Gardner v. Appellate Div. of the Superior Court
Gardner v. Appellate Div. of the Superior Court
Opinion
*1001 With the help of court-appointed counsel, a criminal defendant facing misdemeanor charges filed a successful motion *60 to suppress the prosecution's evidence against her. The prosecution appealed. The question is whether the defendant is entitled to the help of appointed counsel in responding to the prosecution's appeal of the suppression order. Based on article I, section 15 of the California Constitution, we conclude the answer is yes.
I.
This case arises from the criminal prosecution of Ruth Zapata Lopez, who was charged by misdemeanor complaint with driving under the influence of alcohol ( Veh. Code, § 23152, subd. (a) ) and driving while having a blood-alcohol content of 0.08 percent or higher ( id. , § 23152, subd. (b) ). The complaint also alleged that Lopez had suffered a prior conviction for driving while having a blood-alcohol content of 0.08 percent or higher. The charges against Lopez are punishable by confinement in county jail. (See id. , § 23540, subd. (a) [minimum punishment for violating Veh. Code, § 23152 within 10 years of prior conviction under § 23152 is "imprisonment in the county jail for not less than 90 days nor more than one year" and a fine]; see also id. , § 23542, subd. (a)(1)(B) [grant of probation requires confinement in county jail "[f]or at least 96 hours"].)
The petitioner in this case is the Public Defender of San Bernardino County, whom the superior court appointed to represent Lopez. 1 (See Pen. Code, § 987, subd. (a) ; see also id. , § 987.2, subd. (i).) 2 On behalf of Lopez, petitioner filed a motion under Penal Code section 1538.5 to suppress evidence collected during a warrantless traffic stop. The court conducted a limited hearing on the motion, during which Lopez was assisted by a Spanish language interpreter. Petitioner argued that the traffic stop leading to Lopez's detention was invalid, rendering the subsequent search unlawful. The court agreed and granted the motion to suppress.
**949 The court then dismissed the underlying case under Penal Code section 1385. ( Pen. Code, § 1385, subd. (a) [authorizing judge to dismiss action "in furtherance of justice"].)
*1002
The prosecution appealed the suppression order to the appellate division of the superior court. (See Pen. Code, § 1538.5, subd. (j) ["If the property or evidence seized relates solely to a misdemeanor complaint, and the defendant made a motion for ... the suppression of evidence in the superior court prior to trial, both the people and defendant shall have the right to appeal any decision of that court relating to that motion to the appellate division ...."].) Questions promptly arose as to who, if anyone, would represent Lopez in responding to the appeal. Petitioner took the view that the public defender's office was no longer obligated to represent Lopez,
3
and asked the appellate division to
*61
appoint new counsel to represent her.
4
The appellate division refused. Court clerks informed petitioner that, as the respondent in a misdemeanor appeal, Lopez was not eligible for appointment of appellate counsel. In an e-mail to a member of the office, a clerk also wrote that, in the court's view, the public defender " 'is still counsel' " for Lopez. (
Morris v. Appellate Division of Superior Court
(2017)
Petitioner filed a petition for writ of mandate in the appellate division. The petition asked the court to direct the superior court "to appoint counsel for all indigent appellees in all misdemeanor criminal appeals," as well as to issue a judgment declaring that the superior court "may not appoint the Public Defender to represent indigent appellees in misdemeanor criminal appeals, or declare the Public Defender to remain appointed in cases where the Public Defender previously represented an indigent appellee in the Superior Court." The appellate division summarily denied the petition. Petitioner then sought a writ of mandate in the Court of Appeal, which also issued a summary denial. This court granted review and transferred the matter to the Court of Appeal with directions to issue an order to show cause.
In a published opinion, the Court of Appeal again denied the petition. Without addressing whether the public defender remains appointed to represent Lopez, the Court of Appeal held that Lopez neither has the right to
*1003
appointment of counsel under court rules nor a constitutional entitlement to be represented by counsel on appeal. (
Morris
,
supra
, 17 Cal.App.5th at pp. 644, 653,
The Court of Appeal explained that the appellate division had been correct as to court rules: While the California Rules of Court provide for the appointment of appellate counsel for an indigent criminal defendant "convicted of a misdemeanor" ( Cal. Rules of Court, rule 8.851(a)(1), (2) ), the rules make no provision for the appointment of appellate counsel to represent a misdemeanor defendant who, like Lopez, has not yet been convicted. (
Morris
,
supra
, 17 Cal.App.5th at p. 644,
We granted review.
II.
Before turning to the merits, we address a threshold issue concerning the legal framework for our decision. In their initial briefing before this court, the parties focused on the scope of the right to counsel secured by the Sixth Amendment to the United States Constitution. That amendment, which is binding on the states through the Fourteenth Amendment, gives an indigent defendant facing incarceration the right to court-appointed counsel for his or her defense. (
Gideon v. Wainwright
(1963)
But in California courts, the federal Constitution is not the sole source of a criminal defendant's right to representation. Article I, section 15 of the California Constitution, too, guarantees a right to "the assistance of counsel for the defendant's defense" in a "criminal cause." ( Cal. Const., art. I, § 15.) Much like its federal counterpart, article I, section 15 has been understood to
*1004
confer a right to state-appointed counsel for indigent defendants. (
Mills v. Municipal Court
(1973)
Because of its importance to full consideration of the issue before us, we directed the parties to submit supplemental briefs regarding the relevance of article I, section 15 of the California Constitution. We now conclude that article I, section 15 is dispositive of the question presented. Our holding makes it unnecessary for us to decide whether the same result would obtain under the federal Constitution.
III.
Under article I, section 15 of the California Constitution, a defendant's right to the assistance of counsel is not limited to trial, but instead extends to other, "critical" stages of the criminal process. (
People v. Bryant, Smith and Wheeler
(2014)
For purposes of determining whether the right to counsel extends to a particular proceeding, we have described a critical stage as "one 'in which the substantial rights of a defendant are at stake' [citation], and
**951
'the presence of his counsel is necessary to preserve the defendant's basic right to a fair trial' [citation]." (
Bryant, Smith and Wheeler
,
supra
, 60 Cal.4th at p. 465,
Employing this rubric, courts have identified the following proceedings, among others, as critical stages to which the constitutional right to counsel attaches: arraignments (
Hamilton v. Alabama
(1961)
Employing the same rubric here, we conclude that a pretrial prosecution appeal of a suppression order also qualifies as a critical stage of the prosecution at which the defendant has a right to appointed counsel as a matter of state constitutional law. The suppression of evidence is generally a matter of vital importance in the course of a criminal prosecution. As the high court has noted, "suppression hearings often are as important as the trial itself. [Citations.] In ... many cases, the suppression hearing [is] the
only
trial ...." (
Waller v. Georgia
(1984)
The need for counsel in responding to such a state-initiated appeal is equally clear and equally substantial. On appeal, the defendant " 'face[s] an adversary proceeding that-like a trial-is governed by intricate rules that to a layperson would be hopelessly forbidding.' " (
In re Olsen
(1986)
It is true, as respondent observes, that on appeal Lopez "will reap the benefit of standards of review and other procedural tools that are designed to protect the ruling the trial court has already made." But the effect of these "procedural tools" should not be overstated; there are limits to how much an appellate court can or should defer to a trial court's conclusions. (See, e.g.,
Kavanaugh v. West Sonoma County Union High School Dist.
(2003)
IV.
First, respondent argues that the right to appointed counsel is a trial right, and therefore cannot confer a right to the appointment of counsel on appeal. Respondent relies for this argument on
Martinez v. Court of Appeal of Cal., Fourth Appellate Dist.
(2000)
Although we have never squarely addressed the question, we will assume
Martinez
applies equally to the state constitutional right to counsel under article I, section 15 of the California Constitution. Respondent's reliance on
Martinez
is unavailing all the same. The sort of appeal we are concerned with here-a pretrial prosecution appeal of a suppression order-is clearly not the sort of appeal the
Martinez
court had in mind.
Martinez
concerned a
*1008
defendant's postconviction appeal: that is, an appeal that takes place after the prosecution is complete and charges against the defendant have been resolved. In such an appeal, the defendant initiates the appellate proceeding and "assumes the burden of persuading a reviewing court that the conviction should be reversed." (
Martinez
,
But even if we were to accept respondent's limited view of the counsel clauses of the Sixth Amendment or article I, section 15, it would go only to show that petitioner has invoked the wrong constitutional provision; it would do nothing to undermine the substantive conclusion that the California Constitution entitles Lopez to the assistance of counsel in responding to the prosecution's appeal. As already noted, the high court has also held that a criminal defendant has the right to counsel's assistance in bringing his or her first appeal as of right, though that right is secured by the due process and equal protection clauses of the Fourteenth Amendment rather than by the Sixth Amendment. (See
Douglas
,
supra
,
The reasons for requiring state-appointed counsel for a first postconviction appeal as of right apply with equal force in the context of the prosecution's
*1009
pretrial appeal of the suppression order. (Accord,
O'Leary
,
supra
, 856 F.2d at p. 1015 [failing to appoint counsel for a defendant facing a pretrial prosecution appeal "would clash with the Fourteenth Amendment's Due Process Clause"].) Indeed, the reasons are arguably stronger. A defendant appealing his or her conviction ordinarily needs counsel "not as a shield to protect him against being 'haled into court' by the
**954
State and stripped of his presumption of innocence, but rather as a sword to upset the prior determination of guilt." (
Ross v. Moffitt
(1974)
V.
Respondent's final constitutional argument relates to the nature of the charges Lopez faces. While the United States Supreme Court has described the Sixth Amendment right to appointed counsel as generally applicable in felony cases
*67
(see
Gideon
,
supra
, 372 U.S. at p. 339,
Respondent's argument is beside the point here, for reasons we noted at the outset of the discussion: While the high court has drawn an "actual imprisonment" line in sketching the contours of a misdemeanor defendant's right to appointed counsel, California (like many states) has not adopted the
*1010
same approach. (See p. 245 Cal.Rptr. at 62, 436 P.3d at 950,
supra
.)
9
Many decades ago, this court affirmed that the predecessor to the current version of article I, section 15 of the California Constitution, confers a right to counsel "in
all
felony and misdemeanor proceedings whether actual imprisonment is to follow or not." (
Mills
,
supra
, 10 Cal.3d at p. 301,
VI.
Having concluded that Lopez has a right to appointed counsel in the present appeal, the question remains whether the appellate division must appoint a new attorney to represent her, as petitioner had argued below, or whether the public defender continues to represent her pursuant to the original appointment. The Court of Appeal did not resolve this issue because it ruled that Lopez did not have a right to appointed counsel. We leave it to the Court of Appeal to resolve this issue in the first instance. We reverse the judgment of the Court of Appeal and remand for further proceedings consistent with this opinion.
We Concur:
CANTIL-SAKAUYE, C. J.
CHIN, J.
CORRIGAN, J.
LIU, J.
CUÉLLAR, J.
GROBAN, J.
The San Bernardino Public Defender serving at the time, Phyllis K. Morris, has since been succeeded in office by Christopher Gardner, who has been substituted as a party.
Penal Code section 987, subdivision (a), provides: "In a noncapital case, if the defendant appears for arraignment without counsel, he or she shall be informed by the court that it is his or her right to have counsel before being arraigned, and shall be asked if he or she desires the assistance of counsel. If he or she desires and is unable to employ counsel the court shall assign counsel to defend him or her."
Penal Code section 987.2, subdivision (i), provides in relevant part: "Counsel shall be appointed to represent, in a misdemeanor case, a person who desires but is unable to employ counsel, when it appears that the appointment is necessary to provide an adequate and effective defense for the defendant."
Petitioner relied for this argument on Government Code section 27706, subdivision (a), which provides in relevant part: "The public defender ... shall prosecute all appeals to a higher court or courts of any person who has been convicted, where, in the opinion of the public defender, the appeal will or might reasonably be expected to result in the reversal or modification of the judgment of conviction."
To make the request, the public defender adapted a form entitled "Request for Court-Appointed Lawyer in Misdemeanor Appeal," which indicated that it was "only for requesting that the court appoint a lawyer to represent a person appealing in a misdemeanor case." (Italics added, bold omitted.) In the portion of the form calling for "Name of Appellant (the party who is filing this appeal)," the public defender crossed out "Appellant (the party who is filing this appeal)" and typed in "Appellee." Where the form called for the name of "Appellant's lawyer," the public defender crossed out the word "Appellant's" and typed in "Appellee's."
Of course, not every stage of the criminal process will qualify as a critical one at which counsel's assistance is required. (E.g.,
People v. Lucas
(2014)
See
Faretta v. California
(1975)
Martinez
, by way of contrast, rejected the argument that the Fourteenth Amendment confers a right to
dispense
with the assistance of a state-appointed attorney on appeal, explaining that self-representation is not "a necessary component of a fair appellate proceeding." (
Martinez
,
supra
, 528 U.S. at p. 161,
This case, of course, concerns the right to appointed counsel for purposes of responding to a pretrial prosecution appeal of a favorable suppression ruling. We express no opinion about a defendant's right to appointed counsel for purposes of bringing a pretrial appeal of an adverse suppression ruling.
As the high court has acknowledged, California ranks among the many states that provide a right to appointed counsel that is more expansive than that afforded by the federal Constitution. (
Shelton
,
supra
, 535 U.S. at pp. 668-669 & fn. 8,
In invoking the "actual imprisonment" standard, respondent relies on the Court of Appeal's decision in
People v. Wong
(1979)
The provision at issue in Mills and Rodriguez was later renumbered and reworded as part of a comprehensive constitutional revision adopted by voters in 1974. (Prop. 7, Gen. Elec. (Nov. 5, 1974).) The right to counsel and its companion rights were moved from article 13 to article 15 in the state Constitution, and they were reworded to apply in "a criminal cause" rather than in "criminal prosecutions, in any court whatever." (Cal. Const. Revision Com., Proposed Revision (1971) pt. 5, p. 24.) The history is clear, however, that this revision was not intended to diminish the right to counsel. (See Cal. Const. Revision Com. com. at p. 24 [commission recommends retaining the "significant criminal procedure provisions" contained in art. 1, former § 13, adding an express right to confront witnesses, and deleting obsolete provisions].)
Case-law data current through December 31, 2025. Source: CourtListener bulk data.