In Re Yurko
In Re Yurko
Opinion of the Court
Petitioner was convicted in July 1969 of burglary in the first degree (Pen. Code, § 459) after trial to a jury. An amended information filed on the day of trial alleged that he had suffered three prior felony convictions. Upon advice of counsel petitioner admitted the correctness of the allegation of prior convictions and such admission formed the basis of his being adjudged an habitual criminal (Pen. Code, § 644).
Petitioner seeks habeas corpus relief on the grounds that he was denied h speedy trial and the effective representation of counsel at trial and on appeal, and on the further ground that he unknowingly waived constitutional protections because he was not adequately advised as to the consequences of admitting the truth of the charged prior felony convictions. (See Boykin v. Alabama (1969) 395 U.S. 238 [23 L.Ed.2d 274, 89 S.Ct. 1709]; In re Tahl (1969) 1 Cal.3d 122 [81 Cal.Rptr. 577, 460 P.2d 449].) For reasons stated later herein we find no merit in the first asserted grounds. As to the other ground we hold that henceforth an accused must be advised of (1) specific constitutional protections waived by an admission of the truth of an allegation of prior felony convictions, and (2) those penalties and other sanctions imposed as a consequence of a finding of the truth of the allegation. Because the new rule is to be applied prospectively only to admissions occurring after the filing of this opinion, petitioner is not entitled to any relief.
The record fails to disclose that petitioner was aware at the time of the admission of the truth of the charged prior convictions,
In the case of In re Tahl, supra, 1 Cal.3d 122, we construed Boykin to require more than an inferential showing from the record that an accused waived his constitutional rights to confront accusers, to trial by jury, and against compulsory self-incrimination. We held that the court itself must “specifically and expressly” enumerate each of the rights, “employ the time necessary to explain adequately and to obtain express waiver of the rights involved” prior to acceptance of a guilty plea, and ensure that an adequate record be available for possible review. (Id. at p. 132; see also, In re Sutherland (1972) 6 Cal.3d 666 [100 Cal.Rptr. 129, 493 P.2d 857]; People v. Rizer (1971) 5 Cal.3d 35 [95 Cal.Rptr. 23, 484 P.2d 1367].)
Shortly after Tahl we clearly indicated, albeit in dictum, that where a submission of a case on the transcripts of the preliminary hearing was tantamount to a guilty plea for purposes of waiver of an accused’s rights, the record must reflect the same affirmative showing of waiver required by Boykin and Tahl. (In re Mosley (1970) 1 Cal.3d 913, 926, fn. 10 [83
It is against this background that we turn to petitioner’s contention that the same requirements of knowledge and waiver should apply to the admission of the truth of.the allegation of prior felony convictions and that absent an affirmative showing of waiver on the record an adjudication, insofar as it is based on an admission, must be set aside.
The admission of the truth of the allegation of prior convictions has been differentiated from a plea of guilty through a characterization of the former as merely allowing a determination of a “status” which can subject an accused to increased punishment. (See In re McVickers (1946) 29 Cal.2d 264 [176 P.2d 40]; People v. Franco (1970) 4 Cal.App.3d 535 [84 Cal. Rptr. 513].) Although this may be technically correct, the distinction is meaningless if, as in the case of a plea of guilty, the accused nevertheless will be held to have waived, without proper protections, important rights by such an admission. Undoubtedly the particular rights waived by an admission of the truth of the allegation of prior convictions are important. Although there is not at stake a question of guilt of a substantive crime, the practical aspects of a finding of prior convictions may well impose upon a defendant additional penalties and sanctions which may be even more severe than those imposed upon a finding of guilt without the defendant having suffered the prior convictions. Thus a finding of prior convictions may foreclose the possibility of probation (§ 1203), may extend the term for the basic crime to life imprisonment (§ 644), and may substantially extend the time served on such a life sentence before the defendant becomes eligible for parole (§§ 3046-3048.5).
The burden is on the state as in the case of the trial of other factual matters in issue to prove beyond a reasonable doubt those alleged prior convictions challenged by a defendant. (People v. Womack (1967) 252 Cal.App.2d 761 [60 Cal.Rptr. 870]; People v. Niles (1964) 227 Cal.
Boykin holds that because of the significant constitutional rights at stake in extracting from an accused a guilty plea a court must exercise the “utmost solicitude” of which it is capable in canvassing the matter with the accused to make sure he has a full understanding of what is being waived.
We conclude that Boykin and Tahl require, before a court accepts an accused’s admission that he has suffered prior felony convictions, express and specific admonitions as to the constitutional rights waived by an admission. The accused must be told that an admission of the truth of an allegation of prior convictions waives, as to the finding that he has indeed suffered such convictions, the same constitutional rights waived as to a finding of guilt in case of a guilty plea. (See fn. 5, supra.)
We held in Tahl that the rule there enunciated was to be given prospective application only, that is, to those cases wherein pleas were entered subsequent to the effective date of Boykin. (In re Tahl, supra, 1 Cal.3d 122, 135.) As noted in Tahl, three factors are generally considered in determining the question of the applicability of a new rule: first, the purpose of the new rule; second, the extent of reliance on the old rule; and third, the effect retroactive application would have on the administration of justice. (See Halliday v. United States (1969) 394 U.S. 831, 832 [23 L.Ed.2d 16, 19, 89 S.Ct. 1498].) TTie application of these criteria to the changes in procedures for accepting the admission of the truth of an allegation of prior convictions as now announced has so much in common with their application to the changed procedures of accepting a guilty plea, that we must conclude for similar reasons that the instant changes must likewise be applied prospectively only.
Our decision to apply the newly announced rules prospectively only does not end our inquiry; we must further consider the particular event after which application is to occur. In Tahl the particular event was the effective date of Boykin. That followed, however, from the fact that Boykin, by virtue of the supremacy clause, mandated the rule recognized in Tahl. Thus courts and prosecutors in behalf of the People were fairly warned as of the effective date of Boykin that noncompliance therewith would thenceforth be constitutionally suspect. But Boykin did not purport to deal with the admission of the truth of an allegation of prior convictions and, although we now rely on Boykin and Tahl insofar as the constitutional waivers are con
Petitioner further contends that he was denied adequate counsel both at trial and on appeal. Such contentions are based upon the claimed failure of trial counsel to advise petitioner to deny his priors, and upon the failure of appellate counsel to urge appellate relief on the basis of decisions in other jurisdictions.
There are many tenable reasons why a trial counsel might have advised his client, in good faith, to admit charges of prior convictions. For instance, when an accused admits priors they may not be alluded to in any way during trial except for impeachment purposes if he elects to testify. (See § 1025; Evid. Code, § 788.) Further, a denial of priors would result not only in their existence being brought to the attention of the jury, but it would give undue emphasis to such priors as the People would then be required to submit proof thereof. Nor can counsel’s conduct be challenged on the ground that it precluded petitioner being fully advised in connection with the admissions, as the apparently controlling cases had held, at least by dicta, that an accusatory pleading which charged priors was sufficient to place the accused on notice for due process purposes of the possibility that he might be adjudicated an habitual criminal.
We likewise conclude that there is no merit to the contention that petitioner was not well represented on appeal. Counsel’s representation cannot be characterized as inadequate merely because of his reliance on local as distinguished from foreign case authority. This is not a case where, because of either trial or appellate counsel’s lack of diligence or skill, petitioner’s trial or appeal was reduced to a farce or a sham. (See People v. Ibarra (1963) 60 Cal.2d 460, 464 [34 Cal.Rptr. 863, 386 P.2d 487]; In re Smith (1970) 3 Cal.3d 192, 198-200 [90 Cal.Rptr. 1, 474 P.2d 969].)
Petitioner’s claim of denial of a speedy trial is not cognizable on petition for the writ of habeas corpus since it must be made by pretrial motion followed by an application for writ of prohibition or by appeal,
The order to show cause is discharged and the petition for the writ is denied.
McComb, J., Tobriner, J., Burke, J., Sullivan, J., and Roth, J.,
Penal Code section 644, subdivision (b), reads in pertinent part: “Every person convicted . . . of . . . burglary of the first degree . . . who shall have been previously three times convicted, upon charges separately brought and tried, and who shall have served separate terms therefor in any state prison . . ., of the crime of robbery, burglary . . . shall be adjudged an habitual criminal and shall be punished by imprisonment in the state prison for life.”
Unless otherwise herein provided all statutory references are to sections of the Penal Code.
The priors charged were: (1) escape from lawful custody of an officer (§4532); (2) robbery (§211); and (3) burglary (§ 459). The latter two convictions are, within the ambit of section 644.
We cannot say from the state of the record in this case whether petitioner had the requisite knowledge of the potential applicability of section 644 to have “waived”
Defendant in Mosley could not avail himself of Boykin as his submission had occurred prior to the effective date of the Boykin opinion. We held in Tahl that Boykin was to be applied only after its effective date, June 2, 1969.
The court held that a plea of guilty was tantamount to a waiver of three important federal rights: “First, is the privilege against compulsory self-incrimination guaranteed by the Fifth Amendment .... Second, is the right to trial by jury. . . . Third, is the right to confront one’s accusers. . . .” (Boykin v. Alabama, supra, 395 U.S. 238, 243-244 [23 L.Ed.2d 274, 279-280].)
We acknowledge that there may be other circumstances in particular cases which may warrant the finding of a proper waiver as we noted in Tahl. (See In re Tahl, supra, 1 Cal.3d 122, 133, fn. 6.)
We do not reach the issue of whether there exists a constitutional compulsion that an accused be so advised, as our judicially declared rule renders such a determination unnecessary.
The practical result of this rule of criminal judicial procedure is similar to that achieved in In re Birch (1973) 10 Cal.3d 314 [110 Cal.Rptr. 212, 515 P.2d 12]. In that case, however, it was held that because the record failed to disclose that the accused was advised of his constitutional right to counsel he could not be deemed to have waived such right when he entered a plea of guilty without being represented. (Id., at p. 321.) It is further held in the case of an accused who wishes to plead guilty without counsel that the court should first determine that the accused understands the full punishment which may be exacted including, in Birch, the fact that if convicted he would be required to register as a sex offender. {Id. at p. 321.) The compulsion to give such advice in Birch is there considered to be constitutionally compelled as it was deemed that the accused could not make a knowing and intelligent waiver of counsel without being fully advised of the total effect of the consequences of his waiver. In the instant case the admonition relative to the consequences of petitioner’s admission does not purport to be related to a constitutional waiver and the failure to advise has not been determined to offend any constitutional prohibition or right.
Although it may not be required by statute, rules of court or judicial decision, wé deem it a reasonable and expedient procedure that in felony cases reporter’s notes of admonitions given to an accused and his waivers, pleas and admissions be ordered transcribed and certified forthwith, and that the original of such transcript be placed in the court file.
The purpose of the rule is as much to insure an informative record as any other purpose. Retroactive application would not aid in the accomplishment of this purpose. The more significant factors in the circumstances here—reliance on the old rule and the effect on the administration of justice (see Halliday v. United States, supra, 394 U.S. 831, 833 [23 L.Ed.2d 16, 20])—clearly require a rejection of a retroactive application. Our courts have universally and justifiably relied on the old rule which permitted without an affirmative showing of waiver the acceptance of an admission of the truth of an allegation of prior convictions by an accused represented by counsel, and the adverse effect on the administration of justice if the new rule was to be applied retroactively would be overwhelming, requiring that unnumbered adjudications of habitual criminality be set aside.
Assigned by the Chairman of the Judicial Council.
Concurring Opinion
I concur in the opinion but would grant relief to this petitioner for the reasons discussed in my concurring and dissenting opinion in Westbrook v. Mihaly (1970) 2 Cal.3d 765, 802 [87 Cal.Rptr. 839, 471 P.2d 487], vacated on other grounds (1971) 403 U.S. 915 [29 L.Ed.2d 692, 91 S.Ct. 2224].
Petitions for a rehearing were denied April 17, 1974. Mosk, J., was of the opinion that the petitions should be granted. The opinion was modified on April 17 and 24, 1974, to read as printed above.
Reference
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- In Re EDWARD MICHAEL YURKO on Habeas Corpus
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