THE PEOPLE, Plaintiff and Respondent, v. TONY JUAN CALDERON, Defendant and Appellant.
No. S030127
Supreme Court of California
Dec. 22, 1994.
69, 70, 71, 72, 73, 74, 75, 76, 77, 78, 79, 80, 81, 82
Thomas M. Bohl, under appointment by the Supreme Court, for Defendant and Appellant.
Daniel E. Lungren, Attorney General, George Williamson, Chief Assistant Attorney General, Carol Wendelin Pollack, Assistant Attorney General, Pamela C. Hamanaka, Tricia Ann Bigelow and Kenneth C. Byrne, Deputy Attorneys General, for Plaintiff and Respondent.
OPINION
GEORGE, J.—“Numerous California penal statutes allow increased punishment to be imposed upon a defendant if the prosecution alleges and
In the present case we address, for the first time, the validity of the rule announced in Bracamonte. (See People v. Saunders, supra, 5 Cal.4th 580, 588, fn. 4.) For the reasons that follow, we conclude that a trial court has the discretion, in a jury trial, to bifurcate the determination of the truth of an alleged prior conviction from the determination of the defendant‘s guilt of the charged offense, but is not required to do so if the defendant will not be unduly prejudiced by having the truth of the alleged prior conviction determined in a unitary trial.
FACTUAL AND PROCEDURAL HISTORY
Defendant Tony Juan Calderon was charged with second degree burglary. (
Prior to trial, defendant moved to have the trial court bifurcate, from the jury‘s determination of defendant‘s guilt of the currently charged offense, the determination of the truth of the allegation that he had suffered a prior conviction and served a resulting prison term. In support of his motion, defendant cited the decision in Bracamonte, supra, 119 Cal.App.3d 644, but in denying the motion, the court relied instead upon the then very recently filed opinion of the Court of Appeal in People v. Saunders, which concluded that Bracamonte had been wrongly decided. (Shortly thereafter, we granted review in People v. Saunders, ultimately resolving that matter without deciding the validity of Bracamonte. [People v. Saunders, supra, 5 Cal.4th 580, 588, fn. 4.]) Following appropriate advisements and waivers of rights, defendant admitted the foregoing allegation.
The evidence admitted during the subsequent jury trial included the following. At approximately 1:30 a.m. on August 19, 1991, defendant entered a convenience store in the City of Industry, selected two cases of beer, and walked toward the exit. The cashier, Roland Tannenhill, asked
As defendant left the store, two uniformed deputy sheriffs drove into the parking lot in a marked, black and white vehicle. Defendant looked in the direction of the deputy sheriffs and immediately turned around and reentered the store. Deputy Sheriffs Alan Bennett and Darryl Stone entered the store, spoke with the cashier, and approached defendant, who was returning the beer to the cooler. The deputy sheriffs arrested defendant and searched him, finding that he had no money in his possession.
After the prosecution rested its case, the trial court ruled that if defendant testified, he could be impeached with evidence that he had been convicted of a “theft-related felony.”
Defendant and his friend, Sandra Jaso, testified that on the night in question they went to the convenience store to use the telephone and a group of juveniles approached defendant, asking him to purchase beer for them. Defendant agreed, entered the store with one of the juveniles, took two cases of beer from the cooler, and approached the cash register. The deputy sheriffs then arrived, and the juvenile left the store without giving defendant money to purchase the beer. Defendant returned the beer to the cooler and was arrested without having left the store. Defendant admitted having been convicted recently of “a theft-related felony.”
Defendant was found guilty as charged and was sentenced to a term of four years in prison, consisting of the upper term of three years for burglary plus a one-year enhancement for having served a prior prison term. The Court of Appeal affirmed the conviction.
DISCUSSION
As we observed recently in People v. Saunders, supra, 5 Cal.4th 580, 587, “[t]he procedure established by the Legislature for the proof of allegations of prior convictions has not been altered substantially for nearly a century.”
This was the state of the law until 1981, when the Court of Appeal in Bracamonte, supra, 119 Cal.App.3d 644, adopted a rule providing that a defendant who denies an alleged prior conviction “is entitled to a bifurcated proceeding wherein the jury is not informed of his prior convictions, either through allegations in the charge or by the introduction of evidence, until it has found the defendant guilty.” (Id. at p. 654.) The court in Bracamonte observed that bifurcating the determination of the truth of a prior conviction allegation from the issue of guilt would not violate
The court in Bracamonte was correct in concluding that
Although
Having a jury determine the truth of a prior conviction allegation at the same time it determines the defendant‘s guilt of the charged offense often poses a grave risk of prejudice. As this court has recognized: “Evidence that involves crimes other than those for which a defendant is being tried is admitted only with caution, as there is the serious danger that the jury will conclude that defendant has a criminal disposition and thus probably committed the presently charged offense. [Citations.]” (People v. Thompson (1988) 45 Cal.3d 86, 109 [246 Cal.Rptr. 245, 753 P.2d 37].)
It is clear, therefore, that a trial court, through the exercise of its general powers under
The United States Supreme Court ruled in Spencer v. Texas (1967) 385 U.S. 554, 567-569 [17 L.Ed.2d 606, 616-617, 87 S.Ct. 648], that a defendant is not denied due process of law where the jury determines both the guilt of the defendant and the truth of a prior conviction allegation in a unitary trial. The high court carefully explained, however, that its holding meant only that such a unitary trial does not deprive the defendant of “the fundamental elements of fairness in a criminal trial” (id. at pp. 563-564 [17 L.Ed.2d at p. 614])—not that a unitary trial is desirable. To the contrary, the court stated that, “were the matter before us in a legislative or rule-making context,” it “might well agree” with the suggestion of some commentators and courts that a “two-stage jury trial ... is probably the fairest ....” (Id. at pp. 567-568 [17 L.Ed.2d at p. 616].)
In fact, the value of bifurcating the determination of the truth of a prior conviction allegation from the determination of guilt of the charged offense
Several states that formerly utilized a unitary jury trial to determine both the guilt of the defendant and the truth of a prior conviction alleged for purposes of sentence enhancement have abandoned this practice. (See e.g., Brumfield v. State (Tex. 1969) 445 S.W.2d 732, 737-739; Block v. State (1968) 41 Wis.2d 205 [163 N.W.2d 196, 199-200].) At least half the states, as well as the federal government and the District of Columbia, avoid this issue by having the court, rather than a jury, determine the truth of alleged prior convictions.2 This is the approach recommended by the Model Penal Code. (Model Pen. Code & Commentaries, com. 3 to § 6.02, p. 48.) Of those
The state‘s interest in judicial economy is the sole justification advanced by the People for conducting a unitary trial in cases where evidence of the defendant‘s prior conviction is admissible solely for the purpose of sentence enhancement. Although the state has a legitimate interest in conserving limited judicial resources, it would appear that conducting a unitary trial rather than a bifurcated one under the above described circumstances would save little, if any, time. As the People note in their brief before this court: “In the vast majority of cases, priors are either admitted (requiring no proof) or are proved in uncontested hearings by certified copies of court and prison records. Even when testimony is presented, the process is generally completed quickly.” Furthermore, although some time would be spent in the second phase of a bifurcated proceeding introducing evidence to prove a prior conviction allegation, in argument by counsel, and in instructions to the jury, a nearly equivalent amount of time would be saved during the preceding guilt phase of the trial. And if the defendant was not convicted, the necessity of proving the prior conviction allegation would be obviated entirely. (Bracamonte, supra, 119 Cal.App.3d 644, 653.) Accordingly, the state‘s legitimate interest in conserving judicial resources is insufficient to justify denying a defendant‘s request to bifurcate the trial when having the jury determine the truth of a prior conviction allegation concurrently with the defendant‘s guilt of the currently charged offense would pose a substantial risk of undue prejudice to the defendant.
We conclude, therefore, that the denial of a defendant‘s timely request to bifurcate the determination of the truth of a prior conviction allegation from
Contrary to the holding of the Court of Appeal in Bracamonte, however, bifurcation is not required in every instance. In some cases, a trial court properly may determine, prior to trial, that a unitary trial of the defendant‘s guilt or innocence of the charged offense and of the truth of a prior conviction allegation will not unduly prejudice the defendant. Perhaps the most common situation in which bifurcation of the determination of the truth of a prior conviction allegation is not required arises when, even if bifurcation were ordered, the jury still would learn of the existence of the prior conviction before returning a verdict of guilty. For example, when the existence of the defendant‘s prior offense otherwise is admissible to prove the defendant committed the charged offense—because the earlier violation is an element of the current offense (see, e.g.,
In ruling upon a defendant‘s timely request for bifurcation, the trial court first should consider the potential prejudicial effect of admission of evidence that the defendant has suffered the alleged prior conviction. As noted above, this court long has “recognized the substantial prejudicial effect inherent in evidence of prior offenses [citation] . . . .” (People v. Sam (1969) 71 Cal.2d 194, 206 [77 Cal.Rptr. 804, 454 P.2d 700].) The potential for prejudice will vary, however, depending upon the circumstances of each case. Factors that affect the potential for prejudice include, but are not limited to, the degree to which the prior offense is similar to the charged offense (see People v. Collins (1986) 42 Cal.3d 378, 391 [228 Cal.Rptr. 899, 722 P.2d 173] [discussing the use of prior convictions for impeachment]; People v. Beagle (1972) 6 Cal.3d 441, 453 [99 Cal.Rptr. 313, 492 P.2d 1]), how recently the prior conviction occurred, and the relative seriousness or inflammatory nature of the prior conviction as compared with the charged offense (see People v. Marquez (1992) 1 Cal.4th 553, 573 [3 Cal.Rptr.2d 710, 822 P.2d 418]; People v. Sully (1991) 53 Cal.3d 1195, 1222 [283 Cal.Rptr. 144, 812 P.2d 163] [discussing prejudice from joinder of charges]).
If it appears likely that admission of evidence of the prior conviction would unduly prejudice the defendant, the court should consider whether this potential for prejudice will be lessened for some reason, such as because evidence that the defendant has committed one or more uncharged criminal offenses will be admitted for purposes other than sentence enhancement. The determination whether the risk of undue prejudice to the defendant requires that the trial be bifurcated rests within the sound discretion of the trial court, and that determination will be reversed on appeal only if the trial court abuses its discretion. We observe, however, that the risk of undue prejudice posed by the admission of evidence of a prior conviction, considered against the minimal inconvenience generally caused by bifurcating the trial, frequently will militate in favor of granting a defendant‘s timely request for bifurcation.
We further observe that, in appropriate cases, the court may wish to grant conditionally a defendant‘s motion for bifurcation, and reconsider that ruling at the close of the prosecution‘s case-in-chief, and again at the close of the defense case, in light of subsequent developments in the proceedings.
Unlike the Court of Appeal in Bracamonte, we decline to declare a judicially created rule of procedure that would require bifurcation of the determination of the truth of a prior conviction allegation in all trials,
In the case before us, the trial court denied defendant‘s motion to bifurcate the determination of the truth of the prior conviction allegation, without considering the particular circumstances of the case before the court. This was error.
The question of prejudice remains. With respect to defendant‘s conviction of the currently charged offense (burglary), it is clear that the error was not prejudicial. As noted, after the trial court denied defendant‘s motion to bifurcate the trial, defendant admitted the prior conviction allegation outside the presence of the jury, and no evidence relating to the prior conviction or the resulting prison term was admitted for the purpose of sentence enhancement. Thus, the jury‘s guilty verdict on the burglary charge was not affected by the court‘s error in ruling upon the bifurcation motion without considering the circumstances of the particular case.
The trial court‘s error may have been prejudicial, however, with regard to the determination of the sentence enhancement, because it appears that the court‘s denial of the bifurcation motion caused defendant to forego his right to have a jury determine whether he had suffered the alleged prior conviction and served the resulting prison term. (People v. Martinez (1985) 175 Cal.App.3d 881, 893 [221 Cal.Rptr. 258]; People v. Tipton (1984) 160 Cal.App.3d 853, 857 [206 Cal.Rptr. 821]; cf. People v. Golston (1986) 188 Cal.App.3d 346, 353-354 [232 Cal.Rptr. 788].) Under these circumstances, the court‘s failure to exercise its discretion was prejudicial unless the court—had it exercised its discretion—would have, and validly could have, denied the bifurcation motion.
Were we to resolve the issue of prejudice based upon the information before the trial court at the time it ruled upon the motion for bifurcation, we would conclude that it would have been an abuse of discretion to deny defendant‘s motion. Admission of evidence of the alleged prior conviction would have apprised the jury that defendant recently had been convicted of attempted robbery, a crime bearing some similarity to, and of comparable seriousness to, the charged offense of attempted burglary—thereby creating a serious risk that the jury would conclude that defendant has a criminal disposition. Furthermore, there was no indication, at that time, that this potential for prejudice would be lessened because evidence of the alleged prior offense, or additional prior criminal conduct, would be admitted for other purposes at the trial of the charged offense. Thus, on the basis of the
At the time of the bifurcation motion, however, neither the parties nor the trial court had the benefit of the present decision describing the factors the court should consider in deciding whether bifurcation is necessary. We cannot foreclose the possibility that further information was available, but not presented, at the time the trial court ruled upon the motion.
Accordingly, we shall vacate that portion of the judgment imposing the sentence enhancement and direct the Court of Appeal to remand the matter to the trial court to reconsider defendant‘s motion for bifurcation in light of the applicable principles set forth in the present opinion. In the event the trial court determines on remand that the motion for bifurcation properly was denied, it should reinstate the sentence enhancement. If the trial court determines the motion for bifurcation should have been granted, defendant may elect to withdraw his admission of the alleged prior conviction and the resulting prison term and have a limited new trial on the issue whether he suffered the alleged prior conviction for attempted robbery (
DISPOSITION
For the reasons discussed above, we affirm that portion of the judgment of the Court of Appeal upholding defendant‘s conviction of second degree burglary and reverse that portion of the judgment upholding the sentence enhancement under
Lucas, C. J., Kennard, J., Arabian, J., Baxter, J., and Werdegar, J., concurred.
MOSK, J., Concurring and Dissenting.—I have no problem with the fundamental law as analyzed and decided by the majority.
I do have a quarrel with the charge of burglary and a sentence to state prison for an attempt, and failure, to take $29 worth of beer from the refrigerator of a convenience store without paying the cashier.
In my view the defendant should have faced a simple petty theft charge. Four years in state prison for this nonviolent offense is manifestly excessive. Vindictive sentences of this type merely add to the overcrowding of prisons which are desperately needed these days for criminals convicted of serious, usually violent, offenses against society.
I would remand to the courts below for reconsideration of the charge and the sentence imposed on this defendant.
