Lead Opinion
Opinion
In this case, a jury found defendant guilty of two counts of robbery, as an aider and abettor, and guilty of two counts of attempted murder, on the theory that the nontarget offenses of attempted murder were a natural and probable consequence of the target offenses of robbery which defendant had aided and abetted. The jury further found that the attempted murders were willful, deliberate, and premeditated, under Penal Code section
In People v. Cummins (2005)
In a published opinion, the Court of Appeal here followed Cummins and concluded the instructions were sufficient with respect to the natural and probable consequences doctrine as applied to the premeditation allegation under section 664(a). We granted review to resolve the conflict.
We agree with Cummins and the Court of Appeal in this case that the jury need not be instructed that a premeditated attempt to murder must have been a natural and probable consequence of the target offense.
I. FACTS AND PROCEDURAL HISTORY
On November 8, 2004, defendant accompanied two companions to the A & J Liquor store, which also operated a check-cashing business. Owner Paul Lee and employees Pablo Castaneda and Jose Huerta were working. Huerta had his back turned when two or three individuals entered the store and locked the door. Huerta heard a gunshot fired from near his head, and felt its discharge bum his head. He fell to the floor and stayed there. After the shot near his head, he heard three more gunshots and a cash register being opened. One of the intruders ordered, “Get the telephone, get the cameras, and I’ll find you. You already know where.” A second person asked, “Where are the cameras?” Huerta answered that the cameras were in the back. When one of the men demanded his money, Huerta gave it to him. Huerta walked to the office in the back of the store, where the security videos were located. The man followed him, looked around inside the room, then exited the store. After the intruders left, Huerta locked the door and found that Castaneda had been shot once in the head and was dead. Lee was lying on the ground and
It was later determined that the robbers took between $50,000 and $70,000 from the check-cashing portion of the business, approximately $1,000 from the grocery portion of the business, as well as a mobile telephone, and prepaid telephone calling cards.
In June 2005, the police arrested defendant after a flyer was distributed, containing a photograph of defendant from the store security video. During a recorded interview, which was played at trial, defendant admitted that he went to the A & J Liquor store earlier on the day of the robbery with an ex-gang member known as “Trouble.” The two men noticed that the store was not very secure. Trouble said he would tell his partners about it, and they got on a bus to meet up with them. Defendant stated that he recognized one of the men from the streets as an active gang member. He was also fairly sure he had gone to high school with the other man, who was the shooter. Defendant described the shooter as a “shady character” who was not to be trusted.
After Trouble told the two men about the liquor store, defendant and the two men took the bus back to the store. Defendant went in the store first to see how many people were inside. Seeing nobody, he walked out. Defendant claimed that the two men then entered the store without him, and that he heard gunshots. In response to defendant’s knock, the shooter opened the door with a gun in his hand and told defendant to “get the money.” Defendant saw that several people had been shot and proceeded to take everything from the cash register. He also grabbed a mobile phone and gave it to the shooter.
However, the store’s video showed that defendant and two men entered the store together. Defendant entered first, a man wearing a security jacket entered second, and the shooter entered third.
The prosecution charged defendant with one count of first degree murder, with the special circumstance that it was committed while he was engaged in the commission of a robbery (Pen. Code, §§ 187, subd. (a), 190.2, subd. (a)(17)(A)), two counts of attempted murder (§§ 664, 187, subd. (a)), and two counts of second degree robbery (§ 211). The information further alleged that a principal was armed with a firearm (§ 12022, subd. (a)(1)), and that the attempted murders were committed willfully, deliberately and with premeditation. Under the prosecution’s theory at trial, defendant was guilty of first degree murder under the felony-murder rule, of robbery as an aider and abettor, and of attempted murder under the natural and probable consequences doctrine.
The Court of Appeal affirmed the convictions. Relying on our decision in People v. Lee (2003)
We granted defendant’s petition for review.
II. DISCUSSION
Defendant contends that the willful, deliberate, and premeditated findings should be vacated. He argues that the trial court failed to instruct that the jury had to find, not only that the attempted murder was a natural and probable consequence of the robberies, but also that the perpetrator’s willfulness, deliberation, and premeditation were natural and probable consequences.
“ ‘A person who knowingly aids and abets criminal conduct is guilty of not only the intended crime [target offense] but also of any other crime the perpetrator actually commits [nontarget offense] that is a natural and probable consequence of the intended crime. The latter question is not whether the aider and abettor actually foresaw the additional crime, but whether, judged objectively, it was reasonably foreseeable. [Citation.]’ [Citation.] Liability under the natural and probable consequences doctrine ‘is measured by whether a reasonable person in the defendant’s position would have or should have known that the charged offense was a reasonably foreseeable consequence of the act aided and abetted.’ [Citation.]” (People v. Medina (2009)
Under the prosecution’s theory at trial, defendant was guilty of the target offense of robbery as an aider and abettor, and of the nontarget offense of attempted murder as a natural and probable consequence of the robbery. Regarding that theory, the trial court instructed (pursuant to CALCRIM
The prosecution alleged that the attempted murder was willful, deliberate, and premeditated under the penalty provision of section 664(a). Section 664(a) provides that a defendant convicted of attempted murder is subject to a determinate term of five, seven, or nine years. However, a defendant convicted of attempted murder is subject to a sentence of life with the possibility of parole if the jury finds that the attempted murder was “willful, deliberate, and premeditated murder, as defined in Section 189.” (Ibid.)
Regarding the attempted murder/premeditation allegation, the trial court instructed (pursuant to CALCRIM No. 601) as follows: “If you find the defendant guilty of attempted murder in Count 2 and/or Count 3, then you must decide whether the People have proved the additional allegation that the attempted murder was done willfully and with deliberation and premeditation, within the meaning of Penal Code section 664(a). [][] The defendant and/or a principal acted willfully if he intended to kill when he acted. The defendant and/or a principal deliberated if he carefully weighed the considerations for and against his choice and, knowing the consequences, decided to kill. The defendant and/or a principal premeditated if he decided to kill before acting, [f] The attempted murder was done willfully and with deliberation and premeditation if either the defendant or a principal or both of them acted with that state of mind.”
Relying primarily on Hart, supra,
The facts in Hart are similar to the present case. The defendant and a confederate attempted to rob a store employee, who was shot by the confederate during the commission of the offense. The store employee
Hart reversed the jury’s premeditation and deliberation finding on the attempted murder conviction because the trial court failed to instruct the jury “to find that attempted premeditated murder, not just attempted murder, was a natural and probable consequence of the attempted robbery.” (Hart, supra,
In reaching that conclusion, the Hart court relied on its previous opinion in People v. Woods (1992)
Hart’s analysis fails for two reasons. First, contrary to Hart’s presupposition, attempted premeditated murder and attempted unpremeditated murder are not separate offenses. Attempted murder is not divided into different degrees. (People v. Douglas (1990)
Second, along with failing to discuss Bright, Hart did not consider the impact of Lee, supra,
We observed that the Legislature would have been justified in refusing to extend section 664(a)’s penalty provision to an aider and abettor who fails to personally act with premeditation, but did not. We reasoned that because an aider and abettor must share the specific intent of the direct perpetrator and have knowledge of the perpetrator’s criminal purpose, “the Legislature
Moreover, we noted that even in the case of aiders and abettors under the natural and probable consequences doctrine, punishment need not be finely calibrated to the criminal’s mens rea. It takes account of other valid penological considerations, such as the defendant’s conduct, the consequences of such conduct, and the surrounding circumstances, including the fact that the murder attempted was willful, deliberate, and premeditated. {Lee, supra,
In Cummins, supra,
The Court of Appeal in this case correctly followed Cummins and disagreed with Hart. As the Court of Appeal noted, we “observed in Lee, [that] the Legislature declined to make a distinction in the findings necessary for perpetrators or for aiders and abettors in Penal Code section 664, subdivision (a).” We further indicated that the Legislature, in adding section 664(a)’s penalty provision, made no distinctions between aiders and abettors in general and those guilty under the natural and probable consequences doctrine. (Lee, supra, 31 Cal.4th at pp. 624-625.) As the Attorney General points out, since Lee, the Legislature has not modified the premeditation
As noted above, Hart's analysis rested on the distinction between greater and lesser included offenses in general and on the general rule that a trial court has a duty to instruct on lesser included offenses if the evidence supports a conviction on the lesser offense. However, Hart's reliance on the principles relating to lesser included offenses is inapplicable in light of Bright, supra,
Because section 664(a) “requires only that the attempted murder itself was willful, deliberate, and premeditated” (Lee, supra,
Under the natural and probable consequences doctrine, there is no requirement that an aider and abettor reasonably foresee an attempted premeditated murder as the natural and probable consequence of the target offense. It is sufficient that attempted murder is a reasonably foreseeable consequence of the crime aided and abetted, and the attempted murder itself was committed willfully, deliberately and with premeditation.
III. DISPOSITION
We affirm the judgment of the Court of Appeal.
Cantil-Sakauye, C. J., Baxter, J., Werdegar, J., and Corrigan, J., concurred.
Notes
All further statutory references are to the Penal Code.
In People v. Seel, supra,
We disapprove People v. Hart, supra,
Dissenting Opinion
Defendant was convicted of two counts of attempted murder on the theory that he aided and abetted the crime of robbery and that attempted murder was a natural and probable consequence of the robbery. Attempted murder is punishable by imprisonment for five, seven, or nine years. (Pen. Code, § 664, subd. (a) (hereafter section 664(a)); further undesignated statutory references are to this code.) However, if the attempted murder is “willful, deliberate, and premeditated,” then it “shall be punished by imprisonment ... for life with the possibility of parole.” (Ibid.) The jury in this case found that the attempted murders were committed willfully, deliberately, and with premeditation within the meaning of section 664(a). On that basis, the trial court sentenced defendant to consecutive life terms with the possibility of parole.
The trial court instructed the jury that it must determine whether “a reasonable person in the defendant’s position would have known that the commission of attempted murder was a natural and probable consequence of the commission of the robbery.” But the trial court did not instruct the jury that it must determine whether a reasonable person in defendant’s position would have known that premeditation in the commission of attempted murder was a natural and probable consequence of the robbery. This omission was error. In order to convict defendant of premeditated attempted murder on the theory that it was a natural and probable consequence of the robbery, the trier of fact must find that premeditated attempted murder—not simply attempted murder—was a reasonably foreseeable consequence of committing the robbery. Because today’s decision violates the fundamental precept that what is or is not a reasonably foreseeable consequence “is a factual issue to be
I.
Criminal liability for aiding and abetting a crime is based on statute. Section 30 classifies the “parties to crimes” as principals and accessories. Section 31 defines “principals” in a crime to include persons who “aid and abet in its commission, or . . . have advised or encouraged its commission.” This court has interpreted section 31 to require that an aider and abettor must act “with knowledge of the criminal purpose of the perpetrator and with an intent or purpose either of committing, or of encouraging or facilitating commission of, the offense.” (People v. Beeman (1984)
The natural and probable consequences doctrine is a creature of common law. “At common law, a person encouraging or facilitating the commission of a crime could be held criminally liable not only for that crime [(the target offense)], but for any other offense [(a nontarget offense)] that was a ‘natural and probable consequence’ of the crime aided and abetted. [Citation.]” (People v. Prettyman (1996)
Criminal liability under the natural and probable consequences doctrine is premised on a causal link between the charged nontarget offense and the target offense aided and abetted by the defendant. A question that often arises is whether a sufficient causal link exists under the circumstances of the case, and the answer turns on whether the nontarget offense was a reasonably foreseeable consequence of the target offense. As we explained in Medina: “ ‘A person who knowingly aids and abets criminal conduct is guilty of not only the intended crime [target offense] but also of any other crime the perpetrator actually commits [nontarget offense] that is a natural and probable consequence of the intended crime. The latter question is not whether the aider and abettor actually foresaw the additional crime, but whether, judged objectively, it was reasonably foreseeable. [Citation.]’ [Citation.] Liability under the natural and probable consequences doctrine ‘is measured by whether a reasonable person in the defendant’s position would have or should have known that the charged offense was a reasonably foreseeable consequence of the act aided and abetted.’ [Citation.]” (Medina, supra,
A jury finding of reasonable foreseeability provides the crucial nexus that links a defendant’s culpability for aiding and abetting the target offense to his criminal liability for the nontarget offense. Without that nexus, there is no basis—no legally sufficient theory of causation—to find the defendant culpable for the nontarget offense. Our cases have thus recognized, without exception, that “the trier of fact must. . . find that... the offense committed by the confederate was a natural and probable consequence of the target crime that the defendant aided and abetted.” (Prettyman, supra,
Today’s decision departs from this basic rule. The court holds that defendant may be convicted of premeditated attempted murder as a natural and probable consequence of the robbery he aided and abetted, even though the jury was asked to determine only whether “the commission of attempted murder was a natural and probable consequence of the commission of the robbery.” This holding disregards the essential causal link that must exist between the charged nontarget offense and the target offense aided and abetted by defendant. How can defendant be convicted of premeditated attempted murder on a natural and probable consequences theory when the jury was never asked to determine whether premeditated attempted murder was a natural and probable consequence of the target offense?
The Court of Appeal in People v. Hart (2009)
The Court of Appeal held that the trial court erred in failing to instruct the jury that “in order to find Rayford guilty of attempted premeditated murder as a natural and probable consequence of attempted robbery, it was necessary to find that attempted premeditated murder, not just attempted murder, was a natural and probable consequence of the attempted robbery.” (Hart, supra,
Here, as in Hart, a reasonable jury could have found that although defendant’s confederate premeditated the attempted murder, such premeditation was not a natural and probable consequence of the robbery. The evidence amply supported the jury’s finding that attempted murder was a reasonably foreseeable consequence of the robbery. The jury could have readily inferred that defendant knew his confederate was carrying a gun and intended to use it if necessary. But it is less clear that a reasonable person in defendant’s
II.
Today’s opinion avoids this straightforward conclusion through a series of unpersuasive arguments, the sum total of which stretches the natural and probable consequences doctrine beyond principled application.
First, the court discredits Hart on the ground that “attempted premeditated murder and attempted unpremeditated murder are not separate offenses. Attempted murder is not divided into different degrees.” (Maj. opn., ante, at p. 876, citing People v. Bright (1996)
As the court acknowledges in a footnote (maj. opn., ante, at p. 877, fn. 2), however, we held in People v. Seel (2004)
Next, the court relies on People v. Lee (2003)
But neither that dictum nor anything else we said in Lee has any bearing on the issue now before us. The quotation from Lee merely says that the possibly lesser culpability of aiders and abettors convicted of attempted
Finally, the court relies on People v. Cummins (2005)
In rejecting Kelly’s claim, the Court of Appeal did not adopt a general rule—as the court does today—that “there is no requirement that an aider and abettor reasonably foresee an attempted premeditated murder as the natural and probable consequence of the target offense.” (Maj. opn., ante, at p. 880.) Instead, the Court of Appeal held that the instruction sought by Kelly was not required “under the facts of this case.” (Cummins, supra,
III.
In sum, none of the arguments put forward by the court provides a convincing rationale for its holding. This is perhaps unsurprising because the problem presented by the instructional omission at issue is so basic that it cannot be evaded: Defendant aided and abetted the crime of robbery but was also convicted of committing a premeditated attempted murder and, on that basis, sentenced to life in prison. Defendant was entitled to have the jury determine whether the crime of which he was convicted—premeditated attempted murder—was a natural and probable consequence of the robbery he aided and abetted. But the jury was not asked to do so.
In contrast to the detailed provisions of our Penal Code, the natural and probable consequences doctrine imposes criminal liability on the basis of what is essentially judge-made law. We have acknowledged that the doctrine, though well-established in American jurisprudence, “has been ‘subjected to substantial criticism’ [citations]” (Prettyman, supra,
The question remains whether the failure to properly instruct the jury requires reversal of the judgment. As noted, the Court of Appeal in Cummins held that omitting an instruction on the reasonable foreseeability of premeditation where the aider and abettor “was a willing and active participant in all the steps that led to the attempt on [the victim’s] life” and where the evidence “certainly” showed the aider and abettor to be “no less blameworthy” than
Kennard, J., concurred.
Appellant’s petition for a rehearing was denied September 26, 2012.
