Harris v. Superior Court of San Joaquin Cnty.
Harris v. Superior Court of San Joaquin Cnty.
Opinion of the Court
*145This is a petition for writ of mandate by petitioner Homer Laron Harris after the Appellate Division of the Superior Court of San Joaquin County (Appellate Division) summarily denied the appointment of counsel to represent him in his appeal of a restitution order in connection with a misdemeanor conviction. We conclude that appellate counsel should be appointed to represent petitioner on appeal. Accordingly, we shall issue a writ of mandate directing the Appellate Division to vacate its order denying petitioner's request for appointed counsel and enter a new order granting that *146request. In doing so, we conclude that an order requiring the payment of restitution is a "significant adverse collateral consequence" within the meaning of California Rules of Court, rule 8.851(a)(1)(A),
FACTUAL AND PROCEDURAL HISTORY
Superior Court Proceedings
On April 6, 2016, the district attorney filed an amended complaint charging petitioner with misdemeanor corporal injury to a spouse/cohabitant/parent of child ( Pen. Code, § 273.5, subd. (a) ; count 1);
On November 21, 2016, petitioner, through appointed counsel who represented defendant at the restitution hearing, filed a notice of appeal of the trial court's restitution order and requested the appointment *195of counsel to represent him on appeal. The form created by the Judicial Council to request counsel, and used here, instructs defendants in item 3 to "[d]escribe the punishment the court gave you/your client in this case (check all that apply and fill in any required information) ." Only the box labeled "Restitution" was checked and $1,571.32 was filled in on the line provided for the amount of restitution ordered. The form further instructs in item 4: "Describe any significant harm that you are/your client is likely to suffer because of this conviction ." In response, the form submitted on defendant's behalf stated: "[Petitioner] faces serious financial harm as a result of the restitution judgment rendered in this case. The amount of restitution ordered is exponential; and the statutory standard, used to determine the restitution amount, was not upheld. Accordingly, such a judgment not only jeopardizes [petitioner's] financial well-being, but could later affect his credit should any sort of civil judgment be imposed." *147The Appellate Division summarily denied petitioner's request for appointed counsel.
Writ Proceedings
Petitioner filed in this court the instant petition for writ of mandate and request for a stay, arguing that he had a right to appeal the restitution order because he was likely to suffer "significant adverse collateral consequences" from the order and therefore had a right to the appointment of counsel under California Rules of Court, rule 8.851.
In the People's return to order to show cause, the Attorney General conceded that pursuant to rule 8.851(a)(1)(A), "[d]espite the fact that petitioner's request for counsel failed to properly describe all of the punishment imposed in his case, the appointment of counsel is required because *196his sentence included jail time and fines totaling $735." Accordingly, the Attorney General conceded the petition for writ of mandate should be granted. Petitioner filed a traverse to the Attorney General's return, accepting the People's concession but maintaining he was also entitled to relief under the "original theory argued-that the restitution amount ordered was a collateral *148consequence that rendered substantial harm." We address that issue to clarify that an order requiring the payment of restitution in the amount ordered here is a "significant adverse collateral consequence" within the meaning of rule 8.851.
DISCUSSION
I. Significant Adverse Collateral Consequences
Rule 8.851 sets forth the standards for appointment of counsel in misdemeanor appeals. The Appellate Division "must" appoint counsel for a misdemeanor appellant who "is likely to suffer significant adverse collateral consequences as a result of the conviction[ ] and [¶] [w]as represented by appointed counsel in the trial court or establishes indigency." ( Rule 8.851(a)(1) & (a)(1)(A), italics added; see fn. 3, ante .)
The phrase, "significant adverse collateral consequences" is not defined in the rule or elsewhere in the Rules of Court. Further, there is no published case law interpreting this phrase in the rule. We do so here.
In interpreting the language of the rule, we apply traditional rules of statutory interpretation. ( Rossa v. D.L. Falk Construction, Inc. (2012)
It is not clear what the Judicial Council meant by using the word "collateral" to describe the adverse consequences that trigger a right to the appointment of *197appellate counsel. "A dictionary is a proper source to determine the usual and ordinary meaning of a word or phrase in a statute." ( E. W. Bliss Co. v. Superior Court (1989)
The Attorney General points out that "collateral consequences" is a term used in the context of plea advisement requirements and argues that the same definition must be applied in rule 8.851(a)(1)(A). As we shall explain, this conflation is untenable and would result in absurd consequences we conclude could not have been intended by the Judicial Council.
In addition to advising a criminal defendant of his or her constitutional rights, California trial courts must also advise defendants of the "direct" consequences of a guilty or no contest plea. ( People v. Gurule (2002)
Since victim restitution is a direct consequence, not a collateral consequence in the plea advisement context, the Attorney General argues petitioner is not entitled to the appointment of counsel to challenge a restitution order on appeal. As noted, a consequence is direct if it "has ' " 'a *151definite, immediate and largely automatic effect on the range of the defendant's punishment.' " ' " ( Moore, supra , 69 Cal.App.4th at p. 630,
We note there is no indication that the Judicial Council intended to import the "collateral consequences" doctrine from the plea advisement case law when drafting rule 8.851. Our only available direct insight into the Judicial Council's intent is an advisory committee report recommending the adoption of the rule, which does not address the meaning of the phrase either. (Judicial Council of Cal., Advisory Com. Rep., Appellate Procedure: Rules and Forms for the Superior Court Appellate Divisions, Feb. 6, 2008, pp. 41-42, at < http://www.courts.ca.gov/documents/022208item7.pdf> [as of August 9, 2017] (Advisory Committee Report).)
*199While the Attorney General urges us to apply the dichotomy of "direct" and "collateral consequences" from the plea advisement cases to prevent appointment of counsel under rule 8.851, we look to how the term "collateral consequences" has been used in the context of appeals and conclude the meaning of "collateral consequences" more likely intended by the Judicial Council is illustrated in mootness cases involving criminal appeals. For example, in People v. Valencia (2014)
While, as we have noted, we have no direct insight into the Judicial Council's intended meaning, our construction of the rule is consistent with the Judicial Council form used to request counsel. Form CR-133 (rev. Mar. 1, 2014), in plain English states in the "Instructions" section: "The court is required to appoint a lawyer to represent you on appeal only if you cannot afford to hire a lawyer and [¶] (1) your punishment includes going to jail or paying a fine of more than $500 (including penalty and other assessments), or [¶] (2) you are likely to suffer other significant harm as a result of being convicted." Item 4 of the form calls for a description of "any significant harm " the defendant is likely to suffer as a result of the conviction. The use of the phrases "other significant harm" and "any significant harm" demonstrates a broader meaning of the term "collateral consequences" than advocated by the Attorney General and would seem to include restitution orders. This view is further confirmed by item 3 on the form calling for *201a description of the punishment the trial court gave the defendant. That section includes boxes not only for "Restitution," but also "Probation," another consequence that would be considered a direct consequence under the plea advisement body of law.
We note that there are additional consequences that result from a restitution order which could be ameliorated by an appeal, and these consequences must be considered "collateral" even under the Attorney General's conception of that term. An order to pay restitution is deemed a money judgment and enforceable as if it were a civil judgment. (§§ 1202.4, subd. (i), 1214, subd. (b).) Restitution orders from misdemeanor cases are enforceable in the *154same manner as a money judgment in a limited civil case. (§ 1214, subd. (c); Code Civ. Proc. § 582.5.) Section 1214, subdivision (b), gives victims "access to all resources available under the law to enforce the restitution order," including: access to the defendant's financial records, information regarding the defendant's assets and wage garnishment, and lien procedures.
Our analysis does not end with the definition of "collateral consequences." Rule 8.851(a)(1)(A) requires that the adverse consequences a defendant is likely to suffer be "significant." As pertinent here, "significant" is defined as: "2. Having or likely to have a major effect; important ... 3. Fairly large in amount or quantity." (American Heritage Dict. (5th ed. 2016) p. 1630.) The amount of restitution ordered here was $1,571.32. We have no trouble deeming that amount "significant" within the meaning of the rule because it is over three times as much as the statutory threshold for fines of $500. ( Rule 8.851(a)(1)(A).) Restitution is similar to (but not the same as) a fine in this context, serving rehabilitative and deterrent purposes, in addition to compensating the victim. ( People v. Hume (2011)
II. Incarceration and Fine
DISPOSITION
The petition for writ of mandate is granted. Let a peremptory writ issue directing the respondent court to: (1) vacate its order denying petitioner's request for the appointment of counsel to represent him on appeal, and (2) enter a new order granting that request. The previously issued stay is vacated upon finality of the opinion.
We concur:
RAYE, P.J.
NICHOLSON, J.
Undesignated rule references are to the California Rules of Court.
Undesignated statutory references are to the Penal Code in effect at the time of the charged offenses.
Rule 8.851 provides as follows: "(a) Standards for appointment [¶] (1) On application, the appellate division must appoint appellate counsel for a defendant convicted of a misdemeanor who: [¶] (A) Is subject to incarceration or a fine of more than $500 (including penalty and other assessments), or who is likely to suffer significant adverse collateral consequences as a result of the conviction; and [¶] (B) Was represented by appointed counsel in the trial court or establishes indigency. [¶] (2) On application, the appellate division may appoint counsel for any other indigent defendant convicted of a misdemeanor. [¶] (3) A defendant is subject to incarceration or a fine if the incarceration or fine is in a sentence, is a condition of probation, or may be ordered if the defendant violates probation." (Boldface omitted & italics added.)
The following is a non-exclusive list of other direct consequences for which an advisement must be given under California's judicially declared rule of criminal procedure: the potential maximum sentence, including fines (Bunnell, supra, 13 Cal.3d at p. 605,
The following is a non-exclusive list of collateral consequences for which no advisement need be given prior to defendant entering a guilty or no contest plea: the conviction resulting from the plea may be used to enhance a sentence for a future conviction (Gurule, supra, 28 Cal.4th at pp. 634-635,
The report did note a public comment recommending that the committee add a definition for "significant adverse collateral consequences." (Advisory Committee Report, at pp. 375-376.) The committee did not indicate an intent to employ the definition of collateral consequences relevant to plea advisement in response to that comment. Rather, the committee response was that it would consider this recommendation during the next committee year. (Id. at p. 374.) We can find no indication in subsequent reports related to rule 8.851 that this ever occurred.
In pertinent part, former section 1210.1, subdivision (d), in effect at the time provided as follows: "(d) Dismissal of charges upon successful completion of drug treatment [¶] (1) At any time after completion of drug treatment, a defendant may petition the sentencing court for dismissal of the charges. If the court finds that the defendant successfully completed drug treatment, and substantially complied with the conditions of probation, the conviction on which the probation was based shall be set aside and the court shall dismiss the indictment, complaint, or information against the defendant. In addition, except as provided in paragraphs (2) and (3), both the arrest and the conviction shall be deemed never to have occurred. Except as provided in paragraph (2) or (3), the defendant shall thereafter be released from all penalties and disabilities resulting from the offense of which he or she has been convicted. [¶] (2) Dismissal of an indictment, complaint, or information pursuant to paragraph (1) does not permit a person to own, possess, or have in his or her custody or control any firearm capable of being concealed upon the person or prevent his or her conviction under Section 12021. [¶] (3) Except as provided below, after an indictment, complaint, or information is dismissed pursuant to paragraph (1), the defendant may indicate in response to any question concerning his or her prior criminal record that he or she was not arrested or convicted for the offense. Except as provided below, a record pertaining to an arrest or conviction resulting in successful completion of a drug treatment program under this section may not, without the defendant's consent, be used in any way that could result in the denial of any employment, benefit, license, or certificate. [¶] Regardless of his or her successful completion of drug treatment, the arrest and conviction on which the probation was based may be recorded by the Department of Justice and disclosed in response to any peace officer application request or any law enforcement inquiry. Dismissal of an information, complaint, or indictment under this section does not relieve a defendant of the obligation to disclose the arrest and conviction in response to any direct question contained in any questionnaire or application for public office, for a position as a peace officer as defined in Section 830, for licensure by any state or local agency, for contracting with the California State Lottery, or for purposes of serving on a jury." (Italics added.)
Additionally, section 1214, subdivision (b), gives victims the right to receive on request a certified copy of the restitution order and defendant's financial disclosure.
See footnote *, ante.
Reference
- Full Case Name
- Homer Laron HARRIS v. The SUPERIOR COURT of San Joaquin County, Respondent The People, Real Party in Interest.
- Cited By
- 8 cases
- Status
- Published