People v. Fox
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Opinion
Humes, P.J.
Defendant Brian K. Fox was charged with eight felony counts, including two counts of attempted murder, and several firearm enhancements. To resolve his case, he pleaded guilty to a single count of robbery, admitted to personally using a firearm during the offense, and agreed to be sentenced to 15 years in prison, including 10 years for the firearm enhancement. The trial court accepted the plea and sentenced Fox in accordance with it.
Fox appealed without obtaining a certificate of probable cause from the trial court. He now contends that under Senate Bill No. 620 (2017-2018 Reg. Sess.) (Senate Bill No. 620), he is entitled to a remand not for the purpose of seeking to withdraw his plea, but instead for the purpose of asking the trial court to exercise its discretion under the new legislation to strike the firearm enhancement, potentially reducing his negotiated sentence by 10 years.
We reject Fox's view of Senate Bill No. 620, and in so doing decline to adopt the analysis of People v. Hurlic (2018)
I.
FACTUAL AND PROCEDURAL BACKGROUND
In August 2015, Fox's co-defendant, Eric Espanol, stole a camera from a tourist in San Francisco.1 The tourist and his friends pursued Espanol, who then punched the tourist in the face. Fox pulled up in a car, and as Espanol tried to get in, the tourist and one of his friends struggled with Espanol to regain the camera. Fox *876then rolled down the car's window, shouted at Espanol to get in, and shot at the tourist, hitting him once. Fox and Espanol fled, but after a police chase they were quickly apprehended in the East Bay.
Fox was charged with eight felony counts-two counts of attempted murder, one count of second degree robbery, two counts of assault with a semiautomatic firearm, one count of evading a peace officer, one count of possession of a firearm by a felon, and one count of unlawfully carrying a loaded firearm-and two misdemeanor counts, both of resisting, obstructing, or delaying a peace officer.2 Numerous enhancement allegations accompanied the first six felony charges, including several firearm enhancements and allegations that the attempted murders were premeditated. The trial court later granted Fox's motion to dismiss one of the counts of attempted murder and one of the counts of assault with a firearm, which both pertained to the tourist's friend.
As part of a plea agreement, Fox pleaded guilty to the robbery count and admitted to personally using a firearm during the offense in exchange for a 15-year prison sentence, composed of a term of five years for the robbery and 10 years for the firearm enhancement.3 The remaining counts and allegations were dismissed. There is no indication in the record that Fox waived his right to appeal.
Fox entered his plea on September 19, 2017, the week after the Legislature passed Senate Bill No. 620 and the day after it was enrolled. He was sentenced on October 11, 2017, the same day the Governor signed the bill into law. Before the trial court pronounced sentence, Fox's trial counsel noted that Fox appeared to misunderstand how his custody credits would be calculated. Counsel also relayed Fox's request that the court strike the firearm enhancement, even though counsel had attempted "to explain to him that a plea deal isn't subject to renegotiation because we've agreed upon the terms of the plea deal. [¶] So the enhancement, even if it becomes discretionary on the Court's part at sentencing to the first of the year, if the Governor signs it into law and it happens, it wouldn't [a]ffect his sentence because he's agreed to a set disposition in exchange for taking 25 to life off the table if he went to trial and was unsuccessful." The court, counsel, and Fox discussed the custody credits issue, but striking the firearm enhancement was not mentioned again. The court then sentenced Fox in accordance with the plea agreement.
Fox filed a notice of appeal in pro per on December 4, 2017. He sought a certificate of probable cause to enable him to challenge on appeal the validity of the plea, on the basis that his trial counsel "coerce[d] [him] into taking [the] plea offer." The trial court denied the request. In March 2018, this court granted Fox's unopposed request to construe the notice of appeal to include matters occurring after the plea that did not affect the plea's validity and therefore did not require a certificate of probable cause.
Fox then moved in this court for permission to file a late request for a certificate *877of probable cause in the trial court. Specifically, he sought to request a certificate to permit him to argue on appeal that he should be permitted to withdraw his plea in light of Senate Bill No. 620. This court denied the motion, concluding that Fox's failure to timely seek a certificate of probable cause could not be excused. Fox petitioned for review of this ruling, and the Supreme Court denied the petition in August 2018. He then filed an opening brief raising a single claim: that he does not need to seek to withdraw his plea to be entitled to a remand to permit the trial court to exercise the discretion conferred by Senate Bill No. 620.
II.
DISCUSSION
A. The Certificate of Probable Cause Requirement.
"Under section 1237.5, a defendant cannot appeal after entering a plea of [guilty or] no contest unless he or she 'has filed with the trial court a written statement, executed under oath or penalty of perjury showing reasonable constitutional, jurisdictional, or other grounds going to the legality of the proceedings' and the trial court 'has executed and filed a certificate of probable cause for such appeal with the clerk of the court.' ' "The purpose of section 1237.5 is ... 'to discourage and weed out frivolous or vexatious appeals challenging convictions following guilty and nolo contendere pleas.' " ' " ( People v. Espinoza (2018)
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Humes, P.J.
Defendant Brian K. Fox was charged with eight felony counts, including two counts of attempted murder, and several firearm enhancements. To resolve his case, he pleaded guilty to a single count of robbery, admitted to personally using a firearm during the offense, and agreed to be sentenced to 15 years in prison, including 10 years for the firearm enhancement. The trial court accepted the plea and sentenced Fox in accordance with it.
Fox appealed without obtaining a certificate of probable cause from the trial court. He now contends that under Senate Bill No. 620 (2017-2018 Reg. Sess.) (Senate Bill No. 620), he is entitled to a remand not for the purpose of seeking to withdraw his plea, but instead for the purpose of asking the trial court to exercise its discretion under the new legislation to strike the firearm enhancement, potentially reducing his negotiated sentence by 10 years.
We reject Fox's view of Senate Bill No. 620, and in so doing decline to adopt the analysis of People v. Hurlic (2018)
I.
FACTUAL AND PROCEDURAL BACKGROUND
In August 2015, Fox's co-defendant, Eric Espanol, stole a camera from a tourist in San Francisco.1 The tourist and his friends pursued Espanol, who then punched the tourist in the face. Fox pulled up in a car, and as Espanol tried to get in, the tourist and one of his friends struggled with Espanol to regain the camera. Fox *876then rolled down the car's window, shouted at Espanol to get in, and shot at the tourist, hitting him once. Fox and Espanol fled, but after a police chase they were quickly apprehended in the East Bay.
Fox was charged with eight felony counts-two counts of attempted murder, one count of second degree robbery, two counts of assault with a semiautomatic firearm, one count of evading a peace officer, one count of possession of a firearm by a felon, and one count of unlawfully carrying a loaded firearm-and two misdemeanor counts, both of resisting, obstructing, or delaying a peace officer.2 Numerous enhancement allegations accompanied the first six felony charges, including several firearm enhancements and allegations that the attempted murders were premeditated. The trial court later granted Fox's motion to dismiss one of the counts of attempted murder and one of the counts of assault with a firearm, which both pertained to the tourist's friend.
As part of a plea agreement, Fox pleaded guilty to the robbery count and admitted to personally using a firearm during the offense in exchange for a 15-year prison sentence, composed of a term of five years for the robbery and 10 years for the firearm enhancement.3 The remaining counts and allegations were dismissed. There is no indication in the record that Fox waived his right to appeal.
Fox entered his plea on September 19, 2017, the week after the Legislature passed Senate Bill No. 620 and the day after it was enrolled. He was sentenced on October 11, 2017, the same day the Governor signed the bill into law. Before the trial court pronounced sentence, Fox's trial counsel noted that Fox appeared to misunderstand how his custody credits would be calculated. Counsel also relayed Fox's request that the court strike the firearm enhancement, even though counsel had attempted "to explain to him that a plea deal isn't subject to renegotiation because we've agreed upon the terms of the plea deal. [¶] So the enhancement, even if it becomes discretionary on the Court's part at sentencing to the first of the year, if the Governor signs it into law and it happens, it wouldn't [a]ffect his sentence because he's agreed to a set disposition in exchange for taking 25 to life off the table if he went to trial and was unsuccessful." The court, counsel, and Fox discussed the custody credits issue, but striking the firearm enhancement was not mentioned again. The court then sentenced Fox in accordance with the plea agreement.
Fox filed a notice of appeal in pro per on December 4, 2017. He sought a certificate of probable cause to enable him to challenge on appeal the validity of the plea, on the basis that his trial counsel "coerce[d] [him] into taking [the] plea offer." The trial court denied the request. In March 2018, this court granted Fox's unopposed request to construe the notice of appeal to include matters occurring after the plea that did not affect the plea's validity and therefore did not require a certificate of probable cause.
Fox then moved in this court for permission to file a late request for a certificate *877of probable cause in the trial court. Specifically, he sought to request a certificate to permit him to argue on appeal that he should be permitted to withdraw his plea in light of Senate Bill No. 620. This court denied the motion, concluding that Fox's failure to timely seek a certificate of probable cause could not be excused. Fox petitioned for review of this ruling, and the Supreme Court denied the petition in August 2018. He then filed an opening brief raising a single claim: that he does not need to seek to withdraw his plea to be entitled to a remand to permit the trial court to exercise the discretion conferred by Senate Bill No. 620.
II.
DISCUSSION
A. The Certificate of Probable Cause Requirement.
"Under section 1237.5, a defendant cannot appeal after entering a plea of [guilty or] no contest unless he or she 'has filed with the trial court a written statement, executed under oath or penalty of perjury showing reasonable constitutional, jurisdictional, or other grounds going to the legality of the proceedings' and the trial court 'has executed and filed a certificate of probable cause for such appeal with the clerk of the court.' ' "The purpose of section 1237.5 is ... 'to discourage and weed out frivolous or vexatious appeals challenging convictions following guilty and nolo contendere pleas.' " ' " ( People v. Espinoza (2018)
Under California Rules of Court, rule 8.304, a defendant who has entered a plea of guilty need not obtain a certificate of probable cause "if the notice of appeal states that the appeal is based on: [¶] ... [¶] ... Grounds that arose after entry of the plea [that] do not affect the plea's validity." ( Cal. Rules of Court, rule 8.304(b)(4) ; see
Fox sought and was denied a certificate of probable cause on the custody credits issue. He also unsuccessfully sought leave from this court to file a late request for a certificate of probable cause to permit him to argue on appeal that he should be permitted to withdraw his plea in light of Senate Bill No. 620. (See In re Chavez (2003)
Generally, when a defendant agrees to a sentence of a specific term-as opposed to agreeing to a maximum sentence that the trial court will not exceed when exercising its sentencing discretion-a challenge to the sentence "attacks an integral part of the plea, [and] is, in substance, a challenge to the validity of the plea" that requires a certificate of probable cause. ( People v. Panizzon (1996)
B. Hurlic and the Decisions Following It.
Relying largely on Hurlic , Fox nonetheless contends that he does not need a certificate of probable cause to seek a remand on direct appeal for the trial court to determine whether to strike the firearm enhancement. In Hurlic , the defendant pleaded no contest to attempted murder and "admitted to a 20-year sentencing enhancement for the personal discharge of a firearm under section 12022.53, subdivision (c)" in exchange for a 25-year prison sentence and the dismissal of a premeditation allegation and two other charges of attempted premeditated murder. ( Hurlic , supra , 25 Cal.App.5th at pp. 53-54,
Division Two of the Second District Court of Appeal answered in the negative. It held that even though the defendant was in essence attacking the validity of the plea, a "second line of authority governing the retroactivity of new criminal statutes," under which courts have uniformly held that Senate Bill No. 620 applies retroactively to all convictions that are not yet final, "trumps" the line of authority governing when a certificate of probable cause is required. ( *879Hurlic , supra , 25 Cal.App.5th at pp. 56-57,
Hurlic characterized Supreme Court precedent as establishing that "[u]nless a plea agreement contains a term requiring the parties to apply only the law in existence at the time the agreement is made, ... 'the general rule in California is that the plea agreement will be " 'deemed to incorporate and contemplate not only the existing law but the reserve power of the state to amend the law or enact additional laws for the public good and in pursuance of public policy.' " ' " ( Hurlic , supra , 25 Cal.App.5th at p. 57,
Hurlic also opined that "dispensing with the certificate of probable cause requirement in the circumstances present ... better implement[ed] the intent behind that requirement," which is to encourage plea agreements and " 'weed out frivolous or vexatious appeals.' " ( Hurlic , supra , 25 Cal.App.5th at pp. 57-58,
Finally, Hurlic reasoned that "the rules of statutory construction favor application of Senate Bill No. 620 ... over section 1237.5. Where two statutes conflict, courts give precedence to the later-enacted statute and precedence to the more specific statute." ( Hurlic , supra , 25 Cal.App.5th at p. 58,
The Sixth District Court of Appeal followed Hurlic in People v. Baldivia (2018)
Division Four of this court recently adopted the reasoning of Hurlic and Baldivia in addressing similar legislation. ( People v. Stamps (2019)
C. A Certificate of Probable Cause Was Required Here.
Although we ultimately conclude that Hurlic and Baldivia do not control the outcome here, we begin our discussion by rejecting the Attorney General's argument that this case is distinguishable from those cases because the defendants in them, unlike Fox, did not check the box on the notice of appeal indicating that they sought to challenge the validity of the plea. According to the Attorney General, the fact that Fox checked this box means the trial court "performed its mandated screening function and determined that the proposed appellate claim challenging the underlying plea was frivolous." We cannot agree. Although Fox may have indicated that he sought to challenge the validity of the plea by claiming in his notice of appeal that he had been "coerce[d]" into accepting the plea offer, he did not clearly raise Senate Bill No. 620 as the basis of his request for a certificate of probable cause. Thus, we cannot construe the court's denial of his request as encompassing the firearm-enhancement issue. And even if we could, the court's ruling cannot be held against Fox if a certificate was not required in the first place, as Hurlic and Baldivia suggest.
We nonetheless agree with the Attorney General that Hurlic and Baldivia (and by extension, Stamps ) are not convincing. To begin with, we disagree with Hurlic 's initial premise that a conflict exists between the line of authority involving certificates of probable cause and the line of authority recognizing Senate Bill No. 620's retroactive effect, requiring a determination of which authority "prevails." ( Hurlic , supra , 25 Cal.App.5th at pp. 56-57,
In our view, the real issue is whether seeking a remand for a trial court to exercise its discretion under Senate Bill No. 620 is a challenge to the validity of the plea. Both Doe and Harris , the two Supreme Court cases on which Hurlic relied, involve the general rule that a plea agreement is " ' " 'deemed to incorporate and contemplate not only the existing law but the reserve power of the state to amend the law or enact additional laws for the public good and in pursuance of public policy.' " ' " ( Hurlic , supra , 25 Cal.App.5th at p. 57,
But the general rule that plea agreements incorporate subsequent changes in the law is not pertinent here for two reasons. First, Fox entered his plea the week after Senate Bill No. 620 passed the Legislature, whereas the Stamps , Baldivia , and Hurlic defendants all entered their pleas and were sentenced before the relevant legislation was passed or signed into law. ( Stamps , supra , 34 Cal.App.5th at pp. 119-120,
Second, and more importantly, the general rule that plea agreements incorporate subsequent changes in the law pertains only to changes that the Legislature or electorate " 'intended to apply to ' " the parties to plea agreements, a crucial limitation. ( Harris , supra , 1 Cal.5th at p. 991,
We disagree with the suggestion by the dissent and other decisions that if a new law applies retroactively to defendants with nonfinal judgments, as Senate Bill No. 620 undisputedly does, this equates to the Legislature's intent that the change be incorporated into all plea agreements in cases where the judgment is not yet final. (See Stamps , supra , 34 Cal.App.5th at p. 123,
Here, in contrast, we accept that the new versions of sections 12022.5 and 12022.53 apply, and the issue we must resolve is whether the Legislature intended that the new versions be incorporated into plea agreements like Fox's that include an agreed-upon sentence. Thus, the dissent's charge that we are "pay[ing] insufficient heed" to Estrada 's holding that a change in the criminal law mitigating punishment " 'should apply to every case to which it constitutionally could apply' " (quoting Estrada , supra , 63 Cal.2d at p. 745,
We therefore turn to whether the Legislature intended for a trial court to be able to exercise sentencing discretion under Senate Bill No. 620 even when a defendant *884agrees to serve a specific term for a firearm enhancement and does not seek to withdraw the plea. Both sections 12022.5, subdivision (c) and 12022.53, subdivision (h) now authorize a trial court to strike or dismiss a firearm enhancement "at the time of sentencing," including "any resentencing that may occur pursuant to any other law." Although the amended statutes thus do not expressly exclude defendants convicted by plea, they do not purport, in any way analogous to Megan's Law, to apply to all defendants convicted of firearm enhancements either. Nor did Senate Bill No. 620 create a separate procedural mechanism, akin to the one created by Proposition 47, under which defendants serving sentences that include a firearm enhancement can seek resentencing.6 Rather, a trial court's ability to exercise its discretion under the new law arises only when a defendant is being sentenced or resentenced under another law. Given the amended statutes' utter silence on the matter, we discern no legislative intent to dispose of existing limits on a trial court's discretion when sentencing a defendant convicted by plea. Those limits effectively preclude defendants who agreed to a specific term for a firearm enhancement from gaining relief under Senate Bill No. 620 unless they withdraw their pleas , meaning a certificate of probable cause is required to pursue such claims on direct appeal.
" 'The process of plea bargaining ... contemplates an agreement negotiated by the People and the defendant and approved by the [trial] court.' " ( People v. Collins (1978)
We find additional support in Kelly , a recent decision of Division Six of the Second District Court of Appeal. In that case, the defendant agreed to an 18-year prison sentence in exchange for a plea to burglary and various sentencing enhancements, *885including two five-year terms based on prior serious felony convictions under section 667, subdivision (a). ( Kelly , supra , 32 Cal.App.5th at p. 1015,
We also find support in People v. Cunningham (1996)
Senate Bill No. 620 has the laudatory purpose of giving trial courts the discretion to strike firearm enhancements, which often comprise the bulk of a sentence, when doing so is in the interest of justice. And many defendants convicted by plea have had and will have the opportunity to benefit from Senate Bill No. 620, such as those entering pleas in exchange for an agreed-upon maximum sentence, i.e., agreements that allow a court to retain significant sentencing discretion. (See Espinoza , supra , 22 Cal.App.5th at p. 799.) But we cannot conclude that the Legislature intended the new law to enable defendants who agreed to serve a specific term *886for a firearm enhancement to avoid that term yet retain the benefits of their plea agreements. Rather, we conclude the remedy for such defendants is to seek to withdraw their pleas, and they may therefore seek resentencing under Senate Bill No. 620 on direct appeal only if they first obtain a certificate of probable cause-hardly as onerous a requirement as Hurlic suggests-to enable them to challenge the validity of their pleas. (See Hurlic , supra , 25 Cal.App.5th at pp. 57-58,
III.
DISPOSITION
The appeal is dismissed.
I concur:
Banke, J.
DISSENT OF SANCHEZ, J.
The majority holds that a defendant, like Fox, who agrees to a specified sentence for a firearm enhancement under a negotiated plea is required to obtain a certificate of probable cause to challenge his sentence on appeal. Notwithstanding recent legislation that allows trial courts the discretion to strike firearm enhancements in the interests of justice, the majority concludes the Legislature did not intend "to authorize trial courts to reduce agreed-upon sentences while permitting defendants to retain the benefits of their plea agreements." I respectfully dissent.
The Legislature intended for Senate Bill No. 620 (2017-2018 Reg. Sess.) (Senate Bill No. 620) to apply retroactively to all nonfinal judgments of conviction, whether by trial or negotiated plea. Under applicable Supreme Court authority, a plea agreement is deemed to incorporate not only existing law but subsequent changes in law that are intended to apply retroactively to the parties. Requiring the parties' compliance with these changes does not violate the terms of a plea agreement or challenge its validity. Because Fox's appeal concerns just such a matter reserved by the plea agreement, he was not required to obtain a certificate of probable cause.
The majority questions whether the Legislature would have intended for defendant in effect to 'have his cake and eat it too.' But it is not unusual for legislative enactments to alter the consequences of a plea agreement to the detriment of one party or the other. Parties to a plea deal understand that sometimes they must bend to the will of the Legislature. Senate Bill No. 620 requires only that the trial court exercise its discretion to decide whether to strike a firearm enhancement, in full view of the circumstances that gave rise to the plea agreement and in accordance with the equities of the situation and the interests of justice. Accordingly, I would remand the matter for resentencing.
I. FACTUAL BACKGROUND
In exchange for a stipulated 15-year sentence and the dismissal of several charges, including attempted premeditated murder, Fox pleaded guilty to a single count of second degree robbery and admitted to the personal use of a firearm under Penal Code1 section 12022.5, subdivision (a). The court sentenced Fox to the agreed-upon term of 15 years, comprised of five years for the robbery plus 10 years *887for the firearm enhancement. There is no indication in the record that Fox waived his right to appeal or that the parties expressly agreed to insulate their plea agreement from any future changes in law.
Six days before Fox's entry of his guilty plea on September 19, 2017, the Legislature passed Senate Bill No. 620 and ordered it to be enrolled. (Sen. Bill No. 620, adopted by Assem., Sept. 13, 2017.) No mention of Senate Bill No. 620 was made at the hearing in which Fox entered his plea. The bill was signed by Governor Brown on October 11, 2017, the same day as Fox's sentencing hearing. At sentencing, Fox requested through his counsel that the trial court strike his firearm enhancement. The circumstances of Fox's sentencing hearing are discussed in more detail below. The court denied his request and sentenced Fox to a 15-year prison term less 894 days in custody credits. Fox filed a notice of appeal on December 4, 2017. He did not seek a certificate of probable cause related to his present claim that the matter should be remanded for resentencing in accordance with the newly enacted legislation.
Senate Bill No. 620 amended sections 12022.5 and 12022.53 to grant trial courts the discretion to strike or dismiss firearm enhancements at sentencing in the interests of justice. (Stats. 2017-2018, ch. 682, §§ 1, 2.) Section 12022.5 now provides: "The court may, in the interest of justice pursuant to Section 1385 and at the time of sentencing, strike or dismiss an enhancement otherwise required to be imposed by this section. The authority provided by this subdivision applies to any resentencing that may occur pursuant to any other law." ( § 12022.5, subd. (c).) Identical language appears in section 12022.53. ( § 12022.53, subd. (h).) These provisions became effective January 1, 2018, and have been held to apply retroactively to nonfinal judgments. ( People v. McVey (2018)
II. DISCUSSION
a. Precedential Authority
Three lines of precedent come into play in this type of situation. Under the first, courts have held that a plea agreement is a type of contract whose terms cannot be altered unilaterally by the trial court. "[A] 'negotiated plea agreement is a form of contract,' [and] it is interpreted according to general contract principles. [Citations.] ... [Citations.] ' "When a guilty [or nolo *888contendere] plea is entered in exchange for specified benefits such as the dismissal of other counts or an agreed maximum punishment, both parties, including the state, must abide by the terms of the agreement." ' " ( People v. Segura (2008)
Under a second line of authority, a defendant who enters a plea of guilty or nolo contendere and who seeks to challenge his or her sentence on appeal is required, under certain circumstances, to obtain a certificate of probable cause to maintain the appeal. "Section 1237.5 states the general rule: A defendant may not take an appeal from a judgment of conviction entered on a plea of guilty or nolo contendere unless: (1) the defendant himself has 'filed with the trial court a written statement, executed under oath or penalty of perjury[,] showing reasonable constitutional, jurisdictional, or other grounds going to the legality of the proceedings'; and (2) the trial court has 'executed and filed a certificate of probable cause for such appeal with the county clerk.' " ( People v. Lloyd (1998)
An appeal that attacks the validity of a plea agreement requires compliance with section 1237.5. ( People v. Panizzon (1996)
Where an appeal challenges a specified sentence that constituted an element of a negotiated plea agreement, such challenge "attacks an integral part of the plea, ... [and] is, in substance, a challenge to the validity of the plea" itself. ( Panizzon , supra , 13 Cal.4th at p. 73,
On the other hand, where an "open" plea is entered-that is, "where the terms of the plea agreement leave issues open for resolution by litigation,"-the Supreme Court has held that "appellate claims arising within the scope of that litigation do not attack the validity of the plea, and thus do not require a certificate of probable cause." ( Buttram , supra , 30 Cal.4th at p. 783,
These two strands of authority, standing alone, provide support for the majority's position that a defendant who agrees to a specified sentence for a firearm enhancement under a negotiated plea must obtain a certificate of probable cause to seek resentencing under Senate Bill No. 620. The majority reasons that asking the trial court to exercise its discretion to strike the firearm enhancement alters the terms of the agreement unilaterally and amounts to an attack on the validity of the plea itself.
But as our sister districts recognized in People v. Hurlic (2018)
In Doe , the defendant entered into a plea agreement that required him to register as a sex offender. At the time of his plea, the defendant's registration information was deemed confidential, available only to law enforcement. The law was amended to mandate public access to that information and made retroactive. ( Doe , supra , 57 Cal.4th at pp. 66-67,
Doe clarified "it is not impossible the parties to a particular plea bargain might affirmatively agree or implicitly understand the consequences of a plea will remain fixed despite amendments to the relevant law." ( Doe , supra , 57 Cal.4th at p. 71,
In Harris v. Superior Court (2016)
*891Applying Doe and Harris, the Second District Court of Appeals held in Hurlic that a defendant who entered a guilty plea and agreed to a specified term of years for a firearm enhancement was not required to obtain a certificate of probable cause to challenge his sentence on appeal. ( Hurlic , supra , 25 Cal.App.5th at p. 53,
First, a plea agreement must be deemed to incorporate the subsequent enactment of legislation such as Senate Bill No. 620 "and thus give defendant the benefit of its provisions without calling into question the validity of the plea." ( Hurlic , supra , 25 Cal.App.5th at p. 57,
Following Hurlic , the Sixth District held in Baldivia that a certificate of probable cause was not required for a defendant who appealed from a no contest plea and admitted to two robbery counts and a firearm enhancement in exchange for a specified term of 17 years four months. ( Baldivia , supra , 28 Cal.App.5th at p. 1074,
Finally, in Stamps, Division Four of this court adopted the reasoning in Hurlic and ordered resentencing for a defendant who had stipulated to a nine-year prison term in exchange for pleading no contest to residential burglary and admitting to a prior conviction for a serious felony under section 667, subdivision (a)(1). ( Stamps , supra , 34 Cal.App.5th at p. 119,
I agree with the majority that Hurlic posits a conflict between legal precedent and statutes that need not exist. But I would resolve the matter differently. Under Panizzon and Buttram , a certificate of probable cause is required when an appeal in substance challenges the validity of the guilty plea, but one is not required when the appeal raises issues reserved by the plea agreement and left open for further resolution by the trial court. Doe and Harris clarify that a plea agreement is deemed to incorporate later changes in law that are intended to have retroactive application and these changes are to be given effect without calling into question the validity of the plea agreement. ( Hurlic ,
b. Senate Bill No. 620 is intended to reach all nonfinal criminal convictions
Senate Bill No. 620 provides that "[t]he court may, in the interest of justice pursuant to Section 1385 and at the time of sentencing, strike or dismiss an enhancement otherwise required to be imposed by this section." ( §§ 12022.5, subd. (c) ; 12022.53, subd. (h).) Under prior law, firearm enhancement statutes mandated the imposition of an enhancement when the firearm allegation was found true, and expressly forbade trial courts from staying or dismissing such punishment. (See former § 12022.5, subd. (c) ["Notwithstanding Section 1385 or any other provisions of law, the court shall not strike an allegation under this section or a finding bringing a person within the provisions of this section."]; People v. Hutchins (2001)
Senate Bill No. 620 deleted this restriction and conferred discretion on trial courts to strike or dismiss firearm enhancements to the same extent a court may do so for other enhancement allegations under section 1385. The amendment broadly applies "at the time of sentencing" and draws no distinction between sentencing based upon a conviction by negotiated plea or jury trial. Furthermore, this discretionary authority expressly "applies to any resentencing that may occur pursuant to any other law ." ( § 12022.5, subd. (c), (italics added).) These provisions make clear the Legislature intended for these amendments to apply at the time of any sentencing or resentencing, which necessarily includes sentencing after entry of a guilty or no contest plea. Nothing in the statutory language suggests the Legislature intended to limit the reach of these statutory amendments to convictions by jury or court trial.
The legislative history of Senate Bill No. 620, while silent on its applicability to plea agreements, supports the view that it was intended to apply broadly to all nonfinal criminal convictions. The Senate Committee on Public Safety's analysis of the bill states "[t]he purpose of this legislation is to allow the court, in the interest of justice and at the time of sentencing, strike a firearm enhancement, as specified." (Sen. Com. on Pub. Safety, Rep. on Sen. Bill No. 620, as amended Mar. 28, 2017, p. 1.) The analysis notes that the bill author identified several problems with mandatory firearm enhancements, including "[o]ver 30,000 persons currently incarcerated as a result of these extensions," a "greatly increase[d] population of incarcerated persons" and "[d]isproportionately increase[d]
*893racial disparities in imprisonments," and noting "[s]everal studies have concluded that increasing an already long sentence has no material deterrent effect." (Id. at pp. 2-3.)
An analysis by the Assembly Committee on Public Safety discusses background information provided by the bill author. According to this background, laws such as the "10-20-Life Firearm Law" significantly increased sentencing enhancements for firearm offenses, where the enhancement often exceeds the sentence for the crime itself, and "[d]eterrence was a driving factor behind this legislation." (Assem. Com. on Pub. Safety, Rep. on Sen. Bill No. 620, as amended Mar. 28, 2017, pp. 3-4.) Recent studies have called that premise into question. One report on the growth of incarceration in prisons found that "[t]he incremental deterrent effect of increases in lengthy prison sentences is modest at best." (Id. at pp. 4-5.) Another report by the Little Hoover Commission tied "California's sentencing structure and enhancements" to the state's "20-year ... prison building boom." (Id . at p. 5.) The bill author summarized: "In light of the questionable deterrent effect and state prison impact of sentence increases, should these firearm enhancements be mandatory in every case irrespective of the underlying facts of a specific case?" (Ibid .) These points are repeated throughout the bill and floor analyses and indicate that the Legislature was grappling with the large-scale impacts of mandatory firearm enhancements on lengthy prison sentences, prison crowding, and incarceration costs.3 As a practical matter, where judgments based on plea agreements "represent the vast majority of felony and misdemeanor dispositions in criminal cases" ( In re Chavez (2003)
The majority agrees that Senate Bill No. 620 applies to plea agreements generally, but disagrees as to the type of negotiated plea here, involving a stipulated sentence for a firearm enhancement. It concludes that because the statutory amendments do not specifically mention convictions by plea or provide a mechanism for resentencing, the Legislature did not intend to disturb this type of plea agreement, which is protected by other governing principles. Not so. While the Harris court addressed express provisions in Proposition 47 making clear the electorate's intent to affect all plea agreements, that does not mean legislative intent cannot be discerned by other means. As discussed above, sections 12022.5 and 12022.53 broadly apply "at the time of sentencing" and at "any resentencing" pursuant to any other law and they draw no distinction between convictions based on a negotiated plea or criminal trial. ( § 12022.5, subd. (c), § 12022.53, subd. (h).) The statutory language evinces a legislative intent to apply to any sentencing or resentencing, and is no less broad than the examples in Doe and Harris referenced by the majority.
The majority also pays insufficient heed to the principle in Estrada that when ameliorative changes in criminal law mitigate a punishment, the "inevitable inference [is] that the Legislature must have intended that the new statute ... should apply to every case to which it constitutionally could apply." ( *894Estrada , supra , 63 Cal.2d at p. 745,
In People v. Superior Court (Lara) (2018)
The same reasoning and presumption should control here. There is no dispute that Senate Bill No. 620 effectuated an ameliorative change in law that mitigates the potential punishment for a class of persons-offenders convicted of a firearm enhancement-through the exercise of a trial court's sentencing discretion. Estrada 's inference of retroactivity applies, meaning in the absence of contrary indication, the Legislature is presumed to intend that the statutory amendments should apply to every case whose judgment has not yet become final. Under the majority's reasoning, Lara should have excluded from its holding those juvenile offenders convicted under a plea agreement because Proposition 57 is equally silent as to whether negotiated pleas should be affected by the new requirements. The majority has incorrectly flipped the presumption of legislative intent that ordinarily attaches under Estrada when ameliorative changes in criminal laws are enacted. An express statement that the Legislature intended to affect all plea agreements would have been helpful here, but it was not necessary to give full effect to Senate Bill No. 620's intended reach.4
The majority draws support from People v. Kelly (2019)
For similar reasons, the majority's reliance in People v. Cunningham (1996)
For the reasons explained, I conclude the Legislature intended for Senate Bill No. 620 to apply to all nonfinal judgments of conviction, whether by plea or trial. Under Doe , the parties to Fox's plea agreement are deemed to know and understand that the enactment of amendments to section 12022.5, subdivision (c) were incorporated into the terms of their plea agreement. Because Fox's appeal concerns matters reserved by the plea agreement and does not challenge the validity of his plea, Fox was not required to obtain a certificate of probable cause to maintain his appeal.
c. There is no indication the parties intended to insulate their plea agreement from future changes in law
The majority concludes Fox's appeal must be dismissed for a second reason, that Senate Bill No. 620 was "already part of the legal landscape" when Fox entered his plea, distinguishing this case from Hurlic , Baldivia , and Stamps . The record does not support this contention, but more to the point, it is not the appropriate inquiry. As Doe instructs, the parties must show, either by express agreement or an implicit understanding made clear by the record, that they intended to insulate their plea agreement from subsequent changes in law to avoid its consequences. ( Doe , supra , 57 Cal.4th at pp. 71-72,
To begin with, nothing in the record supports the majority's assertion that Senate Bill No. 620 was part of the legal landscape when Fox entered his plea on September 19, 2017. At the hearing in which Fox entered his plea, there is no mention of Senate Bill No. 620 or any other pending legislation. Moreover, Senate Bill No. 620 was just that, a bill, and would not become law until signed by the Governor on October 11, 2017. (Sen. Bill No. 620, adopted by Assem., Sept. 13, 2017, enrolled and presented to Governor, 4:00 p.m., Sept. 19, 2017, approved by Governor, *896Oct. 11, 2017). There is no indication the parties were aware of Senate Bill No. 620 at this point or that it figured into their plea negotiations or Fox's entry of his plea. Common sense would suggest that a legal change cannot be "part of the legal landscape" if it has not become law.
At the sentencing hearing on October 11, 2017, the record indicates some awareness about Senate Bill No. 620, mixed with considerable confusion. Fox, through his counsel, requested that the trial court strike his firearm enhancement, to which defense counsel seemed to resist. Defense counsel addressed the trial court as follows: "The second thing is that he asked today that I ask the Court to strike the enhancement that was part of his plea deal, and when I was trying to explain to him that a plea deal isn't subject to renegotiation because we've agreed upon the terms of the plea deal. [¶] So the enhancement, even if it becomes discretionary on the Court's part at sentencing to the first of the year, if the Governor signs it into law and it happens, it wouldn't effect [sic ] his sentence because he's agreed to a set disposition in exchange for taking 25 [years] to life off the table if he went to trial and was unsuccessful."
This record falls far short of showing any agreement or understanding by the parties that their plea agreement would be insulated from the effects of Senate Bill No. 620. Counsel's statements demonstrate the parties and trial court were unaware whether the bill would be signed into law (the Governor would sign it later that day), and Fox was apparently unaware Senate Bill No. 620 would not take effect until January 1 of the following year-and therefore the trial court was without any authority to act on his request at the time of sentencing.5 Indeed, Fox was being advised by his defense counsel that the trial court would have no authority to affect the terms of the plea deal should the legislation come to pass.
"A plea bargain may include the waiver of the right to appeal. [Citation.] ... ' "[T]he valid waiver of a right presupposes an actual and demonstrable knowledge of the very right being waived. [Citations]." [Citation.] It " '[i]s the intelligent relinquishment of a known right after knowledge of the facts.' [Citation.]" [Citation.] The burden is on the party claiming the existence of the waiver to prove it by evidence that does not leave the matter to speculation, and doubtful cases will be resolved against a waiver.' " ( People v. Wright (2019)
Nothing in the record suggests Fox entered into a guilty plea with the understanding he would forego his right to seek relief under Senate Bill No. 620. His confusion about a basic aspect of the law, its operative date, demonstrates he had not knowingly and intelligently relinquished his right to have the trial court exercise its discretion to strike his firearm enhancement. The majority faults Fox for not withdrawing his plea, but that unfairly assumes he should have ignored his defense counsel's advice that doing so would make no difference because the court would have no authority to alter the terms of the plea agreement after the new legislation went into effect.6 In short, nothing in the record *897leads me to believe that the parties should be allowed to escape the consequences attendant to the passage of Senate Bill No. 620.
The majority raises a concern about the defendant being able to "whittle down" his sentence while otherwise retaining the benefits of the plea bargain. But it is not uncommon for courts to conclude that parties to a plea agreement must accept the consequences of legislative amendments even when the change in law works a detriment on one party or the other. (See, e.g., People v. Acuna (2000)
I would reverse the judgment and remand the matter to permit the court to determine whether to strike defendant's firearm enhancement pursuant to section 12022.5, subdivision (a) and to resentence defendant accordingly.
Related
Cite This Page — Counsel Stack
246 Cal. Rptr. 3d 873, 34 Cal. App. 5th 1124, Counsel Stack Legal Research, https://law.counselstack.com/opinion/people-v-fox-calctapp5d-2019.