People v. Gallardo
People v. Gallardo
Opinion
*123 Defendant Sulma Marilyn Gallardo was convicted of various offenses including second degree robbery and transportation of a controlled substance. Although her offenses would ordinarily be punishable by a maximum term of imprisonment of six years, the prosecution sought an increased sentence on the ground that defendant had previously been convicted of a "serious felony" under Penal Code section 667, subdivision (a), that was also a strike for purposes of the "Three Strikes" law. The conviction in question was for a crime-assault with a deadly weapon or with force likely to produce great bodily injury, in violation of Penal Code former section 245, subdivision (a)-whose statutory definition sweeps more broadly than the definition of *381 "serious felony": An assault conviction qualifies as a serious felony if the assault was committed with a deadly weapon, but not otherwise. After reviewing the transcript of the preliminary hearing in defendant's assault case, the trial court determined that defendant did, in fact, commit the assault with a deadly weapon, and sentenced defendant to a term of 11 years in prison.
Under the Sixth Amendment to the United States Constitution, as interpreted in
Apprendi v. New Jersey
(2000)
We considered a similar issue more than a decade ago, in
People v. McGee
(2006)
Defendant argues that day has now arrived. Specifically, she contends that the approach approved in
McGee
should be reconsidered in light of the high court's recent decisions in
**57
Descamps v. United States
(2013)
We agree that it is time to reconsider
McGee
. Although the holdings of
Descamps
and
Mathis
both concern the proper interpretation of a federal statute not at issue here, their discussions of background Sixth Amendment principles pointedly reveal the limits of a judge's authority to make the findings necessary to characterize a prior conviction as a serious felony. The cases make clear that when the criminal law imposes added punishment based on findings about the facts underlying a defendant's prior conviction, "[t]he Sixth Amendment contemplates that a jury-not a sentencing court-will find such facts, unanimously and beyond a reasonable doubt." (
Descamps
,
supra
, 133 S.Ct. at p. 2288.) While a sentencing court is permitted to identify those facts that were already necessarily found by a prior jury in rendering a guilty verdict or admitted by the defendant in entering a guilty plea, the court may not rely on its own independent review of record evidence to determine what conduct "realistically" led to the defendant's conviction. Here, the trial court violated defendant's Sixth Amendment right to a jury trial when it found a disputed fact about the
*125
conduct underlying defendant's
*382
assault conviction that had not been established by virtue of the conviction itself. We disapprove
People v. McGee
,
supra
,
I.
In April 2014, a jury found defendant guilty of robbery ( Pen. Code, § 211 ), being an accessory after the fact ( id. , § 32), and transportation of marijuana ( Health & Saf. Code, § 11360, subd. (a) ). The jury also found true an allegation that a principal was armed with a firearm during the commission of the robbery ( Pen. Code, § 12022, subd. (a)(1) ).
The criminal information alleged that defendant had a 2005 conviction for assault with a deadly weapon or with force likely to produce great bodily injury (Pen. Code, former section § 245, subd. (a)(1)).
1
It further alleged that this conviction qualified as a "serious felony" conviction for purposes of Penal Code section 667, subdivision (a)(1). Under that provision, a criminal defendant who commits a felony offense after a prior conviction for a "serious felony" is subject to a five-year sentence enhancement. A "serious felony" conviction is also a prior strike for purposes of the Three Strikes law, which requires a second-strike defendant to be sentenced to double the otherwise applicable prison term for his or her current felony conviction. ( Pen. Code, §§ 667, subds. (b) - (i), 1170.12, subds. (a) - (d).) The term "serious felony" is defined to include "assault with a deadly weapon." ( Pen. Code, § 1192.7, subd. (c)(31).) If defendant committed assault with a deadly weapon, the prior conviction counted as a strike; if she committed assault by any means of force likely to produce great bodily injury, it did not. (
People v. Delgado
(2008)
For some time, California cases have held that such determinations are to be made by the court, rather than by the jury, based on a review of the record of the prior criminal proceeding. (
McGee
,
supra
, 38 Cal.4th at p. 685,
The Court of Appeal reversed the accessory conviction but otherwise affirmed. It rejected defendant's argument that the trial court's finding that she committed her prior assault offense with a deadly weapon abridged her Sixth Amendment right to have a jury, unanimously and beyond a reasonable doubt, find the facts that made her prior assault conviction a serious felony. The Court of Appeal explained that defendant had waived her right to a jury trial on the prior conviction allegations, and, in any event, the trial court's ruling was consistent with the rule approved in McGee . The court further concluded that nothing in the high court's recent decision in Descamps had called into question whether a trial court may consult a preliminary hearing transcript, as the trial court did here, to determine the nature of a prior conviction.
In contrast to the court below, several Courts of Appeal have concluded that the approach approved in
McGee
is incompatible with the understanding of the reach of the Sixth Amendment reflected in the United States Supreme Court's opinions in
Descamps
and
Mathis.
(See
People v. Eslava
(2016)
II.
Before we turn to the merits, we must first consider a threshold matter. The Attorney General argues that defendant may not now be heard to object to the trial court's decision on Sixth Amendment grounds because she (a) waived *127 her right to a jury trial on the prior conviction allegations, and (b) failed to raise her constitutional objection in the trial court. We address each argument in turn.
We begin with the jury trial waiver. At the time of defendant's trial, California law made clear that a defendant's right to a jury trial extended only to "the question of whether or not the defendant has suffered the prior conviction." ( Pen. Code, § 1025, subd. (b) ; see
It is a separate question whether defendant forfeited her Sixth Amendment challenge by failing to raise the issue in the trial court. Although defendant did object to the trial court's consideration of the preliminary hearing transcript on evidentiary grounds, she did not raise the Sixth Amendment argument she presses here. But that is not always the end of the matter. We have previously " 'excused [ ] failure[s] to object [on a particular ground] where to require defense counsel to raise [that] objection "would place an unreasonable burden on defendants to anticipate unforeseen changes in the law and encourage fruitless objections in other situations where defendants might hope that an established rule ... would be changed on appeal." ' " (
People v. Williams
(1976)
But we need not resolve that question, for the simple reason that the Attorney General did not make his forfeiture argument to the Court of Appeal and the Court of Appeal did not address it. Forfeiture is not a jurisdictional doctrine, and we are under no obligation to address a forfeiture argument that was neither raised nor addressed below. (Cf.
People v. Braxton
(2004)
III.
A.
The Sixth Amendment to the United States Constitution, together with the Fourteenth Amendment, "entitle[s] a criminal defendant to 'a jury determination that [he] is guilty of every element of the crime with which he is charged, beyond a reasonable doubt.' " (
Apprendi
,
supra
, 530 U.S. at p. 477,
*385
(
Id.
at pp. 476-490,
**60
In the wake of
Apprendi
, questions arose about the scope of the so-called
Almendarez-Torres
exception to the general Sixth Amendment rule forbidding judicial factfinding in criminal cases. This court addressed the issue in
*129
McGee
,
supra
,
The defendant contended that the trial court's determination violated the Sixth Amendment as it had been interpreted in
Apprendi.
We rejected the argument. Before
Apprendi
, we explained, our cases had held that such determinations are to be made by judges, rather than juries, on the basis of the record of the prior criminal proceeding. (
McGee
,
supra
, 38 Cal.4th at p. 691,
We concluded in
McGee
that the approach adopted in these prior cases was not inconsistent with
Apprendi
.
Apprendi
, we noted, preserved the
Almendarez-Torres
exception
**61
for "the fact of a prior conviction" (
Apprendi
,
supra
, 530 U.S. at p. 490,
While
McGee
was pending in this court, the United States Supreme Court issued its decision in
Shepard v. United States
(2005)
Writing for a plurality of the members of the court, Justice Souter invoked constitutional considerations as reinforcement for the modified categorical approach. To permit a judge to "make a disputed finding of fact about what the defendant and state judge must have understood as the factual basis of the prior plea ... raises the concern underlying ...
Apprendi
: the Sixth and Fourteenth Amendments guarantee a jury standing between a defendant and the power of the State, and they guarantee a jury's finding of any disputed fact essential to increase the ceiling of a potential sentence." (
Shepard
,
supra
, 544 U.S. at p. 25,
We acknowledged in
McGee
that "the
Shepard
decision may suggest that a majority of the high court" would view California's
**62
existing approach to the permissible scope of judicial factfinding as "presenting a serious constitutional issue." (
McGee
,
supra
, 38 Cal.4th at p. 708,
Justice Kennard dissented. In her view, when a trial court examines the record of conviction in an attempt to discern " 'whether the conviction realistically may have been based on
conduct
that would not constitute a
*132
felony under California law,' " it is necessarily making a determination that properly belongs to a jury, not a judge. (
McGee
,
supra
, 38 Cal.4th at pp. 714-715,
B.
Much as the court anticipated in McGee , Shepard was not the high court's final word on the scope of the Almendarez-Torres exception to the Apprendi rule. Some 10 years later, in Descamps and Mathis , the high court again addressed the issue. The high court's discussions are persuasive evidence that the Almendarez-Torres exception is narrower than McGee had supposed.
The question in Descamps concerned whether a California burglary conviction *388 qualified as a generic burglary conviction for purposes of the ACCA. ( Descamps , supra , 133 S.Ct. at pp. 2281-2282.) Because the California burglary statute, Penal Code section 459, does not require proof of unlawful or unprivileged entry, it proscribes a broader range of conduct than generic burglary. ( Descamps , at pp. 2285-2286.) To determine whether the defendant's section 459 conviction nevertheless qualified as a burglary conviction for ACCA purposes, the trial court reviewed a transcript of the defendant's plea colloquy, in which the prosecutor stated that "the crime ' "involve[d] the breaking and entering of a grocery store." ' " ( Id. at p. 2282.) The defendant had not objected to that statement before entering his plea, and the trial court relied on it in concluding that the burglary conviction did, in fact, involve an unlawful entry and therefore was a generic burglary conviction for purposes of the federal sentence enhancement. ( Ibid. ) The court of appeals affirmed, but the high court reversed. As in Shepard , the question before the high court was one of statutory interpretation: May a sentencing court apply the modified categorical approach when a defendant was convicted under an " 'indivisible' statute-i.e., one not containing alternative elements-that criminalizes a broader swath of conduct than the relevant generic offense" under the ACCA? ( Id. at p. 2281.) The high court answered that question in the negative. It explained that because California's burglary statute is not divided into lawful entry and unlawful entry alternatives, the prosecutor's reference to defendant's breaking and entering was simply gratuitous; no legal consequence flowed from the fact that defendant may have broken and entered the establishment. ( Id. at pp. 2285-2286.) Such extraneous facts, the high court ruled, could play no role in the sentencing court's efforts to determine whether the conviction qualified as an ACCA predicate offense. ( Id. at p. 2286.) *133 Although this holding was grounded in the court's ACCA jurisprudence, the court also drew on Sixth Amendment principles. The lower court's decisions, the high court explained, failed to consider "the categorical approach's Sixth Amendment underpinnings." ( Descamps , supra , 133 S.Ct. at p. 2288.) The court of appeals had sanctioned an approach that permits trial courts "to discern what a trial showed, or a plea proceeding revealed, about the defendant's underlying conduct." ( Ibid. ) But "[t]he Sixth Amendment contemplates that a jury-not a sentencing court-will find such facts, unanimously and beyond a reasonable doubt. And the only facts the court can be sure the jury so found are those constituting elements of the offense-as distinct from amplifying but legally extraneous circumstances." ( Ibid. )
In
Mathis
,
supra
,
In so holding, the court grounded its decision in its line of cases interpreting the ACCA, but once again drew on Sixth Amendment principles to bolster its analysis. The court concluded that allowing courts to look to "old record materials" to determine whether a defendant had burgled a building or a vehicle would "raise serious Sixth Amendment concerns" because, under the Sixth Amendment, "a judge cannot go beyond identifying the crime of conviction to explore the manner in which the defendant committed that offense. [Citations.] He is prohibited from conducting such an inquiry himself; and so too he is barred from making a disputed determination about 'what the defendant and state judge must have understood as the factual basis *134 of the prior plea' or 'what the jury in a prior trial must have accepted as the theory of the crime.' " ( Mathis , supra , 136 S.Ct. at pp. 2250, 2252.) 3
C.
The high court's description of the Sixth Amendment principle at work in these cases confirms what the dissenting opinion in McGee had already discerned. In short: "The Sixth Amendment contemplates that a jury-not a sentencing court-will find" the facts giving rise to a conviction, when those facts lead to the imposition of additional punishment under a recidivist sentencing scheme. ( Descamps , 133 S.Ct. at p. 2288.) This means that a sentencing court may identify those facts it is "sure the jury ... found" in rendering its guilty verdict, or those facts as to which the defendant waived the right of jury trial in entering a guilty plea. ( Ibid. ) But it may not "rely on its own finding" about the defendant's underlying conduct "to increase a defendant's maximum sentence." ( Id. at p. 2289.)
We are persuaded that the approach sanctioned in McGee is no longer tenable insofar as it authorizes trial courts to make findings about the conduct that "realistically" gave rise to a defendant's prior conviction. The trial court's role is limited to determining the facts that were necessarily found in the course of entering the conviction. To do more is to engage in "judicial factfinding that goes far beyond the recognition of a prior conviction." ( Descamps , supra , 133 S.Ct. at p. 2280.)
The Attorney General resists this conclusion. He argues that the constitutional analysis in Descamps and Mathis is no more authoritative than the constitutional analysis in Shepard , which we had considered, and dismissed, in McGee . We agree with him to this extent: It is true that Descamps and Mathis , like Shepard , were decided on statutory, rather than constitutional, grounds. This is to say, the high court did not hold that the Sixth Amendment, *135 as opposed to the federal ACCA, forbids application of the so-called modified categorical approach when **64 the statute of conviction has a single, "indivisible" set *390 of elements ( Descamps ) or when it sets out alternative means, rather than alternative elements constituting the same crime ( Mathis ). And indeed, as counsel confirmed at oral argument, defendant here does not argue that California courts are constitutionally compelled to emulate the high court's version of the categorical approach in all of its particulars.
But the high court's interpretation of the relevant federal statute was informed by an understanding of certain basic, background Sixth Amendment principles, and the court's explication of those principles was both considered and unequivocal: The jury trial right is violated when a court adds extra punishment based on factfinding that goes "beyond merely identifying a prior conviction" by "tr[ying] to discern what a trial showed, or a plea proceeding revealed, about the defendant's underlying conduct." ( Descamps , supra , 133 S.Ct. at p. 2288.) We are persuaded, and we will follow the court's guidance.
The Attorney General also argues that, to the extent that
Descamps
and
Mathis
illuminate the relevant Sixth Amendment principles, those principles should be understood as confined to the administration of a sentencing scheme that prescribes additional punishment based on the
elements
of the crime of which the defendant was convicted, as the high court has described the ACCA, rather than a scheme that characterizes the offense based on the underlying
conduct
that gave rise to the conviction, as this court has described California's Three Strikes law. (Compare
Descamps
,
supra
, 133 S.Ct. at p. 2287, citing
Taylor
,
supra
, 495 U.S. at p. 600,
*136
The judicial factfinding permitted under the
Almendarez-Torres
exception does not extend "beyond the recognition of a prior conviction." (
Descamps
,
supra
, 133 S.Ct. at p. 2288.) Consistent with this principle, and with the benefit of further explication by the high court, we now hold that a court considering whether to impose an increased sentence based on a prior qualifying conviction may not determine the "nature or basis" of the prior conviction based on its independent conclusions about what facts or conduct "realistically" supported the conviction. (
McGee
,
supra
, 38 Cal.4th at p. 706,
Here, the trial court engaged in a form of factfinding that strayed beyond the bounds of the Sixth Amendment. Defendant had entered a plea of guilty to assault under a statute that, at the time, could be violated by committing assault either with a "deadly weapon" or "by any means of force likely to produce great bodily injury." (Pen. Code, former § 245, subd. (a)(1).) Defendant did not specify that she used a deadly weapon when entering her guilty plea. The trial court's sole basis for concluding that defendant used a deadly weapon was a transcript from a preliminary hearing at which the victim testified that defendant had used a knife during their altercation. Nothing in the record shows that defendant adopted the preliminary hearing testimony as supplying the factual basis for her guilty plea.
The Court of Appeal concluded this was permissible under Descamps because that decision allows trial courts to "consult 'a limited class of documents, such as indictments and jury instructions,' " in order to identify *137 which elements of the statute "formed the basis of the prior conviction." Because "nothing in Descamps excludes the preliminary hearing transcript from that class of documents," the court concluded that the sentencing court properly used the transcript to determine that defendant's conviction was based on assault with a deadly weapon and thus qualified as a serious felony within the meaning of the Three Strikes law.
While
Descamps
does permit courts to rely on certain documents to identify the precise statutory basis for a prior conviction, the documents listed in
Descamps
-"indictments and jury instructions" (
Descamps
,
supra
, 133 S.Ct. at p. 2279 )-differ from the preliminary hearing transcript here in a meaningful way. An indictment or jury instructions might help identify what facts a jury necessarily found in the prior proceeding. (See
Shepard
,
supra
, 544 U.S. at pp. 20-21,
By relying on the preliminary hearing transcript to determine the "nature or basis" of defendant's prior conviction, the sentencing court engaged in an impermissible inquiry to determine " 'what the defendant and state judge must have understood as the factual basis of the prior plea.' " ( Descamps , supra , 133 S.Ct. at p. 2284.) Because the relevant facts were neither *392 found by a jury nor admitted by defendant when entering her guilty plea, they could not serve as the basis for defendant's increased sentence here.
V.
The final question concerns next steps. The Attorney General argues that we should remand the case to permit the trial court to conduct a new hearing on the prior conviction allegations. On remand, the Attorney General contends, the inquiry would be "confined to the record of the prior plea proceedings," and the trial court would only "mak[e] a determination about what facts appellant necessarily admitted in entering her plea," without "relitigat[ing] the prior offense." In the alternative, the Attorney General argues that the case should be remanded for a jury trial on the prior *138 conviction allegations. Defendant concedes the first remedy is appropriate; she vigorously opposes the jury trial alternative.
The Attorney General's request for a limited remand is reasonable, and we will grant it. We today hold that defendant's constitutional right to a jury trial sweeps more broadly than our case law previously recognized: While a trial court can determine the fact of **66 a prior conviction without infringing on the defendant's Sixth Amendment rights, it cannot determine disputed facts about what conduct likely gave rise to the conviction. This is a development the parties apparently did not anticipate at the time this case was tried. (See pt. II, ante .)
We also agree with the parties that the appropriate course is to remand to permit the trial court to make the relevant determinations about what facts defendant admitted in entering her plea. Our precedent instructs that determinations about the nature of prior convictions are to be made by the court, rather than a jury, based on the record of conviction. (See
McGee
,
supra
, 38 Cal.4th at p. 695,
Justice Chin's concurring and dissenting opinion takes the view that we can instead reconcile
Guerrero
with the Sixth Amendment right to a jury trial by simply reassigning the task of reviewing the record of conviction to a jury, as opposed to a judge. This argument ventures beyond the Attorney General's own submission; although the Attorney General's second-choice option is to convene a jury trial, the Attorney General does not ask that the jury be limited to reviewing the record of conviction. And not without reason, because such a proceeding-in which a jury would be impaneled for the sole purpose of reading the preliminary hearing transcript in defendant's prior assault case-would raise significant constitutional concerns under
Apprendi
. The basic rationale of
Apprendi
is that facts that are used to increase the defendant's maximum possible sentence are the functional equivalent of elements of the offense, and they must be proved in the same way: i.e., at a trial before a jury, and beyond a reasonable doubt. (
Apprendi
,
supra
, 530 U.S. at pp. 476, 490,
We thus remand the case, as both parties appear to acknowledge we should, to permit the People to demonstrate to the trial court, based on the record of the prior plea proceedings, that defendant's guilty plea encompassed a relevant admission about the nature of her crime.
*140 VI.
We reverse the judgment of the Court of Appeal and remand for a new determination on the prior conviction allegations in accordance with this opinion.
*394 We Concur:
Cantil-Sakauye, C. J.
Corrigan, J.
Liu, J.
Cuéllar, J.
Hoffstadt, J. *
Chin, J.
I agree with much of the majority opinion. I agree that defendant has not waived or forfeited her contentions. (Maj. opn.,
ante
, at 226 Cal.Rptr.3d at pp. 383-385, 407 P.3d at pp. 58-59.) I also agree that under the rationale of
Descamps v. United States
(2013)
I disagree, however, with the majority's remedy. It remands for a new, and very limited, court trial at which the court will not be permitted to engage in factfinding. (Maj. opn., ante , at 226 Cal.Rptr.3d at pp. 392-393, 407 P.3d at pp. 65-67.) But the remand should be for a jury trial. The proper remedy for a violation of defendant's jury trial right is to give her that jury trial.
The difference between remanding for a court trial and remanding for a jury trial is critical. As the majority concludes, and I agree, the court may not engage in factfinding. Doing so invades the jury's province. But the jury
may
engage in factfinding. That is what juries do. As the majority explains, "when the criminal law imposes added punishment based on findings about the facts underlying a defendant's prior conviction, '[t]he Sixth Amendment contemplates that a jury-not a sentencing court-will find such facts, unanimously and beyond a reasonable doubt.' " (Maj. opn.,
ante
, at 226 Cal.Rptr.3d at p. 381, 407 P.3d at p. 57, quoting
Descamps
,
supra
,
It has long been settled that the trier of fact-it used to be the court but now must be
**68
the jury-may "look to the record of the conviction-
but no
*141
further
" to determine the conduct underlying the conviction. (
People v. Guerrero
(1988)
On remand, the jury should be allowed to do the same thing the court did and, if it so finds unanimously and beyond a reasonable doubt, reach the same result-that defendant's prior conviction was based on assault with a deadly weapon and is thus a strike. Remanding for another court trial, but without the ability to make factual findings, improperly precludes this possibility.
*395
As the majority recognizes, we have interpreted California's recidivist statutes differently than the statutory scheme at issue in
Descamps,
Both
Descamps
and
Mathis
make clear that a conduct-based approach is permissible. (
Descamps
,
supra
, 570 U.S. at p. ----, [133 S.Ct. at p. 2287] ["If Congress had wanted to increase a sentence based on the facts of a prior offense, it presumably would have said so; other statutes, in other contexts, speak in just that way," citing
Nijhawan v. Holder
(2009)
*142
In
Nijhawan
, the high court held that an immigration statute "does not refer to an element of the fraud or deceit crime [the crime at issue]. Rather it refers to the particular circumstances in which an offender committed a (more broadly defined) fraud or deceit crime on a particular occasion." (
Nijhawan
,
supra
, 557 U.S. at p. 32,
But
Hayes
was a
criminal
prosecution. An indictment charged the defendant with "possessing firearms after having been convicted of a misdemeanor crime of domestic violence." (
Hayes
,
supra
, 555 U.S. at p. 419,
**69
(
Id
. at p. 421,
In
Hayes
, after the defendant's motion to dismiss the indictment was denied, he "entered a conditional guilty plea and appealed." (
Hayes
,
supra
, 555 U.S. at p. 420,
Mathis and Descamps require us now to have a jury review the record of conviction to determine whether the conviction was based on conduct that qualifies it as a strike. But those cases do no more. They do not affect the rest of our longstanding jurisprudence. A jury may review the record of conviction, including the transcript of the preliminary hearing, to determine whether defendant's prior conviction was based on assault with a deadly weapon.
*143
Other courts have remanded for a jury trial in similar circumstances. In
People v. Eslava
(2016)
Two other recent decisions also remanded for a jury trial in similar circumstances. (
People v. McCaw
(2016)
As the majority notes, two recent cases did not remand for a jury trial or, indeed, for any trial. (Maj. opn.,
ante
, at 226 Cal.Rptr.3d at p. 393, fn. 6, 407 P.3d at p. 67, fn. 6.) Those cases simply reverse or strike the conviction at issue. (
People v. Navarette
(2016)
The majority remands for a court trial apparently due to the way this particular case has been litigated. If so, that presumably would permit a jury trial in another case that was litigated differently. In that *397 event, although this defendant will win by avoiding jury factfinding, presumably, in other cases, the defendants should receive the jury trial due them, complete with factfinding based on the record of conviction.
The majority also seems to base its refusal to order a jury trial on the belief that "it **70 would not be much of a trial." (Maj. opn., ante , at 226 Cal.Rptr.3d at p. 393, 407 P.3d at p. 67.) That is not a reason to overturn decades of settled jurisprudence. I agree that a jury *144 would probably read the transcript of the preliminary hearing and, as the trial court already did, reach the obvious conclusion that the underlying conviction was for assault with a deadly weapon. (See maj. opn., ante , at 226 Cal.Rptr.3d at p. 382, 407 P.3d at p. 57.) The jurors might wonder why they were called on to do so, just as they might in any trial limited to the fact of a prior conviction. (Such a limited jury trial sometimes occurs, as a defendant has always had a jury trial right on the existence of the conviction. (Maj. opn., ante , at 226 Cal.Rptr.3d at p. 383, 407 P.3d at p. 58.)) Defendants are entitled to such a limited jury trial if they want one. The limited nature of the trial provides no reason to preclude it.
Additionally, defendant did have "an opportunity and incentive to cross-examine" witnesses at the preliminary hearing (
Reed
,
supra
, 13 Cal.4th at p. 229,
Except regarding the jury trial right, the majority cites no high court authority inconsistent with our jurisprudence in this area, including
Reed
,
supra
,
I dissent from the majority's remanding the case for a limited court trial, rather than a jury trial.
Penal Code section 245, subdivision (a), has since been amended to separate the prohibitions against assault "with a deadly weapon" and assault "by any means of force likely to produce great bodily injury" into different subdivisions. (Stats. 2011, ch. 183, § 1, p. 2394.)
In
Guerrero
, this court overruled
People v. Alfaro
(1986)
Although no member of the court disagreed with the majority's description of general Sixth Amendment principles, several justices expressed the view that the means/elements distinction is irrelevant to the Sixth Amendment analysis. (See
Mathis
,
Other state high courts to address the issue in the wake of
Descamps
have also concluded that the Sixth Amendment bars courts from finding facts about the conduct underlying a defendant's prior convictions. (
State v. Dickey
(2015)
Justice Chin's proposal relies on our pre-
Apprendi
, pre-
McGee
decision in
People v. Reed
,
supra
,
As already noted, the underlying rationale of
Guerrero
, on which
Reed
and
Bartow
both relied, is that the limitation to the record of conviction "effectively bars the prosecution from relitigating the circumstances of a crime committed years ago." (
Guerrero
,
supra
, 44 Cal.3d at p. 355,
Justice Chin says, however, that while the prosecution would be "limited" to reliance on the preliminary hearing transcript, defendant might be free to call witnesses if she chooses (notwithstanding
Bartow
). But if the preliminary hearing witnesses are available to be called, then the prosecution may not introduce their preliminary hearing testimony without producing the witnesses for cross-examination. (See
Crawford v. Washington
(2004)
As Justice Chin's concurring and dissenting opinion notes, some Courts of Appeal to consider the issue have concluded that the proper remedy for violating a defendant's Sixth Amendment right to a jury trial is to give that defendant a jury trial on facts underlying a prior conviction, but to limit the evidentiary scope of such a trial to the record of conviction. (Dis. opn.,
post
, at 226 Cal.Rptr.3d at p. 396, 407 P.3d at p. 69; see
Eslava
,
supra
, 5 Cal.App.5th at pp. 520-521,
Associate Justice of the Court of Appeal, Second Appellate District, Division Two, assigned by the Chief Justice pursuant to article VI, section 6 of the California Constitution.
Reference
- Full Case Name
- The PEOPLE, Plaintiff and Respondent, v. Sulma Marilyn GALLARDO, Defendant and Appellant.
- Cited By
- 189 cases
- Status
- Published