Jeffrey Baker was convicted of one count of oral copulation of his niece, a six-year-old, and received a mandatory 15-years-to-life prison sentence for the conviction. After imposing the sentence, the trial court expressed its view that the sentence was "absolutely disproportionate to the crime that was committed." The trial court recommended that Baker appeal on constitutional grounds. Baker appeals arguing that his sentence violates the California Constitution.
Affirmed. A cruel and unusual punishment in violation of the state constitution "is so disproportionate to the crime for which it is inflicted that it shocks the conscience and offends fundamental notions of human dignity." In re Lynch. In determining such a punishment, courts compare the sentence to "punishments prescribed in the same jurisdiction for different offenses which, by the same test, must be deemed more serious," and compare the sentence to "punishments prescribed for the same offense in other jurisdictions having an identical or similar constitutional provision." Lynch. The comparisons the court made here showed that Baker's crime was not a cruel and unusual punishment in violation of the state constitution. Thus, this court affirmed.
Opinion by Justice Dato.
THE PEOPLE,
Plaintiff and Respondent,
v.
JEFFREY A. BAKER,
Defendant and Appellant.
No. D071383
(Super. Ct. No. SCE352110)
California Courts of Appeal
Fourth Appellate District
Division One
Filed February 22, 2018
APPEAL from a judgment of the Superior Court of San Diego County,
John M. Thompson, Judge.
Affirmed.
David L. Annicchiarico, under appointment by the Court of Appeal, for
Defendant and Appellant.
Xavier Becerra, Attorney General, Julie L. Garland, Assistant Attorney
General, Arlene A. Sevidal and Andrew Scott Mestman, Deputy Attorneys General,
for Plaintiff and Respondent.
A jury convicted Jeffrey A. Baker of one count of oral copulation of his
six-year-old niece in violation of Penal Code section 288.7, subdivision (b)
and two counts of lewd acts in violation of Penal Code section 288, subdivision
(a).1 At sentencing, the
trial court imposed the mandatory 15-years-to-life prison sentence on the oral
copulation count but expressed its view that the sentence was "absolutely
disproportionate to the crime that was committed" and encouraged Baker to
appeal on Eighth Amendment grounds.
(U.S. Const., 8th Amend.) Baker
argues that the trial court misunderstood its sentencing authority to not
impose an unconstitutional sentence. He
further contends that the indeterminate sentence imposed was cruel and/or
unusual in violation of the federal and state constitutions and that his
counsel's failure to object on this basis amounted to ineffective assistance of
counsel.
As the People concede, the trial court had the power to decide whether
the mandatory prison term in this case was an unconstitutional sentence. But even if the trial court misunderstood the
scope of its authority, a remand for resentencing is unnecessary because the
indeterminate 15-years-to-life sentence was not cruel and/or unusual as a
matter of law. (U.S. Const., 8th Amend.;
Cal. Const., art. I, § 17.) For
similar reasons Baker did not receive ineffective assistance of counsel. Accordingly, we affirm.
FACTUAL AND PROCEDURAL BACKGROUND
In October 2013, Mary D. moved into her parents' single-family home in
Lemon Grove with her four children, including six-year-old A.D. Space was tight downstairs, so A.D. slept on
a couch upstairs, where Mary's sister Judy lived. Mary's 50-year-old brother, defendant Baker,
visited in December from New Hampshire and met the children for the first
time. The visit was positive.
Baker returned a few months later in March 2014 to take care of Judy's
dogs while she was on vacation. Baker
slept in Judy's bedroom, and A.D. continued to sleep on the couch. On the evening of March 8, Mary went to the
airport to pick up her son, leaving A.D. upstairs with Baker. The next morning, A.D. approached Mary in the
kitchen and told her Baker had licked her "down there," pointing to
her crotch. Mary took A.D. to a bedroom
and asked her to tell her what happened.
A.D. told her that Baker had brought her into bed with him, rubbed her
stomach, pulled down her underwear, licked her, and asked her if it felt
good. She said "No, it's
gross." Baker then kissed A.D. on
the mouth, and A.D. pulled the blanket over her face to make him stop. Baker stopped.
Mary called the sheriff's department and made a report. She then took A.D. to the hospital. Hospital staff collected evidentiary swabs
and clothing from A.D. and put her through a full Sexual Assault Response Team
(SART) exam that indicated "no physical findings." Baker met with detectives and provided an
oral swab.
A.D. underwent a forensic interview with social worker Sheri Rouse on
March 10. She said she was sleeping by
her "Uncle Jeff" in bed. He
first rubbed her stomach "nice and softly," which felt good. Then he pulled down her underwear and licked
her "on the middle" one time.
A.D. felt his tongue and saw it.
Baker asked if it felt good; she said "No, it feels gross,"
and he stopped. He then kissed her
"in the middle of [her] mouth" with a "lick kiss." She covered her mouth so he couldn't "do
a lick kiss anymore." Baker told
her "sorry," and they went to sleep.
A.D. told Rouse she kept thinking about what happened and felt
"disgusting." Her mom had told
her she could not go near Baker, which made her sad. She wanted to ask Uncle Jeff not to lick her
anymore because "[t]hat would just be nice and not hurt his
feelings."
Subsequent analysis revealed male human saliva in the crotch of A.D.'s
underwear, but not enough DNA for further analysis. Human saliva was found on A.D.'s external
genital swabs. Further analysis showed
there was a mixture of DNA on that swab.
The major profile was consistent with A.D.'s DNA, and the minor profile
was consistent with Baker's DNA. The
criminalist calculated a random match probability to estimate the rarity of the
minor profile. There was a one in
46-trillion chance that a random person in the population would contribute to
the minor DNA profile, indicating that there was likely only one person in the
population with that DNA. Perioral swabs
taken near A.D.'s mouth contained male DNA, but not enough for further
analysis.
Baker was charged by information of oral copulation on a child under the
age of 10 in violation of section 288.7, subdivision (b) (count 1).2 He was also charged with two counts of lewd
acts upon a child under the age of 14 (hand to vagina and kissing) in violation
of section 288, subdivision (a) (counts 2 and 3).3 Following trial, the jury convicted him on
all three counts. Before sentencing, the
probation department submitted a report stating Baker was 53 years old with an
"insignificant record of prior criminal conduct." Baker committed burglary in 1981 as a
juvenile and misdemeanor theft in 1995, for which he successfully completed
probation. He declined to participate in
a presentence interview without his attorney, share his personal history, or
participate in a COMPAS assessment (Correctional Offender Management Profiling
for Alternative Sanctions). The
probation officer asked if Baker had anything else to say, and he replied,
"15 years is 15 years, my friend."
The probation report used the STATIC-99R risk assessment to determine his
risk for sexual offense recidivism. His
score put him in the "Low Risk Category" with a 1.9 percent chance of
recidivism within five years of release from custody. Even so, the report recommended sentencing
Baker to a term of 15 years to life on the section 288.7, subdivision (b)
charge due to the "egregious" nature of the crime and his lack of
cooperation in the presentence interview.
It recommended the middle term of six years for the two section 288,
subdivision (a) counts.
Given his conviction under section 288.7, Baker was statutorily
ineligible for probation. (See
§ 1203.065, subd. (a).)
Nevertheless, the parties and the court mistakenly believed Baker could
either receive probation or be sentenced for count 1 to the mandatory term
under section 288.7, subdivision (b) of 15 years to life. Thus, at sentencing Baker's counsel urged the
court to grant probation based on Baker's low risk for recidivism. With respect to his lack of cooperation, his
counsel explained that Baker felt his prior conversations with law enforcement
and family had been spun in a negative way.
Although acknowledging that A.D. did not appear to be "scarred for
life," the prosecutor faulted Baker for not admitting the crime. She urged the mandatory prison term, arguing
"this type of case and this particular incident is some of the worst type
of conduct there is on a child."
Defense counsel challenged whether this case was "one of the
worst," and the trial court remarked, "I'm not buying into that
either."
The trial court denied probation and imposed the mandatory
15-years-to-life term on count 1.
Concurrent six year terms were imposed on counts 2 and 3. In doing so, however, the court expressed
great discomfort with the sentence and urged Baker to appeal on Eighth
Amendment grounds:
"I
am going to impose the 15-to-life commit.
Before I do, I'm going to put a few things on the record. This, to me, is a glaring example of what
happens when you take discretion away from a sentencing judge. I have no option but to impose this
sentence. I cannot be called upon to
evaluate the conduct of the defendant, the history of the defendant once I
conclude it is a prison case. It is beyond
comprehension for me, and probably for every one of these guys on the wall who
did this job before me over the last 100 years, to ever contemplate a situation
wherein we are forced to impose a sentence that is absolutely disproportionate
to the crime that was committed in this case.
That being said, the court will say for the record that the only reason
this sentence is being imposed is because it is mandated by this particular
code section. I certainly would invite
Mr. Baker to appeal this decision, to assert at that point any Eighth
Amendment rights he feels that he has.
And hopefully someone in the position to review the case, based upon
that, may come to a different conclusion.
But for me to take that step at this particular level would be, in essence,
to disregard the law.
"I
have concluded, and I did at the end of this case, that this was a prison
case. It was a prison case from the
beginning. Was it a life case? No.
Not now, not a thousand lifetimes from now. I've been doing this job a long time. I have seen life‑top cases.
I have sent people to prison for life.
I have sentenced people to death.
And this particular conduct, in this particular crime, absolutely,
without question, does not justify the imposition of this sentence.
"I've
reviewed the criteria set forth in [California Rules of Court, rule 4.414],
find the defendant is not a suitable candidate for probation, the ends of
justice would not be met. It will be the
order of the court that the defendant be committed to the Department of
Corrections for the term of 15 years to life as mandated by this code
section."
DISCUSSION
On appeal, Baker challenges his indeterminate sentence of 15 years to
life for violating section 288.7, subdivision (b). He claims the punishment is cruel and/or
unusual in violation of the Eighth Amendment to the United States Constitution
and article I, section 17 of the California Constitution. Baker argues the trial court failed to
understand its sentencing authority to avoid imposition of an unconstitutional
sentence. He asks us to remand the case
for resentencing or, in the alternative, decide as a matter of law that his
sentence for count 1 violates the federal or state constitutions. Although his trial
counsel did not object to the sentence on these grounds, he claims no objection
was necessary or that he suffered ineffective assistance of counsel.
The record before us is, to be sure, unusual. A thoughtful trial judge, moved by what he
perceived to be significant unfairness given the particular facts of the case,
expressed his conclusions to that effect in no uncertain terms. But the court seems to have misunderstood the
scope of its role. Where a trial court
concludes that a mandatory minimum sentence is grossly disproportionate to the
circumstances of the crime, it has the constitutional authority---indeed, the
constitutional duty---not to impose an unconstitutional sentence. The responsibility to declare constitutional
limitations on the power of coordinate branches of government belongs to the
judicial branch in its entirety and not merely to appellate courts. To enforce the constitution is not to
"disregard the law."
That said, the power to declare a legislatively prescribed punishment
unconstitutional should be rarely exercised, and not merely because a judge---trial
or appellate---believes there has been a harsh result. A punishment can be declared
unconstitutionally disproportionate only after a careful review of both the
facts of the case and the applicable appellate precedent. Here, while an indeterminate term of life
imprisonment for a sexual assault on a six-year-old is a severe punishment that
reasonable minds could well believe is excessive, applying the analysis set
forth in the relevant case law makes clear it is not so disproportionate as to
exceed the very high constitutional threshold.
A. May the Issue Be Raised?
Before turning to Baker's constitutional challenge, we must decide
whether the issue is preserved on appeal.
Although his trial counsel did not object to his sentence as cruel
and/or unusual, Baker argues an objection was unnecessary given the court's
ruling. In the alternative, he claims he
received ineffective assistance when his counsel failed to object.
As a general rule, "complaints about the manner in which the trial
court exercises its sentencing discretion and articulates its supporting
reasons cannot be raised for the first time on appeal." (People
v. Scott (1994) 9 Cal.4th 331, 356.)
A claim that a sentence is cruel or unusual requires a "fact
specific" inquiry and is forfeited if not raised below. (People
v. DeJesus (1995) 38 Cal.App.4th 1, 27; People
v. Norman (2003) 109 Cal.App.4th 221, 229; People v. Speight (2014) 227 Cal.App.4th 1229, 1248.) Although the trial court identified a
potential Eighth Amendment issue, the onus was on Baker's counsel to object on
that basis and on state constitutional grounds.
Baker has thus forfeited his claim, but we address the merits "to
show counsel was not constitutionally ineffective by failing to make a futile
or meritless objection." (People v. Reyes (2016) 246 Cal.App.4th
62, 86 (Reyes).)
B. Scope of the Trial Court's
Authority and the Necessity for Remand
Baker argues that the trial court misunderstood the scope of its
sentencing authority not to impose a sentence that amounted to cruel and/or
unusual punishment. He seeks remand for
the trial court to properly exercise its authority and consider his
constitutional claims. In response, the
People appropriately concede that the trial court did not appreciate the scope
of its sentencing authority. (See People v. Felix (2002) 108 Cal.App.4th
994, 999 [trial court has authority to intervene if mandatory punishment is
unconstitutional]; People v. Mora (1995)
39 Cal.App.4th 607, 615 ["If the punishment mandated by law
. . . is so grossly disproportionate to a particular defendant's
individual culpability to constitute cruel or unusual punishment
. . . , a court has authority to prevent the imposition of
unconstitutional punishment."].)
Nevertheless, they contend remand is unnecessary because whether a
sentence amounted to cruel or unusual punishment is a question of law that we
may decide ourselves on de novo review.
We agree that under the circumstances of this case, a remand is
unnecessary. In People v. Hamlin (2009) 170 Cal.App.4th 1412 (Hamlin), a defendant claimed his life sentence for torture was
cruel or unusual. (Id. at p. 1474.) He sought
remand for a new sentencing hearing, arguing the trial court had erred in
rejecting the claim. The Court of Appeal
declined to remand, explaining:
"Because
the question of whether defendant's sentence amounted to cruel or unusual
punishment is a question of law ([citation]), we can 'apply[] the correct
standard' just as well as the trial court could. Thus, even if the trial court
did err in the manner defendant asserts, remand is unnecessary, for we can
determine ourselves, on de novo review, whether defendant's sentence was cruel
or unusual."
(Ibid.) The same reasoning
applies here, even though Baker did not make the argument before the trial
court.
Baker relies on People v. Leigh (1985)
168 Cal.App.3d 217 (Leigh) to argue
remand is appropriate. In Leigh, the trial court erroneously
believed it lacked authority to reduce the offense from first degree to second
degree murder to avoid a cruel or unusual punishment. (Id.
at p. 223.) The Court of Appeal
remanded the case for resentencing, explaining the trial court was not
precluded from making the determination.
(Ibid.) It further noted the trial court was
"uniquely suited" "to analyze the panoply of factors that must
be considered in determining the offender's 'state of mind,' 'personal
characteristics,' and the degree of danger the offender poses to
society." (Ibid.) Leigh stands for the proposition that trial courts may evaluate
constitutionality at sentencing, not that trial courts alone may do so. (See People
v. Williams (1986) 180 Cal.App.3d 922, 926 [Leigh merely holds that the constitutionality analysis is not
within the sole province of the
appellate court, not that it is properly the function of the trier of
fact.].)
Baker also argues that remand would allow the trial court to
"perform its vested role of determining the facts in the first
instance" and notes that appellate courts defer to factual findings that
are supported by substantial evidence.
But any factual findings the trial court could make in Baker's favor---that
it was a one-time occurrence by a first-time sex offender with an insignificant
criminal history---are findings that we can (and do) assume in evaluating the
constitutionality of Baker's sentence.
The significance of those
facts under the federal and state constitutions "presents a question of
law subject to independent review; it is 'not a discretionary decision to which
the appellate court must defer.' "
(People v. Felix (2002) 108
Cal.App.4th 994, 1000.) People v. Deloza (1998) 18 Cal.4th 585 (Deloza) fails to persuade for this
reason. Deloza remanded for resentencing where the trial court misapplied
sentencing law based on the erroneous belief that consecutive sentences were
mandatory. (Id. at p. 600.) On remand,
the trial court could exercise discretion to impose concurrent or consecutive
sentences. (Ibid.)
By contrast, Baker challenges the constitutionality of a statutorily mandated
sentence, a question of law that we review de novo. "Like the trial court, we are authorized
to consider proportionality [of punishment] based on the facts." (People
v. Weddle (1991) 1 Cal.App.4th 1190, 1197.)
Remand is unnecessary because "we can determine ourselves, on de
novo review, whether defendant's sentence was cruel or unusual." (Hamlin,
supra, 170 Cal.App.4th at p. 1474.)
C. Baker's Life Sentence Is Not
Cruel and/or Unusual
"Section 288.7 was enacted as part of the Sex Offender Punishment,
Control, and Containment Act of 2006 (the Act).
[Citation.] . . . The primary purpose of the Act was to prevent
'future victimization' of the community by sex offenders. [Citation.]
Among the provisions of the Act was the creation of several new criminal
offenses involving child victims"---including a "new offense imposing
an indeterminate life sentence for sexual intercourse, sodomy, oral copulation
or sexual penetration of 'a child 10 years of age or younger' in section 288.7." (
Cornett, supra, 53 Cal.4th at p. 1267.)
Baker contends his indeterminate sentence under section 288.7,
subdivision (b) constitutes cruel and/or unusual punishment under the federal
and state constitutions. Although he
attempts a facial constitutional challenge, that challenge fails under
In re
Rodriguez (1975) 14 Cal.3d 639 (
Rodriguez).
Rodriguez
considered the constitutionality of an indeterminate one-year-to-life
sentence for a single lewd act on a six-year-old child. (
Id.
at p. 643 & fn. 5.) The court
rejected the facial challenge, noting that section 288 "encompasses
offenses reflecting a wide range of culpability, including situations in which
the life maximum may be a constitutionally permissible punishment." (
Id.
at p. 648.) The same is true of
section 288.7, subdivision (b). Baker
repeatedly notes his minimal criminal history and low risk for sex offense
recidivism in challenging his sentence.
This is an
as applied challenge---i.e.,
that the mandatory sentence is cruel and unusual as applied to him. (
Id.
at p. 656.)
"The Eighth Amendment to the United States Constitution applies to
the states. (
People v. Caballero (2012) 55 Cal.4th 262, 265, fn. 1.) It prohibits the infliction of 'cruel
and unusual' punishment. (U.S. Const., 8th Amend., italics
added.) Article I, section 17 of the
California Constitution prohibits infliction of '[c]ruel
or unusual' punishment.
(Italics added.) The distinction
in wording is 'purposeful and substantive rather than merely semantic. [Citations.]'
(
People v. Carmony (2005) 127
Cal.App.4th 1066, 1085.) As a result, we
construe the state constitutional provision 'separately from its counterpart in
the federal Constitution. [Citation.]' (
People
v. Cartwright (1995) 39 Cal.App.4th 1123, 1136.)" (
People
v. Palafox (2014) 231 Cal.App.4th at 68, 82 (
Palafox).)
1.
California
Constitution
A punishment is cruel or unusual in violation of the
California Constitution "if, although not cruel or unusual in its method,
it is so disproportionate to the crime for which it is inflicted that it shocks
the conscience and offends fundamental notions of human dignity." (
In re
Lynch (1972) 8 Cal.3d 410, 425 (
Lynch).) Because it is the Legislature's function to
define crimes and prescribe punishments, the judiciary should not interfere "unless
a statute prescribes a penalty 'out of all proportion to the offense.' " (
Id.
at pp. 414−415, 424.) In reviewing
an indeterminate sentence, "it is the maximum term prescribed by the
statute---not a lesser period thereafter affixed as an 'incentive to well-doing'---which
must survive constitutional scrutiny."
(
Id. at pp. 416−417.) Thus, in evaluating Baker's sentence of 15 years to life,
we must consider whether a life sentence withstands constitutional scrutiny,
notwithstanding his parole eligibility in 15 years.
Lynch describes
three "techniques" to determine whether a sentence is so disproportionate
to the crime as to constitute cruel or unusual punishment. (
Lynch,
supra, 8 Cal.3d at p. 425.) We
first consider "the nature of the offense and/or offender, with particular
regard to the degree of danger both present to society." (
Ibid.) Next, we compare the sentence to
"punishments prescribed in the
same
jurisdiction for
different offenses
which, by the same test, must be deemed more serious." (
Id.
at p. 426.) Finally, we compare the
sentence "with the punishments prescribed for the
same offense in
other
jurisdictions having an identical or similar constitutional provision. (
Id.
at p. 427.) The weight afforded to each prong
may vary by case. (See
People v. Dillon (1983)
34 Cal.3d 441, 479 [relying
heavily on first prong] (
Dillon).) "Disproportionality need not be
established in all three areas." (
People v. Norman (2003) 109 Cal.App.4th
221, 230.)
Applying this test, the California Supreme Court has
found unconstitutional a life sentence for a second offense of indecent
exposure (
Lynch, supra, 8 Cal.3d at
p. 413); lewd and lascivious touching of "a child's private parts" in
violation of section 288 (
Rodriguez,
supra, 14 Cal.3d at pp. 654−656); and felony-murder by a
17-year-old defendant (
Dillon, supra,
34 Cal.3d at pp. 482, 489).
Nevertheless, "[t]he doctrine of separation of
powers is firmly entrenched in the law of California, and a court should not
lightly encroach on matters which are uniquely in the domain of the
Legislature. Perhaps foremost among
these are the definition of crime and the determination of punishment." (
People
v. Wingo (1975) 14 Cal.3d 169, 174 (
Wingo).) Reducing a sentence as otherwise cruel or
unusual "is a solemn power to be exercised sparingly only when, as a
matter of law, the Constitution forbids what the sentencing law
compels." (
Mora, supra, 39 Cal.App.4th at p. 616.) "Only in the rarest of cases could a
court declare that the length of a sentence mandated by the Legislature is
unconstitutionally excessive." (
People v. Martinez (1999) 76 Cal.App.4th
489, 494 (
Martinez).) Although Baker's sentence is severe, this is
not such a rare case.
a.
Nature
of the offense and offender
Factors to consider in evaluating the nature of the
offense include the seriousness of the offense and the presence of violence, victims,
or aggravating circumstances. (
Lynch, supra, 8 Cal.3d at pp. 425−426;
Rodriguez, supra, 14 Cal.3d at p. 654.) We consider not only the offense in the
abstract but also the facts of the crime in question---"i.e., the totality
of the circumstances surrounding the commission of the offense in the case at
bar, including such factors as its motive, the way it was committed, the extent
of the defendant's involvement, and the consequences of his acts." (
Dillon,
supra, 34 Cal.3d at p. 479; see
Reyes,
supra, 246 Cal.App.4th at p. 87.)
We also evaluate whether the punishment fits
the criminal. (
Lynch, supra, at p. 437;
Dillon, supra, at p. 479.) We examine the defendant "in the
concrete rather than the abstract . . . focus[ing] on the
particular person before the court, [to ask] whether the punishment is grossly
disproportionate to the defendant's individual culpability as shown by such
factors as his age, prior criminality, personal characteristics, and state of
mind." (
Dillon, supra, at p. 479.)
Baker was convicted of oral copulation of a six-year-old
child. "There exists a strong
public policy to protect children of tender years." (
People
v. Olsen (1984) 36 Cal.3d 638, 646.)
Along a spectrum ranging from murder, mayhem and torture on one end to
petty theft on the other, "lewd conduct on a child may not be the most
grave of all offenses, but its seriousness is considerable." (
People
v. Christensen (2014) 229 Cal.App.4th 781, 806; see
Ashcroft v. Free Speech Coalition (2002) 535 U.S. 234, 244 ["sexual
abuse of a child is a most serious crime and an act repugnant to the moral
instincts of a decent people"].)
Although the SART exam showed A.D. was not physically
harmed, Baker "did not have to hurt her in order to do permanent
psychological damage." (
Reyes, supra, 246 Cal.App.4th at p. 85.) Courts have recognized that lewd conduct
"may have lifelong consequences to the well-being of the child." (
Christensen,
supra, 229 Cal.App.4th at p. 806.)
A.D. told the social worker she felt "disgusting" and kept
thinking about what happened, indicating at least some level of psychological
harm.
As for aggravating circumstances, A.D. was particularly
vulnerable given her age, and the defendant abused a position of trust to
commit the offense. (Cal. Rules of
Court, rule 4.421(a)(3) & (11);
People
v. Quintanilla (2009) 170 Cal.App.4th 406, 413 [victim's vulnerability and
defendant's abuse of trust were aggravating factors for the offense of forcible
lewd acts on a child under 14].) Baker's
conduct was egregious, and he does not show it was materially different from
other acts of oral copulation of a child under the age of 10 for which the
Legislature has imposed a 15-years-to-life sentence.
Critically, Baker perpetrated not one but
three sexual acts against A.D. He touched her vagina, orally copulated her,
and then kissed her mouth. Although the
three acts took place within a short period of time, Baker did not stop the
molestation immediately and proceeded to kiss her on the mouth after she said
the oral copulation felt "gross." A.D. had to pull a blanket over
her face to make him stop. Unlike the youthful 17-year-old defendant in
Dillon, Baker was a mature adult. (Cf.
Dillon,
supra, 34 Cal.3d at p. 488;
Reyes,
supra, 246 Cal.App.4th at p. 88 [distinguishing
Dillon on this basis as to 35-year-old convicted of rape and oral
copulation of a minor].) Here, as in
Reyes, Baker "was in complete
control of the situation, his actions were unprovoked, and he instigated
multiple [] sex offenses against [A.D.]." (
Reyes,
supra, at p. 88.)
Baker had an "insignificant criminal record"
and no prior history of sex crimes.
Although these factors are favorable to him, they do not outweigh the
other factors. (See
People v. Szadziewicz (2008) 161 Cal.App.4th 823, 845 [lack of
prior record not determinative when "seriousness of the crime and the circumstances
surrounding its commission substantially outweigh these factors"].)
Baker relies on
Rodriguez
to argue his punishment is unconstitutionally disproportionate to his
crime. The 26-year-old defendant in
Rodriguez had a low IQ and was functionally
illiterate and unskilled. (
Rodriguez, supra, 14 Cal.3d at p. 644,
fn. 6.) He and his wife were driving
when they saw a six-year-old girl skating.
(
Id. at pp. 643−644,
fn. 5.) He pulled the child into the car,
drove her to a less public place, lifted her skirt, and fondled her private
parts. (
Ibid.) The medical examiner
found no signs of penetration of the child's sexual organs. (
Ibid.) The defendant was charged and convicted under
section 288, which at the time carried an indeterminate one-year-to-life
sentence. (
Id. at p. 643.) After
serving 22 years, Rodriguez prevailed on his habeas petition.
The court concluded the 22 years Rodriguez had already
served was unconstitutional as applied.
(
Rodriguez, supra, 14 Cal.3d
at p. 648.) The crime "involved
no violence and caused no physical harm to the victim. The episode lasted only a few minutes. No weapon was involved and petitioner
attempted none of the dangerous offenses sometimes associated with violations
of section 288." (
Id. at pp. 654−655.) Moreover, the evidence showed the defendant's
conduct "was explained in part by his limited intelligence, his
frustrations brought about by intellectual and sexual inadequacy, and his
inability to cope with these problems."
(
Id. at p. 655.) Despite the defendant's past history of sex
crimes (
id. at p. 644, fn. 6), the
court concluded the defendant posed no "danger to society sufficient to
justify such a prolonged period of imprisonment." (
Id.
at p. 655, fn. omitted.)
Nothing in the record suggests Baker has a low IQ, is
illiterate or unskilled, or is coping with problems of sexual inadequacy.4 Whereas Rodriguez was convicted of
unspecified fondling of a six-year-old child, Baker was convicted of oral
copulation---conduct that the Legislature has since made clear is more
heinous. (Compare § 288, subd. (a)
[three, six, or eight years] with § 288.7, subd. (b) [15 years to life].) And Baker was convicted of not one but three
separate sexual acts against A.D.5
We acknowledge that Baker's conduct is less aggravated
than in other sex offense cases upholding life sentences.
Chistensen
upheld a 27-year sentence for five counts of lewd acts against three
elementary school boys in a daycare. The
court highlighted the fact that one of the victims suffered such psychological harm
that he "was on the verge of being removed from the family home and placed
in a 24-hour facility," and the defendant was a repeat offender who had "molested
not one boy, but three." (
Christensen, supra, 229 Cal.App.4th at
pp. 803-804.)
People v. Meneses (2011) 193 Cal.App.4th 1087, 1093 (
Meneses), an Eighth Amendment case,
upheld a 15-years-to-life sentence for a single
lewd act that resulted in pregnancy; the pregnancy constituted great bodily
injury that warranted the enhancement. (
Id. at pp. 1089, 1094.) In
Reyes,
we upheld a life sentence without parole for oral copulation and rape of a
14-year-old during the commission of a burglary, deferring to the Legislature's
determination that sex crimes against minors occurring during the commission of
crimes that pose a heightened risk to human life warrant severe
punishment. (
Reyes, supra, 246 Cal.App.4th at p. 85.)
Although the facts of this case may be less serious than
those in
Christensen,
Meneses, and
Reyes, they are significantly more
aggravated than those in
Rodriguez. To the extent there is even slight
disproportionality based on the nature of the offender, the second and third
techniques under
Lynch convince us
that this is not that rare case where a "statute prescribes a penalty 'out
of all proportion to the offense.' "
(
Lynch, supra, 8 Cal.3d
at p. 424)
b.
Comparison
of punishment for other crimes in California
The second prong requires us to compare Baker's sentence
to "punishments prescribed in the
same
jurisdiction for
different offenses
which, by the same test, must be deemed more serious." (
Lynch,
supra, 8 Cal.3d at p. 426.) In so
doing, we must remember that the Legislature (or sometimes the electorate)
bears the responsibility for fixing the penalty of crimes. (
Id.
at pp. 423−424.) "Punishment
is not cruel or unusual merely because the Legislature may have chosen to
permit a lesser punishment for another crime. Leniency as to one charge does not transform a
reasonable punishment into one that is cruel or unusual." (
People
v. Bestelmeyer (1985) 166 Cal.App.3d 520, 530−531.)
Baker compares his sentence to those imposed for several
"more serious" crimes such as murder, mayhem, and torture. More relevant for our purposes, he compares
it to lesser sentences for sex crimes against children. Forcible sex trafficking of a minor
(§ 236.1, subd. (c)(2)) and lewd acts with two sex offense priors
(§§ 288, 667.51) carry terms of 15
years to life.
The following crimes are
not subject
to indeterminate sentencing: forcible
rape of a child under 14 (§§ 261, subd. (a)(2), 264, subd. (c)(1)); rape
of a child under 14 in concert with another person (§ 264.1, subd.
(b)(1)); pimping or pandering of a child under 16 (§§ 266h, subd. (b)(2),
266i, subds. (a)(2) & (b)(2)); and continuous sexual abuse of a child under
14 (§§ 288.5, subd. (a), 1203.066, subd. (b)).
The People respond by placing section 288.7, subdivision
(b) along a spectrum. They point to a
graduated scheme "whereby punishment increases as the victim's age
decreases and the seriousness of sexual acts increases, with the harshest
punishment meted out to adults who orally copulate or penetrate a child aged 10
or younger." The point is well
taken. Oral copulation of a child under
14 and over 10 years younger than the defendant faces a three-, six-, or
eight-year term. (§ 288a, subd.
(c)(1).) That range decreases to 16
months, two, or three years if the child is under 16 and the defendant is over
21. (§ 288a, subd. (b)(2).) Section 288.7, subdivision (b) builds on
section 288a's graduated scheme, mandating 15 years to life for oral copulation
of a child 10 years of age or younger.
Together, sections 288a and 288.7 reflect the Legislature's intent to
increase the severity of punishment for oral copulation of younger victims.
But that analysis alone does not suffice. We find it relevant to consider other
sections of the Penal Code that Baker omits from his discussion. Baker could have been convicted under section
269 for the same conduct and received the same 15-years-to-life sentence for aggravated
sexual assault. Pursuant to section 269,
any person who commits forcible oral copulation or sexual penetration of a
child under the age of 14 and seven or more years younger than the defendant "shall
be punished by imprisonment in the state prison for 15 years to
life." (§ 269, subds. (a)(4),
(b).) The amount of force required is
simply the "use of force sufficient to overcome the victim's will." (
People
v. Guido (2005) 125 Cal.App.4th 566, 576;
In re Asencio (2008) 166 Cal.App.4th 1195, 1205.) Baker's oral copulation of A.D. would meet
that standard.
For example, in
Asencio,
a defendant pulled down the underwear of his six-year-old niece, rolled onto
her, rubbed her vagina, and penetrated it slightly with his finger. (166 Cal.App.4th at pp. 1197−1198.) He was sentenced to 15 years to life
for the forcible sexual penetration count under section 269. (
Id.
at p. 1199.) Although he did not
challenge the constitutionality of his life sentence, his conduct was similar
to Baker's, and both were sentenced to 15 years to life.6
Also relevant is the "One Strike" sex offender
law, section 667.61. (
People v. Rayford (1994) 9 Cal.4th 1, 8.) Enacted in 1994, the law imposes lengthy
indeterminate terms of 15 years to
life or 25 years to life for defendants
convicted of specified sexual offenses if certain aggravating factors are found
true. (§ 667.61, subds.
(a)-(b).) A defendant convicted of lewd
acts or forcible oral copulation of a child under 14 and over 10 years younger
than the defendant faces a
25-years-to-life
sentence if he or she kidnapped the victim, committed the offense during a
burglary, personally used a deadly weapon, committed the offense against more
than one victim, tied or bound the victim or another person, or administered a
controlled substance to the victim.
(§ 667.61, subds. (c)(7), (e)(1)-(6), & (j)(2).) Thus, if Baker had been convicted of oral
copulation or lewd acts on
two children,
or if other aggravating factors were found, he would face a sentence of 25
years to life under the One Strike law.
These provisions suggest a certain logic to the
mandatory 15-years-to-life sentence under section 288.7, subdivision (b). The sentence continues the graded scale in
section 288a, increasing the punishment for sex offenses against even younger
children. Baker could have received the
same punishment had he been charged and convicted under section 269 for the
same conduct. If the jury found that he
had committed a lewd act or oral copulation against two victims (or during the
course of a burglary, etc.), he could face 25 years to life under section
667.61.
We again bear in mind that "[t]he
power to define crimes and prescribe punishments is a legislative
function." (
People v. Young (1992) 11 Cal.App.4th 1299, 1308.) Our role is a limited one, and we proceed
with great deference to the Legislature.
(
Martinez, supra, 76
Cal.App.4th at p. 494.) "Furthermore,
great deference is ordinarily paid to legislation designed to protect children,
who all too frequently are helpless victims of sexual offenses." (
In re
Wells (1975) 46 Cal.App.3d 592, 599.)
In passing the Sex Offender Punishment, Control, and Containment Act of 2006, the
Legislature sought to make it easier to sentence a defendant to a life term for
particularly heinous sexual contact with a young child. (Sen. Com. on Public Safety, com. on Sen.
Bill No. 1128 (2005-2006 Reg. Sess.) as amended Mar. 7, 2006.) Although a life sentence was possible under
the One Strike law if certain factors were present, section 288.7 sought to
broaden that net:
"Existing law includes the 'one-strike' sex crime
sentencing law that provides sentences of 15 or 25 years to life in certain sex
crimes if specified circumstances in aggravation are found to be true. (Pen. Code 667.61.)
"[¶] . . . [¶]
"This bill adds two new crimes to the crimes
subject to one-strike sentencing: oral
copulation involving a child under the age of 10 and sexual penetration of a
child under the age of 10 . . . ."
(Sen. Com. on Public
Safety, com. on Sen. Bill No. 1128 (2005-2006 Reg. Sess.) as amended Mar. 7,
2006.)
A comparison of the mandatory 15-years-to-life
sentence under section 288.7, subdivision (b) to the punishments for similar
and more serious sex offenses in California does not suggest this is that
"rarest of cases" in which "the length of a sentence mandated by
the Legislature is unconstitutionally excessive." (
Martinez,
supra, 76 Cal.App.4th at p. 494.)
c.
Comparison
of punishment for analogous crimes in other states
In this step, we compare the sentence "with the
punishments prescribed for the
same
offense in other jurisdictions having
an identical or similar constitutional provision." (
Lynch,
supra, 8 Cal.3d at p. 427.) "That California's punishment scheme is
among the most extreme does not compel the conclusion that it is unconstitutionally
cruel or unusual." (
People v. Martinez, supra, 71
Cal.App.4th at p. 1516.) The state
constitution "does not require California to march in lockstep with other
states in fashioning a penal code" or "require 'conforming our Penal
Code to the "majority rule" or the least common denominator of
penalties nationwide.' " (
Ibid., citing
Wingo, supra, 14 Cal.3d at p. 179.) Only "when there appears a significant
disproportion between a challenged penalty and that imposed for the same crime
by our sister states" should the penalty be deemed suspect. (
Wingo,
supra, at p. 179.)
Baker cites the punishment for oral copulation in just two states, New
York and Oregon. He does not indicate
whether those states have "an identical or similar constitutional
provision" against cruel or unusual punishment (
Lynch, supra, 8 Cal.3d at p. 427), but at minimum, the
Eighth Amendment applies. (
Graham v. Florida (2010) 560 U.S. 48, 52.) Baker points out that in New York, oral
sexual conduct with a child under 11 is punishable by five to 25 years in
prison. (N.Y. Penal Law, §§ 70.02,
subds. (1)(a) & (3)(a), 130.50, subd. (3).)
He claims that in Oregon, oral intercourse with a child under 12 carries
a 20-year maximum sentence. (Or. Rev.
Stat. Ann. §§ 161.605, subd. (1), 163.405, subds. (1)(b) & (2).)
Baker is mistaken as to Oregon.
Oral intercourse with a child under 12 constitutes sodomy in the first
degree in Oregon and is punishable as a Class A felony. (Or. Rev. Stat. Ann. § 163.405, subds.
(1)(b) & (2).) Class A felonies are
generally subject to a 20-year maximum term.
(Or. Rev. Stat. Ann. § 161.605, subd. (1).) But Oregon's legislature set a mandatory
minimum term of 300 months, or 25 years, for sodomy in the first degree of a
child under 12. (Or. Rev. Stat. Ann.
§ 137.700, subds. (1) & (2)(b)(E).)
California and Oregon are not outliers.
We have found ten similar statutes in other states. (See Fla. Stat. Ann. §§ 800.04, subd. (5)(b)
& 775.082, subd. (3)(a)4 [life or 25-year minimum for lewd act on child
under 12]; Kan. Stat. Ann. §§ 21-5506, subd. (b)(3)(A), 21-6627, subd.
(a)(1)(C) [25-years-to-life for fondling or touching of a child under 14]; Nev.
Rev. Stat. Ann. §§ 201.230, subd. (2) [10-years-to-life for a lewd act on a
child under 14], 200.366, subds. (1)(b) & (3) [35-years-to-life for sexual
penetration of a child under 14 if no substantial bodily harm; else, life
without parole]; Ariz. Rev. Stat. §§ 13-705(A) [life sentence for
dangerous crimes against children including sexual conduct with a child under
12]; Mich. Comp. Laws Serv. § 750.520b, subds. (1)(a) & (2)(b)
[25-years-to-life for sexual penetration of a child under 13]; Miss. Code Ann.
§§ 97-3-101, subd. (3), 97-3-95, subd. (1)(d) [20-years-to-life for sexual
penetration of a child under 14]; Neb. Rev. Stat. Ann. § 28-319.01, subds.
(1)(a) & (2) [15-year minimum for sexual penetration of a child under 12];
11 R.I. Gen. Laws §§ 37-8.1, 37-8.2 [25-years-to-life for sexual penetration of
a child under 14]; S.C. Code Ann. §§ 16-3-651, subd. (h), 16-3-655, subds.
(A)(1), (D)(1) [25-years-to-life for oral copulation of a child under 11]; Utah
Code Ann. § 76-5-403.1, subds. (1) & (2)(a) [25-years-to-life for oral
copulation of a child under the age of 14].)7 Many of these statutes were passed in the
wake of a prominent sex offense case in Florida and modeled after that state's
Jessica Lunsford Act (Jessica's Law). In
California, voters approved Jessica's Law by ballot initiative (Proposition 83)
just months after the Legislature enacted section 288.7 as part of the Sex
Offender Punishment, Control, and Containment Act of 2006.
Although California's punishment for orally copulating a child under 10
is no doubt severe, it is not so disproportionate to the punishment imposed in
other states to render Baker's sentence constitutionally suspect. (
Wingo,
supra, 14 Cal.3d at p. 179.)
Baker argues his life sentence is "even more cruel and unusual
because it is mandatory." But
"[t]here can be no serious contention . . . that a sentence
which is not otherwise cruel and unusual becomes so simply because it is 'mandatory.' " (
Harmelin
v. Michigan (1991) 501 U.S. 957, 995 [upholding mandatory life sentence
without parole for first-time offender for possession of 672 grams of cocaine];
see
People v. Zepeda (2001) 87
Cal.App.4th 1183, 1214 [same principle applies to state constitutional
challenge].)
In short, considering all three techniques under
Lynch, we do not find Baker's indeterminate sentence under section 288.7, subdivision (b) so
disproportionate to his crime that it shocks the conscience or offends
fundamental notions of human dignity. (
Dillon, supra, 34 Cal.3d at pp. 477-478;
Lynch, supra, 8 Cal.3d at p. 424.) This is not that rarest of cases in which a
sentence is out of all proportion to the offense in violation of the state
constitution. (
Lynch, supra, at p. 424.)
2
. Federal
Constitution
The Eighth Amendment of the United States Constitution states in
full: "Excessive bail shall not be
required, nor excessive fines imposed, nor cruel and unusual punishments
inflicted." "Although it has
always been uniformly accepted that the federal cruel and unusual punishment
clause prohibits the infliction of certain modes of punishment (for example,
inherently barbaric punishments such as 'punishments of torture' [citation]),
there has been some dispute, particularly outside the context of capital
punishment, whether the provision also prohibits the imposition of punishment
that is 'excessive' or 'disproportionate' in relation to the offense or
offenses for which the punishment is imposed." (
In re
Coley (2012) 55 Cal.4th 524, 537−538.)
Baker relies heavily in his opening brief on
Solem v. Helm (1983) 463 U.S. 277, in which the Supreme Court held
unconstitutional a life without parole sentence for the defendant's seventh
nonviolent felony of passing a worthless check.
He does not note subsequent developments in Eighth Amendment
jurisprudence, such as the majority's comment in
Harmelin v. Michigan (1991) 501 U.S. 957 that "
Solem was scarcely the expression
of clear and well accepted constitutional law." (
Id.
at p. 965; see generally,
Christensen,
supra, 229 Cal.App.4th at pp. 804−806 [discussing post-
Solem jurisprudence].)
Graham,
supra, 560 U.S. 48 is the Supreme Court's latest pronouncement on the
matter. It clarifies that "[t]he
concept of proportionality is central to the Eighth Amendment." (
Id.
at p. 60.)8 The Eighth Amendment
"contains a 'narrow proportionality principle,' that 'does not require
strict proportionality between crime and sentence' but rather 'forbids only
extreme sentences that are "grossly disproportionate" to the crime.' " (
Id. at
pp. 59−60.) "[O]nly in
the 'exceedingly rare' and 'extreme' case" will a sentence be grossly
disproportionate to the crime. (
Lockyer v. Andrade (2003) 538 U.S. 63,
73.)
There is considerable overlap in the state and federal approaches. "Although articulated slightly differently,
both standards prohibit punishment that is 'grossly disproportionate' to the
crime or the individual culpability of the defendant." (
People
v. Mendez (2010) 188 Cal.App.4th 47, 64.)
"The touchstone in each is gross disproportionality." (
Palafox, supra, 231 Cal.App.4th at
p. 82.)
We begin an Eighth Amendment analysis "by comparing the gravity of
the offense and the severity of the sentence." (
Graham,
supra, 560 U.S. at p. 60.) "This
analysis can consider a particular offender's mental state and motive in
committing the crime, the actual harm caused to his victim or to society by his
conduct, and any prior criminal history."
(
Id. at p. 88 (conc. opn.
of Roberts, C.J.).) Only in the rare
case in which this threshold comparison leads to an " 'inference of
gross disproportionality' " do we proceed to "compare the
defendant's sentence with the sentences received by other offenders in the same
jurisdiction and with the sentences imposed for the same crime in other
jurisdictions." (
Id. at p. 60.)
For the reasons discussed above under the first prong of
Lynch, the threshold test does not lead
to an inference of gross disproportionality.
(Cf.
Graham, supra, 560 U.S.
at pp. 92−93 (conc. opn. of Roberts, C.J.).) [strong inference found as
to juvenile sentenced to life without parole where the crime and probation
violation were less serious than offenses like murder or rape, and defendant's
youth and immaturity made him "markedly less culpable than a typical adult
who commits the same offenses"].)
Although Baker's insignificant criminal record and low recidivism score
point in his favor, his three separate sexual offenses against A.D. and abuse
of trust against a vulnerable victim do not.
Certainly, a comparison of all the relevant factors does not lead to an
" 'inference of
gross
disproportionality.' " (
Id. at p. 60, italics added.) Baker cannot show that the sentence imposed
on him, severe as it may be, violates the Eighth Amendment as applied to him.9
DISPOSITION
The judgment is affirmed.
DATO, J.
WE CONCUR:
McCONNELL, P. J.
IRION, J.
1. Further statutory references are to the Penal Code unless otherwise
indicated.
2. Section 288.7, subdivision (b) provides: "Any person 18 years of age or older who
engages in oral copulation or sexual penetration, as defined in Section 289,
with a child who is 10 years of age or younger, is guilty of a felony and shall
be punished by imprisonment in the state prison for a term of 15 years to
life." "Oral copulation is
defined as any contact, no matter how slight, between the mouth of one person
and the sexual organ of another. Penetration
is not required." (
People v. Mendoza (2015) 240 Cal.App.4th
72, 79-80.) The phrase "10 years or
younger" means " 'under 11 years of age.' " (
People
v. Cornett (2012) 53 Cal. 4th 1261, 1275 (
Cornett).)
3. Section 288, subdivision (a) provides in relevant
part: "[A]ny person who willfully
and lewdly commits any lewd or lascivious act . . . upon or with
the body, or any part or member thereof, of a child who is under the age of 14
years, with the intent of arousing, appealing to, or gratifying the lust,
passions, or sexual desires of that person or the child, is guilty of a felony
and shall be punished by imprisonment in the state prison for three, six, or
eight years."
4. Baker refused to provide his social history and ended
his presentence interview with the probation department early, leaving us with
only his STATIC-99R recidivism score to gauge whether he would act similarly in
the future.
5. There are other differences too. "
Rodriguez
did not involve a recidivist statute."
(
People v. Martinez (1999) 71
Cal.App.4th 1502, 1511; see § 667.51, subds. (a), (c).) Nor did it involve the one strike sex
offender law, which sets a 25-years-to-life term for a defendant who kidnaps
and commits a lewd act on a child under the age of 14. (§ 667.61, subds. (c)(8), (e)(1),
(j)(2);
People v. Hiscox (2006) 136
Cal.App.4th 253, 257 ["The sentences prescribed by section 667.61 greatly
exceed the determinate sentences previously available for violations of section
288."].)
6. Indeed, section 288.7, subdivision (b) imposes the
same 15-years-to-life sentence for both oral copulation and sexual penetration
of a child younger than 10.
7. We can comfortably compare Baker's sentence for oral
copulation to sentences for sexual penetration in other states because the
Legislature views the two as warranting the same punishment for a victim under
the age of 10. (§ 288.7, subd.
(b).)
8. There are two types of Eighth Amendment
proportionality claims. The first is a
gross proportionality challenge to a particular sentence given to a
defendant. (
Graham, supra, 560 U.S. at pp. 59, 61
.) The second categorically
challenges a type of sentence as applied to an entire class of offenders (e.g.,
juveniles) who commit a range of crimes.
(
Ibid.) Baker's challenge falls within the first
category.
9. We reach this result without considering the Three
Strikes cases cited by the People. As
Baker notes, the People misconstrue those cases as authorizing life sentences
for minor theft offenses. (See
Ewing v. California (2003) 538 U.S. 11,
28-29 ["At the threshold, we note that Ewing incorrectly frames the issue.
The gravity of his offense was not
merely 'shoplifting three golf clubs.' Rather, Ewing was convicted of felony grand
theft for stealing nearly $1,200 worth of merchandise after previously having
been convicted of at least two 'violent' or 'serious' felonies." "In imposing a three strikes sentence,
the State's interest is not merely punishing the offense of conviction, or the 'triggering'
offense: '[I]t is in addition the
interest . . . in dealing in a harsher manner with those who by
repeated criminal acts have shown that they are simply incapable of conforming
to the norms of society as established by its criminal law.'
[Citations.] To give full effect to the
State's choice of this legitimate penological goal, our proportionality review
of Ewing's sentence must take that goal into account."].)