People v. Superior Court of Riverside Cnty.
People v. Superior Court of Riverside Cnty.
Opinion
*396 *303 Real party in interest, Pablo Ullisses Lara, Jr. (hereafter, defendant), was charged in criminal (or adult) court with sex crimes allegedly committed in 2014 and 2015 when he was 14 and 15 years old. 1 The law then in effect permitted the prosecutor to charge the case directly in adult court. In November 2016, after the charges were filed, the electorate passed Proposition 57, the "Public Safety and Rehabilitation Act of 2016" (Proposition **24 57). Proposition 57 prohibits prosecutors from charging juveniles with crimes directly in adult court. Instead, they must commence the action in juvenile court. If the prosecution wishes to try the juvenile as an adult, the juvenile court must conduct what we will call a "transfer hearing" to determine whether the matter should remain in juvenile court or be transferred to adult court. Only if the juvenile court transfers the matter to adult court can the juvenile be tried and sentenced as an adult. (See Welf. & Inst. Code, § 707, subd. (a).) 2
We must decide whether this part of Proposition 57 applies retroactively to benefit defendant. In
In re Estrada
(1965)
Because the Court of Appeal reached a similar result, although for different reasons, we affirm the judgment.
I. PROCEDURAL HISTORY
On June 10, 2016, the Riverside County District Attorney filed an information in adult court charging defendant with kidnapping for rape, oral copulation, and sodomy; forcible oral copulation with a child *397 under 14 years of age; and two counts of forcible sodomy. Defendant has not yet been tried, but the charges are based on sex crimes defendant allegedly committed against a girl who was seven and eight years old when the crimes occurred.
On November 8, 2016, the electorate passed Proposition 57, and it took effect the next day. ( Cal. Const., art. II, § 10, subd. (a).) On November 16, 2016, defendant requested the matter be transferred to juvenile court for a "fitness hearing" pursuant to Proposition 57. After a hearing, on November 29, 2016, the trial court granted the motion, holding that Proposition 57 applies retroactively to this case. It issued a short stay to permit the People to seek writ review in the Court of Appeal.
Three days later, the People filed the instant writ petition in the Court of Appeal challenging the trial court's order and seeking an additional stay. On March 13, 2017, the Court of Appeal issued an opinion denying the petition. (
People v. Superior Court (Lara)
(2017)
In the meantime, because the trial court stay expired and the Court of Appeal did not issue its own stay, matters continued at the trial court level. The trial court suspended proceedings in the adult court and ordered defendant released from custody unless the People commenced a juvenile court proceeding within 48 hours. The next day, the People filed a petition in juvenile court alleging defendant committed the crimes already charged in adult court and requesting a hearing to transfer the matter back to adult court. The juvenile court held the hearing but denied the People's request to transfer the matter back to adult court. A contested jurisdictional hearing was scheduled in juvenile court for April 20, 2017.
**25 *305 The People filed a petition for review and requested a stay. On April 19, 2017, we stayed all further proceedings in the juvenile and adult courts pending further order of this court. Later, we granted the petition for review to decide whether Proposition 57's juvenile law provisions apply retroactively to cases filed in adult court before it took effect. 3
II. DISCUSSION
A. Background
"Historically, a child could be tried in criminal court only after a judicial determination, before jeopardy attached, that he or she was unfit to be dealt with under juvenile court law. Since 1975 the procedural requirements for fitness hearings have been established by section 707." (
Juan G. v Superior Court
(2012)
Amendments to former sections 602 and 707 in 1999 and 2000, some by initiative, changed this historical rule. Under the
*398
changes, in specified circumstances, prosecutors were permitted, and sometimes required, to file charges against a juvenile directly in criminal court, where the juvenile would be treated as an adult. (
Manduley v. Superior Court
,
supra
, 27 Cal.4th at pp. 548-551,
Proposition 57 changed the procedure again, and largely returned California to the historical rule. "Among other provisions, Proposition 57 amended the Welfare and Institutions Code so as to eliminate direct filing by prosecutors. Certain categories of minors ... can still be tried in criminal court, but only after a juvenile court judge conducts a transfer hearing to consider various factors such as the minor's maturity, degree of criminal sophistication, prior delinquent history, and whether the minor can be rehabilitated.
*306
Welf. & Inst. Code, § 707, subd. (a)(1).)" (
People v. Vela
(2017)
We must decide whether this requirement of a transfer hearing before a juvenile can be tried as an adult applies to defendant even though he had already been charged in adult court before Proposition 57 took effect. The question has potentially major consequences for juveniles like defendant. While a person convicted of serious crimes in adult court can be punished by a long prison sentence, juveniles are generally treated quite differently, with rehabilitation as the goal.
The Vela court summarized the procedures in the juvenile court system. "Generally, any person under the age of 18 who is charged with violating a law is considered a 'minor.' (See § 602.) A 'juvenile court' is a separate, civil division of the superior court. (§ 246.) A prosecutor charges a minor with an offense by filing a juvenile petition, rather than a criminal complaint. (See §§ 653.7, 655.) Minors 'admit' or 'deny' an offense, rather than plead 'guilty' or 'not guilty.' (§ 702.3.) There are no 'trials,' per se, in juvenile court, rather there is a 'jurisdictional hearing' presided **26 over by a juvenile court judge. ( § 602.) The jurisdictional hearing is equivalent to a 'bench trial' in a criminal court. (See Cal. Rules of Court, rule 5.780.) Although a juvenile court judge adjudicates alleged law violations, there are no 'conviction[s]' in juvenile court. (§ 203.) Rather, the juvenile court determines-under the familiar beyond the reasonable doubt standard and under the ordinary rules of evidence-whether the allegations are 'true' and if the minor comes within its jurisdiction. (See § 602 et seq. )
"There is no 'sentence,' per se, in juvenile court. Rather, a judge can impose a wide variety of rehabilitation alternatives after conducting a 'dispositional hearing,' which is equivalent to a sentencing hearing in a criminal court. (§ 725.5;
In re Devin J.
(1984)
With this background in mind, we now consider whether defendant properly received the benefit of Proposition 57.
B. Whether Proposition 57 Applies to Defendant
"The Legislature ordinarily makes laws that will apply to events that will occur in the future. Accordingly, there is a presumption that laws apply prospectively rather than retroactively. But this presumption against retroactivity is a canon of statutory interpretation rather than a constitutional mandate. (
Evangelatos v. Superior Court
(1988)
In
Estrada
,
supra
,
In
Francis
,
supra
,
We recently summarized
Estrada
's meaning. "The
Estrada
rule rests on an inference that, in the absence of contrary indications, a legislative body ordinarily intends for ameliorative changes to the criminal law to extend as broadly as possible, distinguishing only as necessary between sentences that are final and sentences that are not." (
People v. Conley
,
supra
, 63 Cal.4th at p. 657,
Proposition 57's effect is different from the statutory changes in
Estrada
,
supra
,
In
Vela
,
supra
,
"Here, for a minor accused of a crime, it is a potential 'ameliorating benefit' to have a neutral judge, rather than a district attorney, determine that he or she is unfit for rehabilitation within the juvenile justice system. While a district attorney has an obligation to be objective and impartial, the duty of that position is also to act as a zealous advocate. (
People v. Eubanks
(1996)
"Applying the reasoning of
Estrada
, we find that by its approval of Proposition 57, ... the electorate has 'expressly determined' that the former system of direct filing was 'too severe.' (
Estrada
,
supra
, 63 Cal.2d at p. 745,
Vela
also cited
Francis
,
supra
,
We agree with
Vela
that
Estrada
's inference of retroactivity applies here. Proposition 57 is an "ameliorative change[ ] to the criminal law" that we infer the legislative body intended "to extend as broadly as possible." (
Conley
,
supra
, 63 Cal.4th at p. 657,
After finding that the defendant was entitled to a transfer hearing, the
Vela
court considered the remedy. It began by noting that the "jury's convictions,
*310
as well as its true findings as to the sentencing enhancements, will remain in place. Nothing is to be gained by having a 'jurisdictional hearing,' or effectively a second trial, in the juvenile court." (
Vela
,
supra
, 11 Cal.App.5th at p. 81,
Specifically, the
Vela
court ordered as follows: "Here, under these circumstances, Vela's conviction and sentence are conditionally reversed and we order the juvenile court to conduct a juvenile transfer hearing. ( § 707.) When conducting the transfer hearing, the juvenile court shall, to the extent possible, treat the matter as though the prosecutor had originally filed a juvenile petition in juvenile court and had then moved to transfer Vela's cause to a court of criminal jurisdiction. ( § 707, subd. (a)(1).) If, after conducting the juvenile transfer hearing, the court determines that it would have transferred Vela to a court of criminal jurisdiction because he is 'not a fit and proper subject to be dealt with under the juvenile court law,' then Vela's convictions and sentence are to be reinstated. (§ 707.1, subd. (a).) On the other hand, if the juvenile court finds that it would
not
have transferred Vela to a court of criminal jurisdiction, then it shall treat
*402
Vela's convictions as juvenile adjudications and impose an appropriate 'disposition' within its discretion." (
Vela
,
supra
, 11 Cal.App.5th at p. 82,
With one exception, other Courts of Appeal, including the Court of Appeal in this case, have rejected
Estrada
's application, although two, including the Court of Appeal in this case, have granted the same relief under the theory that the defendant is entitled to a transfer hearing even applying Proposition 57 prospectively. (
People v. Suarez
(2017)
The courts finding
Estrada
inapplicable generally believed that a recent decision from this court precluded them from concluding otherwise. (
People v. Brown
,
supra
,
We agree with the
Vela
court's distinction of
Brown
,
supra
,
In language the People and some of the Courts of Appeal cite, we "note[d] the limited role
Estrada
properly plays in our jurisprudence of prospective versus retrospective operation." (
Brown
,
supra
, 54 Cal.4th at p. 324,
*312
Indeed, in
Brown
itself, we went on to explain that the statute at issue-involving credits for future behavior-is not "analogous" to the
Estrada
situation, and
Estrada
's"logic" does not apply. (
Brown
,
supra
, 54 Cal.4th at p. 325,
The People also cite
Conley
,
supra
,
We explained that "the Legislature (or here, the electorate) may choose to modify, limit, or entirely forbid the retroactive application of ameliorative criminal law amendments if it so chooses." (
Conley
,
supra
, 63 Cal.4th at p. 656,
One Court of Appeal cited the complexity inherent in providing a transfer hearing to juveniles whose cases are already pending in adult court as another reason to deny such a hearing. (
People v. Superior Court (Walker)
,
supra
, 12 Cal.App.5th at pp. 704-705 & fn. 20,
We agree the appropriate remedy can be somewhat complex. But complexity is inherent when juveniles are to be treated as adults. The procedure Proposition 57 imposes-filing the matter first in juvenile court, requesting and conducting a transfer hearing, then transferring the matter to adult court-is far more complex than the procedure for adults-simply filing the case in adult court. Moreover, the remedy that Penal Code section 1170.17 provides for juveniles charged directly in adult court but convicted only of some lesser charge-discussed in the next paragraph-is rather complex. But we believe remedies like those provided in Vela and Cervantes are readily understandable, and the courts involved can implement them without undue difficulty. The potential complexity in providing juveniles charged directly in adult court with a transfer hearing is no reason to deny the hearing.
Amicus curiae San Diego County District Attorney cites Penal Code section 1170.17, which Proposition 57 left unaffected, to support its argument that the proposition does not apply retroactively. Section 1170.17 provided protection to juveniles who were properly charged directly in adult court but then convicted only of a charge or charges that would not permit or require such direct filing, or possibly not permit treatment as an adult at all. Generally, when that happens, section 1170.17 requires the trial court either to have the juvenile treated as a juvenile (if **31 the conviction is for a crime that does not permit treatment as an adult) ( Pen. Code, § 1170.17, subd. (d) ; see id ., § 1170.19, subd. (b)), or to hold a hearing, similar to a fitness hearing, to determine whether the juvenile should continue to be treated as an adult ( Pen. Code, § 1170.17, subds. (b), (c) ). Amicus curiae argues that, because today no charge may be filed directly in adult court, persons like defendant, who were not convicted before Proposition 57 took effect, will always receive the equivalent of a fitness hearing (or automatic treatment as a juvenile). By leaving this provision intact, amicus curiae further argues, the voters intended not to apply Proposition 57 retroactively.
We need not decide how Penal Code section 1170.17 might apply post-Proposition 57, for its continuing existence does not overcome the inference of retroactivity. That section was drafted for a different procedural posture than Proposition 57 and is a poor fit both textually and practically for a *314 Proposition 57 remedy. Textually, subdivision (c) of section 1170.17 applies *405 to juveniles whose convictions and age make them subject to a "rebuttable presumption" of juvenile-court fitness. But as amended by Proposition 57, Welfare and Institutions Code section 707 no longer establishes any such rebuttable presumption of fitness, thus suggesting the voters did not intend hearings under Penal Code section 1170.17 to replace Proposition 57 transfer hearings. Moreover, as a practical matter, postponing juvenile court proceedings until after the juvenile has been convicted in adult court, as occurs under Penal Code section 1170.17, would entail conducting jury trials that will, in some cases, then be obviated by proceedings in the juvenile court. That the voters intended to create such a wasteful system is unlikely.
Additionally, in two respects, Penal Code section 1170.17 is far less favorable to juveniles than Proposition 57. First, under Penal Code section 1170.17, the juvenile is treated as an adult at least until conviction in adult court and, depending on the exact nature of the ultimate conviction, even then would continue to be treated as an adult unless and until the court ordered juvenile treatment; under Proposition 57, the juvenile is initially treated as a juvenile and can be treated as an adult only if and when a court transfers the matter to adult court. Second, under amicus curiae's interpretation of Penal Code section 1170.17, a juvenile who was convicted before Proposition 57 took effect can never benefit from that section. Nothing in that section's continuing existence rebuts Estrada 's inference of retroactivity.
For these reasons, we conclude that defendant properly received the benefit of Proposition 57.
III. CONCLUSION
The Court of Appeal erred in rejecting the application of
Estrada
,
supra
,
We also disapprove the Court of Appeal's opinion in this case (
People v. Superior Court (Lara)
,
supra
,
WE CONCUR:
CANTIL-SAKAUYE, C.J.
CORRIGAN, J.
LIU, J.
CUÉLLAR, J.
KRUGER, J.
ROBIE, J. *
We will use the terms "adult court" and "criminal court" interchangeably to refer to the court system for adults and juveniles who are tried as adults, and to distinguish that system from the juvenile court system, where most juvenile matters are handled.
All further statutory citations are to the Welfare and Institutions Code unless otherwise indicated.
The Court of Appeal issued its opinion, which it believed established the law of the case, after receiving an informal response but without issuing an order to show cause or holding oral argument. (
Lara
,
supra
, 9 Cal.App.5th at pp. 757-773,
The hearing to determine whether a juvenile may be treated as an adult used to be called a "fitness hearing." (E.g.,
Manduley v. Superior Court
,
supra
, 27 Cal.4th at p. 546,
We have occasionally referred to
Estrada
as reflecting a "presumption." (E.g.,
People v. Conley
,
supra
, 63 Cal.4th at p. 656,
Associate Justice of the Court of Appeal, Third Appellate District, assigned by the Chief Justice pursuant to article VI, section 6 of the California Constitution.
Reference
- Full Case Name
- The PEOPLE, Petitioner, v. the SUPERIOR COURT of Riverside County, Respondent; Pablo Ullisses Lara, Jr., Real Party in Interest.
- Cited By
- 606 cases
- Status
- Published