Lead Opinion
Opinion
“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,
Factual and Procedural History
Defendant Tony Juan Calderon was charged with second degree burglary. (Pen. Code, §§ 459, 460, subd. (b).)
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,
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.” Section 1025, enacted originally in 1874 (see People v. Saunders, supra,
This was the state of the law until 1981, when the Court of Appeal in Bracamonte, supra,
The court in Bracamonte was correct in concluding that section 1025 does not require that the truth of a prior conviction allegation be determined by the jury at the same time it decides whether the defendant is guilty of the charged offense. Nothing in the language of section 1025 prohibits a trial court from bifurcating the determination of the truth of a prior conviction allegation from the determination of the defendant’s guilt or innocence of the charged offense. This conclusion is consistent with our holding in People v. Morton (1953)
Although section 1025 does not prohibit a trial court from bifurcating the jury’s determination of the truth of a prior conviction allegation from the remainder of the trial, it also does not expressly authorize such bifurcation. General authority to bifurcate trial issues may be found, however, in section
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)
It is clear, therefore, that a trial court, through the exercise of its general powers under section 1044, may order that the determination of the truth of a prior conviction allegation be determined in a separate proceeding before the same jury, after the jury has returned a verdict of guilty of the charged offense. The more difficult question is under what circumstances, if any, must a trial court bifurcate the trial in this manner?
The United States Supreme Court ruled in Spencer v. Texas (1967)
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)
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,
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., § 12021; People v. Valentine, supra,
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)
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)
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 (§§ 664/211) and served a prior prison term for that offense within the meaning of section 667.5, subdivision (b). (People v. Morton, supra,
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 section 667.5. The sentence enhancement is vacated and the matter is remanded to the Court of Appeal with directions to that court to remand the case to the trial court for reconsideration of defendant’s motion for bifurcation in light of the legal principles set forth in the present opinion. In the event the trial court determines that the motion for bifurcation
Lucas, C. J., Kennard, J., Arabian, J., Baxter, J., and Werdegar, J., concurred.
Notes
All further statutory references are to the Penal Code unless otherwise noted.
See, e.g., Alabama Code section 13A-5-10, subdivision (a) (1993); Alaska Statutes section 12.55.145, subdivision (d) (1993); Arkansas Code Annotated section 5-4-502 (Michie 1993); Delaware Code Annotated title 11, section 4215, subdivision (a) (1993); District of Columbia Code Annotated section 23-111, subdivision (c)(1) (1993); Florida Statutes Annotated section 775.084, subdivision (3) (West 1993); State v. Huelsman (1978)
Colorado Revised Statutes section 16-13-103 (1993); Indiana Code Annotated section 35-38-1-2 (1994); Iowa Code Annotated section 813.2, rule 18, subdivision (9) (West 1993); Kentucky Revised Statutes Annotated section 532.080 (Michie/Bobbs-Merrill 1994); Maine Revised Statutes Annotated title 15, section 757, subdivision (2) (West 1993); Massachusetts General Laws Annotated chapter 278, section 11A (West 1994); Michigan Compiled Laws Annotated section 769.13 (West 1993); North Carolina General Statutes section 14-7.5 (1993); Ohio Revised Code Annotated section 2941.142 (Anderson 1992) (the defendant may request that the trial court at the sentencing hearing determine the truth of the allegation); Oklahoma Statutes Annotated title 22, section 860 (West 1993); South Dakota Codified Laws Annotated sections 22-7-12, 23A-7-7 (1994); Tennessee Code Annotated section 40-35-203, subdivision (e) (1994); Texas Code of Criminal Procedure Annotated articles 36.01, 37.07 (West 1993); Virginia Annotated Code section 19.2-295.1 (Michie 1994); West Virginia Code section 61-11-19 (1994); Wyoming Statutes section 6-10-203 (1994).
If a defendant charged with being an ex-felon in possession of a firearm stipulates to being an ex-felon, the nature of the prior conviction will be withheld from the jury. (People v. Valentine, supra,
As we explain in footnote 6, post, whether a sanitized reference to a defendant’s prior conviction, for the purpose of impeachment, would render nonprejudicial the admission of evidence of that prior conviction for the purpose of sentence enhancement so as to justify a unitary trial will depend upon the circumstances of the particular case.
The trial court subsequently ruled that defendant, if he testified, could be impeached with evidence that he had been convicted of a “theft-related felony.” Defendant elected to testify and, rather than be impeached by the prosecution, admitted having been convicted of a “theft-related felony.” Whether such a sanitized reference to a defendant’s prior conviction, for the purpose of impeachment, would render nonprejudicial the admission of evidence of that prior conviction for the purpose of sentence enhancement, so as to justify a unitary trial, will depend upon the circumstances of the particular case. We need not, and do not, express an opinion upon this issue in the present case because, at the time the trial court denied defendant’s motion for bifurcation, it was not clear that defendant would testify and the court had not yet ruled that defendant’s prior conviction would be admissible to impeach him in the event he chose to testify.
Concurrence Opinion
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.
