Opinion
I. Introduction
Penal Code section 667.61,
II. Statement of the Case
A jury convicted defendant Carlos Henry Alvarado of residential burglary, residential robbery, false imprisonment, and forcible rape and also found that the rape victim was elderly and that the rape occurred during the commission of a burglary. The court imposed a 15-year-to-life term for the rape, a consecutive and an aggravated term of six years for the robbery with a one-year enhancement because the victim was elderly. The court stayed the sentences imposed for residential burglary and false imprisonment under section 654.
On appeal from the judgment, defendant claims there was insufficient evidence the rape occurred during the burglary and that the trial court erred in failing to define the statutory phrase during the commission of a burglary. He also claims the court erred in using the same facts to impose the life term for rape and the aggravated term for robbery, failing to state reasons for making the robbery term and enhancement consecutive to the life term, and failing to stay the sentence for robbery under section 654. Last, defendant claims his sentence violates the constitutional proscriptions against cruel and/or unusual punishment.
We affirm the judgment.
III. Facts
About 10:00 p.m. on December 25, 1998, defendant broke into the home of his 81-year-old neighbor, who was on the phone with her friend. The victim screamed when she saw defendant. Her friend heard her and called the victim’s daughter and granddaughter, who immediately left. Another relative called the police.
Meanwhile, defendant assaulted the victim and demanded her money. She gave him her purse, and he took the $10 and change that were inside. He demanded more and then pushed her into the bedroom, forced her onto the bed, and raped her. He fled when he heard the victim’s relatives arrive. Police also arrived and commenced a perimeter search of the area. They found defendant squatting behind a fence next door to the victim’s house. His shirt was bloody, and when asked if he was all right, he responded, “I needed drugs, I needed drugs. I did it because I needed drugs.” He spoke loudly and rapidly, he was sweating profusely, and his pupils were dilated.
When arrested, defendant had the victim’s money in his pocket. After the victim identified him, he was taken to the station and booked. At that time, his blood-alcohol content was .13. He waived his rights and told Sergeant Charles Wall of the San Jose Police Department that he used a stick to gain entry. He said he raped the victim but did not intend to hurt her.
Later, that evening, defendant spoke to Detective Michael King of the San Jose Police Department. Defendant was cooperative and extremely remorseful, disgusted, and ashamed of himself. He again waived his rights and explained what had happened. He said he had been drinking with his friends that day and volunteered to get more alcohol. Since he had no money, he decided to rob the elderly woman who lived across the street. He did not initially intend to rape her, but he became sexually aroused after taking her money and then decided to rape her. At King’s suggestion, defendant wrote a letter of apology to the victim.
The Defense
Defendant’s mother, two uncles, aunt, school counselor, and family friends testified to the effect that defendant is not a violent or aggressive person.
IV. Sufficiency of the Evidence of Rape during Commission of Burglary
Defendant contends the evidence does not support the jury’s finding that the rape
In construing statutes, we determine the legislative intent so as to effectuate the purpose of the statute, and the first place we look for an expression of intent is the statutory language. (People v. Broussard (1993)
Section 667.61 mandates indeterminate sentences of 15 or 25 years to life for specified sex offenses that are committed under one or more “aggravating circumstances,” such as when the perpetrator kidnaps the victim, commits the sex offense during a burglary, inflicts great bodily injury, uses a deadly weapon, sexually victimizes more than one person, ties or binds the victim, or administers a controlled substance to the victim. {People v. Palmore (2000)
Section 667.61(e)(2) in particular reflects a legislative finding that the victims of a residential burglary are more vulnerable because they are inside a structure rather than out in public. (Cf. People v. Jackson (1992)
Turning to defendant’s interpretation of the statutory language, we note that it would not deter sexual assaults against those whom a burglar finds inside a house after entering it. Clearly, however, the elevated vulnerability of people inside homes does not dissipate after a burglar has successfully gained entry. On the contrary, their vulnerability may actually increase as the burglar assumes control of the premises, takes additional steps to avoid detection, and disables those present.
Moreover, under defendant’s interpretation, the statute would apply to sex offenses committed only when the burglar is in the process of entering a structure. Simply stating this theoretical scenario exposes defendant’s interpretation as patently absurd. Indeed, we cannot realistically imagine, and defendant does not suggest, how his interpretation would ever apply, especially given the fact that “an entry occurs for purposes of the burglary statute if any part of the intruder’s body, or a tool or instrument wielded by the intruder, is ‘inside the premises.’ [Citations.]” (People v. Wise (1994)
As noted, we must avoid statutory interpretations that would frustrate the purpose of a statute, render it meaningless, and lead to absurd results. (People v. Gonzalez, supra,
Viewing the statutory language in the light of the legislative objective sought to be achieved and the evil to be averted (People v. Fierro (1991)
In People v. Palmore, supra,
We agree with the Palmore court’s understanding of the statutory phrase and find additional support in cases where courts have interpreted the same or similar language in statutes, which, like section 667.61(e)(2), provide ancillary consequences to the commission of a felony. (See People v. Harrison (1989)
In construing the phrase “in the perpetration of’ in section 189, which defines first degree murder to include an unlawful killing in the perpetration of certain felonies, the California Supreme Court has explained that the felony-murder statute was adopted to protect the community and its residents and not to benefit criminals. (People v. Chavez (1951)
Thus, for example, in People v. Bodely, supra,
In construing statutes that provide additional punishment for conduct performed in or during the commission of a felony, courts have consistently relied on the felony-murder cases cited above and adopted the broad continuous-transaction test for the duration of a felony, including the perpetrator’s escape to a place of safety. (See, e.g., People v. Carroll (1970)
For example, in People v. Ramirez, supra,
More recently in People v. Taylor, supra,
Like the felony-murder provisions of section 189 and various enhancement statutes, section 667.61(e)(2) establishes ancillary consequences for committing a burglary. Moreover, all of these statutes share the same legislative purpose: to protect people from acts of force and violence that may accompany a felony, in this case burglary. For these reasons, we find the continuous-transaction test, including the perpetrator’s escape, to be the appropriate way to measure the duration of a burglary under section 667.61(e)(2). Clearly, this measure provides the broadest deterrent against the commission of sex crimes against burglary victims. Therefore, we hold that for the purpose of section 667.61(e)(2), “during the commission of a burglary” refers to that period of time between the burglar’s initial entry with the requisite intent and the burglar’s escape to a place of temporary safety.
Defendant’s reliance on People v. Sakarias (2000)
Sakarias involved a conviction for first degree felony murder with special circumstances of murder during commission of robbery and burglary. During its deliberations, the jury asked the court whether a burglary begins when the structure is entered and continues until it is left and if so, whether the burglary continues until departure if, during the burglary, the robbery begins. (People v. Sakarias, supra,
In the course of explaining why the error was harmless vis-a-vis the burglary-murder special-circumstance finding, the court opined that “[u]nder some circumstances, perhaps, the burglarious ‘transaction’ that begins with entry into the building might be found to have ended even though the burglar has not left—if, for example, he abandons his original larcenous intent but resolves to stay for a nonfelonious purpose.” (People v. Sakarias, supra,
Citing this passage, defendant asserts that here the evidence reveals that after
First, the Sakarias dicta does not undermine the rationale for the continuous-transaction test or suggest that the test is inapplicable or inappropriate for the purposes of section 667.61(e)(2).
Second, defendant erroneously conflates completing one’s larcenous intent, as happened here, with abandoning it. The court’s example contemplates the situation where the intruder abandons his or her felonious intent before accomplishing it and “resolves to stay for a nonfelonious purpose.” (People v. Sakarias, supra,
We now return to defendant’s initial claim of insufficient evidence. Given our analysis and conclusion concerning the duration of a burglary for the purpose of section 667.61(e)(2), we find that the evidence conclusively establishes that defendant raped the victim “during the commission of a burglary.” (§ 667.61(e)(2).)
V. Instruction on “During the Commission of a Burglary”
Defendant contends the court erred in failing to instruct the jury on the meaning of the phrase “during the commission of a burglary” in section 667.61(e)(2). He argues that further definition was necessary because the jury would not know what the duration of a burglary is for the purpose of determining the One Strike allegation and “may well have assumed that the burglary continued until he made his escape from the house or otherwise have been misled to find the allegation true where the facts did not support such.”
We find no error. Although additional instruction would be necessary if the statutory phrase had the technical legal meaning urged by defendant, we believe jurors would naturally understand “during the commission of a burglary” to include at least the time that a burglar remains inside the structure after entry. Certainly a person on the premises when a burglar enters would not consider the burglary over until the burglar has left. (See People v. Montoya, supra,
VI. Sentencing Errors
As noted, the court imposed a consecutive, aggravated term of six years for the robbery conviction plus an additional year because the robbery victim was elderly. (See § 667.9, subd. (a) [one-year enhancement
A. Consecutive Sentences
Defendant contends the court erred in failing to state reasons for imposing a consecutive sentence. (See § 1170, subd. (c); Cal. Rules of Court, former rule 406(b)(5) [now rule 4.406, court must state reasons for imposing a consecutive sentence].) The People concede that the court failed to set forth its reasons. However, they argue that defendant waived his claim by failing object at sentencing to the lack of reasons. (See People v. Neal (1993)
To demonstrate ineffective assistance of counsel, a defendant must first show counsel’s performance was unreasonable when measured by prevailing professional norms and that there is a reasonable probability that but for counsel’s unreasonable acts or omissions, the result of the proceeding would have been more favorable. (Strickland v. Washington (1984)
California Rules of Court, former rule 425 (now rule 4.425) sets forth the relevant criteria for determining whether to impose a consecutive rather than concurrent sentence. These include whether (1) “[t]he crimes and their objectives were predominantly independent of each other”; (2) “[t]he crimes involved separate acts of violence or threats of violence”; and (3) “[t]he crimes were committed at different times or separate places, rather than being committed so closely in time and place as to indicate a single period of aberrant behavior.” (Cal. Rules of Court, former rule 425(a)(l)-(3).)
Although the robbery and rape were committed within a single period of aberrant behavior, their objectives were predominately independent of each other: the former to obtain money, the latter to obtain sexual gratification. Moreover, the robbery and rape involved separate acts of violence. Given the court’s express decision to impose consecutive sentences and factual bases for two supporting reasons, counsel could reasonably have considered it unnecessary to request an express statement of reasons from the court. This is especially so given the court’s decision to impose an aggravated sentence for the robbery. Clearly, the court was not impressed with any evidence of mitigation.
Since the record is silent as to why counsel declined to object and since his failure to do so was not unreasonable as a matter of law, we reject defendant’s claim of ineffective assistance. Moreover, even if we believed counsel should have objected, we would nevertheless find his failure to do so harmless. Simply put, given the record, we do not consider it reasonably probable the court would have been unable
B. Dual Use of Facts
As noted, the court imposed a one-year enhancement to the robbery under section 667.9, subdivision (a) because the victim was over 65 years old, then, in selecting the aggravated term for robbery, the court cited, among other things, the victim’s vulnerability, noting that she was 81 years old.
Defendant contends the trial court erred in using the victim’s age twice, first to impose an enhancement and then to impose an aggravated term for robbery. (See § 1170, subd. (b) [“the fact of any enhancement” may not be used to impose the upper term]; Cal. Rules of Court, former rule 420(c) [now rule 4.420]; People v. Scott, supra, 9 Cal.4th at p. 350.)
Generally, where the victim’s age is an element of the offense, the court may not cite the victim’s vulnerability due to being that age as a reason to impose the aggravated term.
For this reason, a remand would be unnecessary even if it were error to cite the victim’s age. Given the numerous other circumstances that rendered her vulnerable, we do not find it reasonably probable the court would reach a different conclusion in finding the victim vulnerable or imposing an aggravated term. (See, e.g., People v. Watkins, supra,
C. Multiple Punishment
Defendant contends that the imposition of a One Strike sentence for rape during a burglary and a separate sentence for robbery violates the prohibition against multiple punishment in section 654. He notes that the burglary, robbery, and rape were part of an indivisible course of criminal conduct and the burglary and robbery shared the same intent to steal. He claims that the life term for rape during a burglary punished his intent to steal, and therefore punishing it again with a robbery
Section 654 is intended to ensure that punishment is commensurate with a defendant’s criminal culpability. (People v. Perez (1979)
Section 654 also prohibits multiple sentences where the defendant commits different acts that violate different statutes but the acts comprise an indivisible course of conduct engaged in with a single intent and objective. (Neal v. State of California, supra,
If, on the other hand, in committing various criminal acts, the perpetrator acted with multiple criminal objectives that were independent of and not merely incidental to each other, then he may be punished for the independent violations committed in pursuit of each objective even though the violations were parts of an otherwise indivisible course of conduct. (People v. Beamon (1973)
In People v. Palmore, supra,
We question whether the enhancement/substantive offense distinction is determinative concerning the applicability of section 654 in this context. As the People note, the California Supreme Court in People v. Coronado (1995)
An allegation under section 667.61 is functionally equivalent to a conduct enhancement—e.g., use of a gun, infliction of great bodily injury—in that both increase the punishment for an underlying offense
First, as noted, the rape and robbery each had its own unique objective, and neither was merely incidental to or a means toward committing the other. Defendant robbed the victim for money, and he raped her for sexual gratification; conversely, he did not rape the victim to get money or steal her money to rape her. Thus, although the crimes were part of an otherwise indivisible course of conduct they are separately punishable. (Cf. People v. Coleman (1989)
We acknowledge that defendant was subject to the harsher, One Strike sentence for the rape because it occurred during the commission of a burglary.
As discussed above, the section 667.61(e)(2) is designed to deter burglars from taking sexual advantage of those whose vulnerability is heightened. To advance this purpose, we do not view a burglary in its elemental form as simply the moment of entry with intent. Rather, we view the moment a burglary is initially committed as the beginning of what may be called an ongoing burglary. There is a significant difference between the initial commission of a burglary and an ongoing burglary. The initial commission requires the concurrence of an act—entry—and felonious intent; however, the concept of an ongoing burglary does not require such concurrence and requires only continuous conduct. In other words, what makes an ongoing burglary continue is not that the burglar maintains his or her initial felonious intent after entry. Indeed, a rape may be deemed to have occurred during a burglary even if it takes place after the burglar’s initial intent has completely dissipated, for example, where the burglar has taken all that he or she wants or has been unable to find anything to take. Rather, what makes the burglary ongoing is that the burglar continues to be engaged in conduct temporally connected to the initial commission of the offense, such as remaining inside the structure and later escaping to a place of temporary safety. It follows that in targeting sexual offenses committed while the burglar is engaged in such ongoing conduct, section 667.61(e)(2) punishes that ongoing conduct and the sexual offense and not the burglar’s initial felonious intent, which he or she may no longer, and need not, possess at the time the sexual offense is committed.
Although the robbery sentence punished defendant’s intent to steal and precluded separate punishment for the burglary conviction itself because both shared the same intent, the rape during the ongoing burglary and the robbery did not share that intent and, therefore, did not merge for purposes of punishment. Thus, the trial court properly punished defendant for both crimes. Moreover, we consider multiple punishment clearly appropriate here because defendant’s overall conduct after entry was far more culpable because of the rape than it would have been without it. (See People v. Perez, supra,
Defendant contends that a life term for rape during a burglary violates the constitutional proscriptions against cruel and/or unusual punishment. (U.S. Const., 8th Amend.; Cal. Const, art. I, § 17.) We disagree.
A punishment is excessive under the Eighth Amendment if it involves the “unnecessary and wanton infliction of pain” or if it is “grossly out of proportion to the severity of the crime.” (Gregg v. Georgia (1976)
In determining whether a particular punishment is cruel and/or unusual, courts examine the nature of the particular offense and offender, the penalty imposed in the same jurisdiction for other offenses, and the punishment imposed in other jurisdictions for the same offense. (Solem v. Helm (1983)
Concerning the nature of the offense and offender, defendant notes that he was 10 years old when his father died, he was molested by a family friend, his mother used drugs, and he started abusing various substances when he was 13 years old. He cites a psychiatric report describing him as having a polysubstance abuse problem and an “immature dependent personality disorder.” Defendant also points out that before the incident, he had no criminal record and he was attending a continuation school to get a high school diploma. On the night of the incident, he was only 18 years old, he argued with his mother, drank tequila, and smoked marijuana. Last he notes that immediately after the incident, he cooperated with police, expressed deep remorse for his conduct, and wrote a letter of apology to the victim.
Defendant’s troubled background, lack of a criminal record, and sincere remorse may militate for a more lenient punishment. However, his age, substance abuse, and “immature dependent personality disorder” do not suggest that he failed to grasp the nature and consequences of his conduct and thereby further support more lenient treatment. Despite defendant’s age, substance abuse, and disorder, he fully recognized and acknowledged the magnitude of his conduct immediately after being caught. Moreover, the callous and opportunistic nature of his sexual assault against a neighbor he knew to be particularly vulnerable seems to us precisely the sort of sexual offense that warrants harsh punishment.
Concerning the relative punishment for other offenses in California, defendant notes that his sentence was roughly the same as that imposed for the much more serious offenses such as second degree murder. He argues that given the “compelling mitigation based on his personal circumstances,” the mandatory One Strike term of 15 years to life represents “shocking and outrageous” punishment.
Although the finality of the consequences of second degree murder make that crime categorically different from rape during a burglary, the double trauma of having one’s home invaded and then being sexually violated is substantial. Moreover, second degree murder does not require a specific intent to kill or commit a felony and requires only that a person willfully and knowingly perform an act dangerous to life with conscious disregard for life. (See §§ 188, 189; People v. Earp (1999)
Concerning the punishment imposed for similar conduct in other jurisdictions, defendant notes that many states do not have mandatory and inflexible sentencing schemes for rape committed during another offense. Moreover, in most states that do provide greater punishment for rape during another felony, the sentencing scheme provides a range of sentences and does not “reach the strictness of California’s unbending requirement of a life sentence with the possibility of parole only after 15 years are served.”
Clearly, California has taken the most aggressive approach toward punishing and deterring rape during the commission of a burglary. As defendant asserts, it imposes the longest terms with the least amount of judicial discretion. However, the fact, acknowledged by defendant, that some other jurisdictions allow for the same or even harsher punishment (Louisiana and Washington) indicates that in the abstract, the One Strike term imposed here is not irrational or obviously excessive punishment for rape during a burglary. The fact that the sentence is mandatory merely reflects the Legislature’s zero tolerance toward the commission of sexual offenses against particularly vulnerable victims. It does not, however, render a defendant’s sentence excessive as a matter of law in every case.
In sum, given all relevant considerations, defendant has failed to establish that his sentence is so disproportionate to his crimes that it shocks the conscience or offends fundamental notions of human dignity. (See People v. Dillon (1983)
VIII. Disposition
The judgment is affirmed.
Premo, Acting P. J., and Bamattre-Manoukian, J., concurred.
Appellant’s petition for review by the Supreme Court was denied May 23, 2001.
Notes
All further statutory references are to the Penal Code unless otherwise specified.
In relevant part, section 667.61, provides, “(b) Except as provided in subdivision (a), a person who is convicted of an offense specified in subdivision (c) under one of the circumstances specified in subdivision (e) shall be punished by imprisonment in the state prison for life and shall not be eligible for release on parole for 15 years except as provided in subdivision (j). ffl] (c) This section shall apply to any of the following offenses: [f] (1) A violation of paragraph (2) of subdivision (a) of Section 261. [<0 . . . [<Q (e) The following circumstances shall apply to the offenses specified in subdivision (c): fib . . . [t[] (2) Except as provided in paragraph (4) of subdivision (d), the defendant committed the [specified sex offense] during the commission of a burglary, as defined in subdivision (a) of Section 460, or during the commission of a burglary of a building, including any commercial establishment, which was then closed to the public, in violation of Section 459.” (Italics added.)
Section 459 defines burglary as the entry of any structure with intent to commit theft or any felony. Section 460, subdivision (a) makes the burglary of a residence, among other places, first degree burglary.
In People v. Boss, supra,
We acknowledge that in People v. Cooper (1991)
defendant asserts that the trial court failed to state reasons because it did not think it had discretion to impose concurrent sentences. If the record clearly established that the trial court thought consecutive sentences were mandatory, not discretionary, then a remand would be appropriate. (See, e.g., People v. Deloza (1998)
Here, age is an element of the enhancement.
The record reveals that she is five feet four inches tall and weighs 152 pounds.
The standard sentences for rape are three, six, or eight years. (§ 264.)
