People v. North River Ins. Co.
People v. North River Ins. Co.
Opinion of the Court
The North River Insurance Company (North River) appeals from an order denying its motion to vacate forfeiture and exonerate a bail bond and from *789the subsequent judgment entered against it. North River contends that the trial court lost jurisdiction over the bond by failing to declare a forfeiture pursuant to Penal Code section 1305, subdivision (a)
II. PROCEDURAL BACKGROUND
On December 30, 2015, Chirinos waived arraignment in his criminal case and the trial court remanded him into custody, set bail at $50,000, and continued the matter to January 6, 2016. On January 6, 2016, Chirinos waived the statutory time requirements for his preliminary hearing and the trial court continued the case until February 3, 2016, keeping the bail as set. On January 14, 2016, Golden State Bail Bonds, an agent of North River, posted a $50,000 bail bond for Chirinos's release from custody. The bail receipt reflected that Chirinos's next court date was February 3, 2016.
Chirinos appeared in court on February 3, 2016, and the trial court continued the case until March 3, 2016. On March 3, 2016, with Chirinos present, the trial court set the case for preliminary hearing on April 7, 2016. On March 11, 2016, the district attorney filed a "notice of motion for release of documents pursuant to subpoena duces tecum, and declaration in support thereof," and calendared the motion to be heard on March 28, 2016. (Capitalization omitted.) The proof of service attached to the motion states that the public defender was served "by county pony mail." (Capitalization omitted.)
Chirinos did not appear at the March 28, 2016 hearing on the subpoenaed records. Instead, his attorney stated her appearance "on behalf of Mr. Chirinos, who is not present," and "ask[ed] that [Chirinos's] appearance be excused today." The trial court did not respond to counsel's request, but the "judge's notes" state, "[W]aived ?."
There is no minute order in the record for April 7, 2016, but the "judge's notes" for that date state, "?P," and indicate that the preliminary hearing was held and the case was set for arraignment on the information on April 18, *7902016. Chirinos was arraigned on April 18, 2016, and the matter was continued until June 27, 2016. *528Chirinos failed to appear at the June 27, 2016 court date, and on June 28, 2016, the trial court ordered the bond forfeited, to be final in 180 days unless Chirinos was surrendered to the court or into custody. On December 22, 2016, the bail agent moved to extend the 180-day forfeiture period. The hearing on the motion to extend the forfeiture period was continued until March 1, 2017, and then again until March 22, 2017.
On March 6, 2017, North River filed a motion to vacate forfeiture and exonerate the bail bond based on the trial court's failure to order bail forfeited on March 28, 2016, when Chirinos did not appear at the hearing on the subpoenaed records. The motion was initially calendared for March 22, 2017, but the hearing on the motion was continued several times, as was the hearing on the agent's motion to extend the forfeiture period.
The trial court heard North River's motion to vacate forfeiture and exonerate the bail bond and the agent's motion to extend the forfeiture period on April 19, 2017. The court denied the motion to vacate forfeiture and exonerate the bail bond, determining that a criminal defendant's "presence can be waived at a subpoena duces tecum hearing" and that Chirinos's "presence was waived. The judge's notes indicate that." The court found good cause to grant the agent's motion to extend the 180-day period and extended the forfeiture period until October 16, 2017.
North River filed a notice of appeal on October 13, 2017, appealing the trial court's denial of its motion to vacate forfeiture and exonerate the bond and the trial court's entry of "summary judgment." The trial court filed the judgment against North River on January 12, 2018.
III. DISCUSSION
North River contends that under section 1305, subdivision (a), the trial court was required to forfeit the bail bond when Chirinos did not appear at the hearing for the release of the subpoenaed records on March 28, 2016 because: (1) Chirinos's appearance at the hearing was required by section 977, subdivision (b) and former Santa Clara County Superior Court Local Rules, criminal rule 3(C)(1),
A. Legal Principles
"The forfeiture of bail and related proceedings are a matter of statutory procedure governed by sections 1305 through 1308. [Citation.] 'The object of bail and its forfeiture is to insure the attendance of the accused and his obedience to the orders and judgment of the court.' [Citation.] 'While bail bond proceedings occur in connection with criminal prosecutions, they are independent from and collateral *529to the prosecutions and are civil in nature.' [Citation.] In that regard, the bail bond itself is a ' "contract between the surety and the government whereby the surety acts as a guarantor of the defendant's appearance in court under the risk of forfeiture of the bond." ' [Citation.] When a defendant who posts bail fails to appear at a scheduled hearing, the forfeiture of bail implicates not just the defendant's required presence, but constitutes a 'breach of this contract' between the surety and the government. [Citation.] Ultimately, if the defendant's nonappearance is without sufficient excuse, it is the surety who 'must suffer the consequences.' [Citation.]" ( People v. Safety National Casualty Corp. (2016)
" Section 1305 [, subdivision] (a) provides in pertinent part: '(a) A court shall in open court declare forfeited the undertaking of bail or the money or property deposited as bail if, without sufficient excuse, a defendant fails to appear for any of the following: [¶] (1) Arraignment. [¶] (2) Trial. [¶] (3) Judgment. [¶] (4) Any other occasion prior to the pronouncement of judgment if the defendant's presence in court is lawfully required. [¶] (5) To surrender himself or herself in execution of the judgment after appeal.' (Italics added.) These two jurisdictional prerequisites-specifically, the defendant's failure to appear at an enumerated proceeding or on another occasion as 'lawfully required,' and the lack of a sufficient excuse for the defendant's nonappearance-must be met before the trial court may declare a forfeiture. [Citation.] If the court fails to declare a forfeiture at the time of the defendant's unexcused absence, it is without jurisdiction to do so later. [Citations.] However, the trial court may continue a case for a reasonable period without ordering a forfeiture of bail or issuing a bench warrant, if it *792'has reason to believe that sufficient excuse may exist' for the defendant's failure to appear. (§ 1305.1; [citation].)" ( Safety National , supra , 62 Cal.4th at pp. 709-710,
Section 1305 is " ' "subject to precise and strict construction" ' " ( People v. Amwest Surety (1997)
We review an order denying a motion to vacate a bond forfeiture de novo where, as here, the facts are uncontested and the issue concerns a pure question of law. ( County of Los Angeles v. Financial Casualty & Surety, Inc. (2018)
B. Analysis
This case requires us to determine whether Chirinos's appearance at the March 28, 2016 hearing on the release of the subpoenaed records was "lawfully required" ( § 1305, subd. (a)(1)(D) ) and, if so, whether there was "sufficient excuse" for his nonappearance (§ 1305.1).
1. Chirinos's Appearance Was "Lawfully Required" Under Section 1305, Subdivision (a)(1)(D)
North River argues that the March 28, 2016 hearing on the subpoenaed records was an "other proceeding[ ]" within the meaning of section 977, subdivision (b) and that because Chirinos had not executed a written waiver of his right to be present, he was lawfully required to attend the hearing, rendering his nonappearance *530a basis on which to forfeit bail under section 1305, subdivision (a)(1)(D).
In Safety National , the California Supreme Court "conclude[d] ... that for purposes of section 1305, a defendant's presence at an 'other proceeding[ ]' under section 977 [, subdivision] (b)(1) constitutes a 'lawfully required' appearance for which his or her unexcused absence may justify the forfeiture of bail." ( Safety National , supra , 62 Cal.4th at p. 716,
Section 977, subdivision (b)(1) states, in pertinent part: "[I]n all cases in which a felony is charged, the accused shall be personally present at the arraignment, at the time of plea, during the preliminary hearing, during those portions of the trial when evidence is taken before the trier of fact, and at the time of the imposition of sentence. The accused shall be personally present at all other proceedings unless he or she shall, with leave of court, execute in open court, a written waiver of his or her right to be personally present, as provided by paragraph (2)...." (Italics added.) The California Supreme Court observed in Safety National that "[t]he five mandatory proceedings described in ... section 977 [, subdivision] (b)(1) (arraignment, plea, preliminary hearing, trial, sentencing) reflect the Legislature's concern that the felony defendant be present at case-related proceedings that occur in open court. Likewise, with respect to 'all other proceedings' at which the defendant seeks to be absent, the standard waiver form set out in section 977, subdivision (b)(2) contemplates a situation where a defendant is absent from court. " ( Safety National , supra , 62 Cal.4th at p. 716,
*531County counsel argues that the hearing on the subpoenaed records was "simply a local practice which allow[ed] the subpoenaing party to unilaterally set a motion for the release of documents" before the next previously scheduled court appearance. However, the California Supreme Court has explained regarding the third-party discovery process that *794" '[d]ocuments and records in the possession of nonparty witnesses and government agencies other than the agents or employees of the prosecutor are obtainable by subpoena duces tecum.' [Citation.] In civil actions, documents produced in response to a subpoena duces tecum for business records may be delivered to the clerk of the court or, at the election of the subpoenaing party, made available for inspection and copying at the witness's business address. ( Evid. Code, § 1560, subds. (b), (e).) This rule does not apply, however, in criminal actions." ( Kling v. Superior Court (2010)
" '[I]n a criminal action, no party, attorney or representative of a party, may issue a subpoena commanding the custodian of records or otherwise qualified witness of a business to provide books, papers, documents, or records, or copies thereof, relating to a person or entity other than the subpoenaed person or entity in any manner other than that specified in subdivision (b) of Section 1560 of the Evidence Code ' ( Pen. Code, § 1326, subd. (c) ), which provides for delivery of the materials to the clerk of the court. (See also Pen. Code, § 1326, subd. (b) [the option of making the documents available for inspection and copying at the witness's business address ( Evid. Code, § 1560, subd. (e) ) 'shall not apply to criminal cases'].) This restriction maintains the court's control over the discovery process, for if the third party 'objects to disclosure of the information sought, the party seeking the information must make a plausible justification or a good cause showing of the need therefor.' [Citations.]" ( Kling , supra , 50 Cal.4th at pp. 1074-1075,
Thus, the hearing on the subpoenaed records was not akin to the "sidebars at the bench or conferences in chambers, i.e., those proceedings that do not occur in open court and that are often impromptu and unscheduled," that the Supreme Court suggested were not within the scope of section 977, subdivision (b)(1). ( Safety National , supra , 62 Cal.4th at p. 716,
Importantly, section 977's use of "the statutory term 'at all other proceedings'
*532does not distinguish between critical and noncritical proceedings. [Citation.] To the contrary, the broadly phrased term suggests the provision's reach is inclusive, i.e., subsuming those court proceedings not specifically listed in section 977." ( Safety National , supra , 62 Cal.4th at p. 712,
County counsel asserts that "[a] defendant's presence can be considered lawfully required when a court orders the defendant's appearance at a date and time certain [citation], or when a defendant has actual notice of a mandatory appearance because the defendant was present when the date and time were set [citation]." County counsel correctly observes that the trial court did not order Chirinos to appear and the hearing was not scheduled when Chirinos was present.
However, in Safety National , the California Supreme Court stated that "[f]or purposes of section 1305, [subdivision] (a), a defendant's presence may be deemed 'lawfully required' when a specific court order commands his or her appearance at a date and time certain [citations], or when a defendant has actual notice of a mandatory appearance-even without a court order-because he or she was present when the date and time of the appearance was set [citation]. [Citation.] The question in this case is whether defendant['s] ... appearance at a scheduled pretrial hearing could be 'lawfully required' by another provision of law , namely, section 977 [, subdivision] (b)(1). In other words, was defendant['s] ... appearance 'otherwise required by law.' [Citations.]" ( Safety National , supra , 62 Cal.4th at p. 710,
In sum, we conclude that the March 28, 2016 hearing on the subpoenaed records qualified as an "other proceeding[ ]" within the meaning of section 977, subdivision (b). Thus, Chirinos's presence at the hearing "constitute[d] a 'lawfully required' appearance for which his ... unexcused absence may [have] justif[ied] the forfeiture of bail." ( Safety National , supra , 62 Cal.4th at p. 716,
2. The Record Does Not Support Trial Court's Implicit Finding of "Sufficient Excuse"
We must next determine whether there was "sufficient excuse" for Chirinos's *533nonappearance at the subpoena hearing, such that the trial court did not lose jurisdiction to forfeit the bond at a later date. (§ 1305.1; see Safety National , supra , 62 Cal.4th at p. 710,
While a trial court ordinarily must "declare an immediate forfeiture upon the nonappearance of a defendant," it may delay taking this step if there is sufficient excuse for a defendant's failure to appear. ( People v. United Bonding Ins. Co. (1971)
"[A] defendant's failure to appear without explanation is presumptively without sufficient excuse." ( United Bonding , supra , 5 Cal.3d at p. 907,
Representations by defense counsel often provide a rational basis for a trial court's finding of sufficient excuse. (See Amwest Surety , supra , 56 Cal.App.4th at pp. 924-925,
On the other hand, "silent records provide no grounds to justify continuing a hearing without declaring a forfeiture of bail when the defendant fails to appear." ( Ranger , supra , 108 Cal.App.4th at p. 952,
Here, the record is silent regarding the reason for Chirinos's nonappearance on March 28, 2016. When the case was called, defense counsel stated her appearance and noted that Chirinos was not present. She then said, "I'd ask that his appearance be excused today." No reason for the request was *798given and the trial court did not respond on the record to the request. The "judge's notes" for the hearing state, "[W]aived ?."
Analogizing this case to Financial Casualty , supra ,
Although there is no evidence in the record that Chirinos had actual notice of the hearing date, notice to him can be inferred from the actual notice to defense counsel, who was served with the district attorney's motion and appeared at the March 28, 2016 hearing. (See People v. Jimenez (1995)
For these reasons, the trial court was obligated to declare a forfeiture of the bond when Chirinos failed to appear at the March 28, 2016 hearing on the subpoenaed records. Because the trial court did not declare a forfeiture on March 28, 2016, the bond was exonerated as a matter of law and the trial court's forfeiture of the bond *535on June 28, 2016 was in excess of its jurisdiction. *799IV. DISPOSITION
The order is reversed, and the trial court is directed to vacate the forfeiture and exonerate the undertaking.
WE CONCUR:
ELIA, ACTING P. J.
MIHARA, J.
All further statutory references are to the Penal Code unless otherwise indicated.
The "judge's notes" were attached as an exhibit to the district attorney's opposition to North River's motion to vacate forfeiture and exonerate the bail bond. The handwritten notes appear in a log kept for each court appearance that provides the court date, department, name of counsel, and disposition.
Former Santa Clara County Superior Court Local Rules, criminal rule 3(c)(1) was renumbered to criminal rule 2(A)(1), effective January 1, 2019.
North River also asserts that Chirinos was obligated to attend the hearing under former Santa Clara County Superior Court, Local Rules, criminal rule 3(C)(1), which stated: "Consistent with Penal Code § 977, in felony cases, the defendant must be present each time his/her matter is called in Court, including when matters are submitted, unless a written waiver is on file. Absent a written waiver of appearance, failure of the defendant to appear will result in the issuance of a bench warrant. A written waiver of appearance shall not relieve a defendant from appearing at the Arraignment, Preliminary Examination, at the time of Plea, Master Trial Calendar (MTC), motions under Penal Code § 1050, and Sentencing." Because we determine that Chirinos's appearance at the subpoena hearing was required under section 977, subdivision (b), we do not address whether the local court rules also rendered Chirinos's presence at the hearing "lawfully required" within the meaning of section 1305, subdivision (a)(1)(D).
Case-law data current through December 31, 2025. Source: CourtListener bulk data.