People v. Scott
People v. Scott
Dissenting Opinion
I dissent from that portion of the majority opinion which holds constitutional that portion of the provision of section 13 of the Dangerous Weapons’ Control Act of 1923, which makes possession of a firearm whose marks of identification have been tampered with presumptive evidence that the tampering was done by the possessor. In my opinion this provision clearly violates the due process clauses of the Fifth and Fourteenth Amendments to the Constitution of the United States and is therefore invalid and void.
The majority opinion states: “The tampering with marks .of identification is ordinarily done in secrecy, and if the state could not require the possessor of the firearm to explain his possession, it would hardly be possible for the prosecution to determine who committed the crime. There is nothing unreasonable in requiring the possessor to explain when and how he came into possession of a firearm whose marks of identification have been tampered with. The presumption does not impose on him the burden of proving who committed the crime, nor does it require him to persuade the jury of his innocence. He must merely go forward with evidence to the extent of raising a reasonable doubt that he tampered with the identification marks. When he has done so, he enjoys the benefit of the presumption of innocence, and it is then incumbent on the prosecution to establish his guilt beyond a reasonable doubt.”
In my opinion the foregoing reasoning is unrealistic and unsound. To my mind it is perfectly obvious that the presumption of guilt provided for in said section 13 deprives the .defendant of the presumption of innocence which is accorded every defendant under the Constitution and laws of this state, and to say that the presumption provided for in said
In the case of Tot v. United States, 319 U.S. 463 [63 S.Ct. 1241, 87 L.Ed. 1519], the defendant was convicted under the Federal Firearms Act (52 Stat. at L. 1250, 1251, 15 U.S.C. §902f), which makes it unlawful for anyone who has been convicted of a crime of violence to receive any firearm or ammunition that has been transported in interstate commerce. It provides that “the possession of a firearm or ammunition by any such person shall be presumptive evidence that such firearm or ammunition was shipped or transported or received, as the case may be, by such person in violation of this Act.” The government proved that Tot had been convicted of a crime of violence and that he was found in possession of a loaded automatic pistol. The defendant’s motion for a directed verdict was denied and he was convicted. The conviction was reversed by the United States Supreme Court on the ground that the provision for the presumption was unconstitutional since there was “no rational connection between the fact proved and the ultimate fact presumed.” With regard to the government’s contention that the statute met the established tests of due process, the court declared: “But the due process clauses of the Fifth and Fourteenth Amendments set limits upon the power of Congress or that of a state legislature to make the proof of one fact or group of facts evidence of the existence of the ultimate fact on which guilt is predicated. . . . The Government seems to argue that there are two alternative tests of the validity of a presumption created by statute. The first is that there be a rational connection between the facts proved and the fact
“Nor can the fact that the defendant has the better means of information, standing alone, justify the creation of such a presumption. In every criminal case the defendant has at least an equal familiarity with the facts and in most a greater familiarity with them than the prosecution. It might, therefore, be argued that to place upon all defendants in criminal cases the burden of going forward with the evidence would be proper. But-the argument proves too much. If it were sound, the legislature might validly command that the finding of an indictment, or mere proof of the identity of the accused should create a presumption of the existence of all the facts essential to guilt. This is not- permissible.
“Whether the statute in question be treated as expressing the normal balance of probability, or as laying down a rule of comparative convenience in the production of evidence, it leaves the jury free to act on the presumption alone once the specified facts are proved, unless the defendant comes forward with opposing evidence. And this we think enough to vitiate the statutory provision.
“Doubtless the defendants in these cases knew better than anyone else whether they acquired the firearms or ammunition in interstate commerce. It would, therefore, be a convenience to the Government to rely upon the presumption and east on the defendants the burden of coming forward with
The Tot case compels a reversal of the judgment and order denying a new trial on Count V. The test of due process laid down therein is as applicable in determining the validity of state legislation under the Fourteenth Amendment as in determining the validity of federal legislation under the Fifth. There is a striking similarity between the provisions of the Federal Firearms Act invalidated in the Tot case and the provision of the California act in question here. Possession of a firearm is presumptive evidence under the federal act that the possessor received it in interstate commerce and under the state act, that any tampering with the identification marks was done by the possessor. It is just as arbitrary to infer from possession that the possessor tampered with the identification marks as that he received the firearm in interstate commerce. The necessity of punishing persons who tamper with the identification marks on firearms cannot justify convictions by unconstitutional devices designed to make proof of the elements of the offense unnecessary.
The various circumstances under which the Supreme Court of the United States has held presumptions invalid clearly establish that the presumption in the statute here involved cannot stand. All of those cases are cited with approval in Tot v. United States, supra. In Bailey v. Alabama, 219 U.S. 219 [31 S.Ct. 145, 55 L.Ed. 191], it was made a crime, for an employee, with intent to commit fraud on his employer, to enter into a contract to perform services and obtain money thereunder and refuse to refund it or perform the services. From the failure to refund the money or perform the services a presumption of intent to defraud was declared to arise. McFarland v. American Sugar Ref. Co., 241 U.S. 79 [36 S.Ct. 498, 60 L.Ed. 899], involved a statute making it a crime for engaging in a monopoly in the sugar refining busi
“Possession of agricultural land by one not shown to be ineligible for citizenship is an act that carries with it not even a hint of criminality. To prove such possession without more is to take hardly a step forward in support of an indictment. No such probability of wrongdoing grows out of the naked fact of use or occupation as to awaken a belief that the user or occupier is guilty if he fails to come forward with excuse or explanation. . . . Even so, the occasions that justify regulations of the one order have a kinship, if nothing more, to those that justify the others. For a transfer of the burden, experience must teach that the evidence held to be inculpatory has at least a sinister significance. . . .
“We turn to this statute and endeavor to assign it to its class. In the law of California there is no general prohibition of the use of agricultural lands by aliens, with special or limited provisos or exceptions. To the contrary, it is the privilege that is general, and only the prohibition that is limited and special. Without preliminary proof of race, occupation of the land is not even a suspicious circumstance.”
This case was first appealed to the District Court of Appeal, Second Appellant District, Division 1, and decided by that court. The opinion rendered by that court was prepared by Honorable Thomas P. White and concurred in by Justice William Doran and Presiding Justice John York. I am in
“Finally, appellant challenges the constitutionality of certain provisions of section 13 of the aforesaid Dangerous Weapons’ Control Act of 1923, as amended, which formed the gravamen of Count V.
“Section 13 of the act reads as follows: ‘No person shall change, alter, remove, or obliterate the name of the maker, model, manufacturer’s number, or other mark of identification on any pistol or revolver. Possession of any such firearm upon which the same shall have been changed, altered, removed, or obliterated, shall be presumptive evidence that such possessor has changed, altered, removed, or obliterated the same.’ (Italics added.)
“Pursuant to the aforesaid provisions the court instructed the jury that if they found from the evidence that the defendant was in possession of a firearm upon which the enumerated marks of identification were altered, removed or obliterated, such possession would constitute presumptive evidence that the defendant had so changed, altered, removed or obliterated such identifying marks.
“The constitutionality of that portion of the section which makes possession of a firearm upon which marks of identification have been tampered with, presumptive evidence that such possessor so changed or altered the identifying marks, is challenged by appellant upon the ground that being an essential element of the offense charged ... a part of the corpus delicti . . . the fact that the defendant made the changes or alterations on the firearm must be proved by the prosecution, and that the burden of such proof cannot be shifted to the defendant by force of a legislative declaration that because of his possession of the firearm the defendant is presumptively guilty of the crime of making alterations or changes thereon.
“The vice of the challenged portion of the statute, as we view it, lies in the fact that it leaves the jury free to act upon ' the presumption alone, once the specified fact of possession •is proved,-unless the "defendant comes forward with opposing
“It is here sought to sustain the validity of the questioned provisions of the statute upon the rule or principle of ‘ah inconvenienti. ’ This principle, it is true, has been consistently followed in this state in cases involving prosecutions for practising medicine and other professions without a license; selling intoxicating liquors without being licensed so to do; illegal possession and transportation of intoxicating liquors, and in cases involving the question of citizenship or alienage. But in all these cases it is emphasized that the rule of convenience is applied only where the defendant has more convenient access to the proof, and where requiring him to go forward with such proof will not subject him to unfairness or hardship. In prosecutions for the doing of an act restricted to those who are licensed therefor, the rule of convenience is applicable because the accused, if licensed, can immediately show it without the least inconvenience (People v. Boo Boo Hong, 122 Cal. 606, 607 [55 P. 402]). Where a statute made it an offense knowingly to conceal smoking opium illegally imported and threw upon a defendant found in possession of such opium the burden of showing that he had not acquired it through illegal importation, the presumption was sustained on the ground that no lawful purchase of smoking opium could occur in this country, and therefore, the possession alone gave rise to sinister implications (Yee Hem v. 77. S., 268 U.S. 178, 45 S.Ct. 470, 69 L.Ed. 904). Where an act of Congress placed upon an alien in deportation proceedings the burden of proving his residence and of excusing his failure to procure a certificate of residence from the Collector of Internal Revenue, it was held that in such a situation the shifting to the alien of the burden of explanation imposed no unreasonable hardship upon him (Fong Yue Ting v. U. S., 149 U.S. 698, 13 S.Ct. 1016, 37 L.Ed. 905). But, as pointed out in Tot v. 77.8. [319 U.S. 463], 63 S.Ct. 1241 [87 L.Ed. 1519], the fact that the defendant has the better means of information cannot, standing alone, justify the creation of such a presumption, for the defendant in every criminal case possesses at least an equal familiarity with the true facts, and in most cases, a greater familiarity with them than does the prosecution. Does that fact, however, justify the asser
“Undoubtedly the defendant in the instant case knew better than anyone else whethér he himself altered the identification marks on the firearm in question. True, it would be a convenience for the prosecution to rely upon the presumption and cast upon the defendant the burden of producing evidence to rebut it. But the burden cannot thus be lawfully shifted when the fact of possession is not relevant to guilt of the offense of altering certain identifying marks upon the weapon. If the offense charged was possession of the pistol without a permit, the situation would be quite different and the presumption would be legal because neither inconvenience nor hardship would be worked upon the defendant in requiring him to produce such a permit, while to require the prosecution to negative such possession of a permit would require endless search of records, files and documents.
“Many people might acquire a firearm in good faith, and unacquainted with where marks of identification are placed upon the weapon, not even look for them. Yet such innocent possession, under the wording of section 13 of the act creates a presumption that such possessor is guilty of a felony and requires him to do what might be well nigh impossible . . . that is, produce evidence as to who did make the alterations.
“Respondent relies upon the case of People v. Osaki, 209 Cal. 169 [286 P. 1025], in which case proof of alienage of the defendants was in issue in connection with the Alien Land Law, forbidding ownership of land by Japanese aliens. In the cited case the court upheld the presumption of alien-age under section 1983 of the Code of Civil Procedure. But, as in the medical and other license cases, no hardship was worked upon the defendants in requiring them to produce proof of their citizenship, for such fact was peculiarly within their knowledge, while to require the prosecution to prove
“The rule of comparative convenience of producing evidence of the ultimate fact is, in our opinion, but a corollary to the main and controlling test of the validity of a presumption created by statute, viz., the essential requirement that there shall be some rational connection between the fact proved and the ultimate fact presumed (Tot v. U. D., [319 U.S. 463] 63 S.Ct. 1241, 87 L.Ed. 1519]), and that the inference of one fact from proof of another shall not be so unreasonable as to be a purely arbitrary mandate (McFarland v. American Sugar Refining Co., 241 U.S. 79 [36 S.Ct. 498, 60 L.Ed. 899]). The essence of this requirement is tersely
“ ‘Blackstone maintained (1753-1765) that: “the law holds th.at it is better that ten guilty persons-escape than that one innocent suffer.” (4 Bl. Com., chap. 27, margin page 358, ad finem.) ’
“ ‘It is the strongest presumption known to the law. It is as much a part of our constitution, both state and national, as if it were written therein in letters of burnished gold. This fact has been assumed many times in this state and in one case at least expressly stated (In re Wong Hane, 108 Cal. 680 (49 Am.St.Rep. 138, 41 P. 693)). We presume that no one would contend that this presumption could be overthrown by any statutory enactment. Prima, facie evidence or presumptions may be declared to exist where they flow logically from certain facts, but the presumption of innocence is ever present even in the deliberations of the jury and may alone and of itself sometimes avail to acquit the defendant.’
“ ‘This court should be quick and decisive in its action to declare anew our bill of rights and to preserve the essential attributes of a jury trial as known to the common law and as preserved by our constitution (art. I, secs. 7 and 13, Const.).’
“The claim that application of the presumption in the instant case resulted in doing justice to the particular defendant at the bar, does not justify its application, for while a departure from those long established, sound, legal principles and constitutional guaranties may result in justice for a particular defendant, it is dangerous to the community, and in the final analysis, serves only to pave the way for conviction of the innocent.
“We here quote- the powerful and significant language of the late Mr. Presiding Justice Houser of this court in the case of People v. Bullock, 123 Cal.App. 299, 305 [11 P.2d 441], wherein he said: ‘I reluctantly concur in the judgment. My consent to the affirmance of the judgment has resulted solely from the compelling force of the precedents as established by the cases to which, in the opinion of my associate, attention has been directed. It is clear that the constitutional guaranty of “due process of law” is in great danger of being set at naught. With but slight extension of the rule, either as promulgated by the statute, or as judicially announced preceding its enactment, in any criminal prosecution in which the district attorney may find it difficult to produce evidence of the guilt of the defendant, he may invoke the doctrine of “ab inconvenienti” and thus shift to the defendant the entire burden of establishing his innocence. The formerly time-honored, but not-greatly respected, rule of law which requires the prosecution to prove beyond a reasonable doubt every essential element of the crime of the commission of which the defendant is charged, would appear to have been given a construction which would seem to be wholly at variance with the plain language of the ordinary rule and completely out of harmony with ancient judicial precedents. It is but a short
“We therefore conclude that the portion of section 13 of the aforesaid act which provides that ‘possession of any such firearm upon which the same shall have been changed, altered, removed or obliterated, shall be presumptive evidence that such possessor has changed, altered, removed, or obliterated the same’ is unconstitutional and void; that therefore the giving to the jury of the instruction embodying such presumption constituted prejudicial error and invaded the substantial rights of the defendant. ’ ’
In my opinion the judgment of conviction against the defendant under Count 5 of the information should be reversed.
Opinion of the Court
In an information filed by the District Attorney of the County of Santa Barbara, defendant was accused of rape in Counts I, II, and III, on the basis of a single act of intercourse with a sixteen-year-old girl against her will. Count I charged statutory rape upon á female under the age of consent, in violation of subdivision 1 of section 261 of the Penal Code. Count II charged that the rape was accomplished by force and violence in violation of subdivision 3 of section 261. Count III charged that the rape was accomplished by threats of great bodily harm to the prosecutrix in violation of subdivision 4 of section 261. Count IV, based upon the same acts set out in Counts I, II, and III, charged defendant with contributing to the delinquency of a minor in violation of section 702 of the Welfare and Institutions Code. Count V charged the defendant with tampering with the identification marks on an automatic pistol in violation of section 13 of the Dangerous Weapons’ Control Law of 1923, as amended (Stats. 1923, ch. 339; Deering’s Gen. Laws, 1937, Act 1970, p. 999).
The defendant pleaded not guilty to each count. He was tried before a jury and convicted on all counts. Separate judgments were entered on each of the charges of rape in Counts I, II, and III sentencing defendant to the state prison for the term prescribed by law. The judgment on Count IV sentenced defendant to one day in the county jail, and the judgment on Count V sentenced him to the state prison for the term prescribed by law. All of the sentences were to run concurrently.
It is unnecessary to set forth in detail the testimony regarding the charges of rape. There can be no doubt of defendant’s guilt as to Count I. He admitted the act of
Defendant contends that the court’s adverse rulings on his motions to dismiss Counts II, IV and V require a reversal. The motion to dismiss Count II was based on the ground that defendant had not been legally committed by a magistrate. (Pen. Code, § 995(1).) After reading the transcript of the preliminary examination, the court denied the motion. This transcript was not brought up on appeal, and error cannot be assumed in its absence.
The motion to dismiss Count TV was based on the claim that the superior court, when not sitting as a juvenile court, is without jurisdiction to try a defendant accused of violating section 702 of the Welfare and Institutions Code unless the prosecution was initiated in the juvenile court and then transferred to the superior court sitting in the exercise of its general jurisdiction. The juvenile court has original jurisdiction over all misdemeanors defined in section 702 of the Welfare and Institutions Code (In re Gamo, 122 Cal.App. 725, 726 [10 P.2d 770]) and has jurisdiction to impose punishment in such cases when the defendant enters a plea of guilty. Jurisdiction rests with the superior court if the defendant, as in this case, enters a plea of not guilty. (People v. Superior Court of San Bernardino County, 104 Cal. App. 276 [285 P. 871]; In re Gamo, supra.) It was stipulated that each of the two departments of the Superior Court in the County of Santa Barbara has been designated as a juvenile court. Under defendant’s plea of not guilty it would have been an idle act to transfer the ease to the juvenile
The evidence as to Count V shows that defendant had in his possession an automatic pistol, and that someone had tampered with the identification marks in violation of the statute. The court instructed the jury in the language of section 13 of the Dangerous Weapons’ Control Law of 1923, which provides: “No person shall change, alter, remove, or obliterate the name of the maker, model, manufacturer’s number, or other mark of identification on any pistol or revolver. Possession of any such firearm upon which the same shall have been changed, altered, removed, or obliterated, shall be presumptive evidence that such possessor has changed, altered, removed, or obliterated the same.”
Defendant contends that his motion to dismiss Count V should have been granted on the ground that the violation of the Dangerous Weapons’ Control Law charged therein and the rape charged in the other counts of the information could not be tried together. Section 954 of the Penal Code provides that “An indictment, information, or complaint may charge two or more different offenses connected together in their commission, or different statements of the same offense or two or more different offenses of the same class of crimes or offenses, under separate counts” and that the court “in the interest of justice and for good cause shown, may, in its discretion, order that the different offenses or counts set forth in the indictment or information be tried separately.” The statute provided originally that an indictment could charge only one offense, but an amendment in 1905 authorized a joinder of different offenses if they related to the same act, transaction, or event (People v. Plath, 166 Cal. 227 [135 P. 954]; see 14 Cal.Jur. 64), and an amendment in 1915 permitted the joinder of offenses if they were “connected together in their commission.” As it now reads the statute permits the joinder of different offenses, even though they do not relate to the same transaction or event, if there is a common element of substantial importance in their com
Defendant challenges the constitutionality of the provision of section 13 that makes possession of a firearm whose marks of identification have been tampered with prima facie evidence that the tampering was done by the possessor. He contends that the rational connection between a fact proved and the fact presumed required by the due process clause of the 14th Amendment (Tot v. United States, 319 U.S. 463, 467 [63 S.Ct. 1241, 87 L.Ed. 1519] ; Morrison v. California, 291 U.S. 82, 90 [54 S.Ct. 281, 78 L.Ed. 664]; Western & Atlantic R. Co. v. Henderson, 279 U.S. 639, 642 [49 S.Ct. 445, 73 L. Ed. 884]; Manley v. Georgia, 279 U.S. 1 [49 S.Ct. 215, 73 L.Ed. 575]; Casey v. United States, 276 U.S. 413, 418 [48 S.Ct. 373, 72 L.Ed. 632]; Yee Hem v. United States, 268 U.S. 178, 183 [45 S.Ct. 470, 69 L.Ed. 904]; McFarland v. American Sugar Ref. Co., 241 U.S. 79, 86 [36 S.Ct. 498, 60 L.Ed. 899]; Luria v. United States, 231 U.S. 9, 25 [34 S.Ct. 10, 58 L.Ed. 101]; Lindsley v. Natural Carbonic Gas Co., 220 U.S. 61, 81 [31 S.Ct. 337, 55 L.Ed. 369]; Bailey v. Alabama, 219 U.S. 219, 238, 239 [31 S.Ct. 145, 55 L.Ed. 191]; Mobile J. & K. C. R. Co. v. Turnipseed, 219 U.S. 35, 43 [31 S.Ct. 136, 55 L.Ed. 78]) does not exist between the fact of possession . and the presumption that the possessor committed the crime of tampering with the marks.
The rational connection required between a proved fact and a presumed fact must be distinguished from the relation
The Dangerous Weapons Control Act is designed to minimize the danger to public safety arising from the free access to firearms that can be used for crimes of violence. The identification of a person who has used a firearm criminally becomes more difficult and the attractiveness of a firearm for criminals is correspondingly increased, if its marks of identification have been tampered with. It would therefore be in the public interest to forbid the possession of firearms whose marks of identification have been tampered with. The mere threat of conviction to the possessor of such a firearm engendered by the presumption that he did the tampering is less severe than a statutory prescription of punishment for possession of such a firearm. The imposition of punishment for the possession of such a weapon is within the power of the Legislature to regulate the traffic in firearms. Legislation for regulatory purposes, which dispenses with the condition of awareness of wrongdoing and places the burden of acting at his peril on a person otherwise innocent “but standing in personal relation to a public danger” (United States v. Dotterweich, 320 U.S. 277, 281 [64 S.Ct. 134, 88 L.Ed. -1; see Shevlin-Carpenter Co. v. Minnesota, 218 U.S. 57, 69, 70 [30 S.Ct. 663, 54 L.Ed. 930]; United States v. Balint, 258 U.S. 250, 252 [42 S.Ct. 301, 66 L.Ed. 604]) is a traditional means of regulation. The protection of the public interest in eliminating firearms whose marks of identification have been tampered with by a statute that resorts to the less severe means of regulation by using the “inherent coercive power of a presumption” (Pollock v. Williams, supra, 64 S.Ct. 792, 802) is likewise within the police power of the state. (See In re Bear, 216 Cal. 536, 540 [15 P.2d 489, 83 A.L.R 1402]; Amos Bird Co. v. Thompson, 274 P. 702, 705.) The tampering with marks of identification is ordinarily done in secrecy, and if the state could not require the possessor of the firearm to explain his possession, it would hardly be possible for the prosecution to determine who committed the
Defendant objects to the instruction with respect to the statutory presumption solely on the ground that the statute is unconstitutional. He does not contend that the instructions are otherwise erroneous or that the verdict would probably have been different had other instructions been given. Since the statute is constitutional, further inquiry as to possible error is unnecessary, for the court will not ordinarily consider questions that are not assigned as prejudicial error or presented in the briefs of counsel. (People v. French, 12 Cal.2d 720, 764 [87 P.2d 1014]; People v. Wier, 20 Cal.App.2d 91, 94 [66 P.2d 703]; People v. Cowan, 44 Cal.App.2d 155, 158 [112 P.2d 62]; People v. Britton, 6 Cal.2d 10, 13 [56 P.2d 491].) Even if it be assumed, however, that the trial court’s instruction should have been more specific in certain particulars, for example, that it should have instructed the jury that defendant was required only to raise a reasonable doubt that he did the tampering,- it is improbable that the result would have been different. (People v. Rogers, 22 Cal.2d 787 [141 P.2d 722]; Cal. Const., art. VI, § 4½.) Defendant was admittedly inconsistent in explaining the source from which he obtained the firearm, and the explanation that he finally adhered to at the trial was clearly contradicted by other evidence.
The judgment as to Counts I, II and III is consolidated and modified to read “whereas the said Aaron Scott has been found guilty of the crime of rape, a felony, as defined and prescribed in sub-divisions 1, 3, and 4 of section 261 of the
Gibson, C. J., Shenk, J., Curtis, J., Edmonds, J., and Schauer, J., concurred.
Reference
- Full Case Name
- The PEOPLE, Respondent, v. AARON SCOTT, Appellant
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