Opinion
Pеtitioner prays for peremptory writ of mandate and/or prohibition to compel disqualification of trial judge (Code Civ. Proc., § 170.6) and for stay of criminal trial. 1
Facts
On March 24, 1987, the Kern County District Attorney filed felony complaint No. 45642 in West Kern Municipal Court, charging petitioner, a Bakersfield attorney, with two counts of solicitation of murder (Pen. Code, § 653f, subd. (b)). On that same date, the Honorable H. A. Staley, judge of the West Kern Municipal Court, Division D, issued a “no bail” warrant for petitioner’s arrest based on the complaint. The next day, petitioner appeared before Municipal Court Judge C. P. McNutt and was arraigned. The maximum punishment in case No. 45642 was seven years and four months. Judge McNutt refused to set bail at the arraignment and set the matter over for a bail review and setting hearing in Division D. On the same date, petitioner’s counsel of record filed a declaration against the Honorable H. A. Staley to preclude him from acting in case No. 45642 (Code Civ. Proc., § 170.6).
On March 27, 1987, the Kern County District Attorney filed felony complaint No. 45677 in the West Kern Municipal Court, charging petitioner with two counts of solicitation of murder (Pen. Code, § 653f, subd. (b)) and one count of conspiracy to commit murder (Pen. Code, §§ 182, 187).
Felony complaint Nos. 45642 and 45677 were called for preliminary hearing on December 14, 1987, before Judge Jack E. Lund of the West Kern Municipal Court. The hearings were held concurrently and on December 17, 1987, the court held petitioner to answer on two counts of solicitation of murder and one count of conspiracy to commit murder.
On December 30, 1987, the Kern County District Attorney filed information No. 35277 in superior court charging petitioner with two counts of solicitation of murder and one count of conspiracy to commit murder. Petitioner was arraigned on the information and pleaded not guilty to all charges.
The case was assigned to the Honorable Roger D. Randall, judge of the Kern County Superior Court, for trial on November 1, 1988. Petitioner and his counsel filed written verified statements objecting to trial before Judge Randall and setting forth facts which they alleged constituted grounds for his disqualification (Code Civ. Proc., §§ 170.1, 170.3, subd. (c)(1)). 2 Judge Randall refused to recuse himself and filed a verified answer to the statements of disqualification on November 3, 1988.
The parties were unable to agree on the selection of another judge to decide the question of Judge Randall’s disqualification and the parties notified the Chairperson of the Judicial Council of the need for a judge to decide the question. The Chairperson of the Judicial Council еventually assigned the Honorable John G. Schwartz, judge of the San Mateo County Superior Court, to decide the question of Judge Randall’s disqualification. On November 17, 1988, Judge Schwartz filed an order denying the motion for disqualification of Judge Randall.
On November 23, 1988, petitioner filed a petition for writ of mandate in this court (No. F011334) seeking review of the order and stay of trial. On
On November 30, 1988, petitioner filed a declaration of prejudice and supporting points and authorities to disqualify Judge Randall (Code Civ. Proc., § 170.6). On December 1, 1988, Judge Randall heard argument by counsel and denied petitioner’s motion to disqualify him. The court ruled: “It’s a unique fact situatiоn. It seems to me, however, that this is one action that a 170.6 has been utilized, [fl] I’m going to reject the declaration . . . .” Following this order, Judge Randall continued the trial to December 12, 1988, to allow petitioner an opportunity to seek review.
On December 7, 1988, petitioner filed a petition for writ of mandate and/or prohibition and request for stay in this court (No. F011405). Petitioner summarized the central issue as follows: “[Wjhether a party who files a CCP 170.6 declaration of prejudice against a magistrate in a special proceeding on a felony complaint in an inferior court that is subsequently consolidated for preliminary hearing with a second felony complaint containing a substantially different charge is precluded from filing a declaration of prejudice against a trial judge in a criminal action on an information in the superior court.” On December 8, 1988, this court issued an order to show cause and stayed petitioner’s trial pending determination of his petition.
Discussion
I. Did the Filing of a Recusal Motion at the Preliminary Hearing Preclude the Filing of a Recusal Motion at Trial?
Petitioner contends the filing of a Code of Civil Procedure section 170.6 challenge at the preliminary hearing does not preclude a similar challenge in the trial court.
Petitioner argues: “A preliminary hearing is ... a separate special proceeding (see, Penal Code section 738; Code of Civil Procedure section 23) designed to determine if a criminal action can/should be filed in the Superi- or Court by way of an Information (Penal Code sections 871 and 872); therefore defendant is permitted to exercise his rights pursuant to CCP 170.6 before the magistrate in a special criminal proceeding as well as before the criminal action trial judge. This becomes even more clear when one considers that there is no rule for application of the doctrines of res judicata or collateral estoppel, and the defendant’s dismissal, even though based on a purported determination of the merits, does not bar the prosecution from either refiling the same charges before another magistrate (in effect, to
“It is so, therefore, that the government gets ‘two bites out of the apple’; however, the accused is not asking for a reciprocal two bites, for there are two apples.”
Code of Civil Procedure section 170.6 states in relevant part: “(1) No judge, court commissioner, or referee of any superior, municipal or justice court of the State of California shall try any civil or criminal action or special proceeding of any kind or character nor hear any matter therein which involves a contested issue of law or fact when it shall be established as hereinafter provided that such judge or court commissioner is prejudiced against any party or attorney or the interest of any party or attorney appearing in such action or proceeding.
“(2) Any party to or any attorney appearing in any such action or proceeding may establish such prejudice by an oral or written motion without notice supported by affidavit or declaration under penalty of perjury or an oral statement under oath that the judge, court commissioner, or referee before whom such action or proceeding is pending or to whom it is assigned is prejudiced against any such party or attorney or the interest of such party or attorney so that such party or attorney cannot or believes that he cannot have a fair and impartial trial or hearing before such judge, court commissioner, or referee. . . .
“(3) . . . Under no circumstances shall a party or attorney be permitted to make more than one such motion in any one action or special proceeding pursuant to this section; and in actions or special proceedings where there may be more than one plaintiff or similar party or more than one defendant or similar party appearing in the action or special proceeding, only one motion for each side may be made in any one action or special proceeding.
The following exchange occurred at the December 1, 1988, hearing below: “Mr. Mueller [deputy public defender]: Well, your Honor, I think I have made my position quite clear to the Court. I think, number оne, it is my position that this is a case of first instance in the sense that I did not find any case that dealt with the bite of the first apple, as the Court uses the phrase. I think it’s clear that the purpose of a preliminary hearing is to weed out the cases that should not or could not be brought by way of a criminal action information in the Superior Court. And in that sense, I think when
“The Court: Well, that’s certainly the issue. There’s no question about it. . . . I’m not surprised there are no cases that have been found on point. It’s a unique fact situation. It seems to me, however, that this is one action that a 170.6 has been utilized.
“I’m going to reject the declaration but I would certainly be open to a stay to allow you to seek a writ on this matter if you wish to do so, Mr. Mueller.”
A judge has a duty to decide any proceeding in which he or she is not disqualified. (Code Civ. Proc., § 170.) In enacting Code of Civil Procedure section 170.6, the Legislature guaranteed tо litigants an extraordinary right to disqualify a judge. The right is “automatic” in the sense a good faith belief in prejudice is alone sufficient.
(McCartney
v.
Commission on Judicial Qualifications
(1974)
A party or his or her attorney is entitled to only one peremptory challenge to disqualify a judge for prejudice in each case. (Cal. Criminal Law Procedure and Practice (Cont.Ed.Bar 1986) § 17.5, p. 346.) In advocating the adoption of Code of Civil Procedure section 170.6, the State Bar of California emphasized this limitation as preventing excessive disturbance of court calendars. The Legislature relied upon the efficacy of such a limitation in striking a balance between the needs of litigants and the operating
For every wrong there is a remedy. (Civ. Code, § 3523.) Judicial remedies are such as are administered by the courts of justice, or by judicial officers empowered for that purpose by the Constitution and statutes of California. (Code Civ. Proc., § 20.) Judicial remedies are divided into two classes: (1) actions and (2) special proceedings. (Code Civ. Proc., § 21.) An action is an ordinary proceeding in a court of justice by which one party prosecutes another for the declaration, enforcement, or protection of a right, the redress or prevention of a wrong, or the punishment of a public offense. (Code Civ. Proc., § 22.) Every other remedy is a special proceeding. (Code Civ. Proc., § 23.) Actions are of two kinds: (1) civil and (2) criminal. (Code Civ. Proc., § 24.) The Penal Code defines and provides for the prosecution of a criminal action. (Code Civ. Proc., § 31.)
“The proceeding by which a party charged with a public offense is accused and brought to trial and punishment, is known as a criminal action.” (Pen. Code, § 683.) The words “accusatory pleading” include an indictment, an information, an accusation, a complaint filed with a magistrate charging a public offense of which the superior court has original trial jurisdiction, and a complaint filed with an inferior court charging a public offense of which the inferior court has original trial jurisdiction. (Pen. Code, § 691, subd. (d).) Before an information is filed there must be a preliminary examination of the case against the defendant and an order holding him to answer made under Penal Code section 872 (governing commitment of defendant). (Pen. Code, § 738.) A proceeding for the examination before a magistrate of a person on a charge of an offense originally triable in a superior court must be commenced by written complaint under oath subscribed by the complainant and filed with the magistrate. (Pen. Code, § 806.)
Petitioner contends upon review: “Stated otherwise, the purpose of a preliminary examination is to determine whether there is sufficient or probable cause to hold the defendant for trial.
[(Dudley
v.
Superior Court
(1974)
Petitioner essentially contends a criminal trial is an “action” within the meaning of Code of Civil Procedure section 170.6 while a preliminary hearing is a “special proceeding” within the meaning of that section. Therefore, petitioner concludes he is entitled to a peremptory challenge in both the municipal court and the superior court. We must disagree. In our view, petitioner misconstrues thе relevant provisions of the Code of Civil Procedure and the Penal Code. As noted above, under the Code of Civil Procedure, every judicial remedy other than an action is a special proceeding. As a general rule, a special proceeding is confined to the type of case which was
neither
an action at law
nor
a suit in chancery under the common law or equity practice.
(Tide Water Assoc. Oil Co.
v.
Superior Court
(1955)
Further, construction of other Penal Code provisions strongly suggests the preliminary examination is part of a “criminal action” and not a separate or “special proceeding.” As noted above, the Penal Code defines a “criminal action” as “[t]he
proceeding by which a party сharged with a public offense is accused and brought to trial and
punishment. . . .” (Pen. Code, § 683, italics added.) The accusatory pleading includes an indictment, an information, and a complaint filed with a magistrate charging a public offense of which the superior court has original trial jurisdiction. (Pen. Code, § 691, subd. (d).) A “criminal proceeding” has been defined as some authorized step taken before a judicial tribunal against some person or persons charged with the violation of some provision of the criminal law.
(Gibson
v.
County of Sacramento
(1918)
Code of Civil Procedure section 170.6, subdivision (2) expressly states: “If the motion is directed to a hearing (other than the trial of a cause), the motion must be made not later thаn the commencement of the hearing. In the case of trials or hearings not herein specifically provided for, the procedure herein specified shall be followed as nearly as may be.” This language suggests in the criminal context a peremptory challenge may be exercised at either the preliminary hearing or at the trial of a criminal action. However, under no circumstances shall a party or attorney be permitted to make more than one such motion in any one action. (Code Civ. Proc., § 170.6, subd. (3)0
In light of the relevant statutory provisions, reasonably construed and applied to the facts of the instant case, we conclude petitioner exhausted his one peremptory challenge in the West Kern Municipal Court and Judge Randall proрerly denied his second disqualification motion in superior court.
II. Did Petitioner Previously Move for Recusal in Superior Court Case No. 35277?
Petitioner next contends he never exercised a peremptory challenge pursuant to Code of Civil Procedure section 170.6 in criminal action No. 32577: “Petitioner has never exercised his rights pursuant to CCP 170.6 in the criminal action now pending before respondent .... Fact and logic tells us that when, on March 25, 1987, petitioner filed his CCP section 170.6 challenge on Judge Staley in Felony Complaint No. 45642 . . . , petitioner did not stand accused of the public offense of conspiracy to commit murder as set forth in Penal Code sections 182 and 187 . . . . The CCP section 170.6 challenge . . . was filed in a special criminal proceeding (Felony Complaint No. 45642 . . .) separate from that special criminal proceeding which was filed later in time (Felony Complaint No. 45677 . . .). In two successive special criminal proceedings or actions a party may move to
As previously stated, petitioner was initially charged with two counts of solicitation of murder in complaint No. 45642. Petitioner was the sole named defendant in that accusatory pleading. The Kern County District Attorney later filed an additional complaint containing the same solicitation counts against petitioner and adding a charge of conspiracy to commit murder. This complaint, No. 45677, additionally named Donna K. Riddle as a codefendant and charged her with one of the solicitation counts and the conspiracy count. During the municipal court proceedings prior to the preliminary hearing, the following exchange occurred:
“Mr. Berman [defense counsel]: Three counts against both defendants. So that in fact everything that pertains to 45677 would necessarily include 45642.
“Mr. Shumaker [deputy district attorney]: Yes. I would agree with counsel’s comments except I believe only two of the counts in 45677 contain the defendant, Riddle. She was not involved in the solicitation charge of Marsha Soref who was a victim. But Counts 1 and 2 of 45677 are a duplicate filing as to Mr. Le Louis.
“The Court: So one of them should be dismissed then if it’s a duplicate filing.
“Mr. Shumaker: Well, it can either be dismissed or the prelims can be heard together, as has been donе, and there would be one single information filed.
“Mr. Berman: I think we should do that, your Honor.”
At the conclusion of the preliminary examination, petitioner was held to answer on two counts of solicitation and one count of conspiracy. The district attorney subsequently filed information No. 35277 against petitioner alone, charging him with the three felony offenses for which he had been held to answer. Petitioner filed his peremptory challenge against Judge Staley after the filing of the first complaint (No. 45642) but before the filing of the second complaint (No. 45677). Petitioner contends the two cases were separate and distinct and the fact he may have disqualified Judge Staley in the first case would not have precluded his exercise of that peremptory right in the second case. Thus, petitioner apparently argues the “first case” is now extinct while the “second case” continues and he has yet to exercise his peremptory challenge in the latter case. However, petitioner’s counsel recognized below the second complaint supplanted or superseded
In
Solberg
v.
Superior Court
(1977)
Real party in interest submits the instant case is more akin to
McClenny
v.
Superior Court, supra,
Similarly, thе superior court proceedings in the instant matter are a continuation of the criminal proceedings maintained in the municipal court. The issues presented were certainly similar if not identical and arose in proceedings which constituted a “criminal action.” (See
Pappa
v.
Superior Court
(1960)
Petitioner’s argument here is analogous to a situation in which a defendant is arraigned in superior court on two separate informations. He then successfully files a Code of Civil Procedure section 170.6 motion as to the trial judge assigned to try the counts in the first information. The two informations are then consolidated for trial and assigned to a new trial judge. To adopt petitioner’s reasoning here, the defendant would then be entitled to file an аdditional Code of Civil Procedure section 170.6 motion
Code of Civil Procedure section 170.6 should be liberally construed with a view to effect its objects and to promote justice.
(Eagle Maintenance & Supply Co.
v.
Superior Court
(1961)
III. Did the Filing of Complaint No. 45677 Vitiate the Recusal Motion in Municipal Court Case No. 45642?
Petitioner also contends the filing of felony complaint No. 45677 vitiated the March 25, 1987, peremptory challenge in action No. 45642: “Under the unique circumstances herein presented, petitioner should not be precluded from filing (and the court accepting) a CCP section 170.6 challenge on respondent. When Felony Complaint No. 45677 . . . was filed and defendant was arraigned thereon, petitioner’s position vis-a-vis the trial issues and the potential punishment was so substantially altered so as to vitiate the March 25, 1987 CCP section 170.6 filing ... in Felony Complaint No. 45642 ....
“When the position of the accused is so substantially altered it is like ‘getting the rug pulled out’ from under one’s feet. It would seem thereforethat justice would compel that the accused be allowed to step back off the rug as if he never had set foot on it in the first instance, for the gоvernment had not only pulled the rug out from under him, it replaced it with quicksand.” An accusatory pleading may charge two or more different offenses connected together in their commission or different statements of the same offense or two or more different offenses of the same class of crimes or offenses, under separate counts. If two or more accusatory pleadings are filed in such cases in the same court, the court may order them to be consolidated. (Pen. Code, § 954.) A complaint cannot be amended to charge an offense not attempted to be charged by the original complaint. However, separate counts may be added which might properly have been joined in thе original complaint. (Pen. Code, § 1009.) Thus, in the instant case, the district attorney could properly file complaint No. 45677 to add the third count of conspiracy to commit murder.
Petitioner contends the instant situation is analogous to that in
People
v.
Hopkins
(1974)
The
Hopkins
court concluded the district attorney substantially changed the charges by amendment made after defendant waived a jury trial. The judgment was in error insofar as it augmented the punishment by findings on issues with respect to which the defendant never personally waived a jury trial. The armed robbery count of the information, аs originally alleged, subjected defendant to a minimum term of five years if convicted of first degree robbery. The amendment subjected defendant to a potential minimum term of 15 years. The defendant had a right to elect whether to have a jury trial before being subjected to an additional 10-year minimum sentence. The court prejudiced this substantial right by failing to properly arraign him and secure a personal jury waiver on the amended information. The First District said it was immaterial the defendant had notice that factual issues might be the same before and after the amendment and he was
Trial by jury is an inviolate right guaranteed by the California Constitution. A jury may be waived in a criminal cause by the consent of both parties expressed in open court by the defendant and his or her counsel. (Cal. Const., art. I, § 16.) Generally speaking, if the prosecutor amends a complaint, indictment, or information to charge a new offense or to add a prior conviction or penalty enhancement, this renders a prior jury trial waiver ineffective. New pleadings require a new waiver.
(People
v.
Walker
(1959)
Nevertheless, petitioner argues: “Real party concedes . . . that petitioner has never used a challenge in the special criminal proceeding number 45677 . . . and, at all times, had it available to exercise if he chose to do so. However, the argument goes, petitioner lost the challenge when it was not exercised in the lower court. This is absurd. Petitioner had available the use of the challenge, never used it, yet somehow lost it? Pray tell, where did it go? The lаw is not a mystery, the challenge still exists.
“Real party does not argue the point that petitioner’s position [vis-a-vis] punishment and potential trial issues was so drastically altered by the filing of the second complaint so as to vitiate the filed challenge in the first. Justice and fair play preclude any such argument.”
Again, petitioner’s contention overlooks the express language of the relevant statutes. Code of Civil Procedure section 170.6, subdivision (3) states: “Under no circumstances shall a party or attorney be permitted to make more than one such motion in any one action or special proceeding pursuant to this section . ...” A criminal action is a proceeding by which a party charged with a public offense is accused and brought to trial and punishment. (Pen. Code, § 683.) A “criminal proceeding” means some authorized step taken before a judicial tribunal against some person or persons charged with the violation of some provision of the criminal law.
The petition for writ of mandate and/or prohibition is deniеd and the stay of criminal proceedings below is discharged.
Hamlin, J., and Ardaiz, J., concurred.
Petitioner’s application for review by the Supreme Court was denied June 29, 1989.
Notes
A petition for writ of mandate and/or prohibition is the appropriate procedural device to review the denial of a challenge under Code of Civil Procedure section 170.6. (See Code Civ. Proc., § 170.3, subd. (d);
Thompson
v.
Superior Court
(1962)
Petitioner and his counsel asserted Judge Randall was biased and prejudiced because (1) Judge Randall had previously heard many ex parte requests for the funding of the defense; (2) petitioner successfully overturned Judge Randall’s ruling in
Moreland
v.
Department of Corporations
(1987)
