Majority
I
On September 9, 2003, law enforcement officers conducted a search of a van in which Gonzales was a passenger. During the search, the officers located a wallet containing three counterfeit driver's licenses - each bearing a different name corresponding to Gonzales's photograph. Also found in the wallet were counterfeit currency and checks in the names corresponding to those other identities. Officers also discovered copies of receipts for purchased goods - some of which were purchased with checks corresponding to Gonzales's counterfeit licenses. In addition, the vehicle search revealed a pouch containing four bags of methamphetamine, a gram scale, clear plastic bags, and two pipes. A search of Gonzales's person uncovered another counterfeit driver's license bearing a fourth identity, which was also tied to certain checks used to make purchases of goods.
The Identity Theft Task Force investigated the matter and confirmed that Gonzales used counterfeit driver's licenses and checks to make purchases in July and September of
In a negotiated plea deal, Gonzales admitted to all charges alleged in the consolidated information (Nos. 03F07705 and 05F09704) and pleaded no contest to one count of identity theft stemming from the 2007 case (No. 06F11190) in exchange for a total maximum sentence of 20 years. On February 29, 2008, in a single proceeding, the court denied probation and imposed a total term of 19 years eight months for all three cases, including 18 years four months for the 2003 (No. 03F07705) and 2005 (No. 05F09704) consolidated cases and a consecutive term of one year four months on the 2007 information (06F11190).
A few years later, in the November 2014 election, California voters enacted Proposition 47, the Safe Neighborhoods and Schools Act. (§ 1170.18; see People v. Rivera (2015), 233 Cal.App.4th 1085 , 1089, 183 Cal.Rptr.3d 362 .) Proposition 47 downgrades several felonies and wobblers to misdemeanors and permits persons convicted of those felonies and wobblers serving felony sentences at the time the law took effect to have their offenses retroactively redesignated as misdemeanors under certain circumstances by filing a petition. (§ 1170.18, subds. (a), (f).)
Forgery is one of the offenses amended by Proposition 47. As a consequence of Proposition 47, forgery remains punishable as either a misdemeanor or a felony if the value of the instrument exceeds $950, or if the offender "is convicted both of forgery and of identity theft, as defined in Section 530.5." ( § 473, subds. (a), (b).)
On January 21, 2015, Gonzales filed a petition with the trial court requesting resentencing based on the enactment of Proposition 47. The trial court denied the request on March 13, 2015, by checking a box on a file form noting that the denial was based on the "[c]urrent conviction(s)." The court did not hold a hearing or take evidence in deciding
II
The scope of section 473(b) is a question of law, so we review the Court of Appeal's interpretation of Proposition 47 de novo. ( Apple Inc. v. Superior Court (2013) 56 Cal.4th 128 , 135, 151 Cal.Rptr.3d 841 , 292 P.3d 883 .) Our interpretation of a ballot initiative is governed by the same principles that apply in construing a statute enacted by the Legislature. ( People v. Superior Court (Pearson ) (2010) 48 Cal.4th 564 , 571, 107 Cal.Rptr.3d 265 , 227 P.3d 858 ( Pearson ).) We first look to "the language of the statute, affording the words their ordinary and usual meaning and viewing them in their statutory context." ( Alcala v. Superior Court (2008) 43 Cal.4th 1205 , 1216, 78 Cal.Rptr.3d 272 , 185 P.3d 708 .) The words of a statute must be construed in context, keeping in mind the statutory purpose. ( Carmack v. Reynolds (2017) 2 Cal.5th 844 , 849-850, 215 Cal.Rptr.3d 749 , 391 P.3d 625 .) Our principal objective is giving effect to the intended purpose of the initiative's provisions. ( California Cannabis Coalition v. City of Upland (2017) 3 Cal.5th 924 , 933, 222 Cal.Rptr.3d 210 , 401 P.3d 49 [explaining that our "primary concern is giving effect to the intended purpose of the provisions at issue"].) If the provisions remain ambiguous after we consider its text and the statute's overall structure, we may consider extrinsic sources, such as an initiative's election materials, to glean the electorate's intended purpose. ( Larkin v. W.C.A.B. (2015) 62 Cal.4th 152 , 158, 194 Cal.Rptr.3d 80 , 358 P.3d 552 ["[W]e may look to various extrinsic sources ... to assist us in gleaning the [voters'] intended purpose."].) Finally, we presume that the "adopting body" is aware of existing laws when enacting a ballot initiative. ( In re Lance W. (1985) 37 Cal.3d 873 , 890, fn. 11, 210 Cal.Rptr. 631 , 694 P.2d 744 .)
Applying these principles, we conclude that Proposition 47's language and structure indicate that the provisions at issue require that a forgery and identity theft conviction be related to preclude resentencing. We also conclude that, in resolving that statute's textual ambiguity, the voters' intended purpose - as evidenced by the election materials - was indeed to bar from resentencing only those offenders whose conduct related to the forgery and identity theft convictions were made "in connection with" each other. We therefore affirm the Court of Appeal.
As enacted in Proposition 47, section 473(b) sets forth that "any person who is guilty of forgery ... where the value of the [instrument] ... does not exceed $950 ... shall be punishable by imprisonment in a county jail for not more than one year, except that such person may instead be punished pursuant to subdivision (h) of Section
The language of section 473(b) specifically precludes from eligibility for resentencing individuals who are convicted both of forgery and identity theft. As used in this provision, the term "both" establishes that a relationship is necessary between a forgery and identity theft conviction to disqualify an offender from the benefit of having his or her sentence recalled. Here, Gonzales was convicted and sentenced in a single, consolidated proceeding stemming from three different cases that included forgery and identity theft convictions. But Gonzales's forgery conviction was based on acts committed in 2003, years apart from an identity theft conviction based entirely on acts committed in 2006. It is uncontested that these offenses are not only years apart, but entirely unrelated. But the word "both" does not illuminate whether these convictions must be contemporaneous or concurrent, whether they include past convictions, or whether the acts supporting the convictions occurred during the same course of conduct.
The People argue that Gonzales is ineligible for resentencing because section 473(b) precludes the reduction of a forgery offense if an offender is concurrently convicted of both forgery and identity theft. Gonzales argues, however, that his forgery and identity theft convictions were not related because his forgery and identity theft offenses involved conduct that occurred at separate times. Specifically, Gonzales's identity theft conviction was based on conduct that occurred in 2006 and 2007, and his forgery convictions were based on conduct that occurred in 2003.
If we embraced the People's interpretation, Gonzales would be ineligible for resentencing simply because he was convicted and sentenced in a consolidated proceeding, whereas another defendant in a comparable situation would be eligible for resentencing if he were convicted in separate proceedings. Under the People's reading of the statute, had Gonzales been promptly tried and convicted of his forgery offenses in 2003 or 2004, he would be eligible for resentencing.[5] But merely because his charges were consolidated, he is ineligible for relief. Nothing in the statutory design suggests that Gonzales should be barred from relief under Proposition 47 simply because his convictions
5 We note, however, that Gonzales failed to appear for his jury trial that was slated to begin in 2010. If Gonzales had appeared as he was required to do, his subsequent identity theft charges might not have been consolidated with his earlier forgery ones.
The Court of Appeal concluded that Proposition 47's language was ambiguous because of the word "both" and its placement in describing the circumstances in which an offender is ineligible for a sentence reduction,
The statutory provisions at issue are phrased in the present tense: "This subdivision shall not be applicable to any person who is convicted both of forgery and of identity theft, as defined in Section 530.5." ( § 473(b), italics added.) Present tense language matters here because earlier sections of the same statute describe other disqualifying factors based on certain "prior convictions." ( § 473(b) [requiring a felony sentence for forgery "if that person has one or more prior convictions for an offense specified in clause (iv) of subparagraph (C) of paragraph (2) of subdivision (e) of Section 667 or for an offense requiring registration pursuant to subdivision (c) of Section 290" (italics added) ].) Other provisions added by Proposition 47 also describe the disqualifying effect of previous convictions, including the statute punishing a person for writing an insufficient funds check with the intent to defraud. (§ 476a, subd. (b) ["This subdivision shall not be applicable if the defendant has previously been convicted of three or more violations of Section 470, 475, or 476, or of this section"].) These distinctions are most consistent with an understanding of Proposition 47 that does not elide the difference between disqualifying factors based on a person having separate previous convictions (i.e., past tense) and someone whose convictions arose from at least somewhat related conduct encompassing both forgery and identity theft (i.e., present tense).
The statutory provisions governing disqualifications based on a defendant's past
The relatively similar nature of the offenses mentioned in section 473(b) nonetheless suggests that the convictions in question must bear some meaningful relationship to each other - beyond the convictions' inclusion in the same judgment. Instead of including two entirely unrelated offenses - such as criminal violation of an environmental law and felony assault, for example - the provision at issue lists two offenses that tend to facilitate each other and, committed together, arguably trigger heightened law enforcement concerns. A person who commits forgery by imitating the victim's signature on a check, for example, will often present identification to falsely represent his or her identity. The nature of these two offense categories helps explain why it makes sense for these to be included together in section 473(b), and for this provision to be read as relevant to situations where the offenses bear some relationship to each other. We can reasonably distinguish - and infer a distinction in a statute mentioning related offenses in present tense - between foreclosing relief to those convicted of felony forgery that was also facilitated by the felony offense of identity theft, and barring relief for anyone who happens to have been convicted, at some point in
III
Because Gonzales's forgery and identity theft convictions did not occur "in connection with" each other, we conclude he is among the group of convicts eligible for resentencing relief under Proposition 47.
Section 473(b) is best read to require that the offenses resulting in defendant's forgery and identity theft convictions must have been undertaken "in connection with" each other to preclude him from resentencing eligibility. This understanding is consistent with the language and intended purpose of Proposition 47, and what insights we can glean from the ballot materials. Here, Gonzales's convictions were based on conduct committed years apart and bearing no relationship to each other. That defendant was convicted and sentenced in a single consolidated proceeding for his forgery and identity theft offenses does not automatically tether these sufficiently to leave Gonzales ineligible for resentencing under Proposition 47.
We affirm the Court of Appeal and remand the matter back to the trial court for further proceedings consistent with this opinion.
WE CONCUR:
CANTIL-SAKAUYE, C. J.
CHIN, J.
LIU, J.
KRUGER, J.
MOORE, J.[7]
CORRIGAN, J.
* Associate Justice of the Court of Appeal, Fourth Appellate District, Division Three, assigned by the Chief Justice pursuant to article VI, section 6 of the California Constitution.
The relationship required between forgery and identity theft appears in the statutory language of section 473, subdivision (b) itself: "Notwithstanding subdivision (a), any person who is guilty of forgery relating to a check, bond, bank bill, note, cashier's check, traveler's check, or money order, where the value of the check, bond, bank bill, note, cashier's check, traveler's check, or money order does not exceed nine hundred fifty dollars ($950), shall be punishable by imprisonment in a county jail for not more than one year, except that such person may instead be punished pursuant to subdivision (h) of Section 1170 if that person has one or more prior convictions for an offense specified in clause (iv) of subparagraph (C) of paragraph (2) of subdivision (e) of Section 667 or for an offense requiring registration pursuant to subdivision (c) of Section 290. This subdivision shall not be applicable to any person who is convicted both of forgery and of identity theft, as defined in Section 530.5." (Italics added.)
The first sentence of section 473, subdivision (b) prescribes misdemeanor treatment for a subset of forgeries "relating to" seven types of enumerated instruments valued at $950 or less when the offender has not suffered certain prior convictions. Because this sentence narrows the class of forgeries eligible for misdemeanor treatment to those "relating to" certain instruments, the most natural reading of the second sentence's exclusion of those "convicted both of forgery and of identity theft" suggests the exclusion applies only if one is also convicted of identity theft "relating to" the same instrument involved in the forgery conviction. ( § 473, subd. (b).) This understanding explains the Legislative Analyst's statement that check forgery would be a misdemeanor " 'except that it would remain a wobbler crime if the offender commits identity theft in connection with forging a check.' " (Voter Information Guide, Gen. Elec. (Nov. 4, 2014) analysis of Prop. 47 by Legis. Analyst, p. 35.) In other words, if both convictions "relat[e] to" the same instrument, misdemeanor treatment for forgery is not allowed. ( § 473, subd. (b).)
This understanding is also consistent with the identity theft statute. As relevant here, section 530.5, subdivision(a) provides: "Every person who willfully obtains personal identifying information ... and uses that information for any unlawful purpose, including to obtain, or attempt to obtain, credit, goods, services, real property, or medical information without the consent of that person, is guilty of a public offense ...." This offense may be committed in myriad ways. However, for this offense to have some nexus to a forgery conviction "relating to" a particular instrument under section 473, subdivision (b), the personal identifying information must be used with respect to the same instrument. As we observed in People v. Romanowski (2017) 2 Cal.5th 903 , 215 Cal.Rptr.3d 758 , 391 P.3d 633 , "a check can contain some of the same information that is found on an access card, along with the owner's address and other details that would facilitate identity theft." (
Section 473, subdivision (b) reflects the electorate's intent to prescribe misdemeanor treatment for forgery not exceeding $950 "relating to" seven types of instruments. In light of the electorate's focus on these, and not other, instruments, the applicability of section 473, subdivision (b)'s exception for those "convicted both of forgery and of identity theft" should likewise be interpreted to focus on whether the identity theft conviction "relat[ed] to" the same instrument involved in the forgery conviction. Here, the record reflects defendant's identity theft conviction stemmed from his jailhouse efforts between 2005 and 2006 to open fraudulent phone accounts. This conviction did not "relat[e] to" the particular instruments at issue in the 2003 incident, which was the basis for his forgery convictions. ( § 473, subd. (b).) Accordingly, the identity theft conviction did not preclude defendant from resentencing under section 1170.18, subdivision (a).
I CONCUR:
CHIN, J.
In a single consolidated proceeding, defendant Craig Danny Gonzales pleaded guilty to multiple offenses stemming from three different cases, including four counts of check forgery arising from conduct that occurred in 2003 and one count of identity theft committed in 2006. After California voters enacted Proposition 47, Gonzales petitioned the trial court to reduce his forgery convictions to misdemeanors under new procedures contained in section 473(b). The trial court denied his petition, but the Court of Appeal reversed, holding that section 473(b) precludes relief only if an identity theft offense is "transactionally related" to a forgery conviction. ( People v. Gonzales (2016) 6 Cal.App.5th 1067 , 1069, 211 Cal.Rptr.3d 814 ( Gonzales ).)
We agree with the Court of Appeal's decision to reverse. The terms of section 473(b), the statute's overall structure, and the light these shed on the statute's purpose indicate that a connection between "both" the forgery and identity theft convictions must exist to disqualify an offender from resentencing. ( § 473(b).) To the extent the precise meaning of the statute's terms is somewhat ambiguous, the extrinsic evidence confirms the electorate's intended purpose in approving Proposition 47 was to require that the conduct related to the forgery and identity theft convictions must have been made "in connection with" each other to preclude Gonzales from resentencing. ( Gonzales , supra , 6 Cal.App.5th at p. 1073, 211 Cal.Rptr.3d 814 .)
Here, Gonzales's forgery convictions were based on conduct committed in 2003, and his identify theft conviction was based
1 All subsequent statutory citations are to the Penal Code, unless otherwise noted.
On November 1, 2005, law enforcement officers witnessed Gonzales walk from a motel parking lot into a room. Officers arrested him and conducted a search of the motel room, seizing a bag of methamphetamine, cash, paperwork, and various drug paraphernalia.
Between December 22, 2005, and June 12, 2006, AT&T opened several accounts in Sacramento County - later determined to be fraudulent - relying on personal identifying information of six individuals. In the course of investigating these accounts, law enforcement officers uncovered a scheme in which Gonzales and his fellow inmate opened the fraudulent telephone accounts, enabling them to make free telephone calls from jail.
On April 12, 2006, a consolidated information was filed against Gonzales arising from the 2003 and 2005 incidents - the one arising from allegations involving forgery, theft, and drug charges stemming from the September 2003 search of Gonzales and the van (No. 03F07705); and the one (No. 05F09704) involving the two drug charges based on the November 2005 search of a hotel room connected with defendant. (See Gonzales , supra , 6 Cal.App.5th at pp. 1069-1070, 211 Cal.Rptr.3d 814 .) Gonzales was charged with a total of 13 offenses in the consolidated case.[2]
2 Counts one, three, four, and five charged Gonzales with willfully making, forging, or passing a counterfeit check with intent to defraud. (§ 470, subd. (d).) Count two charged him with obtaining money by false pretenses. (§ 532, subd. (a).) Count six charged him with possession of blank checks with the intention of completing them. (§ 475, subd. (b).) Count seven charged Gonzales with making, passing, or uttering a check with intent to defraud. (§ 476.) Count eight charged him with possession of a falsified identification card. (§ 470b.) Counts nine and twelve charged him with possession of methamphetamine for sale. (Health & Saf. Code, § 11378.) Counts ten and eleven charged him with transportation or sale of methamphetamine. (Health & Saf. Code, § 11379, subd. (a).) Count 13 charged him with failing to appear. (§ 1320.5.)
Gonzales appealed the trial court's decision, and the Court of Appeal reversed the order as to counts one and three through seven.[3] The Court of Appeal thought it clear that the "convicted both of" language in section 473(b) applies only to the "identity theft that is committed in a transactionally related manner with the forgery of an instrument, and not where, as here, the identity theft occurred in an independent transaction that simply happened to be part of the same sentencing proceeding." ( Gonzales , supra , 6 Cal.App.5th at p. 1073, 211 Cal.Rptr.3d 814 .) The Court of Appeal held that Gonzales's 2006 identity theft conviction was not a proper basis for the trial court's denial order as to certain counts in the 2003 and 2005 cases. The Court of Appeal therefore reversed the trial court's order denying relief under section 1170.18 as to counts one and three to seven, and remanded to the trial court for further proceedings to determine defendant's eligibility for relief on the affected counts. ( Gonzales , at pp. 1073-1074, 211 Cal.Rptr.3d 814 .)
3 The petition in this case was filed as to No. 03F07705. As noted above, that case consisted of a consolidated information along with No. 05F09704, with No. 03F07705 designated as the lead case. Gonzales ultimately entered a plea in both the consolidated cases and in No. 06F11190.
4 Section 530.5, subdivision (a) reads as follows: "Every person who willfully obtains personal identifying information [name, address, telephone number, PIN number, etc.] of another person, and uses that information for any unlawful purpose ... without the consent of that person, is guilty of a public offense, and upon conviction therefor, shall be punished by a fine, by imprisonment in a county jail not to exceed one year, or by both a fine and imprisonment ...." Thus, the crime of identity theft requires that there be "another person," whereas the crime of forgery does not: "Every person who possesses or receives, with the intent to pass or facilitate the passage or utterance of any forged, altered, or counterfeit items, or completed items ... with intent to defraud, knowing the same to be forged, altered, or counterfeit, is guilty of forgery." (§ 475, subd. (a).)
As we explain below, use of the present tense in the statutory provisions at issue, along with use of the word "both" in the context of a remedial statute (see People v. Dehoyos (2018) 4 Cal.5th 594 , 597-599, 229 Cal.Rptr.3d 687 , 412 P.3d 368 [describing remedial objectives of Proposition 47] ), strongly suggest the two convictions must have some connection with each other. Nonetheless, we acknowledge that the word "both" in section 473(b) could have several possible interpretations affecting when a forgery conviction is excluded from resentencing as a misdemeanor: (1) whenever the defendant has also been convicted of identity theft; (2) whenever the defendant is convicted of identity theft at the same time he is convicted of forgery; or (3) whenever the defendant is convicted of identity theft for the same conduct as his forgery conviction. We may therefore consider Proposition 47's ballot summary and pamphlet to glean the voters' intended purpose and to ascertain the statute's overall purpose. (See Pearson , supra , 48 Cal.4th at p. 571, 107 Cal.Rptr.3d 265 , 227 P.3d 858 .)
Although Proposition 47 does not specifically address whether forgery and identity theft convictions must arise in a single proceeding, the ballot summary does suggest the exclusionary provision in section 473(b) was meant to apply only where check forgery bore some connection to identity theft. The Legislative Analyst writes: "Under current law, it is a wobbler crime to forge a check of any amount. Under this measure, forging a check worth $950 or less would always be a misdemeanor, except that it would remain a wobbler crime if the offender commits identity theft in connection with forging a check." (Voter Information Guide, Gen. Elec. (Nov. 4, 2014) analysis of Prop. 47 by Legis. Analyst, p. 35, italics added.) From this indicium, the Court of Appeal concluded that "the intent with which voters enacted the proposition, it is clear that 'convicted both of' ( § 473(b) ) must apply only to identity theft that is committed in a transactionally related manner with the forgery of an instrument, and not where, as here, the identity theft occurred in an independent transaction that simply happened to be part of the same sentencing proceeding." ( Gonzales , supra , 6 Cal.App.5th at p. 1073, 211 Cal.Rptr.3d 814 .) We agree that the two convictions must have been made "in connection with" each other, but we decline to adopt a "transactionally related" standard. Here, the analyst statement provides an example of how forgery and identity theft convictions must have been made "in connection with" each other to preclude relief under Proposition 47.[6]
6 We acknowledge the concurrence's reluctance to adopt the "in connection with" language as the standard. (Conc. opn. post , 237 Cal.Rptr.3d at pp. 203-04, 424 P.3d at pp. 288-89.) While this language does appear in the ballot pamphlet, we adopt this phrase because it is an apt description of the statutory requirement, bolstered by the pamphlet's contents-not merely because the language happens to appear in the pamphlet. Our interpretation of Proposition 47 is governed by the same principles that apply in construing a statute enacted by the Legislature. ( Pearson , supra , 48 Cal.4th at p. 571, 107 Cal.Rptr.3d 265 , 227 P.3d 858 .) When we interpret statutory language, whether from an initiative or a legislatively enacted bill, we must often explain what an ambiguous term actually means. Here, the term "both" establishes that some connection or relationship is necessary between a forgery and identity theft conviction to disqualify Gonzales from the benefit of having his sentence recalled. But because the word "both" may be somewhat ambiguous (see ante 237 Cal.Rptr.3d at pp. 200-01, 424 P.3d at pp. 285-86), we consider the statute's text and remedial purpose as well as extrinsic sources. (See, e.g., People v. Lopez (2005) 34 Cal.4th 1002 , 1006, 22 Cal.Rptr.3d 869 , 103 P.3d 270 .) The provision at issue stops well short of precluding relief for petitioners where the relationship between the two offenses is weak or nonexistent-and we find the "in connection with" language aptly describes the kind of relationship necessary to conclude that a forgery conviction may not be subject to resentencing.
Such a reading is consistent with the text and structure of this section of the statute, which separately precludes relief for certain categories of prior convictions and offenses. The first sentence in section 473(b) concerns the nature of the defendant and his past actions that would limit relief. This sentence prescribes misdemeanor treatment for a subset of forgeries "relating to" certain types of enumerated instruments valued at $950 or less, where the defendant has not suffered certain prior convictions. ( § 473(b).) While this "relating to" phrase may simply be modifying language in the first sentence, to the extent it can be read to apply more broadly, it supports our conclusion that there must be a connection between the two offenses because this sentence narrows the class of forgeries eligible for misdemeanor treatment to those "relating to" certain instruments. ( Ibid. ) And, as the concurrence acknowledges, the requirement that some connection or relationship exist between the offenses helps explain the Legislative Analyst's statement that check forgery would remain a misdemeanor except in cases where the offender commits identity theft in connection with forging a check. (Conc. opn. post , 237 Cal.Rptr.3d at pp. 204-05, 424 P.3d at pp. 289-99.)
The last sentence of section 473(b) evinces concern with the nature of the defendant's current offense: was it for just forgery, or forgery and identity theft? The Attorney General contends that the drafters could have used "in commission" to indicate a "transactionally related" requirement. But the statute reflects a somewhat broader concern - involving defendants " convicted of forgery and of identity theft" ( § 473(b), italics added), not just a
Cases cited
- People v. Rivera 233 Cal.App.4th 1085 p. 197
- Apple Inc. v. Superior Court 56 Cal.4th 128 p. 198
- People v. Superior Court 48 Cal.4th 564 p. 198
- Alcala v. Superior Court 43 Cal.4th 1205 p. 198
- Carmack v. Reynolds 2 Cal.5th 844 p. 198
- Coalition v. City of Upland 3 Cal.5th 924 p. 198
- Larkin v. Workers' Compensation Appeals Board 62 Cal.4th 152 p. 198
- People v. Lance W. 37 Cal.3d 873 at 890 p. 198
- People v. Romanowski 2 Cal.5th 903 p. 203, p. 204, p. 290
- People v. Gonzales 6 Cal.App.5th 1067 p. 282
- People v. Dehoyos 4 Cal.5th 594 p. 286