Category Archives: Sentencing

Elements of crime, Sentencing, Standard of review, Sufficiency of and substantial evidence

Case: 000433

Posted on by Gary McCurdy

Error and/or relief

It was error to deny defendant’s petition for recall of sentence under section 1172.6, because substantial evidence does not support the trial court’s findings that he was a major participant who acted with reckless indifference to human life.

First Holding:

Effective January 1, 2019, SB 1437 (2017-2018 Reg. Sess.) overhauled the state’s murder statutes to more equitably sentence offenders according to their involvement in homicide offenses. It amended section 188 to require that a principal act with express or implied malice and amended section 189 to state that a person can be liable for felony murder only if: (1) the person was the actual killer; (2) the person, with an intent to kill, was an aider or abettor in the commission of murder in the first degree; or (3) the person was a major participant in the underlying felony and acted with reckless indifference to human life.

These ameliorative changes eliminated murder based on the natural and probable consequences doctrine or other imputed malice theories based solely on a person’s participation in a crime and narrowed the first degree felony murder rule. The Legislature has since expanded eligibility for relief to those convicted of manslaughter. Individuals convicted under the former law may seek retroactive relief under the law as amended pursuant to section 1172.6 Where the trial court issues an order to show cause and holds an evidentiary hearing, the prosecution bears the burden of proving, beyond a reasonable doubt, that the petitioner is guilty of murder under California law as amended by the changes to section 188 or 189.

Authority:

SB 1437

PEN 1172.6

PEN 188(a)(3) [Malice shall not be imputed to a person based solely on his or her participation in a crime]

People v. Strong (2002) 13 Cal.5th 698, 707 [SB 1437 significantly limited the scope of the felony-murder rule]

Second Holding:

We review the denial of a section 1172.6 petition following an evidentiary hearing for substantial evidence. Our job on review is different from the trial judge’s job in deciding the petition. While the trial judge must review all the relevant evidence, evaluate and resolve contradictions, and make determinations as to credibility, all under the reasonable doubt standard, our job is to determine whether there is any substantial evidence, contradicted or uncontradicted, to support a rational fact finder’s findings beyond a reasonable doubt.

We examine the entire record in the light most favorable to the judgment to determine whether it contains substantial evidence—that is, evidence that is reasonable, credible, and of solid value that would support a rational trier of fact in finding the defendant guilty beyond a reasonable doubt. We do not reweigh the evidence or revisit credibility issues, but rather presume in support of the judgment the existence of every fact that could reasonably be deduced from the evidence. Where the circumstances reasonably justify the trier of fact’s findings, a reviewing court’s conclusion the circumstances might also reasonably be reconciled with a contrary finding does not warrant the judgment’s reversal.

Authority:

People v. Emanuel (2025) 17 Cal.5th 867, 885

People v. Clements (2022) 75 Cal.App.5th 276, 298

People v. San Nicolas (2004) 34 Cal.4th 614, 657-658

People v. Pham (2009) 180 Cal.App.4th 919, 924-925

People v. Zamudio (2008) 43 Cal.4th 327, 358

Third Holding:

When SB 1437 amended Penal Code section 189 to incorporate major participation and reckless indifference requirements, it codified the understanding of those requirements elucidated in Banks and Clark. Banks and Clark, in turn, utilized Tison and Enmund as guideposts to delineate the contours of the major participant and reckless indifference standards for felony murder.

Banks and Clark laid out nonexclusive lists of factors that a court may consider when determining whether a defendant is a major participant in felony murder, or acted with reckless indifference to human life. No one of the Banks or Clark factors is necessary, nor is any one of them necessarily sufficient to establish a defendant was a major participant or acted recklessly indifferent to a grave risk of death during an offense.

Authority:

People v. Banks (2015) 61 Cal.4th 788, 803

People v. Clark (2016) 63 Cal.4th 522, 616, 618

Tison v. Arizona (1987) 481 U.S. 137

Enmund v. Florida (1982) 458 U.S. 782

People v. Strong (2002) 13 Cal.5th 698, 710

Fourth Holding:

Reckless indifference to human life is implicit in knowingly engaging in criminal activities known to carry a grave risk of death. It encompasses a willingness to kill or to assist another in killing to achieve a distinct aim, even if the defendant does not specifically desire that death as the outcome of his actions.

Recklessness has both a subjective and an objective component. Subjectively, the defendant must consciously disregard risks known to him. Objectively, recklessness is determined by what a law-abiding person would observe in the actor’s situation, that is, whether defendant’s conduct involved a gross deviation from the standard of conduct that a law-abiding person in the actor’s situation would observe. Participation in a garden-variety armed robbery, i.e., one in which the only factor supporting a reckless indifference finding is that a participant was armed with a gun, is insufficient without more to establish reckless indifference.

Authority:

People v. Clark (2016) 63 Cal.4th 522, 616-617

People v. Emanuel (2025) 17 Cal.5th 867, 884

In re Scoggins (2020) 9 Cal.5th 667, 677 [the fact a participant or planner of an armed robbery could anticipate lethal force might be used is not sufficient to establish reckless indifference to human life]

Amelioration, Elements of crime, Sentencing, Standard of review, Sufficiency of and substantial evidence, Vicarious liability

Case: 000432

Posted on by Gary McCurdy

Error and/or relief

It was error to deny the petition for recall of sentence for attempted murder under section 1172.6 because there was insufficient evidence of intent to kill. We reverse the order denying the petition and remand the matter with directions for the trial court to grant the resentencing petition, vacate the attempted murder conviction, and resentence on the remaining charges.

First Holding:

The Legislature enacted SB 1437 (2017–2018 Reg. Sess.) to eliminate the natural and probable consequences doctrine and to limit application of the felony murder rule. Except in cases of felony murder, a principal must act with malice aforethought to be convicted of murder, and malice shall not be imputed to a person based solely on his or her participation in a crime. A defendant convicted of murder or attempted murder under a now-invalid theory may petition the sentencing court to have his or her conviction vacated and to be resentenced on any remaining counts under section 1172.6.

Authority:

PEN 188(a)(3)

People v. Curiel (2023) 15 Cal.5th 433, 448–449

People v. Strong (2022) 13 Cal.5th 698, 708

Second Holding:

At the evidentiary hearing, the prosecution bears the burden to prove beyond a reasonable doubt that the defendant is guilty of murder or attempted murder under a currently valid theory. If the prosecution fails to sustain its burden of proof, the prior conviction, and any allegations and enhancements attached to the conviction, shall be vacated and the petitioner shall be resentenced on the remaining charges.

Authority:

PEN 1172.6(d)(3)

Third Holding:

We review the trial court’s factual findings following a section 1172.6(d) hearing for substantial evidence. We review the entire record in the light most favorable to the court’s order to determine whether any rational trier of fact could find the defendant guilty beyond a reasonable doubt.

Authority:

People v. Clements (2022) 75 Cal.App.5th 276, 298

People v. Manibusan (2013) 58 Cal.4th 40, 87

Fourth Holding:

To prove the crime of attempted murder, the prosecution must establish ‘the specific intent to kill and the commission of a direct but ineffectual act toward accomplishing the intended killing. To be guilty of attempted murder, the defendant must intend to kill the alleged victim, not someone else. A defendant cannot be convicted of attempting to kill someone if the defendant is not aware that person is present. Because direct evidence of a defendant’s intent is rare, intent to kill may be inferred from the defendant’s acts and the circumstances of the crime.

Authority:

People v. Canizales (2019) 7 Cal.5th 591, 602

People v. Mumin (2023) 15 Cal.5th 176, 191

People v. Ibarra (2024) 106 Cal.App.5th 1070, 1079

People v. Smith (2005) 37 Cal.4th 733, 741

Fifth Holding:

A defendant may be convicted of attempted murder as a direct aider and abettor. To be convicted under such a theory, the defendant must give aid or encouragement with knowledge of the direct perpetrator’s intent to kill and with the purpose of facilitating the direct perpetrator’s accomplishment of the intended killing—which means that the person guilty of attempted murder as an aider and abettor must intend to kill.

Authority:

People v. Nguyen (2015) 61 Cal.4th 1015, 1054

Sixth Holding:

Without any evidence that someone inside the co-defendant’s car targeted or otherwise shot at another person when they fired the underlying shots, we can only speculate as to whether the defendant acted with the intent to kill. Speculation is not substantial evidence.

Authority:

People v. Waidla (2000) 22 Cal.4th 690, 735

Seventh Holding:

The trial court also improperly relied on its own experience as a former gang prosecutor when it denied the petition, noting that it had prosecuted several cases against members of a gang in the 1990’s in explaining why it found that the defendant acted with the intent to kill. The court’s personal experience is not evidence.

Authority:

Abatti v. Imperial Irrigation Dist. (2020) 52 Cal.App.5th 236, 286

Eighth Holding:

When admitting a sentencing enhancement, the defendant admits only the facts necessary to establish the enhancement’s elements.

Authority:

People v. Estrada (2024) 101 Cal.App.5th 328, 338

Duty of the court, Sentencing

Case: 000431

Posted on by Gary McCurdy

Error and/or relief

The superior court abused its sentencing discretion by imposing a midterm sentence in the absence of any indication that the superior court was aware of the requirements of section 1170(b)(6) regarding a lower-term presumption where the defendant makes a showing of childhood trauma sufficient to trigger the presumption. We reverse the judgment and remand the matter for a new sentencing hearing

First Holding:

In relevant part, section 1170(b)(6), provides that, unless the court finds that the aggravating circumstances outweigh the mitigating circumstances that imposition of the lower term would be contrary to the interests of justice, the court shall order imposition of the lower term if the following was a contributing factor in the commission of the offense: (A) The person has experienced psychological, physical, or childhood trauma, including, but not limited to, abuse, neglect, exploitation, or sexual violence. Here, as the Attorney General concedes, the defendant made a sufficient showing in this respect, thus triggering the lower term presumption. The contested issue, then, is whether the superior court actually found that the aggravating circumstances outweighed the mitigating circumstances that imposition of the lower term would be contrary to the interests of justice.

Authority:

PEN 1170(b)(6)

Second Holding:

On the present record, we cannot conclude the court made that finding. First, the court did not expressly conduct the inquiry that would allow such a finding to be made: The court neither referred to section 1170(b)(6), nor invoked its language. Second, the record does not affirmatively show compliance with the statutory sentencing mandate, as is required when the court has not expressly complied. The court’s averment that “looking at the mitigating factors is where you start nowadays” is too vague to be an affirmative indication that the court was aware that the lower term was presumptive.

Similarly, the court’s decision to select the midterm after referring to aggravating factors is different from a finding that the aggravating factors outweighed the mitigating factors, as is required to defeat the presumption in favor the lower-term sentence. Indeed, on the sentencing form signed by the sentencing judge, no marking has been made on the field that reads, “[25] Aggravation factors outweigh those in mitigation,” even though several other fields on the form are marked. In short, this record gives us no reason to believe the court complied with section 1170(b)(6).

Authority:

People v. Fredrickson (2023) 90 Cal.App.5th 984, 991 [the record must affirmatively show compliance with a statutory sentencing mandate whenever the mandate has been triggered by an initial showing of the applicability of the statute]

Discretion, Sentencing

Case: 000429

Posted on by Gary McCurdy

Error and/or relief

An insurer is not a “direct victim” eligible for restitution under section 1202.4

First Holding:

We review a restitution order for abuse of discretion.

Authority:

People v. Percelle (2005) 126 Cal.App.4th 164, 179

Second Holding:

In every case in which a victim has suffered economic loss as a result of the defendant’s conduct, the court shall require that the defendant make restitution to the victim or victims in an amount established by court order, based on the amount of loss claimed by the victim or victims or any other showing to the court. Victim includes a corporation or any other legal or commercial entity when that entity is a direct victim of a crime. Thus, only the direct victim of a crime is entitled to restitution from the perpetrator of the offense.

Authority:

PEN 1202.4(f)

People v. Duong (2010) 180 Cal.App.4th 1533, 1537

Third Holding:

Direct victims include only the real and immediate objects of the defendant’s offenses Insurance companies that suffered the consequences of crime only by reimbursing the crime-related losses of their policyholders do not reasonably fit within this definition. As a result, restitution may not be awarded to insurers that partially reimbursed the direct victims for their losses, and trial courts may not divide the full amount of restitution between the victims and their insurers.

Authority:

People v. Birkett (1999) 21 Cal.4th 226, 233

Fourth Holding:

Accordingly, the trial court abused its discretion when it awarded restitution to the insurer. Instead, the court should have awarded the full restitution amount, including any amount awarded to the insurer, to the water district, which was the direct victim of the defendant’s crime, notwithstanding any reimbursement it already received from the insurer.

Authority:

People v. Duong (2010) 180 Cal.App.4th 1533, 1537[a restitution order resting upon a demonstrable error of law constitutes an abuse of the court’s discretion]

People v. Hove (1999) 76 Cal.App.4th 1266, 1272 [insurance payments to the victim do not allow the defendant to escape responsibility for the losses he caused]

Fifth Holding:

Because the defendant does not contest the amount of restitution or the water district’s entitlement to that amount on appeal, we vacate the insurer restitution order and remand the matter so the court can order full restitution to the correct victim under section 1202.4.

Authority:

People v. Duong (2010) 180 Cal.App.4th 1533, 1540 [remanding so the trial court can order restitution to the victim for the amount that the hospital will accept as full payment for the medical services the victim received at the hospital]

Juveniles, Sentencing

Case: 000428

Posted on by Gary McCurdy

Error and/or relief

The juvenile court’s review of the probation report and relation motions before determining jurisdiction was prejudicial error and merits reversal.

First Holding:

The history of section 701 indicates that the Legislature intended to create a bifurcated juvenile court procedure in which the court would first determine whether the facts of the case would support the jurisdiction of the court in declaring wardship and thereafter would consider the social study report at a hearing on the appropriate disposition of that ward. The primary purpose of the jurisdictional hearing “is to determine whether sufficient evidence exists to declare the minor a ward of the juvenile court. If the court finds that the minor is a person described in section 602, the court must determine whether the minor’s offense would be a misdemeanor or a felony if committed by an adult. The court then proceeds to hold a disposition hearing.

Authority:

WIC 701

In re Gladys R. (1970) 1 Cal.3d 855, 859

In re P.A. (2012) 211 Cal.App.4th 23, 31–32

Second Holding:

At the jurisdictional hearing, the admission and exclusion of evidence shall be pursuant to the rules of evidence established by the Evidence Code and by judicial decision. Proof beyond a reasonable doubt supported by evidence, legally admissible in the trial of criminal cases, must be adduced to support a finding that the minor is a person described by [Welfare & Institutions Code] [s]ection 602. Rule 5.780(c) further provides that the juvenile court must not read or consider any portion of a probation report relating to the contested petition before or during a contested jurisdiction hearing.

Authority:

WIC 701

Rules of Court, rule 5.780(c)

Third Holding:

The juvenile court’s erroneous consideration of a probation report before determining jurisdiction is reviewed for harmless error under Watson. Under that standard, we determine whether it is reasonably probable that a result more favorable to the appealing party would have been reached in the absence of the error.

Authority:

People v. Watson (1956) 46 Cal.2d 818, 836

Fourth Holding:

An objection is sufficient if it fairly apprises the trial court of the issue it is being called upon to decide. In a criminal case, the objection will be deemed preserved if, despite inadequate phrasing, the record shows that the court understood the issue presented. In any event, to the extent the court did not understand the issue based on its colloquy with counsel, we exercise our discretion to reach the merits.

Authority:

People v. Scott (1978) 21 Cal.3d 284, 290

People v. Williams (1998) 17 Cal.4th 148, 161, fn. 6 [An appellate court is generally not prohibited from reaching a question that has not been preserved for review by a party]

Fifth Holding:

Invited error bars a claim on appeal when a defendant, for tactical reasons, makes a request acceded to by the trial court and claims on appeal that the court erred in granting the request.

Authority:

People v. Russell (2010) 50 Cal.4th 1228, 1250

Sixth Holding:

If the jurisdictional facts presented at the hearing are far from conclusive, the juvenile court’s review of the probation report prior to determining jurisdiction constitutes prejudicial error. Thus, if the determination of jurisdiction is made by closely balanced evidence, reversal is proper.

Authority:

In re Gladys R. (1970) 1 Cal.3d 855, 862

In re James B. (2003) 109 Cal.App.4th 862, 875