Lead Opinion
INTRODUCTION
Appellant/defendant Anthony Wilson, a prisoner at California Correctional Institution, Tehachapi, declared to Correctional Officer Bryan Thomberry that he could find anyone and “blast” them, he had killed officers, he had done it before and he would do it again, and he would find Thomberry and “blast” him when he was released on parole in 10 months. After a jury trial, defendant was convicted of count I, criminal threats (Pen. Code,
On appeal, defendant contends both convictions are not supported by substantial evidence, and the court committed instructional error as to the elements of section 76. We will find defendant’s conviction for making criminal threats against Thomberry is supported by substantial evidence because the nature and circumstances of the threat showed that it was “so unequivocal, unconditional, immediate, and specific as to convey to the person threatened, a gravity of purpose and an immediate prospect of execution of the threat.” (§ 422.) We will also find defendant’s conviction for violating section 76 is supported by substantial evidence as Officer Thomberry is in the class of persons covered by that section.
FACTS
On August 23, 2007, Correctional Officer Gilbert Ybarra was working as a control booth officer in a maximum security area of the Tehachapi prison. The inmates in that unit were primarily from the prison’s secure housing unit (SHU) or administrative segregation unit.
During the afternoon, Ybarra announced that the inmates should get ready to take showers. He remotely opened the cell doors one at a time to give each inmate an opportunity to walk to the showers. Ybarra opened defendant’s cell
Ybarra finished opening the cell doors for the other inmates and then returned to defendant’s door and opened it. Defendant was agitated when he walked out. Ybarra asked defendant if he wanted to take a shower. Defendant said, “F— no, I already took one.” Ybarra testified that defendant “stepped out of his cell and pulled out his penis, his erect penis, and said, ‘Shower this, you bitch ass motherf-----.’ ” Defendant went back into his cell and Ybarra closed the door. Ybarra did not know how long defendant had been on that tier and had not had any prior interactions with him.
About 10 or 15 minutes later, Ybarra reported the incident to Correctional Officers Joseph Mclrvin and Bryan Thomberry, who were the floor officers on duty. Mclrvin and Thomberry decided to speak to defendant about the incident. Ybarra opened defendant’s cell door and told him to go to the floor level office, and defendant complied. Ybarra remained in the control booth. Ybarra later heard defendant yelling, and watched Mclrvin and Thomberry lead defendant out of the building in restraints.
Defendant’s statements in the office
Correctional Officers Mclrvin and Thomberry testified about what happened when defendant entered the floor office. Mclrvin had been on the job for seven years and had never known an inmate to expose himself to a male officer. Mclrvin thought defendant’s behavior was bizarre and asked him what was wrong. Defendant said he did not have a problem. Mclrvin described him as agitated, “[k]ind of like with a chip on his shoulder” and his voice was “kind of snappy and loud.” Mclrvin advised defendant, “ ‘[T]he control officer informed me that you exposed yourself in a sexual manner.’ ” Defendant became “really mad” and said, “ ‘F— you, motherf-----. If he saw it, he must have liked it.’ ” Mclrvin testified defendant’s voice was raised and he was “pretty upset.”
Thomberry testified that when Mclrvin asked defendant what was going on, defendant “immediately began saying that, well, you know, what are you guys going to do, you know, kick my ass?” Both officers said that was not what they were there for, and they were just trying to find out what was going on. Thomberry testified defendant became more “agitated and elevated” and repeatedly said, “Are you going to kick my ass? Are you—you going to go ahead and f— me up. I’ve had my ass beat before.” Thomberry described defendant’s behavior: “He was becoming very loud, you know, yelling, and you could just see with his body language that he was, you know, very antsy
Both Mclrvin and Thomberry concluded they could not calm down defendant because he was very upset. Mclrvin feared the situation might escalate and become unsafe because of defendant’s conduct. The officers told defendant to turn around to be handcuffed. Defendant complied and Thomberry handcuffed defendant’s arms behind his back.
Defendant’s statements in the exercise yard
Mclrvin and Thomberry decided to escort defendant from the cell building to “clinic hold,” which is “kind of a cooling-off place,” a set of holding cells at the medical clinic where disruptive inmates are placed “so they don’t agitate the other inmates or disrupt the normal operation of the housing units.” They had to walk about 100 to 150 yards across an open exercise yard to reach the clinic. Mclrvin and Thomberry flanked defendant and each grasped an elbow while defendant’s hands were cuffed behind his back, and their batons were out.
Mclrvin testified that after defendant was restrained and while he was still in the office, defendant acted “very belligerent” and “starting saying a lot of things.” Mclrvin testified: “[Defendant] was asking if we were going to beat him up, and that if we were going to, we better do it while he’s in handcuffs, [f] He started talking about killing officers, claiming that he had done it before. []Q Just being very loud and belligerent.” (Italics added.)
Thomberry also testified that once defendant was placed in handcuffs, defendant asked if they were going to beat his ass. Thomberry told defendant no—that was not what they were there for. Thomberry testified defendant made additional statements as they walked out of the cell building. “And [defendant] said, ‘I’ll [szc] do it before and I’ll do it again,’ which to me meant that he was going to either plan—you know, was planning an assault or—you know, I didn’t really understand at that point, but I took it ... as a—some sort of a threat, you know.” (Italics added.)
Mclrvin testified that as they escorted defendant across the yard, defendant “just kept asking if we were going to beat him up, and that... he had been beat up by officers before, you know, that he wasn’t scared of that.” Mclrvin told defendant they were not going to beat him up, and they were taking him to “clinic holding” so he could tell the sergeants about his problem. Mclrvin testified defendant became “pretty animated” and his voice was very loud and
Mclrvin testified that as they approached the clinic holding area, they had to walk up a steady incline in the yard, which contained a helipad. At that point, defendant “looked over to Thomberry and told him, 7 can find anybody and blast them. That’s what I do.’ ” (Italics added.)
Thomberry also testified that as they walked up the helipad area, defendant turned and looked him right in his eyes and said: “7 get out in ten months. I find people. That’s what I do, and I’m going to find you, and I’m going to blast you.” (Italics added.) Thomberry testified he was in shock from defendant’s statement: “I’ve never had anybody say that they’re getting out in ten months, and so it was just—I guess fear.”
Defendant’s statements in the clinic holding area
When Thomberry and Mclrvin reached the clinic holding area with defendant, Mclrvin searched the cell for contraband while Thomberry kept his hands on defendant’s arms. They placed defendant in the cell. Thomberry directed defendant to back up and place his hands in the port, and Thomberry removed the handcuffs. The officers instructed defendant to strip for an unclothed body search. Thomberry testified that defendant “gave a deep breath” and “[rjeluctantly” complied, and handed his clothes and underwear through the port. The officers searched his clothes and conducted a visual check of defendant’s body for contraband, but did not conduct a body cavity search. The searches were negative, and they gave defendant his boxers and T-shirt through the port.
Mclrvin testified that defendant put on his underwear, and Thomberry placed the rest of defendant’s clothes in the port and locked the cell. Mclrvin testified that defendant put up his hands like guns, pointed his hands at Thomberry, and said, “I’m going [to] blast you.” (Italics added.) As defendant made the statement, he raised his hands in the air, his fists were clenched, his index fingers pointed away from his body, and his thumbs were raised in the air. Mclrvin testified defendant looked right at Thomberry when he made the statement and the gesture. Mclrvin testified defendant’s voice “wasn’t as loud as or [angry] as earlier, you know, but it was—you know, he told him.”
Thomberry testified to the same scene that Mclrvin heard and observed in the clinic holding area. Thomberry was standing in front of the cell and he was just about to walk away when he heard defendant say something to him: “[Defendant] said, ‘Remember, Thomberry,’ and then he held up both of
Thomberry testified he felt “immediate fear.” He had been threatened by an inmate once in seven years, and that inmate only threatened to fight him. Thomberry testified defendant’s statement and gesture made him pause and wonder why defendant would say that, because defendant had only been in the cell unit for about a week and they had not had any prior interactions. “Well, I had never had anyone tell me that they—when they were getting out, you know, and the specific threat to come find me because that’s what they do, and to blast me. [U So, you know, I take that—I have a family, kids, and I take that very serious.”
Thomberry immediately reported the incident to his supervisor and prepared a report. A few hours later, the sergeant informed him that defendant was, in fact, set to be paroled in 10 months. Thomberry testified about the impact of this information: “[N]ow that it was confirmed what he said that he was getting out, it just basically confirmed my fear that this guy is serious about what he’s talking about, [f] And that his . . . anger during the time that we were trying to talk to him was so intense that he would, indeed, carry it out.”
Thomberry testified that defendant never threatened to use force against him that day. However, Thomberry interpreted defendant’s statements to mean that he would do so when he got out, “[t]hat was his direct statement,” and Thomberry was satisfied that it would occur in 10 months.
The trial court took judicial notice that defendant’s Department of Corrections and Rehabilitation (CDCR) file showed a parole release date of July 7, 2008. The court also took judicial notice that the complaint in this case was filed on June 11, 2008. It does not appear that defendant was actually released from custody. The probation report states that he was transported to Kem County jail and booked in on the current charges on July 7, 2008, and all the court’s pretrial minute orders state that he was in custody when he appeared, and he was remanded to the custody of the CDCR or the sheriff at the end of the proceedings.
Defendant’s testimony
Defendant testified at trial and admitted he had prior convictions for second degree burglary in April 1983 (§ 459), attempted first degree burglary
Defendant testified he never exposed himself to or threatened any officers, and offered a lengthy narrative in which he claimed that Officers Ybarra, Thomberry, and Mclrvin harassed him for no particular reason. Defendant claimed Thomberry and Mclrvin raised their batons at him, Mclrvin repeatedly called him a coward and challenged him to a fight, Mclrvin was going to hit him, and Thomberry stopped Mclrvin from doing so. Defendant testified that in the course of these exchanges, he told the officers that he had previously been at Pelican Bay State Prison for assaulting staff, but he was younger then and he was not looking for trouble anymore because he was getting out in 10 months. Defendant also testified that he only raised his hands when he was in the clinic holding cell, to show his exasperation with Thomberry and Mclrvin because they were talking to him at the same time.
Defendant admitted he had a prior conviction for assaulting a correctional officer but denied that particular assault actually occurred. Defendant claimed the officer hurt himself when, in the process of restraining defendant, he unnecessarily decided to bring defendant forcibly down to the ground.
Rebuttal
Mclrvin and Thomberry testified they did not draw or raise their batons when they spoke to defendant in the office, but they followed standard procedures and removed their batons as they escorted him across the exercise yard. Neither Mclrvin nor Thomberry heard defendant say he had been at Pelican Bay State Prison for assaulting an officer.
DISCUSSION
I. Defendant’s conviction for violating section 422 is supported by substantial evidence.
Defendant contends the evidence in support of his conviction for making criminal threats against Officer Thomberry is insufficient as a matter of law because his alleged threat to “blast” him, along with the surrounding circumstances, did not convey “a gravity of purpose and immediate prospect of execution to . . . the alleged victim,” as required by section 422, since defendant was in custody and under the complete control of law enforcement officers when he made the statements.
A. Section 422 and constitutionally protected speech
One of the most important questions in this case is the meaning of section 422’s requirement that the threat must be “so unequivocal, unconditional, immediate, and specific as to convey to the person threatened, a gravity of purpose and an immediate prospect of execution of the threat.” The question is whether this language limits the timespan under which the speaker intends to execute the threat. The historical background of section 422 reveals that this language was added to the statute to ensure that a person was not punished for constitutionally protected speech.
“As originally enacted, section 422 made it a felony to ‘willfully threaten[] to commit a crime which will result in death or great bodily injury to another person, with intent to terrorize another or with reckless disregard of the risk of terrorizing another,’ if such threats cause another person ‘reasonably to be in sustained fear for his or her[] or their immediate family’s safety.’ To ‘terrorize’ was defined by section 422.5 as ‘ “creating] a climate of fear and intimidation by means of threats or violent action causing sustained fear for personal safety in order to achieve social or political goals.” ’ [Citation.] Thus, read together, the two statutes penalized only threats made with intent to achieve ‘social or political goals.’ [Citation.]” (In re Ge M. (1991)
In 1981, the California Supreme Court found then sections 422 and 422.5 were unconstitutional because the phrase “social or political goals” was void for vagueness. (People v. Mirmirani (1981)
Sections 422 and 422.5 were repealed in 1987. (In re Ge M., supra,
The California Supreme Court has extensively described the origins of the statutory phrase italicized ante, which the Legislature added to section 422 to ensure the amended statute would pass muster under the First Amendment and not suffer the same constitutional fate as its predecessor.
“The Legislature . . . enacted a substantially revised version [of section 422] in 1988, adopting almost verbatim language from United States v. Kelner[, supra,]
“The reviewing court disagreed and concluded threats are punishable consonant with constitutional protections ‘when the following criteria are satisfied. So long as the threat on its face and in the circumstances in which it is made is so unequivocal, unconditional, immediate and specific as to the person threatened, as to convey a gravity of purpose and imminent prospect of execution, the statute may properly be applied.’ (United States v. Kelner, supra,
“As the Kelner court understood this analysis, the Supreme Court was not adopting a bright line test based on the use of conditional language but simply illustrating the general principle that punishable true threats must express an intention of being carried out. (See United States v. Kelner, supra,
The current version of section 422 “has been carefully drafted to comport with the detailed guidelines articulated by the Kelner court” and is not constitutionally overbroad. (People v. Fisher (1993)
Thus, section 422 cannot be applied to constitutionally protected speech. (Ryan D., supra,
There are still First Amendment concerns that may be implicated by a prosecution under section 422, however, and those concerns affect the standard of appellate review of a conviction under that statute. When a defendant raises a plausible First Amendment defense in a section 422 case, the reviewing court should make an independent examination of the record to ensure that a speaker’s free speech rights have not been infringed by the trier of fact’s determination that the communication at issue constitutes a criminal threat. (In re George T. (2004)
B. Section 422 and conditional threats
We now turn to the elements required to prove a violation of the current version of section 422. The California Supreme Court has construed section 422 to require the prosecution to prove five elements: “(1) [T]hat the defendant ‘willfully threaten[ed] to commit a crime which will result in death or great bodily injury to another person,’ (2) that the defendant made the threat ‘with the specific intent that the statement... is to be taken as a threat, even if there is no intent of actually carrying it out,’ (3) that the threat— which may be ‘made verbally, in writing, or by means of an electronic communication device’—was ‘on its face and under the circumstances in which it [was] made, ... so unequivocal, unconditional, immediate, and specific as to convey to the person threatened, a gravity of purpose and an immediate prospect of execution of the threat,’ (4) that the threat actually caused the person threatened ‘to be in sustained fear for his or her own safety or for his or her immediate family’s safety,’ and (5) that the threatened person’s fear was ‘reasonable]’ under the circumstances. [Citation.]” (Toledo, supra, 26 Cal.4th at pp. 227-228, italics added; see George T., supra,
Section 422 “was not enacted to punish emotional outbursts, it targets only those who try to instill fear in others. [Citation.]” (People v. Felix (2001)
As explained in part I.A., ante, the third element required by section 422 was drafted by the Legislature to address First Amendment concerns, using the language from Kelner and Watts, requiring an “unconditional” threat. The California Supreme Court has explained that “[g]iven the rationale of Kelner and Watts, it becomes clear the reference to an ‘unconditional’ threat in section 422 is not absolute.” (Bolin, supra,
While the third element of section 422 also requires the threat to convey “ ‘a gravity of purpose and an immediate prospect of execution of the threat,’ ” it “does not require an immediate ability to carry out the threat. [Citation.]” (People v. Lopez (1999)
“It is clear that the nature of the threat cannot be determined only at face value. Section 422 demands that the purported threat be examined ‘on its face and under the circumstances in which it was made.’ The surrounding circumstances must be examined to determine if the threat is real and genuine, a true threat,” and such threats must be “judged in their context.” (Ricky T., supra,
“A communication that is ambiguous on its face may nonetheless be found to be a criminal threat if the surrounding circumstances clarify the communication’s meaning. [Citation.]” (George T, supra, 33 Cal.4th at
The fourth and fifth elements of section 422 require the victim “reasonably to be in sustained fear” for his or her own safety or the safety of his or her family. (§ 422.) As used in the statute, “sustained” has been defined to mean “a period of time that extends beyond what is momentary, fleeting, or transitory. . . . The victim’s knowledge of defendant’s prior conduct is relevant in establishing that the victim was in a state of sustained fear. [Citation.]” (People v. Allen (1995)
C. Cases involving conditional threats
We will now review relevant cases that address the third element of section 422, that the threat must be “so unequivocal, unconditional, immediate, and specific as to convey to the person threatened, a gravity of purpose and an immediate prospect of execution of the threat.”
In David L., supra,
In David L., the minor argued the evidence did not support the juvenile court’s finding that he violated section 422, because his statements on the telephone were mere “juvenile braggadocio,” and there was no evidence of “imminent” conduct because he lacked the ability to carry out the threat. (David L., supra,
“The minor’s threat to shoot the victim was not ‘on its face and under the circumstances in which it [was] made’ either conditional or in jest. According to the testimony, it was without equivocation or ambiguity. The minor’s statement is well within the contemplation of section 422.
“The threat was also sufficiently specific. Although it did not communicate a time or precise manner of execution, section 422 does not require those details to be expressed. It is enough to threaten ‘death or great bodily injury to another person.’ The minor’s threat to shoot the victim easily satisfies that element of the statute.” (David L, supra,
David L. was approvingly cited by this court in Butler, supra,
Butler rejected the defendant’s argument that his statements to Virginia were too ambiguous to constitute a threat under section 422. “A threat is sufficiently specific where it threatens death or great bodily injury. A threat is not insufficient simply because it does ‘not communicate a time or precise manner of execution, section 422 does not require those details to be expressed.’ [Citation.]” (Butler, supra,
Butler also focused on the circumstances in which the defendant made the statements to Virginia and how he acted before, during, and after the threat:
In contrast to David L. and Butler, the court in Ricky T., supra,
Ricky T. reversed the juvenile court’s finding that the minor violated section 422, and held the circumstances of the minor’s statements showed his alleged threats lacked credibility because they were not “serious, deliberate statements of purpose.” (Ricky T, supra,
D. Cases involving threats made in custodial situations
We now turn to cases in which the defendants made threats while in custodial situations. In People v. Franz (2001)
In Franz, the defendant was convicted of violating section 422 based on saying “shush” and hand gestures he made to Zook and Immer as they spoke to the officer, and the court held the convictions were supported by substantial evidence. (Franz, supra,
“Defendant suggests there is no substantial evidence of immediacy because the police officer was present during the threat and thereafter escorted defendant away from the scene, and neither juvenile saw defendant again until prosecution of this matter. However, defendant fails to cite any evidence as to when the minors next saw defendant. In any event, at the time of the threat the minors did not know when they would next see defendant. The immediacy factor was present in the surrounding circumstances that defendant was in a rage. He had already hit [the girlfriend], punched Zook, and said he was going to kill Zook, as documented by the 911 call. Although the officer was present when defendant made the threat, the threat and surrounding circumstances were a reminder that the officer would not always be there to protect the minors.
“Defendant argues there was insufficient evidence to support the terrorist threat conviction as to Immer, because there was evidence defendant looked
In Gaut, supra,
On appeal in Gaut, the defendant argued there was insufficient evidence to support his section 422 conviction because his telephonic threats did not convey an immediate prospect of execution since he was incarcerated and unable to carry out the threats when he made the calls. (Gaut, supra,
In Mosley, supra,
Mosley held the defendant’s convictions for violating section 422 were supported by substantial evidence as to each officer, and rejected his argument that the threats were not imminent since he was an inmate in a segregation module. “In this case, for purposes of appeal, defendant does not deny that he made the threats. Rather, he attempts to minimize their significance by pointing out that he was known as a difficult inmate and the deputies were in control of his confinement and limited movement. However, in each instance, the deputies were placed in fear because of defendant’s ability to obtain weapons as well as his ‘connections’ in the gang within the community. . . .” (Mosley, supra,
E. Analysis
Turning to the facts of this case, we find that defendant’s conviction for making criminal threats against Officer Thomberry is supported by substantial evidence based on the five factors required to prove the offense. Defendant willfully threatened to inflict death or great bodily injury when he said that he had killed officers in the past, said he would “blast” Thomberry, and simulated pulling a trigger with his fingers. Defendant made the threat with the specific intent that his statements would be taken as threats—defendant repeatedly said that he had previously killed officers, that was what he did, he would find people, he had done it before, he would do it again, and he would find Thomberry and blast him.
We also find defendant’s threat was “ ‘so unequivocal, unconditional, immediate, and specific as to convey to the person threatened, a gravity of purpose and an immediate prospect of execution of the threat.’ ” (Toledo, supra,
Defendant’s threat caused Thomberry to reasonably be in sustained fear for his life, particularly when he learned that defendant was actually scheduled to be paroled in 10 months. Indeed, the trial court took judicial notice that defendant’s CDCR file showed a parole release date of July 7, 2008, although
Defendant argues his encounter with Officer Thomberry was “one of the regular occurrences” when an inmate engages in “trash talk” with a correctional officer. In contrast to Ricky I, supra,
Defendant contends his statements and the surrounding circumstances failed to convey “a gravity of purpose and immediate prospect of execution to . . . the alleged victim” since he was in custody and under the complete control of law enforcement officers when he made the statements. Similar arguments were rejected in Franz and Gaut. In Franz, the defendant argued his threatening gestures to the two witnesses lacked immediacy because an officer was present and the defendant was taken into custody. As Franz explained, however, the immediacy factor was present in the surrounding circumstances because the defendant was enraged about his former girlfriend; the recipients of the threats knew the officer would not always be there to protect them; and the recipients did not know, at the time of the threats, when they would next see the defendant. (Franz, supra, 88 Cal.App.4th at pp. 1448-1449.) Gaut similarly held that even though the defendant was in custody when he made threatening calls to his girlfriend from jail, his threats were sufficiently immediate because of his past history of domestic violence. More importantly, however, the defendant in Gaut repeatedly tied his telephone threats to his expectation of being released at his upcoming parole hearing. “Not only did [the victim] fear defendant would be released following the hearing, but also his threats made reference to the fact that she had only a few days until he would be released . ...” (Gaut, supra,
Defendant asserts his statements were not criminal threats within the meaning of section 422 because, taking him at his word, “he was not going to do anything for at least ten months” and there was no evidence he had the ability to “find” Thomberry in the future. As explained in David L. and Butler, however, “[a] threat is sufficiently specific where it threatens death or great bodily injury. A threat is not insufficient simply because it does ‘not communicate a time or precise manner of execution, section 422 does not require those details to be expressed.’ ” (Butler, supra,
Defendant argues that even if he intended to carry out his threats when he was paroled in 10 months, that period of time was too attenuated to satisfy the third factor to prove a violation of section 422, that the threat was “so unequivocal, unconditional, immediate, and specific as to convey to the person threatened, a gravity of purpose and an immediate prospect of execution of the threat.” (§ 422.) As we explained in part I.A., ante, however, this language was added to the amended version of section 422, based on Kelner, supra,
Defendant concedes there was evidence about his specific parole date, but argues that factor “does nothing to erase the other important conditions on [his] having any real ability to carry out the threat,” such as getting out of prison, obtaining a weapon, and finding Thomberry. A similar argument was made in Butler, where the defendant boasted to the victim that he and his gang controlled the apartment complex. On appeal, the defendant argued there was no independent evidence that he was part of a particular gang or that his gang controlled the area. As Butler explained, however, there was no reason for the victim in that case to doubt the defendant’s statements given the nature and circumstances of his threats. (Butler, supra, 85 Cal.App.4th at pp. 754-755.) A similar situation exists in this case. Defendant repeatedly boasted that he had killed officers, he could find people, he had done it before and would do it again, and he would find Thomberry in 10 months and blast him. Given his prior convictions for criminal threats and evading an officer and his admitted prior assault upon a correctional officer, it was reasonable for Thomberry to believe that defendant was capable of carrying out his stated intentions.
We note that the dissent relies on Solis, supra,
The California Supreme Court has explained that interpreting section 422 requires review of the entirety and the context of the statutory language rather than isolating or focusing on a particular word. As the court said in Bolin: “[I]mposing an ‘unconditional’ requirement ignores the statutory qualification that the threat must be ‘so .. . unconditional ... as to convey to the person threatened, a gravity of purpose and an immediate prospect of execution . . . .’ [Citation.] ‘The use of the word “so” indicates that unequivocality, unconditionality, immediacy and specificity are not absolutely mandated, but must be sufficiently present in the threat and surrounding circumstances to convey gravity of purpose and immediate prospect of execution to the victim.’ [Citation.]” (Bolin, supra, 18 Cal.4th at pp. 339-340.)
The dissent maintains that the term “immediate prospect of execution” is so clear that any attempt to define it represents lack of deference to the Legislature. (Dis. opn., post, at pp. 827-828.) Again, we respectfully disagree. There is no doubt about the importance of ascertaining and fulfilling legislative intent—and that is precisely what we seek to do. As we note, we are not the first to construe section 422. The Supreme Court did so in Bolin. While the Bolin court limited itself to consideration of the term “unconditional,” its interpretation of the whole statute and consideration of its context offers clear guidance. In a unanimous opinion, the court made clear that “the reference to an ‘unconditional’ threat in section 422 is not absolute.” (Bolin, supra,
II. Jury instructions on section 76
To violate section 76, subdivision (a), a threat must be directed against a member of a class of public officials and employees defined in the statute. This class includes “the staff’ of “any . . . exempt appointee of the Governor.” Defendant argues that the court erred when it instructed the jury that Officer Thomberry, as a correctional officer working in a state prison, was a member of the staff of an exempt appointee of the Governor, the warden of the prison. He contends that a correctional officer is not within the class of statutorily defined victims as a matter of law and that the jury should have been required to decide whether or not Thomberry came within the meaning of the statute, based on the evidence. We hold that a correctional officer working in a state prison is a member of the staff of an exempt appointee of the Governor as a matter of law, so the instmction was correct.
In its instructions on the section 76 charge, the court said, “To prove that the defendant is guilty of this crime, the People must prove that, one, the defendant willfully threatened to kill or threatened to cause serious bodily harm to a member of the staff of an exempt appointee of the governor . . . .” After retiring to deliberate, the jury sent the judge a note, asking, “What if Mr. Wilson didn’t know the warden is an exempt appointee of the governor?” Over defense counsel’s objection, the court responded by modifying its instmction, so that the pertinent portion now said, “To prove that the defendant is guilty of this crime, the People must prove that, one, the defendant willingly threatened to kill or threatened to cause serious bodily harm to a correctional officer, who is a member of the staff of an exempt appointee of the governor . . . .”
As modified, the instmction asked the jury to determine whether defendant threatened a member of the staff of an exempt appointee of the Governor, but required the jury to accept the proposition that a correctional officer is a member of the staff of such an appointee. This left the jury to determine whether Thomberry was, in fact, a correctional officer. This fact was established by uncontroverted testimony.
A jury instmction that relieves the prosecution of the burden of proving an element of an offense deprives the defendant of due process of law (People v. Flood (1998)
Here, the factual question of whether Thomberry was within the class of victims defined by the statute was not taken away from the jury, for it had to find that he was a correctional officer. The only question is whether, in taking the position that every correctional officer employed in a state prison is within that class, the trial court made an error of law.
There is no doubt that a state prison warden is an exempt appointee of the Governor as a matter of law, for section 6050, subdivision (a) expressly says so: “The Governor, upon recommendation of the secretary [of the CDCR], shall appoint the wardens of the various state prisons. . . . The wardens shall be exempt from civil service.” The remaining question is whether a correctional officer working in a state prison is a member of the “staff’ of a warden as a matter of law.
A “staff’ can be “a group of people assisting a chief, manager, president, or other leader,” or merely “a specific group of workers or employees . . . .” (Webster’s New World Dict. (2d college ed. 1982) p. 1384.) A correctional officer could be considered a member of the staff of a prison warden under either of these definitions, though the dictionary meaning does not point strongly toward either party’s view of this matter. More helpful is a state regulation interpreting section 76. “Public official means any person identified in Penal Code Section 76. CDCR staff are considered the staff of an exempt appointee of the Governor.” (Cal. Code Regs., tit. 15, § 3000.) An agency’s interpretation of a statute “ ' “may be helpful” ’ ” where “ ‘application of the settled rules of statutory interpretation does not clearly reveal the Legislature’s intent....’” (Katosh v. Sonoma County Employees’ Retirement Assn. (2008)
Defendant points out that the Penal Code section immediately following the one here under discussion states that “[t]he various provisions of this title, except Section 76, apply to administrative and ministerial officers, in the same manner as if they were mentioned therein.” (§ 77.) He argues that correctional officers are administrative or ministerial officers, so section 76 does not apply to them. “[T]his title” is part 1, title 5, of the Penal Code, which is called “Of Crimes by and Against the Executive Power of the State.” It contains provisions relating to bribes and other unauthorized receipt of funds by public officials (§§ 67, 67.5, 68, 70, 70.5, 73, 74); fraudulent claims upon public funds (§§ 72, 72.5); obstructing executive officers (§ 69); and threats against public officers and employees (§§ 71, 76). What could have been the Legislature’s purpose in applying all these provisions to “administrative and ministerial officers,” but not applying section 76 to them?
Our review of the legislative history reveals the following. Section 77 was enacted in 1872. (47 West’s Ann. Pen. Code (1999 ed.) foll. § 77, p. 200.) Section 76 was enacted in 1982. (47 West’s Ann. Pen. Code, supra, foll. § 76, p. 198.) At that time, section 77 was amended to exclude section 76 from its provisions. (47 West’s Ann. Pen. Code, supra, foll. § 77, p. 200.) As enacted in 1982, section 76 did not protect “staff” of elected or appointed officials. Instead, its first sentence read, “Every person who knowingly and willingly threatens the life of any elected state official, exempt appointee of the Governor, or judge of the Supreme Court or court of appeal[] with the intent, and the apparent ability, to carry out such threat, is guilty of a public offense . . . .” (Stats. 1982, ch. 1405, § 1, p. 5360.) The amendment to section 77, enacted in 1982, excepting section 76 from the general rule that part 1, title 5, of the Penal Code applies to administrative and ministerial officers, must have been considered necessary to make it clear that section 76 applied only to the elected and appointed officials themselves. In 1994, section 76 was amended to add the staffs of elected and appointed officials to the class of protected potential victims. (Stats. 1994, ch. 820, § 1, p. 4071.) There was no corresponding amendment to section 77, however, to explain whether the protection of staff now meant administrative and ministerial officers were also protected by section 76. There are at least two possible explanations for this omission: It was an oversight, or the Legislature meant to make a distinction between staff and administrative and ministerial officers, and to continue
The most plausible conclusion is that the Legislature did not intend to exclude correctional officers. If the failure to amend section 77 in 1994 was an oversight, then there is no need for further consideration of the effect of section 77 on section 76. If the Legislature did intend to withhold the protection of section 76 from some group of administrative or ministerial officers who are not considered staff of an elected or appointed official, it is improbable that it intended correctional officers to be within that group. As we have said, subdivision (c)(1) of section 76 contemplates threats by prisoners with stated release dates, and it is unlikely that the Legislature intended not to punish these threats when directed at correctional officers, who are in the class of the public employees toward whom prisoners have the greatest opportunity to direct threats.
Finally, defendant points out that section 76 includes a definition of “ ‘[s]taff of a judge’ ” but no definition of the staff of a warden or any other exempt appointee of the Governor. The staff of a judge is defined broadly to mean “court officers and employees, including commissioners, referees, and retired judges sitting on assignment.” (§ 76, subd. (c)(4).) Defendant says the absence of a similar broad definition of the staff of an exempt appointee of the Governor implies that no broad definition is intended, for “if section 76 was to apply to all persons working in a correctional facility, it would so state.” We do not agree. Section 76 applies to “any elected public official, county public defender, county clerk, exempt appointee of the Governor, judge, or Deputy Commissioner of the Board of Prison Terms” and their staffs and immediate families. (§ 76, subd. (a).) The fact that the Legislature specifically defined judicial staff does not imply that it intended a narrower definition of the staff members of all the other covered types of officials.
III. Defendant’s conviction for violating section 76 is supported by substantial evidence.
Defendant claims that insufficient evidence was presented at trial to prove a section 76 violation. Specifically, he says no evidence was presented to prove that Officer Thomberry was a member of the staff of an exempt appointee of the Governor. As we have explained, however, a correctional officer is a member of the staff of an exempt appointee of the Governor as a matter of law. The fact that Thomberry was a correctional officer was established by uncontroverted testimony and is not challenged on appeal. No other evidence was needed.
Defendant has not argued that there was insufficient evidence to establish any other element of the section 76 violation. He does not claim, for instance,
IV. Abstract of judgment
Defendant points out that the abstract of judgment erroneously cites section 667, subdivision (e), for each of the one-year enhancements for prior prison terms, both those that were stayed and those that were not stayed; the correct citation is section 667.5, subdivision (b). The People concede the error. We direct the trial court to issue a new abstract of judgment to reflect the holding of this opinion.
Defendant also points out the court checked both the box for life with the possibility of parole and the box for 25 years to life for counts one and two. The People acknowledge this but insist that no correction is needed, since defendant’s sentence of 25 years to life also amounts to a sentence of life with the possibility of parole.
The checking of both boxes was erroneous. Defendant was sentenced to 25 years to life (plus four years) on those counts. The court did not impose an additional two sentences of life with the possibility of parole. Checking the box for life with the possibility of parole was unnecessary and could be confusing. We order that this mistake also be corrected.
DISPOSITION
The trial court is directed to amend the abstract of judgment to correct the clerical errors discussed in part IV. of this opinion. In all other respects, the judgment is affirmed.
Hill, J., concurred.
Notes
All further statutory citations are to the Penal Code unless otherwise indicated.
The standard set forth in Kelner is still used by some federal courts to determine whether a statement qualifies as a threat for First Amendment purposes. (See, e.g., New York ex rel.
We fully appreciate the importance of the time element in determining whether a threat violates section 422. The appraisal of the immediacy of a threat under section 422 quite appropriately includes assessment of the sense of urgency and foreboding caused to the person being threatened. Our analysis of the time element is necessarily limited to the particular facts and circumstances of defendant’s unequivocal threat to Officer Thomberry, and the issue of immediacy must be evaluated in context. (Bolin, supra, 18 Cal.4th at pp. 338-339; Ricky T., supra,
Bolin declined to address the meaning of the phrase “ ‘an immediate prospect of execution of the threat’ ” because of particular instructional issues in that case which prevented review, rather than an attempt to evade the issue. (Bolin, supra, 18 Cal.4th at pp. 340-341 & fn. 13.)
Concurrence Opinion
The majority opinion affirms Anthony Wilson’s conviction of violating Penal Code
I begin with the many points regarding section 422, upon which I agree with the majority, as I take issue with only one. The majority opinion goes into great depth and cites cases at length in support of a number of other issues. For example, it points out that a threat can satisfy the specificity requirement of section 422 even though it does not state precisely when or where it will be carried out. (People v. Butler (2000)
I have no doubt that Officer Thomberry’s fear was reasonable. Simply stated, what happened was that Wilson told the officer he had killed correctional officers before and would find him and blast him after his release on parole 10 months later. Wilson was angry and agitated and repeated these statements a number of times during his single negative encounter with Officer Thomberry. He also made hand gestures mimicking pulling a trigger. Thomberry had never had an unusual encounter with Wilson before. Thomberry testified that he understood Wilson’s threat to mean that Wilson would assault or kill him after Wilson’s release in 10 months. Further, it turned out that Wilson did have a prior conviction for assaulting a correctional officer, a fact Officer Thomberry verified later.
These facts do not prove, however, that the threat conveyed an immediate prospect of execution, as required by section 422. The prospect of carrying out a threat in 10 months is not consistent with the plain meaning of the word “immediate.” Immediate is defined as “not separated in time; acting or happening at once; without delay; instant.” (Webster’s New World Dict. (2d college ed. 1982) p. 701.)
Unlike other decisions addressing threats made by incarcerated prisoners, there was no evidence that Wilson said or that Officer Thomberry believed Wilson could carry out an immediate attack while in prison; could direct others outside the prison to carry out an immediate attack; or would be released within a few days and carry out an attack. The only “prospect of execution” at issue was the prospect of Wilson being released from prison in 10 months as scheduled, and at that time obtaining means to carry out an assault, finding Thomberry, and assaulting him.
People v. Mosley (2007)
People v. Franz (2001)
Section 422 proscribes threats which are “so . . . unconditional ... as to convey to the person threatened ... an immediate prospect of execution of the threat . . . .” Cases interpreting the “so . . . unconditional” element of the offense do not solve our problem in interpreting whether a threat conveys an immediate prospect of execution. True, as the majority points out, the modifier “so” in section 422 governs the first occurrence of “immediate,” as well as “unconditional” (and also “unequivocal” and “specific”), and the Supreme Court relied on “so” to support its conclusion that a threat need not be absolutely unconditional to fall within the statute’s proscription. (People v. Bolin (1998)
In fact, in Bolin, which is the leading case on the issue of conditional threats, the Supreme Court expressly refrained from stating any conclusion on the immediate-prospect-of-execution requirement. (Bolin, supra,
Still, the words “immediate prospect of execution” must impose some time limitation on the prospect of execution; otherwise, there would have been no need to include them. (People v. Hudson (2006)
One cannot help but ask, would the conveyance to a victim of any delay in the possibility of carrying out a threat be incompatible with the majority’s reading of the statute? Would five years be too long? Ten years? Twenty years? The majority opinion expressly rejects the view that the requirement of an immediate prospect of execution imposes a time limit of any kind. It says the “historical background” of section 422 “suggests” that the language including the immediate-prospect-of-execution requirement “was not intended to impose a specific time limitation upon the speaker’s intent to execute the threat, but instead to avoid First Amendment challenges . . . .” (Maj. opn., ante, at p. 804.) It also says, “There is no evidence the phrase was intended to place a limited timeline on when a specific and unconditional threat would be executed.” (Maj. opn., ante, at p. 816.)
The majority says the statute does not impose a specific time limitation, as opposed to merely a time limitation. The majority does not explain what it means by this qualification. A specific time limitation as opposed to what—a general one? The discussion in footnote 3 of the majority opinion does not clarify the point. Although the majority says it “fully appreciate^] the importance of the time element,” it goes on to discuss the “sense of urgency and foreboding” the threat conveyed, not an amount of time to its execution. (Maj. opn., ante, at p. 817.)
The majority’s view that there are no time limitations is noteworthy for several reasons. First, it conflicts with the plain meaning of the words the
Second, the majority’s analysis poses a false dilemma. It suggests that the Legislature’s purpose was either to impose a time limitation or avoid constitutional problems. Wouldn’t a much easier analysis be that the Legislature intended to do both? It intended to avoid constitutional problems by limiting the types of threats to be prohibited, and one means it chose for doing so was to impose a time limit on the prospect of execution that a threat conveyed.
Third, the majority seems to conclude that if a court can identify the Legislature’s motivation for including language in a statute, for example, a desire to address constitutional concerns arising from a previous version of the statute, then the court need not apply the words the Legislature actually selected as its preferred means of satisfying those objectives. Whether it intends to or not, the majority opinion essentially has written the immediate-prospect-of-execution requirement out of the statute. Depending on your perspective, this may be a good or a bad result. Either way, in my view, it is a decision for the Legislature.
In summary, the majority’s conclusion is inconsistent with the statutory language of section 422 and is unsupported by case authority. Since the evidence does not support the conclusion that Wilson’s threat conveyed to Officer Thomberry an immediate prospect of execution, I would reverse the section 422 conviction. I agree with the majority’s reasoning regarding the
Appellant’s petition for review by the Supreme Court was denied October 20, 2010, SI84769. Kennard, J., and Werdegar, J., were of the opinion that the petition should be granted.
Subsequent statutory references are to the Penal Code.
Contrary to the majority’s contention, I have said nothing suggesting that the Bolin court erred. (Maj. opn., ante, at p. 818.) Bolin held that the phrase “so . . . unconditional” does not exclude some degree of conditionality, because “so” implies degrees. (Bolin, supra,
I do not “maintainQ that the term ‘immediate prospect of execution’ is so clear that any attempt to define it represents lack of deference to the Legislature,” as the majority opinion mistakenly asserts. (Maj. opn., ante, at p. 818.) The majority opinion does not “define” the term. Instead, it declines to apply the term at all, holding that the statute has the same effect with the term as it would have without it. In my opinion, that constitutes a lack of deference to the Legislature. What is “so clear" is that a prospect of execution in 10 months is not an immediate prospect of execution.
The majority opinion states that an “immediate prospect of execution” has a meaning different from a “prospect of immediate execution,” and that the Legislature chose the former phrase. This distinction cannot bear the weight the majority places on it. A threat conveying a prospect of immediate execution conveys that it will be carried out right away, as the majority seems to concede. In the majority’s view, however, a threat conveying an immediate prospect of execution can convey that it will not be carried out until a point in the distant future—no matter how far. If the Legislature had intended this result, it is hard to understand why it would have expressed its intent through a subtle choice of word order when simply omitting the immediate-prospect requirement would have had the same effect.
