THE PEOPLE, Petitioner, v. THE SUPERIOR COURT OF LOS ANGELES COUNTY, Respondent; STEVEN JOSEPH KAULICK, Real Party in Interest.
No. B246632
Court of Appeal, Second District, Division Three, California
Apr. 30, 2013
May 15, 2013
215 Cal. App. 4th 1279
COUNSEL
Jackie Lacey, District Attorney, Irene T. Wakabayashi, Head Deputy District Attorney, Roberta T. Schwartz, Beth L. Widmark and Phyllis C. Asayama, Deputy District Attorneys, for Petitioner.
No appearance for Respondent.
Richard B. Lennon, Suzan E. Hier and Cheryl A. Lutz, under appointments by the Court of Appeal, for Real Party in Interest.
OPINION
CROSKEY, J.—On November 6, 2012, voters approved Proposition 36, the Three Strikes Reform Act of 2012 (the Act). Under the three strikes law (
In the instant matter, shortly after the Act went into effect, real party in interest Steven Joseph Kaulick, an inmate serving a 25-year-to-life term for a felony conviction which was not a serious or violent felony, filed a petition for habeas corpus seeking resentencing under the Act. The trial court judge hearing the petition granted it, without notice to the prosecution, without giving the prosecution an opportunity to establish that resentencing would pose an unreasonable risk of danger to public safety, and without holding a hearing. When the District Attorney of Los Angeles County (District Attorney) became aware of Kaulick‘s petition and the trial court‘s order, the District Attorney obtained an immediate stay of execution of the resentencing order and filed a petition for writ of mandate with this court challenging that order. We issued an order to show cause and now grant the writ petition. The trial court should not have granted Kaulick‘s petition for resentencing under the Act without insuring that the District Attorney had received notice and an opportunity to be heard on the issue of dangerousness. In the course of granting the writ petition, we will discuss several issues likely to arise on remand, including the prosecution‘s burden of proof on the issue of dangerousness.
FACTUAL AND PROCEDURAL BACKGROUND
1. The Instant Offense
On September 4, 1999, 18-year-old Barbara S. was outside her apartment when she heard Kaulick in his apartment screaming on the telephone. Barbara S. later asked if she could help Kaulick. He told her that he was moving and, at his request, Barbara S. began helping him remove property from his apartment. Kaulick told Barbara S. that his wife was divorcing him and he would not see his daughter again. He was upset and angry. When
On November 19, 1999, Kaulick was charged by information with three counts: (1) false imprisonment by violence (
2. Conviction and Sentencing
The case proceeded to a jury trial in early 2000. Kaulick was convicted of count one; the jury was hopelessly deadlocked on the remaining counts and
Kaulick moved to strike one or both of his prior strike convictions. The trial court denied the motion, stating, “‘[w]ell, the way I look at Mr. Kaulick, he‘s a danger to himself, he is a danger to society. He is waiting to explode at the drop of a hat, or anything that could provoke him. [¶] I don‘t have a clue as to what might have provoked him to attack the victim in the current case, but she escaped by the skin of her teeth. It‘s fortunate that she wasn‘t raped. It‘s fortunate that she wasn‘t more seriously injured.‘” (People v. Kaulick, supra, B141026.) The court went on to state, “‘[t]his is a dangerous individual, and in exercising my discretion on whether to strike a strike, I am guided by the law which targets recidivists. [¶] He‘s a recidivist. He doesn‘t have a large number of convictions, but given the nature of those convictions, the fact that when he was sent to prison out of Ventura County Superior Court he was violated on parole any number of times, and he hasn‘t learned a thing. [¶] He is waiting to explode, and he‘s a person that should be confined for as long as humanly possible. So I am not going to strike a strike in this case.‘” (Ibid.)
As Kaulick was convicted of a felony (
The remaining two counts, on which a mistrial had been declared, were dismissed on the motion of the prosecution, in the interests of justice (
3. Appeal
Kaulick appealed his conviction; we affirmed. In response to Kaulick‘s argument that the trial court abused its discretion in failing to strike one of his prior strike convictions, we stated that not only did the court not abuse its discretion, “on this record, the granting of [Kaulick]‘s request to strike would have been an abuse of discretion.” (People v. Kaulick, supra, B141026.)
4. Kaulick‘s Petition for Relief Under the Act
Some 12 years after Kaulick‘s sentencing, the electorate passed Proposition 36. On December 21, 2012, Kaulick filed a petition for habeas corpus which was, in effect, a request for resentencing under the Act. The petition was served on the Attorney General; no service was made on the District Attorney.
In Kaulick‘s petition, he argued that, under the Act, he was entitled to be resentenced to a second strike sentence, as his third felony conviction was not a serious or violent felony. To the extent he impliedly addressed the issue of his dangerousness, Kaulick stated that his instant conviction arose out of an incident where he “grabb[ed] Barbara S. in his apartment in an attempt to retrieve his gold neck[lace] which Barbara S. had stolen from [him].” He stated that his prior conviction was “a single act of aberrant behavior,” a “family dispute which went awry and whereby [he] naively accepted a plea-bargain.” He also attached two letters from his parents which had sought leniency in connection with his initial sentencing in the instant case. He submitted no evidence whatsoever relating to his behavior in the intervening 12 years or his current risk of dangerousness.4
5. The Trial Court‘s Ruling
A motion for resentencing under the Act should be submitted to the trial court that entered the judgment of conviction. (
On December 31, 2012, Judge Ulfig granted Kaulick‘s petition. The order granting the petition states, “In the petition for recall of the sentence the defendant included a number of exhibits. The Court reviewed the exhibits, as well as, the court file. Having reviewed all the documents the Court is now satisfied that it is appropriate to recall and modify the sentence.” The court
6. The District Attorney Responds
On January 31, 2013, the District Attorney was informed that Kaulick was due to be released as early as the next day. The District Attorney researched the file and learned, for the first time, that Kaulick had filed a petition for resentencing. As Kaulick‘s release was imminent, the District Attorney sought, and obtained, an immediate 30-day stay.
The District Attorney then began researching Kaulick‘s prison records, in order to determine whether to contest the court‘s ruling on the basis of dangerousness. According to his file with the Department of Corrections and Rehabilitation, Kaulick “has been found guilty of serious rules violations: twice for battery on a peace officer (January 14, 2005, January 18, 2002); six times for fighting or mutual combat (April 27, 2012, July 14, 2011, July 17, 2010, November 28, 2001, April 23, 2007, June 15, 2003); and once for disrespecting staff (January 18, 2011), possession of alcohol (December 18, 2009), under the influence of alcohol (December 7, 2008) and destruction of property (January 18, 2002).”7
Based on the District Attorney‘s review of this material, as well as information relating to Kaulick‘s convictions, the District Attorney concluded that resentencing Kaulick would, indeed, pose an unreasonable risk of danger to public safety. The District Attorney would have opposed Kaulick‘s petition on this basis, had it received notice of the petition and an opportunity to be heard.
7. The Writ Petition
On February 5, 2013, the District Attorney, on behalf of the People of the State of California, filed the instant petition for writ of mandate, challenging the trial court‘s order granting Kaulick‘s petition without notice and an opportunity to be heard. We granted an immediate stay of the order resentencing Kaulick, ordered counsel appointed for Kaulick, and issued an order to show cause.
In our order to show cause, we specifically requested the parties to brief five issues with respect to a moving defendant‘s petition for resentencing under the Act: (1) the prosecution‘s right to notice and the right to a full adversarial hearing; (2) the moving defendant‘s right to be personally present at any proceeding considering the issues; (3) the victim‘s right to be present at any proceeding considering the issues; (4) whether the resentencing must take place before the original sentencing judge; and (5) the nature of the prosecution‘s burden of proof in the proceeding. We subsequently modified the order to show cause to add two additional issues: (6) the “retroactive application of Proposition 36 to cases where a judgment imposing a three-strike sentence became final prior to the effective date of Proposition 36,” and (7) any impact of the recent decision in People v. Yearwood (2013) 213 Cal.App.4th 161, petition for review pending (petn. filed Mar. 6, 2013) (Yearwood) on any of the issues raised in the instant proceeding. In Kaulick‘s opposition, he raised two additional issues: (8) whether the challenged resentencing order is not appealable by the prosecution, and therefore, not amenable to challenge by petition for writ of mandate and (9) whether a proceeding by which a defendant is denied resentencing based on a court‘s discretionary finding of dangerousness works a denial of the defendant‘s right to equal protection of the law. All of these issues have been fully briefed.
SUMMARY OF ISSUES RESOLVED
We will address each of the issues enumerated above. We first consider the issue of appealability and/or challenge by writ petition, and conclude that the prosecution has the right to challenge the instant order by either appeal or petition for writ of mandate.
With respect to the issues discussed in our order to show cause (as modified), we conclude that (1) the prosecution has the right to notice and an opportunity to be heard; (2) both the defendant and the victim have the right to be heard at any hearing on a petition for resentencing under the Act; (3)
DISCUSSION
1. The Act
The court in Yearwood concisely explained the key effects of the Act as follows: “The Act changes the requirements for sentencing a third strike offender to an indeterminate term of 25 years to life imprisonment. Under the original version of the three strikes law a recidivist with two or more prior strikes who is convicted of any new felony is subject to an indeterminate life sentence. The Act diluted the three strikes law by reserving the life sentence for cases where the current crime is a serious or violent felony or the prosecution has pled and proved an enumerated disqualifying factor. In all other cases, the recidivist will be sentenced as a second strike offender. [Citations.] The Act also created a postconviction release proceeding whereby a prisoner who is serving an indeterminate life sentence imposed pursuant to the three strikes law for a crime that is not a serious or violent felony and who is not disqualified, may have his or her sentence recalled and be sentenced as a second strike offender unless the court determines that resentencing would pose an unreasonable risk of danger to public safety. [Citation.]” (Yearwood, supra, 213 Cal.App.4th at pp. 167-168.)
Thus, there are two parts to the Act: the first part is prospective only, reducing the sentence to be imposed in future three strike cases where the third strike is not a serious or violent felony (
The main difference between the prospective and the retrospective parts of the Act is that the retrospective part of the Act contains an “escape valve” from resentencing prisoners whose release poses a risk of danger.10 That is to say, under the prospective part of the Act, if the defendant‘s current third strike offense is not serious or violent, and none of four enumerated exceptions11 applies, the defendant “shall be” sentenced as if the defendant had only a single prior strike. (
issues of dispute in this writ petition surround the means by which the court is to exercise its discretion on the issue of dangerousness.
2. The Writ Petition Is Properly Before This Court
Kaulick first contends that this court lacks jurisdiction over the instant writ petition. “As a general rule, the People may not seek an extraordinary writ in circumstances where the Legislature has not provided for an appeal.” (People v. Superior Court (Vidal) (2007) 40 Cal.4th 999, 1008.) We therefore consider whether the grant of Kaulick‘s petition is appealable.
The prosecution‘s right to appeal a criminal matter is strictly limited by statute. (
First,
Second, even if
Kaulick next suggests that, even if the order is appealable, it is not properly challenged by petition for writ of mandate. We disagree. ”
3. The Prosecution Has a Right to Notice and a Hearing
In this case, it is undisputed that the trial court granted Kaulick‘s petition for resentencing under the Act without notice to the District Attorney,17 or an opportunity for the District Attorney to be heard. The prosecution‘s petition for writ relief is based on the argument that it was entitled to notice and a hearing prior to the court granting the motion.
Kaulick responds with the rather extraordinary assertion that the prosecution had no right to be present or heard with respect to his petition for relief. He takes the position that the trial court can exercise its discretion on the issue of dangerousness without the prosecution‘s input. Kaulick makes this argument despite the fact that he later argues that the prosecution has the
In any event, the statutory language, as well as principles of due process, demands that the prosecution be given notice and an opportunity to be heard in response to a petition for resentencing. First, it is clear that the statutory language contemplates a hearing on the issue of dangerousness.
Second, due process requires that the prosecution be afforded notice and an opportunity to be heard. “The parties to a criminal action are the People, in whose sovereign name it is prosecuted, and the person accused....” (Dix v. Superior Court (1991) 53 Cal.3d 442, 451.) “Once, as here, the adversary nature of a proceeding is established, then it follows that notice of all motions must be given whenever the order sought may affect the right of an adverse party. [Citations.] Correlative to the foregoing is the further rule that a court, after any judicial order regularly made, may not enter another and different order without notice to the adverse party.” (People v. Hadley, supra, 257 Cal.App.2d at p. Supp. 875.) “[N]otices must be given of any application where the rights of an adverse party are affected, even though no statute, as here, specifically requires it.” (Ibid.) “‘A judicial decision made without giving a party an opportunity to present argument or evidence in support of his contention “is lacking in all the
We find persuasive the rationale of People v. Rodriguez (1998) 17 Cal.4th 253, which was concerned with whether a defendant had the right to be present at a hearing where the trial court, on remand, was to determine whether to exercise its discretion to strike a defendant‘s prior strike. “The People, who would have us answer the question in the negative, contend that ‘the trial court can make an informed decision regarding its exercise of discretion without further argument by the parties. Indeed, from the record the court is able to glean the nature of the defendant‘s criminal history via the probation officer‘s report as well as the nature of the current offenses from the trial transcript.’ ‘[L]ittle would be served,’ the People submit, by allowing ‘the parties to make superfluous arguments prior to the trial court making an initial decision relating to its inclination to strik[e] the prior convictions.’ We disagree. The evidence and arguments that might be presented on remand cannot justly be considered ‘superfluous,’ because defendant and his counsel have never enjoyed a full and fair opportunity to marshal and present the case supporting a favorable exercise of discretion.” (Id. at p. 258.) Kaulick‘s argument in the instant case is the same as the prosecution‘s argument rejected by the Supreme Court in Rodriguez. He suggests that the trial court can determine whether to exercise its discretion based on the limited record before it “without input or opposition.” Just as a defendant must be permitted to argue for the trial court‘s exercise of discretion to strike a prior conviction, the prosecution must be permitted to argue for the court‘s exercise of discretion to find a risk of dangerousness.
Moreover, the prosecution‘s due process rights include the right to a full adversarial proceeding, in which it may present evidence, as well as argument. (See People v. Barnett (1998) 17 Cal.4th 1044, 1094 [the prosecution‘s substantial interest in the determination of the circumstances under which a capital defendant is entitled to pretrial release entitles the prosecution to a full adversarial proceeding with an opportunity to present evidence and argument].) As such, the prosecution was denied due process by the trial court‘s order granting Kaulick‘s petition for resentencing without giving the prosecution notice and an opportunity to be heard.21
4. The Defendant Has the Right to Be Personally Present at the Hearings Considering Dangerousness and Resentencing
In our order to show cause, we requested the parties to address the issue of the defendant‘s right “to be personally present at any proceeding considering the issues raised in
We believe that Kaulick‘s interpretation of the statute may be oversimplified. There are not two, but three, determinations at issue under
In any event, the parties agree, based on the statutory language, that a prisoner has a right to personally appear for both the second and third determinations.
5. The Victim Has a Right to Notice and to Be Heard at the Hearings Considering Dangerousness and Resentencing
Similarly, the parties agree, based on statutory language, that the victim has a right to notice and to be heard. We also agree.
While it could conceivably be argued that the victim‘s right to be heard applies only to the resentencing hearing (the third determination) and not the dangerousness hearing (the second determination), we reject that view. Marsy‘s Law already provides that victims have the right to be heard at any proceeding involving “sentencing.” (
6. The Proceedings Should Be Conducted Before the Original Sentencing Judge, if Available; Waiver Is Also Permissible
It is therefore clear that the initial sentencing judge shall rule on the prisoner‘s petition. However, as with other rights, a defendant may waive the right for the petition to be considered by a particular judge.24 “A valid waiver of any right, however, presupposes an actual and demonstrable knowledge of the right being waived so that the waiver is deemed knowing and intelligent. Courts should not find a waiver by mere silence or acquiescence even when the defendant is represented by counsel. [Citation.]” (People v. Poole (1985) 168 Cal.App.3d 516, 521.)
7. The Prosecution Bears the Burden of Establishing Dangerousness by a Preponderance of the Evidence
Under
Kaulick argues that, consistent with the requirements of the United States Constitution, the standard must be beyond a reasonable doubt. This argument presumes that a finding of dangerousness is a factor which justifies enhancing a defendant‘s sentence beyond a statutorily presumed second strike sentence.
“In Apprendi v. New Jersey (2000) 530 U.S. 466, 490..., the United States Supreme Court held that ‘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.’ Subsequently, in Blakely v. Washington, the high court clarified that the ‘prescribed statutory maximum’ for purposes of the right to a jury trial is not necessarily the maximum penalty provided by statute for the crime; rather, it is ‘the maximum sentence a judge may impose solely on the basis of the facts reflected in the jury verdict or admitted by the defendant.’ (Blakely v. Washington (2004) 542 U.S. 296, 303
The U.S. Supreme Court no longer draws a distinction between a sentencing factor and an element of the offense. The focus is, instead, on whether “the factual finding at issue increased the maximum potential penalty for the offense.” (People v. Towne, supra, 44 Cal.4th at p. 77.)
However, not every factor relied on by a sentencing court to increase the penalty imposed must be found by a jury beyond a reasonable doubt. Indeed, certain aggravating factors relating to prior convictions need not be found by a jury beyond a reasonable doubt. (People v. Towne, supra, 44 Cal.4th at p. 75.) Moreover, once one factor justifying the increased maximum penalty has been properly established, the court may properly rely on other factors which have not been found by a jury beyond a reasonable doubt. (Ibid.) In other words, if the single factor properly found justifies the imposition of a specific increased sentence, the defendant is eligible for that sentence, and it may be imposed for any number of reasons not found by a jury beyond a reasonable doubt. (Ibid.) Indeed, once a defendant is properly subject to an increased term, the court may impose that term in reliance on facts underlying charges on which the defendant was acquitted. (Id. at pp. 84-86.) Once the sentencing range is properly established by the jury findings and/or the defendant‘s prior record, “‘[j]udicial factfinding in the course of selecting a sentence within‘” that range does not implicate a defendant‘s jury trial rights or the right to proof beyond a reasonable doubt. (Id. at p. 86.)
We must therefore consider whether, absent a finding of dangerousness, Kaulick was statutorily subject to continuing to serve his indeterminate third strike term. Kaulick argues that he was not. In other words, Kaulick argues that, once the trial court concluded that he was eligible for resentencing under the Act, he was subject only to a second strike sentence, unless the prosecution established dangerousness.
The statutory language, however, is not amenable to Kaulick‘s interpretation.
The maximum sentence to which Kaulick, and those similarly situated to him, is subject was, and shall always be, the indeterminate life term to which he was originally sentenced. While Proposition 36 presents him with an opportunity to be resentenced to a lesser term, unless certain facts are established, he is nonetheless still subject to the third strike sentence based on the facts established at the time he was originally sentenced. As such, a court‘s discretionary decision to decline to modify the sentence in his favor can be based on any otherwise appropriate factor (i.e., dangerousness), and such factor need not be established by proof beyond a reasonable doubt to a jury. Kaulick would interpret the retrospective part of the Act to mean that every petitioner who meets the eligibility requirements for resentencing is immediately entitled to the recall of his or her sentence, with resentencing to a second strike term the presumptive sentence, and resentencing to the current third strike term available only on proof beyond a reasonable doubt of the additional factor of dangerousness. There is nothing in the statutory language to support this interpretation.
The language in Dillon is equally applicable here. The retrospective part of the Act is not constitutionally required, but an act of lenity on the part of the electorate. It does not provide for wholesale resentencing of eligible petitioners. Instead, it provides for a proceeding where the original sentence may be
Instead, we conclude the proper standard of proof is preponderance of the evidence.
8. This Interpretation Does Not Violate Kaulick‘s Right to Equal Protection
Kaulick finally argues that his right to equal protection of the law is violated by any interpretation of
The contention is meritless. “‘Equal protection applies to ensure that persons similarly situated with respect to the legitimate purpose of the law receive like treatment; equal protection does not require identical treatment. [Citation.]’ [Citation.]” (People v. Hubbart (2001) 88 Cal.App.4th 1202, 1217.) Kaulick is not similarly situated to individuals facing involuntary commitment on a finding of dangerousness. Instead, Kaulick was properly sentenced to prison for an indefinite term because he was properly convicted (beyond a reasonable doubt, by a unanimous jury) of a third felony after he had committed two prior serious or violent felonies. It was his third felony conviction which, pursuant to the law in effect at the time, subjected him to an indeterminate sentence. Now, due to the adoption of the Act, Kaulick may be entitled to a downward modification of this indeterminate term to a determinate second strike sentence. That he may be denied such downward modification due to a finding of dangerousness based on a preponderance of the evidence does not mean that he would be subjected to indefinite confinement based on this finding. He is subject to the indeterminate term due to his original third strike sentence; the dangerousness finding would simply deny him a downward modification.29 This process does not deny Kaulick his constitutional right to equal protection of the law.
DISPOSITION
The petition for writ of mandate is granted. Let a writ of mandate issue directing the trial court to vacate its order resentencing Kaulick under the Act,
Klein, P. J., and Kitching, J., concurred.
A petition for a rehearing was denied May 15, 2013.
