Smallwood v. JohnsonSmallwood v. Johnson
Petitioner-appellant Simon Smallwood (Smallwood) appeals the district court’s grant of respondent-appellee’s motion for summary judgment and dismissal of his habeas corpus petition under
Facts and Procedural Background
Smallwood was arrested exiting the Fiesta Mart grocery store at 5800 Lyons Avenue in Houston, Texas with three unpaid for packages of meat concealed on his person. This property had a total value of $27.64, and Smallwood was charged with theft of property under the value of $750.
The indictment contained two paragraphs also charging that Smallwood had been convicted of theft on two prior occasions; these convictions upgraded the offense of conviction — otherwise a class B misdemeanor — to a third degree felony.
The indictment contained two additional paragraphs charging that Smallwood had been previously convicted of two felonies, burglary of a building and unlawful possession of a controlled substance. Accordingly, the Texas habitual offender statute was invoked, and Smallwood’s sentencing range increased to 25 to 99 years, or life.
At trial, the officer from the Loss Prevention Office who apprehended Smallwood testified that he first observed Smallwood on the store’s surveillance camera picking up meat in the store’s meat department. He subsequently witnessed Smallwood appear in an express check-out lane, where Smallwood purchased a container of juice and a loaf of bread. This officer, assisted by a colleague from the Loss Prevention Office, stopped Smallwood as he exited the store. Asked about Smallwood’s reaction to this initial detention, the officer testified that Smallwood said, “I know what it’s about. I’m not going to fight you. I just needed this.” A search
On direct appeal, the judgment of the trial court was affirmed 2 , and discretionary review was subsequently refused by the Texas Court of Criminal Appeals on May 20, 1992. Smallwood’s writ of habeas corpus was denied by the Texas Court of Criminal Appeals on September 8, 1993, and Smallwood then filed the instant petition for writ of habeas corpus in the district court below (in forma pauperis) on September 27, 1993. The district court granted respondent’s motion for summary judgment on August 16, 1994, concurrently ordering the dismissal of Small-wood’s petition.
Smallwood now brings this appeal. 3
Discussion
Smallwood presents four points of error. We discuss these seriatim.
Smallwood’s first point is that the district court erred in its application of the Supreme Court’s decision in
Rummel v. Estelle,
In
Rummel,
the Supreme Court held that a sentence of life imprisonment with an opportunity for parole after twelve years did not constitute cruel and unusual punishment in a situation where the defendant, convicted of obtaining $120.75 by false pretenses, had two prior felony convictions. In so holding, the Court emphasized a point clearly relevant to Smallwood’s contentions of dispropor-tionality: recidivist statutes punish not only the offense of conviction but also the “propensities” of the defendant demonstrated by his prior convictions for other crimes.
Id.
at 283-285,
In
Solem,
the Supreme Court held that a sentence of life imprisonment
without
the possibility of parole — imposed against a defendant convicted of uttering a worthless check in the amount of $100 — violated the Eighth Amendment’s prohibition against cruel and unusual punishment. The defendant’s sentence had been enhanced pursuant to a South Dakota recidivist statute. 463 U.S. at
This Court has noted that
Rummel
survived
Solem,
and controls in cases with factual situations not “clearly distinguishable” from
Rummel. Burt v. Puckett,
This Court has grappled with this threshold determination of gross disproportionality on at least two occasions. In McGruder, we noted that the defendant had a record of prior convictions which included two separate convictions for armed robbery. Considering that McGruder’s prior convictions included two crimes of violence per se, and that Rum-mel’s predicate offenses were “non-serious” — passing a bad check and passing a forged check — and further considering that Rummel nevertheless received a mandatory life sentence with a possibility of parole, this Court concluded that “[tjhere can be no argument, in the light of Rummel, that McGru-der’s sentence is disproportionate, much less grossly disproportionate, to his offense.... Rummel’s record of offenses was much less grave than McGruder’s.” Id. at 317.
We applied a similar analysis in
Duhr v. Collins,
No. 93-8169,
“As in Rummel, none of Duhr’s convictions were for crimes of violence. However, as the district court observed, felony DWI is arguably a more serious crime than the theft conviction at issue in Rummel due to the obvious threat drunk drivers pose to other motorists and pedestrians.” Id. at 9.
McGruder
and
Duhr
may provide a litmus test of sorts for determining whether a sentence is grossly disproportionate to an offense. The present case, however, involves a situation in which the gravity of Smallwood’s prior convictions and offense of conviction do
This distinction aside, however, the rationale supporting our conclusions in McGruder ' and Duhr applies equally to the present situation. If Rummel’s sentence was not grossly disproportionate to his offense, the same must be true of Smallwood’s sentence. The similarities between the convictions at issue in Rummel and at present are evident, and no compelling argument has been made that Smallwood’s convictions are less grave than the “yardstick” convictions at issue in Rum-mel. Additionally, we note the district court’s observation that Smallwood’s sentence, like Rummel’s, allows for the possibility of parole in approximately the same time. In upholding Duhr’s ninety-nine year sentence, this Court emphasized the same ameliorative fact. No. 93-8169 at 9. Within the analytical framework constructed in McGru-der and Duhr, therefore, the present factual situation is not “clearly distinguishable” from Rummel, and an analysis of Smallwood’s case under the criteria enumerated in Golem is not warranted.
The second point of error presented by Smallwood in this appeal is that he was denied due process and the right to trial by an impartial jury because the jury charge put Smallwood’s two prior theft convictions before the jury and the trial court overruled Smallwood’s objection that a limiting instruction should have accompanied this charge.
In
Thomas v. Estelle,
The remaining issue is whether constitutional error occurred when the trial court overruled Smallwood’s objections and refused to instruct the jury that it should not consider Smallwood’s prior convictions as evidence of his guilt of the theft for which he was being tried. In
Spencer v. Texas,
the
“To say the United States Constitution is infringed simply because this type of evidence may be prejudicial and limiting instructions inadequate to vitiate prejudicial effects, would make inroads into this entire complex code of state criminal evidentiary law, and would threaten other large areas of trial jurisprudence.” Id. at 562,87 S.Ct. at 653 .
In
Thomas v. Estelle, supra,
this Court confronted a situation in which a limiting instruction had not been given in this context, and concluded that the absence of such a limiting instruction precluded the application of
Spencer.
In the present case, Smallwood’s counsel did timely object to opposing counsel’s reference — in opening statement — to Smallwood’s prior theft convictions and, subsequently, to the court’s inclusion of Smallwood’s two prior theft offenses in the jury charge. Before submission of the charge to the jury, counsel for Smallwood urged that the following instruction be read to the jury:
“You are instructed that certain evidence was admitted before you in regard to the defendant’s having been charged and convicted of an offense or offenses other than the one for which he is now on trial. Such evidence cannot be considered by you against the defendant as any evidence of guilt in this case. Said evidence was admitted before you for the purpose of aiding you, if it does aide you, in passing upon the weight you will give his testimony and you will not consider the same for any other purpose.”
The trial court overruled Smallwood’s objections and refused to give this requested limiting instruction.
We decline, however, to reach the issue of whether the state trial court’s actions in overruling the objections and refusing to give this requested limiting instruction constituted constitutional error because, even if the trial court did commit constitutional error, this Court clarified in
Thomas
that such error must have rendered the trial fundamentally unfair in order to afford a basis for relief under
We now turn to Smallwood’s third point of error, which asserts that the simultaneous application of Tex.Penal Code Ann.
Smallwood’s initial offense of conviction, a class B misdemeanor under Texas law, was made a felony grade offense pursuant to Tex.Penal Code Ann.
To the contrary, the Texas Court of Criminal Appeals has held that the Texas legislature did intend for
The fourth and final point of error presented by Smallwood is that Tex.Penal Code Ann.
In
Ross v. Estelle,
Smallwood additionally contends that
When neither a fundamental right nor a suspect classification is implicated, a legislative classification is subject to review under the rational basis test to determine if the classification rationally promotes a legitimate governmental objective.
Brennan v. Stewart,
Smallwood’s final equal protection claim challenges the alleged practice by which the decision — left to the discretion of the prosecutor — to apply these two enhancement provisions together is made only after a defendant refuses a plea bargain. It is clear that due process is not violated when a state prosecutor exercises his discretion and charges a defendant as a habitual offender for refusing a plea bargain.
Bordenkircher v. Hayes,
In the third component of this challenge to the constitutionality of
“A penal statute is void for vagueness unless it ‘define[s] the criminal offense with sufficient definiteness that ordinary people can understand what conduct is prohibited and in a manner that does not encourage
Finally, Smallwood’s argument that
Conclusion
Having fully considered and rejected each of Smallwood’s points of error, the judgment of the district court is accordingly AFFIRMED.
Notes
. This provision was originally contained in subsection (d)(4)(C) of
.The Court of Appeals for the First District of Texas affirmed Smallwood's conviction and sentence after considering three points of error: (1) whether the simultaneous application of Tex.Penal Code Ann.
. We previously granted Smallwood's motion for certificate of probable cause, the district court having earlier denied such relief.
.
Solem
was overruled to the extent that it found in the Eighth Amendment a guarantee of proportionality.
Harmelin v. Michigan,
. Without elaboration, this Court thereby clarified in
Duhr
that
Rummel
shall apply to situations in which a defendant’s offense of conviction is "doubly enhanced”, once from a misdemeanor to a felony, and again pursuant to a recidivist statute. It should also be noted that the Texas Court of Criminal Appeals has held that theft offenses may be doubly enhanced by the combined application of
. Tex.Penal Code Ann.
. No evidence of any prior offenses other than the two prior theft offenses alleged to make the instant theft a felony was before the jury before the punishment stage; nor were the habitual offender prior offense allegations read to the jury before the punishment stage.
. In
Spencer,
the Supreme Court noted that its ruling on the constitutional issue before it was limited to the procedures — involving the submission of prior convictions to the jury — embodied in Vernon’s Ann.
. Even where cumulative punishments for the same offense are authorized by the legislature, the Double Jeopardy Clause is not offended.
See United States v. McCarty,
. This was the range of theft offenses encompassed within the language of