THE PEOPLE, Plaintiff and Respondent, v. DAVID NEWMAN, Defendant and Appellant.
No. B266704
Second Dist., Div. Two.
Aug. 18, 2016
718
THE SUPREME COURT OF CALIFORNIA GRANTED REVIEW IN THIS MATTER (see Cal. Rules of Court, rules 8.1105(e)(1)(B), 8.1115(e)) November 22, 2016, S237491.
Cheryl Lutz, under appointment by the Court of Appeal, for Defendant and Appellant.
Kamala D. Harris, Attorney General, Gerald A. Engler, Chief Assistant Attorney General, Lance E. Winters, Assistant Attorney General, Noah P. Hill and Viet H. Nguyen, Deputy Attorneys General, for Plaintiff and Respondent.
OPINION
BOREN, P. J.—David Newman appeals from the postjudgment order denying his petition for recall of his sentence on his conviction for assault by
We affirm the order. The Proposition 36 court found that defendant intended to cause great bodily injury, which is an expressly enumerated factor for disqualifying, or rendering ineligible, a defendant for resentencing under Proposition 36 (
BACKGROUND4
On the evening of December 28, 2000, defendant called a Long Beach Pizza Hut restaurant and ordered a pizza. He became very angry, because he believed he had been placed on hold for “too fucking long.” Five minutes after his order, he went to the restaurant and demanded his pizza. He yelled and cursed at the employees and stated he had been “waiting [all] this time
As he walked out, Jose Alvarez Avalos, a uniformed delivery driver, was entering the restaurant. Defendant struck Alvarez in the jaw although Alvarez, who did not speak English, had not exchanged any words with him. Alvarez fell to the ground and briefly lost consciousness. Upon regaining consciousness, he saw defendant walking to a car and went to his own car to write down defendant‘s license plate number. Defendant approached from behind, began to choke Alvarez, and demanded his money. He took about $50 from Alvarez‘s pocket.
Alvarez sustained a hairline fracture of the jaw and was in a great deal of pain. As a precautionary measure, an oral surgeon performed surgery to wire Alvarez‘s jaw shut.
At trial, defendant admitted he swung his fist at Alvarez‘s face, hitting him in the jaw but denied using any other force or taking money from Alvarez.
The jury convicted defendant of assault by means likely to produce great bodily injury (
In view of respondent‘s concessions, this court modified the judgment by striking the four prior serious felony conviction enhancements; reversing the finding that the prior assault conviction under
On June 26, 2013, defendant filed a Proposition 36 petition for recall of sentence and resentencing. The court issued an order to show cause why the petition should not be granted. The People filed opposition, and defendant filed a reply.
DISCUSSION
1. Nature of Factual Findings Underlying Ineligibility Determination
Defendant asserts the nature or basis of his assault conviction did not involve an intent to inflict bodily injury. He contends the Proposition 36 court was not permitted “to make a brand new factual finding of intent” and could not “make new findings that went beyond the ‘nature or basis’ of the conviction.” The gist of his claim of error is unless the disqualifying factor, e.g., “intent to cause great bodily injury,” is an element of the current crime or a sentence enhancement allegation found true by the jury, the court is not empowered to find such factor exists. We are not persuaded.
a. Offense or Enhancement Elements Irrelevant to Disqualifying Factor Finding
Proposition 36 does not require the disqualifying factor that renders a defendant ineligible for resentencing to be an element of the offense or a sentence enhancement.
Proposition 36 expressly renders eligible for resentencing a defendant whose “current sentence was not imposed for any of the offenses appearing in clauses (i) to (iii), inclusive, of subparagraph (C) of paragraph (2) of subdivision (e) of Section 667 or clauses (i) to (iii), inclusive, of subparagraph (C) of paragraph (2) of subdivision (c) of Section 1170.12.” (
Unless a defendant waives his constitutional right to trial by jury (
Proposition 36, on its face, does not dictate that any of the triad of disqualifying factors must be an element of the current offense or a sentence enhancement or that such disqualifying factors must be pled and proved as such to the trier of fact. Its plain and clear language reflects a contrary intent. Subdivision (f) of
Further, these disqualifying factors are not a subject for a jury to determine, because they do not cause an increase in punishment beyond the statutory punishment for the current offense. Proposition 36 operates to decrease a defendant‘s punishment and therefore is “an act of lenity.” (People v. Bradford (2014) 227 Cal.App.4th 1322, 1335 (Bradford).) The Sixth Amendment right to jury trial therefore is not implicated. (Cf. Apprendi v. New Jersey (2000) 530 U.S. 466, 490 (Apprendi); People v. Towne (2008) 44 Cal.4th 63, 86 (Towne)).
Additionally, the plain purpose of these disqualifying factors is to serve as a prophylactic measure to further the goal of the Three Strikes law to protect society against recidivist criminals who commit violent and/or serious crimes. In enacting Proposition 36, the voters intended a third strike defendant who committed a current, nonviolent and nonserious crime would not be punished as severely as a third strike defendant whose current crime was violent and/or serious. Nonetheless, the voters also intended to exclude those defendants who committed the current nonviolent and nonserious crime in a manner that potentially could result in violent and/or serious consequences, which intent is manifest in the triad of disqualifying factors. As the court cogently
To this end, Proposition 36 disqualifies from resentencing those defendants whose current crime is nonviolent and nonserious but, during its commission, the defendant used a firearm, was armed with a firearm or deadly weapon, or intended to inflict great bodily injury on another. Assuredly, it would fly in the face of such intent to read into a disqualifying factor a requirement that such factor be an element of the current crime or attendant sentence enhancement. Such requirement would be contrary to the Act‘s plain language and impermissibly amount to a loophole allowing all other defendants who “used a firearm, [were] armed with a firearm or deadly weapon, or intended to inflict great bodily injury on another” to be eligible for resentencing.
Moreover, the elements of a criminal offense and any attendant sentence enhancement, which increases a defendant‘s sentence beyond the maximum prescribed for that offense, must be pled and proved by the prosecution. (People v. Wims (1995) 10 Cal.4th 293, 323-324.) In contrast, no requirement exists that the disqualifying factors as to resentencing eligibility be pled and proved as an element of the current offense or attendant sentence enhancement. (Cf.
Finally, as defendant concedes, the Proposition 36 court is authorized to make its factual findings regarding a disqualifying factor based on the record of conviction. In Blakely, the court reasoned: “Like facts invoked to limit the ability to earn conduct credits, facts invoked to render an inmate
To conclude otherwise would lead to an absurd result by rendering meaningless Proposition 36 in the situation where neither the charged offense nor an attendant sentence enhancement allegation requires a factual finding that the defendant used a firearm, was armed with one or a deadly weapon, or intended to cause great bodily injury to another person. Accordingly, a Proposition 36 court may determine whether one or more of these disqualifying factors exists independent of the elements of the current offense and any attendant sentence enhancement allegation.
Defendant‘s reliance on People v. Guerrero, supra, 44 Cal.3d 343, which is factually inapposite, for a contrary conclusion is misplaced. Guerrero, which was decided long before enactment of Proposition 36, concerns what evidence a trial court may consider in determining the truth of a prior conviction allegation. The court concluded: “To allow the trier of fact to look to the record of the conviction—but no further—is also fair: it effectively bars the prosecution from relitigating the circumstances of a crime committed years ago and thereby threatening the defendant with harm akin to double jeopardy and denial of speedy trial.” (Guerrero, at p. 355.) Similarly, People v. Wilson (2013) 219 Cal.App.4th 500, upon which he also misrelies, concerns a trial court‘s determination as to whether a defendant‘s prior conviction qualifies as a “serious felony” under the Three Strikes law. It is in this context that the court in Wilson stated: “[A] sentencing court making this inquiry is limited to examining the record of the prior conviction to determine ‘the nature or basis’ of the prior offense. [Citation.] In doing so, the court must not engage in resolving factual disputes concerning the defendant‘s conduct. ‘[T]he inquiry is a limited one and must be based upon the record of the prior criminal proceeding, with a focus on the elements of the offense of which the defendant was convicted.’ [Citation.] ‘The need for such an inquiry does not contemplate that the court will make an independent determination regarding a disputed issue of fact relating to the defendant‘s
b. Disqualifying Factual Finding Based on Record of Conviction
Defendant acknowledges the Proposition 36 court properly may rely on the record of conviction, which includes the transcripts of the trial, citing People v. Bartow (1996) 46 Cal.App.4th 1573, and he concedes the “court in this case acted properly in relying on those transcripts.”
The record contains substantial evidence supporting the court‘s factual finding that defendant intended to cause great bodily injury to Alvarez. (See People v. Robinson (2010) 47 Cal.4th 1104, 1126 [“uphold any express or implied factual findings of the trial court that are supported by substantial evidence“].) The evidence reported in the trial transcript established that during an unprovoked attack and in a state of extreme rage, defendant lashed out at Alvarez, an innocent bystander, by punching him in the jaw with a closed fist with such force that Alvarez fell to the ground, lost consciousness, and suffered a hairline fracture of his jaw. It is of no moment that an intent to cause great bodily injury to another person, the disqualifying factor at issue, is not an element of his current crime of assault by means likely to cause great bodily injury (
2. Standard of Proof: Preponderance of Evidence, Not Beyond Reasonable Doubt
Defendant contends that beyond a reasonable doubt is the standard of proof applicable to disqualifying factor findings. We conclude the standard of proof is, in fact, preponderance of the evidence.
a. The Three Standards of Proof
As the United States Supreme Court has explained, there are generally three standards of proof. “The purpose of a standard of proof is ‘to instruct the factfinder concerning the degree of confidence our society thinks he should have in the correctness of factual conclusions for a particular type of adjudication.’ [Citation.] Three standards of proof are generally recognized, ranging from the ‘preponderance of the evidence’ standard employed in most
In short, “[a]t one end of the spectrum is the ‘preponderance of the evidence’ standard, which apportions the risk of error among litigants in roughly equal fashion. [Citation.] At the other end of the spectrum is the ‘beyond a reasonable doubt’ standard applied in criminal cases, in which ‘our society imposes almost the entire risk of error upon itself.’ [Citation.] Between those two standards is the intermediate standard of clear and convincing evidence. [Citation.]” (People v. Arriaga (2014) 58 Cal.4th 950, 961.)
In Bradford, the court “conclude[d] the standard of proof is not dispositive in this case; petitioner‘s conviction must be reversed even assuming the burden of proof is a preponderance of the evidence. Therefore, because a determination is unnecessary, we express no opinion regarding the appropriate standard of proof.” (Bradford, supra, 227 Cal.App.4th 1322, 1343.) In a concurring opinion, however, Presiding Justice Raye discussed the three standards of proof and expressed his view that “a heightened burden of proof by clear and convincing evidence” appeared appropriate. (Id. at pp. 1344-1351.)
To date, no reviewing court has embraced the clear and convincing evidence standard as the standard of proof applicable to a Proposition 36 resentencing disability finding. Rather, the battle lines have been drawn with beyond a reasonable doubt, on one side, and preponderance of the evidence, on the other. The published appellate court opinions espousing a standard of proof thus far have all come down on the side of preponderance of the evidence, except for one, Arevalo, supra, 244 Cal.App.4th 836, in which the court embraced the beyond a reasonable doubt standard of proof. We decline to follow Arevalo and conclude the appropriate standard of proof is preponderance of the evidence.
b. Preponderance of Evidence—Statutory Standard of Proof
We begin with the language of the initiative itself. Proposition 36 does not indicate the standard of proof applicable to the subject triad of disqualifying factors, any one of which would render a defendant ineligible for resentencing under the Act. As a statutory matter, preponderance of the evidence
c. Preponderance of Evidence—Constitutional Standard of Proof
As a constitutional matter, we also conclude preponderance of the evidence is the standard of proof. We are not persuaded that beyond a reasonable doubt, the highest standard of proof, has any bearing on the existence of a disqualifying factor that would render a defendant ineligible for Proposition 36 downward resentencing relief.
In People v. Osuna (2014) 225 Cal.App.4th 1020, the court “conclude[d] disqualifying factors need not be proven to a jury beyond a reasonable doubt where eligibility for resentencing under
In Blakely, the court “reject[ed] defendant‘s claim that an inmate seeking resentencing pursuant to
On the other hand, in Arevalo, the court held that beyond a reasonable doubt is the appropriate standard of proof. In a bench trial, the court acquitted the defendant of the possession of a firearm by a felon charge and found untrue the armed with a firearm allegation. In denying the Proposition 36 petition, a different court, applying the preponderance of the evidence standard, found the defendant had been armed with a weapon during the commission of his offenses. In concluding that the Proposition 36 court erred, the court in Arevalo agreed with the defendant‘s contention that the Proposition 36 court‘s ineligibility finding was “based on facts not established beyond a reasonable doubt.” (Arevalo, supra, 244 Cal.App.4th 836, 842.) The reviewing court reasoned: “Under a properly applied ‘beyond a reasonable doubt’ standard, Arevalo‘s acquittal on the weapon possession charge, and the not-true finding on the allegation of being armed with a firearm, are preclusive of a determination that he is ineligible for resentencing consideration.”7 (Arevalo, supra, at pp. 841-842; see also id., at pp. 853-854.)
We also find Arevalo unpersuasive for additional reasons and concur in Frierson‘s conclusion that preponderance of the evidence is the appropriate standard of proof. Although citing to and quoting from Blakely, the court in Arevalo omitted the above quoted language regarding the claim of a Sixth Amendment right to a jury trial and did not address that court‘s rejection of the beyond a reasonable doubt standard.
Further, Arevalo is inconsistent. The court ordered “[t]he matter ... remanded for a hearing to determine whether, under a preponderance of the evidence standard, Arevalo would pose an unreasonable risk of danger to public safety such that he should not be resentenced.” (Arevalo, supra, 244 Cal.App.4th at p. 854.) In so doing, the court relied on its earlier decision in People v. Superior Court (Kaulick) (2013) 215 Cal.App.4th 1279, in which that court held the People bore the burden of establishing dangerousness by a preponderance of the evidence, because no Sixth Amendment issues were implicated, and thus the beyond a reasonable doubt standard was not warranted.8 (Kaulick, at pp. 1301-1305; see also Arevalo, at pp. 842, fn. 3, 849, fn. 10; Osuna, supra, 225 Cal.App.4th 1020, 1040.)
In Arevalo, however, the court did not identify, discuss, or find any Sixth Amendment issues necessitating the beyond a reasonable doubt standard as to
Further, we point out whether the trier of fact is the jury or the trial court, as a matter of due process, the standard of proof applicable to the charged offense and a sentence enhancement is the same: beyond a reasonable doubt. Beyond a reasonable doubt is the standard of proof the trier of fact must employ to overcome the presumption of a defendant‘s innocence. (
As a general matter, beyond a reasonable doubt, the highest standard of proof, implicates issues regarding guilt or innocence of a charged crime but not sentencing. The United States Supreme Court in United States v. Watts
In Apprendi, the United States Supreme Court held that under the United States Constitution: “Other than the fact of a prior conviction, any fact that increases the penalty for a crime beyond the prescribed statutory maximum must be submitted to a jury, and proved beyond a reasonable doubt.” (Apprendi, supra, 530 U.S. 466, 490.)
Apprendi‘s mandate of a beyond a reasonable doubt standard of proof is factually inapplicable. Proposition 36 operates to decrease a defendant‘s punishment, not to increase the “penalty for a crime beyond the prescribed statutory maximum.” (Apprendi, supra, 530 U.S. at p. 490.)
CONCLUSION
Proposition 36 renders ineligible for resentencing a defendant who, during the commission of the current crime, used a firearm, was armed with a firearm or deadly weapon, or intended to cause great bodily injury. None of these triad of disqualifying factors is required to be an element of that crime or attendant sentence enhancement allegation. The existence of a disqualifying factor is a matter solely within the province of the Proposition 36 court to determine. The statutory standard of proof is preponderance of the evidence. Preponderance of the evidence is also the constitutional standard, because Proposition 36 is an ameliorative act, not one that operates to increase the defendant‘s “penalty for a crime beyond the prescribed statutory maximum.”
DISPOSITION
The order appealed from is affirmed.
Ashmann-Gerst, J., and Hoffstadt, J., concurred.
A petition for a rehearing was denied September 16, 2016, and appellant‘s petition for review by the Supreme Court was granted November 22, 2016, S237491.
