I. INTRODUCTION
On February 6, 1992, pursuant to a negotiated disposition, Norman Yung Yuen Hsu (Hsu) entered a no contest plea to one count of grand theft (Pen. Code, §§ 484, former 487, subd. 1). Shortly thereafter, he failed to appear for sentencing. By the time he was arrested and returned to California, some 15 years later, the judge who initially took Hsu’s plea in this matter had retired from the bench and was unavailable to impose sentence. Thereafter, Hsu was brought before a different judge to be sentenced. At sentencing, the judge followed the terms of the original 1992 plea bargain and sentenced Hsu to a three-year state prison term, with victim restitution to be determined in future proceedings.
On appeal, Hsu contends error in two of the court’s presentencing rulings. First, he claims the trial court erred in denying his motion to dismiss the charges against him because the 15-year delay in sentencing violated his constitutional right to a speedy trial. (U.S. Const., 6th Amend.) Secondly, he claims the trial court erred in denying his motion to withdraw his plea because he was not sentenced by the same judge who took his original plea, in violation of
People v. Arbuckle
(1978)
We affirm the judgment.
II. FACTS AND PROCEDURAL HISTORY
On December 4, 1991, an information was filed in the San Mateo County Superior Court charging Hsu with 16 counts of grand theft and enhancing allegations. The charges emanated from Hsu’s business dealings, which were described by the prosecution as “a pyramid or ‘Ponzi’ scheme,” whereby Hsu solicited multiple investors by posing as the owner of a company that bought and sold apparel at a profit. Hsu never engaged in any legitimate business activity. Instead, he simply paid a return to earlier investors with money obtained from later investors. The scheme collapsed in 1990 when Hsu was
On February 6, 1992, pursuant to a negotiated disposition, Hsu entered a no contest plea before Judge Aram Severian to one count of grand theft (Pen. Code, §§ 484, former 487, subd. 1), with an admission of taking in excess of $100,000 (Pen. Code, § 12022.6, subd. (b)). A copy of the change of plea form filed on February 6, 1992, provides that Hsu would be sentenced to an aggravated term of “[tjhree years state prison; remaining counts dismissed; Harvey Waiver as to dismissed counts for sentencing & restitution.” 2 The change of plea form indicates Hsu refused to waive his “right to be sentenced by the judge taking my plea . . . .” Hsu was represented during the plea negotiations by Attorney Linda Bramy.
Hsu was to be sentenced on April 7, 1992. On that date, Attorney Anthony Gibbs appeared in court on Hsu’s behalf, indicating he had recently been retained to represent Hsu and asking that the sentencing hearing be continued. Hsu’s sentencing hearing was continued to May 1, 1992, and then again to June 10, 1992.
On June 10, 1992, Hsu failed to appear for sentencing before Judge Severian. Mr. Gibbs provided the court with a handwritten note from Hsu. The note indicated that Hsu had gone to Boston to take care of a personal matter and would return the following Monday; however, Hsu did not return for sentencing. Judge Severian forfeited the bail that had been posted, and issued a bench warrant with bail set in the amount of $2 million.
Hsu originally fled to Asia but he returned to the United States around 2003. Hsu made no effort to hide his identity, and despite his fugitive status, records indicate he made frequent and notably large donations to dozens of political candidates. He became a regular fixture at political and philanthropic fundraisers in New York and California. In the meantime, Judge Severian, the judge who had taken Hsu’s plea, retired from the bench in December 2000.
In 2007, Hsu learned that he was about to be arrested on the old 1992 California bench warrant. Before he could be arrested, Hsu arranged for his surrender on August 31, 2007. He appeared in court and posted $2 million
On or about September 6, 2007, Hsu became ill while riding on an Amtrak train traveling from California to Denver, Colorado. Hsu was removed from the train and taken to a hospital in Grand Junction, Colorado. Later that day, FBI agents arrested Hsu pursuant to a warrant charging him with unlawful flight to avoid prosecution. On September 20, 2007, Hsu was extradited from Colorado to California.
During the course of these renewed proceedings, Hsu filed a motion claiming he was entitled to dismissal of the charges because the 15-year delay in sentencing, when authorities could have easily found and arrested him, violated his constitutional right to a speedy sentencing. Additionally, Hsu filed a motion asserting that he was entitled to withdraw his plea under Arbuckle and its progeny because he would not be sentenced by the same judge who had accepted his plea, in violation of an express term in the written plea agreement.
On January 4, 2008, Judge Stephen Hall denied these motions and sentenced Hsu to the bargained-for term of three years in state prison, with all the other counts and enhancements dismissed. The court imposed a restitution fine of approximately $200 but held $1 million of the bail posted by Hsu pending final determination of victim restitution. 3 (Gov. Code, former § 13967, subd. (c).)
This appeal followed.
III. DISCUSSION
A. Hsu’s Right to Speedy Sentencing
Hsu challenges the trial court’s denial of his motion to dismiss the charges against him, arguing that the more than 15-year delay between his no contest plea and his sentencing violated his Sixth Amendment right to a speedy trial. (U.S. Const., 6th Amend.)
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It is well settled that “the right to a speedy trial is ‘fundamental’ and is imposed by the Due Process Clause of the
Preliminarily, the parties disagree over whether the right to a speedy trial includes the right to a speedy imposition of sentence. The trial court believed Hsu had the right to a speedy sentence, and this view has support. (See
Pollard v. United States
(1957)
In considering the matter below, the trial court first applied standard waiver doctrine to Hsu’s motion, finding that Hsu waived his right to a speedy sentence by failing to appear for his originally scheduled sentencing hearing and remaining at large for 15 years. Hsu does not dispute that he fled in order to avoid being sentenced in this case, and there is certainly authority supporting the proposition that a fugitive defendant may not complain of delay caused by his deliberate evasion of the court’s process. (See
People v. Perez
(1991)
However, acknowledging that some courts have found that a defendant’s flight is simply one of several pertinent factors which must be considered as part of the court’s speedy trial inquiry, the trial court went ahead and conducted the balancing test set forth in
Barker,
“whereby the conduct of
Out of an abundance of caution, we too apply the four-part analysis of
Barker,
as amplified in
Doggett v. United States
(1992)
The first step in this balancing test, the length of the delay, is the triggering factor because “[u]ntil there is some delay which is presumptively prejudicial, there is no necessity for inquiry into the other factors that go into the balance.”
(Barker, supra,
Next, we must identify the reason for the delay.
(Barker, supra,
Respondent admits the government made only cursory efforts to locate Hsu after he returned to the United States in 2003 by periodically checking Hsu’s last known address, his wife’s home address, and his son’s school. Nevertheless, respondent claims that “[Hsu]’s flight, including leaving the United States for Hong Kong for approximately 10 years” was the principal cause for the delay.
We acknowledge decisions such as
Rayborn, supra,
However, we agree that “[f]rom the perspective of the administration of criminal justice, it makes no sense to hold out to fugitive defendants” like Hsu who are aware of the pending charges and fully able to appear in court “the possibility that, if the prosecution failed to pursue them diligently enough, the charges against them might be dismissed. Such a ruling encourages defendants to become fugitives.” (Green, ‘Hare and Hounds”: The Fugitive Defendant’s Constitutional Right to Be Pursued (1990) 56 Brook. L.Rev. 439, 488, fn. omitted.) Given Hsu’s flight to avoid sentencing and his awareness that the matter was pending, “[e]ven when the government can offer no good reason to justify the delay, in a given case the defendant’s own conduct may defeat his claim.” (Ogle, supra, 4 Cal.App.4th at p. 1021.) Such is the case here.
Given Hsu’s undeniable knowledge of his pending sentencing hearing, he could have returned to San Mateo County and demanded his right to be sentenced at any point during his 15-year absence from these proceedings. Instead, he waited until after he was arrested on the bench warrant in 2007 to assert his right to a speedy sentence. Focusing on
Barker's
balancing framework, Hsu’s failure to assert his right to be sentenced for so many years weighs strongly against him.
(Barker, supra,
The fourth
Barker
factor is prejudice from the delay.
(Barker, supra,
407 U.S. at pp. 532-533;
Doggett, supra,
505 U.S. at pp. 654-658.) Given our conclusion that Hsu is responsible for the delay in his sentencing, he bears the burden of demonstrating actual prejudice under the fourth
Barker
criterion.
(Manning, supra,
B. Hsu’s Right to Be Sentenced by the Same Judge Who Accepted His Plea
Hsu alternatively claims the trial court erred in refusing to allow him to withdraw his 1992 no contest plea because the judge who accepted his plea was unavailable for sentencing. In denying his motion, the trial court observed, “Judge Severian is unavailable because he retired some eight years after the defendant had failed to appear at the date and time of the scheduled [sentencing] hearing. His retirement is beyond the control of the Court, and ... in this particular case under its unique facts and circumstances, it would be unfair to use that as a basis to . . . somehow nullify this plea.”
As previously noted (ante, fn. 1), the court in Arbuckle held that a defendant who enters a guilty plea before a particular judge may be entitled, as an implied term of the plea bargain, to be sentenced by that same judge. As stated by the Arbuckle court, “[Wjhenever a judge accepts a plea bargain and retains sentencing discretion under the agreement, an implied term of the bargain is that sentence will be imposed by that judge. Because of the range of dispositions available to a sentencing judge, the propensity in sentencing demonstrated by a particular judge is an inherently significant factor in the defendant’s decision to enter a guilty plea. [Citations.]” 6 (Arbuckle, supra, 22 Cal.3d at pp. 756-757.) The Arbuckle court held that if the court’s internal administrative practices, such as rotating judges through different departments, rendered it impossible for the defendant to be sentenced by the same judge who accepted the plea bargain, the defendant should be permitted to withdraw his guilty plea. (Ibid.)
There can be little doubt that Hsu’s original 1992 plea bargain included an Arbuckle term. As evidenced by the change of plea form filed on February 6, 1992, which set out all of the pertinent terms of the plea agreement, Hsu indicated “I do not waive my right to be sentenced by the judge taking my plea . . . .” (Italics added.) This language indicates that Hsu’s change of plea was entered into with the expectation that Hsu’s sentence and victim restitution would be imposed by Judge Severian, the same judge who took his no contest plea to grand theft.
As many courts have recognized,
Arbuckle
does not stand for the blanket proposition that under all circumstances, a defendant is entitled to assert his or her right to have the same judge who presided over the plea hearing also preside over the sentencing hearing. As explained by the court in
People
v.
Dunn
(1986)
In
People v. Jackson
(1987)
Distinguishing
Arbuckle,
the
Jackson
court refused to allow the defendant to withdraw her waiver, pointing out that “Judge Ricks’s unavailability was not due to mere administrative convenience or internal court administrative practices.”
(Jackson, supra,
Ignoring the import of
Dunn, Watson,
and
Jackson,
Hsu steadfastly maintains that he “was entitled to the benefit of his plea agreement—including the term that Judge Severian would impose sentence. And, if that was not possible, [Hsu] was entitled to withdraw his plea.” Relying upon
People v. Cruz
(1988)
Cruz
agreed with several appellate opinions which held “that a defendant who fails to appear for sentencing under a plea bargain does not lose the protections of [Penal Code] section 1192.5, and must be allowed to withdraw his or her guilty plea should the court refuse to adhere to the original sentencing terms. [Citations.]”
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(Cruz, supra,
We find Cruz is inapposite to both the legal issues and facts here, and its holding does not bar us from applying the principles set out by the courts in Dunn, Watson, and Jackson. Hsu claims that Cruz established an unconditional right to withdraw his plea under Penal Code section 1192.5, notwithstanding his flight and Judge Severian’s retirement during the 15 years he was at large, because his plea agreement contained a specific term that he would be sentenced by Judge Severian. However, Cruz does not support the interpretation Hsu advances.
Cruz
simply held that Penal Code section 1192.5 prevented a court from unilaterally imposing a greater sentence than the agreed-upon term specified in the plea agreement as a sanction for a defendant’s failure to appear at sentencing.
(People v. Masloski
(2001)
We also point out that Cruz manifestly does not deal with the situation before us (as well as before the courts in Dunn, Watson, and Jackson), where the court considered whether the prosecution loses the benefit of the bargain it struck with the defendant based on a condition—sentencing by the same judge who accepted a guilty plea—which cannot be fulfilled due to circumstances outside the court’s or the prosecutor’s control. Judge Severian retired from the bench in 2000, and, through no fault of the prosecution or the court, was no longer available to preside at Hsu’s sentencing hearing. Crucial to our determination is that fulfillment of this condition remained entirely within Hsu’s control, and his failure to appear at the original sentencing hearing brought about the situation which made it necessary to proceed before a judge other than Judge Severian. We believe that when Hsu chose to absent himself from these proceedings for 15 years, he took the risk (if not made the calculation) that the judge who originally took his plea in 1992 would no longer play a judicial role in any future sentencing proceedings. Guided here by the principles and reasoning of Dunn, Watson, and Jackson, we emphasize that Hsu himself caused the failure of the Arbuckle condition, thus precluding him from relying on that condition as grounds to rescind the plea bargain.
To summarize, in a case such as this, involving a defendant who has fled not just once, but twice, to avoid sentencing, we do not think it is a sufficient reason to merit withdrawal of Hsu’s no contest plea, that the judge who took his original plea retired from judicial service during the 15-year period during which Hsu absented himself from these proceedings. If we sanctioned such an argument, any defendant who expressly demanded the right to be sentenced by the judge who accepted his or her plea could secure a tactical advantage by entering a plea and then fleeing—hopefully delaying sentencing to such a point where the judge who took the plea was no longer on the bench and a trial on the original charges was unlikely or impossible because the evidence was diminished by the passage of time. Such a ruling would enhance the attractiveness of flight, something we refuse to encourage here.
The judgment is affirmed.
Reardon, J., and Sepulveda, J., concurred.
A petition for a rehearing was denied December 5, 2008, and appellant’s petition for review by the Supreme Court was denied February 18, 2009, S169358. George, C. J., did not participate therein.
Notes
Hsu’s claim that he was entitled to be sentenced by the judge who originally took his plea in 1992 is derived from
Arbuckle, supra,
Because Hsu’s change of plea hearing took place in 1992, many of the pertinent records are no longer available. For instance, there is no reporter’s transcript from the 1992 plea hearing. However, the precise terms of the plea are evidenced by the change of plea form, Judge Severian’s notes regarding the plea, and the probation report prepared for the original sentencing hearing. All of these documents support the trial court’s finding that the 1992 plea agreement was for a fixed three-year sentence, not a sentence of up to three years as argued by Hsu.
As of the time of the briefing of this appeal, the precise amount of victim restitution, which the court held was not to exceed $996,020, was the subject of future proceedings. At sentencing, Hsu personally waived his right to be present at any future restitution proceedings.
Hsu filed a petition for writ of mandate with this court,
Hsu
v.
Superior Court
(Nov. 18, 2008, A120818), raising the exact speedy sentencing violation that he raises in this appeal to preserve this issue in case this court determines it is not cognizable on appeal. We find this issue can be raised on appeal without a certificate of probable cause because it involves
Hsu claims “[t]he trial court erred in requiring [Hsu] to show actual prejudice in support of his speedy trial claims.” Given this case law, the trial court’s determination that Hsu was required to show prejudice was unquestionably correct.
For purposes of this opinion, we assume, without deciding, that the calculation of the amount of victim restitution involves the judge’s discretion in electing from a variety of dispositions, bringing it within the scope of Arbuckle.
As Hsu points out,
Dunn’s
holding has been criticized in
People
v.
Letteer
(2002)
Penal Code section 1192.5 provides in relevant part: “Where [a] plea is accepted by the prosecuting attorney in open court and is approved by the court, the defendant, except as otherwise provided in this section, cannot be sentenced on the plea to a punishment more severe than that specified in the plea and the court may not proceed as to the plea other than as specified in the plea.”
