THE PEOPLE, Plaintiff and Respondent, v. CLEMANTT ARNOLD, Defendant and Appellant.
No. S106444
Supreme Court of California
June 28, 2004
33 Cal. 4th 294
Shama H. Mesiwala, under appointment by the Supreme Court, and William M. Duncan, under appointment by the Court of Appeal, for Defendant and Appellant.
Bill Lockyer, Attorney General, Robert R. Anderson, Chief Assistant Attorney General, Jo Graves, Assistant Attorney General, Stan A. Cross and Patrick J. Whalen, Deputy Attorneys General, for Plaintiff and Respondent.
OPINION
BAXTER, J.— In this case we interpret the scope and effect of a defendant‘s waiver of custody credits—commonly referred to as a “Johnson waiver” (People v. Johnson (1978) 82 Cal.App.3d 183 [147 Cal.Rptr. 55] (Johnson))—which enables a sentencing court to reinstate a defendant on probation after
FACTS AND PROCEDURAL BACKGROUND
Defendant was detained by police and found to be in possession of rock cocaine base, a pager, and a large amount of cash. On October 21, 1997, representing himself, he pled no contest to possession of a controlled substance. (
One month after sentencing, a petition was filed in the Butte County Superior Court alleging that defendant was in violation of the terms of his probation. Several weeks later, that petition was withdrawn. One year after sentencing, a second petition was filed alleging that defendant was in violation of probation. On May 3, 1999, defendant admitted the allegations of that petition. On June 14, 1999, defendant was reinstated on probation conditioned on his serving an additional 90 days in the county jail. Defendant again entered a Johnson waiver, waiving all custody credits for time already served. On this second occasion the trial court did specifically advise defendant that his waiver of credits applied to any future prison sentence that might be imposed.
On August 4, 2000, a third petition was filed alleging that defendant was once again in violation of the terms of his probation. On November 7, 2000, the petition was sustained. On December 4, 2000, defendant was ordered to undergo a 90-day psychological evaluation pursuant to
Defendant appealed his sentence. He conceded in his opening brief that credit for the time he served in county jail under his second Johnson waiver was unavailable against his prison term, as that waiver was preceded by an express advisement by the trial court informing him that it applied to, and would preclude credit against, any possible future prison sentence. Defendant nonetheless contended that the entry of his first Johnson waiver was not knowing and intelligent in that he did not understand at that time that he was waiving custody credits against a possible future prison sentence.
In an unpublished opinion, over the dissent of one justice, the Court of Appeal agreed, concluding that defendant‘s initial Johnson waiver was not knowing and intelligent regarding whether the waived custody credits would still be available for crediting against a possible future prison sentence. The Court of Appeal indicated it was specifically following the rationale of People v. Harris (1987) 195 Cal.App.3d 717 [240 Cal.Rptr. 891] (Harris), and rejecting the rationale and holding of People v. Burks (1998) 66 Cal.App.4th 232 [77 Cal.Rptr.2d 698] (Burks). We granted the Attorney General‘s petition for review.
DISCUSSION
The Johnson court held that “a defendant who has served one year in jail as a condition of probation and who thereafter violates probation may be sentenced to an additional period of up to one year in jail if he knowingly and intelligently waives the provisions of
Statutory background
Hence, prior to the amendment of
In 1976, however, subdivision (c) of
Chamberlain and Johnson
Two years after
Agreeing with Justice Jefferson‘s concurrence in Chamberlain that same year, the Johnson court recognized that the interplay of
The Johnson court therefore interpreted
We recently reaffirmed the validity of the rationale and waiver rule of Johnson in People v. Johnson, supra, 28 Cal.4th 1050. Citing various cases upholding custody credit waivers in a wide variety of circumstances, and noting that Courts of Appeal have not questioned that a defendant may waive entitlement to such credits under
The precise issue in this case arises when a defendant has been afforded the benefit of one or more Johnson waivers, in order to permit the sentencing court to continue or reinstate the defendant on probation conditioned on service of an additional county jail term as described above, and the most recent probation violation ultimately convinces the court that probation must be terminated and the defendant sentenced to prison. In that situation, may all the previously waived custody credits for local time spent in jail as a condition of probation be recaptured and applied against the state prison sentence being imposed?
Subsequent case law construing Johnson waivers
One of the first cases to address the scope and extent of a Johnson waiver was People v. Zuniga (1980) 108 Cal.App.3d 739 [166 Cal.Rptr. 549] (Zuniga). In that case the defendant, who pled guilty to burglary, received a suspended three-year prison sentence and was placed on probation for three years conditioned on service of one year in the county jail. Defendant, who had been in pretrial custody for 168 days, was given the option of being sentenced to state prison or accepting probation conditioned on the one-year county jail term without credit for the 168 days of presentence confinement.
The defendant in Zuniga did not argue his Johnson waiver was not knowing and intelligent in the sense that he did not understand the waiver would apply to any future prison sentence imposed. Rather, he argued the waiver should be held inapplicable given the changed circumstances—that he was going to state prison rather than jail as a condition of probation. The Court of Appeal rejected his argument, explaining: “Defendant, in effect, bargained for a probationary sentence by initially waiving the provisions of
Unlike Zuniga, the defendant in Harris, supra, 195 Cal.App.3d 717, did argue that his Johnson waiver was not knowing and intelligent in the sense that he did not understand the waiver would apply to any future prison sentence imposed.
The defendant in Harris was convicted of assault with a deadly weapon in 1981 and placed on formal probation for four years, a condition of which was that he serve five months in the county jail. On three successive occasions his probation was reinstated after findings that he had absconded in violation of the terms of his probation. In April 1986, after a fourth violation, probation was finally revoked and defendant sentenced to three years in state prison for
On appeal, the defendant in Harris contended he should have been awarded credit against his prison sentence for county jail time served prior to his third probation violation because “his prior [Johnson] waivers of credit for that time were not made with the knowledge that he was also waiving credit against a prison term imposed for a subsequent probation violation.” (Harris, supra, 195 Cal.App.3d at p. 721.) The Court of Appeal reviewed the exchanges that took place between defendant, counsel, and the trial court at sentencing for the second and third probation violation hearings when the Johnson waivers were entered. In those colloquies there was no express mention made of the circumstance that the waivers would apply to any future prison sentence that might be imposed if probation was ultimately revoked. The court also reviewed the exchanges that took place at the hearing on the fourth charged probation violation, at which time defendant stated he believed his previous waivers were limited to local jail time, and that he would not have entered those waivers had he known they would apply to a future prison sentence as well. (Harris, at p. 725.) The Court of Appeal accepted on their face defendant‘s hindsight representations about his understanding of the earlier entered waivers, indicating that “prejudice is apparent by defendant‘s own representation to the [sentencing] court.” (Ibid.) Finding that “[o]n the record before us, we can only conclude defendant‘s ‘Johnson waivers’ were not knowingly and intelligently made” (ibid.), the Court of Appeal modified the judgment to reflect an award of an additional 29 months 18 days of credit against defendant‘s prison sentence. (Id. at p. 726.)
In the instant case, the People concede that the trial court did not expressly advise defendant, in connection with the first Johnson waiver entered both orally and in writing, that the waiver would apply to any state prison sentence imposed if probation was ultimately revoked. On the other hand, the trial court did inform defendant that as of the date of his plea he was waiving “all time credits through today” (italics added), and that there would be “no immediate state prison in this case.” Moreover, the entry of plea form defendant executed contained a written waiver by which he indicated he was waiving “all credits for jail term served through 10-21-97.” (Italics added.)
As we have noted, the Court of Appeal below (the same court that decided Harris) expressly relied on Harris to reverse the judgment in this case and
Burks, in contrast to Harris, held that “when a defendant agrees to waive custody credits after violating probation, the waived credits may not be recaptured when probation is violated again, unless the agreement expressly reserves that right. In the absence of such a record, custody credits once waived may not be used again.” (Burks, supra, 66 Cal.App.4th at p. 234.)
The defendant in Burks was originally placed on probation after pleading no contest to a felony charge of stalking. He served one year in county jail as a condition of the grant of probation. After his first violation, he waived credit for the year he had served and was sentenced to an additional 90 days in county jail as a condition of reinstatement of probation. After a second violation, the court reinstated probation without imposing any additional jail time. Upon his third violation, probation was revoked and the defendant sentenced to state prison for three years. He appealed his sentence, contending he was entitled to the credit for time served that he waived when he was sentenced after his first probation violation. Because the sentencing court failed to advise him that his waiver would apply to a future prison term as well as to his county jail time, the defendant claimed his waiver was not knowing and intelligent. (Burks, supra, 66 Cal.App.4th at p. 234.)
Observing that the defendant‘s argument was supported by the holding in Harris, supra, 195 Cal.App.3d 717, the Burks court nonetheless disagreed with Harris and elected to instead follow the earlier rule stated in Zuniga, supra, 108 Cal.App.3d 739, to the effect that a defendant “‘cannot use his own misconduct as a basis for setting aside the waiver which he executed as a condition for obtaining leniency in the first instance.‘” (Burks, supra, 66 Cal.App.4th at p. 234, quoting Zuniga, supra, 108 Cal.App.3d at p. 743.)
The Burks court explained: “The question before us is whether a defendant who is sent to prison after yet another probation violation may regain his waived credits by asserting he did not understand that his credit waiver would apply to a future prison term. In Zuniga, the court rejected the argument that once a defendant is removed from probation, the bargain that got him there
The Burks court explained further: “In People v. Salazar [(1994) 29 Cal.App.4th 1550 [35 Cal.Rptr.2d 221]], the Court of Appeal, First Appellate District, Division One held that a custody credit waiver may be found to have been voluntary and intelligent from the totality of the circumstances, even if the sentencing court failed to follow the ‘better course’ of specifically advising the defendant regarding the scope of his waiver. (29 Cal.App.4th at p. 1554.) Harris was distinguished on the ground that Salazar had failed to object when the trial court stated his waiver was ‘for all time and for all purposes,’ supporting the inference that Salazar understood the waiver would apply to a future prison term. (Id. at pp. 1555-1556.)” (Burks, supra, 66 Cal.App.4th at p. 235.)
The Burks court in no uncertain terms made clear that “[h]ere, there is nothing in the record to support an inference that Burks knew his waiver applied to state prison time.” (Burks, supra, 66 Cal.App.4th at p. 235.) Positing that “[i]t might be argued that by insisting on a waiver of more credits than was necessary to comply with the one-year limit on jail commitments, the [sentencing] court must have meant to deprive Burks of credits against a future term of imprisonment,” the Burks court answered its own inquiry, “However, there is no indication Burks understood this.” (Id. at p. 236.) “On the other hand,” the court further observed, “there is also no indication Burks thought he would be able to use his credits to reduce a future prison term.” (Ibid.) Faced with a silent record which did not establish one way or the other whether the defendant understood his Johnson waiver would apply to a future prison sentence if probation was revoked, the Burks court concluded: “In this situation, we believe the Harris rule improperly bestows a windfall on a defendant who repeatedly violates probation. Harris permits such a defendant to renegotiate a sentencing bargain that was honored by the court but not by the defendant, the very result that was correctly rejected in Zuniga.” (Ibid.)
Burks and Zuniga state the sounder rule
We conclude that Burks and Zuniga state the correct rule, consistent with law, logic, and sound public policy, and that Harris must be disapproved.
A Johnson waiver is a waiver of a statutory right to credit for time served against a subsequent county jail or state prison sentence pursuant to
The Burks court explained that, “Nothing in the statutory scheme suggests that custody credits are kept in dual accounts, one for use against jail time and one for use against prison time. To the contrary,
A rule that gives back previously waived credits to a defendant as a consequence of his future violation of probation thus rewards him for his own misconduct. It is also unjust enrichment, as the defendant would be getting the benefit of the bargain reached at his original sentencing and later be permitted to revoke the consideration he gave up to obtain the benefit of that bargain. As a matter of sound sentencing policy, the law should not afford probationers incentives or rewards for refusing to comply with the terms and conditions of probation.4 The rule of Harris does just that.
We therefore adopt the rationale and holding of Burks, supra, 66 Cal.App.4th 232, and disapprove the contrary holding of People v. Harris, supra, 195 Cal.App.3d 717. “As with the waiver of any significant right by a criminal defendant, a defendant‘s waiver of entitlement to
The better practice is for sentencing courts to expressly admonish defendants who waive custody credits under Johnson, supra, 82 Cal.App.3d 183, that such waivers will apply to any future prison term should probation ultimately be revoked and a state prison sentence imposed. (See, e.g., People v. Salazar (1994) 29 Cal.App.4th 1550, 1554 [35 Cal.Rptr.2d 221]; People v. Ambrose (1992) 7 Cal.App.4th 1917, 1923 [9 Cal.Rptr.2d 812].) A sentencing court‘s failure to include such an explicit advisement will not, however, invalidate a Johnson waiver by which the defendant is otherwise found to have knowingly and intelligently relinquished his or her right to custody credits under
Defendant, in his answer brief before this court, argues that the straightforward test applied in Burks—i.e., whether the defendant understands he is waiving or giving up his right to custody credits to which he is otherwise entitled under
In the somewhat analogous situation where a defendant entering a guilty plea must be advised of all the direct consequences of conviction (see Bunnell v. Superior Court (1975) 13 Cal.3d 592, 605 [119 Cal.Rptr. 302, 531 P.2d 1086]), it has been observed that “This requirement relates to the primary and direct consequences involved in the criminal case itself and not to secondary, indirect or collateral consequences. [Citations.] A collateral consequence is one which does not ‘inexorably follow’ from a conviction of the offense involved in the plea. [Citation.] [¶] Our courts have determined that while such consequences as the statutory range of punishment for the conviction, probation ineligibility and a required term of parole are direct consequences of a guilty plea [citations], the possibility of increased punishment in the event of a subsequent conviction is a collateral consequence. [Citations.]” (People v. Crosby (1992) 3 Cal.App.4th 1352, 1355 [5 Cal.Rptr.2d 159].) The possibility that a defendant afforded leniency
In the case at bench, at defendant‘s initial sentencing hearing the trial court informed him that as part of his plea he was “waiv[ing] all time credits through today, and there would be no immediate state prison in this case.” Defendant indicated on the record that he understood. As part of the plea form, he then executed a written waiver that stated, “I WILL WAIVE ALL CREDITS FOR JAIL TIME SERVED THROUGH 10-21-97.” Nothing in these oral and written advisements suggested to defendant that his waiver was anything other than a full relinquishment of his statutory right to
CONCLUSION
The judgment of the Court of Appeal is reversed, and the matter remanded to that court for further proceedings consistent with the views expressed herein.
KENNARD, J.—I concur.
I write separately, however, to emphasize that there is no indication defendant limited the scope of his custody credit waivers in any way. Nor is this a case in which the trial court, sentencing a defendant who has violated probation to state prison, concluded that in the interests of justice some adjustment for time served was appropriate. Those scenarios present questions we leave to another day.
