People v. Buttram

69 P.3d 420, 134 Cal. Rptr. 2d 571, 30 Cal. 4th 773, 2003 Daily Journal DAR 5681, 2003 Cal. Daily Op. Serv. 4483, 2003 Cal. LEXIS 3491
CourtCalifornia Supreme Court
DecidedMay 29, 2003
DocketS103761
StatusPublished
Cited by175 cases

This text of 69 P.3d 420 (People v. Buttram) is published on Counsel Stack Legal Research, covering California Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
People v. Buttram, 69 P.3d 420, 134 Cal. Rptr. 2d 571, 30 Cal. 4th 773, 2003 Daily Journal DAR 5681, 2003 Cal. Daily Op. Serv. 4483, 2003 Cal. LEXIS 3491 (Cal. 2003).

Opinions

Opinion

BAXTER, J.

We address a conflict in the Courts of Appeal about the proper application of Penal Code section 1237.5 and rule 31(d) of the California Rules of Court.1 These provisions allow an appeal from a judgment entered on a guilty plea only if (1) the defendant obtains a certificate of probable cause from the trial court or (2) the appeal falls within the two categories of grounds that do not require a certificate. One “noncertificate” category involves postplea claims, including sentencing issues, that do not attack the validity of the plea.

In People v. Panizzon (1996) 13 Cal.4th 68 [51 Cal.Rptr.2d 851, 913 P.2d 1061] (Panizzon), we held that one who agreed to a specific sentence in return for his plea must obtain a certificate of probable cause in order to claim on appeal that the agreed sentence constitutes cruel and unusual punishment. We explained that while such an appeal may appear to involve a sentencing issue arising after the plea, in substance it challenges the very bargain on which the plea was rendered, and thus the validity of the plea itself. Addressing an analogous principle, we confirmed in People v. Hester (2000) 22 Cal.4th 290 [92 Cal.Rptr.2d 641, 992 P.2d 569] (Hester) that “defendants are estopped from complaining of sentences to which they agreed.” (Id., at p. 295.)

Here, defendant pled guilty to felony drug charges, and admitted two prior serious or violent felonies, in return for an agreed maximum sentence, or “lid.” The agreement included no waiver of defendant’s right to appeal sentencing issues. At a contested sentencing hearing, the trial court denied defendant’s request for diversion to a drug treatment program, and it imposed the negotiated maximum. Without a certificate of probable cause, defendant appealed, urging that the trial court abused its sentencing discretion. In a published decision, the Court of Appeal majority dismissed the appeal for lack of a certificate. The majority concluded, under Hester and Panizzon, that by appealing the very sentence he agreed could be imposed, defendant effectively was attacking the plea’s validity.

[777]*777The instant Court of Appeal majority declined to follow People v. Cole (2001) 88 Cal.App.4th 850 [106 Cal.Rptr.2d 174] (Cole), which reached a contrary result in similar circumstances. Another recent Court of Appeal decision, People v. Stewart (2001) 89 Cal.App.4th 1209 [107 Cal.Rptr.2d 830] (Stewart) purported to distinguish Cole, but essentially concluded, as did the Court of Appeal majority here, that a probable cause certificate is required to argue on appeal that the trial court abused its discretion by imposing a sentence within a negotiated maximum.

The issue is close, but on these particular facts, we find Cole’s reasoning and result more persuasive on the narrow issue presented here. Unless it specifies otherwise, a plea agreement providing for a maximum sentence inherently reserves the parties’ right to a sentencing proceeding in which (1) as occurred here, they may litigate the appropriate individualized sentence choice within the constraints of the bargain and the court’s lawful discretion, and (2) appellate challenges otherwise available against the court’s exercise of that discretion are retained. An appellate challenge to the exercise of the discretion reserved under the bargain is therefore a postplea sentencing matter extraneous to the plea agreement. Such a claim may rarely have merit, but it does not attack the validity of the plea. For that reason, a probable cause certificate is not required.

Accordingly, we will reverse the judgment of the Court of Appeal. We will also disapprove Stewart, supra, 89 Cal.App.4th 1209, to the extent that decision is inconsistent with the views expressed in this opinion.

Facts

An information charged defendant with two felonies, possession for sale of heroin (Health & Saf. Code, § 11351) and possession for sale of methamphetamine (id., § 11378). Under the “Three Strikes” law (§§ 667, subds. (d), (e)(2), 1170.12, subds. (b), (c)(2)), it was further alleged that defendant had suffered two prior violent or serious felony convictions. On June 1, 2000, defendant entered a plea of guilty to both counts and admitted the priors, with an indicated maximum term of six years.2 Neither the written change-of-plea form initialed and signed by defendant, nor any plea terms discussed [778]*778in open court, specified that defendant was affirmatively waiving his right to appeal any sentencing issue that might otherwise properly arise within the negotiated maximum.* 3

On September 15, 2000, the court held a sentencing hearing. At the outset, the court stated it had before it the preplea sentencing report. The court indicated it had also received letters from Teen Challenge International (Teen Challenge), a drug treatment program in which defendant had begun participating while free on bail, and from Dorman Buttram, defendant’s father. Defense counsel then launched an extensive argument that the court had “options,” and that while it “could just maintain the six years as indicated,” it alternatively could and should consider exercising its discretion to dismiss both prior “strikes” and refer defendant, a 51-year-old lifelong drug abuser with a. 30-year record of offenses, to a drug treatment program such as Teen Challenge or the California Rehabilitation Center (CRC). Stressing his intent to protect the record, counsel suggested there was authority to the effect that “this could not be raised on appeal if counsel at sentencing did not raise the issue.”

At one point, counsel admitted there have always been limits on a CRC referral “because of length of period of custody,” and that CRC was “not as in vogue as in the past.” The court itself then interjected that questions had been raised about CRC’s effectiveness, and that there was doubt whether CRC would consider defendant suitable, because “[m]y understanding is [that] it’s more for the novice [offender]” than for one with a long criminal history facing a “multiple drug sales charge.” The court indicated it had not used CRC “for quite awhile.”

The prosecutor did not object that arguments for a drug treatment disposition violated the maximum-term provision of the plea agreement. Instead, [779]*779before submitting the matter, she made a brief response on the merits. She noted indications in the preplea report that defendant’s drug addiction was well established and of long duration, that his prognosis was guarded, and that he required deeper and more structured treatment than Teen Challenge could provide. Moreover, the prosecutor argued, defendant’s extensive criminal history required a more punitive disposition.

In weighing its options, the court noted, in defendant’s favor, the remorse indicated by his guilty plea, the relatively small quantity of drugs involved in the current charges, defendant’s recent efforts at rehabilitation, and the age of his prior “strike” convictions. On the other hand, the court observed, the case “as filed” was a “third strike” matter with exposure to a maximum life sentence.

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69 P.3d 420, 134 Cal. Rptr. 2d 571, 30 Cal. 4th 773, 2003 Daily Journal DAR 5681, 2003 Cal. Daily Op. Serv. 4483, 2003 Cal. LEXIS 3491, Counsel Stack Legal Research, https://law.counselstack.com/opinion/people-v-buttram-cal-2003.