People v. NewmanPeople v. Newman
This case presents the question whether, in a prosecution for possession of a firearm by a felon (
For the reasons that follow, we conclude that the question whether a defendant must be given the Boykin-Tahl advisements prior to stipulating to his or her status as a felon is controlled by the reasoning of this court‘s decision in Adams, supra, 6 Cal.4th 570, 24 Cal.Rptr.2d 831, 862 P.2d 831, holding that a defendant validly may “stipulate to one or more, but not all, of the evidentiary facts necessary to a conviction of an offense or ... an enhancement,” without first having received such advisements. (Id., at p. 581, 24 Cal.Rptr.2d 831, 862 P.2d 831.) We therefore overrule the contrary statements in Hall, disapprove the Court of Appeal decisions in Robertson and Turner, reverse the judgment of the Court of Appeal in the present case, and remand this matter to the Court of Appeal for consideration of defendant‘s other claims of error.
I
On February 7, 1997, as Los Angeles Police Officers Michael Lange and Isaac Galloway watched from an unmarked police vehicle, defendant rode his bicycle in a manner that caused a motor vehicle to veer over the center line in order to avoid hitting him. Galloway thereafter activated a hand-held red light and, using the car‘s public address system, Lange told defendant to “Stop your bike, get off it, put your hands behind your head.” Defendant looked at the officers and kept going. Lange repeated the command. The front tire of the bicycle struck a curb, causing defendant to fall off his bicycle. As he fell, defendant dropped a .22-caliber blue steel revolver. It was fully loaded with six rounds. Lange recovered the revolver, as well as nine .22-caliber bullets strewn around defendant.
Defendant had suffered numerous prior felony convictions, including a 1974 conviction for second degree murder. The prosecutor charged defendant with being a felon in possession of a firearm (
At defendant‘s request, his trial was bifurcated. During the first phase of the trial proceedings — after the prosecution had presented evidence of the police officers’ discovery of the firearm — defendant stipulated through his counsel, in front of the jury, to having been previously convicted of an unspecified felony. The stipulation occurred through the following colloquy:
“The Prosecutor: [Defense counsel], does the defense stipulate in this case that the defendant, Mr. Newman, has been previously convicted of a felony[?]
“Defense Counsel: So stipulated.
“The Court: Ladies and gentlemen, that stipulation is received into evidence by the court.”
In accepting the stipulation, the trial court did not advise defendant of any rights or obtain any waivers. It is the trial court‘s failure to provide advisements or obtain a waiver at this stage of the proceeding that forms the basis for defendant‘s claim of error.
After both the prosecution and the defense rested at the initial phase of the trial, the trial court instructed the jury: “In this case, the previous felony conviction has already been established by stipulation[,] so no further proof of that fact is required. You must accept as true the existence of this previous felony conviction. [¶] In order to prove [the] crime [of which defendant is charged], each of the following elements must be proved: ... [¶] The person previously convicted of a felony had in his possession or under his control a firearm. And two, the defendant had knowledge of the presence of said firearm.”
After deliberations, the jury found defendant guilty of the charged offense of violating
Following the jury‘s guilty verdict on the substantive offense, defendant entered into a plea agreement in which he waived his right to a jury trial on the prior conviction allegations, and admitted as true the allegations that he had suffered six serious or violent felony convictions within the meaning of the “Three Strikes” law, in exchange for which the prosecution agreed not to request five 1-year enhancements (
Defendant appealed. The Court of Appeal reversed the judgment and remanded the matter for a new trial, based on its conclusion that defendant‘s stipulation to his status as a felon was invalid because the trial court had not given defendant the Boykin-Tahl advisements and had not obtained, prior to accepting the stipulation, a waiver of the rights set forth in those decisions. We granted the People‘s petition for review.
II
As noted, defendant stipulated to his status as a felon for purposes of the charge that he violated
In the Court of Appeal, defendant contended that the stipulation was invalid, and that his conviction must be reversed, because the trial court did not advise him of his constitutional rights. In accepting defendant‘s argument and reversing the judgment, the Court of Appeal relied upon footnote 9 in Hall, supra, 28 Cal.3d 143, 167 Cal.Rptr. 844, 616 P.2d 826, a case in which we addressed the question whether, in a trial for being a felon in possession of a firearm, a defendant may stipulate to his status as a felon in order to keep that fact from the jury. In concluding that a defendant could stipulate to that status, we stated in footnote 9 of Hall, 28 Cal.3d at p. 157, fn. 9, 167 Cal.Rptr. 844, 616 P.2d 826 that “trial courts in the future would be well-advised” (ibid.) to provide Boykin-Tahl advisements when a defendant stipulates to his or her status as a felon as an element of the crime of being a felon in possession of a concealed firearm in violation of
Because of its significance to the issue presently before us, we quote in full the language of footnote 9 of the decision in Hall: “For future guidance, the court notes that a stipulation such as the one offered here shares several key characteristics with the admission of a prior conviction alleged for enhancement purposes (see, e.g., In re Yurko (1974) 10 Cal.3d 857 [112 Cal.Rptr. 513, 519 P.2d 561]), and with the submission of a case for decision on the basis of a preliminary hearing transcript with reservation of the rights to testify, to present additional evidence, and to cross-examine witnesses. (See, e.g., Bunnell v. Superior Court (1975) 13 Cal.3d 592 [119 Cal.Rptr. 302, 531 P.2d 1086].) Such a stipulation relieves the prosecution of the burden of proving the existence of a valid prior conviction beyond a reasonable doubt. (Cf. In re Yurko, supra, 10 Cal.3d at p. 862 [112 Cal.Rptr. 513, 519 P.2d 561].) It involves the partial waiver of significant constitutional rights. (Cf., id., at p. 863 and fn. 5 [112 Cal.Rptr. 513, 519 P.2d 561].)
“As this court observed of partial submissions in Bunnell v. Superior Court, supra, `the objectives of [Boykin-Tahl] requirements, i.e., assurance that the defendant is aware of his basic constitutional rights, that his waiver is both voluntary and intelligent, and that his decision to waive these rights is made with an understanding of the consequences thereof, are no less important when the defendant surrenders
“It is true that the decision to stipulate to the ex-felon status is a tactical one. The same can be said, however, of the decisions to plead guilty, to submit a case on the preliminary hearing transcript, or to admit prior convictions alleged for enhancement purposes. Yet Boykin-Tahl protections apply to such decisions. (But see People v. Fisk (1975) 50 Cal.App.3d 364, 371 [123 Cal.Rptr. 414].)
“Therefore, trial courts in the future would be well-advised to assure the record adequately reflects the fact that a defendant is advised of any constitutional rights waived when stipulating to the status of an ex-felon. He should be informed as to the nature and the consequences of the stipulation. Such a requirement is already in use in cases which involve the admission of prior felony convictions. (Cf. In re Tahl, supra, 1 Cal.3d at p. 133, fn. 6 [81 Cal. Rptr. 577, 460 P.2d 449].) Therefore, the practice endorsed today should not unduly burden the judicial process.” (Hall, supra, 28 Cal.3d 143, 157, fn. 9, 167 Cal.Rptr. 844, 616 P.2d 826 (hereafter footnote 9)).
Footnote 9 of the opinion in Hall was dictum. (See People v. Ramirez (1990) 50 Cal.3d 1158, 1184, fn. 13, 270 Cal.Rptr. 286, 791 P.2d 965; People v. Wright (1990) 52 Cal.3d 367, 407, 276 Cal. Rptr. 731, 802 P.2d 221.) Two years after we rendered our decision in Hall, the electorate enacted Proposition 8, a 1982 initiative measure that amended the California Constitution in various respects. As amended by Proposition 8, the Constitution now provides: “When a prior felony conviction is an element of any felony offense, it shall be proven to the trier of fact in open court.” (
In the proceedings below, the Court of Appeal rejected the argument that Proposition 8 also abrogated footnote 9 of Hall, supra, 28 Cal.3d at page 157, 167 Cal.Rptr. 844, 616 P.2d 826, that endorsed the foregoing advisements, and suggested that the footnote “although perhaps wounded, has never been killed.” The court concluded that because this court has had ample opportunity expressly to disapprove footnote 9, and has refrained from doing so, trial courts must continue to advise a defendant of his or her constitutional rights and obtain an express waiver prior to accepting a stipulation or admission of a prior conviction. As we shall explain, although footnote 9 of Hall has not been expressly disavowed or overruled, we conclude that in light of the reasoning of this court‘s 1993 decision in Adams, supra, 6 Cal.4th 570, 24 Cal.Rptr.2d 831, 862 P.2d 831, the analytical foundation of Hall‘s footnote 9 has been fatally undermined, and that continued adherence to the dictum contained in that footnote would be inconsistent with the general principles set forth in Adams.
In Adams, supra, 6 Cal.4th 570, 24 Cal. Rptr.2d 831, 862 P.2d 831, this court considered whether the Boykin-Tahl advisements
Defendant contends that because Adams involved a stipulation entered with regard to an enhancement, rather than a stipulation entered with regard to an element of the charged offense, Adams is not controlling. We disagree. In examining the development of the law since Boykin-Tahl and Yurko, our decision in Adams explained: “In no case ... did we hold, or even intimate, that a defendant‘s admission of evidentiary facts which did not admit every element necessary to conviction of an offense or to imposition of punishment on a charged enhancement, as opposed to an admission of guilt of a criminal charge or of the truth of an enhancing allegation where nothing more was prerequisite to imposition of punishment except conviction of the underlying offense, was subject to the Boykin-Tahl or Yurko requirements. That question was not presented. When the question of evidentiary stipulation has been presented in other contexts, however, we have held that such admissions or stipulations need not be preceded by such advice and waiver of rights, and advice regarding the penalty consequences of the admission.
“In People v. Hovey (1988) 44 Cal.3d 543 [244 Cal.Rptr. 121, 749 P.2d 776], the defendant, charged with murder with a kidnapping special circumstance (
“Then, in People v. Ramirez (1990) 50 Cal.3d 1158, 1184 [270 Cal.Rptr. 286, 791 P.2d 965], noting that our observation in People v. Hall (1980) 28 Cal.3d 143, 157, footnote 9 [167 Cal.Rptr. 844, 616 P.2d 826], that the admission of ex-felon status was analogous to admission of a prior in the context of Yurko, supra, 10 Cal.3d 857 [112 Cal.Rptr. 513, 519 P.2d 561], was dictum, we rejected a claim that a waiver of rights was required when a defendant admits he has suffered prior convictions where the prior convictions were simply penalty phase aggravating evidence.” (6 Cal.4th at pp. 577-578, 24 Cal.Rptr.2d 831, 862 P.2d 831, italics added.)
Thereafter, the court in Adams explained: “We do not agree that when a
We concluded in Adams: “When a defendant who has asserted and received his right to trial, and has waived none of his constitutional rights, elects to stipulate to one or more, but not all, of the evidentiary facts necessary to a conviction of an offense or to imposition of additional punishment on finding that an enhancement allegation is true, the concerns which prompted the Boykin holding are not present....
“... Nothing in [Boykin, Tahl, or Yurko] obliges the court to advise a defendant of the right to [a] jury trial, and to confrontation and cross-examination, and of the privilege against self-incrimination prior to accepting a stipulation that does no more than relieve the People of the burden of offering evidence of the existence of an element of a sentence enhancement. This is true regardless of whether the stipulation is made by counsel or by the defendant personally.” (6 Cal.4th at pp. 581-583, 24 Cal.Rptr.2d 831, 862 P.2d 831, italics added.)
In view of the language and reasoning of the decision in Adams, we believe it is clear that defendant‘s factual stipulation to his status as a felon in the course of his trial on the charge of possession of a firearm by a felon was not subject to the Boykin-Tahl requirements. To establish the elements of the charged offense, the prosecution had the burden of proving not only that defendant had suffered a prior felony conviction, but that he owned or possessed the firearm, or had it under his custody or control. (
III
The judgment of the Court of Appeal is reversed, and the case is remanded to that court for consideration of defendant‘s other claims of error.
KENNARD, J., BAXTER, J., CHIN, J., and BROWN, J., concur.
Concurring Opinion by WERDEGAR, J.
I concur in the judgment and the majority‘s reasoning with the exception of footnote 4. (Maj. opn., ante, 87 Cal.Rptr.2d p. 480, fn. 4, 981 P.2d at 104, fn. 4.) It necessarily follows both from this court‘s reasoning in People v. Adams (1993) 6 Cal.4th 570, 24 Cal.Rptr.2d 831, 862 P.2d 831, as well as the majority‘s reasoning today, that a defendant who stipulates to every element of a charged offense or enhancement must be advised of and waive his or her rights in accordance with Boykin v. Alabama (1969) 395 U.S. 238, 89 S.Ct. 1709, 23 L.Ed.2d 274 and In re Tahl (1969) 1 Cal.3d 122, 81 Cal.Rptr. 577, 460 P.2d 449. Because the majority, in footnote 4, plants a seed of doubt as to this issue when no doubt previously existed, I cannot join it.
With that exception, I concur in the majority opinion.
MOSK, J., concurs.
Notes
In Tahl, supra, 1 Cal.3d 122, 81 Cal.Rptr. 577, 460 P.2d 449, we concluded that Boykin required, in every case in which a guilty plea was entered, direct evidence on the face of the record that the defendant pleading guilty “was aware, or made aware, of his right to confrontation, to a jury trial, and against selfincrimination, as well as the nature of the charge and the consequences of his plea. Each must be enumerated and responses elicited from the person of the defendant.” (Id., at p. 132, 81 Cal.Rptr. 577, 460 P.2d 449; cf. People v. Howard (1992) 1 Cal.4th 1132, 1178, 5 Cal.Rptr.2d 268, 824 P.2d 1315 [In reexamining our prior understanding of Boykin, we concluded that failure to specifically articulate each of the three constitutional rights waived by a plea of guilty or admission of a prior conviction does not require reversal if the record makes clear that the “plea was voluntary and intelligent under the totality of the circumstances.“].)
In Yurko, supra, 10 Cal.3d 857, 112 Cal. Rptr. 513, 519 P.2d 561, a case involving a defendant who admitted having suffered three prior felony convictions (an admission that formed the basis of defendant‘s being adjudged an habitual criminal under former