Lead Opinion
Opinion
This case addresses the effect of the decisions of the United States Supreme Court in Blakely v. Washington (2004)
I.
Defendant was charged with one count of continuous sexual abuse of a child (Pen. Code, § 288.5),
Two of T.R.’s friends (A.T. and H.T.) testified that one day when they were playing with T.R. at her house, defendant told them they could do whatever they wanted, including taking off their clothes. Encouraged by T.R., the girls took off some of their clothing. At defendant’s urging, the girls sat in his lap and he rubbed their bare thighs.
The defense contended that the acts as testified to by defendant’s stepdaughter had not occurred, that she made up the allegations because she was upset by the troubled relationship between her mother and defendant, and that she actually had been molested by a family friend whom she was trying to protect. The defense also contended that defendant’s conduct with his stepdaughter’s friends was innocent, and that by having them sit in his lap he was merely trying to settle them down. The jury found defendant guilty on all counts and found all of the special allegations true.
The offense of continuous sexual abuse of a child is punishable by a term of six, 12, or 16 years’ imprisonment. (§ 288.5, subd. (a).) The court sentenced defendant to the upper term of 16 years for that offense, selecting this term based on “the nature, seriousness, and circumstances of the crime.” The court noted that defendant had forced the victim to have sexual intercourse with him on numerous occasions, that the victim was particularly vulnerable to him as his stepdaughter, that he had abused a position of trust and confidence, and that he had inflicted emotional and physical injury on the victim.
The court imposed two indeterminate terms of 15 years to life on the lewd conduct counts, consecutive to each other and to the 16-year determinate term, for a total term of imprisonment of 46 years to life. In explaining its reasons for imposing consecutive terms, the court noted that count 2 involved a separate victim (A.T.) from count 1 (T.R.) and occurred on a separate occasion. In addition, count 2 involved a breach of confidence, because the victim had been left in defendant’s care. As to count 3, the court stated that offense also involved a different victim (H.T.), and that a consecutive sentence was appropriate because the offense was serious and of a predatory nature, in that defendant had preyed on both his stepdaughter and her friends.
II.
California’s determinate sentencing law became operative on July 1, 1977, replacing the prior system under which most offenses carried an indeterminate sentence. (Added by Stats. 1976, ch. 1135, § 273, p. 5140 and as amended by Stats. 1977, ch. 165, § 1 et seq., pp. 639-680.) In enacting the new sentencing scheme, the Legislature declared that the purpose of imprisonment is punishment, and that this purpose is “best served by terms proportionate to the seriousness of the offense with provision for uniformity in the sentences of offenders committing the same offense under similar circumstances.” (§ 1170, subd. (a)(1).) The Legislature further concluded that “the elimination of disparity and the provision of uniformity of sentences can best be achieved by determinate sentences fixed by statute in proportion to the seriousness of the offenses as determined by the Legislature to be imposed by the court with specified discretion” (Ibid., italics added.) The determinate sentencing scheme seeks to achieve greater uniformity in sentencing by providing a limited range of sentencing options for each offense. The sentence may be increased above the range provided for the offense on the basis of statutory enhancements reflecting the defendant’s criminal history
Three terms of imprisonment are specified by statute for most offenses. The judge’s discretion in selecting among these options is guided by Penal Code section 1170, subdivision (b), which states that “the court shall order imposition of the middle term, unless there are circumstances in aggravation or mitigation of the crime.” In addition, the Judicial Council has been directed to promote uniformity in sentencing by adopting rules that provide criteria for the judge to consider in deciding which term to impose and whether to impose concurrent or consecutive sentences. (§ 1170.3.) Under the applicable rules, “[selection of the upper term is justified only if, after a consideration of all the relevant facts, the circumstances in aggravation outweigh the circumstances in mitigation.” (Cal. Rules of Court, rule 4.420(b).) In imposing the upper term sentence, the court may not consider any fact that is an essential element of the crime itself and may not consider a fact charged and found true as an enhancement unless it strikes the punishment for that enhancement. (§ 1170, subd. (b); Cal. Rules of Court, rule 4.420(c), (d).) The sentencing judge retains considerable discretion to identify aggravating factors. Examples of aggravating factors are listed in the rules of court,
Defendant contends that the high court’s recent decision in Blakely renders this statutory procedure unconstitutional because it does not provide the defendant with a jury trial on the aggravating factors relied upon by the judge in imposing an upper term sentence or consecutive sentences. Blakely extended the scope of the high court’s earlier decision in Apprendi v. New Jersey (2000)
*1248 “(b) Facts relating to the defendant, including the fact that:
In Apprendi, however, the high court took a different approach, concluding that whether a legislature has chosen to label a fact as an element of the crime or to label it as a separate sentencing factor is not the proper inquiry. A fact that “if found, exposes the criminal defendant to a penalty exceeding the maximum he would receive if punished according to the facts reflected in the jury verdict alone” is the functional equivalent of an element of the crime. (Apprendi, supra,
Apprendi examined the right to a jury trial in criminal cases as it existed at common law, recognizing a “historic link between verdict and judgment and the consistent limitation on judges’ discretion to operate within the limits of the legal penalties provided.” (Apprendi, supra,
Several years after the Apprendi decision, Blakely extended the jury trial requirement set forth in Apprendi, redrawing the line between factual findings that require a jury trial, and. sentencing factors on which a judge may make findings. In Blakely, the high court held that the prescribed “ ‘statutory maximum’ ” for purposes of the right to a jury trial is not necessarily the maximum penalty stated in the statute for the crime; rather, it is “the maximum sentence a judge may impose solely on the basis of the facts reflected in the jury verdict or admitted by the defendant.” (Blakely, supra,
The defendant in Blakely pleaded guilty to kidnapping his estranged wife and admitted that the crime involved domestic violence and the use of a firearm. These facts, combined with his criminal history, subjected him to a “ ‘standard range’ ” sentence of 49 to 53 months under the State of Washington’s Sentencing Reform Act. (Blakely, supra,
The high court in Blakely concluded that the rule established in Apprendi applies to the facts that justify an exceptional sentence under the Washington sentencing scheme. The court rejected the argument that the “statutory maximum” sentence for Blakely’s crime was 10 years because that was the maximum sentence provided by statute for the offense. It stated that “the relevant ‘statutory maximum’ is not the maximum sentence a judge may impose after finding additional facts, but the maximum he may impose without any additional findings. When a judge inflicts punishment that the jury’s verdict alone does not allow, the jury has not found all the facts ‘which the law makes essential to the punishment’. . . .” (Blakely, supra,
The high court provided additional guidance regarding the distinction between permissible and impermissible judicial factfinding in its more recent decision in Booker, supra,
Responding to an argument by the dissenting opinion in Booker that the federal guidelines maintain the historical tradition of “judicial authority to increase sentences to take account of any unusual blameworthiness in the manner employed in committing a crime,” Justice Stevens explained the basis for Blakely's interpretation of the Sixth Amendment, as follows: “It is quite true that once determinate sentencing had fallen from favor, American judges commonly determined facts, justifying a choice of a heavier sentence on account of the manner in which particular defendants acted. Apprendi,
The high court in Booker concluded that the federal guidelines violate the Sixth Amendment because “the relevant sentencing rules are mandatory and impose binding requirements on all sentencing judges.” (Booker, supra,
Although a majority of the justices in Booker found the federal guidelines unconstitutional under Blakely, a different majority of the court—in a separate opinion authored by Justice Breyer (and concurred in by Chief Justice Rehnquist and Justices O’Connor, Kennedy, and Ginsburg)—concluded that in order to remedy the constitutional problem, it was most appropriate to sever and excise the portions of the sentencing statute that made the guidelines mandatory and treat the guidelines as advisory. Under the remaining provisions of the statute, which set forth considerations that guide the judge in imposing sentence, a sentencing court is required to consider the guideline ranges, but is permitted to “tailor the sentence in light of other statutory concerns as well.” (Booker, supra,
The decisions in Blakely and Booker have raised questions about the permissible scope of judicial factfinding under a variety of sentencing schemes, including those, like California’s determinate sentencing law, that specify a presumptive term and require that a judge provide reasons for a sentence above or below that term. Decisions of the intermediate appellate courts in this state have been sharply divided on the question of how Blakely affects sentencing in California. The United States Supreme Court has not yet addressed a system that is comparable to California’s.
HI.
Blakely and Booker established a constitutionally significant distinction between a sentencing scheme that permits judges to engage in the type of judicial factfinding typically and traditionally involved in the exercise of judicial discretion employed in selecting a sentence from within the range prescribed for an offense, and a sentencing scheme that assigns to judges the type of factfinding role traditionally exercised by juries in determining the existence or nonexistence of elements of an offense. The first question presented in the case before us is whether a trial judge’s decision to impose an upper term sentence under the California determinate sentencing law involves the type of judicial factfinding that traditionally has been performed
Defendant argues that a jury trial is required on the aggravating factors on which an upper term sentence is based, because the middle term is the “maximum sentence a judge may impose solely on the basis of the facts reflected in the jury verdict . . . .” (Blakely, supra,
The mandatory language of section 1170, subdivision (b), does provide some support for defendant’s position. But, as the high court has emphasized, in analyzing the Sixth Amendment right to a jury trial, “the relevant inquiry is one not of form, but of effect.” (Apprendi, supra,
A.
The federal Constitution permits the court to rely on any number of aggravating factors in exercising its discretion to select the appropriate term
Under the California scheme, a judge is free to base an upper term sentence on any aggravating factor that the judge deems significant, subject to specific prohibitions on double use of aggravating factors that constitute elements of the crime or an enhancement.
The majority opinion in Booker makes clear that the California sentencing scheme does not present the type of problem that the high court had in mind
The imposition of an upper-term sentence under California’s determinate sentencing law does not implicate the concerns described in the majority opinion in Booker. To begin with, as a historical matter California’s adoption of the determinate sentencing law reduced the length of potential sentences for most crimes, rather than increasing them. Prior to enactment of the determinate sentencing law, most crimes in California carried an indeterminate term, frequently one year to life imprisonment. (See Cassou & Taugher, Determinate Sentencing in California: The New Numbers Game (1978) 9 Pacific L.J. 5, 8, 13.) The new law provided a choice among three definite terms for most crimes, with a potential life sentence reserved for only the most serious offenses.
More significantly, the availability of upper term sentences under the determinate sentencing law does not represent a legislative effort to shift the proof of particular facts from elements of a crime (to be proved to a jury) to sentencing factors (to be decided by a judge). The Legislature did not identify all of the particular facts thai; could justify the upper, term. Instead, it afforded the sentencing judge the discretion to decide, with the guidance of rules and statutes, whether the facts of the case and the history of the defendant justify the higher sentence.
B.
The above analysis leads us to conclude that, even though section 1170, subdivision (b) can be characterized as establishing the middle term sentence as a presumptive sentence, the upper term is the “statutory maximum” for purposes of Sixth Amendment analysis. The jury’s verdict of guilty on an offense authorizes the judge to sentence a defendant to any of the three terms specified by statute as the potential punishments for that offense, as
The concerns expressed by the high court in Blakely about the unfairness of imposing a sentence above the standard range do not arise when a defendant is sentenced to the upper term under the California scheme. The court noted the unfairness of the type of system that was permissible before Apprendi, in which “a defendant, with no warning in either his indictment or plea, would routinely see h:.s maximum potential sentence balloon from as little as five years to as much as life imprisonment . . . (Blakely, supra,
The level of discretion afforded to the judge in imposing the upper term rather than the middle term, based on all the circumstances of the case, distinguishes the decision to impose an upper term sentence under the California scheme from the decision to impose an exceptional sentence under the Washington State system. Under Washington law as cited in Blakely, as the term suggests, an exceptional sentence may be imposed only in unusual cases. The judge must conclude that there are “ ‘substantial and compelling reasons' " that justify “ ‘an exceptional sentence.’ ” (Blakely, supra,
The federal guidelines limit the trial court’s discretion even more than the Washington system does, and they are therefore even less analogous to the California system. The guideline ranges take into account not only the offense committed, but also the defendant’s real conduct and criminal history. (See Haines et al., Federal Sentencing Guidelines Handbook (2004) pp. 31-32.)
C.
Apprendi, Blakely, and Booker all make clear that judicial factfinding is acceptable in the context of a discretionary sentencing decision. On the other hand, Blakely may apply to a sentencing decision even if the law permits some level of judicial discretion, as the Washington system does for exceptional sentences. In California, the judge has considerable discretion to select among the upper, middle, and lower terms, but the judge’s discretion to impose a sentence other thar. the middle term is constrained, to some degree, by section 1170, subdivision (b). The judge has broad discretion to decide whether any circumstances related to the crime or the offender reasonably justify the upper term, but in a case in which no such aggravating factor can be found, the judge cannot impose the upper term. The question we must answer is where the line is to be drawn between permissible judicial factfinding in the context of the judge’s exercise of sentencing discretion, and judicial factfinding that violates the Sixth Amendment right to a jury trial.
In answering this question, we are mindful of the principle that “[a]ll presumptions and intendments favor the validity of a statute and mere doubt does not afford sufficient reason for a judicial declaration of invalidity. Statutes must be upheld unless their unconstitutionality clearly, positively and unmistakably appears.” (Lockheed Aircraft Corp. v. Superior Court (1946)
The high court’s precedents do not draw a bright line, but Booker makes clear that the concept of a discretionary sentencing decision is not limited to those decisions that involve complete, unguided, and unreviewable discretion. To remedy the constitutional problem with the federal guidelines, the high court held that the federal guidelines should be treated as advisory only, not binding, but that courts would be required to consider the guidelines in exercising sentencing discretion within the statutory range. The high court did not contemplate that the trial court’s exercise of discretion in sentencing under such an advisory system would be unlimited. After Booker, a federal judge, while not bound to apply the guidelines, must consult those guidelines and take them into account when sentencing. (Booker, supra,
In Booker, all nine justices of the United States Supreme Court agreed that such a discretionary system would not violate a defendant’s Sixth Amendment right to a jury trial. (See Booker, supra,
IV.
We next consider whether Blakely applies to the imposition of consecutive sentences under section 669. Defendant contends that Blakely entitles him to a jury trial on any facts that support the trial court’s decision to impose consecutive terms. Under the applicable statute, whenever a person is convicted of two or more crimes the judge must direct whether the terms of imprisonment for the offenses are to run concurrently or consecutively.
The governing rule of court further provides that in exercising discretion whether to impose concurrent or consecutive sentences, the judge may consider any circumstances in aggravation or mitigation, except an element of the crime or an aggravating fact that has been used to impose the upper term or otherwise enhance the prison term. (Cal. Rules of Court, rule 4.425(b).) The judge also may consider the relationship between the crimes, including (1) whether the crimes and their objectives were independent of each other, (2) whether they involved separate acts of violence or threats of violence, and (3) whether they were committed at different times or separate locations. (Id., rule 4.425(a).) Defendant contends that under section 669 and the rules of court, the trial court cannot impose a consecutive term without making additional factual findings not contained within the jury’s verdict. Therefore, defendant argues, concurrent terms are the “statutory maximum” that can be imposed based upon the jury’s verdict alone, and any finding of a further fact or circumstance; that would justify imposition of consecutive terms must be submitted to the jury.
The same reasoning that leads us to conclude that a jury trial is not required on the aggravating factors that justify imposition of the upper term leads us to conclude that a jury trial is not required on the aggravating factors that justify imposition of consecutive sentences. Under section 669, the judge has discretion to determine whether to impose sentences consecutively or concurrently. “Judicial factfinding in the course of selecting a sentence within the authorized range does not implicate the indictment, jury-trial, and reasonable-doubt components of the Fifth and Sixth Amendments.” (Harris v. United States, supra,
In addition, Blakely’s underlying rationale is inapplicable to a trial court’s decision whether to require that sentences on two or more offenses be served consecutively or concurrently. We previously have recognized that Apprendi “treated a sentence enhancement as the functional equivalent of a crime.
No such danger is created by a statute that permits judges to decide whether to impose consecutive sentences without jury factfinding. The jury’s verdict finding the defendant guilty of two or more crimes authorizes the statutory maximum sentence for each offense. When a judge considers the circumstances of each offense and the defendant’s criminal history in determining whether the sentences are to be served concurrently or consecutively, he or she cannot be said to have usurped the jury’s historical role. Permitting a judge to make any factual findings related to the choice between concurrent or consecutive sentences does not create an opportunity for legislatures to eliminate the right to a jury trial on elements of the offenses. Nothing in the high court’s decisions in Apprendi, Blakely, or Booker suggests that they apply to factual determinations that do not serve as the “functional equivalent” of an element of a crime.
Before Blakely was decided, numerous cases held that Apprendi does not apply to the decision to impose consecutive sentences.
V.
In light of the conclusions set forth above, we conclude defendant’s constitutional right to a jury trial was not violated by the trial court’s imposition of the upper term sentence for his conviction of continuous sexual abuse or by its imposition of consecutive sentences on all three counts. The decision of the Court of Appeal therefore is affirmed.
Baxter, J., Werdegar, J., Chin, J., Brown, J., and Moreno, J., concurred.
Notes
All further statutory references are to the Penal Code, unless otherwise indicated.
See, e.g., section 667.5, subdivision (a) (five years for prior prison term served for a violent felony if the current offense is a violent felony); id., subdivision (b) (one year for a prior prison term served for any felony).
See, e.g., sentence enhancements provided in Penal Code sections 667.9 and 667.10 (victim who is elderly, young, or disabled), 12022 (being armed with a firearm and using a deadly or dangerous weapon), 12022.1 (commission of offense while released on bail or own
California Rules of Court, rule 4.421 provides: “Circumstances in aggravation include:
“(a) Facts relating to the crime, whether or not charged or chargeable as enhancements, including the fact that:
“(1) The crime involved great violence, great bodily harm, threat of great bodily harm, or other acts disclosing a high degree of cruelty, viciousness, or callousness.
“(2) The defendant was armed with or used a weapon at the time of the commission of the crime.
“(3) The victim was particularly vulnerable.
“(4) The defendant induced others to participate in the commission of the crime or occupied a position of leadership or dominance of other participants in its commission.
“(5) The defendant induced a minor to commit or assist in the commission of the crime.
“(6) The defendant threatened witnesses, unlawfully prevented or dissuaded witnesses from testifying, suborned perjury, or in any other way illegally interfered with the judicial process.
“(7) The defendant was convicted of other crimes for which consecutive sentences could have been imposed but for which concurrent sentences are being imposed.
“(8) The manner in which the crime was carried out indicates planning, sophistication, or professionalism.
“(9) The crime involved an attempted or actual taking or damage of great monetary value.
*1248 “(10) The crime involved a large quantity of contraband.
“(11) The defendant took advantage of a position of trust or confidence to commit the offense.
“(1) The defendant has engaged in violent conduct which indicates a serious danger to society.
“(2) The defendant’s prior convictions as an adult or sustained petitions in juvenile delinquency proceedings are numerous or of increasing seriousness.
“(3) The defendant has served a prior prison term.
“(4) The defendant was on probation or parole when the crime was committed.
“(5) The defendant’s prior performance on probation or parole was unsatisfactory.
“(c) Any other facts statutorily declared to be circumstances in aggravation.”
Similarly, the judge’s “[selection of the lower term is justified only if, considering the same facts, the circumstances in mitigation outweigh the circumstances in aggravation.” (Cal. Rules of Court, rule 4.420(b).) Examples of mitigating factors, relating to the crime and to the defendant, are listed in California Rules of Court, rule 4.423.
In California, all aspects of hate crime charges are subject to determination by a jury. (§ 422.55 et seq.)
The majority opinion in Booker on the substantive constitutional issue was written by Justice Stevens and joined by Justices Scalia, Souter, Thomas, and Ginsburg. These same five justices provided the majority in Blakely, which was written by Justice Scalia. Justice Breyer,
In her dissenting opinion in Blakely, Justice O’Connor commented that the majority’s decision cast constitutional doubt on the federal sentencing guidelines as well as similar sentencing systems enacted in various states. (Blakely, supra, 542 U.S. at pp. 322-323 [
Justice Kennard’s concurring and dissenting opinion takes issue with this formulation of the question, suggesting that our approach is the same as the one advocated in Justice O’Connor’s dissent in Apprendi and in Justice Breyer’s dissent in Booker, and that such an approach was rejected by a majority of the high court. (See conc. & dis. opn., post, at p. 1271.) In contrast to the separate opinions referred to by Justice Kennard—which focused on the nature of the type of fact at issue (see Apprendi, supra,
See California Rules of Court, rule 4.420(c) (fact underlying an enhancement may not be used to impose the upper term unless the court strikes the enhancement) and (d) (fact that is an element of the crime may not be used to impose the upper term).
In this respect, the Arizona capital sentencing scheme at issue in Ring v. Arizona (2002)
In adopting the sentencing rules, the Judicial Council considered and rejected proposals that the rules provide an exclusive list of sentencing criteria and that the criteria be assigned specific weights, on the ground that the Legislature intended to give the sentencing judge discretion in selecting among the lower, middle, and upper terms. The report on which the Judicial Council acted in adopting the rules explains that “an exclusive listing would be inconsistent with the statutory mandate to adopt ‘rules providing criteria for the consideration of the trial judge’ [§ 1170.3] since this language does not purport to limit the discretion afforded the court in each of the five enumerated sentencing decisions, but calls for criteria which will assist the courts in the exercise of that discretion.” (Judicial Council of Cal., Advisory Com. Rep., Sentencing Rules and Sentencing Reporting System (1977) p. 6.) “Any attempt to impose a weighting system on trial courts . . . would be an infringement on the sentencing power of the court.” (Id., p. 8.) “The substantive law, and section 1170(a)(1), give discretion to the trial court; the rules can guide, but cannot compel, the exercise of that discretion.” (Id., p. 11.)
Some of the language used by the court in Blakely does suggest that the circumstance that the trial court has discretion to decide which factors are aggravating is not significant. Blakely
See footnote 3, ante.
The available data suggests, as one might expect, that the exceptional sentence in Washington is imposed less frequently than is the upper term in California. In Washington, sentences above the standard range were imposed in only 3 percent of cases in fiscal years 2003 and 2004. (Wn. State Sentencing Guidelines Com., Statistical Summary of Adult Felony Sentencing, Fiscal Year 2004, p. 22; see id., Fiscal Year 2003, p. 21.) The available data for California covers the period from 1981 through 1988, and indicates that in cases involving a single count, the percentage of cases in which the upper term was imposed ranged from 13.36 percent to 17.73 percent. (Cal. Bd. Prison Terms, Report on Sentencing Practices, Determinate Sentencing Law (Feb. 10, 1983); id. (Feb. 29, 1984); id. (Feb. 28, 1985); id. (June 23, 1986); id. (Mar. 12, 1987); id. (Jan. 15, 1988); id. (Jan. 31, 1989); id. (Jan. 31, 1990).)
Under the current version of the Washington statute, a defendant is assigned an offender score of between 0 and 9, which affects the standard sentencing range. (See Wn. Rev. Code, § 9.94A.525.) For example, a defendant who is convicted of second degree kidnapping and who had an offender score of 0 would be eligible for a standard sentence of between six and 12 months, whereas a defendant with an offender score of 9 would be eligible for a standard sentence of between 72 and 96 months. (Wn. Rev. Code, § 9.94A.510.)
Under the federal guidelines, a chart specifies the punishment ranges for various offense levels, which range between one and 43, and also specifies various criminal history categories, which range from one to six. Each offense is assigned to a particular base level. In addition, the offense level is raised by a specified number based on the defendant’s conduct and role in the offense. For example, robbery is assigned a base offense level of 20. That level is raised on the basis of specified offense characteristics for robbery, including, for example, discharge of a firearm (seven levels), use of a dangerous weapon (four levels), bodily injury to a victim (two levels), serious bodily injury (four levels), permanent bodily injury (six levels), and amount of loss (between one and seven levels, depending on the amount). (U.S. Sentencing Com., Guidelines Manual, § 2B3.1.) Additional adjustments are made on the basis of conduct not specific to a particular offense, including, for example, victim characteristics (three levels for a hate crime, two levels if the victim was vulnerable), the defendant’s role in the offense (two levels if the defendant was an organizer, leader, manager, or supervisor in the activity), and the defendant’s impeding the administration of justice (two levels). (Id., §§ 3A1.1, 3B1.1, 3C1.1.)
No reason need be stated or the record for directing that indeterminate terms run consecutively to one another. (People v. Murray (1991)
Consistent with this rationale, the high court in Apprendi focused on the potential punishment for a single offense. In Apprendi, the court rejected the state’s argument that the sentence imposed on the defendant in that case was within the statutory maximum because it was less than the total maximum term for which he was eligible, had the sentences on all of his offenses been imposed consecutively. Based solely upon the jury’s verdicts, Apprendi was eligible for a 10-year term on the offense at issue in that case, and for additional terms for two other offenses. The state argued the sentence was valid because it was within the total range authorized by statute for the three offenses to which he pleaded guilty. The court in Apprendi concluded, however, that the sentences on the two other counts were irrelevant. The judge’s factual finding on the first offense was significant, because it “increased—indeed, it doubled— the maximum range within which the judge could exercise his discretion.” (Apprendi, supra,
See, e.g., People v. Groves (2003)
Concurrence Opinion
Concurring and Dissenting.—The question here is this: Do the United States Supreme Court’s recent trio of decisions in Apprendi v. New Jersey (2000)
I agree with that answer as to the first question.
With respect to the second question, however, I disagree with the majority’s holding that an upper term sentence will never violate a defendant’s constitutional right to a jury trial. Under California law, a trial court may impose an upper term only if it concludes that the greater punishment is justified by one or more aggravating circumstances, which may be either facts relating to the crime or facts relating to the defendant’s criminal history. Under the three high court decisions I just mentioned, the
Here, the trial court relied on certain aggravating facts to justify sentencing defendant to an upper term. Because one of those aggravating facts related to defendant’s criminal history, and because the jury made a finding on another aggravating fact when it found true an allegation that made defendant ineligible for probation, the trial court’s imposition of the upper term did not violate defendant’s right to jury trial under the federal Constitution. For this reason, I join the majority in affirming the trial court’s judgment, even though I disagree with the majority’s conclusion that imposition of an upper term under California’s sentencing scheme never implicates a defendant’s constitutional right to trial by jury.
I. Background
Defendant was convicted of one count of engaging in continuous sexual abuse of a child (Pen. Code, § 288.5),
The trial court imposed the upper term of 16 years for the violation of section 288.5 (continuous sexual abuse of a child), giving these reasons: Defendant forced his stepdaughter to have intercourse with him on numerous occasions, defendant’s stepdaughter was particularly vulnerable, defendant abused a position of trust and confidence, and defendant inflicted emotional and physical injury on his stepdaughter. The court also mentioned that it had
With respect to the one count under section 288.5 (continuous sexual abuse of a child), defendant argues that under the Sixth Amendment to the federal Constitution he was entitled, to have a jury determine beyond a reasonable doubt the existence of each of the aggravating factors justifying imposition of the upper term.
II. California’s Sentencing Scheme
California law specifies a range of three prison terms for most felonies: the upper term, the middle term, and the lower term. Pertinent here is subdivision (b) of section 1170, which states: “When a judgment of imprisonment is to be imposed and the statute specifies three possible terms, the court shall order imposition of the middle term, unless there are circumstances in aggravation or mitigation of the crime.” (Italics added.) This provision is echoed in rule 4.420(b) of the California Rules of Court: “Selection of the upper term is justified only if after a consideration of all the relevant facts, the circumstances in aggravation outweigh the circumstances in mitigation.” (Italics added.) Thus, under California’s sentencing scheme, the trial court cannot impose the upper term unless it finds the existence of one or more aggravating circumstances. That finding is made under a “preponderance of the evidence” standard. (Ibid.; People v. Scott (1994)
III. United States Supreme Court’s Recent Sentencing Decisions
Pertinent here is the high court’s trilogy of recent sentencing decisions: Apprendi, supra,
Apprendi, decided in 2000, involved a New Jersey law that provided for an extended term of imprisonment if the trial court found by a preponderance of the evidence that the crime was committed “ ‘to intimidate an individual or group of individuals because of race, color, gender, handicap, religion, sexual orientation or ethnicity.’ ” (Apprendi, supra,
Some four years later, in 2004, the high court in Blakely applied its Apprendi holding to the State of Washington’s sentencing scheme. In that case, the defendant was convicted of second degree kidnapping with a firearm, a felony punishable by up to 10 years in prison. Under Washington law, the “ ‘standard range’ ” for the crime was 49 to 53 months, but a trial court could exceed that range if it found “ ‘substantial and compelling reasons justifying an exceptional sentence.’ ” (Blakely, supra,
Blakely invalidated the State of Washington’s sentencing scheme insofar as it did not provide the defendant with a jury trial, requiring proof beyond a reasonable doubt, on the existence of aggravating factors used to increase the defendant’s sentence. The Blakely court reiterated its holding in Apprendi that “ ‘any fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt.’ ” (Blakely, supra,
The next year, in Booker, supra,
The first opinion, authored by Justice Stevens, áddressed the question whether the Federal Sentencing Guidelines violated the Sixth Amendment. Of particular significance here is part II of that opinion. (Booker, supra, 543 U.S. at pp. 229-237 [125 S.Ct. at pp. 748-752].) There, the high court explained that if the guidelines were “merely advisory,” “their use would not implicate the Sixth Amendment,” because judges may “exercise broad discretion in imposing a sentence within a statutory range.” (Booker, supra,
The second majority opinion, authored by Justice Breyer, discussed the remedy for the constitutional violation found in the first opinion. Explaining that there were two possible remedies—(1) to engraft onto the guidelines a jury trial requirement, or (2) to make the guidelines advisory rather than mandatory—the court chose, the latter, reasoning that to engraft a jury trial requirement onto the sentencing guidelines would destroy them. It concluded that the provisions in the federal sentencing statute that made the guidelines mandatory and that set forth standards of review on appeal should be severed and excised, and that, with these excisions, the remainder of the guidelines were constitutional. (Booker, supra, 543 U.S. at pp. 258-265 [125 S.Ct. at pp. 764-768].)
To summarize: the high court’s decisions in Apprendi, supra,
IV. Application of High Court’s Recent Trilogy of Sentencing Decisions to California’s Sentencing Scheme
California law prohibits a trial court from sentencing a defendant to the upper term unless it finds the existence of one or more aggravating circumstances. (§ 1170, subd. (b).) Absent such findings, the middle term is the maximum sentence it may impose. Thus, under our system, the statutory maximum, that is, “the maximum sentence a judge may impose solely on the basis of the facts reflected in the jury verdicf ’ (Blakely, supra,
This does not mean that a trial court’s upper term sentence always violates a defendant’s jury trial right. If any aspect of the defendant’s prior criminal history is an aggravating circumstance, if the jury makes special findings of aggravating facts that justify imposition of the upper term, if the defendant admits the existence of aggravating facts, or if the defendant waives the right to jury trial, the court may impose the upper term without violating the defendant’s constitutional rights. But under Apprendi, supra,
Here, no violation of the Sixth Amendment occurred, for two reasons: First, the jury found true special allegations, pertaining to probation eligibility, that defendant used force or fear in committing the section 288.5 violation and had engaged in “substantial sexual conduct” with the victim (§ 1203.066, subd. (a)(1), (8)). These jury findings were sufficient to support the trial court’s imposition of the upper term, even though those findings were made for a different purpose, that of determining probation eligibility. Thus, here the jury found, beyond a reasonable doubt, the existence of facts sufficient to permit the trial court to exceed the middle term in
Under California law, the existence of a single aggravating circumstance is sufficient to support imposition of an upper term. (§ 1170, subd. (b).) In this case, the jury’s findings pertaining to defendant’s probation eligibility, and the trial court’s findings pertaining to defendant’s criminal record, were each sufficient to satisfy this statutory requirement, thereby making the upper term the statutory maximum for the offense. (See Blakely, supra,
V. Points Raised by Majority
According to the majority, the “first question” in determining the constitutionality of California’s sentencing scheme is “whether a trial judge’s decision to impose an upper term sentence under the California determinate sentencing law involves the type of judicial factfinding that traditionally has been performed by a judge in the context of exercising sentencing discretion or whether it instead involves the type of factfinding that traditionally has been exercised by juries in the context of determining whether the elements of an offense have been proved.” (Maj. opn., ante, at pp. 1253-1254.) That, in my view, is not the question at all.
As framed by the high court in Blakely, supra,
Hard as it tries, the majority here cannot point to any significant differences between California’s sentencing law and the Washington sentencing scheme that the high court invalidated in Blakely, supra,
The majority states that “[u]nder the California scheme, a judge is free to base an upper term sentence on any aggravating factor that the judge deems significant . . . .” (Maj. opn., ante, at p. 1255.) It explains: “The Legislature did not identify all of the particular facts that could justify the upper term. Instead, it afforded the sentencing judge the discretion to decide, with the guidance of rules and statutes, whether the facts of the case and the history of the defendant justify the higher sentence.” (Maj. opn., ante, at p. 1256.) But that can also be said of the State of Washington’s sentencing scheme. (Blakely, supra,
The majority considers it significant that under California law, “[t]he judge’s discretion to identify aggravating factors in a case is guided by the requirement that they be ‘reasonably related to the decision being made.’ ” (Maj. opn., ante, at p. 1255.) But that is also true of Washington’s sentencing law: A sentencing scheme that would allow a trial court to base its sentence on facts not “reasonably related to the decision being made” would be so unfair as to violate constitutionally guaranteed principles of due process.
The majority also notes that “as a historical matter California’s adoption of the determinate sentencing law reduced the length of potential sentences for
The majority here points out that California law requires sentence enhancements to be determined by a jury beyond a reasonable doubt. (Maj. opn., ante, at p. 1257.) Notable by its absence, however, is any claim by the majority that this aspect differentiates our sentencing law from the State of Washington’s sentencing scheme held unconstitutional by the United States Supreme Court. Similar enhancements may well have existed under the Washington law. (See Blakely, supra,
The only difference the majority can point to between California’s sentencing law and that of the State of Washington held unconstitutional in Blakely, supra,
The majority insists that the United States Supreme Court’s recent decisions in Apprendi, supra,
Appellant’s petition for a rehearing was denied August 31, 2005. Kennard, J., was of the opinion that the petition should be granted.
All statutory citations are to the Penal Code.
2 In a later decision, Blakely, supra,
