THE PEOPLE, Plaintiff and Appellant, v. JAMES JORDAN, Defendant and Appellant.
Crim. No. 24655
Supreme Court of California
July 31, 1986.
42 Cal. 3d 308
COUNSEL
John K. Van de Kamp, Attorney General, Eugene W. Kaster, Thomas A. Brady and Matthew P. Boyle, Deputy Attorneys General, for Plaintiff and Appellant.
Frank O. Bell, Jr., State Public Defender, under appointment by the Supreme Court, Suzan E. Hier, Deputy State Public Defender, and Frank Offen, under appointment by the Court of Appeal, for Defendant and Appellant.
OPINION
BROUSSARD, J.—Defendant James Jordan was convicted of robbery (
We conclude that the trial court properly exercised its discretion to strike the enhancements pursuant to its authority under
I.
The relevant facts remained in dispute throughout the trial and on appeal. On August 15, 1983, a police officer saw a man, bleeding profusely from a gash above his left eye, chasing another man across a parking lot in Salinas. A wallet belonging to Meliton Cortez, who had been chasing the defendant, was found in the doorway of a bank located about 15 or 20 feet back from the corner where the officer stopped the defendant. Cortez and Jordan gave the officers widely divergent versions of the events preceding their chase across the parking lot.
Because Cortez could not be located at the time of the trial, the court, after a hearing, determined that his testimony at the preliminary examination could be read to the jury. Cortez testified that he was seated on the bench at a bus stop, when he was suddenly hit on the left side of his head and neck with what he thought was a hammer or bar. He testified that he was unable to see who actually hit him and took his wallet, but that he ran after the person who turned out to be the defendant. Although there was no money in the wallet, it contained his residency papers since he is a documented alien working in this country. He testified that he had taken his wallet out to check his address before proceeding to walk to the place he had been residing for three to four months. Before he could catch up to his assailant,
Defendant testified that he and Cortez had met earlier that evening when Cortez asked him for a ride to a labor camp. Defendant told Cortez that he would drive him home if he would pay for the gas. Cortez said he had no money, so they agreed to go to the Colombo Cafe where Cortez might find some friends who could lend him money. Defendant remained outside while Cortez went in for five minutes. He testified that after Cortez failed to find someone willing to lend him money, they proceeded to the Rodeo Cafe where defendant had a credit arrangement. He signed for two hamburgers and gave one to Cortez because he was hungry and defendant thought he had no money. Later defendant saw Cortez drinking beer. He became angry and asked Cortez for one dollar to pay for the hamburger. They then walked out arguing about who would pay for the hamburger and began to fight outside. Defendant testified that Cortez swung at him first and then pulled out a small hammer and attempted to hit him with it. At this point, defendant testified, he wrested the hammer away from Cortez and hit him on the head. As defendant attempted to walk away from the bleeding Cortez, he testified that Cortez produced a knife and chased him without success until the police intervened.
Both men generally held to their disparate versions of the facts both at the time of their apprehension and in court. However, one officer testified that after receiving his Miranda warning, the defendant stated that he had been with Cortez all afternoon and that Cortez had cut his face as a result of falling on the pavement. He also did not initially mention the hammer. A second officer testified that while transporting defendant from the preliminary hearing back to jail, defendant told a fellow prisoner that “the reason he didn‘t finger me is because he had a weapon. He put up a hell of a fight, but I got his wallet anyway.” A waitress at the Rodeo Cafe testified that she served two hamburgers that night to defendant and a young Mexican man. Cortez is middle-aged.
At the sentencing hearing the People sought the upper term on the robbery plus a one-year enhancement for each of the four prior felony prison terms alleged. The court imposed an aggravated sentence based on defendant‘s lengthy prior criminal record, but declined to impose the penalty on the four prior felony enhancements. The Court of Appeal concluded that the sentencing court abused its discretion under
II.
As part of the determinate sentencing law,
In evaluating the defendant and the circumstances of his crime for the purpose of sentencing, “the court shall apply the sentencing rules of the Judicial Council.” (
The People contend that there were no circumstances in mitigation stated on the record that could possibly have justified the sentencing court‘s exercise of discretion. The Court of Appeal‘s opinion limited its analysis to a summary conclusion that “we find no ameliorative or mitigating circumstance in the record reasonably supportive of the trial court‘s discretion in striking the enhancements.” However, our reading of the record indicates that the sentencing court did discuss its reasons for striking the enhancements at some length. The sentencing court stated, expressly and by implication, several proper circumstances in mitigation.
Contrary to the People‘s characterization of the trial court‘s reasoning process, the judge then imposed the upper term of five years for the robbery expressly because of the defendant‘s 40-year record of larcenous activity. “I also see that you‘ve been in prison most of the time, it looks like, during the last 30 years . . . . I‘m going to sentence you to five years in state prison because I find the aggravating factors outweigh the mitigating factors. The primary aggravating factor is your previous record. And that alone would justify, does justify, the upper term.” The People do not dispute that this was a procedurally proper exercise of discretion under
Having imposed the upper term for the robbery, the court then indicated that it understood its duty to exercise discretion under
It would be difficult to conclude from the sentencing judge‘s recital that he exercised his discretion in an arbitrary, capricious or unreasonable fashion. The sentencing court explicitly stated several proper mitigating circumstances that the Court of Appeal appears to have completely ignored. First, the trial court found that defendant‘s prior criminal record consisted primarily of convictions for nonviolent and “minor” larcenies or for being drunk in public. Second, the trial court suggested that a nine-year sentence for a man defendant‘s age would be unduly harsh, an arguably mitigating circumstance which the People here correctly characterize as deserving little or no weight. Although it apparently did not, the trial court could have found defendant‘s alcoholism itself to be in mitigation. (See People v. Simpson (1979) 90 Cal. App. 3d 919, 928 [154 Cal.Rptr. 249]; Cal. Rules of Court, rule 423(b)(2).) Finally, and most critically, the trial court explicitly found that “the facts in this case themselves are the mitigating factors [that] allow me to strike the four enhancements.”
While the circumstances listed in rule 423 are illustrative and not exclusive (rule 408(a), Cal. Rules of Court; People v. Covino (1980) 100 Cal. App. 3d 660, 671 [161 Cal.Rptr. 155]), rule 423 does suggest the type of factors—those generally relevant to the criminal and his crime—which can properly be relied upon. (People v. Johnson, supra, 95 Cal. App. 3d at p. 375.)
The defendant correctly points out that the circumstances in mitigation listed in rule 423 of the California Rules of Court support the presumption that the facts as the trial court found and recited them justified a decision to strike the enhancement terms.5 This presumption in favor of the sentenc-
The People, perhaps in recognition that the trial judge did indeed state circumstances in mitigation on the record, argue in the alternative that these purportedly mitigating circumstances were in fact aggravating circumstances and that the court must have been “clearly mistaken as to the actual facts of this case.” The People infer that the trial judge must have ignored physical evidence and disregarded the victim‘s testimony at the preliminary hearing (the transcript of which was read to the jury since Cortez could not be located). These errors apparently led the trial court to adopt defendant‘s “unreasonable” version that he and the victim had been out drinking and that the robbery occurred out of a dispute over payment for a hamburger.
However, the defendant correctly asserts that since the trial court acknowledged that an assault and robbery had taken place, and imposed an aggravated sentence, it clearly accepted the jury‘s verdict and did not adopt defendant‘s precise version of the incident. There is also substantial evidence on the record to support the version of the facts recited by the trial court. Because the trial court‘s version of the facts underlying the offense was neither unreasonable nor without support in the record, the court did not abuse its discretion under
The Court of Appeal below and the People here also appear to have labored under a misconception concerning the scope of the sentencing
This emphasis on defendant‘s criminal record, and the suggestion that it precludes striking the enhanced punishment based on other mitigating circumstances, is inappropriate for two reasons. The principal reason is that the People incorrectly imply that the trial court must mechanically weigh all of the aggravating and mitigating circumstances and refuse to strike the enhancements if the latter outweigh the former. It is true that in the absence of legally cognizable circumstances in mitigation the trial court must impose the enhanced penalty. (People v. Johnson, supra, 95 Cal. App. 3d at p. 356.) But
The second reason is that even when the sentencing court expressly finds that aggravating factors outweigh mitigating circumstances, as the court did here, the imposition of one-year enhancements remains within the sound discretion of the sentencing court in the interests of proportionality and justice. (See
III.
We hold the trial court properly exercised its discretion to strike the enhancements under
Bird, C. J., Mosk, J., Reynoso, J., Grodin, J., and Panelli, J., concurred.
LUCAS, J.—I respectfully dissent. The majority concludes that the trial court properly exercised its discretion in striking four 1-year prison term enhancements pursuant to its authority under
One of the primary purposes underlying the determinate sentencing law, and the main legislative purpose in enhancing sentences based on prior convictions, was to increase the penalties for repeat offenders and thereby hopefully deter recidivism. (See People v. Espinoza (1979) 99 Cal. App. 3d
A careful review of this case convinces me that the trial court‘s stated reasons for striking the enhancements were inadequate in light of defendant‘s extensive past criminal history. I recognize, as does the majority, that the discretionary power vested in the trial judge to strike enhancements ordinarily may not be disturbed on appeal unless an abuse of discretion is shown. (Ante, p. 315.) However, I fail to see how the reasons specified by the trial court constitute “circumstances in mitigation” as required by
In determining whether the circumstances in mitigation are adequate, the defendant‘s entire criminal history is relevant. Here, defendant‘s four prior prison terms for felony convictions, which would have called for four 1-year enhancements, were for serious crimes: burglary, escape, possession of stolen property and possession of forged instruments. In addition, according to defendant‘s probation report, he has suffered at least 10 other felony convictions, as well as several other convictions for minor crimes such as public drunkenness and petty theft. Defendant‘s criminal history spans three pages of his probation report and dates back to the 1940‘s! Suffice it to say, defendant is an active, “dedicated” recidivist.
Defendant‘s probation report (recommending denial of probation) also is instructive in analyzing his present rehabilitative state. The report quotes defendant as conceding that “after 16 failures (prison commitments) it should be obvious that he [defendant] is not capable of finding a job or leading a productive life.” The report states that the present criminal offenses were committed only a short time after he was paroled, and that “defendant has no ability to adjust on parole.” Defendant is an admitted alcoholic; according
After examining defendant‘s background as a basis upon which to measure any mitigating circumstances, I would conclude that the trial court‘s stated reasons in mitigation for striking the enhancements are completely inadequate. First, the trial court stated that defendant‘s prior criminal record consisted of a “series of crimes that . . . have, for the most part, been minor crimes—petty theft and small forgery crimes.” As previously indicated, although defendant has been convicted of several minor crimes, he has in addition been convicted of 14 felonies including his recent convictions for burglary, escape, possession of stolen property and possession of forged instruments. Thus, the trial court‘s categorization of defendant‘s past criminal history as consisting of primarily “minor crimes” seems inaccurate.
Second, the trial court suggested that a nine-year sentence (five years for the robbery and four 1-year enhancements) may be unduly harsh for a person of defendant‘s age. The majority acknowledges that this factor is one “which the People here correctly characterize as deserving little or no weight.” (Ante, p. 316.) I agree. Indeed, the record fails to indicate that defendant was in ill health, weak or frail. On the contrary, the probation report states defendant was in relatively good health for his age, other than his chronic alcoholism.
Finally, the trial court found that the facts of the present case were themselves mitigating. Although these facts are in dispute, the trial judge apparently accepted defendant‘s version of the facts, namely, that the robbery and assault with a deadly weapon arose over a dispute as to who should pay for a hamburger. Even so, as the trial court acknowledged, the dispute escalated into “a robbery under the law.” Thus, in light of defendant‘s extensive criminal history and the trial court‘s own acknowledgment that, regardless of motive, defendant committed a violent felony, the reasons given for striking the mandatory enhancements were inadequate.3
A trial court does not possess unbounded discretion to be lenient. As the People suggest, defendant‘s criminal background may constitute an almost insurmountable obstacle to finding adequate circumstances in mitigation of
