F.People v. Monier
F.People v. Monier
Opinion
*1102 Section 632 of the Code of Civil Procedure 1 provides that "upon the trial of a question of fact by the court," the court "shall issue a statement of decision explaining the factual and legal basis for its decision as to each of the principal controverted issues at trial upon the request of any party appearing at the trial." We granted review in this case to decide whether a court's error in failing to issue a statement of decision as this section requires is reversible per se. The Court of Appeal held that such errors are not reversible per se, but are subject to harmless error review. The court based its conclusion on article VI, section 13 of the California Constitution ( article VI, section 13 ), which provides: "No judgment shall be set aside, or new trial granted, in any cause, on the ground of misdirection of the jury, or of the improper admission or rejection of evidence, or for any error as to any matter of pleading, or for any error as to any matter of procedure, unless, after an examination of the entire cause, including the evidence, the court shall be of the opinion that the error complained of has resulted in a miscarriage of justice." For reasons explained below, we agree with the Court of Appeal and affirm its judgment.
*1103 FACTUAL AND PROCEDURAL BACKGROUND
In February 2006, plaintiff F.P. sued defendant Joseph Monier for acts of sexual **1077 battery that defendant allegedly committed in 1990 and 1991, when plaintiff was 10 years old and defendant was 17 years old. Plaintiff also sued defendant's parents for negligence, alleging that they had failed reasonably to care for, supervise, direct, oversee, and protect her from defendant. Defendant filed an answer denying the allegations and asserting in part that others were at fault and that any liability should be apportioned among them.
Before trial, plaintiff settled her claim against defendant's parents. The rest of the action went to trial before the court. The evidence presented during that trial showed, among other things, that plaintiff's father also sexually abused plaintiff during the time period in question. Dr. Laurie Wiggen, a licensed clinical psychologist who treated plaintiff from September 2005 until December 2007, diagnosed plaintiff as having posttraumatic stress disorder and attributed it to the traumas resulting from the molestations by her father and defendant. Dr. Wiggen could not separate the harm done by defendant from that done by plaintiff's father, testifying that their conduct was "cumulatively impactful." Dr. Eugene Roeder, a licensed psychologist who evaluated plaintiff in July 2005, diagnosed plaintiff as suffering from major depression, an anxiety disorder, and posttraumatic stress disorder. Like Dr. Wiggen, Dr. Roeder could not distinguish the symptoms defendant had caused from those plaintiff's father had caused, but he testified that the molestation by plaintiff's father "was dramatically more traumatic than" the molestation by defendant because plaintiff's relationship with her father "was a much more central, basic relationship in her life" and "[h]er relationship with the [defendant] was more tangential."
The court issued a tentative decision on April 29, 2009, finding that defendant had committed the alleged acts and that his conduct was a substantial factor in causing plaintiff's injuries. The court indicated its intent to award damages in the amount of $305,096, consisting of $44,800 for lost income, *506 $10,296 for past and future medical expenses, and $250,000 for general noneconomic damages. The court instructed plaintiff's counsel to prepare a judgment. Later that day, defendant timely filed a request for a statement of decision requesting, as relevant here, that the court set forth "the basis upon which" it was awarding special damages, emotional distress damages, past and future medical expenses, and lost wages.
On May 1, 2009, plaintiff's counsel submitted a proposed judgment to the court. In an accompanying declaration, counsel explained: (1) he faxed a copy of the proposed judgment to defendant's counsel after trial on April 29, 2009, and was informed that defendant's counsel was no longer at that *1104 number; (2) the next day, April 30, he faxed a copy of the proposed judgment to the new fax number of defendant's counsel and left counsel a voicemail explaining that the trial judge, who had been visiting, "needed" the proposed judgment reviewed and signed "immediately" because the judge "was leaving Sacramento on May 1, 2009"; and (3) he did not hear from defendant's counsel and submitted the proposed judgment to the court the next day, May 1, 2009.
On May 1, 2009, the court signed the judgment without issuing a separate statement of decision. The judgment stated in relevant part: "After considering all of the evidence and testimony presented at trial it is hereby adjudged, determined and decreed that [defendant] molested his biological cousin, plaintiff [F.P.] numerous times when she was ten years old, including acts of unlawful penetration, sodomy, oral copulation of him and other lewd and lascivious acts. The conduct of Defendant ... is further found to be outrageous and a substantial factor in causing injuries to the Plaintiff. Defendant took advantage of the vulnerability of the Plaintiff due to her age. Plaintiff ... was injured as a proximate result of [defendant's] sexual assaults of her causing her to incur past and future medical/psychological treatment expenses of $10,296.00. Plaintiff lost income as a proximate result of [defendant's] sexual assaults of her in the amount of $48,800.00." The judgment ordered defendant to pay total damages of $305,096.00, which included general damages of $250,000 and special damages of $55,096.00.
Defendant appealed, arguing that the trial court had erred in failing to issue a statement **1078 of decision and that the error was reversible per se. According to defendant, without a statement of decision, it was unknown whether the trial court had apportioned general damages as the law required. The Court of Appeal found error, but disagreed that it was reversible per se. Article VI, section 13, the court held, precludes reversal absent a showing that the trial court's failure to issue a statement of decision regarding the issues defendant had specified "resulted in a miscarriage of justice." The error here, the court found, did not result in a miscarriage of justice because defendant had forfeited any right to apportionment of damages by failing to raise the issue at trial. Thus, the court concluded, the absence of a statement of decision on the issue of general noneconomic damages was of no consequence.
We granted review, limiting the issue to whether "a trial court's error in failing to issue a statement of decision upon a timely request" is "reversible per se." 2
The duty of a trial court in question here-to issue, upon the request of a party appearing at a court trial of a question of fact, "a statement of decision explaining the factual and legal basis for its decision as to each of the principal controverted issues at trial" ( § 632 )-reflects many years of statutory evolution. In 1851, the Legislature enacted section 180 of the Practice Act, which provided that "[u]pon the trial of an issue of fact by the Court, its decision shall be given in writing, and filed with the clerk, within ten days after the trial took place. In giving the decision, the facts found, and conclusions at law, shall be separately stated. Judgment upon the decision shall be executed accordingly." (Stats. 1851, ch. 5, § 180, pp. 78-79.) Ten years later, the Legislature added a provision stating that "[i]n cases tried by the court without a jury, no judgment shall be reversed for want of a finding, or for a defective finding, of the facts, unless exceptions be made in the court below to the finding, or to the want of a finding." (Stats. 1861, ch. 522, § 2, p. 589.) Five years after that, in 1866, the legislature combined these provisions into a single section that provided: "Upon a trial of issue of fact by the Court, judgment shall be entered in accordance with the finding of the Court, and the finding, if required by either party, shall be reduced to writing and filed with the Clerk. In the finding filed, the facts found and the conclusions of law shall be separately stated. In such cases no judgment shall be reversed on appeal for want of a finding in writing at the instance of any party who, at the time of the submission of the cause, shall not have requested a finding in writing, and had such request entered in the minutes of the Court ...." (Stats. 1865-1866, ch. 619, § 2, p. 844.)
In 1872, when the Legislature enacted the Code of Civil Procedure, it replaced these provisions with section 632 and former section 633. Section 632 provided: "Upon the trial of a question of fact by the Court, its decision must be given in writing and filed with the Clerk within twenty days after the cause is submitted for decision, and unless the decision is filed within that time the action must again be tried." Former section 633 provided: "In giving the decision, the facts found and conclusions of law must be separately stated. Judgment upon the decision must be entered accordingly." (Repealed by Stats. 1933, ch. 744, § 198, p. 1904.) Two years later, the Legislature amended section 632 by (1) extending the time for filing the decision from 20 to 30 days, and (2) deleting the clause stating that "the action must again be tried" if the decision was not filed within the specified time. (Code Amendments 1873-1874, § 79, p. 312.)
In 1933, the Legislature combined these separate provisions into a single section 632, which provided in relevant part: "In superior courts and municipal courts, upon the trial of a question of fact by the court, its decision must *1106 be given in writing and filed with the clerk within thirty days after the cause is submitted for decision. In giving the decision, the facts found and the conclusions of law **1079 must be separately stated. ... [¶] Judgment upon the decision must be entered accordingly." (Stats. 1933, ch. 744, § 105, p. 1876.) In 1959, the Legislature added a sentence to the section stating that "[t]he statement of facts found shall fairly disclose the court's determination of all issues of fact in the case." (Stats. 1959, ch. 637, § 1, p. 2613.)
The Legislature next substantively revised the section in 1968. As here relevant, the amended section provided: "In superior courts, upon [the] trial [of a question of fact by the court,] the court shall announce *508 its intended decision. Within the time after such announcement permitted by rules of the Judicial Council, any party appearing at the trial may request findings. Unless findings are requested, the court shall not be required to make written findings and conclusions. ... [¶] ... [¶] Where findings are required, they shall fairly disclose the court's determination of all issues of fact in the case." (Stats. 1968, ch. 716, § 1, pp. 1417-1418.)
The current version of section 632 began to take shape in 1981, when the Legislature amended the statute to provide: "In superior ... courts, ... upon the trial of a question of fact by the court, written findings of fact and conclusions of law shall not be required. Upon the request of any party appearing at the trial, made within 10 days after the court announces a tentative decision, ... the court shall issue a statement of decision explaining the factual and legal basis for its decision as to each of the principal controverted issues at trial. The request for a statement of decision shall specify those controverted issues as to which the party is requesting a statement of decision. ... [¶] The statement of decision shall be in writing, unless the parties appearing at trial agree otherwise." (Stats. 1981, ch. 900, § 1, p. 3425.)
In 1998, the Legislature slightly reordered this language so that the statute provided in relevant part, as it does today, as follows: "In superior ... courts, upon the trial of a question of fact by the court, written findings of fact and conclusions of law shall not be required. The court shall issue a statement of decision explaining the factual and legal basis for its decision as to each of the principal controverted issues at trial upon the request of any party appearing at the trial. The request must be made within 10 days after the court announces a tentative decision .... The request for a statement of decision shall specify those controverted issues as to which the party is requesting a statement of decision. ... [¶] The statement of decision shall be in writing, unless the parties appearing at trial agree otherwise." (Stats. 1998, ch. 931, § 84, p. 6442.)
As this discussion demonstrates, except between 1872 and 1874, when section 632 stated that "the action must again be tried" upon a trial court's *1107 failure to file its decision within the specified time, the statutes have not specified the consequences of noncompliance. They have, however, at times expressly precluded reversal for a failure to make findings if the appealing party did not object to the failure in the trial court or file a written request for findings and have it entered in the court's minutes.
Moreover, at least since 1851, our generally applicable statutes have precluded reversal for errors in civil cases absent prejudice . Section 71 of the 1851 Practice Act provided that "[t]he Court shall, in every stage of an action, disregard any error or defect in the pleadings, or proceedings, which shall not affect the substantial rights of the parties; and no judgment shall be reversed or affected by reason of such error or defect." (Stats. 1851, ch. 5, § 71, p. 61.) In 1872, the Practice Act provision became section 475, which initially provided: "The Court must, in every stage of an action, disregard any error or defect in the pleadings or proceedings which does not affect the substantial rights of the parties, and no judgment shall be reversed or affected by reason of such error or defect." Since 1897, when the Legislature last amended it, section 475 has provided: "The court must, in every stage of an action, disregard any error, improper ruling, instruction, or defect, in the pleadings or proceedings which, in the opinion of said court, does not affect the substantial rights of the parties. No judgment, decision, or *509 decree shall be reversed or affected by reason of any error, ruling, instruction, or defect, unless it shall appear from the record that such error, ruling, instruction, or defect was prejudicial, and also **1080 that by reason of such error, ruling, instruction, or defect, the said party complaining or appealing sustained and suffered substantial injury, and that a different result would have been probable if such error, ruling, instruction, or defect had not occurred or existed. There shall be no presumption that error is prejudicial, or that injury was done if error is shown." (Stats. 1897, ch. 47, § 1, p. 44.)
More importantly, for over 100 years, the California Constitution has also expressly precluded reversal absent prejudice. In 1911, California voters added former article VI, section 4 ½ to the state Constitution, which provided: "No judgment shall be set aside, or new trial granted in any criminal case on the ground of misdirection of the jury or the improper admission or rejection of evidence,
or for error as to any matter of pleading or procedure
, unless, after an examination of the entire cause including the evidence, the court shall be of the opinion that the error complained of has resulted in
a miscarriage of justice
." (Italics added.) Three years later, the voters expanded the provision's reach to civil cases by changing the phrase "in any criminal case" to "in any case." (See
Vallejo etc. R.R. Co. v. Reed Orchard Co.
(1915)
As we have explained, article VI, section 13 generally "prohibits a reviewing court from setting aside a judgment due to trial court error unless it finds the error prejudicial." (
People v. Chun
(2009)
Based on these provisions, we agree with the Court of Appeal that a trial court's error in failing to issue a requested statement of decision is not reversible per se, but is subject to harmless error review. Nothing in the language of section 632 as it now stands establishes a rule of automatic reversal, and nothing in the statute's legislative history suggests the Legislature intended the current statute to have that effect. On the contrary, the statute's evolution-specifically, the deletion, after only two years, of language
requiring
that an action "again be tried" for noncompliance-cuts against reading the statute in that manner. Thus, there is no statutory directive to override section 475, which, as explained above, precludes reversal absent prejudice. Nor is there any basis for construing section 632 to conflict with the
**1081
constitutional mandate of article VI, section 13, which precludes reversal "for any error as to any matter of procedure, unless, after an examination of
*1109
the entire cause, including the evidence, the court shall be of the opinion that the error complained of has resulted in a miscarriage of justice." Although in a particular case a trial court's failure to issue a requested statement of decision may amount to a structural defect in the trial mechanism that defies evaluation for harmlessness, we cannot say this type of error "fall[s] into the rare class of mistakes that are reversible per se." (
People v. Sivongxxay
,
supra
,
Defendant argues that, notwithstanding the relevant constitutional and statutory provisions, a rule of automatic reversal is dictated by our precedents. "This court," he asserts, "has stated almost since statehood that a judgment must be reversed for failure to provide required findings, and has restated the rule time and again since" the adoption of section 475 in 1872, the extension of article VI, section 4 ½ to civil cases in 1914, and the adoption of article VI, section 13 in 1966.
Defendant is correct that many of our decisions suggest a rule of automatic reversal. For example, in possibly our first decision on the subject, after quoting section 180 of the Practice Act, we reversed a judgment and remanded for a new trial, stating: "We are of opinion that this law is not merely directory, and we have no right to destroy or impair its efficacy. It is intended by it, that the decision of the Court shall be the basis of the judgment in the same manner as the verdict of a jury; and it follows, that without such decision the judgment cannot stand." (
Russel v. Armador
(1852)
However, our decisions are not as uniform as defendant argues. In
McQuillan v. Donahue
(1874)
In several decisions that predated the 1914 addition to our Constitution of a "miscarriage of justice" provision for civil cases (former article VI, section 4 ½), we required, based on section 475, a showing of prejudice to justify reversal. In
McCourtney v. Fortune
(1881)
Ten years after
McCourtney
, in
Winslow v. Gohransen
(1891)
We began grounding the prejudice inquiry in the state Constitution soon after the 1914 amendment to former article VI, section 4 1//2 that made its "miscarriage of justice" standard applicable in civil cases. In
Maloof v. Maloof
(1917)
The significance of this analytical omission is clear from our decision in
Cahill
,
supra
, 5 Cal.4th at page 509,
In
Soule
,
supra
, 8 Cal.4th at page 574,
In
People v. Breverman
(1998)
In light of these decisions, the precedents on which defendant relies, which fail to mention, let alone discuss, the constitutional harmless error provision, do not offer a sound basis for a rule of automatic reversal. Because article VI, section 13 of the California Constitution explicitly identifies "any error as to any matter of procedure" (
ibid
. ) as error that warrants reversal only if a miscarriage of justice would otherwise result, here, as in
Soule
and
Cahill
, its "express terms ... weigh against automatic reversal" (
Soule
,
supra
, 8 Cal.4th at p. 579,
In addition to relying on precedent, defendant argues that, because a trial court's error in failing to issue a statement of decision "impairs" the "fundamental right[ ]" to a trial, "which necessarily includes the right to a decision on the matters in dispute," "[i]t is a 'structural defect' in the trial proceedings" that is reversible per se. According to defendant, in a nonjury trial, a court's "findings are, in substance, a special verdict," and "the statement of decision is the court's final decision." It follows, defendant argues, that a failure to issue a statement of decision constitutes "a failure to decide the case," and that "[e]ntering judgment without issuing a required statement of decision is tantamount to" entering judgment in a jury trial *1114 "without having the jury render a verdict." Defendant also argues that a court's error in failing to issue a statement of decision " 'defies evaluation for harmlessness' "; because a court is free to revise its statement of intended decision, when it enters judgment without issuing a statement of decision, "it is impossible to speculate what the result might have been had the judge complied with the mandate of [ section] 632."
In light of our precedent and the terms of the relevant statutes, we reject defendant's arguments. Regarding our precedent, as noted above, in
Winslow
,
supra
,
Also relevant are decisions involving the adequacy of factual findings and legal conclusions contained in the judgment itself. As detailed earlier, before the 1960's, the relevant statutes required that a court's findings of facts and conclusions of law "be separately stated" in writing, and that "[j]udgment upon the decision ... be entered accordingly." (See Stats. 1959, ch. 637, § 1,
*1115
p. 2613; Stats. 1968, ch. 716, § 1, pp. 1417-1418.) Notwithstanding this wording, we have consistently held that factual findings and legal conclusions
in the judgment
satisfied the statutory requirements. (
Estate of Janes
(1941)
Here, as previously explained, the judgment set forth the following: (1) defendant molested plaintiff numerous times when she was 10 years old, including acts of unlawful penetration, sodomy, oral copulation of him and other lewd and lascivious acts; (2) his conduct was outrageous and a substantial factor in causing plaintiff's injuries; (3) he took advantage of plaintiff's vulnerability due to her age; (4) plaintiff was injured as a proximate result of defendant's conduct, causing her to incur past and future medical/psychological treatment expenses of $10,296.00; and (5) plaintiff lost income as a proximate result of defendant's conduct in the amount of $48,800.00. Given these findings, defendant is incorrect that the trial court's failure to issue a separate statement of decision constituted a failure to decide the case.
Finally, defendant's argument, which depends largely on cases applying the language of earlier provisions, is inconsistent
*516
with aspects of the relevant statutes as they stand today. Under section 632 as it was enacted in 1872, courts trying issues of fact were
required
to issue written findings of facts and conclusions of law in
all
cases, even if not requested. Beginning in 1959, the written findings had to "disclose the court's determination of
all
issues of fact in the case." (Stats. 1959, ch. 637, § 1, p. 2613, italics added.) However, since section 632 was amended in 1981, courts must issue a statement of decision "explaining the factual and legal basis for its decision" only
if
a party makes a timely request, and must address in that statement only the "controverted issues" a party "specif[ies]" in the request. (
Harvard Investment Co. v. Gap Stores
,
Inc.
(1984)
Of course, the more issues specified in a request for a statement of decision and left unaddressed by a court's failure to issue a statement, the "more difficult, as a practical matter, [it may be] to establish harmlessness." (
People v. Mil
(2012)
It is true that, in this case, the correct procedure was not followed before the court signed and entered the judgment. Defendant did not have the requisite time to file objections to the proposed judgment before the court signed and entered the judgment.
3
However, citing our Constitution's "miscarriage of justice" provision, we have long held that similar procedural errors are subject to harmless error review. (
Miller v. Murphy
(1921)
For reasons stated above, we affirm the Court of Appeal's judgment.
We Concur:
CANTIL-SAKAUYE, C. J.
CORRIGAN, J.
LIU, J.
CUÉLLAR, J.
KRUGER, J.
HUMES, J. *
All further unlabeled statutory references are to the Code of Civil Procedure.
Given this limitation, we express no opinion regarding the Court of Appeal's conclusion that the error here was, in fact, harmless.
If a party timely requests a statement of decision, a proposed statement of decision and judgment must be prepared and served on all parties by either the court or a party the court designates. (Cal. Rules of Court, rule 3.1590(f).) "Any party may, within 15 days after the proposed statement of decision and judgment have been served, serve and file objections to the proposed statement of decision or judgment." ( Id. , rule 3.1590(g).) Here, the court signed the proposed judgment two days after plaintiff's counsel first attempted to fax it to defendant's counsel.
Presiding Justice of the Court of Appeal, First Appellate District, Division One, assigned by the Chief Justice pursuant to article VI, section 6 of the California Constitution.
Reference
- Full Case Name
- F.P., Plaintiff and Respondent, v. Joseph MONIER, Defendant and Appellant.
- Cited By
- 118 cases
- Status
- Published