Lead Opinion
Opinion
Article VI, section 14, of the California Constitution provides that “[decisions of the Supreme Court and courts of appeal that determine causes shall be in writing with reasons stated.” In this case, we consider what this constitutional mandate requires in a criminal appeal in which defense counsel files a brief pursuant to People v. Wende (1979)
We conclude that a decision affirming the judgment in a Wende appeal disposes of a cause within the meaning of article VI, section 14, of the California Constitution, and therefore must be in writing with reasons stated.
The Court of Appeal’s opinion in the present case does not satisfy the constitutional requirement of a decision in writing with reasons stated. Rather than reversing the judgment and remanding the matter to that court, however, we have undertaken a review of the record and affirm the judgment, with reasons stated.
I.
The facts of the underlying case are fairly straightforward. On July 21, 2003, an off-duty San Jose police officer witnessed defendant driving a vehicle in a reckless and erratic manner. The officer followed defendant and called for backup assistance. A uniformed officer arrived just as defendant parked his car. Defendant resisted the two officers and was handcuffed. After refusing to breathe into a preliminary alcohol-screening device, he was transported to the police department’s alcohol investigation bureau, where he declined tests of his blood, breath, or urine.
At trial, the two police officers testified concerning defendant’s conduct and appearance, and an expert testified regarding the effects of alcohol on the human body. In addition, the parties stipulated that defendant had suffered a felony conviction in December 1996 for driving under the influence of an alcoholic beverage in violation of Vehicle Code section 23152. The jury found defendant guilty of one felony count of driving under the influence of alcohol after having been convicted of a felony within 10 years (Veh. Code, §§ 23152, 23550.5, subd. (a)) and one misdemeanor count of resisting, delaying, or obstructing an officer (Pen. Code, § 148, subd. (a)(1)). The trial court imposed the midterm sentence of two years’ imprisonment for the felony, and a six-month term for the misdemeanor, to be served concurrently with the felony sentence.
We set forth in its entirety the opinion rendered by the Court of Appeal:
“Following a jury trial, defendant was found guilty of one felony count of driving under the influence of alcohol with a felony prior within 10 years [citations; fn. omitted], and one misdemeanor count of resisting, delaying, or obstructing an officer [citation]. As to count one, the jury found true the allegation that defendant willfully refused a peace officer’s request to submit to chemical test pursuant to [various Veh. Code sections].
“We appointed counsel to represent defendant in this court. Counsel filed an opening brief that stated the case and the facts, but raised no specific issues. Defense counsel requested we review the record pursuant to People v. Wende[, supra,]25 Cal.3d 436 .
“We notified defendant of his right to submit written argument on his own behalf within 30 days. We have read and considered defendant’s written argument.
“Pursuant to People v. Wende, supra, 25 Cal.3d 436, we have reviewed the entire record and have concluded that there are no arguable issues on appeal.
“Disposition
“The judgment is affirmed.”
Defendant then filed, in propria persona, a petition in this court seeking review of the judgment rendered by the Court of Appeal, based on its failure to address the contentions set forth in his supplemental brief. We granted defendant’s petition, appointed new counsel to represent him, and limited briefing and argument to the issue of what is required of the Court of Appeal in this context under article VI, section 14, of the California Constitution.
In order to construe present article VI, section 14, of the California Constitution, we first review the history of that provision. The California Constitution of 1849 established a Supreme Court consisting of a Chief Justice and two associate justices, and granted the court appellate jurisdiction in a variety of cases. (Cal. Const, of 1849, art. VI, §§ 1, 2, 4.) Amendments to the Constitution in 1862 expanded the court’s membership to include a Chief Justice and four associate justices, and described a wider range of cases in which the court had appellate jurisdiction. (Id., art. VI, §§ 2, 4, as amended 1862.) As amended, the Constitution continued to require the Legislature to provide for publication of the court’s decisions as the Legislature deemed expedient (id., art. VI, § 12), but did not impose any requirement upon the court to provide reasons for its decisions.
In 1854, the Legislature enacted a statute requiring that “[a]ll decisions given upon an appeal in any appellate] Court of this State, shall be given in writing, with the reason therefor, and filed with the Clerk of the Court.” (Stats. 1854, ch. 54, § 69, p. 72.) This court held in Houston v. Williams (1859)
The decision in Houston, supra,
By the time the state’s second constitutional convention was convened in 1878, the Supreme Court’s workload was overwhelming. There was no
Although the court’s decision in Houston asserted that no court with “the least respect for its own dignity and independence” could acknowledge a legislative power to require written reasons for the court’s opinion (Houston, supra,
In order to increase the court’s capacity to decide cases, the Committee proposed a seven-member court with two departments, each comprised of three associate justices. (1 Willis & Stockton, supra, at p. 392.) Under the proposal, each department would have “the power to hear and determine causes and all questions arising therein, subject to the provisions hereinafter contained in relation to the Court in bank.” (Ibid.) That same provision specified that the presence of three justices would be required “to transact any business in either of the departments, except such as may be done at chambers, and the concurrence of three Justices shall be necessary to pronounce a judgment. The Chief Justice shall apportion the business to the departments, and may, in his discretion, order any cause pending before the Court to be heard and decided by the Court in bank.” {Ibid.) Finally, the proposed new article VI also included a provision concerning the court’s opinions: “In the determination of causes, all decisions of the Court in bank or in departments shall be given in writing, and the grounds of the decision shall be stated.” (1 Willis & Stockton, supra, at p. 392.)
At the constitutional convention at which these new provisions were proposed, Delegate Samuel Wilson spoke concerning “the reasons which have impelled the majority of the Committee on Judiciary to recommend section two for adoption by the Convention as the new judicial system, as far as the Supreme Court is concerned.” (2 Willis & Stockton, supra, at p. 950.) He explained that the five-member court “has been unable to fully dispatch
Delegate Wilson continued: “Any gentleman who has practiced in the Supreme Court knows that cases have been sent back for new trial, without written opinions, and the Courts below have been unable to ascertain the full views of the appellate Court upon the case. Four or five points may be presented. The Supreme Court may reverse the case and send it back for a new trial upon some one of these points, but upon which point the lawyers are unable to say—whether on five points or on one. The result is that the new trial in the Court below takes place without any light from above, and the case may be appealed a second time, and again reversed upon some one of the same points, and so, ad infinitum; whereas, if a written opinion were rendered, it might end the case without a second appeal. That practice shows the inefficiency of any system where written opinions are not required, and everywhere throughout the United States the Courts are required to deliver written opinions, stating the grounds of the decision, as we have provided in this section. Undoubtedly it will insure a careful examination of the cases, and result in well considered opinions, because they must come before the jurists of the country and be subjected to the severest criticism. I think every lawyer will agree with me, that in every case there should be an opinion in writing. It tends to purity and honesty in the administration of justice.” (2 Willis & Stockton, supra, at p. 951.)
Mr. Wilson reiterated that the recommended appellate system would “enable the Court to . . . write opinions on all of the cases,” but acknowledged: “Of course, there will always be some cases disposed of without written opinions. Sometimes a case goes off on some formal motion, or is dismissed on a technical question of practice. But I am speaking generally, of cases argued and submitted upon their merits, and there the decision is of little account as settling the law, unless the Court gives its reasons for the decision in writing.” (2 Willis & Stockton, supra, at p. 951.)
In further support of his proposal, Delegate Wilson continued: “Now, everybody knows who has reflected at all upon this subject, or knows anything at all about it, that opinions must be written by a Court of last resort as matters of precedent. It is a very different thing from sitting down and saying that the judgment of the Court below is reversed or affirmed without giving any reasons, because when that is published, nobody knows whether that decision is right or wrong. But when the Judge has to sit down and write an opinion, or, in the language of this amendment reported by us, that they must give their opinion in writing, stating the grounds of the decision, then they are brought before the whole bar of the State, and they are bound to present themselves in a position where law and reason sustain the adjudication. Consequently it is the universal practice in the Courts of last resort in the States, and the Supreme Court of the United States, to render opinions addressing themselves to the intelligent judgment of the bar of the State or of the country, and of the Judges of the country.” (3 Willis & Stockton, supra, at p. 1455.)
Delegate Clitus Barbour, whose competing proposal also would have required opinions in writing with reasons stated, offered the following comments in that respect: “Now, when we require them to state the reasons for a decision, we do not mean they shall write a hundred pages of detail. We [do] not mean that they shall include the small cases, and impose on the country all this fine judicial literature, for the Lord knows we have got enough of that already. To give us the reason for it does not take three lines. I maintain that there is hardly a single case, many points as may be made, that cannot be cleared up, and reasons given in five pages. Many of the decisions now in the reports contain thirty pages. Let them write short opinions in all cases, and I contend that it will not be difficult for them to write up all the decisions of the Court.” (3 Willis & Stockton, supra, at pp. 1455-1456.)
Thereafter, article VI, section 2, was adopted by the constitutional convention delegates and subsequently approved by the electorate. It provided for
Despite the efforts of the delegates to ease the burden on the Supreme Court by providing for decisions to be rendered by three-justice panels in departments, the court’s workload and backlog increased in the ensuing two decades until finally, in 1903, the Legislature proposed a constitutional amendment to add an intermediate Court of Appeal comprised of three appellate districts, each with a three-justice District Court of Appeal. The proposal was approved by the voters in 1904, and included a provision that “[i]n the determination of causes, all decisions of the Supreme Court and of the District Courts of Appeal shall be given in writing, and the grounds of the decision shall be stated.” (Cal. Const., former art. VI, § 24, as amended Nov. 8, 1904, repealed Nov. 8, 1966.)
As a result of the 1966 repeal and reenactment of article VI of the California Constitution, the requirement of opinions in writing is now found in article VI, section 14, and reads: “Decisions of the Supreme Court and courts of appeal that determine causes shall be in writing with reasons stated.” There is no indication in the background materials prepared in the 1960’s for the members of the California Constitution Revision Commission committee that was responsible for proposed revisions to article VI, or elsewhere, that any change in substance was intended with respect to the new wording of the “in writing” requirement.
m.
To evaluate the relevance and function of written decisions in the context of Wende appeals, we next review the constitutional underpinnings of the requirement of independent judicial review in such appeals, and the nature of the review required by Wende.
The federal Constitution does not require a state to afford appellate review of a judgment of conviction (McKane v. Durston (1894)
The right of an indigent defendant to appellate counsel gave rise to the issue considered in Anders v. California (1967)
Our decision in Wende, supra,
This court’s decision in Wende, supra,
The United States Supreme Court approved this court’s Wende procedure in Smith v. Robbins (2000)
In Robbins the court further concluded that the Wende procedure is in some ways superior to Wisconsin’s procedure, which the high court found valid in McCoy v. Court of Appeals of Wisconsin (1988)
In summary, the constitutional right to assistance of counsel entitles an indigent defendant to independent review by the Court of Appeal when counsel is unable to identify any arguable issue on appeal. California’s procedure for securing this right requires counsel to file a brief summarizing the proceedings and the facts with citations to the record, and requires the appellate court to review the entire record to determine whether there is any arguable issue. The high court’s decision in Robbins—validating California’s procedure—highlights the importance of the appellate court’s responsibility in Wende appeals to perform a thorough review of the record.
IV.
The independent judicial review mandated by Anders, supra,
The Court of Appeal disposed of defendant’s cause in writing, but stated only that “there are no arguable issues”—it did not expressly address (or even describe) defendant’s contentions. Both Anders, supra,
Although the written decision in a Wende appeal typically will not be certified for publication in the Official Reports and thus will not establish precedent for future cases, it will serve the other significant purposes identified in the constitutional debates—(1) providing guidance to the parties and the judiciary in subsequent litigation arising out of the same “cause,” and (2) promoting a careful examination of each case and a result supported by law and reason. Having devoted its resources to reviewing the entire appellate record, the Court of Appeal is well positioned to forestall the unnecessary expenditure of additional judicial resources by gathering and setting forth in its opinion the bare information necessary for other courts to recognize which contentions asserted by the defendant have been considered and found lacking in arguable merit and which were considered unreviewable due to an inadequate record. Brief written reasons for the appellate court’s decision also may assist federal courts, which otherwise would be unable to determine whether claims have been exhausted in the state courts. Finally, the appellate court’s explanation of why the defendant’s contentions fail may, in some
A written decision does not require an extended discussion of legal principles. (See Lewis v. Superior Court (1999)
In light of the subsequent evolution of the law and the appellate court system, an opinion rendered by the Court of Appeal has come to serve additional purposes. In connection with a petition for review, the intermediate appellate court’s opinion informs this court of the nature of the case as well as the contentions considered. The opinion also may be a significant source of information in future collateral proceedings in which only a limited record is provided. A brief description of the facts and procedural history of the case, as well as the crimes of which the defendant was convicted and the punishment imposed, will allow any court in a subsequent proceeding to focus more quickly on the contentions without having to expend resources gathering and reviewing the record to apprise itself of this information. A synopsis of the case will be particularly helpful when the defendant, as is frequently the situation,
These circumstances establish that significant efficiency in the processing of subsequent proceedings, including habeas corpus matters, can be achieved if the Courts of Appeal include in their Wende opinions a brief description of the facts and procedural history of the case, the crimes of which the defendant was convicted, and the punishment imposed.
These minimal requirements are in no way intended to discourage the Courts of Appeal from preparing opinions that describe the underlying litigation in greater detail and that analyze the contentions at greater length when doing so appears to the appellate court to be appropriate and useful. Depending upon the particular facts, procedures, and contentions, a more thorough opinion may promote the purposes of explaining why the defendant’s contentions fail and of apprising other courts of the facts and principles that establish the correctness of the judgment. Moreover, in the course of reviewing the record, the Court of Appeal may discern that certain motions, stipulations, or other aspects of the trial court proceedings predictably might become relevant in, for example, a subsequent habeas corpus proceeding, if the defendant continues to challenge the judgment. We encourage the Courts of Appeal to include such information in their opinions when, in their view, it may be helpful in a future proceeding.
Finally, as is currently the practice of each of the Courts of Appeal, a Wende opinion affirmatively should note that counsel filed a Wende brief raising no arguable issue, that the defendant was apprised of his or her right to file a supplemental brief, that the defendant did or did not file such a brief, and that the court has reviewed the entire record and found no arguable issue.
Accordingly, in affirming the judgment rendered in a Wende appeal, the Court of Appeal must prepare a written opinion that describes the contentions personally raised by the defendant and the reasons those contentions fail. In addition, the Court of Appeal must provide a brief description of the underlying facts, the procedural history, the crimes of which the defendant was convicted, and the punishment imposed. Finally, we encourage the Courts of Appeal to include any further information they deem appropriate. We emphasize that what constitutes an adequate written opinion “necessarily is a subjective determination. [Citation.] ‘The author of an opinion . . . must follow his [or her] own judgment as to the degree of elaboration to be accorded to the treatment of any proposition and as to the questions which are worthy of notice at all.’ ” (Lewis v. Superior Court, supra,
The decision rendered by the Court of Appeal in the present case did not meet the constitutional requirement of a written opinion with reasons stated. Although the decision adequately set forth the charges of which defendant was convicted, reviewed the Wende procedures followed, and noted that defendant exercised his right to submit written argument on his own behalf, it did not describe the contentions made by defendant or the reasons why his contentions were rejected by the appellate court. For these reasons, the decision below is inadequate. Rather than remand the appeal, however, we proceed to resolve this case on its merits, as we did in Wende.
As noted above, on July 21, 2003, a police officer witnessed defendant driving erratically, and when the officer and a second officer confronted defendant, he resisted them and thereafter declined to submit to alcohol tests. A felony complaint was filed three days later, but on October 15, 2003, a competency evaluation was ordered and criminal proceedings were suspended. (Pen. Code, § 1368.) On December 3, 2003, the court found defendant competent to stand trial.
The matter was tried before a jury on January 6, 7, and 8, 2004. The two arresting officers testified concerning defendant’s conduct and appearance, and an expert testified as to the effects of alcohol on the human body. The parties stipulated that defendant had suffered a felony conviction in December 1996 for driving under the influence of an alcoholic beverage in violation of Vehicle Code section 23152. The jury found defendant guilty on two counts: (1) driving under the influence of alcohol and drugs with a prior felony conviction committed within 10 years (Veh. Code, §§ 23152, subd. (a), 23550.5, subd. (a)); and (2) resisting, delaying, or obstructing an officer (Pen. Code, § 148, subd. (a)(1)). In connection with the first count, the jury found true the allegation that defendant willfully refused a peace officer’s request to submit to a chemical test (Veh. Code, §§ 23612, 23577, subd. (a)). On May 7, 2004, the trial court imposed the midterm sentence of two years’ imprisonment for the felony, and a six-month term for the misdemeanor to be served concurrently with the felony sentence. It ordered defendant not to possess a firearm, revoked his driving privileges, and imposed a $400 general-fund fine plus a penalty assessment, a restitution-fund fine of $200, and a $20 court security fee. An additional restitution-fund fine was imposed, but was suspended pursuant to Penal Code section 1202.45.
On appeal, defendant’s appointed counsel filed a brief pursuant to Wende, supra,
The judgment is affirmed.
Kennard, J., Werdegar, J., and Moreno, J., concurred.
Notes
Background materials prepared for members of the commission’s committee on article VI stated that “the written opinion requirement . . . has received a narrow interpretation by the courts.” (Background Study for Cal. Const. Revision Com., com. on art. VI, pt. 3 (Sept. 15, 1964) pp. 4-5.) None of the authority cited in support of this statement suggests that a written decision with reasons stated is not required in an appeal from a judgment of conviction filed in the Court of Appeal. (See Funeral Dir. Assn. v. Bd. of Funeral Dirs. (1943)
Penal Code section 1237 provides: “An appeal may be taken by the defendant: [ft] (a) From a final judgment of conviction except as provided in Section 1237.1 and Section 1237.5. A sentence, an order granting probation, or the commitment of a defendant for insanity, the indeterminate commitment of a defendant as a mentally disordered sex offender, or the commitment of a defendant for controlled substance addiction shall be deemed to be a final judgment within the meaning of this section. Upon appeal from a final judgment the court may review any order denying a motion for a new trial, [ft] (b) From any order made after judgment, affecting the substantial rights of the party.”
In addition to promoting the purposes of California Constitution article VI, section 14, and conserving judicial resources, our conclusion that this constitutional provision applies in the Wende context facilitates the purposes of Wende review. As noted above, our Wende procedure relies on the efforts of the appellate court in resolving the appeal to a greater extent than does the United States Supreme Court’s Anders procedure, in that our procedure requires counsel only to describe the facts and proceedings, while calling upon the Court of Appeal to review the entire record. The requirement that the Court of Appeal set forth its reasons in writing ensures the fulfillment of the more significant role played by that court as contemplated by Wende. (Cf. Penson v. Ohio (1988)
After describing the contention, the written decision’s reasons, concluding that no arguable issue is raised by a contention, may consist of a brief statement identifying the flaw in the contention. Alternatively, a citation to pertinent case or statutory authority may be a more efficient way of identifying the reason a contention raises no arguable issue, as long as the citation clearly reveals the basis upon which the Court of Appeal so finds. For example, if a
Although statistics are not available concerning the total volume of direct and collateral proceedings that challenge judgments rendered in Wende appeals, the numbers appear to be
An amicus curiae brief filed on behalf of retired California appellate justices in Robbins, supra,
Not only does a description of the punishment imposed provide a useful context in which to evaluate the claims raised in subsequent proceedings, but a large portion of these claims raise issues challenging the defendant’s sentence or asserting his or her right to credits against the prescribed term of imprisonment.
Concurrence Opinion
I concur in part. I agree with the majority’s conclusions that a Wende appeal (People v. Wende (1979)
Where I part company with the majority is in its exercise of this court’s supervisory power to impose additional requirements on the Courts of Appeal. While I do not object to asking the courts to identify the crimes of which the defendant was convicted and the punishment imposed, I would not require them to describe any facts or procedural details that are not directly relevant to claims made by the defendant. I would certainly not encourage them to anticipate future habeas corpus petitions; in the vast majority of Wende appeals this would simply be a waste of time. Collateral attack is most uncommon in these cases.
I hesitate to reach back to the 19th century for words of wisdom on a 21st century problem; as the majority notes, the constitutional debates of 1878-1879 involved nothing akin to Wende review. (Maj. opn., ante, at p. 122.) However, Clitus Barbour was onto something when he made the following remarks about the requirement of a statement of reasons: “We [do] not mean that they shall include the small cases, and impose on the country all this fine judicial literature, for the Lord knows we have got enough of that
We should bear in mind that Wende appeals are by definition meritless. In the exceptional case where Wende review discloses an arguable issue, briefing is sought and a conventional opinion is issued. When there are no arguable issues, the reviewing court should be permitted to dispose of the case with a minimum of “judicial literature.” It should be sufficient to note the crimes committed, the sentence imposed, the filing of a Wende brief, whether the defendant raised any claims of his or her own and if so, the nature of those claims and the reasons they fail. Every case is important, but for these appeals, in which repeated review by appointed counsel and the court has revealed no meritorious issue, Mr. Barbour’s prescription for a succinct statement of reasons should be followed.
Baxter, J., and Chin, J., concurred.