Opinion
Chi Ko Wong appeals from a judgment upon jury convictions of first degree murder (Pen. Code, §§ 187, 189) and first degree robbery (Pen. Code, §§ 211, 211a), and findings that he had used a firearm in the commission of each of the offenses. 1
Defendant was a juvenile at the time of the commission of the offenses and petitions were initially filed in the juvenile court seeking his adjudication as a ward of that court.
2
It was determined after a hearing
3
Defendant contends on this appeal that the juvenile court improperly concluded that he was not a fit subject for treatment as a juvenile. We conclude that the juvenile court order certifying defendant for criminal proceedings cannot be considered on appeal from an ensuing conviction and that defendant’s proper recourse to challenge such certification was by collateral attack apart from the criminal prosecution. We further conclude that even if defendant might properly have raised the issue in these proceedings the determination of unfitness was correctly decided on the merits. We likewise reject defendant’s other contentions but limit the applicability of the findings that defendant used a firearm in the commission of the offenses.
The Facts
During evening hours defendant and another young man entered a Los Angeles restaurant. They paused momentarily and then defendant, who was wielding a pistol, covered his face with a nylon stocking mask which he had pulled from under his cap. Defendant ordered the cashier to step aside and his confederate opened the cash register and removed money from the drawer, As the two young men departed they were pursued by restaurant employee James Fang: A gunshot was heard and Fang was brought wounded and unconscious back into the restaurant. He subsequently died as the result of a gunshot wound.
It appears from the San Francisco report that defendant had been associated with a major San Francisco Chinese youth gang, that he had been recruited by the gang to act as a “hit-man,” that he had been charged in San Francisco Juvenile Court proceedings with possession of stolen property and an illegal knife, and that he was suspected of involvement in two Chinese gang homicides. Defendant had been released from detention in San Francisco to accompany his mother to Los Angeles, and the section 602 petition which had been filed in San Francisco had been transferred to Los Angeles for disposition.
The Los Angeles County Probation Officer’s report recommended that defendant was “not a fit subject for consideration under the provisions of juvenile court law.” It further declared that the allegations in the section 602 petition, if true, indicated that defendant was a serious and ongoing threat to the community; that while defendant had minimal police contact, authorities considered him to be highly sophisticated; that defendant had not been in school for some time and that he appeared to give little more than lip service to the prospect of returning to school or seeking job training; that defendant’s father was completely unable to set standards or controls for him; that defendant had virtually emancipated himself from the home of his parents; that, according to a Los Angeles Police Department source, defendant was suspected of involvement in another shooting in Los Angeles; and that, according to the same source, four handguns and three shotguns were found in defendant’s residence at the time of his arrest.
Brief arguments were then presented at the hearing by counsel and the matter was submitted whereupon the court, utilizing a standard court form, declared: “The Court finds this minor unfit; certifies this minor to adult court.” The minute order included a finding contained in the form to the effect that “[t]he Court finds that minor was 16 years of age or over and that the minor would not be amenable to the care, treatment and training program available through the facilities of the Juvenile Court.” 5
It is settled that the right of appeal is statutory and that a judgment or order is not appealable unless expressly made so by statute.
(Skaff
v.
Small Claims Court
(1968)
The question remains, however, whether a juvenile court order based on a finding that a youth is unfit for treatment through juvenile court facilities may be properly reviewed on direct appeal of an ensuing criminal conviction stemming from the same offenses alleged in the juvenile court petition. Penal Code section 1259
7
provides, inter alia, that
There is nothing in the legislative history of Penal Code section 1259 to indicate that the scope of appellate review from a criminal conviction extends to matters beyond the criminal proceedings to a certification order made in prior juvenile court proceedings. Juvenile courts exercise exclusive initial jurisdiction over all youths under 18 years of age
(T. N. G.
v.
Superior Court
(1971)
Aside from the question of the statutory scope of appeal under Penal Code section 1259, it is settled that matters not presented to the trial court and hence not a proper part of the record on appeal will not be considered by an appellate court.
(People
v.
Brawley
(1969)
Finally, sound practical considerations demand that a juvenile court finding of unfitness and certification order should not be reviewed on appeal from a criminal judgment of conviction. To allow a defendant who has been convicted in the superior court to question on appeal the propriety of the juvenile court’s finding would afford him an opportunity to secure a reversal of a judgment of conviction even though he was found guilty after an errorless trial. (Cf.
People
v.
Harris
(1967)
Relief by Application for Extraordinary Writ
The conclusion that there is no statutory provision for appellate review of a certification order does not end our inquiiy. There is the further
Our courts have long recognized the extraordinary writs of mandamus and/or prohibition as providing an avenue for immediate review of a juvenile court finding of unfitness and certification order. (See
Donald L.
v.
Superior Court, supra,
Challenge to Order of Certification by Motion under Section 995 of the Penal Code
A question arises as to the propriety of challenging a certification order on a motion made pursuant to Penal Code section 995. 12 That section provides that an information must be set aside if the defendant has not been legally committed by a magistrate, and that an indictment must be set aside if it has not been found, endorsed, or presented as prescribed in the Penal Code.
“ ‘The phrase “legally committed,” . . . refers to the examination of the case and the holding of the defendant to answer, as prescribed by title 3, chapter 7, of the Penal Code.’ [Citation.] An information, of course, will not be set aside merely because there has been some irregularity or minor error in procedure in the preliminary examination. [Citation.] But where it appears that, during the course of the preliminary examination, the defendant has been denied a substantial right, the commitment is unlawful within the meaning of section 995, and it must be set aside upon timely motion.”
(People
v.
Elliot, supra,
It is manifest on the face of Penal Code section 995 and from the cases defining its purpose that it does not purport to embrace a challenge to a certification order made by a juvenile court in collateral proceedings. (See
People
v.
Browning, supra,
Defendant in the instant case has failed to avail himself of the timely remedy available. As indicated earlier, however, the reported cases provide conflicting directions as to the proper manner in which and time at which a challenge to a certification order should be asserted. For that reason the rule announced herein will be applied only prospectively to criminal prosecutions commenced after the finality of our opinion herein, and we will consider on the merits the instant claim that the certification order is defective. 14
Consideration of Propriety of Order of Certification on its Merit
Defendant contends that reference in the juvenile probation officer’s report to information supplied by the juvenile probation office in San Francisco improperly presented to the juvenile court referee highly prejudicial and inflammatory hearsay information which had no factual support. He further contends that, without a statement by the referee indicating the reasons for finding him unfit for treatment, it is impossible to determine whether this allegedly improper evidence constituted the basis for the certification order.
Under section 707 a finding that a minor is not a fit and proper subject to be retained in juvenile court facilities must be supported by substantial evidence that the minor would not be amenable to the care, treatment and training program available in such facilities. Whether the youth committed the act alleged in the petition is not the issue in such a determination; the sole question is whether he would be amenable to treatment in the event that he is ultimately adjudged a ward of the court.
We have previously noted that “. . . the standards for determining a minor’s fitness for treatment as a juvenile lack explicit definition . . . [although] it is clear from the statute that the court must go beyond the circumstances surrounding the offense itself.... The court may consider a minor’s past record of delinquency . . . and
must
take into account his behavior pattern as described in the probation officer’s report.”
(Jimmy H.
v.
Superior Court, supra,
It is clear that the very nature of the fitness hearing precludes imposition of strict evidentiary standards. As the issue therein is not whether the minor committed a specified act, but rather whether he is amenable to the care,, treatment and training program available through juvenile court facilities, it is manifest that a finding of fitness or unfitness is largely a subjective determination based on hearsay and opinion evidence. Indeed, the probation officer’s report on behavioral patterns must consist mainly of statements based on the observations of others and is clearly hearsay whether handed to the judge in writing or delivered orally by the probation officer. (See National Council on
“Once the remand or referral decision is made, if the court is retaining the case, then the rules of evidence normally controlling in a jurisdiction hearing and a disposition hearing would be applicable.” (Thompson, Cal. Juvenile Court Deskbook, § 10:7, pp. 153-154, italics in original.)
It cannot be denied that the process of certifying a juvenile for criminal proceedings is a critically important action affecting vitally important rights of the juvenile.
(Kent
v.
United States
(1966)
We do not, by our holding herein, sanction unbridled judicial discretion to receive and consider any evidence presented within a probation officer’s report on a juvenile’s behavioral pattern. There are the initial limitations as to materiality and relevance. Additionally, as we have held with respect to presentence probation reports, fundamental fairness demands that such reports be founded on accurate and reliable information. Thus, evidence of police contacts not leading to arrest or conviction may not be included in the report without supporting information.
(People
v.
Peterson
(1973)
In a section of the report entitled “Interested Parties” the Los Angeles County juvenile probation officer reiterated the information supplied by the San Francisco agency and added a further fact that a known associate of defendant had been positively identified as one of the “murderers” involved in the homicides in which defendant was suspected of participating. It also noted that a Los Angeles police officer familiar with defendant and his activities stated that he was suspected of involvement in another shooting prior to the instant offenses and that four handguns and three shotguns were found in defendant’s residence at the time of his arrest.
In view of the manner in which the information presented to the juvenile court is supported, and bearing in mind that the underlying purpose of the hearing was not to determine defendant’s guilt or innocence of involvement in the alleged offenses, we cannot conclude that he was denied a fundamentally fair fitness hearing. The reporting agencies represented only that defendant was merely
suspected
of involvement in other offenses. Moreover, the San Francisco report candidly advised the juvenile court that available evidence of involvement would not sustain a criminal conviction. Defendant’s possible involvement in other offenses is relevant information to be considered by the juvenile court in making a fitness determination as it directly relates to several of the pertinent criteria. Such information as to suspected involvement in other offenses must, to the extent possible, be supported
We thus conclude that information concerning defendant’s suspected involvement in other offenses was properly considered by the juvenile court in making its fitness determination. Such information was inflammatory and prejudicial only to the extent that virtually all evidence tending to establish nonamenability to treatment might be so considered, and it cannot be concluded that the juvenile court abused its discretion in receiving and considering the evidence.
Defendant finally contends that we must set aside the certification order and reverse the judgment solely because the juvenile court improperly failed to state on the record the reasons supporting the determination of unfitness. We decline to do so for the reasons which follow.
In
Kent
v.
United States, supra,
While it is unnecessary that this statement be formal or that it include conventional findings of fact
(Kent
v.
United States, supra,
Nonetheless, the oversight by the referee is not itself sufficient to require that we set aside the order. Unlike
Juan T, supra,
In the present case defendant had the benefit of a hearing, he was represented by counsel who had the opportunity to argue against the probation officer’s recommendation, and he was not prejudiced by an improper evidentiary record. Thus, although the failure to make a statement of reasons for denying juvenile court retention was an error of constitutional dimensions, we conclude that in light of the overwhelming
Additional Issues
Defendant complains of other matters which merit brief consideration. He contends first that physical evidence consisting of a pistol, photographs, and a nylon stocking allegedly used as a mask were improperly admitted by the trial court. All of such items were identified and received in evidence without specific objection. (See Evid. Code, .§ 353, subd. (a).) Testimony connected these materials with the commission of the crimes charged or with defendant’s identification as the perpetrator of the crimes. Contrary to defendant’s contention the trial court did not abuse its discretion by failing to exclude such materials on the ground that their probative value was outweighed by undue prejudice to defendant. (See Evid. Code, § 352.)
Defendant complains next that the prosecuting attorney created an “atmosphere of fear and prejudice” by misconduct which deprived defendant of a fair trial. Such misconduct is claimed to consist of (1) a display of handguns on the counsel table while only one of such guns was received in evidence, (2) the display of “mugshot” photographs to the jurors without concealing written materials which suggested defendant’s connection with misconduct not included in the pending charges, (3) eliciting or seeking to elicit testimony regarding the intimidation of witnesses which suggested defendant’s involvement in gang activity, and (4) improperly impressing upon the minds of the jurors an organized gang involvement in the commission of the crimes. Whatever the merit of defendant’s claims that the jurors were improperly exposed to certain factual matters, it is not reasonably probable that in the absence of such exposures a result more favorable to defendant would have resulted.
(People
v.
Watson
(1956)
Defendant next objects that he was denied the right to cross-examine prosecution witnesses and to call defense witnesses because he was not allowed to impeach particular translations by an interpreter. Defendant did not question the interpreter’s qualifications when sworn in. (See Evid. Code, §§ 750, 751;
People
v.
Phillips
(1910)
Defendant also attacks the sentencing procedures, claiming that due process affords protections denied him. He seeks to compare information presented to the trial court in this case with that presented to the sentencing judge in
United States
v.
Weston
(9th Cir. 1971)
The probation report is generally a proper source of information upon which judicial discretion may be exercised when a defendant is arraigned for sentencing. (See
People
v.
Sparks
(1968)
Defendant’s final contention with which we deal is that a sentence is too often the result of the proclivities of the particular judge before whom the defendant appears and that the varying dispositions possible at arraignment for sentencing render the process constitutionally void on due process, equal protection and cruel and unusual punishment grounds. As noted earlier, however, the court was foreclosed from granting probation in the absence of a showing that the case was unusual or from committing defendant to the Youth Authority. Moreover, our examination of the record clearly establishes that the court exercised its discretion notwithstanding the statutory limitation preclud
Although the trial court properly stayed execution of sentence for the robbery conviction as required by Penal Code section 654, it did not limit the effect of the finding that as to the murder conviction defendant had used a firearm in the commission thereof. (Pen. Code, § 12022.5.)
19
As the penalty mandated for that conviction is life imprisonment a finding pursuant to Penal Code section 12022.5 cannot be applied to increase the term of such púnishment.
(People
v.
Walker
(1976)
In view of the foregoing, the judgment herein is modified by striking from the sentence the punishment imposed pursuant to Penal Code
McComb, J., Tobriner, J., Mosk, J., Sullivan, J., Clark, J., and Richardson, X, concurred.
Notes
Defendant was sentenced to state prison for the terms prescribed by law with execution of sentence on the robbery conviction stayed pursuant to statutory proscription against double punishment. (Pen. Code, § 654.)
Welfare and Institutions Code section 602 provides: “Any person who is under the age of 18 years when he violates any law of this state or of the United States or any ordinance of any city or county of this state defining crime or who, after having been found by the juvenile court to be a person described by Section 601, fails to obey any lawful order of the juvenile court, is within the jurisdiction of the juvenile court, which may adjudge such person to be a ward of the court.” Hereinafter all statutory references are to sections of the Welfare and Institutions Code unless designated otherwise.
At the time of the juvenile court hearing, section 707 provided: “At any time during a hearing upon a petition alleging that a minor is, by reason of violation of any criminal statute or ordinance, a person described in Section 602, when substantial evidence has been adduced to support a finding that the minor was 16 years of age or older at the time of the alleged commission of such offense and that the minor would not be amenable to the care, treatment and training program available through the facilities of the juvenile court, or if, at any time after such hearing, a minor who was 16 years of age or older at the time of the commission of an offense and who was committed therefor by the court to the Youth Authority, is returned to the court by the Youth Authority pursuant to Section 780 or 1737.1, the court may make a finding noted in the minutes of the court that the minor is not a fit and proper subject to be dealt with under this chapter, and the court shall direct the district attorney or other appropriate prosecuting officer to prosecute the person under the applicable criminal statute or ordinance and thereafter dismiss the petition or, if a prosecution has been commenced in another court but has been suspended while juvenile court proceedings are held, shall dismiss the petition and issue its order directing that the other court proceedings resume.
“In determining whether the minor is a fit and proper subject to be dealt with under this chapter, the offense, in itself, shall not be sufficient to support a finding that such minor is not a fit and proper subject to be dealt with under the provisions of the Juvenile Court Law.
“A denial by the person on whose behalf the petition is brought of any or all of the facts or conclusions set forth therein or of any inference to be drawn therefrom is not, of
“The court shall cause the probation officer to investigate and submit a report on the behavioral patterns of the person being considered for unfitness.”
Effective January 1, 1976, the foregoing provisions were repealed. (Stats. 1975, ch. 1266, § 3, p. 3324.) Added to the Welfare and Institutions Code were a new section 707, and sections 707.1, 707.2, 707.3 and 707.4. These sections relate to findings of unfitness with respect to minors who allegedly violated a criminal statute or ordinance when 16 years of age or older, the criteria to be used, and the procedures to be followed in such matters. Hereinafter references to section 707 are to the pre-amendment statute unless otherwise noted.
Section 603 provides: “No court shall have jurisdiction to conduct a preliminary examination or to try the case of any person upon an accusatory pleading charging such person with the commission of a public offense or crime when such person was under the age of 18 years at the time of the alleged commission thereof unless the matter has first been submitted to the juvenile court by petition as provided in Article 7 (commencing with Section 650), and said juvenile court has made an order directing that such person be prosecuted under the general law.”
Defendant was thereupon charged criminally in a seven-count information with four counts of robbery (Pen. Code, § 211), one count of murder (Pen. Code, § 187), one count
Sections 600, 601, and 602 provide generally the conditions under which a minor may be declared within the jurisdiction of juvenile court and subject to adjudication as a ward of the court. Section 567 provides generally for a motion to juvenile court to set aside or modify any order of a traffic hearing officer.
Section 1259 provides: “Upon an appeal taken by the defendant, the appellate court may, without exception having been taken in the trial court, review any question of law involved in any ruling, order, instruction, or thing whatsoever said or done at the trial or prior to or after judgment, which thing was said or done after objection made in and considered by the lower court, and which affected the substantial rights of the defendant. The appellate court may also review any instruction given, refused or modified, even though no objection was made thereto in the lower court, if the substantial rights of the defendant were affected thereby.”
Section 503 provides: “An order adjudging a minor to be a ward of the juvenile court shall not be deemed a conviction of a crime for any purpose, nor shall a proceeding in the juvenile court be deemed a criminal proceeding.”
The court in
Leroy T.
v.
Workmen’s Comp. Appeals Bd.
(1974)
Rule 33 provides: “(a) [Normal record] If the appeal is taken by the defendant from a judgment of conviction, or if the appeal is taken by the People from an order granting a motion for a new trial, the record on appeal, except as hereinafter stated, shall include the following (which shall constitute the normal record): (1) A clerk’s transcript, containing copies of (a) the notice of appeal, any certificate of probable cause executed and filed by the court, and any request for additional record and any order made pursuant thereto; (b) the indictment, information or accusation; (c) any demurrer; (d) any motion for a new trial; (e) all minutes of the court relating to the action; (f) the verdict; (g) the judgment or order appealed from; (h) written instructions given or refused indicating on each instruction the party requesting it. (2) A reporter’s transcript of the oral proceedings taken on the trial of the cause, including jury instructions given which cannot be copied by. the clerk, and on the hearing of the motion for a new trial, excluding therefrom proceedings on the voir dire examination of jurors, opening statements, and arguments to the jury. (3) To be transmitted as originals upon request by the reviewing court as provided in rule 10; any exhibit admitted in evidence or rejected.
“(b) [Request for additional record] The appellant may request the inclusion in the record of any of the following: (1) In the clerk’s transcript: (a) written motions made or notices of motion given by the defendant or by the People, and affidavits filed in support of or in opposition to the motion for new trial or any other motion; (b) any written opinion of the superior court. (2) In the reporter’s transcript: (a) proceedings under Section 1538.5 of the Penal Code; (b) proceedings on the voir dire examination of jurors; (c) opening statements; (d) arguments to the jury; (e) any oral opinion of the superior court, and comments on the evidence by the trial judge before the jury. (3) To be transmitted as originals: any exhibits admitted in evidence or rejected that have not been requested by the reviewing court under subdivision (a).
“If the appellant desires such additional record, he shall file with his notice of appeal an application describing the material which he desires to have included and the points on which he intends to rely which make it proper to include it. The clerk shall immediately present the request to the judge and notify the reporter. The judge, within five days after the filing of such application, shall make an order directing the inclusion in the record of as much of the additional material as, in his opinion, may be proper to present fairly and fully the points relied upon by appellant in his application. If the judge fails to make any order within five days after the application is filed, the material
Further adverse effects appear in the event a judgment of conviction is reversed for want of a valid certification order after a juvenile has been confined as a felon. A juvenile defendant who has well utilized his time in confinement will undoubtedly argue that he is entitled to a revised probation report as his good conduct has a significant bearing on the question .of amenability to treatment through juvenile court facilities. (Cf.
In re Cortez
(1971)
As review of a certification order by way of extraordinary writ has always been available to a minor defendant, no additional judicial burden is hereby created. Moreover, the inclusion on the record of a statement of reasons for issuance of a certification order as provided in revised section 707 now in force, should serve to facilitate expeditious appellate review and ease the burden placed on Courts of Appeal.
Section 995 provides:
“The indictment or information must be set aside by the court in which the defendant is arraigned, upon his motion, in either of the following cases:
“If it be an indictment: 1. Where it is not found, endorsed, and presented as prescribed in this code. 2. That the defendant has been indicted without reasonable or probable cause.
“If it be an information: 1. That before the filing thereof the defendant has not been legally committed by a magistrate. 2. That the defendant had been committed without reasonable or probable cause.”
We earlier noted that such a procedure would permit an accused an opportunity to secure a reversal of a judgment of conviction after an errorless trial, and that an immediate resolution of a claimed improper certification would spare an accused the burden and scrutiny of a public trial, would not prejudice a timely reconsideration of the issue of fitness, would make less likely the need for updating the report of the juvenile probation officer and other reports and affidavits, and would limit the time the accused may be confined as an adult criminal.
The single reported appellate opinion which questioned the propriety of a post-conviction review of a certification order was not filed until two years after the defendant’s hearing in juvenile court.
(People
v.
Allgood, supra,
Traditionally, the alleged offense was not itself sufficient to support a finding of unfitness, although it was one of the factors which the court was free to weigh along with other factors.
(Jimmy H.
v.
Superior Court, supra,
“(a) The degree of criminal sophistication exhibited by the minor.
“(b) Whether the minor can be rehabilitated prior to the expiration of the juvenile court’s jurisdiction.
“(c) The minor’s previous delinquent histoiy.
“(d) Success of previous attempts by the juvenile court to rehabilitate the minor.
“(e) The circumstances and gravity of the offense alleged to have been committed by the minor.”
Parallel support for the view that hearsay evidence may be considered for transfer purposes is found in cases which similarly hold that such evidence in a probation officer’s presentence investigation report may be considered by the court. “[I]t must be borne in mind that the guilt of a defendant is not an issue in a probation officer’s report... . The purpose of the report is to assist the court in determining whether a defendant should be granted probation and, if so, the terms thereof.... A probation officer could not make an investigation and report of the nature required by [the Penal Code] if restricted to the rules, of evidence. Much of the prior record and history of a defendant, as well as the circumstances surrounding the crime, are hearsay and can be investigated and reported upon only by the use of hearsay information .... Had defendant thought, the report insufficient or inadequate he could have presented witnesses to counteract or correct any portion of the report.”
(People
v.
Valdivia
(1960)
“The practice of including raw arrest data in a probation report is condemned by the American Bar Association’s Standards for Criminal Justice. ‘ . . . the Advisory Committee means to include only those charges which have resulted in a conviction. Arrests, juvenile dispositions short of an adjudication, and the like, can be extremely misleading and damaging if presented to the court as part of a section of the report
which
Should allegations of suspected involvement in other crimes be made without adequate factual support, counsel is free to exploit this weakness at the hearing. “[I]f the staff’s submissions include materials which are susceptible to challenge or impeachment, it is precisely the role of counsel to ‘denigrate’ such matter. There is no irrebuttable presumption of accuracy attached to staff reports.”
(Kent
v.
United
States,
supra,
Section 12022.5 provides in relevant part: “Any person who uses a firearm in the commission ... of a robbery, . . . murder . . . , upon conviction of such crime, shall, in addition to the punishment prescribed for the crime .. ., be punished by imprisonment in the state prison for a period of not less than five years....”
Because we have held the use finding to be applicable, if at all, to only the robbery conviction we need not consider whether there was in the instant case but a single, indivisible transaction which, although resulting in multiple convictions involving multiple victims, would nevertheless preclude more than a single application of Penal Code section 12022.5.
