Tag Archives: Vicarious liability

Amelioration, Sentencing, Standard of review, Vicarious liability

Case 000645

Posted on by Gary McCurdy

Error and/or relief

As to the section 1172.6 petition, the trial court denied the petition. This ruling was in error because the record of conviction does not establish as a matter of law that the defendant is ineligible for relief.

First Holding:

Under Penal Code section 1172.6, a defendant is entitled to an evidentiary hearing unless the record of conviction at the prima facie stage conclusively refutes—as a matter of law—defendant’s claim that he was convicted of a homicide offense under a now invalid legal theory.

Authority:

People v. Ervin (2021) 72 Cal.App.5th 90, 101

Second Holding:

In reviewing any part of the record of conviction at this preliminary juncture, a trial court should not engage in factfinding involving the weighing of evidence or the exercise of discretion.

Authority:

People v. Lewis (2021) 11 Cal.5th 952, 972

Third Holding:

On the plea form in 1994, the defendant stated that he was both an aider and abettor and the shooter. These statements are internally inconsistent. A defendant cannot be both an aider and abettor, and a direct perpetrator (the shooter). The defendant’s admission to the personal use of a firearm does not resolve the issue because a defendant can personally use a firearm without shooting it (e.g., brandishing a firearm).

Authority:

PEN 31

People v. Arzate (2003) 114 Cal.App.4th 390, 400

Fourth Holding:

While we could reject his statement that he was an aider and abettor and accept his statement that he was the shooter, we cannot engage in judicial discretion at the prima facie stage.

Authority:

People v. Garcia (1995) 32 Cal.App.4th 1756, 1771 [an exercise of discretion means different courts may reasonably arrive at different decisions, even on the same facts]

Fifth Holding:

We review de novo a trial court’s denial of a section 1172.6 petition at the prima facie stage. Appellate courts also interpret statutes under a de novo standard.

Authority:

People v. Harden (2022) 81 Cal.App.5th 45, 52

John v. Superior Court (2016) 63 Cal.4th 91, 95

Sixth Holding:

Generally, a person may be liable for a crime either as a direct perpetrator or as an aider and abettor. A person can be held liable for crimes that were intentionally aided and abetted (target offenses); a person can also be held liable for any crimes that were not intended but were reasonably foreseeable (nontarget offenses). Liability for an intentional, target offense is known as direct aider and abettor liability; liability for an unintentional, nontarget offense is known as the natural and probable consequences doctrine.

Authority:

PEN 31

People v. Laster (1997) 52 Cal.App.4th 1450, 1462–1463

People v. Montes (1999) 74 Cal.App.4th 1050, 1055

Seventh Holding:

Effective January 1, 2019, the Legislature narrowed accomplice liability theories for murder and attempted murder.The Legislature eliminated natural and probable consequences liability for murder as it applies to aiding and abetting, and limited the scope of the felony-murder rule. The Legislature also created a special procedural mechanism for those convicted under the former law to seek retroactive relief under the law as amended.

Authority:

People v. Lewis (2021) 11 Cal.5th 952, 957

People v. Strong (2022) 13 Cal.5th 698, 708

Eighth Holding:

Direct aider and liability is still a valid legal theory for homicide offenses after the Legislature amended sections 188 and 189. We have generally described the requisite mens rea for direct aiding and abetting as knowledge of the direct perpetrator’s unlawful intent and an intent to assist in achieving those unlawful ends.

Authority:

People v. Medrano (2021) 68 Cal.App.5th 177, 183

People v. Curiel (2023) 15 Cal.5th 433, 468

Ninth Holding:

Under section 1172.6, if the petitioner makes a prima facie showing, the trial court must issue an order to show cause and conduct an evidentiary hearing. At the prima facie stage, the trial court examines the underlying record of conviction, but the court should not engage in factfinding involving the weighing of evidence or the exercise of discretion.

Authority:

People v. Lewis (2021) 11 Cal.5th 952, 972

Tenth Holding:

The trial court accepts the petitioner’s factual allegations as true and makes a preliminary assessment regarding whether the petitioner would be entitled to relief if his or her factual allegations were proved. The court may consider jury instructions, jury verdicts, and other documents that are part of the record of conviction to determine whether the petitioner satisfies the conditions for relief.

If the record, including the court’s own documents, contains facts refuting the allegations made in the petition, then the court is justified in making a credibility determination adverse to the petitioner at the prima facie stage. For example, if the record of conviction irrefutably establishes as a matter of law that the jury determined that the petitioner was the actual killer, the trial court may properly deny the petition at the prima facie stage.

Authority:

People v. Flores (2023) 96 Cal.App.5th 1164, 1170

People v. Lewis (2021) 11 Cal.5th 952, 971

People v. Harden (2022) 81 Cal.App.5th 45, 56, 60

Eleventh Holding:

When a petitioner’s conviction results from a guilty plea, the record of conviction includes facts “the defendant admitted as the factual basis for a guilty plea. And when a defendant pleads guilty, he or she admits every element of the charged offense. However, in a section 1172.6 petition at the prima facie stage, the court may ordinarily only consider the facts the defendant has stipulated to as part of the guilty plea to determine the theory under which the defendant was convicted.

Authority:

People v. Gallardo (2017) 4 Cal.5th 120, 136

People v. Rivera (2021) 62 Cal.App.5th 217, 234

People v. Davenport (2021) 71 Cal.App.5th 476, 484

Twelfth Holding:

The defendant’s ambiguous statement in his felony plea form that he was both an aider and abettor and the shooter does not refute as a matter of law his later averment in his section 1172.6 petition that he was convicted as an aider and abettor under the natural and probable consequences doctrine. In order to resolve the defendant’s factual claim there must be an evidentiary hearing.

Authority:

People v. Ervin (2021) 72 Cal.App.5th 90, 101

 

 

Amelioration, Sentencing, Vicarious liability

Case 000644

Posted on by Gary McCurdy

Error and/or relief

The trial court denied the defendant’s petition for recall of sentence under section 1172.6 without an evidentiary hearing, concluding that the transcript of trhe preliminary examination showed that he was prosecuted as the direct perpetrator. Defendant contends the record of conviction does not conclusively foreclose relief. Alternatively, he requests a conditional reversal that would allow him to dispute hearsay statements testified to at the preliminary hearing. We will therefore remand the matter and direct the trial court to consider such an amended petition, should defendant elect to file one.

First Holding:

In 2018, the Legislature enacted SB 1437 (2017–2018 Reg. Sess.), which amended sections 188 and 189 to eliminate several theories of liability based on imputed malice in homicide cases. The Legislature has also offered relief to those convicted under certain homicide theories, such as murder or attempted murder under the natural and probable consequences doctrine, whose convictions are now tainted.

As relevant here, a defendant convicted of manslaughter may petition to have that conviction vacated if (a) the pleading allowed the prosecution to proceed under a theory of felony murder, murder under the natural and probable consequences doctrine or other theory under which malice is imputed to a person based solely on that person’s participation in a crime, or attempted murder under the natural and probable consequences doctrine; (b) the petitioner accepted a plea offer in lieu of a trial at which the petitioner could have been convicted of murder or attempted murder; and (c) the petitioner could not presently be convicted of murder or attempted murder because of changes to section 188 or 189 made effective January 1, 2019.

An order to show cause must issue if a petitioner makes a prima facie case for relief. At an evidentiary hearing on the order to show cause, the prosecution must prove beyond a reasonable doubt that the defendant is guilty under current law.

Authority:

People v. Lewis (2021) 11 Cal.5th 952, 971

People v. Patton (2025) 17 Cal.5th 549, 565, 568

Second Holding:

Some cases may be so straightforward as to prompt a concession of a prima facie showing and if the record contains any indication the petitioner had an accomplice who may have been the killer, a prima facie case ordinarily would be readily established, even by conclusory assertions in a form petition.

Authority:

People v. Patton (2025) 17 Cal.5th 549, 560, fn. 4

Third Holding:

Section 1172.6(d)(3) expressly provides that hearsay evidence that was admitted in a preliminary hearing pursuant to section 872(b) shall be excluded from the resentencing evidentiary hearing as hearsay, unless the evidence is admissible pursuant to another exception to the hearsay rule. [Section 872(b), applicable to preliminary examinations, provides that the finding of probable cause to hold the defendant to answer in superior court on the felony may be based in whole or in part upon the sworn testimony of a qualified law enforcement officer relating the statements of declarants made out of court offered for the truth of the matter asserted.]

Thus, at an evidentiary hearing under section 1172.6(d)(3), the officer’s statements would be excluded unless admissible under an Evidence Code exception to the hearsay rule. One appellate court has held that it was not error to deny a section 1172.6 petition at the prima facie stage based in part on hearsay testimony given by police officers at the preliminary hearing.

Authority:

People v. Rodriguez (2026) 117 Cal.App.5th 1179, 1185

Fourth Holding:

In light of Patton, the defendant should be provided an opportunity to argue the factual landscape of the preliminary hearing and be provided the opportunity to present testimony or other evidence to show he was not the actual killer. The trial court should also have the opportunity to consider any additional facts pled by defendant in support of a prima facie case for relief under section 1172.6.

Authority:

People v. Patton (2025) 17 Cal.5th 549, 565, 569-570

Appellate Principles, Elements of crime, Sentencing, Sufficiency of and substantial evidence, Vicarious liability

Case 000608

Posted on by Gary McCurdy

Error and/or relief

The denial of the defendant’s motion for recall of sentence under section 1172.6 is reversed, and the court is directed to grant the petition. After examination of all the evidence, we conclude that there is insufficient evidence to support any theory today under which the defendant coould be convicted of murder.

First Holding:

The defendant was the assigned getaway driver who was not present in the building where the robbery took place. A bystander was killed by the police during the confrontation between the other defendants and the police. The defendant entered a plea bargain in which he pleaded guilty to one count of felony murder. First degree implied malice murder is not a valid theory of conviction for an accomplice under the provocative act theory of murder; the accomplice must harbor express malice–the specific intent to kill–in order to be properly convicted of first degree murder under this theory.

Authority:

People v. Concha (2009) 47 Cal.4th 653, 662

Second Holding:

The felony murder rule is not applicable where the killing was committed by a third party (e.g., police officer) who was not involved in the perpetration of the underlying felony. Because the felony murder rule is not applicable to these facts, the Banks/Clark inquiry as to the degree of defendant’s participation in the robbery and whether he displayed reckless indifference to human life during the course of the robbery is also inapplicable.

The provocative act murder doctrine arose as an alternative to felony-murder liability in circumstances where the killing was committed by a third party who was not involved in the perpetration of the underlying felony. A provocative act murder case necessarily involves at least three people—the perpetrator of the underlying offense, an accomplice, and a victim of their crime.

Authority:

People v. Taylor (2025) 108 Cal.App.5th 849, 861, 866

People v. Clark (2016) 63 Cal.4th 522

People v. Banks (2015) 61 Cal.4th 788

People v. Antonelli (2025) 17 Cal.5th 719, 727

Third Holding:

SB 1437, which took effect on January 1, 2019, limited accomplice liability under the felony-murder rule and eliminated the natural and probable consequences doctrine as it relates to murder, to ensure that a person’s sentence is commensurate with his or her individual criminal culpability.

Authority:

People v. Gentile (2020) 10 Cal.5th 830, 842-844

Fourth Holding:

This court will ignore the findings purportedly made by the trial court following the remand from the court in the earlier appeal, as they were outside the scope of the remittitur. The remittitur defines the scope of the trial court’s jurisdiction to act, and action which does not conform to the reviewing court’s directions is unauthorized and void. Trial courts are bound by the directions given by a reviewing court and have no authority to retry any other issue or to make any other findings; the court’s authority is limited wholly and solely to following the directions of the reviewing court.

Authority:

In re J.M. (2024) 103 Cal.App.5th 745, 755

People v. Dutra (2006) 145 Cal.App.4th 1359, 1367

Fifth Holding:

Murder is the unlawful killing of a human being with malice aforethought. The requisite malice may be express or implied. Murder is committed with implied malice when the killing is proximately caused by an act, the natural consequences of which are dangerous to life, which act was deliberately performed by a person who knows that his conduct endangers the life of another and who acts with conscious disregard for life.

To be considered the proximate cause of the victim’s death, the defendant’s act must have been a substantial factor contributing to the result, rather than insignificant or merely theoretical. The defendant’s life-endangering act must proximately cause the victim’s death and to suffice for implied malice murder, the defendant’s act must involve a high degree of probability that it will result in death.

A relevant life-endangering act is one that proximately causes the victim’s death. It is an act or omission that sets in motion a chain of events that produces as a direct, natural and probable consequence of the act or omission the death of the victim and without which the death would not occur.

Authority:

People v. Reyes (2023) 14 Cal.5th 981, 988-989

People v. Cervantes (2016) 26 Cal.4th 860, 866

Sixth Holding:

Notwithstanding SB 1437’s elimination of natural and probable consequences liability for second degree murder, an aider and abettor who does not expressly intend to aid a killing can still be convicted of second degree murder if the person knows that his or her conduct endangers the life of another and acts with conscious disregard for life.

Authority:

People v. Reyes (2023) 14 Cal.5th 981, 990

Seventh Holding:

Direct aiding and abetting is based on the combined actus reus of the participants and the aider and abettor’s own mens rea. In the context of implied malice, the actus reus required of the perpetrator is the commission of a life-endangering act. For the direct aider and abettor, the actus reus includes whatever acts constitute aiding the commission of the life-endangering act. Thus, to be liable for an implied malice murder, the direct aider and abettor must, by words or conduct, aid the commission of the life-endangering act, not the result of that act.

The mens rea, which must be personally harbored by the direct aider and abettor, is knowledge that the perpetrator intended to commit the act, intent to aid the perpetrator in the commission of the act, knowledge that the act is dangerous to human life, and acting in conscious disregard for human life.

The direct aider and abettor must, therefore, act with intent to aid the life-endangering act of the direct perpetrator that proximately causes the death. Implied malice murder requires attention to the aider and abettor’s mental state concerning the life endangering act committed by the direct perpetrator, such as shooting at the victim.

The aider and abettor must know the direct perpetrator intends to commit the murder or life-endangering act and intend to aid the direct perpetrator in its commission. It is this mental relationship to the perpetrator’s acts that confers liability on the aider and abettor.

Authority:

People v. Reyes (2023) 14 Cal.5th 981, 990-992

People v. Collins (2025) 17 Cal.5th 293, 311

People v. Curiel (2023) 15 Cal.5th 433, 468

Eighth Holding:

We remand the case with directions to grant the petition and resentence defendant on the underlying offense of robbery.

Authority:

People v. Dixon (2026) 118 Cal.App.5th 116, 137, fn. 3 [Granting the petition for resentencing, as opposed to ordering a new evidentiary hearing, may be the appropriate remedy where a petitioner successfully demonstrates no substantial evidence supports the denial of a section 1172.6 petition even considering erroneously admitted evidence at an evidentiary hearing]

Amelioration, Elements of crime, Sentencing, Standard of review, Vicarious liability

Case 000590

Posted on by Gary McCurdy

Error and/or relief

The trial court erred in summarily denying the defendant’s Penal Code section 1172.6 petition for resentencing at the prima facie stage.

First Holding:

Effective January 2019, the Legislature amended the law to eliminate liability for murder based on the natural and probable consequences doctrine or theories of imputed malice predicated solely on one’s participation in a crime. As relevant here, section 1172.6 applies to those who pled guilty to manslaughter after being charged with murder and who would have been subject to prosecution for murder under a felony-murder theory, the natural and probable consequences doctrine, or any other theory of imputed malice.

Authority:

PEN 1172.6

People v. Lewis (2021) 11 Cal.5th 952, 959

People v. Gaillard (2024) 99 Cal.App.5th 1206, 121

Second Holding:

A trial court considering a section 1172.6 petition must first determine whether the petitioner made a prima facie showing he or she could not presently be convicted under the amended laws. In doing so, the court accepts the petitioner’s factual allegations as true. The court may deny the petition at the prima facie stage only if the record of conviction—which includes facts admitted in a guilty plea—conclusively establishes that the petitioner is ineligible for relief as a matter of law.

Here, as the People concede, the record did not foreclose the possibility that the defendant was convicted under the invalid natural and probable consequences theory. His admissions and factual basis for the guilty plea were generic and did not establish the specific theory of aiding and abetting under which the defendant admitted guilt. Accordingly, they do not establish that he is ineligible for section 1172.6 relief as a matter of law. He pled that he aided and abetted a murder, but the natural and probable consequences doctrine is one theory of aiding and abetting.

Authority:

People v. Lewis (2021) 11 Cal.5th 952, 971

People v. Gaillard (2024) 99 Cal.App.5th 1206, 1211. 1212

Third Holding:

We review de novo the trial court’s resentencing denial at the prima facie stage.

Authority:

People v. Gaillard (2024) 99 Cal.App.5th 1206, 1211

Abstracts and Minutes, Elements of crime, Jury instructions, Standard of review, Sufficiency of and substantial evidence

Case 000583

Posted on by Gary McCurdy

Error and/or relief

Though the trial court erred in failing to instruct that mere presence at the scene is insufficient to prove guilt, the error was harmless in light of the other evidence presented. The abstract of judgment is premature. The trial court suspended imposition of sentence and placed the defendant on probation for two years. The abstract of judgment, however, indicates that the defendant was sentenced to state prison for two years. It must be corrected.

First Holding:

The abstract of judgment is premature. The trial court suspended imposition of sentence and placed the defendant on probation for two years. The abstract of judgment, however, indicates that the defendant was sentenced to state prison for two years. it must be corrected.

(GARY note: The court cited no authority for its directive that the abstract of judgment be corrected. Likely because the error and cure seem so obvious. But there is plenty of authority for the court’s order, and I have set out some below.)

Authority:

People v. Mitchell (2001) 26 Cal.4th 181, 185

People v. Delgado (2008) 43 Cal.4th 1059, 1070

People v. Leon (2020) 8 Cal.5th 831, 855

In re Black (1967) 66 Cal.2d 881, 890

People v. Zackery (2007) 147 Cal.App.4th 380, 385

People v. Farell (2002) 28 Cal.4th 381, 384, fn. 2

Second Holding:

We review questions of instructional error de novo. In so doing, we consider the jury instructions as a whole, as well as the charges and entire record.

Authority:

People v. Posey (2004) 32 Cal.4th 193, 218

People v. Serrano (2022) 77 Cal.App.5th 902, 909

Third Holding:

In determining a sufficiency of the evidence challenge, we review the whole record in the light most favorable to the judgment to determine whether it discloses substantial evidence—that is, evidence which is reasonable, credible, and of solid value—such that a reasonable trier of fact could find the defendant guilty beyond a reasonable doubt. The focus of the substantial evidence test is on the whole record of evidence presented to the trier of fact, rather than on isolated bits of evidence.Reversal on this ground is unwarranted unless it appears that upon no hypothesis whatever is there sufficient substantial evidence to support the conviction.

In other words, the relevant question is whether, after viewing the evidence in the light most favorable to the prosecution, any rational trier of fact could have found the essential elements of the crime beyond a reasonable doubt. The standard is the same in cases in which the People rely primarily on circumstantial evidence. If the circumstances reasonably justify the trier of fact’s findings, the opinion of the reviewing court that the circumstances might also be reasonably reconciled with a contrary finding does not warrant a reversal of the judgment.

Authority:

People v. Johnson (1980) 26 Cal.3d 557, 578

People v. Cuevas (1995) 12 Cal.4th 252, 261

People v. Bolin (1998) 18 Cal.4th 297, 331

People v. Nguyen (2015) 61 Cal.4th 1015, 1055

People v. Bean (1988) 46 Cal.3d 919, 932

Fourth Holding:

A person aids and abets the commission of a crime when he or she, acting with (1) knowledge of the unlawful purpose of the perpetrator; and (2) the intent or purpose of committing, encouraging, or facilitating the commission of the offense, and (3) by act or advice aids, promotes, encourages or instigates the commission of the crime. Whether a person has aided and abetted a crime is a question of fact for which the trier of fact may consider presence at the scene of the crime, companionship, and conduct before and after the offense. The requisite state of mind may be proven with circumstantial evidence.

Authority:

People v. Nguyen (2015) 61 Cal.4th 1015, 1054-1055

Fifth Holding:

Although defendant’s mere presence at the scene cannot alone establish aiding and abetting, her presence may be considered along with other evidence to establish that she aided and abetted the burglary. Further, possession of recently stolen property cannot alone establish burglary, but such possession is highly incriminating and need only be slightly corroborated.

Authority:

People v. Pettie (2017) 16 Cal.App.5th 23, 57

People v. Nguyen (2015) 61 Cal.4th 1015, 1055

People v. Mendoza (2000) 24 Cal.4th 130, 176

People v. McFarland (1962) 58 Cal.2d 748, 754-755

Sixth Holding:

It is settled that in criminal cases, even in the absence of a request, the trial court must instruct on the general principles of law relevant to the issues raised by the evidence. The general principles of law governing the case are those principles closely and openly connected with the facts before the court, and which are necessary for the jury’s understanding of the case. The trial court has a sua sponte duty to give the mere presence portion of the aiding and abetting instructions where there is substantial evidence supporting its consideration.

Authority:

People v. Ochoa (1998) 19 Cal.4th 353, 422

People v. Boyd (1990) 222 Cal.App.3d 541, 557

Seventh Holding:

We conclude that the defendant’s testimony was sufficient to trigger the trial court’s sua sponte duty to give the mere presence portion of the aiding and abetting instruction. However, whether prejudice is to be measured under the Watson standard or the more rigorous Chapman standard, we find beyond a reasonable doubt that the failure to instruct was harmless, in light of our review of the entire record, including the arguments of the parties.

Authority:

People v. Boyd (1990) 222 Cal.App.3d 541, 557

People v. Perry (1979) 100 Cal.App.3d 251, 260

People v. Powell (2021) 63 Cal.App.5th 689, 715

People v. Watson (1956) 46 Cal.2d 818

Chapman v. California (1967) 386 U.S. 18