Following a jury trial Earl Westcott Grant was convicted in 1973 of a violation of former Health and Safety Code
The judgment was affirmed on appeal in an unpublished opinion (People v. Grant (May 10, 1974) 4 Crim. 6090) and relief is now sought by petition for a writ of habeas corpus in response to which we have issued an order to show cause.
The issue before us today was not raised on appeal but is clearly cognizable on petition for habeas corpus since, as will be seen, petitioner alleges that he is detained under a sentence which violates fundamental constitutional rights. (See id., at pp. 916-917; In re Masching (1953) 41 Cal.2d 530, 532 [261 P.2d 251].)
In response to petitioner's contention the People raise two related issues. They urge that even if it is assumed that the mandatory 10-year term without possibility of parole is invalid, petitioner should nevertheless be precluded from parole eligibility for five years as provided by former section 11531 for persons convicted of sale of marijuana with one prior narcotics conviction. In the alternative, if the provision precluding parole for five years is also unconstitutional, the People urge imposition of the provision of former section 11531 forestalling parole for a minimum of three years upon conviction of the same offense with no priors. Essentially the People suggest that contrary to our disposition in In re Foss, supra, 10 Cal.3d 910, we should rule that the general provisions of Penal Code section 3049
Our treatment of the issues presented herein is governed in large part by our earlier holdings in In re Foss, supra, 10 Cal.3d 910, and In re Lynch (1972) 8 Cal.3d 410 [105 Cal.Rptr. 217, 503 P.2d 921].
We held in Foss that a 10-year mandatory prison term prior to eligibility for parole for one convicted of sale of heroin with one prior conviction constitutes cruel or unusual punishment.
In light of the multiplicity and similarity of recidivist provisions for enhanced minimum prison terms, piecemeal review of each such provision is counterproductive. Furthermore, because of the graduated penalty feature of these provisions, the invalidation of a particular provision precluding parole consideration based on multiple prior convictions may create the anomalous situation whereby offenders with only one prior conviction are subject by statute to longer terms before eligibility for parole than persons convicted of the same offense with two or more priors. We undertake, accordingly, to review the entire scheme
We have previously set forth a general description of the applicable constitutional limitation: "`in California a punishment may violate article I, section 6 of the Constitution if ... it is so disproportionate to the crime for which it is inflicted that it shocks the conscience and offends fundamental notions of human dignity.'" (In re Foss, supra, 10 Cal.3d 910, 919, citing In re Lynch, supra, 8 Cal.3d 410, 424.) In Foss and Lynch we elaborated three distinct techniques to aid in implementing the aforementioned standard.
"The first such technique involves an examination of the nature of the offense and/or the offender, with particular regard to the degree of danger both present to the society. [Citations.]" (In re Foss, supra, 10 Cal.3d 910, 919.) "Relevant to this inquiry are ... the nonviolent nature of the offense, and whether there are rational gradations of culpability that can be made on the basis of the injury to the victim or to society in general.... [A]lso relevant is a consideration of the penological purposes of the prescribed punishment." (In re Foss, supra, 10 Cal.3d 910, 919-920.)
To further this inquiry courts have relied on the facts of the crime in question, as well as the circumstances of the particular offender in order
The second technique set forth in Lynch and Foss "involves a comparison of the questioned punishment with punishments imposed within ... [California] for offenses which may be deemed more serious than that for which the questioned punishment is imposed." (In re Foss, supra, 10 Cal.3d 910, 920.) The assumption underlying this test "`appears to be that although isolated excessive penalties may occasionally be enacted, e.g., through "honest zeal" (Weems v. United States (1910) ... 217 U.S. 349, 373 ...) generated in response to transitory public emotion ... the vast majority of punishments set forth in our statutes ... may ... be deemed illustrative of constitutionally permissible degrees of severity; and if among them are found more serious crimes punished less severely than the offense in question, the challenged penalty is to that extent suspect.'" (In re Foss, supra, 10 Cal.3d 910, 920, citing In re Lynch, supra, 8 Cal.3d 410, 426.)
The third and final technique to be applied under Foss and Lynch in measuring disproportionality "involves a comparison of the challenged penalty with punishment prescribed in other jurisdictions for the same offense." (In re Foss, supra, 10 Cal.3d 910, 920.) This test is based on the assumption "`that the vast majority of those jurisdictions will have prescribed punishments for this offense that are within the constitutional limit of severity; and if the challenged penalty is found to exceed the punishments decreed for the offense in a significant number of those jurisdictions, the disparity is a further measure of its excessiveness.'" (Id., at p. 920, citing In re Lynch, supra, 8 Cal.3d 410, 427.)
The Nature of the Offense and the Offender
Our application of the three Foss techniques begins with an examination of the nature of the offense. Given the scope of our examination of the recidivist statutes in toto, a detailed inquiry into each of the offenses in question is not practical. However, there is one pertinent characteristic shared by each of the narcotics recidivist provisions of the Health and
The enhanced periods of parole ineligibility prescribed by the Health and Safety Code recidivist provisions "are attributable to the defendant's status as a repeat offender ... [citations]. Such status arises from repetition of overt acts which have been proscribed as criminal conduct." (Id., at p. 922.) It is thus particularly significant that these provisions for recidivist narcotics offenders penalize broad ranges of conduct and widely differing types of offenders without distinction, requiring substantial enhanced mandatory prison terms because of prior offenses regardless of their temporal remoteness, lack of relevance to the new offense, or relative gravity. (Cf. In re Foss, supra, 10 Cal.3d 910, 929; People v. Malloy (1974) 41 Cal.App.3d 944, 956 [116 Cal.Rptr. 592]; People v. Lorentzen, supra, 194 N.W.2d 827, 831.) Consequently, the enhanced periods of parole ineligibility imposed for repeated violations of Health
In our analysis of the nature of the offense and the offender in Foss we discussed at length two flaws in the provision precluding parole consideration for 10 years upon conviction of sale of heroin with one prior narcotics conviction. The first of these defects was "its failure to consider the extent to which the addict's repetitions of proscribed behavior is attributable to his addiction." (In re Foss, supra, 10 Cal.3d 910, 923.) The other was the detrimental effect of that penalty upon the crucial rehabilitative purpose of the indeterminate sentence law. (Id., at pp. 923-924.) There is no evidence in the record before us that petitioner was an addict or that his recidivism is attributable to addiction. However, his particular nonaddiction is irrelevant to our determination of the instant issue. Our reasoning in Foss indicates that because addiction is a factor in so many cases involving repetition of drug-related offenses (cf. National Com. on Marihuana and Drug Abuse: Drug Use In America: A Problem In Perspective (1973) pp. 159, 166, 172 [hereafter Second Com. Report]; Stephens & Ellis, Narcotics Addicts and Crime (1975) 12 Criminology 478-485),
In Foss we confirmed the primary rehabilitative purpose of our indeterminate sentence law and noted that experts on penology tend to agree that in crimes such as those comprehended within the Health and Safety Code provisions in question, the goal of rehabilitation is best served by short prison sentences of less than five years, (Id., at pp. 923-924.) In Foss, after invalidating the provision precluding parole consideration for 10 years, we expressly approved application of the general parole eligibility provisions of Penal Code section 3049 under which the petitioner in Foss as well as the present petitioner would be eligible for parole in 40 months, because such a period "allowed for consideration of the rehabilitative progress made by the offender after a reasonable period of incarceration." (Id., at p. 929.)
Although many of the offenses subject to the mandatory prison term provisions of the Health and Safety Code recidivist provisions call for emphasis on rehabilitation (cf. id., at pp. 923-924; Second Com. Report, supra, pp. 273-274, 467), most of the instant provisions require service of substantial periods, between five and fifteen years, prior to parole eligibility. Such absolute prohibition of parole consideration forecloses for a substantial period any appraisal of a repeated drug offender's ability to overcome his addiction, or to otherwise demonstrate real promise of rehabilitation and thus "hardly serves as an impetus towards `well doing' on the part of the prisoner." (Id., at p. 924.)
As we indicated in Foss, in those specific cases of recidivist narcotics offenders for whom more lengthy incarceration may be appropriate, the discretion of the Adult Authority to set parole dates beyond the mandatory minimum and the existence of substantial maximum sentences serve to deter and isolate wrongdoers. (See id., at p. 925.) Furthermore, given reasonable minimum sentences, the general parole eligibility provisions of Penal Code section 3049 result in mandatory prison terms which are adequate to allow assessment of rehabilitation and accommodate the other valid penological goals. (See id., at p. 929.)
These observations serve as benchmarks for the delicate but necessary determination of the limits of legislative authority to impose upon recidivist narcotics offenders enhanced mandatory prison terms without possibility of parole. As indicated, many of the Health and Safety Code recidivist provisions which preclude parole for specific periods clearly exceed the foregoing guidelines.
Comparison With Other California Provisions
We note at the outset our determination in Foss that in light of the assumption underlying this test, which we earlier set forth, the periods of mandatory parole ineligibility imposed for repeated violations of other narcotics offense provisions of the Health and Safety Code "cannot ... be taken as illustrative of the permissible degrees of severity under article I, section [17] of our Constitution." (Id., at p. 927.) We reached this conclusion in Foss because the aforementioned mandatory prison terms prior to parole for recidivist narcotics offenders are products of the same "`honest zeal' ... generated in response to transitory public emotion," and thus are similarly tainted. (Id., at p. 927.)
In the large majority of cases, however, a convict may be released on parole after serving one year or one-third of the minimum sentence, whichever is greater (People v. Malloy, supra, 41 Cal.App.3d 944, 956; Pen. Code, § 3049), regardless of the number of priors. Under our Indeterminate Sentence Law, the minimum sentence is an indicator of the legislative assessment of the gravity of an offense relative to all other felony offenses. Thus except for a limited number of particularly grievous or repeated offenses, the Legislature has determined the relative seriousness of an offense and set the minimum sentence accordingly. It has further resolved that mandatory prison confinement for one-third of that minimum sentence is reasonable in light of the relevant penological objectives.
In regard to the recidivist narcotics offenses proscribed in the Health and Safety Code, the Legislature has established minimum sentences ranging from two to fifteen years. Nevertheless, the Health and Safety Code provisions for recidivist narcotics offenders almost uniformly preclude parole for the entire duration of the minimum sentence. Thus, one convicted of one of the Health and Safety offenses with a five-year minimum sentence will often endure the same period of mandatory parole ineligibility as a person convicted of another crime bearing a fifteen-year minimum sentence. In summary, because of the Health and Safety Code provisions for enhanced periods of parole ineligibility, a recidivist narcotics offender will invariably be precluded from parole consideration for a substantially longer period than a person convicted of a crime which this Legislature itself has indicated to be similarly serious or even more grievous.
Disproportionality: Other Jurisdictions
A survey of the penalties imposed by our sister states upon recidivist narcotics offenders reveals that the vast majority of such states impose periods of parole ineligibility which are substantially less severe than those required in California for comparable offenses with similar prior convictions. The percentage of states which are more lenient than California in this respect range from 92 percent in the case of possession of heroin with two prior convictions (former § 11350) to a minimum of 75 percent in the case of solicitation of minors to use, sell, etc. heroin with one or two prior convictions (§ 11353).
Moreover, the same pattern emerges upon consideration of the number of other jurisdictions which preclude recidivist narcotics offenders from parole consideration for periods of five years or more. Depending on the offense at least 70 percent and up to 94 percent of our sister states require that recidivist narcotics offenders serve less than five years in prison prior to parole eligibility. Finally, it should be noted that among those states which in particular instances require mandatory prison terms either greater than California's or of at least five years' duration, there are several which differentiate between addicts and nonaddicts or prescribe lesser periods of parole ineligibility for offenses involving smaller quantities of narcotics.
The results of the instant comparison, when viewed in the light of our analysis of the nature of the offender and offenses involved, provide a further indication of the excessiveness of the Health and Safety Code provisions precluding parole consideration of recidivist narcotics offenders for a minimum of five years or more.
As we have stated, the People urge that if particular provisions of former section 11531 are held to be unconstitutional, we should further hold that the next lesser penalty provided by that section for those convicted of sale of marijuana be made applicable. But "`it is the function of the legislative branch to define crimes and prescribe punishments....' [Citations.]" (In re Foss, supra, 10 Cal.3d 910, 917.) Our responsibility is to condemn any violation of the constitutional prohibition against cruel or unusual punishment. (In re Lynch, supra, 8 Cal.3d 410, 414.) The People propose that we exceed the limits of our responsibility and prescribe a new punishment after invalidating the one
The Adult Authority is directed to grant parole consideration to petitioner in accordance with the views set forth in this opinion and without regard to the provisions of former section 11531 which prescribe the minimum period prior to parole eligibility.
Tobriner, J., and Mosk, J., concurred.
Under the compulsion of In re Foss (1974) 10 Cal.3d 910 [112 Cal.Rptr. 649, 519 P.2d 1073], I agree with the Chief Justice's opinion insofar as it concludes that the provisions of former section 11531 (now § 11360) of the Health and Safety Code precluding parole consideration for a repeat offender for a minimum of 10 years, constitute both cruel and unusual punishment in violation of proscriptions of the California Constitution. I also agree that, following Foss, such parole eligibility provisions are severable from the remainder
However with all due respect, I cannot join in the canvassing of all the parole eligibility provisions contained in the Health and Safety Code applicable to recidivist narcotics offenders and in the sweeping conclusion that all such provisions precluding parole consideration for a minimum of five years or more also constitute both cruel and unusual punishment in violation of the proscriptions of the California Constitution. The constitutionality of none of these provisions has been raised or is in issue before us and to pass upon them is clearly unnecessary to the decision of the case at bench. As we have observed in the past "[i]t has heretofore been considered against the policy of this court (and of courts of last resort generally) to reach out and unnecessarily pronounce upon the constitutionality of any duly enacted statute." (Palermo v. Stockton Theatres, Inc. (1948) 32 Cal.2d 53, 65 [195 P.2d 1].)
McComb, J., and Richardson, J., concurred.
For the reasons stated in my concurring and dissenting opinion in In re Foss (1974) 10 Cal.3d 910, 933-938 [112 Cal.Rptr. 649, 519 P.2d 1073], I concur in denying the writ, but dissent from holding that former section 11531 (now § 11360) of the Health and Safety Code authorizes cruel and unusual punishment in violation of the California Constitution. For the reasons stated by Justice Sullivan (ante), I express no opinion concerning the constitutionality of the other provisions of the Health and Safety Code precluding parole consideration for a minimum of five years or more for recidivist narcotics offenders.
FootNotes
"If such person has been previously convicted once of any felony offense described in this division or Section ... 11912.... the previous conviction shall be charged in the indictment or information and, if ... admitted by the person, he shall be imprisoned in the state prison for a period of five years to life and shall not be eligible for release upon completion of sentence or on parole or any other basis until he has been imprisoned for a period of not less than five years in the state prison.
"If such person has been previously convicted two or more times of any felony offense described in this division or Section ... 11912 ... the previous convictions shall be charged in the indictment or information and, if ... admitted by the person, he shall be imprisoned in the state prison for a period of 10 years to life and shall not be eligible for release upon completion of sentence or on parole or any other basis until he has been imprisoned for a period of not less than 10 years in the state prison."
As hereinafter discussed, section 11360 contains the same penalty provisions except for the offense of giving away or transporting one ounce or less of unconcentrated marijuana. Our views expressed herein as to section 11531 are equally applicable to section 11360 and its corresponding subsections.
Unless otherwise specified all statutory references are to sections of the Health and Safety Code.
Petitioner also claims that the provision precluding parole consideration for a minimum of 10 years violates the cruel and unusual punishment clause of the Eighth Amendment of the United States Constitution. We do not reach this federal issue and rest our resolution on the distinct provisions of the California Constitution. (Cf. People v. Anderson (1972) 6 Cal.3d 628, 634, 645 [100 Cal.Rptr. 152, 493 P.2d 880].)
Effective January 1, 1976, section 11350, possession of controlled substances including heroin, section 11351 (possession of controlled substances for sale), and section 11352 (sale, transportation, etc. of controlled substances) were amended to eliminate the provisions for mandatory minimum terms prior to eligibility for parole for first time offenders as well at those with one or more priors. (Stats. 1975, ch. 1087, §§ 1-3, pp. 2647-2650, No. 8 West's Cal. Legis. Service. pp. 2896-2899, No. 7 Deerings Adv. Legis. Service, pp. 98-100.) Parole eligibility under those provisions is now governed by the general formula of Penal Code section 3049. However, despite its recent amendment of section 11360 which reduced the offense of giving away or transporting an ounce or less of marijuana to a misdemeanor punishable by a $100 fine, the Legislature retained the mandatory minimum-term provisions of that section. (Stats. 1975, ch. 248, § 3, p. 643, No. 4 West's Cal. Legis. Service, p. 557, No. 2 Deerings Adv. Legis. Service, p. 914.) Likewise all other mandatory minimum-term provisions of the Health and Safety Code remain in effect.
Sections 11353 and 11380 impose five-year mandatory minimum terms upon the first offense by an adult involving a minor in the use or trafficking of drugs including heroin, amphetamines and dexedrine. Section 11361 provides the same mandatory minimum for first offenders involving minors in the use or trafficking of marijuana. We express no opinion herein regarding any of the Health and Safety Code mandatory minimum-term provisions for first offenders. We do note, however, that these provisions for first offenders generally impose mandatory minimum terms of less than five years, and do not share many of the defects peculiar to the recidivist provisions. Sections 11353 and 11380, which impose the greatest mandatory minimum terms under the Health and Safety Code for first offenders, proscribe conduct which is uniformly grievous involving as it does the entanglement of minors in drug abuse. (See People v. Carbonie, supra, 48 Cal.App.3d 679, 687.)
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