People v. Tom
The PEOPLE, Plaintiff and Respondent, v. RICHARD TOM, Defendant and Appellant. in Re RICHARD TOM on Habeas Corpus
Attorneys
Counsel, Marc J. Zilversmit for Defendant and Appellant., Michael T. Risher for American Civil Liberties Union of Northern California as Amicus Curiae on behalf of Defendant and Appellant., Edmund G. Brown, Jr., and Kamala D. Harris, Attorneys General, Dane R. Gillette, Chief Assistant Attorney General, Gerald A. Engler, Assistant Attorney General, Stan Helfman, Mark S. Howell, Laurence K. Sullivan, Seth K. Schalit and Jeffrey M. Laurence, Deputy Attorneys General, for Plaintiff and Respondent.
Full Opinion (html_with_citations)
Opinion
On a clear evening in February 2007, defendant Richard Tom broadsided at high speed a vehicle driven by Loraine Wong, who was making a left turn from Santa Clara Avenue onto Woodside Road in Redwood City. Wongâs younger daughter, Sydney Ng, eight, was killed; her older daughter, Kendall Ng, 10, sustained serious injuries. The evidence at trial showed that defendant did not brake prior to the crash. He had been speeding, although his precise speed was disputed. He had been drinking earlier that evening, although (again) the amount he had consumed was disputed.
The issue before us arises from the Peopleâs reliance in their case-in-chief on defendantâs failure to inquire about the occupants of the other vehicle as evidence that he was driving without due regard for their safety. Did it violate the Fifth Amendment privilege against self-incrimination to admit evidence that defendant, following his arrest but before receipt of Miranda
Background
Defendant was charged with gross vehicular manslaughter while intoxicated, driving under the influence causing harm to another, and driving with a blood-alcohol level of 0.08 percent or higher causing harm to another, along with various enhancement allegations. A jury acquitted defendant of the alcohol-related charges but convicted him of vehicular manslaughter with gross negligence and found true the allegation that he personally inflicted great bodily injury on Kendall Ng. (Pen. Code, § 192, subd. (c)(1); id., former § 12022.7, subd. (a).) The court sentenced defendant to seven years in prison.
Events Surrounding the Fatal Collision
Defendant spent the early evening of February 19, 2007, entertaining his longtime friend Peter Gamino, a retired San Francisco police officer who was visiting from out of state. Defendant cooked a steak dinner at his Redwood City home and, after waking Gamino from a nap around 5:30 or 6:00 p.m., made them vodka tonics. Around 6:30 p.m., Gamino made another round of drinks. He did not know whether defendant finished that drink.
After dinner, defendant announced that they needed to pick up a vehicle from his sonâs home just north of Woodside Road. Gamino testified that defendant exhibited no signs of intoxication, but admitted defendant had trouble finding his sonâs house: âWe didnât get there right away. Couldnât find our â the way. We eventually found it.â On the return trip, defendant
As the two cars turned from Alameda de las Pulgas onto Woodside Road, defendant was about 200 yards ahead. Gamino accelerated on Woodside, but defendant remained âa ways ahead.â
Meanwhile, Loraine Wong had left her home on Santa Clara Avenue in Redwood City to drive her daughters to an overnight visit at her sisterâs house in Sunnyvale. Her sister, Geneva, had a new baby, and the girls were excited to see their new cousin. They were bringing some books they had purchased at Barnes and Noble that evening.
As they left the house, Wong called Geneva to let her know that they were on their way. Wong had completed the call by the time she reached the intersection of Santa Clara Avenue and Woodside (a two-lane divided state highway) less than a mile away, but the phone was still in her hand. Wong came to a full stop at the stop sign and inched forward, looking both ways. Her lights and blinker were on. She first looked left, and saw it was clear all the way to Alameda de las Pulgas, four-tenths of a mile away. She looked right, where it was also clear. Turning back to the left, she still saw no headlights or vehicles coming and began her turn onto Woodside. Wong, who had lived on Santa Clara Avenue for 15 years, had driven through this intersection several thousand times before.
This time was different. Suddenly, there was a flash of light, a feeling of soreness, and the pressure of the airbag. She had not seen headlights or heard any sound of braking, but Wong realized they had been hit. She looked outside but did not see any cars around her. She looked back and saw her daughters were unconscious and their faces were bleeding. As Wong climbed into the backseat, people nearby came to offer assistance. Wong shouted out her husbandâs phone number for someone to call him. Kendall regained consciousness, but Sydney never did. Sydney was pronounced dead at Stanford Hospital at 8:53 p.m. The cause of death was multiple blunt injuries. Kendall suffered a three-inch gash on her forehead, which was closed with 30 to 40 stitches, and a broken arm. She had to use a brace for her injured neck and spent a week in the hospital. Wong suffered internal injuries, a broken rib, and a broken finger. Pieces of broken glass had scratched her face, arms, knees, and feet.
Sergeant Alan Bailey of the Redwood City Police Department received a report of the crash at 8:20 p.m. and arrived at the scene 10 minutes later. Wongâs vehicle, a 1996 Nissan Maxima, was badly damaged. The point of
Officer Janine OâGorman, who arrived about an hour after Bailey, was assigned to be the lead investigator for this incident. She found no evidence that the Mercedes had applied its brakes prior to impact.
Officer Jincy Pace, a traffic accident investigator with the San Jose Police Department, agreed that the Mercedes barreled into the left rear portion of the Nissan and spun it around and that the primary cause of the collision was the Mercedesâs unsafe speed. Using a conservatively low âdrag factorâ (a measurement of the frictional relationship between the tire and the roadway), Pace calculated the Mercedes was traveling at a speed of at least 67 miles per hour prior to the collision; the Nissan was traveling about 12 miles per hour. Pace estimated that the Mercedes would have been at least 334 feet away from the intersection at the time the Nissan began its turn and opined that the Nissan would thus have had the right of way. Pace estimated that the Nissan would have been in the intersection for at least three to four and one-half seconds prior to the collision, which would have given the Mercedes enough time to stop even if it were speeding at 67 miles per hour.
Defendantâs friend Peter Gamino, on the other hand, testified that the Nissan pulled out from Santa Clara Avenue âfairly fastâ and âinstead of
Defendantâs Postcollision Conduct
Right after the collision, Gamino parked and went over to defendantâs car to see if he was all right. Defendant said, âI didnât even see it.â Once the paramedics arrived, Gamino returned to the Camry.
Defendant was behind the wheel of the Mercedes when police first arrived. Two paramedics, one in the front seat and one in the back, were attending to defendant. Officer Josh Price had a brief conversation with defendant, but did not detect any odor of alcohol. When defendantâs girlfriend arrived and he got out of the car, he was limping slightly and complained of an ankle injury. The paramedics tried to convince defendant to go to the hospital to be examined, but defendant declined because he was concerned that his insurance would not cover it.
At some point, defendant and his girlfriend walked over and got into Gaminoâs Camry. About 15 minutes later, Officer Price walked over to the Camry to talk to Gamino. Defendant interrupted them to ask whether he could walk home, as he lived only half a block away. Price told him âno,â since the investigation âobviouslyâ was ongoing and he was needed at the scene. When defendant said his ankle hurt, he was given an icepack. Despite the recommendation of the paramedics that he seek treatment, defendant signed a form declaring that he had refused to seek treatment âagainst medical advice.â
Around 9:30 p.m., when Sergeant Bailey discovered that defendant was sitting in the Camry, he ordered defendant be moved to the rear of a patrol vehicle. Defendantâs girlfriend was allowed to join him in the backseat. He was not handcuffed. In accordance with the police departmentâs general policy to ask for a voluntary blood sample when a major injury collision has occurred (and to obtain a detailed statement from defendant), Sergeant Bailey asked defendant whether he would cooperate. Defendant said he would, although he seemed irritated that his blood could not be drawn at the scene. Defendant and his girlfriend were transported to the police station so that defendantâs blood could be drawn. They arrived at 9:57 p.m. A paramedic was dispatched to the police station around 10:00 p.m., but Redwood Cityâs contract with American Medical Response did not authorize a blood draw for suspicion of driving under the influence unless the suspect had first been placed under arrest. When Officer Price asked whether defendant would be willing to go to the hospital to get his blood drawn, defendant again seemed
Shortly thereafter, around 10:30 p.m., defendant asked to use the bathroom. He was accompanied there by Sergeant Bailey. While in the bathroom, defendant, who was limping, asked for an aspirin. Bailey, who was in âvery close proximityâ to defendant, for the first time noticed the odor of alcohol on his breath and the bloodshot and glassy appearance of his eyes. Back in the interview room, Officer Price likewise noticed the odor of alcohol on defendant, who had been chewing gum at the crash scene and at the station. Officer Roman Gomez, too, smelled alcohol and noticed that defendantâs eyes were bloodshot and glassy. Officer Price administered three field sobriety tests (the horizontal gaze nystagmus test, the Romberg test, and the finger-to-nose test), concluded that defendant had been under the influence of alcohol at the time of the collision, and arrested him. During his contact with Officer Price and Sergeant Bailey, defendant never asked them about the welfare of the other people involved in the collision.
Defendantâs blood was drawn at 11:13 p.m., around three hours after the crash. The test revealed a blood-alcohol level of 0.04 percent. Using a burnoff rate of 0.02 percent of alcohol per hour (which is a rate widely accepted in the scientific community) and taking account of the steak dinner consumed by defendant as well as the other circumstances, criminalist Carlos Jose JirĂłn opined that defendant must have consumed six drinks and that his blood-alcohol level at the time of the crash was 0.098 percent. In JirĂłnâs opinion, defendant would have been too impaired to drive safely.
Police Interview of Peter Gamino
Sergeant Paul Sheffield went to defendantâs house around 11:30 p.m. to speak with defendantâs houseguest, Peter Gamino. The interview was taped and played for the jury. Sergeant Sheffield noticed a large bottle of vodka, âmuch bigger than a fifth,â in the kitchen. The bottle was two-thirds empty. Gamino, who was awakened by the police visit, seemed to have âhad a drink or two.â Gamino initially told police that he and defendant had nothing to drink during dinner, then admitted they had a âcocktail or so,â but âno ideaâ how many. Gamino eventually claimed defendant had no more than two drinks, but he did not know whether defendant had anything to drink before he started making dinner. In describing defendantâs driving prior to the collision, Gamino told police that although he and defendant were only a car length apart while waiting for the light at the intersection of Alameda de las Pulgas and Woodside, defendant âwas a long ways in frontâ of him after the turn onto Woodside. Indeed, Gamino had just made the turn when the crash
Defense Case
Kent E. Boots, who was retired from the Orange County Sheriffâs Department and now performs collision reconstruction, disputed the drag factor calculation on which the prosecutionâs experts relied. He also denied that a driver on Woodside could lose his right of way because of excessive speed.
Traffic accident reconstructionist Christopher David Kauderer estimated that the Mercedesâs preimpact speed was between 49 and 53 miles per hour and the Nissanâs preimpact speed was between seven and nine miles per hour. He opined that the driver of the Nissan entered the roadway suddenly, violating the Mercedesâs right of way, and that the driver of the Mercedes did not have sufficient time to react. Kauderer did not believe there was enough information to assign an appropriate drag factor to the Mercedes; the estimated drag factor had been the basis for the prosecution expertâs estimate of the Mercedesâs speed.
Forensic Toxicologist Kenneth Allen Mark questioned the prosecution expertâs estimate of defendantâs blood-alcohol level at the time of the collision, an estimate that relied on retrograde extrapolation. Because retrograde extrapolation depends on so many factors that were unknown in this case, such as defendantâs burnoff rate, how much food he had consumed and how quickly, the size of his liver, his physiological or emotional state, and whether defendant was in the absorption or elimination phase, Mark testified that it would not be possible to determine, with any degree of certainty, what defendantâs blood-alcohol level had been at the time of the collision. In Markâs opinion, defendantâs blood-alcohol level at the time of the crash could have been as low as 0.01 or 0.02 percent. The fact that no one detected the odor of alcohol until 10:30 p.m. was consistent with a blood-alcohol level of substantially less than 0.08 percent at the time of the crash. Mark did concede, however, that the odor of vodka is less detectable than that of other liquor and that chewing gum would make detection even more difficult. Mark also stated that the field sobriety tests performed here would not necessarily indicate impairment from alcohol, since those are âhighly variableâ tests and could have been affected by defendantâs ankle injury.
Paramedic Daniel Giraudo arrived at the scene at 8:24 p.m. He testified that defendant had a perfect score on a test of alertness. Giraudo did not smell alcohol on defendant, and he did not recall whether defendant was chewing gum at the time.
Officer David Johnson, who was trained in accident reconstruction, testified that Kaudererâs model vastly understated the Mercedesâs preimpact speed, since the model would imply a drag factor so unreasonably low as to equate to vehicles skidding on ice. Based on the damage to the vehicles, their points of rest, and other information, Johnson estimated that the circumstances were consistent with a preimpact speed for the Mercedes of 67 miles per hour. Johnson further estimated that it would have taken Wong six to nine seconds to look left, right, and left again before pulling out into the intersection and then another three seconds to get to the point of impact. Under those assumptions, the Mercedes would have been between 884 and 1,179 feet away, too far away to be perceived as a hazard.
Arguments of Counsel Concerning Defendantâs Failure to Inquire
Both sides mentioned in argument to the jury the evidence of defendantâs postarrest, pre-Miranda silence.
The district attorney found it âparticularly offensiveâ that defendant ânever, ever asked, hey, how are the people in the other car doing? Not once. . . . Now, you step on somebodyâs toe or you bump into someone accidentally, what is your first thing out of your mouth? Whoops. Iâm sorry. Iâm not saying that he has to say sorry as an expression of his guilt or as some kind of confession, but simply as an expression of his regret. Look, Iâm sorry those people were hurt, [Âś] Not once. Do you know how many officers that he had contact with that evening? Not a single one said that, hey, the defendant asked me how those people were doing. Why is that? Because he knew he had done a very, very, very bad thing, and he was scared, [Âś] He was scared or â either that or too drunk to care.â
Defense counsel argued in response that âthere was a big point made of Richard Tom didnât ask about the condition of the people in the other vehicle. He didnât care. He wasnât telling the officers â asking the officers, what happened? Whatâs going on? How are those other people? [j[] And I ask you: Whatâs that got to do with anything? Does that help prove to you any element of the offense? They kind of stuck it there under consciousness of guilt. Does that have anything to do with the way youâre supposed to look at the evidence in this case? No. Itâs there to make you dislike Mr. Tom, make you think heâs a bad person, therefore, get you closer to deciding heâs the one who caused this accident. [|] My response to that, by the way, would be, police know at 8:53 thereâs a fatality in this case. I asked . . . Sergeant Bailey, Officer Price, did you ever tell Richard Tom this was â there was a fatality, between 8:53 and his arrest around eleven oâclock? They didnât. Of course
The Court of Appeal Decision
The Court of Appeal consolidated the appeal (A124765) with a petition for writ of habeas corpus (A130151). Although defendant did not object on Fifth Amendment grounds to the evidence that he failed to inquire about the occupants of the other vehicle (nor did he object to the prosecutorâs argument on that basis), the Court of Appeal addressed the merits of the Fifth Amendment claim and reversed the judgment. The Court of Appeal concluded that defendant was under de facto arrest when he was transported to the police station in a patrol vehicle at 9:48 p.m.; that âthe right of pretrial silence under Miranda is triggered by the inherently coercive circumstances attendant to a de facto arrestâ; that the trial court therefore erred in admitting evidence in the prosecutionâs case-in-chief of defendantâs postarrest, preMiranda failure to inquire about the welfare of the occupants of the other vehicle; and that the error was prejudicial under Chapman v. California (1967) 386 U.S. 18 [17 L.Ed.2d 705, 87 S.Ct. 824]. As to whether defendant ever invoked his privilege against self-incrimination, the court said simply that â âthe defendant who stands silent must be treated as having asserted it.â â (Quoting U.S. v. Moore (D.C. Cir. 1997) 322 U.S. App.D.C. 334 [104 F.3d 377, 384].)
We granted the Peopleâs petition for review. Our grant was limited to the admissibility of defendantâs postarrest silence under the Fifth Amendment. No party challenged in the petition for review, the answer to the petition, or the extensive briefing here the Court of Appealâs decision to address the Fifth Amendment claim on the merits, nor does the Court of Appealâs conclusion on this procedural point present an issue worthy of review. (Cal. Rules of Court, rules 8.500(b)(1), 8.516(a), (b); Southern Cal. Ch. of Associated Builders etc. Com. v. California Apprenticeship Council (1992) 4 Cal.4th 422, 431, fn. 3 [14 Cal.Rptr.2d 491, 841 P.2d 1011].) We therefore will accept the lower courtâs conclusion that defendantâs claim is cognizable (see People v. Weiss (1999) 20 Cal.4th 1073, 1076-1077 [86 Cal.Rptr.2d 337, 978 P.2d 1257]) and turn to the issue presented in the petition for review â namely, whether the trial court violated the Fifth Amendment privilege against self-incrimination by admitting evidence that defendant, during the period following his arrest but prior to receipt of Miranda warnings, failed to inquire about the welfare of the occupants of the other vehicle.
Discussion
The Fifth Amendmentâs self-incrimination clause states that â[n]o person . . . shall be compelled in any criminal case to be a witness against
The high court has found governmental coercion where, for example, the prosecutor invites the jury to draw adverse inferences from a defendantâs failure to take the witness stand. (Griffin v. California (1965) 380 U.S. 609 [14 L.Ed.2d 106, 85 S.Ct. 1229] (Griffin).) Although Griffin included a general statement that the Fifth Amendment âforbids either comment by the prosecution on the accusedâs silence or instructions by the court that such silence is evidence of guiltâ (Griffin, supra, 380 U.S. at p. 615), the court has since clarified that the âbroad dicta in Griffin . . . must be taken in the light of the facts of that caseâ â a prosecutorâs comment on a defendantâs right not to testify at trial. (United States v. Robinson (1988) 485 U.S. 25, 33-34 [99 L.Ed.2d 23, 108 S.Ct. 864].)
Consequently, the Fifth Amendment privilege against self-incrimination does not categorically bar the prosecution from relying on a defendantâs pretrial silence. The prosecution may use a defendantâs pretrial silence as impeachment, provided the defendant has not yet been Mirandvzed. (Fletcher v. Weir (1982) 455 U.S. 603 [71 L.Ed.2d 490, 102 S.Ct. 1309] [postarrest silence]; Jenkins v. Anderson (1980) 447 U.S. 231 [65 L.Ed.2d 86, 100 S.Ct. 2124] {Jenkins) [prearrest silence]; cf. Doyle v. Ohio (1976) 426 U.S. 610 [49 L.Ed.2d 91, 96 S.Ct. 2240] [postarrest, post-Miranda silence is not admissible as impeachment].) The prosecution may also use a defendantâs prearrest silence in response to an officerâs question as substantive evidence of guilt, provided the defendant has not expressly invoked the privilege. (Salinas, supra, 570 U.S. at p. _ [133 S.Ct. at p. 2178] (plur. opn. of Alito, J.).) Whether postarrest, pr e-Miranda silence in the absence of custodial interrogation may likewise be admitted as substantive evidence of guilt â and thus render a defendantâs uncompelled silence admissible as substantive evidence of guilt or impeachment â has not yet been resolved by this court or the United States Supreme Court.
As noted by both parties, there is a split in the federal circuits and among state courts as to whether the Fifth Amendment bars the government from offering evidence in its case-in-chief of a defendantâs postarrest, pre-Miranda
A
In Davis v. United States (1994) 512 U.S. 452 [129 L.Ed.2d 362, 114 S.Ct. 2350], the high court held that a suspect who wishes to invoke the right to counsel during a custodial interview must do so âunambiguously.â (Id. at p. 459.) âAlthough a suspect need not âspeak with the discrimination of an Oxford don,â [citation], he must articulate his desire to have counsel present sufficiently clearly that a reasonable police officer in the circumstances would understand the statement to be a request for an attorney.â (Ibid.) To avoid difficulties of proof and to provide guidance to officers conducting interrogations â who must promptly cease questioning once a suspect has invoked the right to counsel â the inquiry is an objective one. (Id. at pp. 458-459.)
Berghuis v. Thompkins (2010) 560 U.S. 370 [176 L.Ed.2d 1098, 130 S.Ct. 2250] (Berghuis) considered the standard required to invoke the privilege against self-incrimination during a custodial interrogation. Declaring that âthere is no principled reason to adopt different standards for determining when an accused has invoked the Miranda right to remain silent and the Miranda right to counsel at issue in Davis,â the high court concluded that an accused who wants to invoke the right to remain silent must likewise âdo so unambiguously.â (Berghuis, supra, 560 U.S. at p. 381.) âA requirement of an unambiguous invocation of Miranda rights results in an objective inquiry that âavoid[s] difficulties of proof and . . . provide[s] guidance to officersâ on how to proceed in the face of ambiguity. [Citation.] If an ambiguous act, omission, or statement could require police to end the interrogation, police would be required to make difficult decisions about an accusedâs unclear intent and face the consequences of suppression âif they guess wrong.â â (Berghuis, supra, 560 U.S. at pp. 381-382.)
Salinas then applied the objective invocation rule outside the context of a custodial interrogation. In that case, police visited Genovevo Salinas at his home as part of a murder investigation. Salinas agreed to hand over his
Salinas did not testify at trial, but the prosecution used his silence in reaction to the interview question about the shotgun as evidence of his guilt. (Salinas, supra, 570 U.S. at p. _ [133 S.Ct. at p. 2178] (plur. opn. of Alito, J.).) The Supreme Court granted certiorari to resolve the split of authority as to âwhether the prosecution may use a defendantâs assertion of the privilege against self-incrimination during a noncustodial police interview as part of its case in chief,â but the plurality âf[ou]nd it unnecessary to reach that questionâ âbecause petitioner did not invoke the privilege during his interview.â (Id. at p._[133 S.Ct. at p. 2179] (plur. opn. of Alito, J.).)
The Salinas plurality began its analysis by explaining that â[t]he privilege against self-incrimination âis an exception to the general principle that the Government has the right to everyoneâs testimony.â [Citation.] To prevent the privilege from shielding information not properly within its scope, we have long held that a witness who â âdesires the protection of the privilege . . . must claim itâ â at the time he relies on it.â (Salinas, supra, 570 U.S. at p._[133 S.Ct. at p. 2179] (plur. opn. of Alito, J.).)
In justifying the application of the objective invocation rule in this new context, the plurality relied on the same two concerns the court had identified in previous cases â i.e., the need to avoid difficulties of proof and the need to provide guidance to law enforcement officers. (Salinas, supra, 570 U.S. at p. _ [133 S.Ct. at p. 2179] (plur. opn. of Alito, J.).) The objective invocation requirement âensures that the Government is put on notice when a witness intends to rely on the privilege so that it may either argue that the testimony sought could not be self-incriminating [citation] or cure any potential self-incrimination through a grant of immunity [citation].â (Ibid.) The requirement âalso gives courts tasked with evaluating a Fifth Amendment claim a contemporaneous record establishing the witnessâ reasons for refusing to answer.â (Salinas, supra, 570 U.S. at p._[133 S.Ct. at p. 2179] (plur. opn. of Alito, J.).)
Subsequent to Salinas, the Sixth Circuit held that the objective invocation rule applies not only when the suspect, prior to arrest, declines to answer a question, but also âwhere, as here, the silence did not occur in response to interrogation.â (Dis. opn. of Liu, J., post, at p. 1249.) In Abby v. Howe (6th Cir. 2014) 742 F.3d 221, Abbyâs fiancĂŠe testified for the prosecution, without objection, that he was hiding at her house when police came to interview her and that âalthough he probably could hear her talking to the detectives, Abby opted to stay concealed in a bedroom.â (Id. at p. 224.) A â ârunning themeâ â of the prosecutionâs argument to the jury (id. at p. 227), again without an objection, was âthat Abby hid in the bedroom rather than talking to the police while they were at [the fiancĂŠe]âs houseâ (id. at p. 224). The court concluded that Abby could not have been prejudiced by counselâs failure to object to the evidence of Abbyâs prearrest silence âbecause we now know that such an objection would be futile in light of Salinas.â (Id. at p. 228.)
An unpublished decision of the Texas Court of Appeals then applied the objective invocation rule to a defendantâs postarrest, pre-Miranda silence. In Torres v. State (Tex.App., June 12, 2014, No. 10-12-00263-CR) 2014 Tex.App. Lexis 6354, a police officer spotted several items in the defendantâs vehicle that matched the description of items reported stolen and testified that the defendant offered no explanation as to why those items were in the back of his vehicle. (Id. at pp. *7-*8.) Relying on Salinas, the court concluded that the defendant âdid not invoke his Fifth Amendment rights when he refused to offer an explanation to police for the items found in the back seat of the vehicle.â (Id. at p. *9; see U.S. v. Jones (E.D.N.Y., Mar. 11, 2014, No. 13-CR-438 (NGG)) 2014 U.S.Dist. Lexis 32032, pp. *17-* 18 [postarrest
We likewise conclude that the objective invocation rule applies to defendantâs postarrest, pre-Miranda silence. {U.S. v. Graves (4th Cir., Jan. 13, 2014, No. 12-4416) 2014 U.S.App. Lexis 617, p. *12 [describing Salinas as a decision â[djrawing no distinction between the invocation requirements before and after custody and Miranda warningsâ].) Here, as in the situations discussed above, the objective invocation rule â âavoid[s] difficulties of proof and . . . provide[s] guidance to officersâ on how to proceed in the face of ambiguity.â (Berghuis, supra, 560 U.S. at p. 381.) Without clear notice a suspect has invoked the privilege, the police would be deprived of the opportunity to âcure any potential self-incrimination through a grant of immunity.â (Salinas, supra, 570 U.S. at p._[133 S.Ct. at p. 2179] (plur. opn. of Alito, J.).) Moreover, because an invocation of the privilege must be â âscrupulously honoredâ â (Michigan v. Mosley (1975) 423 U.S. 96, 104 [46 L.Ed.2d 313, 96 S.Ct. 321]), a defendant who is deemed to have validly invoked the privilege may not be interrogated thereafter unless counsel has first been made available to the defendant or the defendant initiates further communications with the police (People v. Sims (1993) 5 Cal.4th 405, 440 [20 Cal.Rptr.2d 537, 853 P.2d 992]). If an ambiguous act, omission, or statement could qualify as an invocation, âpolice would be required to make difficult decisions about an accusedâs unclear intent and face the consequences of suppression âif they guess wrong.â â (Berghuis, supra, 560 U.S. at p. 382.) Accordingly, the threshold inquiry in assessing the scope of the privilege against self-incrimination in the postarrest, pre-Miranda context is whether a reasonable police officer in the circumstances would understand that the defendant had invoked the privilege either at or prior to the silence at issue. (See Davis v. United States, supra, 512 U.S. at p. 459; accord, People v. Musselwhite (1998) 17 Cal.4th 1216, 1238 [74 Cal.Rptr.2d 212, 954 P.2d 475]; cf. U.S. v. Okatan (2d Cir. 2013) 728 F.3d 111, 118 [the threshold inquiry concerning the admissibility of prearrest silence is âwhether the defendantâs silence constituted an âassertion of the privilege against self-incriminationâ â].)
B
The general rule that a witness who intends to rely on the privilege against self-incrimination must clearly invoke it has two âwell-definedâ exceptions. (Minnesota v. Murphy, supra, 465 U.S. at p. 429; see Salinas, supra, 570 U.S. at p._[133 S.Ct. at p. 2179] (plur. opn. of Alito, J.).) Neither applies here.
First, a criminal defendant need not take the stand and assert the privilege at his or her own trial. (Salinas, supra, 570 U.S. at p._[133 S.Ct.
Second, âa witnessâ failure to invoke the privilege must be excused where governmental coercion makes his forfeiture of the privilege involuntary.â (Salinas, supra, 570 U.S. at p._[133 S.Ct. at p. 2180] (plur. opn. of Alito, J.).) This exception applies when the government forces a choice between self-incrimination and some important public benefit such as public employment (Garrity v. New Jersey (1967) 385 U.S. 493, 496-498 [17 L.Ed.2d 562, 87 S.Ct. 616], public office (Lefkowitz v. Cunningham (1977) 431 U.S. 801, 804-806 [53 L.Ed.2d 1, 97 S.Ct. 2132]), or public contracts {Lefkowitz v. Turley (1973) 414 U.S. 70, 84-85 [38 L.Ed.2d 274, 94 S.Ct. 316]). (See Salinas, supra, 570 U.S. at p._[133 S.Ct. at p. 2180] (plur. opn. of Alito, J.).) This exception can apply also when a regulatory regime makes the act of invoking the privilege â thereby identifying oneself to the government â inherently incriminating. (Leary v. United States (1969) 395 U.S. 6, 28-29 [23 L.Ed.2d 57, 89 S.Ct. 1532]; Albertson v. SACB (1965) 382 U.S. 70, 79 [15 L.Ed.2d 165, 86 S.Ct. 194].) And this exception can arise most commonly in the âinherently coercive environment created by . . . custodial interrogationâ (Pennsylvania v. Muniz (1990) 496 U.S. 582, 599 [110 L.Ed.2d 528, 110 S.Ct. 2638]), where the Miranda court took the âextraordinary safeguardâ of disallowing use in the case-in-chief of unwarned statements elicited during such interrogation (Minnesota v. Murphy, supra, 465 U.S. at p. 430). âDue to the uniquely coercive nature of custodial interrogation, a suspect in custody cannot be said to have voluntarily forgone the privilege âunless [he] fails to claim [it] after being suitably warned.â â (Salinas, supra, 570 U.S. at p. _ [133 S.Ct. at p. 2180] (plur. opn. of Alito, J.).)
Defendant, like Justice Liuâs dissent, seizes on the last of these scenarios, seeking to distinguish Salinas on the ground that the defendant there was deemed not to be in custody. But custody alone â in this case, a de facto arrest
The line between custody and custodial interrogation is a significant one. According to the United States Supreme Court, Miranda â and the custodial interrogation on which it relies â represents âa limited exception to the rule that the privilege must be claimed.â (Roberts v. United States (1980) 445 U.S. 552, 560 [63 L.Ed.2d 622, 100 S.Ct. 1358] {Roberts).) Because the high court has instructed that âthe exception [to the objective invocation rule] does not apply outside the context of the inherently coercive custodial interrogations for which it was designedâ {ibid.), we decline to extend the exception beyond its boundaries and therefore conclude that the objective invocation rule applies here.
Indeed, Roberts itself applied the objective invocation rule to a defendant who had been arrested. In that case, evidence was admitted at sentencing that the defendant had refused over a period of three years, preceding and following his arrest, to cooperate with the investigation of a criminal conspiracy in which he was a confessed participant. {Roberts, supra, 445 U.S. at pp. 553, 557.) In response to the defendantâs complaint that use of his silence punished him for exercising his Fifth Amendment privilege against self-incrimination, the high court recognized, as we do here, that the privilege âis not self-executingâ and âmay not be relied upon unless it is invoked in a timely fashion.â {Roberts, supra, 445 U.S. at p. 559.) Berghuis, too, applied the general invocation rule to an arrestee who answered some questions and then fell silent. (Berghuis, supra, 560 U.S. at pp. 381-382.) The Salinas plurality relied on both Roberts and Berghuis as support for the objective invocation rule. (Salinas, supra, 570 U.S. at pp. - [133 S.Ct. at pp. 2181-2182] (plur. opn. of Alito, J.).)
Where a defendant could have invoked his privilege against self-incrimination at any point â but failed to do so â the prosecutionâs use in its case-in-chief of the defendantâs postarrest, pre-Miranda silence in the absence of interrogation cannot be deemed a âpenalty ... for exercising a
C
Although Salinas emphatically refused to adopt a âthird exceptionâ to âthe âgeneral ruleâ that a witness must assert the privilege to subsequently benefit from itâ (Salinas, supra, 570 U.S. at pp.___-__[133 S.Ct. at pp. 2180-2181] (plur. opn. of Alito, J.)), Justice Liuâs dissent depends entirely on the recognition of such an exception. In the view of the dissent, all postarrest, pr e-Miranda silence should be inadmissible, even though âthe true reasonâ for the custodial silence may be âsomething otherâ than the intent to invoke the privilege in an individual case. (Dis. opn. of Liu, J., post, at p. 1253.) It is difficult to square the dissentâs approach with its concession that the Fifth Amendment âprotects silence that constitutes an exercise of the privilege against self-incrimination, not silence attributable to other reasons.â (Dis. opn. of Liu, J., post, at p. 1248.)
To reconcile those two positions, Justice Liuâs dissent theorizes that Salinasâ s reliance on the general rule was âpremised on the relatively uncertain reasons for silence in the noncustodial context,â and posits that silence after an arrest âgives rise to a much stronger inference of reliance on the Fifth Amendment privilege.â (Dis. opn. of Liu, J., post, at p. 1252.) But the application of the objective invocation rule in Salinas rested not on the likelihood that a suspect in general might wish to rely on the privilege in the prearrest context, but on the fact that Salinas âalone knew why he did not answer the officerâs question.â (Salinas, supra, 570 U.S. atp._[133 S.Ct. at p. 2182] (plur. opn. of Alito, J.).) Indeed, Salinas explicitly acknowledged âthat reliance on the Fifth Amendment privilege is the most likely explanation for silence in a case such as this one,â yet deemed that likelihood to be insufficient to justify an exception to the general rule. (Ibid., italics added.) Although a suspect, before or after arrest, may choose to remain silent in reliance on the constitutional privilege, the suspect may also be silent âbecause he is trying to think of a good lie, because he is embarrassed, or because he is protecting someone else. Not every such possible explanation for silence is probative of guilt, but neither is every possible explanation protected by the Fifth Amendment.â (Ibid.) To distinguish between those silences that are protected by the privilege from those that are not, it is the defendantâs â âburden ... to make a timely assertion of the privilege.â â
Moreover, â âthe general principle that the Government has the right to everyoneâs testimonyâ â (Salinas, supra, 570 U.S. at p._[133 S.Ct. at p. 2183] (plur. opn. of Alito, J.)) unquestionably applies to testimony by silence. As Salinas made clear, the objective invocation rule âapplies with equal force,â âregardless of whether prosecutors seek to use silence or a confession that follows.â (Id. at p._[133 S.Ct. at p. 2182] (plur. opn. of Alito, J.).)
D
Defendant relies heavily on two pre-Miranda
Indeed, none of the cases cited by defendant or his amicus curiae analyzes the threshold question whether the privilege must be timely and unambiguously invoked if the defendant wishes to bar use of postarrest, pre-Miranda silence that occurs in the absence of custodial interrogation. In many of the cited cases, the defendant actually invoked his rights. (U.S. v. Okatan, supra, 728 F.3d at p. 118 [â. . . Okatan successfully asserted the privilege when he told [the Border Patrol agent] that he wanted a lawyerâ]; Combs v. Coyle (6th Cir. 2000) 205 F.3d 269, 286 [â. . . Combs clearly invoked the privilege against self-incrimination by telling the officer to talk to his lawyer, thus conveying his desire to remain silent without a lawyer presentâ]; U.S. v. Burson, supra, 952 F.2d at p. 1200 [âwe have little trouble in concluding Mr. Burson invoked his privilege against self-incriminationâ]; Coppola v. Powell (1st Cir. 1989) 878 F.2d 1562, 1567 [âpetitionerâs statement invoked his privilege against self-incriminationâ]; U.S. ex rel. Savory v. Lane (7th Cir. 1987) 832 F2d 1011, 1015 [defendant told police âthat âhe didnât want to talk about it, he didnât want to make any statementsâ â].) One case involved a defendantâs silence in response to unwarned custodial interrogation, which is the classic exception set forth in Miranda to the objective invocation rule. (U.S. v. Velarde-Gomez, supra, 269 F.3d at p. 1032 [holding inadmissible âthe use of silence in the face of questioning about incriminating evidenceâ].) Another case simply assumed that mere silence necessarily invoked the privilege without considering whether or how that silence, along with the other circumstances, made it clear that the defendant was invoking the privilege. (U.S. v. Moore, supra, 104 F.3d at p. 385 [âthe defendant who stands silent must be treated as having asserted itâ]; see U.S. v. Osuna-Zepeda (8th Cir. 2005) 416 F.3d 838, 846 (cone. opn. of Lay, J.) [âFor purposes of the Fifth Amendment, silence is the same as a statement invoking the right to remain silent.â].) The remainder simply fail to consider the threshold question of invocation of the privilege altogether. (U.S. v. Whitehead (9th Cir. 2000) 200 F.3d 634, 637-639 (en banc); U.S. v. Hernandez (7th Cir. 1991) 948 F.2d 316, 322-324; State v. VanWinkle (2011) 229 Ariz. 233 [273 P.3d 1148, 1150-1152].) Consequently, none is persuasive authority on the question whether âthe âgeneral ruleâ â that a witness must clearly and timely âassert
E
The Court of Appeal also feared that, as a policy matter, allowing comment on a defendantâs postarrest, pr e-Miranda silence prior to custodial interrogation would â âcreate an incentive for arresting officers to delay interrogation in order to create an intervening âsilenceâ that could then be used against the defendant.â â (Quoting U.S. v. Moore, supra, 104 F.3d at p. 385.) But a defendant could easily eliminate any such risk by clearly and timely invoking the privilege. Moreover, the Court of Appealâs assumption that a delay in interrogation is necessarily unjustified ignores the governmentâs interest in ensuring that questioning be conducted under circumstances that allow for proper documentation of the interview by law enforcement personnel who are trained in interrogation techniques. Indeed, the record here showed that defendant needed to be taken to the station not only to give a detailed taped statement, but also to provide a blood sample â which was required by department policy in all major injury collisions and likewise could be done only in a controlled environment. (Cf. Missouri v. Seibert (2004) 542 U.S. 600, 621 [159 L.Ed.2d 643, 124 S.Ct. 2601] (cone. opn. of Kennedy, J.) [post-warning interview following use of âthe two-step techniqueâ was inadmissible where the tactic was a âdeliberateâ attempt to undermine the Miranda warning and there were no âlegitimate objectives that might otherwise justify its useâ].)
In any event, the same incentive to delay Miranda warnings already exists by virtue of the high courtâs decision in Fletcher v. Weir, supra, 455 U.S. 603, which allows a defendantâs postarrest, pre-Miranda silence to be used as impeachment. (See People v. Fondron (1984) 157 Cal.App.3d 390, 397, 398 [204 Cal.Rptr. 457] [âthis procedure,â i.e., â âmanipulating] the facts by asking no questions immediately after the arrest, in order to use the defendantâs silence against him,â â âis approved by United States Supreme Court precedentâ].) In fact, the Sixth Circuit decision in Weir v. Fletcher, supra, 658 F.2d 1126, which the high court overturned in its per curiam opinion, rested on precisely the same policy argument â i.e., that allowing postarrest, pre-Miranda silence to be used for impeachment âwould discourage the reading of Miranda warningsâ at the time of arrest. (Weir v. Fletcher, supra, 658 F.2d at p. 1132.) The Sixth Circuit feared in particular that â[t]he police could simply arrest a suspect and be careful not to interrogate him for 15-20 minutes. If the police wanted to question the suspect, they could then read the Miranda warnings. If the suspect had remained silent for those 15-20 minutes, that silence could then be used for impeachment at trial.â (Ibid.) Neither defendant nor the Court of Appeal has explained why this, concern,
F
The Court of Appeal, which did not have the benefit of the Salinas decision, found a violation of the Fifth Amendment privilege in the admission of defendantâs postarrest, pre-Miranda silence based solely on the fact defendant was in custody and was silent as to the welfare of the others involved in the crash, without considering whether or when defendant ever invoked the privilege. This was error. As stated, a defendant must invoke the privilege in order to claim its protections, and the invocation must be âunambiguous.â (Berghuis, supra, 560 U.S. at p. 381.) The record here shows that defendant answered Officer Priceâs questions as to what happened when Price first arrived at the scene, that defendant asked the officers whether he could go home, that defendant complained to police about an ankle injury, and that defendant expressed reluctance about going to the police station to have his blood drawn but eventually agreed to go to the station. Following his de facto arrest, defendant continued to speak with the officers. In particular, he asked at the station whether he could refuse to have his blood drawn and he asked for permission to use the bathroom and for an aspirin. Whether
Our conclusion that use of a defendantâs postarrest, pre-Miranda silence is not barred by the Fifth Amendment in the absence of custodial interrogation or a clear invocation of the privilege does not mean that evidence overcoming those constitutional hurdles would necessarily be admissible under the Evidence Code. (People v. Aquino (1992) 239 Ill.App.3d 12 [178 Ill.Dec. 890, 605 N.E.2d 684, 688] [â âdifficulties of inference [concerning postarrest silence] are subjects for state lawâ â]; cf. Fletcher v. Weir, supra, 455 U.S. at p. 607 [âA State is entitled ... to leave to the judge and jury under its own rules of evidence the resolution of the extent to which postarrest silence may be deemed to impeach a criminal defendantâs own testimony.â]; Jenkins, supra, 447 U.S. at p. 239.) The probative value of a defendantâs silence depends peculiarly on a careful assessment of all of the relevant circumstances. (Compare Bilokumsky v. Tod (1923) 263 U.S. 149, 153-154 [68 L.Ed. 221, 44 S.Ct. 54] [âSilence is often evidence of the most persuasive character.â] with United States v. Hale (1975) 422 U.S. 171, 176 [45 L.Ed.2d 99, 95 S.Ct. 2133] [âIn most circumstances silence is so ambiguous that it is of little probative force.â].) In the context of silence that immediately precedes or follows an arrest, some courts have held that the defendantâs silence in the circumstances presented was âtoo ambiguous to have probative value as an indicator of guilt and any probative value would be outweighed by the prejudice to the defendant at trial.â (Weitzel v. State (2004) 384 Md. 451 [863 A.2d 999, 1003].) One source of ambiguity is the ubiquity of Miranda warnings in popular culture and the extent to which a defendant may have subjectively intended to rely on the privilege, even if that intent was not communicated to law enforcement officers. (See Ex Parte Marek (Ala. 1989) 556 So.2d 375, 381; People v. Quintana (Colo. 1983) 665 P.2d 605, 610-611; People v. Aquino, supra, 605 N.E.2d at p. 688; Weitzel, supra, 863 A.2d at p. 1005; Irwin v. Commonwealth (2013) 465 Mass. 834 [992 N.E.2d 275, 289]; Morris v. State (1996) 112 Nev. 260, [913 P.2d 1264, 1267]; People v. DeGeorge (1989) 73 N.Y.2d 614 [543 N.Y.S.2d 11, 541 N.E.2d 11, 13].) The probative value of the evidence will also depend on the extent to which one would expect a person in the particular circumstances to speak or volunteer a statement. (See State v. Deatore (1976) 70 NJ. 100 [358 A.2d 163, 174] (cone. opn. of Sullivan, J.).) Whether and how these factors should weigh in these particular circumstances â where the defendant spoke freely about the circumstances of the collision and his own needs but never inquired about the status of the others involved in the collision, despite the extensive damage to their vehicle â is beyond the scope of our grant of
In future cases, the better practice for a party seeking to offer evidence of postarrest, pr e-Miranda silence or a party seeking to exclude such evidence is to proceed by way of a motion in limine, which will offer the trial court the opportunity to develop a record as to whether the circumstances would have made it clear to the officer that the defendant had invoked the privilege against self-incrimination, whether the evidence of silence is relevant, and, if so, whether its probative value is substantially outweighed by the probability of undue consumption of time or undue prejudice under Evidence Code section 352.
Disposition
The judgment of the Court of Appeal is reversed and the matter is remanded for further proceedings consistent with this opinion.
Cantil-Sakauye, C. J., Chin, J., and Corrigan, J., concurred.
Miranda v. Arizona (1966) 384 U.S. 436 [16 L.Ed.2d 694, 86 S.Ct. 1602] (Miranda).
Neighbor Nico Roundy testified that he did not hear any braking before the âreally loud bangâ at the intersection.
Justice Alitoâs plurality opinion was joined by Chief Justice Roberts and Justice Kennedy. Justice Thomas, joined by Justice Scalia, concurred separately, expressing the view that Griffin was wrongly decided and therefore â. . . Salinasâ claim would fail even if he had invoiced the privilege because the prosecutorâs comments regarding his precustodial silence did not compel him to give self-incriminating testimony.â (Salinas, supra, 570 U.S. at p._ [133 S.Ct. at p. 2184] (cone. opn. of Thomas, J.).) Because the circumstances in which the plurality opinion deemed prearrest silence to be admissible â i.e., when the defendant has not expressly invoked the privilege â is a logical subset of the concurring opinionâs view that prearrest silence is admissible regardless of whether the defendant invoked the privilege, the rule set forth in the plurality opinion states the holding of the court. (See Marks v. United States (1977) 430 U.S. 188, 193 [51 L.Ed.2d 260, 97 S.Ct. 990]; U.S. v. Epps (D.C. Cir. 2013) 404 U.S. App.D.C. 39 [707 F.3d 337, 348-351].)
Defendant was not formally arrested until approximately 11:00 p.m. The Court of Appeal determined that the restraint on defendantâs freedom of movement ripened into a de facto arrest at 9:48 p.m., when police transported him and his girlfriend in a patrol vehicle to the police station for a blood test and interview.
Cockrell was tried and convicted in January 1963 (People v. Cockrell, supra, 63 Cal.2d at p. 662); Banks was tried and convicted in August 1962 (In re Banks, supra, 4 Cal.3d at p. 340). In People v. Rollins (1967) 65 Cal.2d 681, 686 [56 Cal.Rptr. 293, 423 P.2d 221], we decided to follow âthe conclusion of the United States Supreme Court that Miranda should not extend to trials which began before June 13, 1966.â
Some state courts view the calculus differently and have interpreted their own constitutions to bar the use of postarrest, pre-Miranda silence for impeachment. (E.g., Adams v. State (Alaska 2011) 261 P.3d 758, 765; State v. Hoggins (Fla. 1998) 718 So.2d 761, 769-770; Commonwealth v. Spotz (2005) 582 Pa. 207 [870 A.2d 822, 831]; Sanchez v. State (Tex.Crim.App. 1986) 707 S.W.2d 575, 578; State v. Davis (1984) 38 Wn.App. 600 [686 P.2d 1143, 1145].) Although the Court of Appeal used to follow what it called âthe âCalifornia rule,â â which likewise âforbade cross-examination or commentary on a defendantâs postarrest silence whether Miranda warnings were given or notâ (People v. Delgado (1992) 10 Cal.App.4th 1837, 1841 [13 Cal.Rptr.2d 703]), the truth-in-evidence provision of our state Constitution (Cal. Const., art. I, § 28, subd. (f)(2)), which directs that â âevidence of [a defendant]âs pre-Miranda silence may be excluded only if application of the exclusionary rule is compelled by federal lawâ â (Delgado, supra, 10 Cal.App.4th at p. 1841), now forecloses such a rule.