Under Penal Code
Based on the reasons set forth below, we conclude that the provision is inapplicable here. We reverse the judgment of the Court of Appeal and also disapprove People v. Fulton, supra, 179 Cal.App.4th 1230.
On July 22, 2008, a jury convicted defendant William Frederick Maultsby of petty theft. Before trial, defendant admitted a prior felony conviction for robbery in 1991—considered a strike under the "Three Strikes" law—and admitted several prior convictions for theft. The trial court sentenced defendant to two years eight months in state prison. Defendant timely appealed, contending he admitted the prior strike without complete advisements. (See Boykin v. Alabama (1969) 395 U.S. 238, 242-244 [23 L.Ed.2d 274, 89 S.Ct. 1709]; In re Yurko (1974) 10 Cal.3d 857, 863 [112 Cal.Rptr. 513, 519 P.2d 561].) He did not obtain a certificate of probable cause.
The Court of Appeal directed the parties to submit supplemental briefing on whether defendant needed a certificate of probable cause under Fulton, supra, 179 Cal.App.4th 1230. Consistent with Fulton, the Court of Appeal held that defendant must comply with section 1237.5 to challenge his admission of an enhancement allegation. It determined that defendant's claim was noncognizable and dismissed his appeal.
Defendant petitioned for review.
Defendant maintains that he was not required to obtain a certificate of probable cause under section 1237.5 because he did not plead guilty or nolo contendere to the current charge. Echoing the Court of Appeal's reasoning, the People, however, contend that defendant's challenge to his admission of the prior conviction is a challenge to the validity of a plea; therefore, he must obtain a certificate of probable cause.
As noted above, section 1237.5 is an exception to section 1237, the general statute governing appeals following final judgments of conviction. (See § 1237, subd. (a) [defendant may appeal from final judgment of conviction "except as provided in . . . Section 1237.5"].) The differences between appeals from convictions resulting from not guilty pleas and ensuing trials (§ 1237), on the one hand, and those following guilty or nolo contendere pleas (§ 1237.5), on the other, "are reflected in distinct but analogous statutes and related rules of court defining the procedure applicable to the taking of each type of appeal." (In re Chavez (2003) 30 Cal.4th 643, 649 [134 Cal.Rptr.2d 54, 68 P.3d 347], italics added (Chavez).) In that regard, we have construed section 1237.5 narrowly, concluding that it does not apply to admissions made in juvenile court because minors are not "defendants"; they do not "plead guilty" but admit allegations of a petition; and adjudications of juvenile wrongdoing do not constitute "criminal convictions." (In re Joseph B. (1983) 34 Cal.3d 952, 955 [196 Cal.Rptr. 348, 671 P.2d 852] [juvenile appeals governed by Welf. & Inst. Code, § 800]; see also People v. Wagoner (1979) 89 Cal.App.3d 605, 609-610 [152 Cal.Rptr. 639] [§ 1237.5 does not apply to insanity pleas].)
In concluding to the contrary, the Court of Appeal here relied on its recent decision in Fulton, which held that section 1237.5 applies when a defendant
In Fulton, a jury convicted defendant David Louis Fulton for evading an officer with willful or wanton disregard and for driving on a suspended license. Waiving his right to a jury determination, Fulton entered a negotiated admission of a prior prison term allegation in exchange for the dismissal of the remaining allegations. (Fulton, supra, 179 Cal.App.4th at p. 1232.) After the trial court denied his motion to withdraw his admission of the prior prison term, Fulton appealed without first obtaining a certificate of probable cause. Although he had not pleaded guilty or nolo contendere to the substantive charges, the Court of Appeal concluded that Fulton needed a certificate to challenge his admission. (Id. at p. 1237.) In reaching this conclusion, the court focused on several cases suggesting that admissions of sentencing enhancements should be treated virtually the same as guilty pleas in this context. (Id. at pp. 1236-1238, discussing People v. Perry (1984) 162 Cal.App.3d 1147, 1151 [209 Cal.Rptr. 414] (Perry), People v. Lobaugh (1987) 188 Cal.App.3d 780, 785 [233 Cal.Rptr. 683] (Lobaugh), and People v. Thurman (2007) 157 Cal.App.4th 36 [68 Cal.Rptr.3d 425] (Thurman).)
In Perry, the defendant pleaded guilty to a charge of robbery and admitted a firearm use allegation. He appealed the admission of the allegation, but did not obtain a certificate of probable cause under section 1237.5. Dismissing the appeal, the Court of Appeal reasoned: "Section 1237.5 applies to a judgment of conviction after a `plea of guilty or nolo contendere.' At issue here is the validity or truth of a `use' allegation. A technical, literal argument could be made that defendants do not `plead guilty' to enhancement allegations, they `admit' them. We can see no reason to draw such a fine distinction regarding the words used. Appellant's attack goes to his guilt or innocence, the truth of the alleged enhancement, and would require consideration of evidence. Such issues have been removed from consideration by the plea and admission." (Perry, supra, 162 Cal.App.3d at p. 1151, italics added.) It concluded that "an appeal which questions proceedings before appellant's admission of the use of a firearm must comply with section 1237.5." (Ibid.)
Similarly, in Lobaugh, the defendant pleaded guilty to a charge of robbery and admitted allegations for firearm use, a prior serious felony conviction, and a prior prison term. (Lobaugh, supra, 188 Cal.App.3d at p. 783.) Regarding the defendant's challenge to the evidentiary sufficiency of the firearm allegation, the Court of Appeal concluded that it was not cognizable on appeal because the defendant had not obtained a certificate of probable
Both Perry and Lobaugh are distinguishable. In each case, the defendant had pleaded guilty to the substantive charge. This factual circumstance alone triggers section 1237.5's requirement that a defendant obtain a certificate of probable cause. (See Chavez, supra, 30 Cal.4th at pp. 650-651; Mendez, supra, 19 Cal.4th at pp. 1094-1095.) Regarding the underlying analysis, we conclude that each case incorrectly equated an admission of an enhancement with a guilty plea for purposes of section 1237.5. Neither case lends support to the conclusion that a certificate is required to challenge an admission on appeal where the defendant goes to trial on the main charge.
In fact, Perry and Lobaugh each concluded that the defendant's challenge to the admission of enhancements was noncognizable on appeal irrespective of section 1237.5 considerations. Each found that had the defendant obtained a certificate of probable cause, the claim could not be reviewed on appeal. (Perry, supra, 162 Cal.App.3d at p. 1152 ["Aside from the procedural bar of section 1237.5, the limited scope of review after a guilty plea precludes review of appellant's contention."]; Lobaugh, supra, 188 Cal.App.3d at p. 785 [any error regarding evidentiary sufficiency "was waived by his guilty plea and may not be raised on appeal"].) In addition, Lobaugh's generalized conclusion that the "same principles" govern an admission of an enhancement and a guilty plea is based on a misapplication of our decision in People v. Jackson, supra, 37 Cal.3d 826. (Lobaugh, supra, 188 Cal.App.3d at p. 785.) Jackson, which did not discuss section 1237.5, dealt with the specific and narrow issue of allowing a defendant as part of a plea bargain to admit an enhancement the prosecution may be unable to prove (see People v. West (1970) 3 Cal.3d 595, 612-613 [91 Cal.Rptr. 385, 477 P.2d 409]). (Jackson, supra, 37 Cal.3d at p. 836 ["defendant should have the same latitude with respect to enhancements . . ." as with substantive offenses].) Contrary to Lobaugh's suggestion, Jackson does not support its sweeping assertion that admissions of enhancements and guilty pleas should be treated the same in this context.
Based on the foregoing, we conclude that Fulton erroneously determined that section 1237.5 applies to appeals where the defendant has not pleaded
Furthermore, section 1237.5's underlying purpose of promoting economy (see Mendez, supra, 19 Cal.4th at p. 1095) would not be advanced by extending it to convictions after pleas of not guilty. By screening out wholly frivolous appeals after guilty or nolo contendere pleas, section 1237.5 prevents the unnecessary expenditure of time and money spent on preparing the record on appeal, appointing appellate counsel, and considering and rendering the decision of the appeal itself. (Mendez, supra, at p. 1095; Hoffard, supra, 10 Cal.4th at p. 1180 [§ 1237.5's goals are "efficiency and practicality"].) The underlying assumption is that a conviction entered on a plea of guilty or nolo contendere generally "does not present any issue warranting relief on appeal, and hence should not be reviewed thereon." (Mendez, supra, 19 Cal.4th at p. 1097; see id. at p. 1098 [through § 1237.5, Legislature "established a mechanism that did not invite consideration of the peculiar facts of the individual appeal"].) In contrast, when a defendant pleads not guilty and is convicted after trial, as is the situation here, generally "any issue bearing on the determination of guilt and apparent from the record is cognizable on appeal." (Chavez, supra, 30 Cal.4th at p. 649.)
The People, however, argue that by admitting the prior conviction enhancement, defendant removed from consideration the evidence supporting the allegation. They maintain that like guilty or nolo contendere pleas, admissions of prior convictions "involve the same forfeiture of rights" and "result from negotiated bargaining and involve tactical decisions."
Based on the foregoing, we reverse the judgment of the Court of Appeal and remand the matter for further proceedings consistent with this opinion.
Kennard, Acting C. J., Baxter, J., Werdegar, J., Corrigan, J., Liu, J., and Bruiniers, J.,