State Of Washington v. David Valdez ( 2016 )

Filed
Washington State
Court of Appeals
Division Two
July 6, 2016
IN THE COURT OF APPEALS OF THE STATE OF WASHINGTON
DIVISION II
STATE OF WASHINGTON, No. 47434-4-II
Respondent,
v.
DAVID ALAN VALDEZ, UNPUBLISHED OPINION
Appellant.
WORSWICK, J. — David Valdez appeals his convictions for one count of third degree
assault and one count of resisting arrest. He argues that (1) the trial court improperly commented
on the evidence when it instructed the jury on assault, (2) an instruction on assault shifted the
burden of proof to Valdez, (3) a police officer presented improper opinion testimony, (4) defense
counsel was ineffective because he did not object to the allegedly improper testimony, and (5) a
reasonable doubt instruction violated Valdez’s due process rights. We disagree and affirm his
convictions.
FACTS
Valdez was highly intoxicated. He went to a gas station’s convenience store to buy an
alcoholic beverage, then fell asleep on a bench in the back of the store. Employees at the gas
station asked him to leave, but Valdez did not readily cooperate. After several minutes, the
employees called the police.
No. 47434-4-II
Police officers arrived, awakened Valdez, and asked him to leave. Valdez became
verbally aggressive, and when officers tried to remove him from the store, he resisted. The
officers escorted him out of the store. Outside the store, Valdez screamed vulgarities and flailed
his arms. The officers placed Valdez under arrest for disorderly conduct. They attempted to
handcuff Valdez, holding him near a police vehicle. Although Valdez continued to struggle and
curse, the officers succeeded in handcuffing him.
Several officers began patting Valdez down. Officer Nicholas Woodard was on the left
side of Valdez and behind him. Valdez was glaring at Officer Woodard and said to him: “[F***]
you.” 1A Verbatim Report of Proceedings (VRP) at 117. The officers then heard Valdez make a
noise that sounded like he was intentionally gathering spit. Valdez turned his face up and toward
Officer Woodard and spat upward towards him. Officer Woodard turned his face away, and
Valdez’s spit landed on Officer Woodard’s ear. Officer Woodard was offended by being spat
on.
The State charged Valdez with one count of third degree assault1 against Officer
Woodard and one count of resisting arrest.2 During trial, officers testified to the above facts.
Officer James Kelly testified that he was standing behind Valdez during the incident and saw it
occur. The State asked him several questions about Valdez’s opportunity to spit in directions
other than at Officer Woodard. The State asked him to imitate the noise Valdez made before
spitting, and Officer Kelly complied. After Officer Kelly imitated the noise, the State asked: “So
1
RCW 9A.36.031(1)(g).
2
RCW 9A.76.040(1).
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No. 47434-4-II
he had to intentionally—he intentionally cleared his throat?” 1A VRP at 164. Officer Kelly
agreed. The State continued: “And [he] turned and intentionally spit?” 1A VRP at 164. Officer
Kelly agreed. Then, the State moved on to asking about Officer Woodard’s reaction. At no time
during this questioning did Valdez object.
Valdez testified in his defense that he felt the need to clear his throat after being awoken.
He testified that he attempted to turn his head and spit forcefully on the ground, rather than
hitting any of the officers near him. He testified that he did not intend to spit on Officer
Woodard.
Valdez proposed a jury instruction based on 11 Washington Practice: Washington
Pattern Jury Instructions: Criminal 35.50, at 547 (3d ed. 2008) (WPIC), which read: “An assault
is an intentional touching of another person that is harmful or offensive . . . ,” and which did not
mention spitting. Clerk’s Papers (CP) at 7. The State proposed a version of the same instruction
that clarified that spitting can be an assault. Valdez argued that this instruction could constitute a
comment on the evidence, misleading the jury into believing that spitting is an assault as a matter
of law. The trial court reasoned that it was important to instruct the jury that spitting could
constitute the “touching” required for assault, and that the instruction would permit Valdez to
argue that he did not intend for his spit to land on Officer Woodard. 1B VRP at 228. Instruction
7 read: “An assault is an intentional touching of or spitting on another person, that is harmful or
offensive regardless of whether any physical injury is done to the person. A touching or spitting
is offensive if the touching or spitting would offend an ordinary person who is not unduly
sensitive.” CP at 17.
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No. 47434-4-II
The jury was instructed that they were the sole judges of each witness’s credibility. They
were also instructed that the trial judge was not permitted to comment on the evidence, that he
had attempted not to do so, and that they should disregard any personal opinions he may have
stated about the evidence.
The jury instructions provided that the State had the burden of proving each element of
the crimes beyond a reasonable doubt. Instruction 3, which defined reasonable doubt, followed
WPIC 4.01 verbatim and read:
A reasonable doubt is one for which a reason exists and may arise from the
evidence or lack of evidence. It is such a doubt as would exist in the mind of a
reasonable person after fully, fairly[,] and carefully considering all of the evidence
or lack of evidence. If, after[3] such consideration, you have an abiding belief in the
truth of the charge, you are satisfied beyond a reasonable doubt.
CP at 13. The jury found Valdez guilty as charged. Valdez appeals.
ANALYSIS
I. COMMENT ON THE EVIDENCE
Valdez argues that instruction 7, which defined assault to include spitting, constituted an
unconstitutional judicial comment on the evidence. We disagree.
A. Standard of Review
We review constitutional issues de novo. State v. Vance, 168 Wash. 2d 754, 759, 230 P.3d
1055 (2010). Article IV, section 16 of the Washington State Constitution prohibits trial judges
from commenting on the evidence presented at trial. State v. Deal, 128 Wash. 2d 693, 703, 911
3
The jury instruction as provided read “after such consideration”; whereas WPIC 4.01 reads
“from such consideration.” Compare CP at 13, with 11 WPIC 4.01, at 85. This negligible
difference in wording appears to be a clerical error.
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No. 47434-4-II
P.2d 996 (1996). Instead, the court’s instructions “shall declare the law.” State v. Brush, 183
Wash. 2d 550, 557, 353 P.3d 213 (2015) (quoting CONST. art. IV, § 16). An impermissible
comment on the evidence is one that conveys the judge’s attitude on the merits of the case or
permits the jury to infer whether the judge believed or disbelieved certain testimony. Deal, 128
Wash. 2d at 703. This prohibition is designed “to prevent the jury from being unduly influenced by
the court’s opinion regarding the credibility, weight, or sufficiency of the evidence.” State v.
Sivins, 138 Wash. App. 52, 58, 155 P.3d 982 (2007). But a jury instruction that does no more than
accurately state the law pertaining to an issue does not constitute an impermissible comment on
the evidence. State v. Woods, 143 Wash. 2d 561, 591, 23 P.3d 1046 (2001).
B. No Comment on the Evidence
Valdez was charged with third degree assault of a law enforcement officer, and the State
bore the burden of proving that Valdez “[a]ssault[ed] a law enforcement officer or other
employee of a law enforcement agency who was performing his or her duties at the time of the
assault” under circumstances not amounting to first or second degree assault. RCW
9A.36.031(1)(g). “Assault” is not defined in the criminal code and therefore, we turn to common
law for its definition. State v. Elmi, 166 Wash. 2d 209, 215, 207 P.3d 439 (2009). The common
law recognizes three definitions of assault: attempted battery, actual battery, and common law
assault. State v. Wilson, 125 Wash. 2d 212, 218, 883 P.2d 320 (1994).
As relevant to this case, a touching is an assault if it is intentional, offensive, and the
victim does not consent. See State v. Shelby, 85 Wash. App. 24, 28-29, 929 P.2d 489 (1997).
Washington courts have recognized that spitting can constitute an assault. State v. Jackson, 145
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No. 47434-4-II
Wn. App. 814, 821, 187 P.3d 321 (2008); State v. Humphries, 21 Wash. App. 405, 409, 586 P.2d
130 (1978).
Instruction 7 provided in relevant part that an “assault is an intentional touching of or
spitting on another person, that is harmful or offensive.” CP at 17. Valdez argues that by adding
the word “spitting” to the instruction, the trial court commented on the evidence. Br. of
Appellant at 5. But as a matter of law, spitting can constitute an assault so long as it is
intentional and offensive. Jackson, 145 Wash. App. at 821; Humphries, 21 Wash. App. at 409.
Nothing in the language of instruction 7 suggested that the judge personally believed Valdez’s
spitting was an assault. Instead, instruction 7 correctly stated the law and permitted the jury to
determine whether Valdez’s spitting was intentional and offensive. Instruction 7 was not a
comment on the evidence. Woods, 143 Wash. 2d at 591.
II. SHIFTING THE BURDEN OF PROOF
Valdez argues that instruction 7 relieved the State of its burden of proving that Valdez’s
spit could constitute an assault as a matter of law. We disagree.
We review jury instructions as a whole to see if the instructions properly inform the jury
of the applicable law, are not misleading, and allow the parties to argue their theories of the case.
State v. Embry, 171 Wash. App. 714, 756, 287 P.3d 648 (2012). We review the adequacy of jury
instructions de novo. Embry, 171 Wash. App. at 756.
Here, as stated above, an assault is an intentional, offensive touching. Shelby, 85 Wn.
App. at 28-29. Instruction 7 said that an assault is a touching or a spitting that is intentional and
offensive. Thus, the jury instructions properly informed the jury of the applicable law. They
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No. 47434-4-II
required the State to prove that the spitting was intentional and offensive. They did not require
the State to prove that a spitting is a touching, because that has been established as a matter of
law. See Jackson, 145 Wash. App. at 821; Humphries, 21 Wash. App. at 409. In other words, the
fact that spitting is touching was not an issue of fact the State bore the burden of proving. Thus,
we hold that instruction 7 did not shift the burden of proof to Valdez.
III. LAY OPINION TESTIMONY
Valdez argues that Officer Kelly provided improper opinion testimony and invaded the
province of the jury because he testified that Valdez “intentionally” spat on Officer Woodard.
Br. of Appellant at 8. We disagree.
Lay witnesses may give opinions or inferences based upon rational perceptions that help
the jury understand the witness’s testimony and that are not based upon scientific or specialized
knowledge. State v. Montgomery, 163 Wash. 2d 577, 591, 183 P.3d 267 (2008). Impermissible
opinion testimony about the defendant’s guilt violates the defendant’s constitutional right to a
jury trial, which includes a right to an independent determination of the facts by the jury. State v.
Kirkman, 159 Wash. 2d 918, 927, 155 P.3d 125 (2007). “Opinions on guilt are improper whether
made directly or by inference.” State v. Quaale, 182 Wash. 2d 191, 199, 340 P.3d 213 (2014).
Washington courts have held opinion testimony inadmissible in cases where the opinion
evidence included explicit testimony about the defendant’s guilt rather than the witness’s factual
observations. See Quaale, 182 Wash. 2d at 201-02 (holding that a trooper’s opinion about a
driver’s impairment in a driving under the influence case was inappropriate where it was based
solely on the horizontal gaze nystagmus test and not his own observations of the defendant). But
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No. 47434-4-II
Washington courts have upheld the admission of opinion testimony when the witnesses had
strong factual bases supporting their opinions and those opinions did not include an explicit
statement on an ultimate issue of fact. See City of Seattle v. Heatley, 70 Wash. App. 573, 579, 854
P.2d 658 (1993).
In Heatley, Division One of this court held admissible an officer’s testimony that Heatley
was intoxicated where that testimony was based on the officer’s observations of Heatley’s
physical appearance, conduct, and field sobriety tests. Heatley, 70 Wash. App. at 576, 579. The
court in Heatley noted that an opinion that encompasses ultimate factual issues supporting the
conclusion that the defendant is guilty does not necessarily make that testimony an improper
opinion on guilt. Heatley, 70 Wash. App. at 579.
Here, like the officer in Heatley, Officer Kelly testified about his own perceptions based
on his observations of Valdez’s behavior. Officer Kelly testified that he saw and heard Valdez
spit. Based on his observations, he imitated the noise Valdez made before spitting. The State
asked him whether Valdez “intentionally cleared his throat” and “intentionally [spat],” and
Officer Kelly agreed. 1A VRP at 164. From these statements in their context, it is clear that
Officer Kelly was testifying about his own observations, rather than about Valdez’s guilt. He
testified about the actions he saw and heard, which enabled him to testify that Valdez appeared
to deliberate and prepare to spit.
Moreover, Officer Kelly did not testify to the ultimate issue in the case, which was
whether Valdez intended to spit on Officer Woodard. Instead, he testified that Valdez’s act of
spitting was intentional, which Valdez admitted. Officer Kelly expressed no opinion on
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No. 47434-4-II
Valdez’s intent for the spit to land on Officer Woodard. Officer Kelly did not testify to the
ultimate issue of Valdez’s guilt, and Valdez’s argument fails.
IV. INEFFECTIVE ASSISTANCE OF COUNSEL
Valdez argues that he received ineffective assistance of counsel because his counsel
failed to object to Officer Kelley’s opinion testimony. We disagree.
On an ineffective assistance of trial counsel claim, the defendant bears the burden of
showing deficient performance and resulting prejudice. State v. Grier, 171 Wash. 2d 17, 32-33,
246 P.3d 1260 (2011); Strickland v. Washington, 466 U.S. 668, 687, 104 S. Ct. 2052, 80 L. Ed.
2d 674 (1984). Failure to establish either prong is fatal to an ineffective assistance of counsel
claim. Strickland, 466 U.S. at 700.
As stated above, we hold that Officer Kelly’s testimony was permissible because it was
based on his own observations and it did not encompass the ultimate factual issue in the case.
Because the testimony was admissible, counsel was not deficient for failing to object to it.
Therefore, Valdez’s ineffective assistance of counsel claim fails. Grier, 171 Wash. 2d at 32-33.
V. REASONABLE DOUBT INSTRUCTION
Valdez argues that instruction 3, which defines reasonable doubt, violated his right to a
jury trial and shifted the burden of proof. We disagree.
“[J]ury instructions must define reasonable doubt and clearly communicate that the State
carries the burden of proof.” State v. Bennett, 161 Wash. 2d 303, 307, 165 P.3d 1241 (2007).
Valdez’s reasonable doubt jury instruction was taken verbatim from WPIC 4.01. See WPIC at
85. Our Supreme Court has repeatedly made clear that WPIC 4.01 is correct and that trial courts
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No. 47434-4-II
must use it. State v. Kalebaugh, 183 Wash. 2d 578, 582, 585-86, 355 P.3d 253 (2015) (holding that
WPIC 4.01 is the correct instruction on reasonable doubt); Bennett, 161 Wash. 2d at 318
(instructing trial courts “to use the WPIC 4.01 instruction to inform the jury of the government’s
burden to prove every element of the charged crime beyond a reasonable doubt” “until a better
instruction is approved”).
Here, because the trial court provided WPIC 4.01 as directed by the Supreme Court, it did
not err. Division One of this court recently rejected arguments similar to Valdez’s in State v.
Lizarraga, 191 Wash. App. 530, 567, 364 P.3d 810 (2015). We do the same. Valdez’s arguments
are better directed to the Supreme Court.
We affirm Valdez’s convictions.
APPELLATE COSTS
Valdez asks us to waive appellate costs in the event the State prevails on appeal and seeks
costs. We grant this request.
Under former RCW 10.73.160(1) (1995), an appellate court may order adult offenders to
pay appellate costs. And under our RAP rules, the clerk or commissioner of this court “will”
award costs on appeal to the State as the substantially prevailing party if the State provides a cost
bill. RAP 14.2, 14.4. However, we may direct the commissioner or clerk not to award costs.
RAP 14.2; State v. Sinclair, 192 Wash. App. 380, 389-90, 367 P.3d 612 (2016). Because of
Valdez’s indigent status, and our presumption under RAP 15.2(f) that he remains indigent
“throughout the review” unless the trial court finds that his financial condition has improved, we
exercise our discretion to waive appellate costs. Former RCW 10.73.160(1).
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No. 47434-4-II
A majority of the panel having determined that this opinion will not be printed in the
Washington Appellate Reports, but will be filed for public record in accordance with RCW
2.06.040, it is so ordered.
Worswick, J.
We concur:
Bjorgen, C.J.
Maxa, J.
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