Lead Opinion
Opinion
A person kidnaps his victim, drives her into a desert, then rapes her and leaves her behind. May he be punished for the kidnapping as well as the rape under Penal Code section 654, which prohibits multiple punishment for “[a]n act or omission” that is punishable by different provisions of the code? A divided Court of Appeal held that such separate punishment is not permitted because the sole objective of the kidnapping was to facilitate the rape.
This result was based on a decision of this court over 30 years ago that established the direction multiple-punishment analysis has taken in California ever since. (Neal v. State of California (1960)
While sympathetic with some of the Attorney General’s arguments, we conclude that we may not now overrule Neal, supra,
We therefore affirm the judgment of the Court of Appeal.
I. Facts
As part of a plea bargain, defendant pleaded nolo contendere to two counts of forcible rape (Pen. Code, § 261, former subd. (2)) and one count of kidnapping (Pen. Code, § 207, subd. (a)); as to one of the rapes, he admitted inflicting great bodily injury. (Pen. Code, § 12022.8.) He had been charged with three counts of rape, two of kidnapping and one of forcible oral copulation. It was agreed that defendant would not receive a prison sentence greater than 20 years, 8 months, and that the remaining counts would be dismissed. Because the plea was entered before the preliminary hearing, the parties stipulated that the report of the sheriffs department constituted a factual basis for the plea. The court sentenced defendant to prison for six years for each of the two rapes, for five years for the infliction of great bodily injury, and for a consecutive term of one year, eight months (one-third of the midterm) for the kidnapping, for a total of eighteen years, eight months.
The sheriff’s department and probation reports establish that on Christmas Eve 1989, defendant and the victim, who had met defendant once before, went on some errands in a car borrowed from a friend. At one point, instead of stopping as he was supposed to, defendant drove past the end of the paved road and into an undeveloped area of nearby desert.
Defendant then assaulted the victim. He hit and choked her to force her to undress and submit to him. He then raped her and forced her to orally copulate him. Afterwards, both defendant and the victim got dressed, and defendant drove away. Rather than return to town, however, defendant drove about 50 to 75 yards farther into the desert. There, he raped her a second time. They got dressed again, and again defendant drove farther into the desert. After driving another 30 to 75 yards, defendant stopped the car for a third time. This time the victim, fearing that defendant would kill her, jumped out of the car and ran into the desert. Defendant drove away.
The victim suffered a broken jaw, and had bruises and scratches on her eye, neck, back, hip and arm.
The Court of Appeal, by a two-to-one vote, held that Penal Code section 654 prohibited punishment for the kidnapping in addition to the rapes.
We granted review limited to the merits of the Penal Code section 654 issue.
II. Discussion
A. The Neal Test
Penal Code section 654 (section 654), which has remained substantially unchanged since its enactment in 1872,
In Neal, supra, 55 Cal.2d. at page 15, the petitioner “threw gasoline into the bedroom of [the victims] and ignited it The [victims] were severely burned. Petitioner was tried and convicted on two counts of attempted murder and one count of arson . . . .” The issue was whether section 654 prohibited separate sentencing for the crimes. We held that consecutive sentences for the two attempted murders were proper because they were crimes of violence against separate victims (id. at pp. 20-21), but reached a different conclusion regarding the arson.
After finding that conviction for all the crimes rested upon the “act of throwing gasoline into the bedroom of [the victims] and igniting it,” we held
The Neal opinion then stated the test that has been followed ever since: “Whether a course of criminal conduct is divisible and therefore gives rise to more than one act within the meaning of section 654 depends on the intent and objective of the actor. If all of the offenses were incident to one objective, the defendant may be punished for any one of such offenses but not for more than one.” (Neal, supra,
This statement, and, specifically, reliance on the “intent and objective of the actor,” was a substantial departure from our earlier decision of In re Chapman (1954)
We then stated the test: “It is only when the two offenses are committed by the same act or when that act is essential to both that they may not both be punished.” (Chapman, supra,
Creation of the Neal test did not go unchallenged. Justice Schauer dissented in Neal itself, although that dissent focussed primarily on whether section 654 may be raised on habeas corpus. (Neal, supra,
In Seiterle v. Superior Court, supra,
Justice Schauer’s views were expressed most fully in his concurring and dissenting opinion in People v. McFarland, supra,
Justice Schauer further argued, “The inevitable effect of this gratuitous ruling will be to create a bargain era for criminals: any number of crimes can be committed for the price of one, provided only that all be included in ‘the intent and objective of the actor.’ ” (People v. McFarland, supra,
These criticisms have some merit. By its language, section 654 applies only to “[a]n act or omission . . . .” Nothing in this language suggests the “intent or objective” test. As we have noted before, that test is a “judicial gloss” that was “engrafted onto section 654.” (People v. Siko (1988)
In some situations, the gloss defeats its own purpose. We have often said that the purpose of section 654 “is to insure that a defendant’s punishment will be commensurate with his culpability.” (People v. Perez, supra,
A victim, as in this case, who is forcibly transported into the desert, then raped, would be astonished to learn that tiie rape and the kidnapping were considered to be the same “act or omission” (§ 654), and would find little consolation in the explanation that the defendant had only a single “intent and objective.” The kidnapping was a completely separate crime; it should be separately punishable.
Decisions since Neal have limited the rule’s application in various ways. Some have narrowly interpreted the length of time the defendant had a
Other cases have found separate, although sometimes simultaneous, objectives under the facts. (E.g., People v. Coleman (1989)
These examples, which are not exhaustive, have helped mitigate the concerns regarding the Neal test in specific situations, but have not eliminated them entirely.
B. Stare Decisis
For these reasons, if this were a question of first impression, this court might today adopt a rule that is truer to the language of section 654 and its purpose, such as that stated in Chapman, supra,
“It is, of course, a fundamental jurisprudential policy that prior applicable precedent usually must be followed even though the case, if considered anew, might be decided differently by the current justices. This policy, known as the doctrine of stare decisis, ‘is based on the assumption that certainty, predictability and stability in the law are the major objectives of the legal system; i.e., that parties should be able to regulate their conduct
The issue here is one of statutory interpretation. “[T]he burden borne by the party advocating the abandonment of an established precedent is greater where the Court is asked to overrule a point of statutory construction. Considerations of stare decisis have special force in the area of statutory interpretation, for here, unlike in the context of constitutional interpretation, the legislative power is implicated, and Congress remains free to ¿ter what we have done.” (Patterson v. McLean Credit Union, supra, 491 U.S. at pp. 172-173 [
This is not to say that decisions of statutory interpretation may never be overruled. In People v. King (1993)
In piloting a path between the conflicting considerations involved here, questions of reliance are often crucial. Parties, society, and legislative bodies may act in reliance on a particular statutory interpretation; overruling that interpretation might have undesirable consequences not present at the time of the original decision. “Stare decisis has added force when the legislature, in the public sphere, and citizens, in the private realm, have acted in reliance on a previous decision, for in this instance overruling the decision would
Reliance interests of the parties and society can sometimes be minimized or even negated entirely by making the new rule prospective only. (E.g., People v. King, supra, 5 Cal.4th at pp. 79-80 [decision overruling In re Culbreth, supra,
In Hilton v. South Carolina Public Railways Com’n, supra,_U.S. at page _[
Here, the Legislature has not exactly relied on the Neal rule, since it had the power to overrule it. It has also never expressly endorsed it. Rather, it has essentially accepted it, perhaps out of a belief that courts are best suited to analyze double-punishment questions. But the result for present purposes is the same as if there had been legislative reliance. The Legislature has enacted substantial legislation reflecting its acceptance of the Neal rule. The rule has thus become, not part of the basic framework of a sizeable industry, as in Quill Corp. v. North Dakota, supra,
Section 654, and its Neal gloss, apply to a host of factual situations involving different crimes and different statutes. Since Neal was decided in 1960, the Legislature has dramatically altered the sentencing landscape.
These abstract concerns become concrete upon examination of the specific crimes involved in this case. In 1983, the Legislature added Penal Code section 667.8. As it currently reads, subdivision (a) of that section provides in pertinent part that “any person convicted of a felony violation of [specified sexual offenses, including rape,] who, for the purpose of committing that sexual offense, kidnapped the victim in violation of Section 207, shall be punished by an additional term of three years.” This enhancement was neither pled nor proven here, and thus cannot be applied. (People v. Hernandez (1988)
In People v. Hernandez, supra,
If we now overrule Neal, and adopt a new rule that would allow consecutive punishment in this case, we would be left with both the ability to consecutively punish the kidnapping and the three-year enhancement of Penal Code section 667.8. Difficult questions would arise. Would both consecutive punishment and the enhancement be allowed? If so, the total sentence might well be greater than the Legislature ever contemplated, since
In People v. King, supra,
Our refusal to overrule Neal, however, must not be construed as an endorsement of its wisdom. A different rule, such as that of In re Chapman, supra,
We also stress that nothing we say in this opinion is intended to cast doubt on any of the later judicial limitations of the Neal rule. For example, we do not intend to question the validity of decisions finding consecutive, and therefore separate, intents, and those finding different, if simultaneous, intents. (See pt. II. A., ante, last three paragraphs.) Multiple punishment in those cases remains appropriate.
C. Resolution of This Case
It could be argued that defendant had two intents: (1) to drive the victim against her will to an isolated area, and (2) to rape her. Cases applying the Neal rule, however, make clear that multiple punishment for both the rapes and the kidnapping is prohibited under the circumstances of this case. Although the kidnapping and the rapes were separate acts, the evidence does not suggest any intent or objective behind the kidnapping other than to facilitate the rapes. “Since the kidnapping was for the purpose of committing the sexual offenses and [defendant] has been punished for each of the sexual offenses,” section 654 bars execution of sentence on the kidnapping count.
III. Conclusion
The judgment of the Court of Appeal is affirmed.
Lucas, C. J., Panelli, J., Kennard, J., Baxter, J., and George, J., concurred.
Notes
The court also noted that its “conclusion in this regard is limited to cases concerning plea bargains made prior to January 1, 1991.” California Rules of Court, rule 412(b), effective January 1, 1991, now provides: “By agreeing to a specified prison term personally and by counsel, a defendant who is sentenced to that term or a shorter one abandons any claim that a component of the sentence violates section 654’s prohibition of double punishment, unless that claim is asserted at the time the agreement is recited on the record.”
Section 654 was amended twice as part of the transition to the Determinate Sentencing Act: the first amendment modified, and the second deleted entirely, the original second sentence of the statute which contained cross-references to other Penal Code sections. The first amendment never took effect, as it was subsumed by the second. (Stats. 1976, ch. 1139, § 264, p. 5137; Stats. 1977, ch. 165, § 11, p. 644.)
In People v. Collins (1963)
Because the Neal opinion cited People v. Brown, supra,
Concurrence Opinion
I concur in the judgment.
However, I do not join in the criticism of Neal v. State of California (1960)
