In Re McVickers
- Reporters:
- , ,
- Before:
- Schauer
Lead Opinion
Pеtitioner, by application for the writ of habeas corpus, seeks review of the adjudication or finding that he, “having been previously three times convicted, upon charges separately brought and tried, and having served separate terms therefor in state and/or federal penitentiaries for crimes enumerated in Section 644 of the Penal Code . . ., is an habitual criminal under the provisions of Section 644 of the Penal Code.” For the reasons hereinafter expressed we have concluded that a prisoner can, on application for habeas corpus, attack and secure appropriate relief from such an adjudication of habitual criminal status where it appears from the facts shown, either upon the face of the record or by satisfactory proof, that as a matter of law a prior conviction upon which the adjudicated status depends is of a crime which does not meet the definition of any offense enumerated in section 644. From the showing here it appears as a matter of law that petitioner in truth has been not three times but only twice convicted of felonies enumerated in section 644 of the Penal Code.
The pertinent provisions of the Penal Code under which petitioner was adjudged an habitual criminal, as they read at the time petitioner committed the primary offenses of which he was convicted (violations of the state narcotic laws) and at the time judgment against petitioner was entered, were as follows: Section 644 (as am. Stats. 1935, p. 1699) : “Every person convicted in this state of any felony who shall have been previously twice convicted upon charges separately brought and tried, and who shall have served separate terms therefor in any state prison and/or federal penitentiary, either in this state or elsewhere, of the crime of . . . burglary, . . . grand theft, . . . forgery, . . . shall be adjudged an habitual criminal and shall be punished by imprisonment in the state prison for life and shall not be eligible for release on parole until he shall have served a minimum of at
It is settled that “In order to adjudge a defendant an habitual criminal the test is not whether he shall have been twice convicted of any felonies, but whether he shall have been twice convicted of felonies enumerated in section 644 of the Penal Code.” (Italics added.) (People v. Lohr (1938),
The record of petitioner’s conviction of the primary or
After the time to appeal had expired petitioner moved the trial court to vacate or modify the judgment. Petitioner's attack on the judgment was directed only at the determination as to prior convictions. His motion was denied and he appealed. The order denying his motion was affirmed. (People v. McVicker (1940),
The arguments against permitting a collateral attack, by application for habeas corpus, on а determination that the petitioner is an habitual criminal are set forth in Thompson v. Harris (1944),
The courts of this state have uniformly permitted more extensive use of the writ of habeas corpus to review adjudications of habitual criminality than would be possible under thé view of the Utah court quoted above. We are satisfied, for the reasons hereinafter set forth, that the writ can consistently be made available to a prisoner who has been adjudged an habitual criminal although in truth and fact he is not, without so enlarging its scope as to make it in effect (as suggested in the above quotation) a writ of error to review the correctness of a conviction. It is important to note that petitioner here raises no question as to the validity or correctness of a judgment of conviction. Sis attach is directed only against a determination of facts on which depend the length of time during which he can be legally imprisoned and the possibility of his being released on parole.
The so-called adjudication of habitual criminal status is not and cannot be an element of adjudicated guilt, nor is it, properly speaking, a part of the judgment of conviction. Despite language of some cases (People v. Delany (1874),
From the foregoing discussion it follows that formal adjudication that a prisoner is an habitual criminal does not constitute an adjudication of guilt. It involves merely the determination of certain facts, all of which are matters of record, and, ordinarily, the declaration of a conclusion from such facts. The facts, rather than the conclusion, operate to prolong the prisoner’s confinement and limit his right to parole. Although this court has said that the trial court should in proper cases “formally adjudge” that defendant is an habitual criminal, it has held that such formal adjudication is unnecessary. (In re Boatwright (1932),
It is a part.of the philosophy of the indeterminate sentence law and our whole penological system that, within prescribed
Since the finding or adjudication as to a former conviction and habitual criminal status is severable from the proceedings and judgment on the primary offense (see 8 Cal.Jur. 646, § 617) no, violence is done to the finality of the judgment of conviction by permitting a collateral attack on the determination as to a prior conviction. The fact of a prior conviction is not ordinarily difficult of proof; it can be shown by certified copies of the indictment or information and the judgment. Sеrvice of a term of imprisonment can be shown by prison records. Nor is the precise extent of that which is res judicata, or the legal effect, of a foreign prior conviction difficult of ascertainment; both can be determined by examination of the pleadings and consideration of the judicially noticed law of the other state in the light also of' the law of this state. The language of section 668 of the Penal Code and the decisions hereinabove cited denote the limits of inquiry proper either on the trial or on review: whether the prisoner has been “convicted in another state” and served a term of imprisonment therefor in a state prison or a federal penal institution, and whether the essential elements of the offense of which he has been convicted are the same or substantially the same as those required by California law to constitute an offense enumerated in section 644. Therefore,
The extent of the growth of the function of habeas corpus collaterally to attack judgments of conviction in this state is illustrated by comparing with recent decisions (e. g., In re Connor (1940),
Corresponding to the development of habeas corpus as a means of attack on a judgment of conviction has been a broadening of the scope of the writ as a means of attack on an adjudication of habitual criminal status. The eases which have broadened this function of the writ present a logical and chronological line of development, but they do not expressly recognize such development nor do they state grounds for a distinction between the scope of habeas corpus to attack collaterally a judgment of conviction and its scope to attack collaterally an adjudication of habitual criminality. Without
Furthermore, it should be noted, in a habeas corpus proceeding we are not by our statute or by recent judicial holdings necessarily confined under all circumstances to that which appears on the face of the record. Section 1484 of the Penal Code provides that on such proceedings the petitioner may “allege any fact to show either that his imprisonment or detention is unlawful, or that he is entitled to his discharge. The court or judge must thereupon proceed in a summary way to hear such proof as may be produced against such imprisonment or detention, or in favor of the same, and to dispose of such party as the justice of the case 'may require. ...” (Italics added.) Habeas corpus is essentially a collat
In addition to the objections, hereinabove discussed (that upholding the decisions of the cases which have broadened the historical scope of habeas corpus review might result in a situation where no judgment would be final and habeas corpus would be available to retry all issues of fact on which final judgments of conviction are based), other objections to the use of the writ in eases such as this have been suggested. Our attention is called to People v. Stone (1945), 69 Cal.App.2d
Sections 644 and 668 of the Penal Code contemplate that a defendant shall have been convicted in a judicial proceeding of a crime enumerated in section 644. All the essentia] facts of his guilt must be res judicata. In applying section 644 the courts of this state may take cognizance only of what has been lawfully adjudicated. Any other rule would lead to absurd consequences. If our trial courts could take evidence to prove, and upon that evidence adjudicate for themselves, that a defendant had been convicted in another state of grand theft as defined in our code despite the fact that he had been there charged, tried, and convicted under a statute defining another offense (here, an offense the only adjudicated elements of which amount to petty theft in California), then our courts could also take evidence and decide that the defendant had been convicted in the other state of robbery or burglary or bribery, or any other offense enumerated in section 644, even though he had never bеen charged with, placed upon trial for, or adjudged guilty of, any of those offenses in such other state. Respondent relies upon certain language in In re Taylor (1944), supra,
The pertinent averment of the information in this case is that prior to the commission of the alleged substantive offenses petitioner in 1924 “was, in the District Court of the State of Utah . . . convicted of the crime of Grand Larceny, a felony, and . . . served a term of imprisonment therefor.”
The conclusion above announced is in full accord with the decision of the District Court of Appeal (hearing in this court denied) in People v. Lohr (1938), supra,
It has long been the law, even in regard to a judgment of conviction, that “if it affirmatively appears by the record that the prisoner was tried and sentenced for the commission of an act which,' under the law, constitutes no crime, the judgment is void and the prisoner should be discharged.” (Ex parte Mirande (1887),
Petitioner contends that the determination that he was previously convicted of “forgery, a felony,” and served a term of imprisonment therefor is also insufficient as a basis of the adjudication that he is an habitual criminal. This contention probably would have to be sustained if we were confined to matters appearing in the trial court record of conviction. The information, in this regard, charged merely that the defendant (petitioner, here) had been previously “in the United States District Court . . . convicted upon nine counts of the crime of Violation of Section 218 of the Criminal Code of the United States .. . . and said defendant served a term of imprisonment therefor in the federal prison. ’ ’ Section 218 of the Criminal Code (
It is immaterial that forgery was not one of the offenses enumerated in section 644 of the Penal Code in 1928, when petitioner committed and was convicted of the forgeries. Petitioner is not being punished for the forgeries but for the primary offenses of violations of the Narcotics Act. (In re Rosencrantz (1928), supra,
The correctness of the determination as to the prior conviction of burglary in Nevada is not here attacked.
For the reasons above stated it appears that petitioner is an habitual criminal who has been previously twice, but not three times, convicted of felonies enumerated in section 644 of the Penal Code (as am. Stats. 1935, p. 1699) and that he is, therefore, entitled to be accorded the benefits as well as the penalties of the law applicable to persons who have suffered two, rather than three, prior convictions; since he is not, as such habitual criminal, presently entitled to discharge or to release on parole, the writ is discharged and the petitioner is remanded to custody.
Gibson, C. J., Shenk, J., and Carter, J., concurred.
Concurrence Opinion
I concur with the conclusion reached in the majority opinion that the writ should be discharged and that the petitioner should be remanded to custody. I further concur with the conclusion
The majority opinion reaches the conclusions from which I dissent after a lengthy discussion of the circumstances under which an habitual criminal adjudication may be nullified in a proceeding on habeas corpus. However, as the majority opinion here does not nullify but, on the contrary, sustains the trial court’s adjudication that petitioner is “an habitual criminal,” and as the conclusion in the majority opinion, which is the subject of disagreement, concerns only the effect of the habitual criminal adjudication upon petitioner’s eligibility for parole, I shall discuss more fully in my dissent in another pending case (In re Seeley, post, p. 294 [
As shown by the provisions of our habitual criminal law
Assuming therefore that the inquiry with respect to the third prior conviction of grand theft is not confined to the face of the record in the criminal action in which the habitual criminal adjudication was made, the entire showing made in this proceeding, including that appearing on the face of the record, may be briefly stated. In a criminal action instituted in this state in 1938, petitioner was convicted of three felonies consisting of violations of the state narcotic laws. In that action petitioner admitted three prior convictions of felonies and service of terms therefor in state and federal prisons. The three prior convictions, as alleged in the information and admitted by petitioner, were (1) a conviction in 1924, in Utah, of the crime of grand larceny, a felony; (2) a conviction in 1925, in Nevada, of the crime of burglary, first degree, a felony; and (3) a conviction in 1928, in the federal court in California, of nine counts of violation of section 218 of the United States Criminal Code (T.
The additional showing made in this proceeding with respect to the challenged third prior conviction of grand larceny consists of presenting to this court a copy of the information and copy of the proceedings on sentence in the criminal action in Utah in'1924. It appears from the information that petitioner was jointly charged with another defendant with having committed the crime of ‘ ‘ Grand Larceny, a felony, ’ ’ in that ‘ ‘ The said defendants, on May 27, 1924, at the County of Weber, State of Utah, wilfully, unlawfully and feloniously took, stole and drove away a certain light six Studebaker automobile, Model 1923, bearing motor No. BM95849, belonging to B. Rosenberg, the same having a value in excess of $50.00.” Petitioner and his codefendant there entered pleas of guilty to the offense charged and were sentenced to and served terms for their offense in the Utah State Prison. Thus petitioner has merely shown that the challenged Utah prior conviction in 1924 of ‘ ‘ Grand Larceny, a felony, ’ ’ was for the theft in 1924 of a 1923 Studebaker automobile “having a value in excess of $50.00.”
While it is true that this state had, prior to the time of the commission of the Utah offense, raised from $50 to $200 the value elemеnt in its definition of “grand larceny” (Stats. 1923, ch. 129, p. 271; now known as “grand theft,” Stats. 1927, ch. 619, p. 1047), and while it is further true that this state had not, prior to the time of the commission of the Utah offense, provided that the theft of an automobile of any value should constitute grand theft (see amendment to
The majority opinion makes an entirely different approach to this problem and I am not certain of its implications. Is it implied by the majority opinion that regardless of the value of the property taken, а prior conviction of grand larceny in another jurisdiction can never be counted as a prior conviction here if the value element of the crime, as defined in the other jurisdiction, is less than $200 ? Or is it implied that such prior conviction of grand larceny may be counted provided the value of the property taken exceeds $200? If the latter be the implication intended by the majority opinion, then does not the majority opinion imply that the burden of proof with respect to the value element is on respondent rather than on petitioner in this habeas corpus proceeding ?
The majority opinion states; “The pleading and proof or admission of a conviction for grand larceny in Utah, without more, establishes that petitioner was convicted of the theft of
As the majority opinion herein discusses quite generally the nature and operation of our habitual criminal law (
The majority opinion discusses “the philosophy of the indeterminate sentence law.” This discussion appears to be beside the point in a ease dealing with our habitual criminal law. The Legislature of our state was fully aware of the philosophy which had been embraced in our indeterminate sentence law when it decided to adopt a different philosophy with respect to habitual criminals by providing in our habitual criminal law that the sentence should be determinate rather than indeterminate. (See People v. Vaile,
There are many who doubt the soundness of the philosophy underlying our habitual criminal law but there is no doubt concerning the philosophy which is embraced therein. The Legislature deemed it entirely sound and consistent to embrace onе philosophy in our indeterminate sentence law, which applies to those with less than two prior convictions, and to embrace a different philosophy in our habitual criminal law which applies to those with two or more prior convictions. In view of the action of the Legislature, it does not appear proper for the courts to base their reasoning upon a confusion of these two philosophies.
It is reasoning based upon a confusion of these two philosophies which leads to the majority view that no particular finality or sanctity should be attached to a judgment making a “formal adjudication that a prisoner is an habitual criminal”; and that an attack on an habitual criminal adjudication “is directed only against a determination of facts,” in which attack the rules applicable to collateral attack upon judgments should not be applied. I cannot agree with these conclusions. '
There are certain recent cases decided in the District Courts of Appeal, some of which are cited in the majority opinion and some of which lend support to the views expressed in the majority opinion. The first of these cases was In re Connell,
The Connell case was thereafter cited with approval and followed in In re Howard,
The earlier case of In re Taylor,
It must be conceded that the habitual criminal laws have presented many perplexing problems to the courts and to others charged with the administration of our penal laws. Many of these problems arise because of the differences in the laws of thе several states where the prior convictions have been had. In some states certain offenses are defined in a manner similar to offenses defined in our Penal Code but are given different names. In other states certain offenses which are given names similar to offenses specified in our Penal Code are defined as having somewhat different statutory elements. The present case presents a typical example. This state defines theft (
This state now defines grand theft as the' taking of certain specified property of any value, or the taking of certain other specified property “of' a value exceeding fifty' dollars,” or the taking of other property generally “of a value exceeding two hundred dollars,” or the talcing of property of any value “from the person of another.” (
As I read the majority opinions in this case and in the Seeley case, I am inclined to think that it is implied in said opinions that a conviction of “grand larceny” in Utah may, under certain circumstances, be counted in this state as such prior conviction. If this were not the rule, then an accused who had committed several offenses of “grand larceny” in Utah could never be adjudged an habitual criminal in this state by reason of such priors, even though property of great value had been taken in the commission of each of said offenses. Furthermore, any other rule would be contrary to the rule indicated by numerous decisions in this state including In re Taylor, supra,
The doubt concerning the above mentioned implication arises by reason of several expressions used in said majority opinions. In the majority opinion herein, it is said that the examination of such prior conviction for the purpose mentioned requires “merely a consideration of documentary and record evidence”; that “In applying
The customary method of alleging “grand larceny” in Utah is no doubt exemplified by the Utah information which was filed against petitioner in 1924. The only required allegation regarding value in Utah was that the property taken had a value “in excess of $50.00.” Any allegation of a higher value would have been an immaterial allegation. If the information had alleged that the property taken was of the value of $1,000, the Utah court would have properly informed petitioner on arraignment for plea that if he had taken property of a value in excess of $50, any dispute as to the value as between $50.01 and the higher value alleged in the information was wholly immaterial. Likewise, the Utah court would have properly instructed the jury to like effect in the event that there had been a conflict in the evidence on value at the trial. In case of either a plea of guilty or a verdict of guilty of “grand larceny” in Utah, the only fact “adjudicated” with respect to value would have been that the property had a value “in excess of $50.00,” as required by the Utah statute. We therefore cannot content ourselves, as do said majority opinions, with talking of “adjudicated facts” or “adjudicated elements,” for if we do, no prior conviction of “grand larceny” in Utah could ever be counted as a prior conviction in this state so long as there remains any difference whatever in the value element as required by the Utah definition of grand larceny and as required by the California definition of grand
It is true that a conviction in Utah for grand larceny might be either (1) for an offense involving property of a value of from $50.01 to $200 or (2) for an offense involving property of great value, perhaps of the value of $10,000 or more; and it is further true that in California an offense committed in this state and falling within the first class would be a misdemeanor only. (
Reference is made in the majority opinion to certain language appearing in People v. McVicker, supra,
For the reasons stated, I am of the opinion that the writ should be discharged and that the petitioner should be remanded to custody without any declaration by this court that petitioner “has been previously twice, but not. three times, convicted of felonies enumerated in
Edmónds, J., and Traynor, J., concurred.