People v. Panizzon

913 P.2d 1061, 13 Cal. 4th 68, 96 Cal. Daily Op. Serv. 2733, 96 Daily Journal DAR 4526, 51 Cal. Rptr. 2d 851, 1996 Cal. LEXIS 1575
CourtCalifornia Supreme Court
DecidedApril 18, 1996
DocketS046141
StatusPublished
Cited by459 cases

This text of 913 P.2d 1061 (People v. Panizzon) 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. Panizzon, 913 P.2d 1061, 13 Cal. 4th 68, 96 Cal. Daily Op. Serv. 2733, 96 Daily Journal DAR 4526, 51 Cal. Rptr. 2d 851, 1996 Cal. LEXIS 1575 (Cal. 1996).

Opinions

Opinion

BAXTER, J.

Defendant Eric Panizzon pled no contest to various felony counts pursuant to a plea bargain that specifically provided for the imposition of certain prison time. After the trial court sentenced defendant in [73]*73accordance with the plea bargain, defendant sought to appeal the sentence. The People requested the Court of Appeal to dismiss the appeal on two grounds: (1) defendant had failed to obtain a certificate of probable cause as required under Penal Code section 1237.51 and rule 31(d) of the California Rules of Court;2 and (2) defendant had waived the right to appeal his sentence as part of the plea bargain. The Court of Appeal denied the dismissal request, but rejected defendant’s appeal on its merits.

As we shall explain, the Court of Appeal erred in denying the People’s request for a dismissal. Although defendant purports not to contest the validity of the negotiated plea, he is in fact challenging the very sentence to which he agreed as part of the plea. Since the challenge attacks an integral part of the plea, it is, in substance, a challenge to the validity of the plea, which requires compliance with the probable cause certificate requirements of section 1237.5 and rule 31(d). Because defendant failed to adhere to these requirements, we conclude the Court of Appeal should not have reached the merits of defendant’s appeal. As an alternative but secondary ground for our ruling, we accept, for purposes of argument, defendant’s contention that his challenge is an attack on the sentence and not the plea, and, even upon this basis, we find it is barred because the terms of the plea bargain prohibit him from attacking the sentence on appeal. We therefore reverse the judgment of the Court of Appeal, and remand the matter to that court with directions to enter a dismissal of the appeal.

I. Background and Procedural Facts

As part of a negotiated plea bargain, defendant agreed to enter a plea of no contest (nolo contendere) to one count of kidnapping for ransom (§ 209, subd. (a)), two counts of anal rape by a foreign object (§ 289, subd. (a)), one count of soliciting another to dissuade a witness from testifying or to suborn perjury (§ 653f), and to admit a weapons use allegation (§ 12022, subd. (a)). Also as part of the plea bargain, defendant agreed to a sentence of life with the possibility of parole, plus 12 years. He also acknowledged that a restitution fine of not less than $200 and not more than $10,000 would be imposed and that he waived the right to appeal the sentence. In exchange for the plea, the People agreed to dismiss one conspiracy count (§ 182), two counts of rape by a foreign object (§ 289, subd. (a)), six counts of sexual battery by restraint (§ 243.4, subd. (a)), and one count of residential burglary (§ 459). The trial court accepted defendant’s plea on the specified counts and dismissed the others. Approximately one month later, in conformance with [74]*74the plea bargain, the trial court sentenced defendant to life with the possibility of parole, plus 12 years, and imposed restitution fines totaling $400.

Defendant subsequently filed a notice of appeal identifying the claim that his sentence was disproportionate to the sentences imposed upon his codefendants and thereby violative of the federal and state constitutional prohibitions against cruel and unusual punishment.3 The People responded by requesting dismissal of the appeal on the grounds that defendant failed to obtain a certificate of probable cause (§ 1237.5; rule 31(d)) and that defendant had waived the right to appeal. After denying the People’s request, the Court of Appeal rejected defendant’s appeal on the merits and affirmed the judgment. Both defendant and the People petitioned for review.

II. Discussion

In this court, both sides complain of error by the Court of Appeal. The People, on the one hand, contend the court should not have disregarded defendant’s failure to comply with section 1237.5 and rule 31(d) and his waiver of the right to appeal the sentence. Defendant, on the other hand, argues the court erroneously rejected the constitutional challenges to his sentence. We examine the People’s claims of error first, as they are potentially dispositive.

As pertinent to this case, the rules governing a criminal defendant’s right to appeal are set forth in section 1237.5 and rule 31(d).

Section 1237.5 provides in relevant part: “No appeal shall be taken by the defendant from a judgment of conviction upon a plea of guilty or nolo contendere . . . except where both of the following are met: HD (a) The defendant 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. [U (b) The trial court has executed and filed a certificate of probable cause for such appeal with the county clerk.” Notwithstanding the broad language of section 1237.5, it is settled that two types of issues may be raised in a guilty or nolo contendere plea appeal without issuance of a certificate: (1) search and seizure issues for which an appeal is provided under section 1538.5, subdivision (m); and (2) issues regarding proceedings held subsequent to the plea for the purpose of determining the degree of the crime and the penalty to be imposed. (People v. Jones (1995) 10 Cal.4th 1102, 1106 [43 Cal.Rptr.2d [75]*75464, 898 P.2d 910], and cases cited; see generally, Cal. Criminal Law: Practice and Procedure (Cont.Ed.Bar 2d ed. 1994) §§ 39.4, 42.7, pp. 1016, 1103.)

Rule 31(d) has two paragraphs. As we recently explained, the first paragraph implements section 1237.5’s certificate requirement by “Unfitting] the time for the defendant to file the required statement of grounds, providing] the statement may serve as the notice of appeal, and staging] the appeal ‘shall not be operative’ unless the trial court executes and files the certificate of probable cause.”4 (People v. Jones, supra, 10 Cal.4th at p. 1106.) The second paragraph implements rules governing those appeals that are not subject to section 1237.5’s certificate requirement, i.e., appeals raising solely search and seizure or post-plea issues.5 While the two paragraphs of rule 31(d) set forth different procedures for making an appeal operative, a defendant cannot manipulate the rule to bypass the statutory certificate requirement. Consequently, “ [a] 1 though an appeal purporting to rest solely on noncertificate grounds may be operative under rule 31(d), [second paragraph,] and may therefore result in preparation of a record and briefing, section 1237.5 does not allow the reviewing court to hear the merits of issues going to the validity of the plea unless the defendant has obtained a certificate of probable cause, or has sought and obtained relief from default in the reviewing court.” (People v. Jones, supra, 10 Cal.4th at p. 1112, fn. 5.)

The purpose for requiring a certificate of probable cause is to discourage and weed out frivolous or vexatious appeals challenging convictions following guilty and nolo contendere pleas. (People v. Breckenridge (1992) 5 Cal.App.4th 1096, 1101 [8 Cal.Rptr.2d 1]; see also People v. Manriquez

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913 P.2d 1061, 13 Cal. 4th 68, 96 Cal. Daily Op. Serv. 2733, 96 Daily Journal DAR 4526, 51 Cal. Rptr. 2d 851, 1996 Cal. LEXIS 1575, Counsel Stack Legal Research, https://law.counselstack.com/opinion/people-v-panizzon-cal-1996.