The PEOPLE, Plaintiff and Respondent,
v.
William NEWMAN, Defendant and Appellant.
Supreme Court of California.
*475 Tracy J. Dressner, La Crescenta, under appointment by the Supreme Court, for Defendant and Appellant.
Daniel E. Lungren and Bill Lockyer, Attorneys General, George Williamson and David P. Druliner, Chief Assistant Attorneys General, Carol Wendelin Pollack, Assistant Attorney General, John R. Gorey, Susan D. Martynec and Russell A. Lehman, Deputy Attorneys General, for Plaintiff and Respondent.
GEORGE, C.J.
This case presents the question whether, in a prosecution for possession of a firearm by a felon (Pen.Code, § 12021, subd. (a)), a defendant must be advised of and waive certain rights set forth in Boykin v. Alabama (1969)
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,
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 (§ 12021, *476 subd. (a)(1)).[2] For purposes of sentence enhancement, the prosecutor also charged defendant with having been convicted of six prior violent or serious felonies.
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 section 12021.
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 (§ 667.5, subd. (b)), and not to seek any additional time beyond a sentence of twenty-five years to life. (§§ 667, subds.(b)-(i), 1170.12, subds. (a)-(d).) The trial court stayed the enhancements and sentenced defendant to a prison term of 25 years to life. This second phase of the trial proceedings is not at issue here,
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 section 12021, subdivision (a), by being a felon in possession of a firearm. The record contains no express advisement or waiver of defendant's constitutional rights to a jury trial, against compulsory self-incrimination, and to confront his accusers, as set forth in Boykin v. Alabama, supra,
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,
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)
"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 *478 all or substantially all of those rights ... [but] contests his guilt by reserving the right to present additional evidence or to present legal argument in defense of the charge.' (Id., at p. 604 [
"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)
"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,
Footnote 9 of the opinion in Hall was dictum. (See People v. Ramirez (1990)
In the proceedings below, the Court of Appeal rejected the argument that Proposition 8 also abrogated footnote 9 of Hall, supra,
In Adams, supra,
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)
"Then, in People v. Ramirez (1990)
Thereafter, the court in Adams explained: "We do not agree that when a section 12022.1 enhancement is alleged a stipulation to the defendant's bail or own recognizance status is tantamount to a plea of guilty, or that the Boykin-Tahl requirements are applicable to an evidentiary stipulation which does not admit the truth of the allegation itself or every fact necessary to imposition of the additional punishment other than conviction of the underlying offense. Unless the stipulation or admission is that broad, it does *480 not have the definite penal consequences necessary to trigger the Boykin-Tahl requirements. An admission or stipulation of facts alleged in most enhancement allegations will lead to imposition of increased punishment on conviction of the underlying offense. The enhancement provided by section 12022.1 differs, however, since the enhancement is not applicable if the defendant is not convicted of the primary offense. Unless he stipulates both to the bail/own recognizance element of the enhancement and that he is guilty of or has been convicted of the primary offense, his stipulation to the former will not necessarily lead to imposition of the enhanced penalties authorized by section 12022.1." (
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,
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. (§ 12021, subd. (a)(1).) Thus, contrary to defendant's contention that the stipulation "was tantamount to a plea of guilty because that admission provided the critical link that criminalized [defendant's] possession of a gun," defendant's stipulation merely relieved the prosecution of proving one element of the charge. Thus, as described in Adams, in this instance defendant elected "to stipulate to one ..., but not all, of the evidentiary facts necessary to a conviction of an offense ...." (Adams, supra,
*481 We conclude that the trial court was not required to provide the Boykin-Tahl advisements before permitting defendant, through his counsel, to stipulate during his trial for possession of a firearm by a felon that he previously had been convicted of a felony.[6] (See People v. Rodriguez (1999)
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,
With that exception, I concur in the majority opinion.
MOSK, J., concurs.
NOTES
Notes
[1] All further statutory references are to the Penal Code.
[2] Section 12021, subdivision (a)(1), provides in pertinent part: "Any person who has been convicted of a felony ... who owns or has in his or her possession or under his or her custody or control any firearm is guilty of a felony."
[3] In Boykin, supra,
In Tahl, supra,
In Yurko, supra,
[4] Because defendant stipulated to one but not all of the evidentiary facts necessary to his conviction, we need not and do not determine what rule should apply where the stipulation admits every element necessary to sustain conviction of an offense or imposition of punishment on a charged enhancement.
[5] As noted, the instant proceedings were bifurcated (at defendant's request). We therefore reject his contention that his tactical decision to stipulate to his status as a convicted felon could be construed as having sentencing implications (e.g., establishing prior "strikes" within the meaning of the Three Strikes law). In the second phase of the trial, defendant admitted his prior felony convictions for the purpose of sentencing under the Three Strikes law, and that phase of the proceedings is not at issue in this appeal.
[6] We expressly disavow the contrary dictum set forth in Hall, supra,
[*] Reporter's Note: Review granted June 30, 1999 (S078105). On August 16, 1999, review dismissed as improvidently granted and opinion ordered partially published in accord with Court of Appeal's prior publication instruction.
[7] In view of our conclusion, we need not and do not reach the People's alternate contention that, even if the trial court erred in failing to give the Boykin-Tahl advisements, the Court of Appeal erred in reversing the judgment of the trial court without first engaging in a harmless-error analysis.
