The People v. Lester ( 2013 )

Filed 10/7/13
See Concurring and Dissenting Opinion
CERTIFIED FOR PUBLICATION
IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA
FOURTH APPELLATE DISTRICT
DIVISION TWO
THE PEOPLE,
Plaintiff and Respondent, E055009
v. (Super.Ct.No. FSB1002367)
NICHOLAS DEMARCO LESTER, OPINION
Defendant and Appellant.
APPEAL from the Superior Court of San Bernardino County. J. David Mazurek,
Judge. Affirmed with directions.
Eric R. Larson, under appointment by the Court of Appeal for Defendant and
Appellant.
Kamala D. Harris, Attorney General, Dane R. Gillette, Chief Assistant Attorney
General, Julie L. Garland, Assistant Attorney General, Michael T. Murphy and James D.
Dutton, Deputy Attorneys General, for Plaintiff and Respondent.
A jury convicted defendant, Nicholas Lester, of possessing cocaine for sale
(Health & Saf. Code, § 11351) and possessing marijuana for sale (Health & Saf. Code, §
11359). The jury further found that defendant had suffered three strike priors (Pen. Code,
1
§ 667, subds. (b)-(i)), four prior convictions for which he served prison terms (Pen. Code,
§ 667.5, subd. (b))1 and a prior drug conviction (Health & Saf. Code, § 11370.2, subd.
(a)). He was sentenced to prison for 25 years to life, plus 6 years. He appeals, claiming
his motion to suppress should have been granted. In supplemental briefing, he also
asserts that he is entitled to be resentenced to twice the term for his conviction of
possessing cocaine for sale, with a concurrent sentence of twice the term for possessing
marijuana for sale. We reject both of his contentions and affirm, while directing the trial
court to correct an error in the abstract of judgment.
The facts of this case are not relevant to the appeal.2
ISSUES AND DISCUSSION
1. Denial of Motion to Suppress
1 Only three strike priors were alleged in the information. However, the jury also
made true findings as to both counts that defendant had suffered three other felony
convictions. Also, the information alleged only four prison priors, but the jury made true
findings, as to both counts, that defendant had suffered six prison priors. Both below and
here, the parties ignore the findings as to priors that were not alleged in the information.
The trial court also ignored them and sentenced defendant only for the three strike priors
and the four prison priors.
2 Counsel for appellant recently notified this court that the appeal had become
moot because defendant has been ―resentenced to a determinate term . . . pursuant to the
discretionary sentencing provisions of Proposition 36. (Pen. Code, §1170.126.)‖
However, ―‗―[i]f an action involves a matter of continuing public interest and the issue is
likely to recur, a court may exercise an inherent discretion to resolve that issue, even
though an event occurring during its pendency would normally render the matter
moot.‖‘‖ (Baluyut v. Superior Court (1996) 12 Cal. 4th 826, 829, fn 2., and cases cited.)
This is just such a case, and we have certified this opinion for publication. (See Cal.
Rules of Court, rule 8.1105(c)(5) [addresses ―conflict in the law‖], (6) [―legal issue of
continuing public importance‖].)
2
At the hearing on the motion to suppress, the first officer to arrive at defendant‘s
apartment testified that he was dispatched at 3:45 a.m. on June 10, 2010 for a disturbance
between subjects which the 911 caller believed were going to have a physical fight and
there were four to five female subjects near a red car who were yelling and screaming and
possibly going to engage in a physical fight.3 The 911 caller was at 1105 ―F‖ Street,
which was a two unit apartment. When the officer arrived after some delay,4 he saw that
there was no red car outside. As the officer and five others walked up to the building,
defendant and the codefendant walked out of the more eastern of the two apartments,
which turned out to be 1103 ―F‖ Street and which was attached to the apartment at 1105
―F‖ Street, and walked towards the officers in the driveway. The officer asked the men
what was going on. The codefendant said, ―There is a problem with my baby mama, but
it‘s all right now.‖ The defendant and codefendant were detained by two of the five other
officers and sat down at the curb, because it was suspected that they were involved in the
disturbance that caused the 911 call. The officer spoke to the 911 caller, who told him
that ―a large fight had taken place next door at 1103[,]‖ but she did not want to say
anything else.5 The officer knocked on the door at 1103, to see if any of the females
3 The officer denied being informed before he arrived that the parties to the
argument had left. Another officer who followed him into the house testified that he was
aware of this, but he did not inform the first officer of this fact.
4 The caller had given dispatch the wrong street name and after the officer and
others arrived at the wrong location, she was called back and she gave the correct street.
5 In his reply brief, defendant points to the testimony of the 911 caller that she
told the officer that the people who caused the disturbance had left the location. First,
3
involved in the disturbance were there, but there was no answer. The officer opened the
door, which was not locked, and announced himself, then entered in order to find the
females and ensure that there was not a physical fight and they were not injured. He
immediately detected the strong smell of marijuana. No one was inside. However, he
saw, in plain sight, suspected marijuana and cocaine. The officer returned to the curb,
where he overheard defendant tell another officer that defendant was on parole and the
apartment at 1103 was his apartment. The officer and another re-entered the house to
search due to defendant‘s parole status and because contraband had been seen in plain
sight.
this witness, who initially gave the police the wrong street name for her residence and the
apartment next door, was extremely confused in her testimony during the hearing on the
motion to suppress, frequently giving answers that were not responsive to the questions
asked, prompting defense counsel to ask her if she was having psychological problems.
The testimony on which defendant relies was one such example. In response to the
question, ―when [the first officer] arrived, do you remember telling him that the people
who caused the disturbance had left the location?‖ she responded, ―Yes, sir. There‘s
been quite a few families moved out.‖ The 911 caller also testified almost immediately
thereafter that she did not recall telling the officer anything. She also testified that she
had ―been through quite a lot of medicine.‖ She testified that when she called 911, she
could not recall her own phone number. The officer testified that when he spoke to the
911 caller at the scene he asked her if she had called, she said she had, he asked her what
was going on, she said there had been a large fight next door, then she said she didn‘t
want to say anything more. Second, the trial court was tasked with making a
determination about the credibility of the witnesses. It may be inferred that it determined
that any suggestion by the 911 caller that she had told the officer that the people who had
caused the disturbance had left was unreliable. Finally, even if the 911 caller so testified,
she did not say how the four to five females had left, thereby leaving open the possibility
that all or some of them were still inside the apartment. Thus, even if the officer‘s
testimony that he was unaware that the people who caused the disturbance had left was
ignored and the testimony of the 911 caller and the officer who followed the first officer
into the apartment that he was aware of this were given full credence, the result would
not be different.
4
The trial court suggested that the facts were consistent with ―there [being] an
argument[,] then a fight and somebody is inside the apartment hurt . . . [and] . . . a
reasonable officer would be remiss [in] not further inquiring or investigating.‖ The trial
court denied defendant‘s motion to suppress, saying, ―[G]iven what confronted these
officers, the fact that there was an indication of a problem, . . . none of the females were
[sic] present, apparently the [red] car was gone, the [codefendant] was exiting an
apartment where he had indicated there was a problem with his ‗baby mama[,] but it was
okay now,‘ I think certainly the officers would have been remiss in their duties had they
not at least gone in and looked to see if somebody had been hurt[.] . . . [¶] . . . [¶] And
when they went [back] in to retrieve the . . . controlled substances, suspected narcotics,
and marijuana, they knew that [defendant] was on parole and subject to search . . . .‖
In reviewing a ruling on a motion to suppress, we view the record in the light most
favorable to the ruling and defer to the trial court‘s factual findings, express or implied,
when supported by substantial evidence. (People v. Rogers (2009) 46 Cal.4th 1136,
1157.) In determining whether, on the facts so found, the search or seizure was
reasonable under the Fourth Amendment, we exercise our independent judgment. (Ibid.)
Defendant contends that the trial court erred in denying his motion to suppress
because the People had not carried their burden of demonstrating that the circumstances
created an objectively reasonable basis for believing that a person within the house is in
need of immediate aid. (Michigan v. Fisher (2009) 588 U.S. 45 [130 S.Ct. 546, 549];
Brigham City v. Stuart (2006) 547 U.S. 398, 400, 403; People v. Troyer (2011) 51
Cal.4th 599, 606 [Troyer].) ―‗―‗There is no ready litmus test for determining whether
5
such circumstances exist, and in each case the claim of an extraordinary situation must be
measured by the facts known to the officers.‖‘‖‘ (Troyer, at p. 606.) However, we must
approach each case with at least some measure of pragmatism and we recognize that ―the
police must make split second decisions as to whether someone is in need of immediate
aid . . . .‖ (Ibid.) In making his assertion, defendant merely compares the facts of this
case with those of Fisher and Brigham City, wherein the entries were deemed to be
reasonable. This is not particularly helpful, as the facts of those cases differed from the
instant facts. Far more helpful is a discussion of cases in which the facts are closer to
those here.
Such a case is Troyer. Therein, there was a report of shots fired at a residence and
possibly an unidentified male being shot twice. (Troyer, supra, 51 Cal.4th at p. 603.)
The suspects were driving a two door Chevy. (Ibid.) When the first officer to arrive got
there, there was no such car in sight. (Ibid.) On the front porch, a man was administering
first aid to a woman who had been shot multiple times. (Ibid.) Another man on the porch
had a wound to the top of his head. (Ibid.) The woman was not able to give the officer
any information. There was blood on the front door situated in such a way that it
suggested that someone who was bleeding had either entered or exited the house. (Ibid.)
The wounded man hesitated and did not answer when the officer first asked him if there
was anyone inside; upon second inquiry, he hesitated and said he did not think so, and,
upon third inquiry, he hesitated and said no. (Ibid.) The officer was afraid that the man
was being untruthful or was inaccurate, the latter, due to his head wound. (Ibid.) The
officer felt he had a responsibility to determine if an additional victim or even suspects
6
were inside the house and he could neither see inside nor hear sounds coming from
inside, due to the commotion caused by arriving police and medical personnel. (Id. at pp.
603-604.) After announcing their presence, the officer, and others, entered the house to
look for victims and suspects. (Id. at p. 604.) Another officer who went upstairs
announced himself at the locked door of a bedroom, and, getting no response, kicked the
door open. (Ibid.) He smelled a strong odor of marijuana and saw the drug and a scale in
plain sight. (Ibid.) The California Supreme Court concluded, ―The record amply
supported an objectively reasonable belief that one or more shooting victims could be
inside the house. Police dispatch stated that shots had just been fired ‗at‘ [the house],
and . . . [the officer‘s] observations of the blood at the scene indicated that a shooting had
occurred ‗mere feet [from] or within the doorway area.‘ Bloodstains on the door signaled
that a bleeding victim had come into contact with the door, either by entering or by
exiting the residence. . . . [¶] Moreover, the original dispatch report stated that a male
victim had ‗possibly been shot twice‘—and no such victim had yet been located. . . .
[T]he officer never stated that . . . he had concluded [the wounded man] must have been
the man described in the dispatch report. In any event, a concern that [the wounded man]
might have suffered a gunshot wound did not foreclose the reasonable possibility that the
male victim described in the original dispatch was still at large. (Causey v. City of Bay
City (8th Cir. 2005) 442 F. 3d 524, 530 [despite the plaintiffs‘ assurances that no one was
injured, it was ―‗―equally plausible and not unreasonable‖‘‖ for the officers to infer that
the plaintiffs were concealing an injured victim . . . [Citation.] [¶] . . . [The wounded
man‘s] inconsistent answers [about whether there was anyone inside the residence] raised
7
serious concerns about [the man‘s] ability to give accurate and reliable responses.
[Citations.]]; State v. Frankel (2004) 179 N.J. 586 [847 A.2d 561, 574] [‗The responding
officer is not required to accept blindly the explanation for the 9-1-1 call offered by the
resident answering the door . . . ‘]; [Citations].)‖ (Troyer, at p. 608.) The wounded man
gave various answers to the officer‘s questions whether there was anyone inside. ―[The
officer] could not peek inside to verify whether [the wounded man‘s] final answer
[i.e., ‗No‘] was the correct one, nor, given the chaos at the scene, could he hear whether
any sounds were coming from inside the [house]. Under these circumstances, and
inasmuch as [the officer] did not know who lived at the [house] or who had been the
aggressor, an objectively reasonable basis existed to enter the [house] to search for
additional victims. [¶] The police entry here was no less justifiable than the police
reentry [in] Tamborino v. Superior Court [(1986)] 41 Cal. 3d 919 . . . . In Tamborino,
police responded to a reported robbery at a particular address, and a neighbor confirmed
that an injured person was inside the apartment. After receiving no response to a loud
knock and announcement of his presence, the officer kicked in the door and found
Tamborino, who seemed to be bleeding from the right side of his face . . . . [Citation.]
The officer, unsure whether Tamborino was a suspect or a victim, brought [him] out of
the apartment and handcuffed him. The officer immediately reentered the apartment,
based on his concern that there might be other injured persons inside, without even asking
Tamborino whether anyone else was there . . . . [Citation.] [¶] . . . [W]e explained that
‗the observation of Tamborino, wounded and bleeding, coupled with the earlier report of
a robbery, constituted ―articulable facts‖ that reasonably could have led the officer to
8
decide that an immediate, brief search of the apartment was warranted to determine
whether additional persons were present . . . . [The officer] had no prior information
indicating that only one victim was involved in the robbery, and in light of the situation
he confronted, ordinary, routine common sense and a reasonable concern for human life
justified him in conducting a walk-through search truly limited in scope to determining
the presence of other victims.‘ [Citation.]‖ (Troyer, at pp. 608-609, italics added and
omitted.)
The Supreme Court also concluded that kicking in the door of an upstairs bedroom
was justified, despite the absence of blood or signs of a struggle downstairs. (Troyer,
supra, 51 Cal.4th at pp. 612-613.) The court reasoned, ―Bloodstains . . . ‗are not
prerequisites to a finding of exigency.‘ [Citation.] [¶] Nor are signs of a struggle in the
interior of a residence. [¶] . . . [¶] . . . The People‘s burden under the Fourth
Amendment is to identify an objectively reasonable basis for believing that someone
inside was in need of immediate aid—not to eliminate every other reasonable inference
that might also have been supported by those facts. (See State v. Mielke (2002) 257 Wis.
2d. 876 [652 N.W. 2d. 316, 319] [‗[T]he question is whether the officers would have
been derelict in their duty had they acted otherwise.‘].)‖ (Troyer, at pp. 612-613.)
Applying the reasoning in Troyer here, we note that the 911 caller believed the
four to five female subjects were going to have a fight and the officer had been delayed in
his arrival at the apartment. The four to five females were not present, nor was the car
associated with them. However, defendant and the codefendant walked out of the
apartment that was the source of the disturbance. The codefendant confirmed that there
9
had, indeed, been a ―problem,‖ and the officer was free to disbelieve his representation
that everything was now all right. The 911 caller confirmed to the officer that a ―large
fight‖ had taken place at the apartment. No one answered the door at the apartment and
the officer entered to find the females and make sure that none were injured. We agree
with the trial court that these circumstances created a reasonable basis for the officer to
believe that the females were in the apartment and in need of immediate aid.
Additionally, the items seized from defendant‘s apartment would have been
otherwise seized pursuant to the search conditions of his parole. ―Appellate review ‗is
confined to the correctness or incorrectness of the trial court‘s ruling, not the reasons for
its ruling.‘ [Citation.]‖ (People v. Baker (2008) 164 Cal.App.4th 1152, 1156.) The fact
that the trial court here did not additionally justify the search and seizure based on the
inevitable discovery doctrine does not prohibit us from relying on that doctrine. 6 The
6 Defendant‘s reliance on People v. Hines (1997) 15 Cal.4th 997, 1034, footnote
4, in support of his position that the People forfeited this ground is misplaced. Hines
relied, as is pertinent here, on Lorenzana v. Superior Court (1973) 9 Cal.3d 626. In
Green v. Superior Court (1985) 40 Cal.3d 126, 137, the California Supreme Court said of
Lorenzana, ―[T]he People‘s new theory [on appeal there] was not supported by the record
made at the first hearing and would have necessitated the taking of considerably more
evidence, thus thwarting Penal Code section 1538.5‘s purpose of avoiding continued
relitigation of admissibility questions.‖ The California Supreme Court continued, ―In
still other cases the defendant had no notice of the new theory and thus no opportunity to
present evidence in opposition. [Citations.] [¶] The present case does not suffer from
those problems. The evidence supporting the plain view/inevitable discovery theory was
fully developed by both the prosecution and defense. . . . The factual basis for the theory
is fully set forth in the record, and it does not appear that any further evidence could have
been introduced to suggest that [the officer] lacked probable cause to inspect and
seize . . . without a warrant or consent. [¶] To close our eyes to the clear applicability of
the inevitable discovery doctrine would run contrary to the settled principle of appellate
review that a correct decision of the trial court must be affirmed on appeal even if it is
based on erroneous reasoning. [Citations.] . . . [¶] When, as here, the record fully
10
prosecution‘s burden in this regard is to show a reasonably strong probability that the
police would have discovered the evidence. (In re Javier A. (1984) 159 Cal.App.3d 913,
928.) The People contended in their moving papers below that defendant and the
codefendant had not been detained for an improper amount of time, during which
defendant admitted he was a parolee, and, as such, he was subject to the search of his
home, which he admitted was 1103 ―F‖ Street. Thus, they argued, the items would
inevitably have been discovered. The officer testified that he re-entered the apartment to
search it and to seize the items that had already been seen in plain view, in part, because
defendant was on parole. No evidence was admitted at the hearing on the motion that the
detention of defendant was unduly prolonged; the other factual matters were testified to
by the officer. Therefore, a preponderance of the evidence established that the items
would have been discovered during a parole search of defendant‘s home.
2. Resentencing
On October 28, 2011, defendant was sentenced to a 25-years-to-life term for his
conviction of possessing cocaine for sale,7 according to the terms of Penal Code section
667, subdivision (e)(2)(A)—the Three Strikes Law—as it then provided. On November
establishes another basis for affirming the trial court‘s ruling and there does not appear to
be any further evidence that could have been introduced to defeat the theory, we hold that
the failure to have urged the theory below does not preclude our reliance on it to affirm
the trial court‘s ruling.‖ (Green at pp. 138-139, italics added, fn. omitted. See also
People v. Nottoli (2011) 199 Cal.App.4th 531, 561, fn. 14.)
7 He also received a concurrent 25 years to life sentence for his conviction of
possessing marijuana for sale.
11
6, 2012, when defendant‘s judgment was not yet final,8 the voters of California enacted,
by initiative measure, changes to several provisions of the Three Strikes Law.9 As is
pertinent here, had defendant been sentenced under the new version of the law, he would
have received a sentence of double the determinate term for his conviction. (Pen. Code, §
667, subds. (e)(1) & (e)(2)(C).) Amongst the changes enacted in November, 2012 was
also the creation of Penal Code section 1170.126, which provides that a prison inmate
serving an indeterminate term pursuant to Penal Code section 667, subdivision (e)(2)
whose sentence under the new act would not have been indeterminate, may petition the
trial court that sentenced the inmate for a recall of his or her sentence. (Pen. Code, §
1170.126, subds. (a) & (b).)10 The trial court would then resentence the inmate according
to the new version of Penal Code section 667, subdivision (e), unless it determined that a
resentencing would ―pose an unreasonable risk of danger to public safety.‖ (Pen. Code, §
1170.126, subd. (f).) Defendant here contends that under In re Estrada (1965) 63 Cal.2d
740 (Estrada), he is entitled to have his sentence automatically reduced to double the
determinate term for possessing cocaine for sale. The People argue that defendant is not
entitled to have the new version of Penal Code section 667, subdivision (e) retroactively
8 See In re N.D. (2008) 167 Cal.App.4th 885, 891.
9 Those changes took effect the following day. (Three Strikes Reform Act of
2012, Section 10 [Prop. 36, as approved by voters Ballot Pamp., Gen. Elec. (Nov. 6,
2012)].)
10 This excludes that group of inmates whose current crimes are listed in Penal
Code section 667, subdivisions (e)(2)(C)(i), (ii) & (iii) and those whose prior convictions
are listed in Penal Code section 667, subdivision (e)(C)(iv). Our discussion of this issue
does not include this group, as defendant is not a member of it.
12
applied to him and his only recourse is to petition the trial court for recall of his sentence
pursuant to Penal Code section 1170.126.
In Estrada, supra, 63 Cal.2d at pages 740, 744, the California Supreme Court said
of a law that reduced the punishment for a crime which became effective after the crime
was committed but before the defendant‘s trial, conviction and sentencing, ―The
problem . . . is one of trying to ascertain the legislative intent—did the Legislature intend
the old or new statute to apply? Had the Legislature expressly stated which statute
should apply, its determination, either way, would have been legal and constitutional.‖
(Estrada at p. 744.) Because, in the case of the statute in Estrada, the Legislature had
not, it fell to the California Supreme Court to determine the Legislature‘s intent. (Ibid.)
The court was guided in its effort by the following concept: ―When the Legislature
amends a statute so as to lessen the punishment it has obviously expressly determined
that its former penalty was too severe and that a lighter punishment is proper as
punishment for the commission of the prohibited act.‖ (Id. at p. 745) The court went on
to note, ―[W]here the amendatory statute mitigates punishment and there is no saving
clause, the rule is that the amendment will operate retroactively so that the lighter
punishment is imposed.‖ (Id. at p. 748.)
As in Estrada, we must ascertain the intent of the voters in passing the
amendments pertinent here to the Three Strikes Law. (Citizens Assn. of Sunset Beach v.
Orange County Local Agency Formation Comm. (2012) 209 Cal.App.4th 1182, 1189.)
―To determine intent, courts look first to the language of the provision, giving its words
their ordinary meaning. If that language is clear in relation to the problem at hand, there
13
is no need to go further. [Citation.] If, on the other hand, the language is ambiguous, we
turn to extrinsic indicia of voter intent, particularly what the ballot pamphlet said about
the initiative. [Citation.]‖ (Ibid.) Likewise, ballot pamphlet arguments have been
recognized as a proper extrinsic aid. (People v. Floyd (2003) 31 Cal.4th 179, 187-188.)
Penal Code section 1170.126, which provides for the recalling of sentences and
possible resentencing states, ―The resentencing provisions under this section and related
statutes are intended to apply exclusively to persons presently serving an indeterminate
term of imprisonment pursuant to paragraph (2) of subdivision (e) of Section
667 . . . whose sentences under this act would not have been an indeterminate life
sentence.‖ If, as defendant argues, he, and all other inmates with Three Strike Law
indeterminate terms whose judgments are not yet final, are entitled to the retroactive
application of amendments to the Three Strikes Law that reduced indeterminate terms to
determinate ones, and, thus, to have his sentence automatically reduced, there would be
no purpose served by the existence of Penal Code section 1170.126, except for inmates
whose sentences were final as of November 6, 2012. However, looking at the
information conveyed to voters, that was clearly not the intent of the initiative.
The ballot pamphlet for the initiative stated, ―This measure reduces prison
sentences served under the three strikes law by certain third strikers whose current
offenses are non-serious, non-violent felonies. The measure also allows resentencing of
certain third strikers who are currently serving life sentences for specified non-serious,
non-violent felonies. . . . [¶] [It] requires that an offender who has two or more prior
serious or nonviolent felony convictions and whose new offense is a nonserious,
14
nonviolent felony receive a prison sentence that is twice the usual term for the new
offense, rather than a minimum sentence of 25-years–to-life as is currently required. . . .
[¶] [It] allows certain third strikers to apply to be resentenced by the courts. . . . The
court would be required to resentence eligible offenders unless it determines that
resentencing the offenders would pose an unreasonable risk to public safety. In
determining whether an offender poses such a risk, the court could consider any evidence
it determines is relevant, such as the offender‘s criminal history, behavior in prison, and
participation in rehabilitation programs. [It] requires resentenced offenders to receive
twice the usual term for their most recent offense instead of the sentence previously
imposed. Offenders whose requests for resentencing are denied by the courts would
continue to serve out their life terms as they were originally sentenced.‖ (Ballot Pamp.,
Gen. Elec. (Nov. 6, 2012) (Ballot Pamp.) analysis by the Legislative Analyst, pp. 49-50,
italics added.) In describing the correctional savings engendered by the initiative, the
analysis stated, ―[It] would reduce state prison costs in two ways. First, fewer inmates
would be incarcerated for life sentences under the three strikes law because of the
measure‘s provisions requiring that such sentences be applied only to third strikers whose
current offense is serious or violent. This would reduce the sentences of some future
felony offenders. Second, the resentencing of third strikers could result in many existing
inmates receiving shorter prison sentences.‖ (Ibid.) We note the distinction clearly
drawn in the analysis between the new offense committed by future felony offenders who
are subject to the new twice-the-base-term sentence and the most recent offense
committed by existing inmates who have already been sentenced to a 25-years-to-life
15
term under the old law. The analysis could not have been more clear in its distinction
between the two and nowhere is there a reference to the possibility that some existing
inmates would automatically receive a twice-the-base-term sentence merely because their
judgments are not yet final.
An argument in favor of the initiative in the ballot pamphlet was the following,
―Criminal justice experts and law enforcement leaders carefully crafted [it] so that truly
dangerous criminals will receive no benefits whatsoever from the reform.‖ (Ballot
Pamp., argument in favor of Prop. 36, p. 52) In their opposition to this particular aspect
of the initiative, the rebuttal to the argument in favor of it and the argument against it
both stated that it would result in ―thousands of dangerous criminals . . . get[ting] their
prison sentence[s] reduced and then released from prison early.‖ (Ballot Pamp., rebuttal
to argument in favor of Prop. 36, p. 52; Ballot Pamp., argument against Prop. 36, p. 53.)
In fact, the provisions of the initiative allowing inmates already serving Three Strike Law
indeterminate sentences to be resentenced was the only objection to the initiative stated in
the argument against it in the Ballot pamphlet. (Ballot Pamp., argument against Prop. 36,
p. 53.)
Given the information supplied to the voters, we view Penal Code section
1170.126 as the functional equivalent of a saving clause.11 ―The rule in Estrada . . . is
not implicated where the Legislature clearly signals its intent to make the amendment
prospective, by the inclusion of either an express saving clause or its equivalent. In
11
In People v. Yearwood (2013) 213 Cal.App.4th 161, 172, 175-176, the Fifth
District reached the same conclusion.
16
Pedro T. [(1994) 8 Cal.4th 1041, 1049], we determined the absence of an express saving
clause, emphasized in Estrada [citation] . . . , does not end ‗our quest for legislative
intent.‘ ‗Rather, what is required is that the Legislature demonstrates its intention with
sufficient clarity that a reviewing court can discern and effectuate it.‘ [Citation.]‖
(People v. Nasalga (1996) 12 Cal.4th 784, 793, italics added, fn. omitted.) The existence
of the mechanism set forth in Penal Code section 1170.126 and the analysis and
arguments in the Ballot Pamphlet for the initiative persuade us that the voters did not
intend that every inmate serving a Three Strike Law indeterminate term whose judgment
is not yet final automatically have his or her sentence reduced to twice the determinate
term for his or her conviction and completely bypass the safeguards provided by Penal
Code section 1170.126.
Defendant asserts that subdivision (k) of Penal Code section 1170.126 suggests
that the existence of the mechanism provided by that section was not intended to be the
sole relief available to an inmate sentenced to a Three Strike Law indeterminate term.
That subdivision provides, ―Nothing in this section is intended to diminish or abrogate
any rights or remedies otherwise available to the [inmate].‖ However, we do not see this
as dictating that the reduction in terms for third strikers be applied retroactively—rather,
we see it as a pronouncement that inmates included in the provisions of Penal Code
section 1170.126 still retained their ability to file petitions for habeas corpus and various
other remedies.
The People point to language in the post November 6, 2012 version of Penal Code
section 667, subdivision (e) itself, which suggests that its reduced sentence provisions
17
were not intended to apply to those who are already convicted and serving Third Strike
Law determinate terms. Specifically, it states that a defendant who has two or more
strike priors, but the current offense is not a strike, will receive a term of twice the
sentence for the convicted offense unless the ―prosecution pleads and proves‖ a current
conviction or a past conviction of specified crimes. (§ 667, subds. (e)(2)(c)(i)-(iv).) As
the People correctly point out, an inmate serving a Three Strikes Law determinate term is
long past the pleading and proof stage of proceedings.
Finally, we cannot ignore the possibility that, under the old law, in more than one
case, a prosecutor has elected not to retry a defendant on one or more counts on which the
jury hung because the defendant was to receive a 25 years to life term on another count.
To have such a defendant now have his or her sentence automatically reduced, without
the safeguards of 1170.126, would undermine the purpose of the initiative.
Accordingly, we decline defendant‘s request to reduce his sentence or to direct the
trial court to impose a reduced sentence. Defendant retains his ability, under section
1170.126, to petition the trial court to recall his indeterminate sentence and to possibly
resentence him to a determinate term.
DISPOSITION
The trial court is directed to amend the abstract of judgment to omit the reference
18
to a 75-year-to-life term. In all other respects, the judgment is affirmed.
CERTIFIED FOR PUBLICATION
RAMIREZ
P. J.
I concur:
RICHLI
J.
19
[People v. Lester — E055009]
HOLLENHORST, J., Concurring and Dissenting.
I respectfully concur in part and dissent in part. I concur with the
majority‘s discussion of the denial of the motion to suppress; however, I disagree
with the discussion of the Three Strikes Reform Act of 2012, Section 10 (Prop. 36,
as approved by voter Ballot Pamp., Gen. Elec. (Nov. 6, 2012)) (hereafter the
Reform Act or the act). The Reform Act became effective on November 7, 2012.
(§§ 667, subd. (e)(2)(C), 1170.12, subd. (c)(2)(C), 1170.126.)1
1. Proposition 36
Under the Three Strikes law as it existed before the passage of the Reform
Act, a defendant with two or more strike priors who is convicted of any new
felony would receive a sentence of 25 years to life. (Former § 667, subd.
(e)(2)(A).) As amended, section 667 provides that a defendant who has two or
more strike priors is to be sentenced pursuant to paragraph 1 of section 667,
subdivision (e)—i.e., as though the defendant had only one strike prior—if the
current offense is not a serious or violent felony as defined in section 667.5,
1 All further statutory references are to the Penal Code unless otherwise
indicated. For convenience, we will refer solely to section 667, subdivision (e) in
discussing the Reform Act, omitting reference to the substantially identical section
1170.12, subdivision (c). However, the analysis applies to both sections 667 and
1170.12.
1
subdivision (c) or section 1192.7, subdivision (c), unless certain disqualifying
factors are pleaded and proven.2 (§§ 667, subds. (d)(1), (e)(2)(C).)
2 Section 667, subd. (e)(2)(C) provides that second strike sentencing does not
apply if the prosecution pleads and proves any of the following:
―(i) The current offense is a controlled substance charge, in which an allegation
under Section 11370.4 or 11379.8 of the Health and Safety Code was admitted or
found true.
―(ii) The current offense is a felony sex offense, defined in subdivision (d) of
Section 261.5 or Section 262, or any felony offense that results in mandatory
registration as a sex offender pursuant to subdivision (c) of Section 290 except for
violations of Sections 266 and 285, paragraph (1) of subdivision (b) and subdivision
(e) of Section 286, paragraph (1) of subdivision (b) and subdivision (e) of Section
288a, Section 311.11, and Section 314.
―(iii) During the commission of the current offense, the defendant used a
firearm, was armed with a firearm or deadly weapon, or intended to cause great bodily
injury to another person.
―(iv) The defendant suffered a prior serious and/or violent felony conviction, as
defined in subdivision (d) of this section, for any of the following felonies:
―(I) A ‗sexually violent offense‘ as defined in subdivision (b) of Section 6600
of the Welfare and Institutions Code.
―(II) Oral copulation with a child who is under 14 years of age, and who is
more than 10 years younger than he or she as defined by Section 288a, sodomy with
another person who is under 14 years of age and more than 10 years younger than he
or she as defined by Section 286, or sexual penetration with another person who is
under 14 years of age, and who is more than 10 years younger than he or she, as
defined by Section 289.
―(III) A lewd or lascivious act involving a child under 14 years of age, in
violation of Section 288.
―(IV) Any homicide offense, including any attempted homicide offense,
defined in Sections 187 to 191.5, inclusive.
―(V) Solicitation to commit murder as defined in Section 653f.
―(VI) Assault with a machine gun on a peace officer or firefighter, as defined
in paragraph (3) of subdivision (d) of Section 245.
―(VII) Possession of a weapon of mass destruction, as defined in paragraph (1)
of subdivision (a) of Section 11418.
―(VIII) Any serious and/or violent felony offense punishable in California by
life imprisonment or death.‖
2
The Reform Act also provides a procedure that allows a person who is
―presently serving‖ an indeterminate life sentence imposed pursuant to the Three
Strikes law to petition to have his or her sentence recalled and to be sentenced as a
second strike offender, if the current offense is not a serious or violent felony and
the person is not otherwise disqualified. The trial court may deny the petition
even if those criteria are met, if the court determines that resentencing would pose
an unreasonable risk of danger to public safety. (§ 1170.126, subds. (a)-(g).)
Accordingly, under section 1170.126, resentencing is discretionary even if the
defendant meets the objective criteria (§ 1170.126, subds. (f), (g)), while
sentencing under section 667, subdivision (e)(2)(C) is mandatory, if the defendant
meets the objective criteria.
The majority agrees that, had defendant been sentenced under the new
version of the law, he would have received a sentence of double the determinate
term for his conviction of possessing cocaine for sale. (§ 667, subds. (e)(1) &
(e)(2)(C). (Maj. opn., ante, at pp. 11-12.) Defendant requests that the matter be
remanded for resentencing. Relying on In re Estrada (1965) 63 Cal.2d 740(Estrada), he contends section 667, subdivision (e)(2)(C) is an ameliorative
sentencing statute which presumptively applies to all criminal judgments which
were not yet final as of its effective date, and that there is nothing in the language
of the Reform Act which overcomes the presumption. The People oppose the
request, arguing that the act allows persons like defendant, who are presently
3
serving an indeterminate sentence but whose sentence under the act would not
have been an indeterminate sentence, to file a petition for recall in the trial court.
2. Section 667, subdivision (e)(2)(C) Applies to Defendants Whose
Judgments Were Not Yet Final on the Effective Date of the Reform Act.
There is a general rule of statutory construction, embodied in section 3 of
the Penal Code, that ―‗when there is nothing to indicate a contrary intent in a
statute it will be presumed that the Legislature intended the statute to operate
prospectively and not retroactively.‘ [Citation.]‖ (People v. Floyd (2003) 31
Cal.4th 179, 184 (Floyd).) In Estrada, supra, 63 Cal.2d 740, the California
Supreme Court created a limited exception to that presumption. In that case, the
court held that where a statute has been amended to lessen the punishment for an
offense and there is no clear indication of an intent to apply the amendment
prospectively only, it must be presumed that the Legislature intended the mitigated
punishment to apply to all judgments not yet final as of the effective date of the
amended statute. (Id. at pp. 744-747.) The court held: ‗―A legislative mitigation
of the penalty for a particular crime represents a legislative judgment that the
lesser penalty or the different treatment is sufficient to meet the legitimate ends of
the criminal law.‖‘ (Id. at 745.) From this, ―[i]t is an inevitable inference that the
Legislature must have intended that the new statute imposing the new lighter
penalty now deemed to be sufficient should apply to every case to which it
constitutionally could apply,‖ including those which are not yet final. (Ibid.)
4
The Legislature has never abrogated the Estrada rule. (See People v.
Nasalga (1996) 12 Cal.4th 784, 792, fn. 7 (Nasalga).) The rule and its continued
vitality were most recently discussed by the California Supreme Court in People v.
Brown (2012) 54 Cal.4th 314 (Brown).) In Brown, the court reiterated that
Estrada ―is today properly understood, not as weakening or modifying the default
rule of prospective operation codified in section 3, but rather as informing the
rule‘s application in a specific context by articulating the reasonable presumption
that a legislative act mitigating the punishment for a particular criminal offense is
intended to apply to all nonfinal judgments.‖ (Brown, supra, at p. 324, italics
added.)
Despite the Estrada presumption, however, a court interpreting a statute
that ameliorates punishment must nevertheless determine the intent of the
Legislature or of the electorate in enacting the statute. (Floyd, supra, 31 Cal.4th at
p. 184.) To determine intent, courts look first to the language of the provision,
giving its words their ordinary meaning. If that language is clear in relation to the
problem at hand, there is no need to go further. (Ibid.) If the language is not clear,
the tools of statutory construction must be applied, including but not limited to the
Estrada rule. If necessary, the court must also look to other extrinsic indicators of
intention. (Nasalga, supra, 12 Cal.4th at p. 794.)
There is no question that section 667, subdivision (e)(2)(C) is an
amendment which ameliorates punishment under the Three Strikes law for those
5
defendants who meet its criteria. However, the Reform Act does not contain any
explicit provision for retroactive or prospective application, and it does not
explicitly state what remedy—i.e., section 667, subdivision (e)(2)(C) or section
1170.126—applies to a person in defendant‘s position. Consequently, we must
―look for any other indications‖ to determine and give effect to the intent of the
electorate. (Nasalga, supra, 12 Cal.4th at p. 794.)
In enacting new laws, both the Legislature and the electorate are ―presumed
to be aware of existing laws and judicial construction thereof.‖ (In re Lance W.
(1985) 37 Cal.3d 873, 890, fn. 11.) Accordingly, we presume that in enacting the
Reform Act, the electorate was aware of the Estrada presumption that a law
ameliorating punishment applies to all judgments not yet final on appeal on the
effective date of the new statute. We also presume the electorate was aware that a
saving clause may be employed to make it explicit that the amendment is to apply
prospectively only, and that in the absence of a saving clause or another clear
signal of intent to apply the amendment prospectively, the statute is presumed to
apply to all nonfinal judgments. (Nasalga, supra, 12 Cal.4th at p. 793; Estrada,
supra, 63 Cal.2d at p. 747.) Previous ballot initiatives have employed explicit
language making an ameliorative statute prospective. For example, the California
Supreme Court held that the previous Proposition 36, approved by voters on
November 7, 2000, applied prospectively only, despite its ameliorative effect,
because it expressly stated, ―‗Except as otherwise provided, the provisions of this
6
act shall become effective July 1, 2001, and its provisions shall be applied
prospectively.‘ [Citations.]‖ (Floyd, supra, 31 Cal.4th at pp. 183-185.) The court
in Floyd held that the plain language of this saving clause trumped any other
possible interpretation of the proposition. (Id. at pp. 185-187.) In the Reform Act,
in contrast, the absence of such language is persuasive evidence that the electorate
did intend to apply section 667, subdivision (e)(2)(C) to nonfinal judgments.
This construction, moreover, is fully consistent with the expressed purposes
of the Reform Act. In Floyd, supra, 31 Cal.4th at pages 187 through 188, the
court found further support in the ballot arguments in support of the proposition,
which stated that ―‗[i]f Proposition 36 passes, nonviolent drug offenders convicted
for the first or second time after 7/1/2000, will get mandatory, court-supervised
treatment instead of jail.‘ (Ballot Pamp., Gen. Elec. (Nov. 7, 2000) argument in
favor of Prop. 36, p. 26 . . . .‖ (Italics added.) The ballot arguments in support of
the Reform Act stated that its purpose was to ensure that ―[p]recious financial and
law enforcement resources‖ were not diverted to impose life sentences for some
nonviolent offenses, while assuring that violent repeat offenders are effectively
punished and not released early. The proponents stated that the act would ―help
stop clogging overcrowded prisons with non-violent offenders, so we have room
to keep violent felons off the streets‖ and ―help[] ensure that prisons can keep
dangerous criminals behind bars for life.‖ An additional purpose was to save
taxpayers ―$100 million every year‖ by ending wasteful spending on housing and
7
health care costs for ―non-violent Three Strikes inmates.‖ Moreover, the act
would ensure adequate punishment of nonviolent repeat offenders by doubling
their state prison sentences. The proponents pointed out that dangerous criminals
were being released early because ―jails are overcrowded with nonviolent
offenders who pose no risk to the public.‖ And, the proponents stated that by
passing Proposition 36, ―California will retain the toughest recidivist Three Strikes
law in the country but will be fairer by emphasizing proportionality in sentencing
and will provide for more evenhanded application of this important law.‖ The
proponents pointed out that ―[p]eople convicted of shoplifting a pair of socks,
stealing bread or baby formula don‘t deserve life sentences.‖ (Voter Information
Guide, Gen. Elec. (Nov. 6, 2012) argument in favor of Prop. 36 and rebuttal to
argument against Prop. 36, [as of September 9, 2013].) Applying section 667,
subdivision (e)(2)(C) to nonfinal judgments is wholly consistent with these
objectives, in that doing so would enhance the monetary savings projected by the
proponents and would further serve the purposes of reducing the number of
nonviolent offenders in prison populations and of reserving the harshest
punishment for recidivists with current convictions for serious or violent felonies,
while still assuring public safety by imposing doubled prison terms on less serious
repeat offenders.
8
For both of these reasons—the absence of any expressed intent to apply the
act prospectively only and the stated intent underlying the proposition—we
conclude that section 667, subdivision (e)(2)(C) applies to judgments which were
not final as of its effective date.
The first published appellate decision that addresses this issue is People v.
Yearwood (2013) 213 Cal.App.4th 161 (Yearwood). In Yearwood, as in this case,
the defendant would have been entitled to second strike sentencing under the
Reform Act if he had been sentenced initially after the effective date of the
Reform Act. He had already been sentenced and his appeal was pending on the
date the act became effective. The court held that even though the judgment was
not yet final, Yearwood‘s only remedy was to petition for recall of his sentence
and for resentencing pursuant to section 1170.126. (Yearwood, supra, at pp. 167,
168, 169.)
The court concluded, as we have, that the Reform Act does not contain a
saving clause or refer to retroactive or prospective application or refer explicitly to
persons in Yearwood‘s position. Nevertheless, the court held, section 1170.126
unambiguously applies to prisoners whose judgments were not final on the
Reform Act‘s effective date, because those prisoners were ―presently serving‖ an
indeterminate life term under the Three Strikes law. (See § 1170.126, subd. (a).)
The court further held that section 1170.126 therefore effectively operates as the
functional equivalent of a saving clause and, if section 667, subdivision (e)(2)(C)
9
is read not in isolation but in the context of the entire statutory scheme, it is clear
that the mandatory sentencing provision of section 667, subdivision (e)(2)(C) is
intended to operate prospectively only. (Yearwood, supra, 213 Cal.App.4th at p.
175.)
Yearwood is correct that even in the absence of an express saving clause
there may be other reasons to determine that the enacting body intended the statute
to apply prospectively only. Brown, supra, 54 Cal.4th 314, provides an example.
In that case, the court held that an amendment to section 4019, which increased the
rate at which prisoners may earn credits for good behavior, applied prospectively
only, despite the absence of express language to that effect, because the purpose of
section 4019 is to provide an incentive for good behavior during incarceration.
Accordingly, rather than reflecting a determination that a reduced penalty for past
criminal conduct satisfies the legitimate ends of criminal law, section 4019
addresses ―future conduct in a custodial setting by providing increased incentives
for good behavior.‖ (Brown, supra, at p. 325.) Awarding the credit retroactively,
for time spent in custody before the effective date of the amendment, would not
further that purpose. Consequently, the court held, there is no logical basis for
inferring that the Legislature intended the amended statute to apply retroactively,
and the Estrada rule does not apply. (Id. at p. 325 & fn. 15.) The same is not true
of the Reform Act, however. As we discussed above, retroactive application of
section 667, subdivision (e)(2)(C) is consistent with the proponents‘ stated
10
objectives of reducing prison overcrowding, reducing the resources expended on
third strike offenders whose current and prior offenses are nonviolent and less
serious, and enhancing public safety by ensuring that the truly dangerous repeat
offenders serve indeterminate life terms less. Accordingly, there is a logical basis
for inferring that the electorate intended the amendment to apply to nonfinal
judgments.
Moreover, we do not agree with Yearwood that section 1170.126
unambiguously applies to defendants who were serving nonfinal third strike
sentences on the effective date of the Reform Act. In light of the Estrada
presumption and the absence of a saving clause in section 667, subdivision
(e)(2)(C), the provision that section 1170.126, subdivision (a) applies ―exclusively
to persons presently serving‖ a third strike sentence is ambiguous—does it refer
only to prisoners serving sentences that are final, or does it include those whose
judgments are not final? It is certainly not so clear as to qualify as the functional
equivalent of a saving clause. In Nasalga, supra, 12 Cal.4th 784, the California
Supreme Court held that the rule of Estrada is ―not implicated where the
Legislature clearly signals its intent‖ to make an amendment prospective, ―by the
inclusion of either an express saving clause or its equivalent.‖ (Nasalga, supra, at
p. 793, italics added.) The court did not describe what constitutes an ―equivalent‖
to an express saving clause. However, the court stated that in the absence of an
express saving clause, the ―‗quest for legislative intent‘‖ requires that ―‗the
11
Legislature demonstrate its intention with sufficient clarity that a reviewing court
can discern and effectuate it.‘ [Citation.]‖ (Ibid.) In our opinion, the statutory
language that Yearwood relies on does not meet that requirement because it is
ambiguous. We note, too, that Yearwood does not cite a single case in which
similarly ambiguous language was deemed to be the equivalent of a saving clause.
Yearwood finds support for its position in the ballot arguments in favor of
the Reform Act. It points out that enhancing public safety was a key purpose of
the act. (Yearwood, supra, 213 Cal.App.4th at p. 175.) The court states that
giving section 667, subdivision (e)(2)(C) prospective-only application furthers that
purpose by reducing the likelihood that prisoners who are currently dangerous will
be released from prison under the Reform Act. In contrast with section 1170.126,
section 667, subdivision (e)(2)(C) does not provide the court with discretion to
impose a third strike sentence if it finds that the defendant poses an ―unreasonable
risk of danger to public safety.‖ (§ 1170.126, subd. (f).) Yearwood points out that
several years may elapse between sentencing and finality, and a defendant who
might objectively qualify for second strike sentencing under section 667,
subdivision (e)(2)(C) may have shown himself or herself to pose such a risk by
misconduct during postsentencing incarceration. (Yearwood, supra, at pp. 175-
176.)
This is arguably a valid concern. However, it is not reflected in the ballot
arguments in support of the Reform Act. We cannot say that a concern not
12
expressed in a ballot argument is a clear indication of voter intent, no matter how
valid the concern may be. Moreover, a defendant may also be incarcerated for
many months before being convicted and sentenced for a third strike offense.
Such a defendant may also display a propensity for violence or other conduct
while incarcerated, which indicates that he or she poses a risk to public safety.
Nevertheless, any qualifying defendant convicted and sentenced after the effective
date of the Reform Act is entitled to sentencing under section 667, subdivision
(e)(2)(C), and the trial court has no discretion to impose a third strike sentence
even if the court has concerns about the defendant‘s future dangerousness for any
reason, including the defendant‘s conduct while in custody. For this reason as
well, we do not find Yearwood‘s analysis persuasive.
3. Conclusion
I respectfully part company with the majority‘s conclusion that defendant is
not entitled to a reduction in his sentence or resentencing because he retains the
ability, under section 1170.126, to petition the trial court to recall his
indeterminate sentence and to possibly resentence him to a determinate term. I
conclude that in passing the Three Strikes Reform Act of 2012, the electorate
intended the mandatory sentencing provision of sections 667, subdivision
(e)(2)(C) and 1170.12, subdivision (c)(2)(C) to apply to qualifying defendants
whose judgments were not yet final on the effective date of the act. Hence, I
13
would vacate defendant‘s sentence and remand the matter to the trial court for
resentencing.
HOLLENHORST
J.
14