In re Butler
In re Butler
Opinion
People convicted of noncapital murder and certain other criminal offenses in California serve indeterminate sentences that run from a minimum number of years to life, making release possible before the end of their life. The Board of Parole Hearings (the Board) decides, subject to relevant statutory provisions and review by the Governor, whether such prisoners are suitable for release. This case concerns the interaction of those statutory provisions with a settlement agreement arising from litigation about the Board's procedures. While serving an indeterminate prison term, Roy Butler filed a petition for writ of habeas corpus on December 12, 2012, alleging in part that the Board had a responsibility to avoid parole determinations leading to grossly disproportionate prison terms. In 2013, petitioner Roy Butler and respondent, the Board, agreed to a settlement requiring the Board to calculate the "base terms" of an inmate serving an indeterminate sentence for use at the inmate's initial parole hearing. At the time of the settlement agreement, "base terms" governed the earliest possible release date for inmates serving indeterminate sentences. Since then, changes to California's criminal justice system have altered the relevant statutory landscape, such that "base terms" no longer govern the release date of inmates subject to indeterminate sentences.
The question before us is whether those statutory developments warrant modification of the settlement order to relieve the Board of any separate obligation to calculate "base terms" under the agreement. The Court of Appeal concluded the answer was no, so the settlement order could remain in force despite the statutory changes. We disagree. The settlement agreement was premised on the idea that "base terms" played some role-defined by statute-in determining release dates for those sentenced to indeterminate terms. Given this premise, the elimination of "base term" calculations from any such role is a sufficiently material change that it not only justifies-but in this case, requires-modification of the settlement by the Court of Appeal.
The Court of Appeal also concluded that specific "base term" calculations were necessary to assure life prisoners would not suffer constitutionally excessive punishment. Here too, we differ with the appellate court. Base term calculations no longer play a role in the public safety assessments undertaken by the Board to determine the release dates for inmates sentenced to indeterminate terms, and are not designed or obviously well-suited as a tool for avoiding unconstitutionally long terms of incarceration. And, at least to some extent, these inmates are protected against disproportionate punishment through other means, such as provisions ending indeterminate sentences when individuals have served the statutory minimum term and have been found suitable for release. In light of the state's current sentencing regime and the existence of parole procedures focusing on public safety determinations, the Board is not constitutionally required to continue calculating base terms as required in the settlement order. Accordingly, we reverse the Court of Appeal.
I.
Petitioner Roy Butler was convicted of second degree murder in 1988. What Butler told detectives at the time of his arrest is that he and acquaintance Lanzester Hymes decided to attack Richard Davis because Davis had been abusing his girlfriend Jane Woods, a friend of Butler's. On September 28, 1987, Butler and Hymes armed themselves with knives and went to the apartment that Davis, Hymes, and Woods shared. According to Butler, he was hiding inside the bathroom when Hymes fatally stabbed Davis. After Butler pleaded guilty, he received a sentence of 15 years to life. Butler became eligible for parole in 1997, but the parole authority denied his application for parole at that hearing and at several subsequent hearings. After the Board denied his application at a hearing in February 2012, Butler filed a petition for writ of habeas corpus, which led to the case before us.
Prior to 1977, California used an "indeterminate" sentencing regime for the vast majority of felonies. (
In re Dannenberg
(2005)
The state largely abandoned this system when it adopted a mostly "determinate" sentencing regime in 1976. (
Dannenberg
,
supra
, 34 Cal.4th at p. 1078,
When this action commenced, a previous version of section 3041 governed the Board's authority to set release dates for indeterminately-sentenced offenders. (Former § 3041 ; see also
Dannenberg
,
supra
, 34 Cal.4th at pp. 1078-1079,
To implement this duty, the Board adopted regulations for each indeterminate sentence offense. These regulations expressly rely on and reference section 3041 as enabling authority. (See, e.g., Cal. Code Regs., tit. 15, §§ 2280 [listing section 3041 as a statutory reference], 2400 ["This article
implements Penal Code section 3041"].) One such set of regulations applies to noncapital murder committed on or after November 8, 1978. (
Id.
, § 2400 et seq.;
Dannenberg
,
supra
, 34 Cal.4th at pp. 1078-1079,
A base term is calculated using matrices that appear in said regulations. For murder, the matrix's horizontal axis presents general
descriptions of the cause of the victim's death.
3
The vertical axis lists possible descriptions of the relationship between the inmate and victim.
4
The first step in calculating the base term is to determine which intersection of the horizontal and vertical axes is "most closely related to the circumstances of the crime." ( Cal. Code Regs., tit. 15, § 2403, subd. (a).) Each intersection then lists three alternative sentences-a lower, middle, and upper base term. For example, a second degree murder committed after November 8, 1978, through a "Direct" mechanism and against a victim with whom the inmate had a "Prior Relationship" would yield base term alternatives of 17, 18, or 19 years. (
Under this version of the regulatory scheme, the Board begins its assessment of an inmate's earliest possible release date by calculating his or her adjusted base term. These regulations allow the Board to then postpone the release date if the inmate has other convictions ( Cal. Code Regs., tit. 15, §§ 2407 - 2409 ) or to advance it for any postconviction credits the inmate has received. (
Id.
, § 2410.) It is this final date that determines when an inmate found suitable for parole may be released. Under these regulations, a parolee cannot be released until the inmate has served at least this amount of time. (
Id.
, § 2411, subds. (a), (b); see also
In re Vicks
(2013)
In 2012, Butler filed a petition in propria persona for writ of habeas corpus in the First District Court of Appeal. (
In re Butler
(2015)
In the case dedicated to Butler's challenge of the Board's determination that he was unsuitable for parole, the Court of Appeal ultimately granted habeas corpus relief.
5
(
In re Butler
,
supra
, 236 Cal.App.4th at p. 1228, fn. 2,
In the meantime, the parties began settlement negotiations in the case addressing Butler's claim that the Board violated his constitutional rights by declining to calculate his base term. (
In re Butler
,
supra
, 236 Cal.App.4th at pp. 1228-1229,
In the years since the parties settled the case before us, legislators and the electorate made major changes to California's criminal justice system. Three of those changes are potentially relevant to the issues before us. First, Senate Bill No. 260 became effective on January 1, 2014. (Stats. 2013, ch. 312.) Under this law, inmates who committed indeterminate sentence offenses before turning 18 years old would "be paroled regardless of the manner in which the [B]oard set release dates pursuant to subdivision (a) of Section 3041." (§ 3046, subd. (c).) The result is that youth offenders are released once found suitable for parole, regardless of the minimum sentence that the offender's base term would otherwise provide. In 2018, the Legislature extended the benefits of Senate Bill No. 260 to inmates who committed offenses at 25 years of age or younger. (Stats. 2017, ch. 675.)
Second, the Board altered its treatment of certain elderly inmates to comply with a February 2014 federal court order. (See Plata v. Brown (N.D. Cal. Feb. 10, 2014, No. 3:01-cv-01351-JST).) The order required the Board to "[f]inalize and implement" new parole procedures for inmates who are at least 60 years old and who have served sentences of 25 years or more. ( Id. at p. 3 ¶4(e).) In response, the Board announced expedited parole hearings for those elderly inmates who have served a minimum of 25 years and a new policy of considering an inmate's advanced age, long-term confinement, and diminished physical condition in determining their suitability for parole. (See Board of Parole Hearings, Cal. Dept. of Corrections and Rehabilitation, Elderly Parole Program (June 16, 2014) p. 2.) 8 Accordingly, as of June 2014, elderly inmates are also paroled upon a finding of suitability, regardless of what limit base terms would otherwise impose on the inmates' release dates.
Third-and most significantly-the Legislature enacted Senate Bill No. 230 in 2015. (Stats. 2015, ch. 470.) This legislation excised the language from former section 3041, subdivision (a) requiring the Board to set parolees' release dates "in a manner that will provide uniform terms for offenses of similar gravity and magnitude with respect to their threat to the public"-the very language on which the Board relied in devising the base term system. Senate Bill No. 230 provided instead that "[u]pon a grant of parole, the inmate shall be released subject to all applicable review periods. However, an inmate shall not be released before reaching his or her minimum eligible parole date as set pursuant to Section 3046." ( § 3041, subd. (a)(4) ; Stats. 2015, ch. 470, § 1.) In turn, section 3046 provides that an inmate shall not be released until the inmate has served the greater of (1) seven years, or (2) a minimum term set by relevant statute, if one exists. 9 (§ 3046, subd. (a).) Because of this legislation, base terms no longer control the release date for nonyouthful, nonelderly inmates either. Instead, those inmates' indeterminate terms end when the inmate is both (1) found suitable for parole and (2) has served their statutory minimum term (subject, of course, to the Board's internal review procedures and the Governor's power to reverse a grant of parole or request further review (see §§ 3041, subd. (b), 3041.1, 3041.2 ) ).
The most important aspect of these changes, for present purposes, is that base terms no longer play a defined role in determining the release date for any inmate sentenced to an indeterminate term.
After SB 230 went into effect in January 2016, the Board moved to modify the December 2013 settlement agreement. According to the Board, it should be relieved of its obligations to calculate base terms and promulgate new regulations for calculating base terms at an inmate's initial parole hearing. In essence, the Board argued that changes to the statutory scheme eliminated the Board's authority or need to calculate base terms. The Court of Appeal denied the motion. It declined to modify the settlement order on the basis that the order "does not conflict" with any subsequent changes to the parole hearing process. The court also reasoned that the calculation of base terms was necessary to "assure life prisoners will not suffer constitutionally excessive punishment."
We granted the Board's petition for review. 10 We must now decide whether the changes discussed above are sufficiently material to require modification of the Board's obligations to calculate inmates' base terms.
II.
The parties' settlement in this case was given effect in an injunctive order over which the Court of Appeal retained jurisdiction. Courts retain power to vacate or modify such orders at any point. (See
Sontag Chain Stores Co. v. Superior Court
(1941)
Whether changes in the law or circumstances affecting this case require modification of the injunctive order is a question sharply dividing the parties. Postsettlement changes to California's criminal justice system are at issue here, principally the fact that base terms no longer directly control the release date for indeterminately-sentenced inmates. The Board argues that these changes are sufficiently material because they have "emptied base terms of any meaning and function." Butler, by contrast, argues that modification is appropriate only when an injunctive order "conflicts with or violat[es]" current law. And, Butler continues, far from conflicting with these subsequent developments, the settlement order in fact furthers their purpose of reducing the state's prison population.
The Court of Appeal did not modify the injunction order. In continuing to embrace the stipulated agreement as it stood before the recent raft of legal changes, the court observed that the agreement did not directly conflict with the new legal regime and held that the changes in the law were not sufficiently material to warrant modification. Yet in so concluding, the appellate court did not fully consider the extent to which the intervening legal changes have undermined the settlement's foundational assumptions, even if the changes fell short of creating an actual conflict with the settlement.
In its argument, the Board relies on cases involving injunctions that conflict with current law. These cases can be distinguished from what is before us. In
Salazar
, for example, the trial court entered an injunctive order barring school districts for charging fees for transportation to and from school. (
Salazar
,
supra
, 9 Cal.4th at pp. 844-845,
see also
id.
at p. 850,
This case is different. Although the relevant statutes and regulations have changed since the settlement, the Board faces no direct conflict between the injunctive order and existing statutes. Senate Bill No. 260 and Assembly Bill No. 1308 require that youth offenders be released once found suitable for parole-irrespective of any base term calculations. (Stats. 2013, ch. 312; Stats. 2017, ch. 675.) And under the Elderly Parole Program, eligible elderly inmates who have served a minimum of 25 years may be released to parole if they are found suitable, regardless of what limit base terms would have otherwise imposed on the inmates' release dates. Finally, Senate Bill No. 230 requires that an inmate's sentence ends once he is found suitable for parole and he has served his statutory minimum term. (Stats. 2015, ch. 470.) The order does not, as in Salazar and System Federation , prevent the bound party from doing something that it unquestionably has a right to do under current law. Instead, it requires the Board to do something that no longer has any apparent significance under its own statutes or regulations. For this reason, we think the cases on which the Board relies are inapposite.
But neither does Butler persuade when he contends modification of a continuing injunction
requires
a conflict between the injunction and current law. To support this argument, Butler cites
Firefighters v. City of Cleveland
(1986)
Also rejected by the U.S. Supreme Court was the union's contention that a consent decree can only order relief that a court could impose itself after trial. (
Firefighters
,
supra
, 478 U.S. at p. 525,
Contrary to what Butler's contention implies, flexibility is a touchstone of a court's power to modify an injunctive order. (See Code Civ. Proc., § 533 [allowing for modification based on "a material
change in the facts" or even simply because "the ends of justice would be served by the modification"]; see also
Sontag Chain Stores
,
supra
, 18 Cal.2d at p. 95,
Changes of such magnitude are consequential enough to require the settlement agreement's modification. Although the new sources of law differ in certain details, 12 all three are similar in establishing parole regimes that do not rely on an inmate's base term. Together, they create a new legal landscape wherein base terms no longer play a defined role in the Board's determination of parolee release dates. This is no trifling change. The terms to which the Board agreed in 2013 were significant, but they were also limited: the Board agreed to calculate, at an earlier time and regardless of suitability for parole, inmates' base terms-something that the Board's regulations anticipated at some point for most inmates subject to indeterminate sentences. Our conclusion might be different if the agreement reflected the parties' agreement regarding how the Board could comply, for example, with a responsibility to implement judicially-recognized constitutional principles in undertaking statutory parole determinations. But it is clear that the settlement agreement emanated from the then-existing statutory and regulatory structure and embodied, at best, an agnostic reading as to whether base terms had legal significance outside of that structure. The agreement expressly defines "base term" and "adjusted base term" by reference to the regulations that imbued those terms with legal significance. These regulations in turn reference section 3041, the statute that Senate Bill No. 230 amended. (See, e.g., Cal. Code Regs., tit. 15, § 2400 ["This article implements Penal Code section 3041"].) By citing these regulations, the settlement evinces an agreement that base terms have legal significance because they were pivotal in determining release dates for indeterminately-sentenced inmates. And advising inmates of their base terms had the salutary rehabilitative effect of informing each inmate of his or her earliest possible release date, if found suitable for parole.
This review of the settlement agreement readily showcases how base terms were relevant in the settlement agreement for a specific reason. To wit: they were relevant in the existing regulatory structure. Indicia from the agreement, as well as the contemporary statutory and regulatory scheme, reveal that the settlement relied on base terms having legal significance within that framework. Specifically, an inmate's calculated release date commenced with his or her adjusted base term, as contemplated in the settlement agreement. When that agreement was drafted, the Board was required by statute to set a provisional "parole release date" founded on "criteria" that would "provide
uniform terms" for similar offenses. (Former § 3041, subd. (a).) The Board implemented that statutory mandate by promulgating regulations requiring the calculation of a base term, using a matrix that measured the seriousness of the offense and adjusted for aggravating or mitigating circumstances. (
Dannenberg
,
supra
, 34 Cal.4th at p. 1078,
That base terms had some role to play in the sentencing regime strikes us as a "controlling fact[ ]" on which the injunction rested. (
Sontag Chain Stores
,
supra
, 18 Cal.2d at p. 95,
In holding that the postsettlement changes were not material, the Court of Appeal focused on whether the stipulated settlement "conflict[ed]" with the new legal regime. What this approach ignores is that Code of Civil Procedure section 533 provides for modification of an injunctive order not only in instances of conflict but also upon a "material change in the facts." The state's parole regime has changed significantly enough to warrant relieving the Board of its obligations, even in the absence of a direct conflict between the settlement and current law. (See
Sontag Chain Stores
,
supra
, 18 Cal.2d at p. 95,
We would be compelled to uphold the original injunction if constitutional considerations required the Board to calculate inmates' base terms. And indeed, the Court of Appeal also based its ruling on the motion to modify the injunction on the theory that base terms are necessary to "assure life prisoners will not suffer constitutionally excessive punishment." What we nonetheless find is that, notwithstanding the importance of judicially-articulated constitutional considerations relevant to the Board's functions, there is no constitutional basis to require continued adherence to the injunctive provisions obligating the Board to calculate base terms. We thus hold that the Court of Appeal also abused its discretion in ordering the Board to continue calculating base terms as a constitutional requirement.
An inmate serving an indeterminate sentence has a constitutional right to a sentence not disproportionate to his or her offense. (See
In re Lynch
(1972)
Under the cruel or unusual punishment clause (art. I, § 17) of the California Constitution, there is no question that an inmate sentenced to an indeterminate term cannot be held for a period grossly disproportionate to his or her individual culpability. (
Dannenberg
,
supra
, 34 Cal.4th at p. 1096,
Dannenberg
declined to construe the state Constitution as requiring the Board to set maximum terms, across the board, for the serious offenders currently subject to indeterminate sentences. For good reason: To do otherwise would have effectively undone, without sufficient constitutional justification, the legislative design associated with limited continued use of indeterminate sentences in California for a circumscribed group of offenders. Although
Dannenberg
did not weaken the constitutional requirement against grossly disproportionate sentences, it made clear that our prior ruling in
Rodriguez
imposing on the Board a general duty to fix maximum terms for indeterminate sentences was motivated by the more "comprehensive indeterminate sentencing system" that was in effect at that time. (
Dannenberg
,
supra
, 34 Cal.4th at p. 1096,
Given these changes, we see no reason to nonetheless enshrine base terms as constitutionally required. The Board promulgated base term regulations in response to the Legislature's instruction to establish "criteria" that would promote sentence uniformity for inmates serving lifetime sentences. (
Dannenberg
,
supra
, 34 Cal.4th at pp. 1078-1079,
Butler urges us to eschew
Dannenberg
's reasoning because its interpretation construed the prior version of section 3041. Butler is indeed correct that much of the opinion discusses language in former section 3041, subdivision (a) that Senate Bill No. 230 excised. (
Dannenberg
,
supra
, 34 Cal.4th at pp. 1078-1095,
In effect, California's current and mostly determinate sentencing laws, along with statutory reforms to the parole process, have all but rendered specific base term calculations for individuals subject to parole determinations unnecessary as a means of ensuring against unconstitutionally excessive punishment. Plainly, defendants retain the ability to perform the base term calculation or something equivalent and submit it to the Board for consideration. Moreover, the Board retains responsibility to take account, in its parole determinations, of public safety concerns that a base term calculation could have illuminated. (See Cal. Code Regs., tit. 15, § 2281, subd. (a) [explaining that the standard for parole suitability is whether "the prisoner will pose an unreasonable risk of danger to society if released from prison"].) For example, the Board was required, in calculating base terms for certain life offenses, to consider factors such as the crime's "threat to the public," as well as mitigating or aggravating circumstances. ( Cal. Code Regs., tit. 15, § 2403, subd. (g).) But it can take account of such concerns without calculating base terms.
III.
The settlement agreement approved by the parties in 2013 required the Board to calculate an inmate's base term at his or her initial parole hearing. At the time the parties ratified that agreement, a calculated base term directly impacted the release date for inmates serving indeterminate life sentences. Not so today. Instead, the release date for indeterminately-sentenced adult inmates-like Butler-is now guided by the date when an inmate has served the statutory minimum term and is found suitable for parole based on statutory public safety-related criteria, subject to limited exception. These changes to California's criminal justice system do not diminish the societal interest in avoiding arbitrary parole determinations. They do, however, dictate that base terms no longer directly control the release date for prisoners subject to indeterminate sentences. That these statutory changes are material to these parties' agreement requires, legally and practically, modification of the injunctive order by the Court of Appeal. Moreover, sentencing in California involves primarily determinate sentences and parole determinations involving public safety considerations-so specific base term calculations are not a constitutionally necessary measure for guarding inmates serving indeterminate sentences against disproportionate punishment. We reverse the judgment of the Court of Appeal and order the settlement agreement modified so that the Board of Parole Hearings is relieved of its obligations to calculate base terms and adjusted base terms.
WE CONCUR:
CANTIL-SAKAUYE, C.J.
CHIN, J.
CORRIGAN, J.
LIU, J.
KRUGER, J.
RUBIN, J. *
Indeterminate sentences of life imprisonment are also authorized for some felonies less serious than murder under, for example, the Three Strikes Law. (See Pen. Code, §§ 667.5, subd. (e)(2)(A), 1170.12, subd. (c)(2)(A) ; see also, e.g.,
All subsequent statutory citations are to the Penal Code, unless otherwise noted.
For example, the categories on the horizontal axis of the matrix for second degree murders committed after November 8, 1978, range from "Indirect" (e.g., "shock producing heart attack") to "Direct or Victim Contribution" (e.g., "[d]eath was almost immediate") to "Severe Trauma" (e.g., "beating, clubbing"). (Cal. Code Regs., tit. 15, § 2403, subd. (c).)
Here, the categories for second degree murder committed after November 8, 1978, range from "Participating Victim" (e.g., "[v]ictim was accomplice") to "Prior Relationship" to "No Prior Relationship." (Cal. Code Regs., tit. 15, § 2403, subd. (c).)
We ordered to depublish the Court of Appeal opinion granting Butler habeas corpus relief. ( In re Butler , S217457, Supreme Ct. Mins., June 11, 2014.)
For good reason, neither side argues that this case became moot once Butler was released. The parties agreed to settle Butler's suit regarding base term calculations before Butler was released. Thus, his subsequent release has not mooted this action. A judgment is not moot if it "affects [the parties'] rights in the future." (
Eye Dog Foundation v. State Board of Guide Dogs for Blind
(1967)
The Board has never promulgated the regulations that it agreed to enact in the settlement. After the Board filed its petition for review, the Court of Appeal stayed the Board's rulemaking obligations under the settlement agreement.
The Legislature recently codified these procedures under the Elderly Parole Program. (See Pen. Code, § 3055.)
For example, the minimum term for second degree murder is either 15, 20, or 25 years, depending on the circumstances of the offense. (§ 190, subds. (a), (b), (d).)
Butler argues we should dismiss our grant of review to penalize the Board for, according to Butler, willfully violating the settlement order. (See
Gwartz v. Weilert
(2014)
Butler failed, however, to preserve these issues for our consideration. He did not file a petition for review or assert in his answer to the Board's petition that we should address these issues. (See Cal. Rules of Court, rule 28.1(c).) It is true that Butler did raise them in his answer to the petition for review, but only as a reason why the case did not warrant our review. Bringing up such an issue in this manner does not adequately preserve it for our review. (See
Scottsdale Ins. Co. v. MV Transp
. (2005)
The thrust of the union's objection was that the consent decree would require the City to promote some minority firefighters who had not themselves been denied a promotion for discriminatory reasons. (
Firefighters
,
supra
, 478 U.S. at p. 514,
For example, youth offenders are exempt from Senate Bill No. 230's requirement that inmates found suitable for parole nonetheless serve a statutorily-prescribed minimum sentence. (See § 3046, subd. (c).)
In its July 27, 2016 order denying the motion to modify the stipulated agreement, the Court of Appeal also recognized that base terms do not represent inmates' maximum terms of incarceration (acknowledging that "the base term no longer represents the maximum term that can actually be imposed on a life prisoner").
Associate Justice of the Court of Appeal, Second Appellate District, Division Eight, assigned by the Chief Justice pursuant to article VI, section 6 of the California Constitution.
Reference
- Full Case Name
- In RE Roy BUTLER on Habeas Corpus.
- Cited By
- 32 cases
- Status
- Published