People v. Hoffard

• Decision Date: 21 August 1995
• Docket Number: No. S039627,S039627
• Citation: 10 Cal.4th 1170,43 Cal.Rptr.2d 827,899 P.2d 896
• Court: California Supreme Court
• Parties: , 899 P.2d 896, 95 Cal. Daily Op. Serv. 6616, 95 Daily Journal D.A.R. 11,263 The PEOPLE, Plaintiff and Respondent, v. Randall Eugene HOFFARD, Defendant and Appellant.

Page 827

43 Cal.Rptr.2d 827

10 Cal.4th 1170, 899 P.2d 896, 95 Cal. Daily Op. Serv. 6616,

95 Daily Journal D.A.R. 11,263

The PEOPLE, Plaintiff and Respondent, v. Randall Eugene HOFFARD, Defendant and Appellant.

No. S039627.

Supreme Court of California,

In Bank.

Aug. 21, 1995.

Daniel E. Lungren, Atty. Gen., George Williamson, Chief Asst. Atty. Gen., Sacramento, Ronald A. Bass, Asst. Atty. Gen., Laurence K. Sullivan and Thomas A. Brady, Deputy Attys. Gen., San Francisco, for plaintiff and respondent.

Paul R. Irish, Sacramento, for defendant and appellant.

WERDEGAR, Justice.

Penal Code section 1237.5 precludes a criminal defendant from appealing a conviction based on a guilty plea, on grounds going to the validity of the plea or the preplea proceedings, unless the defendant has filed with the trial court a statement of grounds for appeal and the trial court has issued a certificate of probable cause. The question presented here is whether, once the court has issued such a certificate, the defendant may raise on appeal cognizable issues other than those identified in the statement of grounds.

Randall Eugene Hoffard pled guilty to two counts of committing a lewd act with a child under 14 years of age (Pen.Code, § 288, subd. (a)). ¹ As to each count he also admitted an allegation he committed an act of substantial sexual conduct while occupying a position of special trust, making him presumptively ineligible for probation. (§ 1203.066, subd. (a)(9).) Asserting error in denial of his preplea motion to dismiss, defendant sought and obtained from the trial court a certificate of probable cause for appeal. On appeal he contended the trial court We conclude the factual-basis question was properly before the Court of Appeal, as defendant had correctly sought and obtained the certificate of probable cause required by section 1237.5. Nothing in section 1237.5 indicates the defendant must specify, and the trial court certify as nonfrivolous, each issue to be raised on appeal. Such a rule is unnecessary to the purposes of the statute and would be inefficient in operation.

[899 P.2d 898] erred in accepting, as a factual basis for his admissions of substantial sexual conduct, his attorney's stipulation there was such a factual basis. The Court of Appeal agreed. The court ordered the case remanded for the trial court to determine from the record whether there was an adequate factual basis for defendant's admissions.

We also conclude, however, that the Court of Appeal erred in its resolution of the factual-basis issue. Section 1192.5, upon which both defendant and the Court of Appeal relied, imposes on trial courts the burden of inquiry into a factual basis for a guilty plea only for negotiated pleas specifying the punishment to be imposed. Defendant's plea was made without conditions and hence was not subject to the requirements of section 1192.5. Because the trial court here had no duty to conduct an independent inquiry into the factual basis for defendant's plea, the court did not err in accepting counsel's stipulation such a factual basis existed. We will therefore reverse the judgment of the Court of Appeal in that respect.

FACTUAL AND PROCEDURAL BACKGROUND

Defendant was charged by information with two counts of violating section 288, subdivision (a). As to each count it was further alleged defendant engaged in "substantial sexual conduct" with the victim while occupying a "position of special trust." These allegations, if admitted or proven, brought defendant within the presumptive bar on probation of section 1203.066, subdivision (a)(9), as it then read. ²

According to evidence presented at the preliminary examination, defendant committed at least three lewd acts on his stepdaughter, Cecily R., while they resided in San Jose. ³ On one occasion in her bedroom defendant pulled down her underwear and touched her vaginal area. On another occasion in defendant's car he unbuttoned her shorts and touched her vaginal area under her underwear. On one additional occasion, while he and Cecily were watching television, he touched her vagina.

On July 24, 1992, in superior court, defendant pleaded guilty as charged, without conditions or any promise as to sentence. Defendant was advised of and acknowledged understanding the possible consequences of his plea; he was also fully advised of, understood and expressly waived his constitutional trial rights. In addition to pleading guilty to both counts, defendant expressly admitted the section 1203.066 allegations.

The court asked defense counsel if he concurred in his client's plea and stipulated to a factual basis. Counsel answered affirmatively, further stating the factual basis could be found in the preliminary examination. The prosecutor also stipulated to a factual basis, and the court found "there [was] a sufficient factual basis for the plea."

At the sentencing hearing, defendant sought probation, contending the presumption of ineligibility had been rebutted. ⁴ Neither defendant, who testified at the hearing, nor his attorney denied the truth of the previously admitted charges or claimed any deficiency in the procedure in which defendant's Defendant timely filed a notice of appeal and a "Written Statement in Support of Certificate of Probable Cause." The written statement, prepared and signed by trial counsel, identified only one potential issue for appeal: the denial of defendant's preplea motion to dismiss, in which defendant had contended the prior Placer County proceedings barred further prosecution on the Santa Clara County offenses. The same day, the trial court filed the requested certificate of probable cause. The court, without identifying any issues, simply found "there is Probable Cause for Appeal...."

[899 P.2d 899] plea and admissions were taken. In particular, neither defendant nor his attorney denied defendant engaged in substantial sexual conduct with Cecily, although counsel did dispute, in a sentencing memorandum, the probation officer's statement that vaginal penetration had occurred. The court denied probation and sentenced defendant to two concurrent six-year terms of imprisonment.

Defendant's opening brief on appeal presented only one contention: "There was insufficient factual basis to support admission of Penal Code section 1203.066(a)(9) enhancing allegations." The People sought dismissal of the appeal, arguing defendant was precluded under section 1237.5 from raising the factual-basis issue because he had not specified that point in his statement of grounds for appeal.

The Court of Appeal rejected the People's position, concluding the issuance of a probable cause certificate, while a procedural prerequisite to defendant's appeal, did not determine the issues reviewable in the appeal. The court relied in part on the practical difficulties the People's proposed rule requiring specification of issues would create, noting "[i]t would be equally impractical either for trial counsel to anticipate all possible arguments on appeal at the time he or she files the section 1237.5 statement, or for a trial court to evaluate the efficacy of all possible arguments which might be made on appeal."

On the merits of the factual-basis issue, the Court of Appeal agreed with defendant that counsel's stipulation was inadequate, by itself, to establish the factual basis for the plea. The Court of Appeal examined the preliminary hearing transcript and, finding a lack of evidence of substantial sexual conduct, remanded to the trial court "to allow the prosecution the opportunity to establish a factual basis for appellant's admissions." We granted review on the People's petition.

DISCUSSION

I

Section 1237.5, in its entirety, provides: "No appeal shall be taken by the defendant from a judgment of conviction upon a plea of guilty or nolo contendere, or a revocation of probation following an admission of violation, except where both of the following are met: [p] (a) The defendant has filed with the trial court a written statement, executed under oath or penalty of perjury showing reasonable constitutional, jurisdictional, or other grounds going to the legality of the proceedings. [p] (b) The trial court has executed and filed a certificate of probable cause for such appeal with the county clerk. [p] This section shall become operative on January 1, 1992."

The People contend section 1237.5 should be interpreted to require the defendant to identify, and the trial court to certify, each nonfrivolous issue for appeal. Pursuant to this interpretation, the appellate court would be precluded from entertaining any claims not identified in the defendant's statement and certified as nonfrivolous by the court.

Looking first to the language of the statute, we find no support for the People's construction. Section 1237.5 does not expressly limit the issues that may be raised on appeal once a certificate of probable cause has been obtained. Nor is any such limitation implied by the language of the statute. The law clearly requires the defendant to identify reasonable grounds for appeal in the trial court, but is silent on whether the defendant's statement limits the issues to be considered by the reviewing court.

To the extent any implication may be drawn from section 1237.5's language, it supports the interpretation adopted by the Court of Appeal. The statute provides that unless the required procedures are satisfied, "[n]o appeal shall be taken...." (Italics We also note the statute requires the defendant's statement, but not the trial court's certificate, to state grounds for appeal. The trial court, that is, is not required to certify particular issues, but only the existence of "probable cause for such appeal." The People's interpretation of the certification process as a mechanism to screen each potential appellate issue would require us to read into the law a requirement that the trial court certify particular issues.

                [899 P.2d 900] added.)   By its terms

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