Lead Opinion
Opinion
Appellant, Samuel L. Woodard, was convicted by a jury of second degree robbery. (Pen. Code, § 211.) This court must decide if a witness, other than a defendant, may be impeached at trial by felony convictions whose probative value may be outweighed by the risk of undue prejudice. (Evid. Code, § 352.)
I
On the evening of October 5, 1976, Florence Spencer, the owner of a cafe in North Richmond, was robbed. She testified that she went to her cafe between 10:30 p.m. and 11 p.m. to close it for the night and to collect the day’s receipts. She parked her car in front of a building adjacent to the cafe. As she walked from her car to the cafe, she saw two men standing in front of a telephone booth located about 10 to 15 feet from the front door of the cafe. At trial, she identified the two men as James Johnson and appellant. Although she stated that she had known appellant and his family for many years, she referred to him throughout the trial as Samuel Whitaker.
When she came out of the cafe with the day’s receipts, someone grabbed her purse. She held on to the purse and, as a result, was pulled down and dragged about eight feet. The assailant fled with the purse. Before Spencer got up, she fired two shots at the assailant with a .38 caliber gun which she had in a paper bag. The assailant ran between the cafe and another building and disappeared.
The Contra Costa Sheriff’s Department was called. While awaiting their arrival, Spencer followed the path the assailant had taken and discovered her purse and money in the alley behind the buildings. When
Leonard Stockwell, a friend - of Spencer’s, testified * that he had accompanied Spencer to the cafe that evening. He stated that his purpose in doing so was to see that she safely got in her car after collecting the money from the business. He testified that, as he was about to get in his car, he heard Spencer scream and saw her being robbed. He stated that the person who robbed Spencer had been standing in front of the telephone booth. Although Stockwell had been standing outside the cafe when Spencer came out, he was unable to identify appellant as the robber.
Marjorie and Stylin Woodard, appellant’s parents, testified on his behalf that appellant had been home in North Richmond that evening. At 11:30 p.m. he left to go out for a sandwich at the Ace of Clubs in North Richmond. At the time, appellant was wearing a pair of faded blue jeans and a white tee-shirt. When appellant returned home about midnight, his parents noticed that he was limping. They asked him what had happened and he replied that he had heard shooting and, fearing that shots were being fired in his direction, jumped for cover behind a car.
Mr. Woodard testified that he examined appellant’s injury, which was in the buttock area. Although he was familiar with gunshot wounds from his 21 years in the Army, he stated appellant’s injury did not look like a gunshot wound. Nevertheless, he decided to take appellant to the hospital after his daughter informed them that Spencer claimed to have shot appellant.
Although appellant did not wish to see a doctor, his mother was adamant that he be examined. Appellant was driven to the hospital, where he was treated by Dr. Isaac Slaughter. Dr. Slaughter testified that he had treated hundreds of bullet wounds and that appellant’s injury was not caused by a bullet. He stated that appellant’s injuries consisted of a sharp-edge cut on the buttock and an abrasion on one of his elbows. The cut was described by the doctor as being an inch long and not deep. An X-ray of the area of the injury revealed no bullet or bullet fragments.
Johnson further testified that he approached Spencer immediately after the incident, picked up her keys from the sidewalk and handed them to her. As he did so, Spencer asked: “Who is that, Jimmy?” Johnson replied he did not know. Spencer then stated: “Well, I know who he is.”
Out of the presence of the jury, appellant’s attorney moved to exclude evidence of Johnson’s prior felony convictions for voluntary manslaughter (Pen. Code, § 192, subd. 1) in 1971 and for felon in possession of a concealable firearm (Pen. Code, § 12021) in 1975. The trial judge denied the motion, ruling that since the appellate courts had not held that this was “a matter of constitutional magnitude, then this trial court should obey the mandate of the legislature.” He went on to state that he felt “our justice is getting further and further away from being even-handed and becoming a one-sided battle. . . . They foreclose the prosecution from finding out anything about the defense or the defense witnesses, whereas the defense has complete access as to what the prosecution is going to do. . . . Hopefully, someday they will equalize the battle.” The prosecution then asked Johnson about his convictions in the presence of the jury.
During the nearly six hours of deliberations, the testimony of Spencer and Johnson was reread to the jurors at their request. Subsequently, the jury returned a guilty verdict of second degree robbery (former Pen. Code, § 211a). Appellant appeals from the judgment entered following this conviction.
II
In People v. Beagle (1972)
Some of “the more important factors that must be considered by trial courts . . .” in deciding whether to admit prior felony convictions to impeach a witness’ credibility were enumerated in People v. Beagle, supra,
The Legislature has provided that the sole trait relevant to impeaching credibility is truthfulness: “Evidence of traits of his character other than honesty or veracity, or their opposites, is inadmissible to attack or support the credibility of a witness.” (§ 786.) While a prior felony conviction may be probative of one or more “separate traits” of character, it may not involve the one trait—truthfulness—which is relevant to impeaching credibility. If a prior felony conviction does not involve the character trait of truthfulness, it must be excluded as irrelevant at the outset, since section 350 unequivocably provides that “[n]o evidence is admissible except relevant evidence.”
The second factor to be considered is the nearness or remoteness in time of the prior conviction. (People v. Beagle, supra, 6 Cal.3d at p. 453.) A conviction, “ ‘[ejven one involving fraud or stealing, for example, if it occurred long before and has been followed by a legally blameless life,[
These two factors, which show the probative value of the prior conviction, must be weighed by the trial court to determine whether admission of this evidence “will (a) necessitate undue consumption of time or (b) create substantial danger of undue prejudice, of confusing the issues, or of misleading the jury.” (§ 352.) Prior decisions have identified certain countervailing factors which are of particular importance in this balancing process when the witness is a criminal defendant. Among these factors are: (1) the “unique risk of undue prejudice and confusion of issues. Despite limiting instructions, the jury is likely to consider this evidence for the improper purpose of determining whether the accused is the type of person who would engage in criminal activity . . . .” (People v. Antick, supra,
The Attorney General contends that the balancing process required by section 352 does not apply when the witness to be impeached is not the accused in a criminal case. He argues that Beagle and its progeny involved witnesses who were defendants in criminal cases and that no prejudice results when a witness other than a defendant is impeached by evidence of prior felony convictions.
It is correct that the Beagle line of cases from this court have involved witnesses who were also criminal defendants. However, the analysis underlying those decisions was premised on sections 352 and 788, which, when “read together . . . clearly provide discretion to the trial judge to exclude evidence of prior felony convictions when their probative value on credibility is outweighed by the risk of undue prejudice.” (People v. Beagle, supra,
Although this court has identified considerations relating to prejudice which are especially significant in criminal actions where the witness is the defendant, nothing in these cases supports the argument that these special considerations are the only factors relating to prejudice or that these considerations are of no import when the witness to be impeached is not the accused in a criminal case. It may be true that a nonparty witness suffers no legally cognizable prejudice by impeachment with prior felony convictions and he may not refuse to testify on this ground. However, a party in a case, civil or criminal, may nevertheless be prejudiced by the admission of a nonparty witness’ prior felony convictions. Where the resolution of a critical issue depends on whose testimony is to be believed, a jury may act arbitrarily and give little weight to the testimony of a witness whose character has been brought into question by the introduction of prior felony convictions. If the witness is called by a defendant in a criminal trial, a reasonable doubt may be resolved against the accused because he associates with felons, even though the prosecution has not proven beyond a reasonable doubt that the defendant committed the offense. This is especially true in alibi or mistaken identity situations where the only witness supporting the defense theory is a witness who has suffered prior felony convictions.
In addition, the possibility of prejudice may influence a party so that a witness, who might otherwise present relevant evidence, is not called. In such cases, the trier of fact would be deprived of probative, competent evidence in the same manner as it is when a criminal defendant elects not to testify due to prior felony convictions. This has an “adverse effect on the administration of justice,” because it hinders the trier of fact in its ascertainment of the truth. (People v. Rist, supra,
Accordingly, the discretion called for by section 352 and by the Beagle line of decisions of this court must be exercised whenever a
This same conclusion was reached by the Court of Appeal in People v. Carr (1973)
In the present case, it is clear that the trial court erred in admitting evidence of Johnson’s prior felony convictions. No discretion was exercised by the trial court since it failed to base its ruling on the factors outlined in Beagle. The trial court considered neither the probative value of the convictions, nor the potential for prejudice. Rather, it relied on its apparent disagreement with the decisions of the appellate courts. This was improper under Auto Equity Sales, Inc. v. Superior Court (1962)
In this case neither of the convictions had any direct bearing on the credibility of the witness, and should have been excluded for that reason alone. (Ante, at p. 335.) The voluntary manslaughter conviction established the commission of a violent act, which may, at the most, have indicated a character trait for violence. Only this particular character trait—and not the whole of Johnson’s character—was implicated. It cannot be inferred from the commission of a violent act that he was also disposed to falsify. “[A]s a matter of human nature, a bad general disposition does not necessarily or commonly involve a lack of veracity. . . .” (3A Wigmore, Evidence (Chadbourn rev. ed. 1970) § 922, p. 727, original italics.) Chief Justice Burger has observed that “[a]cts of violence . . . may result from a short temper, a combative nature, extreme provocation, or other causes, [and] generally have little or no direct bearing on honesty and veracity.” (Gordon v. United States (D.C.Cir. 1967)
The conviction for felon in possession of a concealable firearm should also have been excluded. There is nothing in the elements of this offense which involves a showing of dishonesty. The only elements that the prosecution must show in addition to the accused’s status are his ownership or possession of an operable, concealable firearm (People v. Jackson (1968)
Despite the trial court’s erroneous rulings on the prior convictions, Johnson did testify and was impeached. Therefore, this court must determine whether under the circumstances of this particular case the error was prejudicial. (People v. Watson (1956)
Identity of the perpetrator was the central issue in appellant’s trial. Johnson and Spencer, the victim, were the only witnesses to testify as to identity.
The issue of guilt in this case was far from open and shut, as evidenced by the sharply conflicting evidence and the nearly six hours of deliberations by the jury before they reached a verdict. Clearly, the jury had misgivings about Spencer’s identification of appellant as the culprit. The source of some of these misgivings is obvious even from the cold record
Ill
Prior to any decision to admit evidence of felony convictions to impeach the credibility of any witness, the trial courts must give careful consideration to whether or not the evidence will be used by the trier of fact only for the purpose which justifies its admission. “[T]he true purpose of a criminal trial, the ascertainment of the facts . . . ,” (People v. Riser (1956)
In the present case, the record indicates that the trial court failed to exercise its discretion in admitting evidence of prior felony convictions. Since those prior convictions did not bear on the trait of truthfulness, this court has no choice but to remand the cause to the trial court for such proceedings as are consistent with this opinion. Accordingly, the judgment is reversed.
Tobriner, J., Mosk, J., Manuel, J., and Newman, J., concurred.
Richardson, J., concurred in the judgment.
Notes
There was no evidence that appellant had ever been known as Whitaker.
Evidence Code section 788 provides in pertinent part: “For the purpose of attacking the credibility of a witness, it may be shown by the examination of the witness or by the record of the judgment that he has been convicted of a felony. . . .”
All references hereinafter to statutes are to the Evidence Code unless otherwise indicated.
Section 352 provides: “The court in its discretion may exclude evidence if its probative value is substantially outweighed by the probability that its admission will (a) necessitate undue consumption of time or (b) create substantial danger of undue prejudice, of confusing the issues, or of misleading the jury.”
The dissent contends that the Legislature, by rejecting a 1965 proposal which would have limited impeachment to prior felony convictions involving dishonesty or false statement, evidenced its intent that all felony convictions must be deemed relevant to credibility. The dissent asserts that the Beagle court “arrogatfed] [] legislative power” when it held that “ ‘ “convictions which rest on dishonest conduct relate to credibility whereas those of violent or assaultive crimes generally do not.” ’ (People v. Beagle, supra,
However, the dissent overlooks that the Legislature has indicated its approval of this
The central thesis of this court’s unanimous decision in Beagle was its finding that the Legislature did not intend to “exempt section 788 from the general evidentiary provisions [of Division 3 of the Evidence Code] applicable to all rules of admissibility.” (People v. Beagle, supra,
Thus, the dissent errs when it asserts that this authority of the court has been limited in the particular instance of prior felony convictions and that the court has no power to determine if a prior felony conviction is probative of credibility. Had the Legislature intended to carve out an exception to the general rules, it would have said so forthrightly. Moreover, it would not have consistently rejected attempts to overrule this court’s holding that section 788 was not intended to be an exception to the “general evidentiary provisions” of the Evidence Code.
In People v. Antick, supra,
The Attorney General argues that Carr, supra,
Their testimony was also the only testimony that the jury requested be reread.
The fact that Johnson’s testimony contradicted Spencer’s does not inevitably mean that one of the two committed perjury, for it is widely recognized that “innocent misrecollection is not [an] uncommon [experience]” and that “two persons witnessing an incident or a transaction often will see or hear it differently.” (CALJIC No. 2.21.)
Both Spencer and Johnson had known appellant before the robbery.
Dissenting Opinion
The majority of this court once again usurp the role of the Legislature.
In California all felony convictions are deemed probative on the issue of credibility. (Evid. Code, § 788.)
Evidence Code section 788 is essentially a recodification of the law as it existed under Code of Civil Procedure section 2051. (Legis. Committee com. to Evid. Code, § 788.)
This particular arrogation of legislative power can be traced to People v. Beagle (1972)
What this court appears to have overlooked in Beagle is, of course, that the federal court of appeals in Gordon was not bound by the California Evidence Code in fashioning a “rule of thumb” for the United States District Court for the District of Columbia. If a court is free to consult “common human experience,” rather than being constrained to give effect to a statute with an unambiguous history, there may be some appeal in the view that “convictions which rest on dishonest conduct relate to credibility whereas those of violent or assaultive crimes generally do not.”
Having determined that James Johnson’s prior felony convictions for voluntary manslaughter and for possession of a concealable firearm by an ex-felon—like all prior felony convictions—are probative on the issue of
The majority’s response to this is remarkable. They argue that a defendant may, nevertheless, be prejudiced by impeachment of his witness with prior felony convictions because the jury may consider the priors in assessing the witness’ credibility, and, realizing this, the defendant may decide not to call the witness. {Ante, p. 338.) It is, of course, quite true that a witness’ prior felony convictions may tip the balance when the jury weighs his credibility. But what of that? The Legislature clearly intended that a witness with prior felony convictions, as well as a party who would call him, be “prejudiced” in this respect. As this court pointed out in Beagle, no witness is entitled to the “false aura of veracity” he would have if his prior felony convictions were to be suppressed. (
In conclusion, the trial court clearly acted properly in admitting evidence of Johnson’s prior felony convictions for purposes of impeachment. There was no reason to exclude the priors. They were probative on the issue of Johnson’s credibility, they were recent, and defendant would suffer no cognizable prejudice from their admission.
Accordingly, the judgment should be affirmed.
Section 788 provides in pertinent part: “For the purpose of attacking the credibility of a witness, it may be shown by examination of the witness or by the record of the judgment that he has been convicted of a felony. . . .”
Section 2051 provided: “A witness may be impeached by the party against whom he was called, by contradictory evidence or by evidence that his general reputation for truth, honesty, or integrity is bad, but not by evidence of particular wrongful acts, except that it may be shown by the examination of the witness, or the record of the judgment, that he had been convicted of a felony unless he has previously received a full and unconditional pardon, based upon a certificate of rehabilitation. (Enacted 1872, amended by Stats. 1949, ch. 333, § 1, p. 616, and repealed by Stats. 1965, ch. 299, § 126, p. 1366.)
The commission’s statement assumes, of course, some felony convictions do not reflect on one’s “honesty or veracity”—a view, as will be seen, the Legislature ultimately rejected.
Under this proposal Evidence Code section 788 would have provided in relevant part: “(a) Subject to subdivision (b), evidence of a witness’ conviction of a felony is admissible for the purpose of attacking his credibility if the court, in proceedings held out of the presence and hearing of the jury, finds that: [H] (1) An essential element of the crime is dishonesty or false statement. . . .”
On the other hand, in this matter, as in most, human experience does not speak with one voice. It is just as consistent with human experience to assume that one who has disregarded society’s most serious rules—felonies—will also disregard his obligation to tell the truth under oath. It is sufficient for our purposes that the Legislature has spoken on the issue.
