As we explain more fully below, on this direct appeal we are not in a position to
find that Arredondo's counsel was ineffective in conceding that his client was guilty of
felony murder, but that the jury should nonetheless reject the robbery special
circumstance allegation. In theory, an attorney may reasonably concede the impact of
overwhelming evidence in an effort to establish his or her own credibility and use that
credibility as a means of diminishing the scope of his or her client's responsibility. By
way of collateral proceedings, in which the attorney has an opportunity to fully defend
his choice, this issue can be definitively resolved.
We nonetheless reverse in part the defendants' convictions. In his opening
argument to the jury as well as in his rebuttal to defense arguments, the prosecutor
repeatedly referred to the defendants and other gang members as "cockroaches" and
repeatedly suggested to the jury they were part of a larger hidden threat to the safety of
the community. As we explain more fully below, the vice in the prosecutor's argument is
not simply his use of a colorful epithet to describe the defendants. The evidence
presented by the prosecutor showed that the defendants were leaders of a larger group of
people who: cruelly and callously lured the victim to a garage, beat him, put him in the
trunk of his own car, stripped the car of the victim's belongings and then drove the victim
2
to a field, where, as he tried to escape, they chased him down, shot him in the back and,
worried he might survive, slit his throat. The cases are clear prosecutors may express, in
the most vivid and even emotional terms, their disgust with the conduct of defendants
shown by the evidence. However, prosecutors may not suggest to the jury that a guilty
verdict is required because of the need to punish a group with whom the defendants are
associated or because of some uncharged and unspecified crimes the defendants or others
may have committed. Here, the prosecutor's relentless description of the defendants and
the other participants in the crime as "cockroaches" who together with others pose a
hidden threat to the community, plainly suggested in powerful terms just such guilt by
association and responsibility for uncharged acts.
Because of the overwhelming evidence, the defendants planned to rob the victim
and then decided to kill him, and that in doing so they kidnapped him, the prosecutor's
misconduct does not require that we reverse their murder convictions or the jury's special
circumstances findings. However, we must reverse the jury's gang findings. The
evidence that the robbery, kidnapping, and murder were committed to benefit or
otherwise advance the interests of a criminal street gang was somewhat conflicting and
the prosecutor's repeated reference to guilt by association was directly related to those
gang allegations.
We also reverse the firearms enhancement imposed on Arredondo so that on
remand the trial court may exercise the discretion recently provided to trial courts under
the current version of section 12022.53, subdivision (h).
3
FACTUAL AND PROCEDURAL BACKGROUND
1. Renteria's Death
Fernando Renteria was a small-time drug user and distributor in the Moreno
Valley area of Riverside county. He also had an intermittent and stormy romantic
relationship with one of his customers, Elizabeth Garcia.
Late on the evening of August 8, 2012, Garcia and a friend, Fallon Flores decided
that they would lure Renteria to Garcia's house and rob him of drugs and money. They
invited Arredondo, who was a member of the West Side Rivas criminal street gang and a
drug dealer, to Garcia's house. Arredondo had been selling drugs in the same part of the
Moreno Valley claimed by Renteria and someone had shot at Arredondo in apparent
retaliation for Arredondo's incursion into Renteria's turf. Arredondo felt disrespected and
saw an opportunity to resolve the turf dispute.
Early in the morning of August 9, 2012, Garcia and Arredondo called Renteria and
Arredondo told Renteria that Garcia was now his girlfriend and, at Garcia's urging, talked
"smack" to Renteria. Renteria was upset and went to Garcia's house. Before Renteria
arrived, Arredondo called one member of another gang, the Edgemont Locos, who in turn
called two other Edgemont Locos members and they arrived at Garcia's house to support
Arredondo. Ramirez was one of the three Edgemont Locos members who came to help
Arredondo, along with Michael O'Malley and Angel Rosales. Arredondo also called
Jonathan Oporta, who was a member of a third gang, but had recently begun associating
or "hanging out" with Arredondo.
4
Initially, Renteria sat down and began talking with Arredondo and the others.
Renteria offered the others some of the drugs he brought with him and while they were
sharing the drugs, Arredondo struck Renteria and the others joined in beating him. At
knife point, Renteria's hands and legs were bound with speaker wire, the car he was
driving was backed into the garage of Garcia's house and Renteria was placed in the trunk
of the car. While Renteria was in the trunk, the others ransacked his car and took
speakers and other items from it, including the "pink slip" to a motorcycle he owned,
which they compelled him to sign.
Eventually, Arredondo, Ramirez, Oporta, and O'Malley drove Renteria's car with
Renteria in the trunk toward a field, where they planned to shoot him. Before heading to
the field with Renteria in the trunk, they made stops to get gas and a shotgun; Oporta's
girlfriend, Reyna Mosqueda, assisted them by driving some of the group in her car.
As they were approaching the field, Renteria managed to get out of the trunk and
attempted to flee in his stocking feet. Oporta was in the front passenger side of the car
holding the shotgun; however, Oporta testified he did not want to be part of a murder.
Oporta got out of the car and pointed the shotgun at Renteria, but pretended it had
jammed. Arredondo then got out of the car, took the gun from Oporta, chased Renteria
and shot him in the back; however, Renteria was still breathing and Arredondo could not
find a second shell for the shotgun. Because Arredondo was worried Renteria might
survive, Ramirez, who had a knife, got out of the car, went over to Renteria and slit his
throat. When Renteria was found he had knife wounds in his neck in addition to a
slashed throat.
5
Arredondo and the others spent most of the rest of August 9 arranging for the sale
of the car Renteria had been driving. The following day, August 10, Renteria's friend and
sometime roommate, Martin Guevara, went to Garcia's house looking for him. Guevara
had been with Renteria before Renteria went to Garcia's house and knew that had been
Renteria's destination the previous morning. Guevara noticed items that had been taken
from the car Renteria had been driving in Garcia's garage; while talking to Garcia and
Arredondo, Arredondo told Guevara he could get Renteria's car back, but probably not
Renteria. Based on what he saw and heard, Guevara deduced Renteria was dead.
Guevara called his girlfriend and told her what he saw and heard and what he
believed had happened to Renteria. Guevara's girlfriend in turn contacted Renteria's
girlfriend, who was in jail. Renteria's girlfriend told jail officials what she learned; in a
very short period of time law enforcement personnel found Renteria's body and searched
Garcia's house, where they found a good deal of incriminating physical evidence.
2. Jailhouse
Very shortly after the murder, almost all the participants in Renteria's murder were
arrested: Arredondo, O'Malley, Rosales, Oporta, Mosqueda, Garcia, and Flores. When
Arredondo was arrested he was wearing Renteria's shoes. Arredondo agreed to speak to
investigators and admitted being at Garcia's house, knowing about the plan to rob
Renteria and participating in the beating; Arredondo also admitted driving the car to the
field where he was killed. According to Arredondo's statement to investigators, Oporta
shot and then stabbed Renteria.
6
However, contrary to what Arredondo told investigators, Arredondo told his
cellmate that he took the shotgun from Oporta, shot Renteria and Ramirez then slit
Renteria's throat because Renteria was still breathing. According to his cellmate,
Anthony Arriola, Arredondo also asked Arriola to help kill Oporta, who was housed in
the same jail.
Approximately one month after the initial arrests, Ramirez was apprehended and
overheard in telephone conversations making incriminating statements.
3. Trial
At trial, the prosecution's principle witness was Oporta, who had plea guilty to a
single count of murder in exchange for a determinate sentence of 25 years. His testimony
was corroborated by other participants, by Arriola, and by physical evidence found at the
scene of the murder and at Garcia's house. Two gang experts also testified with respect
to the gang allegations. They identified Arredondo as a member of the West Side Rivas
and Ramirez, Rosales and O'Malley as members of the Edgemont Locos. Although
Oporta had been identified as a member of a third gang, the Independent Riders, he
testified that at the time of the murder he was no longer a member of any gang. One of
the gang experts also testified that two of the participants, Rosales and O'Malley, who
had pled guilty, admitted gang allegations charged in their cases. In response to
hypothetical questions based on the facts similar to Renteria's murder, they stated that the
hypothetical crime was for the benefit of a gang. However, the experts did not know of
any previous or ongoing cooperation between the West Side Rivas and the Edgemont
Locos.
7
As we noted, during his closing argument, Arredondo's counsel conceded that
Arredondo was guilty of murder, but that the jury should reject the robbery special
circumstance allegation because his primary goal was to kill Renteria, not rob him; he
also argued that there was not sufficient evidence of movement to support the kidnapping
special circumstance. As we also noted at the outset, and elaborate more fully below, in
his opening and closing arguments to the jury, the prosecutor repeatedly referred to
defendants as cockroaches and warned the jury about what "these people" were doing in
the middle of the night, while the law-abiding citizens of Morena Valley were asleep in
their homes.
The jury found both defendants guilty of murder in the first degree and found true
both the robbery and kidnapping special circumstances. With respect to Arredondo, the
jury found true the related enhancements set forth in sections 12022.53, subdivision (d)
and 12022.53, subdivision (e) 1; the jury found Ramirez was not responsible for the
1 Sections 12022.53, subdivisions (d) and (e) state: "(d) Notwithstanding any other provision of law, any person who, in the commission of a felony specified in subdivision (a), Section 246, or subdivision (c) or (d) of Section 26100, personally and intentionally discharges a firearm and proximately causes great bodily injury, as defined in Section 12022.7, or death, to any person other than an accomplice, shall be punished by an additional and consecutive term of imprisonment in the state prison for 25 years to life." "(e)(1) The enhancements provided in this section shall apply to any person who is a principal in the commission of an offense if both of the following are pled and proved: (A) The person violated subdivision (b) of Section 186.22. (B) Any principal in the offense committed any act specified in subdivision (b), (c), or (d). 8
firearm use under section 12022.53, subdivision (e). As to both defendants, the jury
found the murder was committed for the benefit of a criminal street gang within the
meaning of section 186.22, subdivision (b). As we indicated, the trial court found
Arredondo had suffered two prior prison terms. Arredondo was sentenced to life without
the possibility of parole plus 35 years to life; Ramirez was sentenced to life without
possibility of parole, plus 10 years. 2
DISCUSSION
I.
Arredondo's Appeal
A. Incompetence of Counsel
In beginning his closing argument to the jury, Arredondo's attorney stated: "Is Mr.
Arredondo guilty of murder? I would have to say he is. And as your jaws drop, I hope
you are not going to stop listening to me, because I tell you this. The law is fairly clear on
(2) An enhancement for participation in a criminal street gang pursuant to Chapter 11 (commencing with Section 186.20) of Title 7 of Part 1 shall not be imposed on a person in addition to an enhancement imposed pursuant to this subdivision, unless the person personally used or personally discharged a firearm in the commission of the offense."
2 Arredondo's sentence was composed of a life sentence without the possibility of parole on the murder conviction plus 25 years for the firearm enhancement as provided under section 12022.53, subdivision (d), and 10 years for the gang finding under section 186.22, subdivision (b). The trial court stayed sentencing on the section 12022.53, subdivision (e) enhancement. Ramirez's sentence was composed of life without the possibility of parole on the murder conviction plus 10 years for the gang finding under section 186.22, subdivision (b). 9
the felony murder rule that he was involved in a robbery and/or a kidnapping and a death
involved, and certainly he is guilty of first-degree murder.
"Is he guilty of the special circumstance robbery murder, and then I'd say no
without any hesitation and we will talk about that.
"Mr. Arredondo's intent and the evidence has been very clear from the get go that
unfortunately he was going to kill Mr. Renteria, more than likely at the urging of Lisa or
Fallon Flores. That is what his intent was, and that is fairly evident from Oporta's
testimony. Right away what happened to Mr. Renteria, it was pretty clear from the
outset. And you will be told and we will go over this a little bit more in the end, if the
robbery is incidental to the murder, the murder is the primary reason that the robbery is
incidental, then it is not a robbery murder special circumstance, so that special
circumstance should be found not true by you.
"And I know you have a hard time saying, well, if he was conceding he was going
to kill him, that is what his intent was from the get go. You don't manufacture a bootstrap
robbery murder special circumstance because someone dies. If that is what his intent was
all along to kill the person, and the fact he took his shoes or the things with the pink slip
to the motorcycle, all of that was incidental to the primary intent which was to kill, and
that is what his intent was, then he is guilty of first-degree murder and nothing more, and
not that is not significant, but in terms of the special circumstance I don't think that
special circumstance is proven.
10
"Did he commit kidnapping? Well, maybe [the prosecutor] gave you an argument
about substantial distance. Was the harm increased, and that is something you would
make up for yourselves. Because, again, the instruction on kidnapping, if the murder was
the primary cause, you have to decide did the kidnapping or the asportation element
increase the potential risk of harm, either psychological or physical, decrease his ability
to escape, things of that sort.
"The incident aspect of the kidnapping special circumstance is a little bit different
than the robbery. The law says that if in fact the kidnapping is incidental to the person's
primary intent, which I am telling you was to kill, the law says that you can find the
special circumstance kidnapping to be true. So, if you determine that he was guilty of a
kidnapping, then the special circumstance would probably fall into place." Counsel
devoted the remainder of his argument to an attack on Oporta's credibility in an attempt
to convince the jury that Oporta, rather than Arredondo and Ramirez both shot Renteria
and slit his throat.
On appeal, Arredondo contends this concession amounted to ineffective assistance
of counsel. Counsel's approach was certainly unusual and arguably damaged
Arredondo's case. Indeed, the appellate record reveals a substantial problem with
counsel's choice: there really was no dispute Renteria was kidnapped and taken a
sufficient distance to support the kidnapping special circumstance, which could be found
even if Arredondo's primary intent was to kill Renteria. Those circumstances certainly
call into question whether counsel's concession that Arredondo intended to kill Renteria
11
would provide Arredondo with any advantage which was at all commensurate with the
negative impact counsel's concession no doubt had on the jury.
On the other hand, as the People point out, such an effort to establish counsel's
credibility when the record at trial is itself undeniably damaging to a client, is not
unprecedented and has been approved where, as here, there is overwhelming evidence of
a client's guilt to some of the charges or some of the theories asserted by the prosecution.
(See People v. Lucas (1995) 12 Cal.4th 415, 446–447. Arguably, counsel's concession
may have been an effort to establish credibility so that he could assert that in fact Oporta
was the shooter and at least plant the seed in the jury's mind that Arredondo should not be
treated any differently than the principal witness against him. 3
3 We note however that Lucas is arguably distinguishable from our case because Arredondo raised a factual defense that Oporta was the shooter; hence, the record here may not be "undeniably damaging" to Arredondo. Moreover, Lucas was a capital case. There, counsel was arguably attempting to establish credibility going into the penalty phase.
12
In any event where, as here and as is typical, the appellate record has not provided
counsel the opportunity to offer an explanation for his or her tactical choice, we affirm
without prejudice to the defendant's right to litigate his claim in collateral proceedings in
which counsel has the opportunity to offer an explanation for his or her tactical choice.
(See People v. Delgado (2017) 2 Cal.5th 544, 559; People v. Pope (1979) 23 Cal.3d 412,
425.) 4
B. Prosecutorial Misconduct
As we indicated at the outset, during his argument the prosecutor repeatedly made
reference to the defendants as "cockroaches." We found 11 such references in both his
opening argument and in his rebuttal. 5 After the second reference to the defendants as
4 In capital cases, such as Lucas, where counsel is attempting to spare his client the death penalty, the risk and benefit calculus is sui generis and may require that counsel take greater risks in order to avoid a verdict of death. Where a client faces a sentence of life without possibility of parole, similar deference to counsel's choices may, in particular cases, be appropriate. However, that question is better resolved in collateral proceedings in which there is a fuller record with respect to the actual reasons counsel made challenged tactical choices.
5 The offending statements were as follows: 1. "You have seen what happens in Moreno Valley while the good citizens of Moreno Valley are in their beds at nighttime. "While those people are asleep in their beds, these cockroaches are out there running around committing crimes and victimizing the people of Riverside County and Moreno Valley."(Italics added.) 2. "And so when you have crimes like this, and when you have these crimes happening in the middle of the morning, 2:00, 3 o'clock in the morning, in order to shine the light on what these cockroaches do in our community." (Italics added.) 3. "In order to shine a light on these cockroaches to see what they are doing, sometimes it is necessary to use people with first-hand information. People who were there and people who saw what happened." (Italics added.) 13
cockroaches, counsel objected and his objection was overruled. The prosecutor then
made nine more cockroach references, several couched in terms of the need to protect the
community from the criminality of the "cockroaches."
As the People point out, a prosecutor's use of colorful and powerful epithets is not
on its own misconduct. "We have observed that a prosecutor is not 'required to discuss
4. "When Renteria was moved from that garage floor and into the trunk of a car and bound, at that point that is movement that increases the physical or psychological harm to Mr. Renteria. "Psychological harm at that point, that poor man, the thoughts going through his head must have been unbearable. Unbearable to be beaten, to have a knife to your throat, to be kicked to whaled upon by these cockroaches was unbearable." (Italics added.) 5. "Each of these people, cockroaches swarming around the floor of that garage in Tyann Court, each taking some little piece of property that doesn't belong to them. Each of them helping each other with their gang mentality, each of them being backed up by their homeboys so they can victimize somebody else in our society." 6. "So, again, society, the legislature, we the people have determined that if you kill and you're the actual killer, we hold you responsible, but if you're not the actual killer, but you're part of these group of cockroaches who commit these crimes, then we will hold you responsible if it seems that you're indifferent to the life of a human being." (Italics added.) 7. "While the rest of the good citizens of Moreno Valley were asleep in their beds, preparing to go to work the next day, these cockroaches are out there doing these crimes." (Italics added.) 8. "[Oporta] has put his life in jeopardy because when you testify against these cockroaches, you yourself are then the focus of attack, and you could be killed because you have agreed to testify." (Italics added.) 9. "The evidence, all of the video evidence that you saw corroborates Oporta...you saw all the stills showing the movements of these cockroaches in the early morning of the hours on August the 9th." (Italics added.) 10. "[Ramirez] had knowledge that they stripped that car because he was in that car himself trying to steal the property, finding whatever he could.... like a bunch of cockroaches scurrying around in that garage." (Italics added.) 11. "You are putting him more at risk and you are minimizing his ability to escape from these cockroaches." (Italics added.)
14
his [or her] view of the case in clinical or detached detail.' [Citations.] 'A prosecutor is
allowed to make vigorous arguments and may even use such epithets as are warranted by
the evidence, as long as these arguments are not inflammatory and principally aimed at
arousing the passion or prejudice of the jury.' [Citation.] We have repeatedly rejected
claims of prosecutorial misconduct involving the use of such epithets in guilt phase
arguments. (See, e.g., People v. Young (2005) 34 Cal.4th 1149, 1195, [no misconduct
where prosecutor characterized crimes as ' "serial killing," ' and ' "terrorizing and
killing" ' people] (italics omitted); People v. Jones (1998) 17 Cal.4th 279, 308–309 [no
ineffective assistance of counsel for failure to object to prosecutor's characterization of
defendant's crime as a "terrorist attack" and comparison of defendant to '[t]errorists'];
People v. Pensinger, supra, 52 Cal.3d 1210, 1250–1251, [no misconduct where
prosecutor referred to defendant as a ' "perverted maniac" '].) Here, as in those cases, we
conclude that these epithets, which were but fleeting characterizations in the course of
the prosecutor's very lengthy summations, did not constitute misconduct." (People v.
Arredondo asks that he be given the benefit of the current version of section
12022.53, subdivision (h), and that we remand so that the trial court may exercise the
discretion now provided by the statute. The Attorney General has conceded that
Arredondo is entitled to the benefit of the current version of section 12202.53,
subdivision (h). We accept the Attorney General's concession. Retrospective
application of a new penal statute is an exception to the general rule set forth in section 3,
which bars retroactive application of new penal code statutes unless the legislature has
6 In light of our disposition of the gang allegations, we need not reach the defendant's additional arguments attacking the jury's true findings. 19
expressly provided for such application. (People v. Brown (2012) 54 Cal.4th 314, 324–
325 (Brown).) However, a statute which lessens the penalty for a crime gives rise to an
inference the Legislature intended the change to apply to all nonfinal cases. (People v.
Superior Court (Lara) (2018) 4 Cal.5th 299, 308, fn. 5 (Lara); In re Estrada (1965) 63
Cal.2d 740, 745 (Estrada).) Provisions which give trial courts discretion to reduce a
sentence previously required by the Penal Code are nonetheless changes which benefit
offenders who committed particular offenses or engaged in particular conduct and
thereby manifest an intent by the Legislature that such offenders be given the benefit of
that discretion in all cases which are not yet final. (People v. Francis (1969) 71 Cal.2d
66, 76.) "[T]here is such an inference because the Legislature has determined that the
former penalty provisions may have been too severe in some cases and that the
sentencing judge should be given wider latitude in tailoring the sentence to fit the
particular circumstances." (Ibid.) In sum then, the very discretion now provided by
section 12022.53, subdivision (h), creates an inference the Legislature intended that in all
cases not yet final, offenders subject to the firearm enhancement set forth in section
12022.53 be given the benefit of that discretion. (Ibid.)
In addition to the discretion which the Legislature provided trial courts, we also
note that section 12022.53, subdivision (h) states that "[t]he authority provided by this
subdivision applies to any resentencing that may occur pursuant to any other law."
(Italics added.) By its express terms, this provision extends the benefits of SB 620 to
defendants who have exhausted their rights to appeal and for whom a judgment of
conviction has been entered but who have obtained collateral relief by way of a state or
20
federal habeas proceeding. We interpret this extension of SB 620 as an expression by the
Legislature of its understanding that it would also be applied to all cases which were not
final at the time it became effective. It is difficult to perceive a rationale for giving relief
to a defendant whose judgment might be several years old but who was a successful
habeas litigant and provide no relief to a defendant whose conviction was entered in a
trial court as recently as December 29, 2017.
In sum, the Legislature, in enacting SB 620 has made it clear it intended and
expected that its provisions would be applied to all cases pending at the time it became
effective and thus it is outside the general rule set forth in section 3. (See Brown, supra,
54 Cal.4th at p. 325.) Accordingly, on remand the trial court must determine whether
either or both the section 12202.53, subdivision (d) and subdivision (e) enhancements
found by the jury should be stricken under the current version of section 12022.53,
subdivision (h).
II.
Ramirez's Appeal
In addition to the issues raised by Arredondo, Ramirez contends the trial court
erred in admitting Arriola's testimony recapitulating what Arredondo told him while they
were in jail together. He argues the statement was hearsay and that it did not fall within
the exception for statements against penal interest. (Evid. Code, § 1230.) We disagree.
As we noted, Arredondo confessed to Arriola that he shot Renteria and Ramirez
then slit Renteria's throat. The statement, although it clearly implicated Ramirez as well
as Arredondo, was a statement someone in Arredondo's position would not have made
21
" 'unless he believed it to be true.' " (People v. Grimes (2016) 1 Cal.5th 698, 716; accord
People v. Smith (2017) 12 Cal.App.5th 766, 789.) Thus, it was admissible under
Evidence Code section 1230. (People v. Grimes, at 716; People v. Smith, at p. 789.)
III.
Both Arredondo and Ramirez argue the judgments against them should be
reversed in their entirety because the impact of cumulative errors deprived them of due
process of law. (See People v. Hill (1998) 17 Cal.4th 800, 844–848.) On appeal, we
have only found prosecutorial misconduct and have found that the conduct only requires
reversal of the jury's gang related findings. Thus, on appeal we are in no position to find
cumulative error. However, as indicated, our unwillingness to find ineffective assistance
of counsel on appeal, is without prejudice to Arredondo's right to establish it by way of
collateral proceedings. In this regard, if Arredondo is successful in establishing his claim
of ineffective assistance of counsel, he may wish to assert in those collateral proceedings
that the combination of prosecutorial misconduct and counsel's concession, if found to be
unreasonable, effectively deprived him of a fair trial. (Ibid.) 7
DISPOSITION
The jury's findings that the murder was committed for the benefit of or in
association with a criminal street gang within the meaning of sections 186.22, subdivision
(b) and section 12022.53, subdivision (e) are reversed and remanded for further
proceedings. The trial court's imposition of a firearm enhancement under section
7 We express no opinion with respect to whether Ramirez may also pursue such a claim in collateral proceedings. 22
12022.53, subdivision (d) is reversed and remanded and the trial court is directed to
exercise its discretion under section 12022.53, subdivision (h) with respect to that
enhancement as well as any enhancement found on remand under section 12022.53,
subdivision (e). In all other respects, the judgments of conviction are affirmed.
BENKE, Acting P. J.
WE CONCUR:
HALLER, J.
AARON, J.
23
BENKE, J., concurring.
I concur in both this panel's opinion and the result we have reached. I nonetheless
write separately to set forth my views with respect to retrospective application of Penal
Code 1 section 12022.53, subdivision (h), and, in particular, my strongly held opinion
that, guided by the Supreme Court in People v. Superior Court (Lara) (2018) 4 Cal.5th
299, 308, footnote 5 (Lara), we should abstain from any further reliance on a
presumption of retroactivity when the legislature adopts a measure which lessens or
potentially lessens the punishment for a crime.
Relying on In re Estrada (1965) 63 Cal.2d 740, 747–748 (Estrada) and People v.
Brown (2012) 54 Cal.4th 314, 324 (Brown), at least two recent cases have concluded that
in all nonfinal cases, in the absence of evidence to the contrary, courts must presume the
Legislature intends a statutory amendment reducing criminal punishment apply
retroactively. 2 There is no such presumption, either in the Penal Code or in the
governing law provided to us by the Supreme Court. Indeed, with respect to penal
statutes, even those reducing the punishment for certain crimes, our analysis must begin
with the contrary presumption. Section 3 clearly states, "No part of (the Penal Code) is
retroactive, unless expressly so declared." The presumption of prospective application is
not unique to the Penal Code. It appears in identical language in section 3 of the Civil
Code and section 3 of the Code of Civil Procedure. "[T]he language of section 3 erects a
1 All further statutory references are to the Penal Code.
2 (See People v. Robbins (2018) 19 Cal.App.5th 660; People v. Woods (2018) 19 Cal.App.5th 1080.)
strong presumption of prospective operation, codifying the principle that, 'in the absence
of an express retroactivity provision, a statute will not be applied retroactively unless it is
very clear from extrinsic sources that the Legislature . . . must have intended a retroactive
application.' [Citations.] Accordingly, ' "a statute that is ambiguous with respect to
retroactive application is construed . . . to be unambiguously prospective." ' " (Brown,
3 supra, 54 Cal.4th at p. 324.)
Neither section 12022.53 nor subdivision (h) contain language expressly stating
the statute is to be applied retroactively. Therefore, in the absence of evidence to the
contrary, the presumption to be applied is that section 12022.53, subdivision (h) is
3 The court in Brown recognized that language in Estrada, if literally or broadly applied, was inconsistent with the principles embodied in section 3. (Brown, supra, 54 Cal.4th at pp. 324–325.) Accordingly, in Brown, the court expressly limited the scope of Estrada: "Estrada is today properly understood, not as weakening or modifying the default rule of prospective operation codified in section 3, but rather as informing the rule's application in a specific context by articulating the reasonable presumption that a legislative act mitigating the punishment for a particular criminal offense is intended to apply to all nonfinal judgments." (Brown, at p. 324.) In Brown, the court went on to hold that a temporary increase in good conduct credits an inmate could earn under former section 4019 was not outside the mandate of section 3 and therefore would not be applied retrospectively. (Brown, at p. 325.) The credits were not mitigation of the punishment for a particular criminal offense, and thus, did not on their face suggest the Legislature intended that they apply to all nonfinal judgments. (Ibid; see also In re Pedro T. (1994) 8 Cal.4th 1041, 1045 ["[o]rdinarily when an amendment lessens the punishment for a crime, one may reasonably infer the Legislature has determined imposition of a lesser punishment on offenders thereafter will sufficiently serve the public interest." (Italics added.)]; accord People v. Nasalga (1996) 12 Cal.4th 784, 792.)
2
prospective. We may overcome this presumption only by examination of the
4 Legislature's intent in enacting the new statute.
The California Supreme Court recently addressed the application of Estrada. As
the court explains in Lara, "We have occasionally referred to Estrada as reflecting a
'presumption.' (E.g., Conley, supra, 63 Cal.4th at p. 656; [Brown, supra,] 54
Cal.4th . . . at p. 324.) We meant this to convey that ordinarily it is reasonable to infer for
purposes of statutory construction the Legislature intended a reduction in punishment to
apply retroactively." (Lara, supra, 4 Cal.5th at p. 308, fn. 5.) 5
The language of footnote 5 in Lara is significant and merits our careful
consideration. "A presumption is an assumption of a fact that the law requires to be
made from another fact or group of facts found or otherwise established in an action. A
4 The Supreme Court has been at some pains to emphasize for us that the question of whether a statute is to be given retrospective application is a matter of legislative intent. (See In re Pedro T., supra, 8 Cal.4th at pp. 1046–1047; People v. Nasalga, supra, 12 Cal.4th at pp. 793–794; People v. Conley (2016) 63 Cal.4th 646, 657–659; Brown, supra, 54 Cal.4th at p. 324 and Lara, supra, 4 Cal.5th at p. 308.) Indeed, in Estrada itself, the court emphasized: "The problem," we explained, "is one of trying to ascertain the legislative intent—did the Legislature intend the old or new statute to apply?" (Estrada, supra, 63 Cal.2d at p. 744.)
5 Indeed, quite recently in People v. DeHoyos (Mar. 12, 2018, S228230) __Cal.5th__ [2018 LEXIS 1496] (DeHoyos), such an occasion once again arose and the Supreme Court once again made reference to an "Estrada presumption," but nonetheless found no general retroactive application of the reduction of theft and drug crimes to misdemeanors as provided in Proposition 47 adopted by voters in 2014 because of the inference to be drawn from a procedure set forth in the proposition by which those serving felony sentences could have their convictions reduced by the trial court which imposed the sentence. (DeHoyos, supra, __Cal.5th at __.) I interpret these references in DeHoyos to a "presumption" to mean, as the court in Lara stated, the reasonable inference which arises when ameliorative penal statutes are enacted. 3
presumption is not evidence." (Evid. Code, § 600, subd. (a), italics added.) In contrast,
an inference is only a "deduction of fact that may logically and reasonably be drawn from
another fact or group of facts found or otherwise established in an action." (Id., subd. (b);
see also Morton v. Manhattan Lunch Co. (1940) 41 Cal.App.2d 70, 72 [an inference is a
form of indirect evidence].) Thus, the court's terminology marks an important
clarification in the way Estrada is to be applied, and avoids any conflict with section 3.
Because, in light of Lara, it is now clear Estrada simply recognized a permissible
evidentiary inference, Lara expressly limits the reach of Estrada; it does not, expand it.
(See Evid. Code, § 600.)
As our majority opinion points out, provisions which give trial courts discretion to
reduce a sentence previously required by the Penal Code are changes which benefit
offenders who committed particular offenses or engaged in particular conduct and, as in
Estrada, manifest an intent by the Legislature that such offenders be given the benefit of
that discretion in all cases which are not yet final. (People v. Francis (1969) 71 Cal.2d
66, 76.) "[T]here is such an inference because the Legislature has determined that the
former penalty provisions may have been too severe in some cases and that the
sentencing judge should be given wider latitude in tailoring the sentence to fit the
particular circumstances." (Ibid.)
When, as here, a criminal defendant argues he or she is entitled to the benefit of
new legislation, we must begin with the contrary presumption, expressly set forth in
section 3, that unless there is express language to the contrary, statues are prospective
only. If there is any ambiguity in the new enactment with respect to retroactivity we then
4
resolve that ambiguity by resort to familiar rules of statutory history and construction,
including the inference found by the court in Estrada, supra, 63 Cal.2d at p. 745. (See
also Brown, supra, 54 Cal.4th at pp. 324–325.) As our majority opinion points out, the
very discretion now provided by section 12022.53, subdivision (h), creates an inference
the Legislature intended that in cases not yet final, offenders subject to the firearm
enhancement set forth in section 12022.53 be given the benefit of that discretion. (People
v. Francis, supra, 71 Cal.2d at p. 76.) That inference is of course bolstered by that
portion of section 12022.53, subdivision (h), which now provides that "[t]he authority
provided by this subdivision applies to any resentencing that may occur pursuant to any
other law." (Italics added.)
In sum, it is not necessary or legally sound to employ a presumption that is at odds
with section 3. The Legislature, in enacting Senate Bill No. 620 has made it clear it
intended and expected that its provisions would be applied to all cases pending at the
time it became effective, and thus, it is outside the general rule set forth in section 3.
(See Brown, supra, 54 Cal.4th at p. 325.)
BENKE, Acting P. J.
5
AI Brief
AI-generated · verify before citing
Holding. The court held that while the prosecutor's repeated use of the term "cockroaches" to describe the defendants constituted misconduct by promoting guilt by association, the error did not require reversal of the murder convictions due to overwhelming evidence. However, the court reversed the gang findings and remanded for resentencing on the firearm enhancement.
Issues
Whether defense counsel provided ineffective assistance by conceding the defendant's guilt of felony murder.
Whether the prosecutor's repeated use of the term "cockroaches" constituted prejudicial misconduct.
Whether the gang findings and firearm enhancement should be reversed.
Disposition. Affirmed in part; reversed in part.
Quotations verified verbatim against the opinion
“There is no place in our system of justice for the notion of guilt by association or guilt for the acts of others.”