THE PEOPLE, Plaintiff and Respondent, v. DENNIS LEE EPPS, Defendant and Appellant.
No. S082110
Supreme Court of California
Mar. 5, 2001
Rehearing Denied May 16, 2001
25 Cal. 4th 19
Marilyn Drath, under appointment by the Supreme Court, for Defendant and Appellant.
Michael P. Judge, Public Defender (Los Angeles), Albert J. Menaster and Alex Ricciardulli, Deputy Public Defenders, as Amici Curiae on behalf of Defendant and Appellant.
Bill Lockyer, Attorney General, David P. Druliner, Chief Assistant Attorney General, Carol Wendelin Pollack, Assistant Attorney General, William T. Harter, Jeffrey Kahan, John R. Gorey and Noah P. Hill, Deputy Attorneys General, for Plaintiff and Respondent.
OPINION
BROWN, J.---In this case, we decide whether the 1997 amendment to
On October 17, 1997, plainclothes police, conducting a surveillance, parked in front of a residence in Los Angeles. Defendant аpproached the police car and removed a chrome handgun from his coat pocket. He pointed the gun at the officers and said, “Do you want some of this?” The officers left, returned with uniformed backup, and arrested defendant. They found in his possession a suitcase containing a loaded .32-caliber chrome revolver, plastic bags containing marijuana and heroin, and a scale.
The District Attorney of Los Angeles County charged defendant by information with two counts of assault with a firearm (
The trial court bifurcated the trial of the prior conviction allegations from the trial of the substantive offenses. The jury found defendant guilty on all counts and found the firearm allegations true. The trial court then dismissed the jury, despite defendant‘s objection, and held a bench trial on the prior conviction allegations, finding those allegations true. The court sentenced defendant to 34 years, 8 months in state prison. Defendant appealed, arguing among other things that
We granted the Attorney General‘s petition for review in order to decide what, if anything, remains of a defendant‘s right under
I. Did the 1997 Amendment to Section 1025 Eliminate the Right to a Jury Trial of Prior Conviction Allegations?
The right, if any, to a jury trial of prior conviction allegations derives from
We construed these sections in Wiley, supra, 9 Cal.4th at pages 583 and 592, holding that the question whether multiple prior serious felony convictions were “brought and tried separately” should be decided by the court rather than the jury. We noted that
In Kelii, supra, 21 Cal.4th at pages 454 and 457, we reaffirmed our reasoning in Wiley, holding that the question whether а prior conviction is a serious felony for purposes of the three strikes law was also for the court, not the jury. Again, we said the statutory right to a jury trial is restricted “to hav[ing] a jury decide whether the defendant ‘has suffered’ . . . the prior conviction.” (Kelii, at p. 457.) Again, we noted the question on which the defendant was seeking a jury trial was largely legal, though it might have some “limited” factual content. (Id. at p. 456.) Again, we held “[a] factual
While Kelii was on appeal, Senate Bill No. 1146 (1997-1998 Reg. Sess.) (Senate Bill 1146) wаs signed into law and took effect. As originally introduced, Senate Bill 1146 unambiguously eliminated the right to a jury trial of prior conviction allegations.2 The bill would have amended
The bill‘s opponents countered that identity was not the only issue that might arise in a prior conviction trial---a defendant, they asserted, also had a right to a jury trial of whether the prior conviction is a serious felony for purposes of the three strikes law. Of course, our decision in Kelii ultimately negated this argument, but at the time of the Senate committee hearing, we had not yet decided Kelii, and the question was still open.
The proponents of Senate Bill 1146 continued to maintain that identity was the only jury issue, but to obviate the concerns of the bill‘s detractors, they amended the bill so that it eliminated the right to a jury trial only with respect to the issue of identity. As amended, Senate Bill 1146 would have left
The Attorney General argues
Nevertheless, we agree with defendant that, in theory at least, there may be issues for jury determination under
This conclusion is supported by a committee analysis of Senate Bill 1146. The analysis lists the following questions that the jury would still decide if Senate Bill 1146 became law: “Was someone convicted? What was the offense? What is the date of the conviction. In what court was the person convicted? . . . [W]as the defendant sentenced to prison based on that conviction? How long has the defendant been out of custody since he or she suffered the prior conviction?” (Assem. Com. on Public Safety, Analysis of Sen. Bill 1146, as amended June 19, 1997, p. 2.) Notably, the first question in this list---Was someone convicted?---is essentially the same as asking whether the alleged prior conviction ever occurred.
Of course, the committee also listed several other questions, suggesting the Legislature intended the jury to decide all these questions. But the
Our discussion in Kelii also supports this conclusion. In Kelii, the 1997 amendment to
Nevertheless, we added: “This leaves the final question of exactly what role the jury does play under
We see no reason to retreat from our conclusion in Kelii. It might be a rare case in which the question of authenticity, accuracy, or sufficiency of prior conviction records is seriously at issue, and depending on the circumstances, the question might well be for the court under the reasoning of Wiley and Kelii. Nevertheless, in аn appropriate case, the defendant has a right under
One might argue that defendants facing stiff three strikes sentences will be likely to raise these questions in evеry case, whether or not they have merit, simply hoping for the possibility of jury nullification. Therefore, the 1997 amendment will not serve its intended purpose of reducing the burden and expense of unnecessary jury trials, as well as the level of juror aggravation. We note, however, that official government records clearly describing a prior conviction presumptively establish that the conviction in fact occurred, assuming those records meet the threshold requirements of admissibility. (See
One might question the wisdom of such a limited role for the jury, but as we said in Kelii, “[w]hether this role makes sense is not for us to say. . . .
The Los Angeles County Public Defender as an amicus curiaе argues we should reconsider our holding in Kelii in light of the high court‘s decision in Apprendi, supra, 530 U.S. 466, and thereby confer a more significant role on the jury. Specifically, amicus curiae argues Apprendi gives defendants a right to have a jury decide whether a prior conviction is a serious felony for purposes of the three strikes law. Apprendi, however, reaffirms that defendants have no right to a jury trial of “the fact of a prior conviction” (id. at p. 490), and here, at least, only the bare fact of the prior conviction was at issue, because the prior conviction (kidnapping) was a serious felony by definitiоn under
In sum, we conclude that the 1997 amendment to
II. Was the Trial Court‘s Failure to Give Defendant a Jury Trial of the Prior Conviction Allegations Harmless Error?
As noted, the trial court deprived defendant of his right to a jury trial of the prior conviсtion allegations. The Attorney General argues the error was harmless under the Watson test applicable to state law errors (People v. Watson (1956) 46 Cal.2d 818, 836 (Watson)), and therefore the Court of Appeal should have affirmed the sentence. Defendant responds that harmless error analysis does not apply where a defendant has been deprived of his right to a jury trial. Defendant also argues harmless error analysis would be unfair in this circumstance, because a defendant
We agree with the Attorney General that the Watson test for harmless error applies, and that the error was harmless in this case.
An error that violates a defendant‘s rights under the federal Constitution requires automatic reversal if it constitutes a “structural defect” in the trial. (Arizona v. Fulminante (1991) 499 U.S. 279, 310.) On the other hand, if it represents “simply an error in the trial process” (ibid.), it is subject to harmless error analysis under the standard the high court announced in Chapman v. California (1967) 386 U.S. 18. We need not, however, consider the applicability of these dual federal standards, because the right to a jury trial of thе prior conviction allegations in this case is purely a creature of state statutory law. (Apprendi, supra, 530 U.S. at pp. 486-492, 496; Wiley, supra, 9 Cal.4th at p. 585.) When a state need not provide a jury trial at all, it follows that the erroneous denial of that right does not implicate the federal Constitution. (Accord, People v. Wims (1995) 10 Cal.4th 293, 312, fn. 8 [instructional error on the elements of a sentencing provision is not a structural defect requiring automatic reversal]; People v. Vera (1997) 15 Cal.4th 269, 278 [the issue of erroneous denial of a jury trial of prior conviction allegations can be waived by failure to object]; People v. Marshall (1996) 13 Cal.4th 799, 851-852 [failure to obtain a jury determination of an аlleged multiple-murder special circumstance is not a structural defect requiring automatic reversal].) Moreover, because the error is purely one of state law, the Watson harmless error test applies. (See, e.g., People v. Breverman (1998) 19 Cal.4th 142, 172, 178; see also
Applying the Watson test to this case, we conclude it is not “reasonably probable that a result more favorable [to defendant] would have been reached” (Watson, supra, 46 Cal.2d at p. 836) if the jury, instead of the court, had determined that defendant “suffered” (
As noted, defendant argues that a defendant will rarely be able to establish prejudice as a result of the erroneous denial of a jury trial. This assertion assumes we would find harmless error in a case involving contested factual questions, an issue we do not now decide. Moreover, defendants have other potential means of protecting their rights, such as the possibility of writ relief. (Cf. People v. Pompa-Ortiz (1980) 27 Cal.3d 519, 529 [defendant can obtain relief without showing prejudice where error is challenged by writ petition rather than on appeal]; People v. Wilson (1963) 60 Cal.2d 139 [same].)
Defendant in this case had a right to a jury trial of the prior conviction allegations, and the trial court denied him that right. Nevertheless, he has not shown a reasonable probability the error affected the result. Accordingly, the Court of Appeal was wrong to reverse his sentence.
CONCLUSION
We reverse the judgment of the Court of Appeal and remand for further proceedings consistent with this opinion.
George, C. J., Baxter, J., and Chin, J., concurred.
WERDEGAR, J., Concurring.---I agree with the majority‘s conclusion that
Today‘s decision, and the holding in Vera, supra, 15 Cal.4th 269, are difficult to reconcile with
We might be justified in treating erroneous denials of the right to a jury as mere “matter[s] of procedure” (
In short, these considerations leave me less than satisfied with the majority‘s conclusion that the erroneous denial of defendant‘s right to a jury can be excused as harmless error. Nevertheless, I recognize that Vera, supra, 15 Cal.4th 269, effectively compels that conclusion by holding that a defendant waives the right if he fails to object to its denial. Of course the majority is correct that defendant cannot show prejudice---in the sense of a “reasonabl[e] probab[ility of] a result more favorable” to him (People v. Watson (1956) 46 Cal.2d 818, 836)---had a jury rather than the court tried the allegations: absent the remote possibility of nullification, no reason exists to believe a jury might have reached a different result than the court. Precedent therefore requires my concurrence in this formalistic application of Watson, which Vera in effect requires the court to apply. Yet, for the reasons set out above, I suspect our decisions in this area need to be reexamined.
MOSK, J.---I dissent.
In People v. Cahill (1993) 5 Cal.4th 478, 501, this court recognized that a triаl court‘s “denial of [a] defendant‘s right to a jury trial” is error reversible per se.
The Court of Appeal made no effort to salvage the superior court‘s judgment. Neither will I.
I would affirm the judgment of the Court of Appeal.
KENNARD, J.---I dissent.
The majority holds that the Legislature has not, by the 1997 amendment to
I disagree that denial of an accused‘s right to jury trial---whether the right‘s source is statutory or constitutional---may ever be harmless. As I explained in my dissenting opinion in People v. Vera (1997) 15 Cal.4th 269, 282-286 (dis. opn. of Kennard, J.), “[t]he denial of jury trial is a structural error that can never be harmless, no matter how strong the evidence of guilt.” (Id. at p. 286; see also People v. Kelii (1999) 21 Cal.4th 452, 463 (dis. opn. of Kennard, J.).) Because the Court of Appeal here correctly so held, I would affirm the Court of Appeal‘s judgment.
Appellant‘s petition for a rehearing was denied May 16, 2001. Mosk, J., and Kennard, J., were of thе opinion that the petition should be granted.
