Opinion
WUNDERLICH, J.
I.
Statement of the Case
In 1997, defendant Mark Duane Letteer pleaded guilty to possession and being under the influence of methamphetamine and admitted having three prior felony convictions that qualified as strikes under the “Three Strikes” law. (Health & Saf. Code, §§ 11377, subd. (a), 11550, subd. (a); Pen. Code, §§ 667, subds. (b)-(i), 1170.12.) At sentencing, the Honorable John T. Ball dismissed two of defendant’s strikes in furtherance of justice (see Pen. Code, § 1385;
People
v.
Superior Court (Romero)
(1996) 13 Cal.4th 497 [53 Cal.Rptr.2d 789, 917 P.2d 628]) and imposed a one-strike term of 32 months for possession and a concurrent 90-day jail term for being under the influence. The district attorney immediately challenged the dismissal of two strikes by seeking a writ of mandate.
On May 15, 2000, this court filed an opinion in which we concluded that Judge Ball had abused his discretion in dismissing the two strikes.
(People v. Superior Court
(Letteer) (May 15, 2000, H020324) [nonpub. opn.].)
We issued a peremptory writ of mandate, directing the superior court to vacate the dismissal order, reinstate the two strikes, and resentence defendant as a person with three strike prior convictions.
On remand, the prosecutor disqualified Judge Ball from resentencing defendant by filing a peremptory challenge under Code of Civil Procedure, section 170.6, subdivision (2), and, over defendant’s objection, resentencing proceeded before the Honorable Paul T. Teilh.
Judge Teilh denied defendant’s request for a formal sentencing hearing, reinstated the previously
dismissed strikes, and imposed a Three Strikes term of 25 years to life for possession of methamphetamine and a concurrent six-month jail term for being under the influence.
On appeal from the judgment, defendant claims, among other things, that sentencing by Judge Teilh violated the terms of the plea bargain. We agree, reverse the judgment, and remand the matter for further proceedings.
II.
Violation of the Plea Bargain
Citing
People v. Arbuckle
(1978) 22 Cal.3d 749 [150 Cal.Rptr. 778, 587 P.2d 220, 3 A.L.R.4th 1171]
(Arbuckle),
defendant contends that an implied term of the plea bargain entitled him to have Judge Ball resentence him, and therefore, resentencing by Judge Teilh violated the plea bargain and denied him due process of law. We agree.
In Arbuckle, the defendant entered a plea before a particular judge, but before the sentencing hearing, that judge was transferred to a different department. The defendant’s request to have the case transferred was denied, and a different judge imposed sentence.
(Arbuckle, supra,
22 Cal.3d at p. 757.) In reversing the judgment, the California Supreme Court stated, “As a general principle . . . , whenever a judge accepts a plea bargain and retains sentencing discretion under the agreement, an implied term of the bargain is that sentence will be imposed by that judge. Because of the range of dispositions available to a sentencing judge, the propensity in sentencing demonstrated by a particular judge is an inherently significant factor in the defendant’s decision to enter a guilty plea. [Citations.]”
(Id.
at pp. 756-757.) The court held that “[b]ecause the defendant has been denied that aspect of his plea bargain, the sentence imposed by another judge cannot be allowed to stand. [Citations.] The defendant is entitled to be sentenced by [the original judge], or if internal court administrative practices render that impossible, then in the alternative defendant should be permitted to withdraw his plea.”
(Id.
at p. 757, fn. omitted.)
The People claim that
Arbuckle
is inapplicable here because at the time defendant entered his plea, he did not reasonably expect Judge Ball to sentence him, and therefore, sentencing by Judge Ball did not become an implied term of the plea bargain. We disagree.
The People correctly note that
Arbuckle
rights arise only where the record affirmatively indicates that the defendant reasonably expected to be sentenced by the judge who took the plea.
(In re Mark L.
(1983) 34 Cal.3d 171, 177 [193 Cal.Rptr. 165, 666 P.2d 22];
People v. Adams, supra,
224 Cal.App.3d at p. 1543;
People v. Horn
(1989) 213 Cal.App.3d 701, 707 [261 Cal.Rptr. 814];
People v. Serrato, supra,
201 Cal.App.3d at p. 764;
People v. Guerra
(1988) 200 Cal.App.3d 1067, 1071-1072 [246 Cal.Rptr. 392];
People v. Ruhl
(1985) 168 Cal.App.3d 311, 315 [214 Cal.Rptr. 93];
In re James H.
(1985) 165 Cal.App.3d 911, 919-920 [212 Cal.Rptr. 61].) For example, in
Arbuckle,
the court found a reasonable expectation because the judge who took the plea repeatedly used the personal pronoun in referring to the future sentencing hearing.
(Arbuckle, supra,
22 Cal.3d at p. 756, fn. 4.) Similarly, in
In re Mark L.,
the court found a reasonable expectation because the judicial officer interchangeably used the personal pronoun and “ ‘the Court’ ” when referring to sentencing.
(In re Mark L., supra,
34 Cal.3d at p. 177.)
Here, in taking the plea, Judge Ball referred to the possible alternative sentences “the court” could impose. After accepting the plea, he stated, “All right. Then
the Court
will find that the defendant has freely and voluntarily waived his constitutional rights and entered a plea after having been advised of the consequences thereof.” (Italics added.) He then referred the matter to the probation department, asking defense counsel if defendant waived time. Counsel waived time and asked if “the Court” would be available for sentencing during a particular week. Judge Ball said that he would be.
When Judge Ball and defense counsel said “the court,” they were referring to Judge Ball. Moreover, in scheduling the sentencing hearing, Judge Ball indicated he would be the one to sentence defendant. Thus, the record affirmatively shows that defendant expected Judge Ball to sentence him. Indeed, Judge Ball did sentence him. At that time, he used “I” and “the court” interchangeably, and counsel referred to him as “the court.”
Any possible ambiguity concerning defendant’s expectation is dispelled by his conduct after entering his plea. He wrote Judge Ball a letter about the upcoming sentencing hearing, and in closing stated, “Your Honor, I am truely [sic] frightened about all this. I haven’t understood much of all that is happening or how it has become such a travesty. Your sheriff officers in your court room, as well as my attorney and Madam District Attorney have said you are a fair and just Judge. So I am placing my trust in you. Though your power terrifies me I believe what your Court officers have told me.” Defendant’s letter unmistakably reflects that he expected Judge Ball to sentence him. Moreover, later, after the prosecutor successfully removed Judge Ball, defendant expressly objected to sentencing by Judge Teilh, claiming a violation of his
Arbuckle
rights. (See
People v. Horn, supra,
213 Cal.App.3d at p. 709 [lack of objection to sentencing by different judge relevant in determining existence of
Arbuckle
rights].)
The People further claim that even if defendant expected Judge Ball to sentence him,
Arbuckle
is still inapplicable. In support of this claim, the
People cite
People v. Dunn
(1986) 176 Cal.App.3d 572 [222 Cal.Rptr. 273]
(Dunn).
Again, we disagree.
In
Dunn,
the judge who took the plea retired before sentencing, and a different judge imposed sentence. On appeal, the court found
Arbuckle
inapplicable because the original judge’s unavailability was due to “a matter clearly beyond the power of the court to control”—retirement—rather than an internal administrative problem or convenience of the court, as was the case in
Arbuckle. (Dunn, supra,
176 Cal.App.3d at p. 575.) In support of its holding, the court quoted
People
v.
Watson
(1982) 129 Cal.App.3d 5 [180 Cal.Rptr. 759], a case where the original judge died before sentencing. According to
Watson, “Arbuckle
and the cases applying it [citations] involve situations where the original judge was unavailable for sentencing due to internal administrative scheduling problems.
Arbuckle
speaks only of such situations and it is doubtful whether its mandate would apply when, as here, the judge is unavailable due to his death.”
(Watson, supra,
129 Cal.App.3d at p. 7;
Dunn, supra,
176 Cal.App.3d at p. 575.)
Building on the
Watson
court’s doubt,
Dunn
states that “a negotiated plea does not carry with it an implied promise that the judge accepting the plea will not resign, retire, expire or be removed from the bench pending imposition of sentence. The People appropriately bear the risk of a judge’s unavailability due to matters within the control of the court, but no good reason appears why they should bear the risk that the judge before whom defendant plead[ed] is no longer vested with judicial power to pass sentence. To the implied term recognized by
Arbuckle
that the judge accepting the plea will impose sentence must be added an implied condition: if that judge then still actively exercises judicial power.”
(Dunn, supra,
176 Cal.App.3d at p. 575; see also
People v. Jackson
(1987) 193 Cal.App.3d 393 [238 Cal.Rptr. 327]
[Arbuckle
inapplicable where unavailability due to illness].)
The People argue that this case comes within the
Dunn
exception because the prosecutor’s peremptory challenge “must also be considered an event' that removes the judge from the ability to exercise judicial power in a defendant’s case.”
Initially, we question the validity of the
Dunn
exception. In effect,
Dunn
limited
Arbuckle
to its facts: unavailability due to administrative matters within the superior court’s control. We acknowledge that in
Arbuckle,
the
court did not discuss whether a defendant should be allowed to withdraw the plea if the original judge becomes unavailable for reasons
outside
the control of the court, such as death, illness, retirement, removal from the bench or other circumstances. (See
People v. Martinez
(2000) 22 Cal.4th 106, 118 [91 Cal.Rptr.2d 687, 990 P.2d 563] [cases are not authority for propositions they do not consider].) However, when we view
Arbuckle
in light of the principles that govern the implementation of a plea bargain and the consequences of deviating from its terms,- we find the
Dunn
limitation on
Arbuckle
to be unwarranted.
As noted,
Arbuckle
recognized that “whenever a judge accepts a plea bargain and retains sentencing discretion under the agreement, an implied term of the bargain is that sentence will be imposed by that judge. Because of the range of dispositions available to a sentencing judge, the propensity in sentencing demonstrated by a particular judge is an inherently significant factor in the defendant’s decision to enter a guilty plea. [Citations.]”
(Arbuckle, supra,
22 Cal.3d at pp. 756-757.) It is settled that “when a plea rests in any significant degree on a promise or agreement of the prosecutor, so that it can be said to be
part of the inducement
or consideration, such promise must be fulfilled.”
(Santobello
v.
New York
(1971) 404 U.S. 257, 262 [92 S.Ct. 495, 499, 30 L.Ed.2d 427], italics added.) “The Supreme Court has thus recognized that due process applies not only to the procedure of accepting the plea [citation], but that the requirements of due process attach also to implementation of the bargain itself. It necessarily follows that violation of the bargain by an officer of the state raises a constitutional right to some remedy.”
(People
v.
Mancheno
(1982) 32 Cal.3d 855, 860 [187 Cal.Rptr. 441, 654 P.2d 211]; accord,
People v. Walker, supra,
54 Cal.3d at p. 1024; see
People v. Vargas
(2001) 91 Cal.App.4th 506, 533 [110 Cal.Rptr.2d 210] [in essence, a plea bargain is a contract governed by contractual principles]; see, e.g.,
People v. Quartermain
(1997) 16 Cal.4th 600, 620 [66 Cal.Rptr.2d 609, 941 P.2d 788] [breach deemed violation of due process];
People
v.
Olea
(1977) 59 Cal.App.4th 1289 [69 Cal.Rptr.2d 722] [same].) “This does not mean that
any
deviation from the terms of the agreement is constitutionally impermissible.”
(People v. Walker, supra,
54 Cal.3d at p. 1024, original italics.) Rather, the variance must be “ ‘significant’ in the context of the plea bargain as a whole to violate the defendant’s rights.”
(Ibid.; Santobello v. New York, supra,
404 U.S. at p. 262 [92 S.Ct. at pp. 498-499].) However, when there is such a variance, the violation of the plea bargain is not subject to harmless error analysis. Rather, the defendant is entitled to an appropriate remedy.
(In re Moser
(1993) 6 Cal.4th 342, 353-354 [24 Cal.Rptr.2d 723, 862 P.2d 723];
People v. Walker, supra,
54 Cal.3d at p. 1026;
In re Williams
(2000) 83 Cal.App.4th 936, 944 [100 Cal.Rptr.2d 144].)
Given these principles and the fact that sentencing by the original judge is an implied term of the plea bargain and represents an inherently important factor in the decision to enter a plea bargain, we conclude that sentencing by a different judge constitutes a significant deviation
regardless
of whether unavailability is due to matters within or outside the court’s control. Certainly from the defendant’s point of view, sentencing by a different judge does not become an insignificant deviation simply because unavailability is due to retirement rather than an administrative transfer.
We agree with
Dunn's
view that a plea bargain does not “carry with it an implied promise that the judge accepting the plea will not resign, retire, expire or be removed from the bench.”
(Dunn, supra,
176 Cal.App.3d at p. 575.) However,
Dunn
only states the obvious and does not further explain why unavailability due to resignation, retirement, etc. should negate an implied term of the bargain and prevent the defendant from withdrawing the plea, even though sentencing by a different judge is a significant deviation from the plea bargain. Moreover, even if at the time of the plea a defendant knows, or should know, that the same judge will not impose sentence if he or she retires, resigns, dies, etc.,
Dunn
does not explain why a defendant could not still reasonably expect the chance to withdraw the plea if that happened.
Instead of giving an explanation,
Dunn
suggests a justification. As noted,
Dunn
opines that although the prosecution should bear the risk of unavailability due to matters within the court’s control—i.e., an administrative transfer as occurred in Arbuckle—there is no “good” reason the prosecution should bear the risk of unavailability due to matters outside the court’s control, such as resignation, retirement, death, etc.
(Dunn, supra,
176 Cal.App.3d at p. 575.) However,
Dunn
does not explain why in the first instance the prosecution should bear the risk of unavailability due to matters
within
the court’s control; and if there is a “good” reason,
Dunn
does not explain why it would not also apply when unavailability is due to matters
outside
the court’s control. Nor does
Dunn
offer a “good” reason why
the defendant
should bear the risk of unavailability in the latter situation.
Dunn's
risk assessment approach implies that the equities between the parties differ depending on whether unavailability is due to matters within or outside the court’s control. However, we fail to see how the equities might favor either party when unavailability is due to matters outside
both
parties’ control. For this reason, we do not consider risk assessment to be helpful in determining when a defendant should be able to withdraw the plea. In our view, the issue is simply whether sentencing by a different judge constitutes
a significant deviation from the terms of the plea bargain. If it is, then the defendant should not be held to the bargain and must be allowed to withdraw the plea.
Nevertheless, assuming for purposes of argument that Dunn's exception to
Arbuckle
is valid, we find the exception inapplicable. Although Judge Ball’s unavailability was due to matters
outside
the court’s control, it was due to matters wholly within the prosecution’s control—i.e., its peremptory challenge.
Dunn
did not address this situation and does not suggest that the prosecution should not have to bear the risk of unavailability caused by its own election to remove the original judge. On the contrary, we find it both reasonable and appropriate for the prosecution to bear the risk under those circumstances.
The People argue that removing a judge via a peremptory challenge renders the judge unavailable in the same way that retirement, resignation, death, etc. do: In each situation, the judge is not able to exercise judicial power. We find this argument unpersuasive.
As noted, in articulating its exception to
Arbuckle, Dunn
stated that the same judge will sentence the defendant only “if that judge then still actively exercises judicial power.”
(Dunn, supra,
176 Cal.App.3d at p. 575.) The context in
Dunn
gives the court’s language its meaning and scope. There, the court was focusing on unavailability due to matters such as retirement, death, incapacitation, and permanent removal from the bench, which prevent a judge from actively exercising judicial power under
any
circumstances. Although Judge Ball could not sentence defendant, he was still actively exercising judicial power in other cases. We doubt the
Dunn
court intended its language to cover this situation, and we can think of no good reason it should be extended to do so.
Dunn's
inapplicability, however, does not end our discussion of defendant’s claim. We point out that the prosecution had a statutory right to challenge Judge Ball. Thus, this case involves a conflict between that right and defendant’s
Arbuckle
rights. To resolve it, we examine and balance the rights of each party and the burden on each if the other’s right takes precedence.
As stated, the requirements of due process apply not only to the procedure of accepting the plea bargain but also to the implementation of the bargain
itself. Thus, a violation of the bargain gives rise to a constitutional right to some remedy.
(People v. Mancheno, supra,
32 Cal.3d at p. 860.)
Arbuckle
rights protect a defendant’s reasonable expectation under the plea bargain concerning who will impose sentence. Moreover, by permitting the defendant to withdraw the plea if that judge is unavailable,
Arbuckle
rights also protect the fundamental rights that a defendant forfeits in entering a plea, including the right to a jury trial, to confront and cross-examine the People’s witnesses, and to be free from compelled self-incrimination. (See
People
v.
Gurule
(2002) 28 Cal.4th 557, 634 [123 Cal.Rptr.2d 345, 51 P.3d 224].)
The right to exercise a peremptory challenge is also “a substantial right and an important part of California’s system of due process that promotes fair and impartial trials and confidence in the judiciary.”
(Stephens
v.
Superior Court
(2002) 96 Cal.App.4th 54, 61 [116 Cal.Rptr.2d 616];
Truck Ins. Exchange v. Superior Court
(1998) 67 Cal.App.4th 142, 144 [78 Cal.Rptr.2d 721].) Code of Civil Procedure section 170.6 guarantees “to litigants an extraordinary right to disqualify a judge. The right is ‘automatic’ in the sense that a good faith
belief
in prejudice is alone sufficient, proof of facts showing actual prejudice not being required. [Citations.]”
(McCartney v. Commission on Judicial Qualifications
(1974) 12 Cal.3d 512, 531 [116 Cal.Rptr. 260, 526 P.2d 268], original italics, overruled on other grounds in
Spruance v. Commission on Judicial Qualifications
(1975) 13 Cal.3d 778, 799, fn. 18 [119 Cal.Rptr. 841, 532 P.2d 1209], and
Doan v. Commission on Judicial Performance
(1995) 11 Cal.4th 294, 325 [45 Cal.Rptr.2d 254, 902 P.2d 272].)
Thus, for example, the prosecutor here submitted an affidavit declaring that “the Honorable John T. Ball, Judge of the Superior Court of the County of Santa Clara, before whom the hearing in the aforesaid action is pending, is prejudiced against the People of the State of California, County of Santa Clara in this matter and against their attorney and the interest of the People of the State of California, County of Santa Clara so that this affiant cannot or believes she cannot have a fair and impartial hearing before the Honorable John T. Ball.” (See Code Civ. Proc., § 170.6, subd. (5) [standard content for affidavit].)
(1d) Although the rights of both parties derive from constitutional sources, the burden on each if the other party prevails and, more importantly, the fairness of that burden are much different. If the prosecution can remove the original judge without potential consequences—i.e., withdrawal of the plea—then the prosecution, in effect, can nullify an implied term of the plea bargain. Moreover, the defendant has no option but to accept sentencing by a different judge. Thus, the defendant remains bound by his or her decision to waive trial and enter a plea, but the prosecution retains all of its benefits under the bargain. In our view, it is unfair for the prosecution to nullify a promise that helped induce a plea and still fully enjoy the benefits of that plea.
On the other hand, if the defendant is allowed to withdraw the plea when the prosecution elects to challenge the original judge, the prosecution has two options. It can forgo a challenge and retain the benefits of the plea bargain. Although it must then accept sentencing by a judge it believes is prejudiced, we find any unfairness mitigated by the fact that the judge is still bound by terms of the bargain negotiated by the prosecution.
(People v. Cunningham
(1996) 49 Cal.App.4th 1044, 1047-1048 [57 Cal.Rptr.2d 179].) Presumably, when the prosecution accepted the bargain, the prosecutor knew and accepted the scope of judicial discretion it permitted and the range of possible sentences the court could impose. Under these circumstances, the opportunity for a judge who has been reversed to rule unfairly is quite limited.
In any event, the prosecution has a second option: It can remove the judge. Of course, the defendant might respond by withdrawing the plea, and as a result, the prosecution would have to go to trial. However, making the prosecution do what it was required to do before the plea was negotiated— prove guilt beyond a reasonable doubt at trial—does not appear to be an
unfair
consequence of its decision to remove the judge and nullify part of the plea bargain. This is especially so because the prosecution can protect itself in advance from the withdrawal of a plea by requiring an
Arbuckle
waiver as a condition of the bargain. (See, e.g.,
People v. Mikhail, supra,
13 Cal.App.4th at p. 851.)
On balance, we consider the unfairness to a defendant when the prosecution removes the original judge to be far greater than the unfairness to the prosecution when the defendant withdraws the plea. We further consider the burden on the prosecution when the defendant withdraws the plea to be justified by the need to protect the defendant’s right to the benefits of his plea bargain and the fundamental rights waived in entering a plea. Consequently, we hold that because defendant was not allowed to withdraw his plea after the prosecution removed Judge Ball, sentencing by Judge Teilh violated his plea bargain. Therefore, under
Arbuckle,
defendant’s sentence “cannot be allowed to stand.”
(Arbuckle, supra,
22 Cal.3d at p. 757.)
III.
Formal Sentencing Hearing
Because there is a possibility that on remand the matter could proceed directly to resentencing before Judge Ball, we address defendant’s claim that he is entitled to a full sentencing hearing.
In our written decision in the writ proceeding, we directed the lower court as follows: “Let a peremptory writ of mandate issue directing respondent court to vacate its order dismissing two prior serious felony convictions, and to enter a new and different order reinstating those convictions and resentencing real party in interest Mark Duane Letteer as a person who has suffered two or more prior serious felony convictions pursuant to [Penal Code] section 667, subdivision (e)(2). Our temporary stay order shall remain in effect until his decision is final.”
(People
v.
Superior Court (Letteer), supra,
H020324.)
The People argue that we merely “directed the sentencing court to perform a ministerial task that did not allow for the exercise of further discretion.” Thus, since continued litigation of the sentence was barred, defendant had no right to a formal sentencing hearing at which he could present additional evidence. We disagree.
The writ proceeding and our subsequent opinion addressed only the propriety of the court’s order dismissing two strikes. We did not discuss any other issues concerning Judge Ball’s sentence or sentencing on remand, including the court’s discretion to deem defendant’s current conviction for
simple possession of methamphetamine a misdemeanor.
(See Pen. Code, § 17;
People v. Superior Court
(Alvarez) (1997) 14 Cal.4th 968, 973 [60 Cal.Rptr.2d 93, 928 P.2d 1171].)
Indeed, in argument before Judge Teilh, defense counsel asserted that the court had “several sentencing options available, including the [Penal Code] Section 17 option . . . .” Judge Teilh’s response reveals that he correctly understood the purport of our disposition. After quoting it he explained, “Pursuant to that I do make an order reinstating the convictions that had been previously dismissed, that prior serious felony convictions, and I feel that the matters before me now are to sentence the defendant as though he had never been sentenced before, which still leaves me the options that you’ve indicated; however, after reading the probation report and all of the files that are in here, which were quite voluminous incidentally, including the two reports by [a psychological evaluator], I don’t feel that the Court would entertain anything having to do with the
Romero
case on these matters.”
We now reverse the judgment and remand for further proceedings, including resentencing. Although the court is bound by our previous writ decision (see
People v. Stanley
(1995) 10 Cal.4th 764, 786 [42 Cal.Rptr.2d 543, 897 P.2d 481] [doctrine of law of the case applies to determinations made in writ proceedings]) and by the terms of the plea bargain, it retains discretion and all sentencing options under applicable law and must conduct a full hearing that includes the defendant’s right to present evidence relevant to the sentencing determination.
(See
In re Cortez
(1971) 6 Cal.3d 78, 88 [98 Cal.Rptr. 307, 490 P.2d 819]; see, e.g.,
People
v.
Buckhalter
(2001) 26 Cal.4th 20 [108 Cal.Rptr.2d 625, 25 P.3d 1103].)
IV.
Disposition
The judgment is reversed. The matter is remanded for resentencing before Judge Ball.
If Judge Ball is unavailable, then the defendant shall be allowed to withdraw his plea.
Premo, Acting P. J., and Elia, J., concurred.