pursuant to
Cage
v.
Louisiana
(1990)
This court further deems the People to have opposed this contention on the ground that under the principles of stare decisis
(Auto Equity Sales, Inc.
v.
Superior Court
(1962)
We agree that we are bound to follow the decisions of our state Supreme Court in
People
v.
Noguera
(1992)
