Opinion
The only issue on appeal is whether the constitutional ban on ex post facto laws prohibits the imposition of probation conditions pursuant to Penal Code 1 section 1203.097, governing cases involving domestic violence, where the underlying offenses were committed before the statute was enacted. We hold that application of section 1203.097 in this case violates ex post facto principles. We vacate the sentence and remand for resentencing.
I.
BACKGROUND
On January 4, 1993, defendant Margarito Martinez Delgado was charged with three offenses committed on January 3, 1993: count one, attempted unlawful sexual intercourse (§§ 664, 261, subd. (a)(2)); count two, sexual battery (§ 243.4, subd. (a)); and count three, felony false imprisonment (§ 236) 2 Defendant entered a plea of not guilty at his arraignment on January 5, 1993. Defendant then failed to appear at his next hearing. A bench warrant was issued, but defendant remained at large for the next 12 years.
*1162 On March 10, 2005, defendant was again arraigned and again entered a plea of not guilty to all three counts. A first amended complaint was filed on March 16, 2005, which realleged the previous three counts, and added an additional offense committed on January 3, 1993: count four, infliction of corporal injury upon a spouse or cohabitant (§ 273.5, subd. (a)). A new complaint was also filed that same day, alleging defendant violated section 1320, subdivision (b), by failing to appear in court.
Defendant pleaded guilty to counts three (felony false imprisonment) and four (corporal injury to spouse or cohabitant) of the amended complaint. He also pleaded guilty to the single count in the new complaint for violating section 1320, subdivision (b). Counts one and two were dismissed with a Harvey 3 waiver.
On April 13, 2005, imposition of sentence was suspended on counts three and four, and defendant was placed on probation pursuant to section 1203.097. 4 The conditions of probation included, inter alia, (1) 36 months of supervised probation; (2) 40 hours of community service work; and (3) a domestic violence payment of $400. Defense counsel argued that defendant could not be sentenced under section 1203.097 because the underlying offenses occurred before the effective date of that statute. Section 1203.097 was enacted on September 21, 1994. (Stats. 1993-1994, 1st Ex. Sess., ch. 28, § 4, p. 8615.) Defendant committed the offenses in question on January 3, 1993. At the time, a person convicted of violating former section 273.5 was subject to punishment by “imprisonment in the state prison for 2, 3 or 4 years, or in a county jail for not more than one year, or by a fine of up to six thousand dollars ($6,000) or by both.” (Former § 273.5, subd. (a).) In the event probation was granted, participation in a batterer’s treatment program was required, unless the court found that participation in such a program was inappropriate for the defendant. (Former § 273.5, subd. (e).) Additionally, the suspension of the sentence could not exceed the maximum possible term of the sentence. (Former § 1203.1.)
Current law provides that if probation is granted to any person convicted of violating section 273.5, subdivision (a), “the court shall impose probation consistent with the provisions of Section 1203.097.” (§ 273.5, subd. (f).) Section 1203.097 imposes several mandatory conditions of probation for a crime involving domestic violence, including: (1) a minimum period of probation of 36 months (§ 1203.097, subd. (a)(1); (2) a minimum payment of $400 [two-thirds to finance local domestic violence programs and one-third to *1163 finance statewide domestic violence funds] (§ 1203.097, subd. (a)(5); and (3) a specified amount of community service (§ 1203.097, subd. (a)(8)). 5
The trial court determined that sentencing under section 1203.097 was permissible because the statute applied to grants of probation without reference to the date of the offense. This timely appeal followed.
n.
DISCUSSION
Courts generally have considerable discretion in fashioning the terms of probation. (See § 1203 et seq.) “A condition of probation will not be invalid unless it[:] ‘(1) has no relationship to the crime of which the offender was convicted, (2) relates to conduct which is not itself criminal, and (3) requires or forbids conduct which is not reasonably related to future criminality . . . .’ [Citation.] Conversely, a condition of probation which requires or forbids conduct which is not itself criminal is valid if that conduct is reasonably related to the crime of which the defendant was convicted or to future criminality.”
(People v. Lent
(1975)
However, when a court grants probation in a case involving domestic violence, section 1203.097 requires a trial court to impose numerous mandatory conditions of probation. Defendant contends the imposition of the mandatory probation conditions set forth in section 1203.097 is an ex post facto application of the law. The People, on the other hand, contend there is no ex post facto violation because prior to the enactment of section 1203.097, the trial court had discretion to impose the conditions of probation challenged on appeal.
A. Ex Post Facto Principles
Both the federal and state Constitutions prohibit ex post facto laws. (U.S. Const., art. I, § 10; Cal. Const., art. I, § 9;
Collins
v.
Youngblood
(1990)
The traditional understanding of the ex post facto clause was expressed in
Beazell v. Ohio
(1925)
The standard for determining whether a law violates the ex post facto clause has two components, “a law must be retrospective—that is, ‘it must apply to events occurring before its enactment’—and it ‘must disadvantage the offender affected by it’ . . . by altering the definition of criminal conduct or increasing the punishment for the crime . . . .”
(Lynce v. Mathis
(1997)
B. Retroactivity
“A law is not retroactive ‘merely because some of the facts or conditions upon which its application depends came into existence prior to its enactment.’ [Citation.]”
(People
v.
Grant
(1999)
The People argue section 1203.097 is being applied prospectively because the challenged conditions were imposed at the time probation was granted, which occurred after the statute became effective. In support of this position they rely on
People v. Bailey
(2002)
Here, unlike in
Bailey,
the language in section 1203.097, imposing mandatory conditions of probation on “a person [who] is granted probation,” does not establish “an express declaration” or “a clear and compelling implication” that the Legislature intended the statute to be applied retroactively. (Pe
ople v. Hayes
(1989)
However, as applied to defendant, section 1203.097 operates retrospectively because the mandatory conditions of probation are necessarily dependent upon his earlier offenses. At the time defendant committed the offenses, the law did not require mandatory conditions of probation for offenses involving domestic violence. (See former § 1203 et seq.) The application of section 1203.097 changed the legal consequences of defendant’s offenses committed before the statute’s effective date, and as such was applied retroactively.
*1166 C. Increase in Punishment
A party asserting an ex post facto claim has the ultimate burden of establishing that the measure of the punishment itself has changed. (Morales, 514 U.S. at p. 510, fn. 6.) No universal formula exists for determining whether a legislative change increases the measure of punishment. (Id. at p. 509.) Rather, whether or not a legislative adjustment creates a sufficient risk of increased punishment is largely a “matter of ‘degree.’ ” (Ibid.)
Relying on
Weaver v. Graham (1981)
The People assert that
Weaver
is not applicable in the instant case because defendant’s custody time was unaffected by the application of 1203.097. Rather, they assert
In re Winner
(1997)
*1167
Analogizing to the situation in
Winner,
the People argue that defendant cannot establish a prohibited increase in punishment because defendant can only speculate that he would have received less than a three-year probation term under the law existing at the time of the offense. First, the People’s argument is contrary to the well-established rule that a party asserting an ex post facto claim does not have the burden of demonstrating that he would have been sentenced to a lesser term under the prior law.
(Morales, supra,
Here, unlike in Winner, defendant committed the offenses before the enactment of section 1203.097. At the time defendant committed the offenses, the length of the probationary term for a section 273.5 violation was discretionary, the only condition being that it could not exceed four years. Section 1203.097 removed the trial court’s discretion and imposed a mandatory minimum term of 36 months, along with several other mandatory conditions, including community service and a $400 payment.
The People contend that the legislative decision to transform discretionary conditions of probation into mandatory ones does not result in an increase in punishment.
7
However, the removal of a sentencing court’s discretion can, indeed, implicate the ex post facto clause. (See
Lindsey v. Washington
(1937)
Although not cited by either party,
Lindsey
is particularly instructive. In
Lindsey,
the court ruled that a law is ex post facto if its effect “is to make mandatory what was before only the maximum sentence.”
(Lindsey, supra,
Another instructive case not discussed by the parties is
Miller.
There, the court ruled that a revision in a state sentencing statute, which became effective between the date of the petitioner’s offense and the date of his conviction resulted in an ex post facto violation because the new guideline was “ ‘more onerous than the prior law.’ ”
(Miller, supra,
The petitioner could not “ ‘show definitively that he would have gotten a lesser sentence’ ” under the former guidelines, because the trial judge could have reached the same result by departing from the presumptive range.
(Miller, supra,
As Lindsey demonstrates, a change in law that increases the mandatory minimum sentence attached to a crime increases the measure of punishment even if a defendant cannot show that he would have received a more lenient sentence under the former law. (See Lindsey, supra, 301 U.S. at pp. 400-401.) Similarly, changes in sentencing rules can violate the ex post facto clause when the rules sufficiently circumscribe judicial discretion, even if the change does not automatically lead to a more onerous result than what would have occurred under the prior law. 8 (See Miller, supra, 482 U.S. at pp. 432-433.)
This is not to say, however, that every “amendment having ‘any conceivable risk’ of lengthening the expected term of confinement raises ex post facto concerns.
(Morales, supra,
In contrast to the law at issue in Morales, the penal consequences of defendant’s offenses are affected by the application of section 1203.097. The risk of a longer probation term was not “speculative and attenuated” because section 1203.097 removes judicial discretion in setting a minimum term, creating a “sufficient risk” of increasing the measure of punishment for defendant’s crimes. (Morales, supra, 514 U.S. at pp. 509-510.) Rather, section 1203.097 is more akin to the laws at issue in Lindsey, Weaver, and Miller, which had the effect of enhancing the range of available prison terms.
Following the reasoning of
Lindsey, Weaver,
and
Miller,
9
we conclude the application of section 1203.097 increased the measure of defendant’s punishment. It is true that the granting of probation is an act of grace and clemency rather than a right given to a defendant.
(People
v.
Howard
(1997)
Here, section 1203.097 increased the measure of punishment from what was in effect on the date of defendant’s offenses, by removing the trial court’s discretion to impose a shorter term and by attaching the mandatory 36-month term, community service condition, and $400 payment.
We are thus left with the inescapable conclusion that application of section 1203.097 to the offenses occurring in 1993 violated the prohibition against ex post facto laws. The instant case must be remanded for sentencing under the law in place when defendant committed the offenses.
HI.
DISPOSITION
The judgment of conviction is affirmed. The case is remanded for sentencing under the law as it pertained to defendant as of January 3, 1993.
Sepulveda, J., and Rivera, J., concurred.
Notes
Unless otherwise noted all statutory references are to the Penal Code.
The facts underlying defendant’s offenses are not relevant to the instant appeal.
People v. Harvey
(1979)
Defendant was also granted probation in the failure to appear case.
Section 1203.097, subdivision (a) imposes eight mandatory conditions of probation. However, defendant’s challenge is limited to the three conditions set forth above.
For simplicity’s sake, we refer to them as a single constitutional provision.
(People
v.
Frazer
(1999)
We assume, without deciding, that the challenged conditions could have been imposed in 1993. Thus, we do not address the People’s alternate argument that the $400 payment is not punitive.
To the extent the People rely on
People v. Brown
(2001)
The fact that
Lindsey, Weaver,
and
Miller
are
pre-Collins
cases does not alter our conclusion. Specifically, the court in
Morales, supra,
While these cases pre-date Collins, the laws at issue had the purpose and effect of enhancing the range of available probation terms. (See Morales, supra, 514 U.S. at pp. 506-507.)
