THE PEOPLE, Plaintiff and Respondent,
v.
RONALD EDDIE RATCLIFFE, Defendant and Appellant.
Court of Appeals of California, First District, Division Three.
*812 COUNSEL
Coleman Bresee, under appointment by the Court of Appeal, and Bresee & Bresee for Defendant and Appellant.
George Deukmejian, Attorney General, Robert H. Philibosian, Chief Assistant Attorney General, Edward P. O'Brien, Assistant Attorney General, Gloria F. DeHart, Kristofer Jonstad and Laurence K. Sullivan, Deputy Attorneys General, for Plaintiff and Respondent.
OPINION
WHITE, P.J.
Procedural History
On May 19, 1978, a jury found defendant and appellant Ronald Ratcliffe guilty of kidnaping (Pen. Code, § 207), oral copulation by force (Pen. Code, § 288a, subd. (c)), forcible rape (Pen. Code, § 261, subd. 2), and false imprisonment (Pen. Code, §§ 236-237). The jury also found that appellant used a dangerous weapon (a knife) in the commission of the false imprisonment charge within the meaning of Penal Code section 12022, subdivision (b). On June 16, 1978, the Honorable Richard W. Rhodes sentenced appellant to a term of imprisonment of *813 seven and one-third years: five years on the rape charge (the upper base term); one and one-third years on the kidnaping charge; and one year on the oral copulation charge. A concurrent term of one year was also imposed on the false imprisonment charge. This court, in People v. Ratcliffe (Nov. 6, 1979) 1 Crim. 18566, [unpub. opn.], authored by Scott, J., affirmed the judgment.[1]
On April 16, 1980, appellant filed a petition for writ of habeas corpus in the Santa Clara County Superior Court contending (1) the trial judge failed to state his reasons for imposing consecutive rather than concurrent terms; and (2) the imposition of sentence on the kidnaping and false imprisonment charge was violative of the prohibition against multiple punishment contained in Penal Code section 654. On May 30, 1980, the Honorable Peter G. Stone, judge of the Santa Clara County Superior Court, granted appellant's petition insofar as it claimed an impropriety in the imposition of consecutive sentences and directed that appellant be returned to the Santa Clara County Superior Court for resentencing.
On August 1, 1980, appellant appeared before the Honorable Richard W. Rhodes for resentencing. Judge Rhodes found that Penal Code section 654 was not applicable "to these four charges" and sentenced appellant to a term identical to the previously imposed sentence except that the concurrent term on the false imprisonment charge was three years.
Appellant has appealed from the sentence imposed on August 1, 1980,[2] and contends on appeal that (1) the imposition of consecutive sentences for kidnaping, rape and oral copulation violated the multiple punishment prohibition of Penal Code section 654; (2) the imposition of a sentence for false imprisonment violated the multiple punishment prohibition of Penal Code section 654; (3) the court erred in using the same facts to impose an aggravated term and consecutive sentences; and (4) the inclusion of erroneous and irrelevant material in the probation report used at appellant's sentencing hearing was prejudicial and constituted a denial of due process of the law. We find that appellant was erroneously convicted of false imprisonment, a lesser included offense *814 of kidnaping. We affirm the remaining judgments of conviction, but remand for resentencing without the dual use of facts for imposition of aggravated and consecutive sentences.
Facts
The bulk of the People's case was established through the testimony of Ms. Dillard,[3] the complaining witness. At this point a brief summary of that testimony evidencing appellant's shockingly flagrant felonious conduct will suffice. The jury's verdicts necessarily imply that they determined that appellant in the order designated (1) forcibly kidnaped Dillard (from her apartment via automobile to his own); (2) therein after physically threatening her with a baseball bat, he demanded her money; (3) her screams for help unanswered, he then required her to strip naked, tied her to a bed, terrorized and assaulted her with a knife blade, and then raped her; (4) before releasing her bonds, he forced her to orally copulate; and (5) after he untied her, appellant forced her to drink clorox and to swallow some pills. Fortunately, Dillard escaped by jumping or falling out a window two stories high. The "incident" lasted the better part of six hours and included the perpetration of humiliating, degrading and depraved sexual indignities upon Dillard that we summarily discuss hereinbelow. In light of the above perspective, we now discuss appellant's contentions of alleged sentencing errors.
Multiple Punishment
(1a) Appellant contends that the imposition of consecutive terms for kidnaping, rape and oral copulation and a concurrent term for false imprisonment was violative of the prohibition against multiple punishment contained in Penal Code section 654.[4] Appellant argues that he cannot be punished for rape and oral copulation and also kidnaping and false imprisonment because the objective of the kidnaping and false imprisonment was to commit the sexual acts.
*815 Penal Code section 654 is applicable where multiple convictions are based on a single act or omission. Penal Code section 654 provides in part: "An act or omission which is made punishable in different ways by different provisions of this code may be punished under either of such provisions, but in no case can it be punished under more than one;
(2) The single act or omission is not the only test that is employed to determine the applicability of section 654. (People v. Beamon, supra,
Appellant states "There is absolutely no evidence to support the conclusion that the kidnapping in the instant case had any `independent purpose' ... or was anything more than being `merely incidental' to the `principle [sic] objective' of the extended period of sexual gratification, which also included the use of a camera and tape recorder which were located in appellant's apartment." Appellant further asserts that the "sentence for false imprisonment enhanced by the [use] allegation suffers the same disability as the sentence for kidnapping."
The determination of whether the acts of which a defendant has been convicted constitute an indivisible course of conduct is generally a factual determination made by the trial court on the basis of the findings concerning the defendant's intent and objective in committing the acts.[5]*816 If the determination is a factual one, it will not be upset on appeal unless unsupported by the evidence presented at trial. (People v. Murphy (1980)
"Just as it is the criminal `act or omission' to which section 654 refers, it is the criminal `intent and objective' that we established as the test in Neal [Neal v. State of California (1960)
(3) If an offense is committed as a means of committing another offense, it is generally held that the defendant had one criminal intent or objective or that his criminal intent or objective in regard to one of the offenses was incidental to his intent in committing the other offense. (People v. Perez, supra, at pp. 553-554; People v. Beamon, supra,
Even though the intent to commit one offense is not formulated until after the commission of another offense, Penal Code section 654 may preclude punishment for both offenses. (In re Hayes, supra,
(1b) At the time for resentencing defense counsel argued that the evidence clearly showed that the clear intent and objective of the kidnaping was to commit the sex crimes. The trial court necessarily made a factual determination that the sole objective of the kidnaping was not to commit rape and oral copulation, when it ruled that Penal Code section 654 did not preclude multiple punishment for the four offenses of which appellant was convicted. There is substantial evidence to support the trial court's implied finding. Appellant demanded money before sexually assaulting the victim. The trial court could have properly concluded that appellant decided to commit the sex crimes after he had kidnaped the victim. (See People v. Lee, supra,
The trial court also could have properly concluded that appellant entertained multiple criminal objectives in embarking upon his course of conduct. The offenses occurred after Dillard had repeatedly rejected appellant. Not only did appellant kidnap the victim and commit the sex crime, but he demanded her money, assaulted her with a wet towel, ran the blade of a knife up and down the victim's body and forced her to drink Clorox and told her she was going to die. Appellant also inflicted other indignities upon Dillard during the six-hour period she was in his apartment (e.g., appellant had the victim urinate in a frying pan and then threw the pan at her; appellant placed pans of boiling water near Dillard's hips; and appellant photographed Dillard while he was placing objects in her vagina). If appellant could be said to have a sole or primary intent and objective in regard to his course of conduct, it would *819 appear to be to humiliate the victim. As noted above, the "intent or objective" test refers to a criminal intent or objective and such an amorphous noncriminal intent or objective (either to gain revenge or to humiliate) will not cause a course of conduct to be deemed an indivisible transaction. "To accept such a broad, overriding intent and objective to preclude punishment for otherwise clearly separate offenses would violate the statute's purpose to insure that a defendant's punishment will be commensurate with his culpability." (People v. Perez, supra,
The cases cited by appellant do not compel a contrary conclusion. In People v. Laster, supra,
(4) We will now consider appellant's contention that imposition of a concurrent sentence for false imprisonment violated the prohibition against multiple punishment contained in Penal Code section 654. Concurrent sentences, as well as consecutive sentences, for crimes based on one act or an indivisible transaction constitute multiple punishment. (People v. Murphy, supra,
The case of People v. Pater (1968)
The reasoning in Pater is applicable to the convictions of kidnaping and false imprisonment in the instant case. The fact that there is a continuous character to the offense of false imprisonment does not change the fact that false imprisonment is necessarily included in the offense of kidnaping and that both the false imprisonment count and the kidnaping *821 count relate to the same act or acts. He who kidnaps a victim does so in order to restrain the personal liberty of his victim (Pen. Code, § 236), whatever his purpose may be for the false imprisonment (to rape, to rob, to obtain ransom, etc.).
Accordingly, the conviction of false imprisonment must be reversed.
Dual Use of Facts in Sentencing
(5) Appellant was sentenced to the upper term on the rape count and the sentences on the kidnaping and oral copulation counts were to run consecutively to the rape count. Appellant contends that the trial court erroneously used the same facts to justify the aggravated term on the rape count and to justify the consecutive sentences on the kidnaping and oral copulation counts.
In People v. Lawson (1980)
The People recognize that the same facts may not be used to impose the aggravated term and also used to impose consecutive sentences. However, the People assert that the trial court's comments may be interpreted in such a way as to show that it was not using the same facts twice.
A review of the court's statement of reasons for imposing the aggravated term and for imposing the consecutive sentences, leads to only one reasonable interpretation that the court improperly relied upon the same facts for imposing the aggravated term and for imposing consecutive sentences.
*822 The trial court found the following aggravating factors justify the imposition of the upper term on the rape count: "So clearly, Item One under Rule 421 is applicable here, and I find that to be a circumstance in aggravation. The crime involved great violence, great bodily harm, and threat of great bodily harm, with other acts disclosing a high degree of cruelty, viciousness, and callousness.
"Likewise, I find Item A(2) under Rule 421 is a serious circumstance in aggravation, being armed and using a weapon during that day of the 18th of April correction, 18th of August of 1977. I find, too, that the victim was a particularly vulnerable victim and Item Seven would be applicable, A(7) if one one or more of the crimes with which Mr. Ratcliffe has been convicted is being sentenced concurrently."
The only mitigating factor the court thought might be applicable was that appellant's prior criminal record was "insignificant." The court then stated: "However, I find that that is outweighed considerably by circumstances in aggravation, and those circumstances in aggravation preponderate."
The court stated its reasons for imposing consecutive sentences on the kidnaping and oral copulation convictions as follows: "Now, in studying 425, the criteria effecting concurrent and consecutive sentences, again the Court does not believe that necessarily these subsections are of equal importance. The crimes involved here did involve separate acts of violence or threats of violence, no question about that. Also, the Court may consider any circumstances in aggravation or mitigation, but I have already considered and explained my feelings on those." (Italics added.)[9]
Since it is clear that the trial court made dual use of the same factors in imposing the aggravated term and imposing consecutive sentences, appellant is entitled to a new sentencing hearing. (People v. Burney (1981)
Probation Report
(6) Appellant points out the probation report refers to his prior arrests that did not result in convictions. Appellant's final contention is the inclusion in the probation report of his prior police contacts that did not result in convictions, denied him due process of law. Appellant relies *823 upon People v. Calloway (1974)
The defendant in Calloway complained that the trial court denied his application for probation and committed him to the California Youth Authority on the basis of a probation report listing various prior contacts with law enforcement agencies and courts, including four matters on which the disposition was listed as "`unknown'" and seven contacts (under the headings of grand theft, burglary and assault with a deadly weapon) bearing the notation "`Not arrested, 849b(1) P.C.'" (People v. Calloway, supra, at p. 907.) Penal Code section 849, subdivision (b)(1), provides for the release from custody of a person arrested without a warrant when there are insufficient grounds for making a criminal complaint against the person. The court in Calloway stated: "Such records, without supporting factual information, should not be included in a probation report. They are unreliable, highly prejudicial, and under many circumstances could result in a fundamentally unfair hearing." (Id., at p. 908, italics added.) However, the court in Calloway found no deprivation of due process because the trial court had not relied upon the impermissible factors in committing the defendant to the California Youth Authority. (Id., at p. 909; see People v. Romero (1977)
It is now well established that a probation report may refer to an arrest that did not result in a conviction, if supporting factual information is included and the information is not presented in a misleading manner. (People v. Lutz (1980)
Appellant's probation report in the instant case does not contain the kind of bare "rap sheet" information condemned in Calloway, but rather contains lengthy supporting factual information (e.g., victim's statement, statement of appellant in regard to prior arrests, police reports, disposition). The report was on the whole adequate and not misleading. Furthermore, the trial court stated the only thing it was considering in regard to appellant's criminal record, was appellant's conviction for a Health and Safety Code violation. In fact, the trial court thought appellant's "insignificant" criminal record could be considered a mitigating factor.
Accordingly, appellant's final contention is without merit.
*824 The conviction of a violation of Penal Code sections 236-237 (false imprisonment) is reversed and the trial court is directed to dismiss the charge. The remaining convictions are affirmed but the sentence imposed is vacated and the cause is remanded for resentencing consistent with the views expressed in this opinion.
Feinberg, J., and Barry-Deal, J., concurred.
A petition for a rehearing was denied November 20, 1981, and on November 9, 1981, the opinion was modified to read as printed above. Appellant's petition for a hearing by the Supreme Court was denied December 23, 1981.
NOTES
Notes
[1] In his first appeal (1 Crim. No. 18566), appellant did not raise any of the issues that are presently before the court in the instant appeal.
[2] A sentence is deemed a final judgment for the purpose of an appeal. (Pen. Code, § 1237.)
[3] Dillard was 19 years old in July of 1977. Appellant was approximately 27 years old.
[4] Technically, under Penal Code section 654 the imposition of sentence upon offenses that fall within the provisions of section 654 is correct, but the execution of the sentence on the offense which carries a less severe punishment, must be stayed with the stay becoming permanent upon the completion of the sentence on the offense which carries the more severe punishment. (People v. Miller (1977)
[5] In the instant case appellant's contention regarding the applicability of Penal Code section 654 was considered by the lower court just before appellant was resentenced. But it should be noted that the judge who presided at appellant's trial resentenced appellant.
[6] In People v. Perez, supra,
[7] However, it should be noted that section 654 would be applicable to a situation where a defendant is convicted of both rape and kidnaping, when the defendant's sole intent and objective in committing the kidnaping was to rape the victim, a criminal intent. (See People v. Laster (1971)
[8] In 1978 Penal Code section 1170, subdivision (b), was amended to read in pertinent part: "The court may not impose an upper term by using the fact of any enhancement upon which sentence is imposed under Section 667.5, 1170.1, 12022, 12022.5, 12022.6, or 12022.7." This amendment applies prospectively to crimes committed on or after January 1, 1979. (People v. Lawson, supra, at p. 751, fn. 3.) In the instant case we are concerned with crimes that were committed before January 1, 1979.
[9] The only time the court considered "any circumstances in aggravation or mitigation" was in determining whether to impose the upper term for the rape count.
