State v. BreazealeState v. Breazeale
Lead Opinion
— Respondents in this case sought and received orders from Adams County Superior
FACTS
Mr. Randy Breazeale was convicted of second degree burglary in 1976. His sentence was deferred and he was placed on probation. In 1979, following completion of probation, the trial court entered an order vacating the finding of guilt and dismissing Breazeale’s conviction.
Ms. Sheila Berlanga-Hernandez was charged with forging a check in 1976. She pleaded guilty and received a deferred sentence and was placed on probation. The court order stated that if she complied with all the terms and conditions of the sentence she could petition for dismissal of the charge. In 1978, the court granted her motion for dismissal.
In October 1996, the superior court granted Ms. Berlanga-Hernandez’s motion for an order to expunge her criminal arrest record. A copy of the court order was sent to the Patrol. In a letter addressed to the Adams County Superior Court dated June 18, 1997, the identification and criminal history section replied that “we are unable to comply with your request for expungement based on a dismissal after initial conviction.” Clerk’s Papers (CP) (Berlanga-Hernandez) at 8. The letter continued: “The conviction will remain on the record until we receive a court order to vacate the sentence, pursuant to
In 1998, Ms. Berlanga-Hernandez and Mr. Breazeale retained counsel who then filed motions for orders vacating the judgments and sentences in both cases as recommended by the Patrol’s letter. The court granted the motions on September 4, 1998, and the orders were mailed to the criminal identification section of the Patrol. In a letter addressed to the Adams County Superior Court the Patrol stated, “[p] lease be advised we are unable to comply with your request for vacation of the above noted offender’s sentence. The procedure for vacating the offender’s record only applies to defendants who have been convicted of a felony after June 30, 1984, and who have been discharged pursuant to
Defense counsel then filed motions for orders directing the Patrol to show cause why it should not be held in contempt for its refusal to honor the court’s orders vacating Respondents’ convictions. Following the show cause hearing, the court concluded the Patrol could not be held in contempt for failure to comply with the court’s previous orders to vacate and reversed its earlier order granting vacation. The court found that (1) Respondents’ convictions predate
DISCUSSION
The first issue presented is whether courts have authority to order the vacation, expungement, or sealing of conviction records dismissed pursuant to
Prior to adoption of the Sentencing Reform Act of 1981 (SRA), trial courts could suspend or defer imposition of sentence and place defendants on probation in lieu of prison. Upon successful completion of probation, the court could, under
Every defendant who has fulfilled the conditions of his probation for the entire period thereof, or who shall have been discharged from probation prior to the termination of the period thereof, may at any time prior to the expiration of the maximum period of punishment for the offense for which he has been convicted be permitted in the discretion of the court to withdraw his plea of guilty and enter a plea of not guilty, or if he has been convicted after a plea of not guilty, the court may in its discretion set aside the verdict of guilty; and in either case, the court may thereupon dismiss the information or indictment against such defendant, who shall thereafter be released from all penalties and disabilities resulting from the offense or crime of which he has been convicted. The probationer shall be informed of this right in his probation papers: PROVIDED, That in any subsequent prosecution, for any other offense, such prior conviction may be pleaded and proved, and shall have the same effect as if probation had not been granted, or the information or indictment dismissed.
In adopting the SRA, the Legislature provided a procedure in
Every offender who has been discharged underRCW 9.94A.220 may apply to the sentencing court for a vacation of the offender’s record of conviction. If the court finds the offender meets the tests prescribed in subsection (2) of this section, the court may clear the record of conviction by: (a) Permitting the offender to withdraw the offender’s plea of guilty and to enter a plea of not guilty; or (b) if the offender has been convicted after a plea of not guilty, by the court setting aside the verdict of guilty; and (c) by the court dismissing the information or indictment against the offender.
Under the SRA, the same procedure that results in a dismissal under the probation act allows the court to grant dismissal and clear the conviction record.
Once the court vacates a record of conviction under subsection (1) of this section, the fact that the offender has been convicted of the offense shall not be included in the offender’s criminal history for purposes of determining a sentence in any subsequent conviction, and the offender shall be released from all penalties and disabilities resulting from the offense. For all purposes, including responding to questions on employment applications, an offender whose conviction has been vacated may state that the offender has never been convicted of that crime. Nothing in this section affects or prevents the use of an offender’s prior conviction in a later criminal prosecution.
Thus, the later statute differs in only minor respects: the court must apply the tests listed in subsection (2); the statute specifically provides for vacation of the conviction record in the same proceeding; and the statute expressly provides that the person may state that he or she has never been convicted of that crime.
The parties do not dispute that if the underlying felonies had been committed on or
This case involves the construction of several statutes and is strictly a question of law, which is reviewed de novo. Millay v. Cam,
The Court of Appeals was correct in its conclusion that the Legislature intended
This conclusion is also supported by comments from the Sentencing Guidelines Commission. As Professor David Boerner has observed, “[v]acation operates to ‘clear the record of conviction’ in the same manner as did the Probation Act [
As a remedial statute,
The Patrol argues, however, that the CRPA, chapter 10.97 RCW, restricts the authority of a court to vacate a conviction record. Contrary to the Patrol’s position,
The facts in Gilkinson also distinguish it from this case. Mr. Gilkinson elected to rely only on
We conclude that
The next issue presented is whether courts also have inherent authority to seal criminal records when necessary to avoid manifest injustice. The Court of Appeals found such authority, citing State v. Shineman,
The Court of Appeals also found express power to seal records under Washington Court Rules of General Application, GR 15. Breazeale,
Next, we must decide whether the Patrol is subject to contempt for refusing to comply with the trial court’s original orders. The Patrol argues that it may not be held in contempt because it was not named as a party to the proceeding in which the court issued the original order and that the order is void as to the Patrol because the court never obtained personal jurisdiction over the Patrol. While a court order that is merely erroneous must be obeyed, contempt will not be found if the court “ ‘ “lacks jurisdiction of the parties or of the subject matter, or. . . lacks the inherent power to make or enter the particular order involved.” ’ ” State v. Turner,
The original orders in this case were not void. Citing State v. T.K.,
Nevertheless, the Court of Appeals erred when it directed the trial court to find the Patrol in contempt on remand. Contempt of court is intentional disobedience of any lawful order of the court.
Finally, our conclusion should not be read as approval of the Washington State Patrol’s handling of this matter. It speaks ill of a law enforcement agency to take upon itself the interpretation of statutes, which is the sole province of the courts. While the Patrol merely concedes that, in hindsight, perhaps the letter could have been worded better, the Patrol could have done a number of things differently. According to its own administrative rules, if the Patrol refuses to amend the criminal history record information, it is required to inform the person of not only the reason for the refusal, but also of the procedures for review of that refusal.
CONCLUSION
We hold that the Legislature intended
This matter is remanded for proceedings consistent with this opinion.
Alexander, C.J., and Smith, Johnson, Ireland, Bridge, Chambers, and Owens, JJ., concur.
Notes
In light of our resolution we need not address the remaining arguments of the parties on this issue.
We assume, of course, that the Patrol will comply with the order to be entered by the trial court on remand; a contempt sanction will become appropriate if it does not.
Dissenting Opinion
(dissenting) — Although I agree Randy Breazeale and Sheila Berlanga-Hernandez were entitled to have their conviction records expunged so as to be released from the penalties and disabilities of their misdeeds occurring a quarter-century ago, I disagree with the majority’s refusal to hold the Washington State Patrol in contempt— because it is in contempt.
On the one hand the majority holds the orders to vacate Breazeale’s and Berlanga-Hernandez’s conviction records were lawful, yet on the other it also concludes the Patrol’s intentional and utter refusal to abide by those orders was not contemptuous. This fancy footwork erodes the fundamental principle that lawful orders, even erroneous ones, must be obeyed (even by government actors) until reversed. See Dike v. Dike,
The majority opinion sets forth the basic facts; however, a few key ones deserve restatement. In Breazeale’s case, the Adams County Superior Court issued an order that his 1976 conviction for burglary be vacated. The Patrol’s response was to send a letter to the court, stating it was unable to comply with the court’s request to expunge Breazeale’s record.
In Berlanga-Hernandez’s case, the superior court twice ordered the Patrol to clear her record. The court first ordered the Patrol to expunge Berlanga-Hernandez’s 1976 forgery conviction, to which the Patrol responded by
The Patrol’s letters to the court state: “Please be advised we are unable to comply with your request.” See Breazeale Clerk’s Papers (CP) at 11; Berlanga-Hernandez CP at 18 (emphasis added). To the contrary, court orders are not requests to be followed merely if consistent with one’s liking. They are legal mandates, to be followed until reversed. Dike,
In general, inability to comply with a court order may be grounds to excuse disobedience. State v. Olsen,
The only remaining issue is whether the superior court’s initial orders directing the Patrol to vacate Breazeale’s and Berlanga-Hernandez’s conviction records were lawful. A court order is lawful if the issuing court had jurisdiction over the parties and the subject matter, as well as legal authority to enter the order. Dike,
Here the majority admits the orders to vacate Breazeale’s and Berlanga-Hernandez’s conviction records were lawful, not even erroneous. See majority at 842. And the majority agrees Breazeale and Berlanga-Hernandez are entitled on the merits to have their conviction records vacated. See majority at 844.
Determining whether the Patrol is in contempt is therefore straightforward. But the majority’s reasoning is not. The fact that the superior court vacated its orders after the Patrol refused to comply is irrelevant. Our only concern should be whether the orders were lawful when issued. If the orders were lawful, intentional disobedience is contempt.
The majority reasons once the trial court vacated its order “there was no order with which the Patrol failed to comply.” Majority at 843. However, my colleagues fail to recognize that until the order was vacated there was an order with which the Patrol failed to comply. The superior court issued its orders to vacate Breazeale’s and Berlanga-Hernandez’s conviction records on September 4, 1998, and August 3,1998, respectively. The court did not reverse itself until November 23, 1998, mistakenly concluding it had no authority to issue the vacation orders. Thus, from the dates of issuance until the date of reversal, there were two orders with which the Patrol failed to comply. Furthermore, the majority overlooks its own holding that the vacation orders were lawful. Since the Patrol failed to comply, the only logical conclusion is the Patrol was in contempt.
My colleagues apparently create a new exception for government agencies under which intentional disobedience to a lawful court order escapes the sanction of contempt: A state agency is not in contempt for intentionally disobeying a lawful order if the issuing court subsequently, and erroneously, concludes
As the Court of Appeals correctly noted, the Patrol might have challenged these orders on appeal. State v. Breazeale,
The majority would have us allow state agencies the freedom to treat court orders as if they were mere requests to be followed when convenient. Cf. Amici Curiae Br. of Wash. Ass’n of Criminal Defense Lawyers and Am. Civil Liberties Union at 15. This relegates courts to advisory bodies when it comes to government actors. See Keller v. Keller, 52 Wn.2d 84, 88,
I dissent.