Lead Opinion
Opinion
This case is before us for a second time, after remand from the United States Supreme Court for reconsideration in light of that court’s very recent decision in Cunningham v. California (2007)
In considering defendant’s challenge to the validity of his upper term sentence, imposed prior to Cunningham, we address a number of issues that arise in the wake of the Cunningham decision. (1) Did defendant’s failure in the trial court to request a jury trial on aggravating circumstances forfeit his right to challenge on appeal the imposition of the upper term sentence? (2) If defendant did not forfeit the issue, did imposition of the upper term in the present case violate his right to jury trial and, if so, was the error prejudicial? (3) Does the reasoning of the line of United States Supreme Court decisions culminating in Cunningham require that a jury, rather than the trial court, find the facts that support imposition of consecutive sentences for multiple offenses?
Concluding that defendant did not forfeit the issue by failing to object to his sentence on Sixth Amendment grounds in the trial court, we hold that imposition of an upper term sentence did not violate defendant’s right to a jury trial, because at least one aggravating circumstance was established by means that satisfy Sixth Amendment requirements and thus made him eligible for the upper term. Finally, consistent with this court’s determination in Black I, we hold that neither Cunningham nor the relevant prior high court decisions apply to the imposition of consecutive terms.
I.
In Black I, supra,
“At trial, defendant’s stepdaughter T.R. testified that defendant had sexual intercourse with her on several occasions when she was eight or nine years of age. Sometimes, when her mother was working, defendant would take care of her. The incidents occurred at home, in her bedroom or in the bedroom her mother shared with defendant. During some of the incidents, defendant held T.R.’s arms down when she struggled, so that she could not get away. Defendant told her not to tell anyone about what happened; if she did, he would tell her mother a big lie to get her in trouble.
“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.” (Black I, supra, 35 Cal.4th at pp. 1244—1245, fn. omitted.)
Three weeks after the Court of Appeal affirmed the judgment and sentence imposed by the trial court in this case, the United States Supreme Court issued its decision in Blakely v. Washington (2004)
While this matter was pending before our court, the United States Supreme Court rendered its decision in United States v. Booker (2005)
After our decision in Black I, defendant filed a petition for writ of certiorari in the United States Supreme Court. The high court addressed the issue of the constitutional validity of the California DSL in Cunningham, supra,
II.
As the high court observed in Cunningham, “California’s DSL, and the rules governing its application, direct the sentencing court to start with the middle term, and to move from that term only when the court finds itself and places on the record facts—whether related to the offense or the offender— beyond the elements of the charged offense.” (Cunningham, supra, 549 U.S. at p._[
Cunningham concluded that the DSL violates a defendant’s right to jury trial because “under the Sixth Amendment, any fact that exposes a defendant to a greater potential sentence must be found by a jury, not a judge, and established beyond a reasonable doubt, not merely by a preponderance of the evidence.” (Cunningham, supra,
In Black I, we reasoned that because the sentencing “judge is free to base an upper term sentence on any aggravating factor that the judge deems significant,” as long as the factor is “ ‘reasonably related to the decision being made’ ” (Cal. Rules of Court, rule 4.408(a)), the “requirement that the middle term be imposed unless an aggravating factor is found preserves the traditional broad range of judicial sentencing discretion. . . . [T]he requirement that an aggravating factor exist is merely a requirement that the decision to impose the upper term be reasonable.” (Black I, supra,
In Cunningham, however, the high court disagreed with our conclusion in Black I, finding determinative the circumstances that “[ujnder California’s DSL, an upper term sentence may be imposed only when the trial judge finds an aggravating circumstance,” and that an “element of the . . . offense” determined by the jury verdict “does not qualify” as an aggravating circumstance. (Cunningham, supra,
Below, we apply the rule established in Cunningham and its predecessors to the facts of the present case.
III.
As a preliminary matter, we consider the Attorney General’s argument that defendant has forfeited his right to raise the jury-trial issue, because he did not object to the sentencing procedure in the trial court. Although the trial court’s imposition of sentence in this case preceded not only the recent decision in Cunningham but also the high court’s decision in Blakely, supra,
We long have applied the rule that although challenges to procedures or to the admission of evidence normally are forfeited unless timely raised in the trial court, “this is not so when the pertinent law later changed so unforeseeably that it is unreasonable to expect trial counsel to have anticipated the change.” (People v. Turner (1990)
In Turner, however, we noted that it was “widely assumed” the newly added language of article I, section 28, subdivision (f) of the California Constitution eliminated all objections to the admissibility of prior felony convictions for impeachment, and that our decision in Castro contradicted most of the appellate authority on this point. (Turner, supra, 50 Cal.3d at pp. 703-704.) Under these circumstances, we concluded that defense counsel “cannot be saddled with the burden of anticipating such an abrupt change in the law.” (Id. at p. 704, fn. omitted; see also People v. Chavez (1980)
In determining whether the significance of a change in the law excuses counsel’s failure to object at trial, we consider the “state of the law as it would have appeared to competent and knowledgeable counsel at the time of the trial.” (De Santiago, supra,
Prior to Blakely, it was widely assumed that for the purposes of the rule established in Apprendi, the maximum term authorized by the jury’s verdict was the upper term. In a case decided after Apprendi, we recognized that Apprendi implicitly overruled our holding in People v. Wims (1995)
IV.
It is important to recognize that, under the line of high court decisions beginning with Apprendi, supra,
Apprendi examined the right to 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.” (Apprendi, supra,
Accordingly, so long as a defendant is eligible for the upper term by virtue of facts that have been established consistently with Sixth Amendment principles, the federal Constitution permits the trial court to rely upon any number of aggravating circumstances in exercising its discretion to select the appropriate term by balancing aggravating and mitigating circumstances, regardless of whether the facts underlying those circumstances have been found to be true by a jury. “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 (2002)
The facts upon which the trial court relies in exercising discretion to select among the terms available for a particular offense “do not pertain to whether the defendant has a legal right to a lesser sentence—and that makes all the difference insofar as judicial impingement upon the traditional role of the jury is concerned.” (Blakely, supra,
Defendant contends the high court’s decisions afford him the right to jury trial on all aggravating circumstances that may be considered by the trial court, even if one aggravating circumstance has been established in accordance with Blakely. He argues that the existence of a
Defendant’s argument is unsound. As discussed above, Cunningham and its antecedents do not prohibit a judge from making the factual findings that lead to the selection of a particular sentence. Justice Stevens, who authored the part of the high court’s majority opinion in Booker that held the federal sentencing guidelines unconstitutional, emphasized the relevant principles in his dissenting opinion in that same case, in which he took issue with a separate opinion authored by Justice Breyer for a different majority of the court, addressing the constitutional problem by rendering the federal sentencing guidelines discretionary. In his dissent, Justice Stevens (joined by Justice Scalia, the author of Blakely, and Justice Souter) explained: “To be clear, our holding . . . does not establish the ‘impermissibility of judicial factfinding.’ [Citation.] Instead, judicial factfinding to support an offense level determination or an enhancement is
As noted above, under the DSL the presence of one aggravating circumstance renders it lawful for the trial court to impose an upper term sentence. (See § 1170, subd. (b); People v. Osband, supra,
Cunningham requires us to recognize that aggravating circumstances serve two analytically distinct functions in California’s current determinate sentencing scheme. One function is to raise the maximum permissible sentence from the middle term to the upper term. The other function is to serve as a consideration in the trial court’s exercise of its discretion in selecting the appropriate term from among those authorized for the defendant’s offense. Although the DSL does not distinguish between these two functions, in light of Cunningham it is now clear that we must view the federal Constitution as treating them differently. Federal constitutional principles provide a criminal defendant the right to a jury trial and require the prosecution to prove its case beyond a reasonable doubt as to factual determinations (other than prior convictions) that serve the first function, but leave the trial court free to make factual determinations that serve the second function. It follows that imposition of the upper term does not infringe upon the defendant’s constitutional right to jury trial so long as one legally sufficient aggravating circumstance has been found to exist by the jury, has been admitted by the defendant, or is justified based upon the defendant’s record of prior convictions.
V.
Applying the conclusions set forth above to the present case, we conclude
The trial court stated that it imposed the upper term in the present case primarily because of “the nature, seriousness, and circumstances of the crime.” In describing those circumstances, the court commented that defendant “forced the victim ... to have sexual intercourse with him on numerous occasions.” The trial court’s identification of the defendant’s use of force as an aggravating circumstance was supported by the jury’s verdict. The information alleged, and the jury found true beyond a reasonable doubt, that defendant committed the offense of continuous sexual abuse by means of “force, violence, duress, menace, and fear of immediate and unlawful bodily injury.” This finding rendered defendant ineligible for probation. (§ 1203.066, subd. (a)(1).) Furthermore, and most significant for the issue presented here, the jury’s true finding on this allegation established an aggravating circumstance that rendered defendant eligible for the upper term under section 1170. (See Cal. Rules of Court, rule 4.408(a) [which permits the trial court to consider any criteria “reasonably related to the decision being made”].)
Under established authority, the same fact may be used both to deny probation and to support imposition of an upper term sentence. (People v. Scott (1994)
Contrary to defendant’s suggestion, the circumstance that California Rules of Court, rule 4.421(a)(1) lists “great violence” or the “threat of great bodily harm” as an aggravating factor does not signify that the jury’s finding (under section 1203.066), which did not include a finding that “great” violence or harm was used or threatened, cannot be a valid aggravating circumstance in defendant’s case. The trial court is not limited to the aggravating circumstances listed in the rules. (Cal. Rules of Court, rule 4.408(a).) The circumstances listed in rule 4.421 are of general applicability and relevant to most crimes. Rule 4.421(a)(l)’s inclusion of “great” violence or harm does not preclude a finding that a lesser degree of force or violence is an aggravating circumstance for a crime that can be committed without any force or violence, particularly when the Legislature, in section 1203.066, specifically has designated the use of force or violence as a circumstance that increases the gravity of the particular offense.
Moreover, a second aggravating circumstance—defendant’s criminal history—also rendered defendant eligible for the upper term sentence. (§ 1Í70, subd. (b).) The United States Supreme Court consistently has stated that the right to a jury trial does not apply to the fact of a prior conviction. (Cunningham, supra, 549 U.S. at p._[
The trial court stated it considered not only the circumstances of the crime but also the other aggravating circumstances set out in the district attorney’s sentencing brief. In that brief, the prosecutor listed the aggravating circumstance described in California Rules of Court, rule 4.421(b)(2) as one of the aggravating circumstances applicable in this case. The probation report did likewise. California Rules of Court, rule 4.421(b)(2) specifies that it is an aggravating circumstance that “defendant’s prior convictions ... are numerous or of increasing seriousness.” The probation report reflected that defendant had been convicted of three misdemeanors in May of 1992 (second degree burglary [§ 459], theft [§ 484], and receiving stolen property [§ 496]) and that he also had suffered two felony convictions in September of 1996 (grand theft [§ 487(a)] and burglary [§ 459]). These convictions are both numerous and of increasing seriousness. (See People v. Searle (1989)
In summary, defendant’s criminal history and the jury’s finding that the offense involved the use of force or violence establish two aggravating circumstances that independently satisfy Sixth Amendment requirements and render him eligible for the upper term. Therefore, he was not legally entitled to the middle term, and his Sixth Amendment right to jury trial was not violated by imposition of the upper term sentence for the offense of continuous sexual abuse of a child.
VI.
Defendant also contends that imposition of consecutive terms of imprisonment under section 669 based upon facts not found by a jury violated his Sixth Amendment rights. Section 669 requires that when a person has been convicted of two or more offenses (whether in the same or separate proceedings), the court must decide whether the terms are to run concurrently or consecutively. If the court fails to direct how the terms are to run, they must be served concurrently. (Ibid.)
In our prior decision in this case, we rejected this argument by defendant, concluding
Cunningham, however, does not undermine our previous conclusion that imposition of consecutive terms under section 669 does not implicate a defendant’s Sixth Amendment rights. In Black I we explained that “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 the crime together with its sentence enhancement as the “functional equivalent” of a single “greater” crime. [Citation.]’ (People v. Sengpadychith, supra,
On this point, the high courts of several states have held, consistently with our opinion in Black I, that a trial court’s imposition of consecutive sentences does not violate a defendant’s Sixth Amendment right to jury trial. (See Smylie v. State (Ind. 2005)
In deciding whether to impose consecutive terms, the trial court may consider aggravating and mitigating factors, but there is no requirement that, in order to justify the imposition of consecutive terms, the court find that an aggravating circumstance exists. (See § 669; Cal. Rules of Court, rule 4.425(a), (b).) Factual findings are not required. In imposing an upper term, the court must set forth on the record “facts and reasons” (§ 1170, subd. (b)), including the “ultimate facts that the court deemed to be circumstances in aggravation.” (Cal. Rules of Court, rule 4.420(e).) But it need only cite “reasons” for other sentencing choices (§ 1170, subd. (c)), and the reasons given for imposing a consecutive sentence need only refer to the “primary factor or factors” that support the decision to impose such a sentence (Cal. Rules of Court, rule 4.406(a), (b); see § 1170, subd. (c); see People v. Tran (1996)
The high court’s decision in Cunningham does not call into question the conclusion we previously reached regarding consecutive sentences. The determination whether two or more sentences should be served in this manner is a “sentencing decision[] made by the judge after the jury has made the factual findings necessary to subject the defendant to the statutory maximum sentence on each offense” and does not “implicate[] the defendant’s right to a jury trial on facts that are the functional equivalent of elements of an offense.” (Black I, supra,
VII.
For the reasons stated above, the decision of the Court of Appeal is affirmed.
Kennard, J., Baxter, J., Werdegar, J., Chin, J., Moreno, J., and Corrigan, J., concurred.
Notes
All further statutory references are to the Penal Code, unless otherwise indicated.
In response to Cunningham, our Legislature recently amended the DSL effective March 30, 2007. (Stats. 2007, ch. 3.) References to section 1170 are to the law as it read prior to those amendments.
In response to the Legislature’s amendment of the DSL, the Judicial Council amended the sentencing rules effective May 23, 2007. References to the California Rules of Court are to the rules as they read prior to those amendments.
Addressing state sentencing schemes similar, for purposes of Sixth Amendment analysis, to California’s DSL, the Supreme Courts of Arizona and Colorado have reached the same conclusion. (State v. Martinez (2005)
We do not understand defendant to contend that he is entitled to a jury trial on the question of whether aggravating circumstances outweigh mitigating circumstances, although that conclusion arguably is a logical extension of his argument. Such an argument is not supported by the high court’s precedents, which require a jury trial only on a “fact” that increases the punishment for a crime beyond the statutory maximum. (See, e.g., Apprendi, supra,
Justice Breyer’s opinion did not take issue with Justice Stevens on this point. (See Booker, supra,
To illustrate, Justice Stevens provided the example of a case in which the sentencing range under the federal guidelines, taking into account only the offense itself and the defendant’s criminal history, was 130 to 162 months. If the trial court found that the defendant possessed a firearm, the sentencing range would be enhanced to 151 to 188 months. This “act of judicial factfinding” regarding the firearm enhancement would comply with the Sixth Amendment so long as the sentencing court then selected a sentence no greater than 162 months, the longest sentence authorized by the defendant’s offense and criminal history. (Booker, supra,
See Black I, supra,
The district attorney’s brief stated: “The defendant’s prior convictions as an adult are numerous or of increasing seriousness. The defendant has two previous felony convictions from 1996, one for a grand theft and one for a commercial burglary.” That the trial court referred (by its adoption of the district attorney’s brief) to only two of defendant’s five prior convictions is of no moment. On appellate review, a trial court’s reasons for its sentencing choice are upheld if “supported by available, appropriate, relevant evidence.” (People v. Garcia (1995)
Defendant urges us to conclude that the federal right to jury trial includes the right to a jury determination on prior conviction allegations. He contends that (1) it is likely that the United States Supreme Court will overrule Almendarez-Torres because that decision is inconsistent with Apprendi and Blakely, and (2) because neither Apprendi nor Blakely dealt directly with recidivism issues, this court is free to interpret the federal Constitution to require a jury trial on recidivism factors.
Although some of the reasoning in Almendarez-Torres, supra, 523 U.S. at pages 230-235, which focused upon whether Congress in its reference to recidivism intended to create an element of a crime or a sentencing factor, is inconsistent with the court’s later reasoning in Apprendi and Blakely, which focuses upon the practical effect of the factual finding required, the court in both Blakely and Cunningham continued to exempt explicitly “ ‘the fact of a prior conviction.’ ” (Blakely, supra,
Defendant also contends the trial court’s reliance upon his criminal history does not satisfy constitutional commands, because due process requires that a defendant’s prior conviction, even if properly determined by the trial court, must be proved beyond a reasonable doubt. Furthermore, defendant argues, the evidence of his prior convictions consisted only of hearsay statements, contained in the probation report, which are insufficient as a matter of law to prove the prior convictions beyond a reasonable doubt. Presumably, the trial court applied a standard of proof by a preponderance of the evidence. (See Cal. Rules of Court, rule 4.420(b).) Defendant notes that Almendarez-Torres held only that the fact of a prior conviction need not be alleged in an indictment. Because the defendant in that case admitted his recidivism when he pleaded guilty, the high court “expressed] no view on whether some heightened standard of proof might apply to sentencing determinations which bear significantly on the severity of sentence.” (Almendarez-Torres, supra,
Defendant does not cite any case affirmatively supporting his contention that the federal Constitution requires prior convictions to be proved beyond a reasonable doubt even if a jury trial is not required. The United States Supreme Court has stated the rule and the AlmendarezTorres exception as follows: “Other than the fact of a prior conviction, 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.” (Apprendi, supra,
Concurrence Opinion
When this matter was first before this court, the majority held that California’s determinate sentencing law did not violate a defendant’s federal constitutional right to a trial by jury, with a beyond-a-reasonable-doubt standard of proof.
The majority’s holding in Black I was rejected by the United States Supreme Court in Cunningham v. California (2007)
The court today also holds that “imposition of the upper term does not infringe upon the defendant’s constitutional right to jury trial so long as one legally sufficient aggravating circumstance has been found to exist by the jury, has been admitted by the defendant, or is justified based upon the defendant’s record of prior convictions.” (Maj. opn., ante, at p. 816.) Here, the court explains, defendant’s upper term sentence did not violate his right to a jury trial “because at least one aggravating circumstance (indeed, in this case, two) was established by means that satisfy the requirements of the Sixth Amendment.” (Id. at p. 816.) And the trial court’s “imposition of consecutive terms . . . does not implicate a defendant’s Sixth Amendment rights.” (Id. at p. 821.) I reached those same conclusions in my concurring and dissenting opinion in Black I, supra, 35 Cal.4th at pp. 1264-1265, 1269-1270 (conc. & dis. opn. of Kennard, J.), and nothing in the high court’s recent decision in Cunningham, supra,
