Majority
Opinion
Michael Edward Tillman appeals from a conviction of failing to register as a sex offender. He claims he received ineffective
Statement of the Case
Appellant was charged by information filed on January 13,1997, with one count of failing to register as a sex offender between September 1 and November 21, 1996. (Pen. Code, § 290, subd. (a)(1).)[1] It was alleged that appellant had previously been convicted of rape (§261, subd. (a)(2)) on May 23, 1984. It was further alleged that appellant was presumptively ineligible for probation under section 1203, subdivision (e)(4), and that his sentence was subject to enhancement under section 667.5, due to four prior felony convictions and prison terms: the 1984 rape conviction; an October 17,1980, conviction for first degree burglary (§ 459); a September 13, 1989, conviction for being a felon in possession of a firearm (§ 12021); and a February 11, 1991, conviction for petty theft after serving a term for another theft (§ 666). Two of these priors were alleged as “strikes” under section 1170.12, subdivision (c)(2): the 1980 burglary and the 1984 rape.
On January 15, 1997, appellant pleaded not guilty and denied the priors. Appellant’s motions to dismiss for improper venue and under section 995 were denied on April 10, 1997.
On April 21, 1997, appellant waived trial by jury and a court trial began. On motion of the prosecution, the court dismissed the first alleged “strike” prior, the burglary. On April 24, the court found appellant guilty of violating section 290, subdivision (a)(1), and found true all of the allegations regarding priors (except the one dismissed). On June 16, appellant’s motion to strike the remaining “strike” prior was denied. On the same date, appellant was sentenced to a total prison term of six years and eight months, consisting of the lower term of sixteen months for the section 290 conviction, doubled under section 1170.12, subdivision (c)(1), plus one-year terms for each of the four priors under section 667.5.
Appellant filed a timely notice of appeal on June 27, 1997.
Statement of Facts
On May 23, 1984, appellant entered a plea of nola contendere to the charge of rape in violation of section 261, subdivision (a)(2). The declaration
1 All further statutory references will be to the Penal Code.
In the present case, appellant was found guilty of failing to register as a sex offender in violation of section 290 between September 1 and November 21, 1996. The facts underlying his failure to register are not relevant to the issues on appeal or on the petition for writ of habeas corpus.
Discussion
I.[2]
fl.
Appellant additionally contends the trial court impermissibly used his prior rape conviction both as an element of the section 290 violation and as a “strike” which augmented his sentence under section 1170.12, subdivision (c)(1). He claims this dual use offended the rule of People v. Edwards (1976) 18 Cal.3d 796 [ 135 Cal.Rptr. 411 , 557 P.2d 995 ] (Edwards) and In re Shull (1944) 23 Cal.2d 745 [ 146 P.2d 417 ] (Shull).
In Shull, the defendant was convicted of assault with a deadly weapon and sentenced to the prison term provided by statute for that offense. He was further sentenced to an additional term provided by statute for individuals who possessed certain weapons during the commission of the offenses of which they were convicted. Shull held this dual use of the weapon possession as an element of the substantive offense and as the basis of an enhancement of punishment was impermissible. Reasoning that the statute defining the term for assault with a deadly weapon was a specific one while the statute
* See footnote, ante, page 771.
In Edwards, the court followed this rule in holding that a defendant convicted of being a felon in possession of a firearm could not be subjected to a greater minimum term of punishment than would normally be prescribed for the offense under a statute establishing increased minimum terms for defendants previously convicted of felonies. Such dual use of the prior convictions, Edwards explained, “runs afoul of the established rule that when a prior conviction constitutes an element of criminal conduct which otherwise would be noncriminal, the minimum sentence may not be increased because of the indispensable prior conviction.” (18 Cal.3d at p. 800.)
In the present case, appellant argues that section 290, subdivision (g)(2), is a special statute, defining as a felony the offense of willfully failing to register where the registration requirement is based on a felony offense. Characterizing section 1170.12, subdivision (c)(1), as a statute of general application, appellant maintains Edwards and related case law preclude application of the “Three Strikes” law based on the same prior conviction underlying the section 290 violation.
Several cases have rejected the argument that a single prior conviction may not be used both to establish an element of the charged offense and to constitute a “strike.” (People v. Yarborough (1998) 65 Cal.App.4th 1417 , 1419-1421 [ 77 Cal.Rptr.2d 402 ]; People v. Nobleton (1995) 38 Cal.App.4th 76 , 80-84 [ 44 Cal.Rptr.2d 611 ]; People v. Sipe (1995) 36 Cal.App.4th 468 , 484-489 [ 42 Cal.Rptr.2d 266 ] (Sipe).) In Sipe, the defendant was convicted of felony escape (§ 4532, subd. (b)) after leaving the honor farm where he was serving time after a conviction for residential burglary. Among other arguments on appeal, he relied on Edwards to urge that the same prior conviction could not be used both to convict him of the substantive offense and to increase his sentence under the Three Strikes law. Sipe found Edwards inapplicable because section 667, subdivision (e) — the analogous provision in the initiative version of the Three Strikes law to section 1170.12, subdivision (c) — is not an enhancement but rather “an alternate sentencing scheme.” (Sipe, supra, 36 Cal.App.4th at pp. 485, 488.) It further rejected application of the Edwards rule because it viewed Edwards, which predated the adoption of the determinate sentencing law, as having been invalidated by the adoption of determinate sentencing. (36 Cal.App.4th at p. 488.)
In People v. Nobleton, supra, 38 Cal.App.4th 76 , the People challenged the trial court’s refusal to use the prior conviction upon which the offense of
With regard to Edwards’s viability, Sipe and Nobleton relied upon People v. Bruno (1987) 191 Cal.App.3d 1102 , 1106-1107 [ 237 Cal.Rptr. 31 ]. Bruno was the first of a number of Court of Appeal cases to conclude the Edwards rule did not survive the adoption of determinate sentencing. This conclusion was based on the fact that section 1170, as originally enacted, included a sentence subsequently dropped by amendment before the operative date of the statute. The sentence, which Bruno viewed as codifying Edwards, provided: ‘In no event shall any fact be used twice to determine, aggravate, or enhance a sentence.’ ” (People v. Bruno, supra, 191 Cal.App.3d at p. 1106; People v. Price (1992) 4 Cal.App.4th 1272 , 1277-1278 [ 6 Cal.Rptr.2d 263 ]; People v. Vega (1990) 224 Cal.App.3d 506 , 512 [ 273 Cal.Rptr. 684 ], disapproved on another ground in People v. McClanahan (1992) 3 Cal.4th 860 , 872, fn. 6 [ 12 Cal.Rptr.2d 719 , 838 P.2d 241 ]; People v. Levell (1988) 201 Cal.App.3d 749 , 752-753 [ 247 Cal.Rptr. 489 ].) These cases thus took the view that the Legislature had “eliminated the Edwards rule by first codifying it and then deleting the codification.” (People v. Darwin (1993) 12 Cal.App.4th 1101 , 1103 [ 15 Cal.Rptr.2d 894 ].)
People v. Darwin, supra, 12 Cal.App.4th at pages 1103-1104, disagreed with the reasoning of these cases. “The original version of Penal Code section 1170 did not codify the Edwards rule. The holding in Edwards was that if a prior conviction is an ‘element’ of an offense, the prior may not be used for sentence enhancement. (Edwards, supra, .18 Cal.3d at p. 800.) The later-deleted sentence in the original version of section 1170 did not address the dual use of a prior as an element of an offense and for sentence enhancement, but merely addressed sentencing, stating that a fact could not be used twice to ‘determine, aggravate, or enhance a sentence.’ These two points are not the same. Thus, the legislative action did not abrogate the Edwards rule.”[3] (Italics in original.)
The California Supreme Court addressed the disagreement about the viability of Edwards without resolving it in People v. Baird (1995) 12
6 Darwin went on to agree with the ultimate conclusion of the Bruno line of cases — that a single prior could be used to establish the offense of petty theft with a prior and to enhance sentence under section 667.5, subdivision (b), or 667, subdivision (a) — for a different reason. Darwin explained that because in the context of a section 666 charge “the prior ‘is a *777 sentencing factor for the trial court and not an “element” of the section 666 “offense[,]” . . .’ the Edwards rule against dual use of a prior as an element of an offense and for sentence enhancement does not apply.” (12 Cal.App.4th at p. 1104, quoting People v. Bouzas (1991) 53 Cal.3d 467 , 480 [ 279 Cal.Rptr. 847 , 807 P.2d 1076 ].)
While Baird did not expressly resolve the question of the continued viability of Edwards, it is interesting to note that it found Edwards inapplicable without finding the Edwards rule had been abrogated. In any event, in the absence of any clear indication the Supreme Court would find the Edwards rule no longer viable, we are free to agree with the reasoning of Division Five of this court in Darwin, which we find more persuasive than that of the cases that have found Edwards to have been legislatively overruled.
7 By contrast, it is not the case that almost every violation of section 290 would constitute a strike under the Three Strikes law: The obligation to register under section 290 arises from convictions of many offenses that would not necessarily qualify as prior convictions under section 1170.12. For example, while the offenses of sodomy (§ 286) and oral copulation (§ 288a) are always registrable offenses under section 290, they would qualify as prior convictions under section 1170.12 only if committed “by force, violence, duress, menace, threat of great bodily injury, or fear of immediate and unlawful bodily injury on the victim or another person.” (§ 1192.7, subd. (c)(4), (c)(5).) Many other offenses listed under section 290 (e.g., §§266, 266c, 266h, 266i, 266j, 267, 285, 288.2, 311.2, 311.3, 311.4, 311.10, 311.11, 314, 647.6) would not qualify as “strikes” or would so qualify only if the defendant personally inflicted great bodily injury or used a firearm. (§ 1192.7, subd. (c)(8).) Thus, the requisite element of the offense could be proven by a conviction of any of the offenses listed in section 290, while it is only if the prior offense was for a serious or violent felony (§§ 667.5, 1192.7, subd. (c)) that the Three Strikes law will be implicated.
We cannot agree with Yarborough's reasoning. Yarborough is confusing in that it refers to the “underlying” offense in Edwards as the prior conviction for sale of marijuana but refers to the “underlying” offense in Yarbor-ough as the “omission of required conduct by a convicted sex offender.” The “omission of required conduct” related not to the underlying offense — there, child molestation — but to the current offense of failing to register. Nevertheless, Yarborough's point appears to be that the conduct (omission) made criminal by section 290 — the failure to register — is inherently a criminal act. The obligation to register, however, arises only upon conviction of an offense listed in section 290. Without the prior conviction of a registrable offense, the act (or omission) of failing to register cannot be viewed as criminal because there is no obligation to register. Just as a prior conviction for a felony offense makes otherwise lawful possession of a firearm unlawful, a prior conviction for a registrable offense makes lawful failure to register unlawful. To say the failure to register is inherently criminal is to presuppose the prior conviction.
Moreover, while Edwards stated its holding in the limited form quoted by Yarborough, the case law upon which it was based does not limit application of the rule to circumstances in which the conduct constituting the current offense would be noncriminal but for the prior conviction. In Shull, supra, 23
Yarborough also indicated in a footnote that “. . . the vitality of the Edwards rule in the context of the three strikes law is in doubt” due to “authority that the three strikes law is not an enhancement law but a separate sentencing scheme for recidivists.” (65 Cal.App.4th at p. 1420, fn. 4.) That the Three Strikes law does not provide for enhancements was also an alternate ground for the holdings of Sipe and Nobleton. “ ‘The legislative determination, that under these circumstances the base term is doubled, does not constitute an enhancement. Instead, it is the articulation of a parallel sentencing scheme for specifically described recidivists. An enhancement is “an additional term of imprisonment added to the base term.” (Rule 405(c).) A base term is “. . . the determinate prison term prescribed by law. . . .” (Rule 405(b).)’ ” (People v. Nobleton, supra, 38 Cal.App.4th at p. 81, quoting People v. Anderson (1995) 35 Cal.App.4th 587 , 595 [ 41 Cal.Rptr.2d 474 ].) “[A]n enhancement is . . . characterized by a‘focus on an element of the commission of the crime or the criminal history of the defendant which is not present for all such crimes and perpetrators and which justifies a
According to these authorities, the rule of Edwards is not violated by using the same prior conviction to establish an element of the offense , and to sentence to a double term under the Three Strikes law. Since the Three Strikes law establishes a parallel sentencing scheme for repeat offenders, the prior conviction is viewed as not being used to enhance the sentence that would otherwise be applicable but to trigger the application of a sentencing scheme imposing a different penalty for the current offense.
This analysis glosses over the essential point of Edwards, supra, 18 Cal.3d 796 , and the cases upon which it was based: that a single fact may not be used both as an element of the current offense and as the basis for imposition of more severe punishment than would otherwise be prescribed for the offense. Edwards itself was not dealing with a sentence enhancement as that term is defined in the cases discussed above — it was a predetermínate sentencing case. In Edwards, section 12021, the statute defining the offense of possession of a weapon by a felon, prescribed a minimum term sentence; former section 3024, subdivision (c), which Edwards held could not be applied, provided for a greater minimum term sentence. Of the cases cited in Edwards, Ford also rejected application of a statute prescribing a greater minimum term than that otherwise provided for the offense; Floyd and Shull rejected application of statutes that would have added additional terms. While the latter would be viewed as enhancements under the definitions above, the statutes providing for greater minimum terms would not. Sipe, for example, concluded section 667, subdivision (e), was “an alternate sentencing scheme, not an enhancement” because it “does not add a term to defendant’s sentence” but rather “provides an alternate method to calculate either the determinate term or minimum term for an indeterminate sentence.” (Sipe, supra, 36 Cal.App.4th at p. 486.)
To state that the rule of Edwards does not apply to dual use of a prior conviction to prove an element of the offense and to constitute a “strike”
8 Section 1170.12, subdivision (c)(1), is the analogous provision in the initiative version of the Three Strikes law.
Thus far, our Supreme Court has not held that a single fact may be the basis both of an element of the charged offense and of a sentence enhancement. As discussed above, People v. Baird, supra, 12 Cal.4th 16 , specifically avoided deciding the continued validity of Edwards by concluding the statute in question there, section 667.5, subdivision (b), required enhancement of a defendant’s sentence because of a prior prison term, a separate fact from the prior conviction used as an element of the offense. This factual distinction cannot be made in the present case: Appellant could not have been convicted of the offense of failing to register without proof of his prior rape conviction, and he could not have been sentenced under the Three Strikes law without proof of the same conviction.
Nevertheless, despite our disagreement with case law finding Edwards either no longer viable or inapplicable to the Three Strikes situation, it must be remembered that the rule applied in Edwards is one intended to effectuate legislative intent. Edwards, and the other cases it cited, derive from Shull. Shull, as discussed above, applied the principle that a specific statute controls over a general one, to conclude the Legislature did not intend the fact of deadly weapon use to increase the punishment specifically stated for the offense of assault with a deadly weapon as it would for an offense in which use of a deadly weapon was not an essential element. (Shull, supra, 23 Cal.2d at p. 750.)
The intent behind the enactment of the Three Strikes law was clearly stated by the electorate. According to the statement of intent contained in the initiative measure by which section 1170.12 was adopted, “ ‘It is the intent of the People of the State of California in enacting this measure to ensure longer prison sentences and greater punishment for those who commit a
Appellant levels a number of arguments against this conclusion. First, appellant argues that People v. Superior Court (Romero) (1996) 13 Cal.4th 497 [ 53 Cal.Rptr.2d 789 , 917 P.2d 628 ] (Romero) rejected the broadest construction of the “notwithstanding” language in section 667, subdivision (f)(1), by refusing to read this language as overriding section 1385. (13 Cal.4th at pp. 523-524.) As Romero explained, however, because section 1385 is specifically included in section 1170.12, subdivision (d)(2), the Three Strikes law cannot be applied “Notwithstanding any other law” without reference to section 1385. (13 Cal.4 th at pp. 519-520.)
Appellant notes that Romero declined to interpret the Three Strikes law as eliminating courts’ power under section 1385 “ ‘absent a clear legislative direction to the contrary’” because “the statutory power to dismiss in furtherance of justice has always coexisted with statutes defining punishment and must be reconciled with the latter.” (Romero, supra, 13 Cal.4th at p. 518.) Since the Edwards/Shull rule has also been around for a long time, appellant urges we should not interpret the Three Strikes law to have eliminated the rule without a clear expression of such intent. To say that the Three Strikes law applies “Notwithstanding any other provision of law,”
9 Similarly, section 667, subdivision (b), provides: “It is the intent of the Legislature in enacting subdivisions (b) to (i), inclusive, to ensure longer prison sentences and greater punishment for those who commit a felony and have been previously convicted of serious and/or violent felony offenses.”
10 Section 667, subdivision (f)(1), provides: “Notwithstanding any other law, subdivisions (b) to (i), inclusive, shall be applied in every case in which a defendant has a prior felony conviction as defined in subdivision (d).”
Appellant also urges that the “notwithstanding” language refers only to the subdivision immediately following it, which deals with the prosecutor’s obligation to plead and prove priors, and power to move to dismiss them. Section 1170.12, subdivision (d)(1), however, states: “Notwithstanding any other provision of law, this section shall be applied . . . .” (Italics added.) Other language in section 1170.12 uses the terms “subdivision” and “paragraph” to refer to specific parts of the statute. Accordingly, the use of the term “section” must be viewed as referring to the entire section 1170.12. Appellant cites Justice Chin’s dissent in People v. Benson, supra, 18 Cal.4th at pages 42-43, in which he states that the “notwithstanding” language of section 1170.12, subdivision (b), “merely refers to the definition of a qualifying conviction” set forth in that subdivision. Appellant takes from this that the similar language in section 1170.12, subdivision (d)(1), refers only to that subdivision. Justice Chin’s point in Benson, however, was not that the “notwithstanding” language was necessarily limited by the subdivision in which it appeared but that it was limited by the substance of the sentence: “Notwithstanding any other provision of law and for the purposes of this section, a prior conviction of a felony shall be defined as . . . .” The language of section 1170.12, subdivision (d)(1), is of much broader application: “Notwithstanding any other provision of law, this section shall be applied in every case in which a defendant has a prior felony conviction as defined in this section.”
Appellant argues a broad reading of the “notwithstanding” language would lead to absurd and unconstitutional results: For example, the language of section 1170.12 would mean this statute applied and not section 667, while the “notwithstanding” language of section 667, subdivision (f)(1), would mean section 667 applied and not section 1170.12. Given the lack of substantive difference between the provisions of section 667, subdivisions (b) through (i), and section 1170.12, this argument is not difficult to dismiss.
On rehearing, appellant additionally argues that the phrase “notwithstanding any other law” applies only to other statutory provisions and not to the Edwards/Shull rule, which appellant views as a “principle of statutory construction which governs the relationship between laws.” We do not view this characterization as accurate. The rule of Edwards and Shull, that a prior offense used to establish an element of an offense may not also be used to increase punishment for a conviction of the latter offense, is an application of the general rule that specific statutes control over general ones. It is the general rule that states a principle of statutory construction; Edwards and Shull rely upon that principle to state a rule applied in criminal sentencing.
The phrase “notwithstanding any other provision of law” has expressly been interpreted in other contexts as referring to both statutory and deci-sional law. (In re Marriage of Dover (1971) 15 Cal.App.3d 675 , 678, fn. 3 [ 93 Cal.Rptr. 384 ] [phrase “notwithstanding any other provision of law” in former Civil Code section 4001, authorizing Judicial Council to provide by
The cases upon which appellant relies to restrict application of the “notwithstanding” language of section 1170.1, subdivision (d)(1), to other statutes, as opposed to decisional law, are not controlling. People v. Alvarez (1996) 14 Cal.4th 155 , 246-247 [ 58 Cal.Rptr.2d 385 , 926 P.2d 365 ] rejected an argument that the Three Strikes laws established exclusive sentencing schemes superceding the death penalty law, holding the Three Strikes laws are not exclusive, as each states it applies “ ‘in addition to any other . . . punishment provisions which may apply’ (Pen. Code, §§ 667, subd. (e), 1170.12, subd. (c), italics [in Alvarez]).” (Alvarez, at p. 247.) The Court did not mention the “notwithstanding” language in sections 667, subdivision (f)(1) or 1170.12, subdivision (d)(1). It is obvious, however, that an interpretation of that language as precluding application of the death penalty law to a defendant who was a recidivist within the meaning of the Three Strikes laws would be completely contrary to the express legislative intent behind the Three Strikes laws, to ensure greater punishment of recidivists.
People v. Superior Court (Alvarez) (1997) 14 Cal.4th 968 [ 60 Cal.Rptr.2d 93 , 928 P.2d 1171 ] held that the Three Strikes law did not abrogate trial courts’ discretion to declare a “wobbler” offense a misdemeanor. Appellant maintains that application of the “notwithstanding” language of section 1170.12, subdivision (d)(1), would preclude such exercise of discretion. Contrary to appellant’s assumption, however, when a trial court exercises its discretion to declare a wobbler to be a misdemeanor, the Three Strikes law, including the “notwithstanding” language, is simply not applicable. The Three Strikes law is triggered only if the defendant is convicted of a felony offense. (14 Cal.4th at p. 975.) As Alvarez explained, when a trial court declares a wobbler to be a misdemeanor, there simply is no felony conviction to trigger application of the Three Strikes law. (Id. at pp. 975-976.)
In California Housing Finance Agency v. E.R. Fairway Associates I (1995) 37 Cal.App.4th 1508 , 1515-1516 [ 44 Cal.Rptr.2d 591 ], the court explained:
The judgment is affirmed. The petition for writ of habeas corpus is denied.
Lambden, J., and Ruvolo, J., concurred.
A petition for a rehearing was denied August 19, 1999, and appellant’s petition for review by the Supreme Court was denied November 10, 1999. Kennard, J., and Brown, J., were of the opinion that the petition should be granted.
Cases cited
- People v. Edwards 18 Cal.3d 796 p. 774, p. 780
- In re Shull 23 Cal.2d 745 p. 774
- People v. Yarborough 65 Cal.App.4th 1417 at 1419-1421 p. 775
- People v. Nobleton 38 Cal.App.4th 76 at 80-84 p. 775
- People v. Sipe 36 Cal.App.4th 468 at 484-489 p. 775, p. 782
- People v. Bruno 191 Cal.App.3d 1102 at 1106-1107 p. 776
- People v. Price 4 Cal.App.4th 1272 at 1277-1278 p. 776
- People v. Vega 224 Cal.App.3d 506 at 512 p. 776
- People v. McClanahan 3 Cal.4th 860 at 872 p. 776
- People v. Levell 201 Cal.App.3d 749 at 752-753 p. 776
- People v. Darwin 12 Cal.App.4th 1101 at 1103 p. 776
- People v. Jones 5 Cal.4th 1142 at 1150 p. 777
- People v. Floyd 71 Cal.2d 879 p. 779
- People v. Ford 60 Cal.2d 772 p. 779
- People v. Satchell 6 Cal.3d 28 at 36-40 p. 779
- People v. Anderson 35 Cal.App.4th 587 at 595 p. 779
- People v. Martin 32 Cal.App.4th 656 at 667 p. 780
- People v. Deloza 18 Cal.4th 585 at 600 p. 780
- People v. Hernandez 46 Cal.3d 194 at 207-208 p. 780
- People v. Superior Court 13 Cal.4th 497 p. 782
- People v. Benson 18 Cal.4th 24 at 26 p. 783
- Dover v. Dover 15 Cal.App.3d 675 at 678 p. 784
- People v. DeLaCruz 20 Cal.App.4th 955 at 963 p. 785
- People v. Franklin 57 Cal.App.4th 68 at 73-74 p. 785
- State v. Superior Court of L.A. Cty. 252 Cal.App.2d 637 at 639 p. 785
- People v. Alvarez 14 Cal.4th 155 at 246-247 p. 785
- People v. Superior Court 14 Cal.4th 968 p. 785
- California Housing Finance Agency v. E.R. Fairway Associates I 37 Cal.App.4th 1508 at 1515-1516 p. 785