People v. Rossi
People v. Rossi
Opinion of the Court
Defendant appeals from a judgment of conviction entered after a nonjury trial in which the court found her guilty of five counts charging violation of section 288a of the Penal Code. Defendant contends that her conviction should be reversed because, before the conviction became final, the Legislature amended section 288a of the Penal Code so as to legalize her conduct. We conclude that in light of the intervening amendment the conviction must be reversed.
The relevant facts are undisputed. Defendant, a part-time instructor in psychology at UCLA, is a married woman with two children. During the filming of several low-budget movies, she committed several sexual acts which constituted violations of former section 288a.
At the time defendant committed the charged acts, Penal Code section 288a broadly proscribed all oral copulation, even between consenting adults.
At common law, a statute mitigating punishment applied to acts committed before its effective date as long as no final judgment had been rendered. (See People v. Hayes (1894) 140 N.Y. 484 [35 N.E. 951].) Similarly, when a statute proscribing certain designated acts was repealed without a saving clause, all prosecutions for such act that had not been reduced to final judgment were barred. (United States v.
In In re Estrada (1965) 63 Cal.2d 740 [48 Cal.Rptr. 172, 408 P.2d 948], this court undertook an extensive review of this entire line of authority and concluded that the earlier cases had improperly extended the application of Government Code section 9608 far beyond its intended scope. In Estrada we observed that at common law when a statute was passed that increased the punishment for a crime, a defendant who committed the proscribed acts prior to the effective date of the new law could not be punished under the old law because it no longer existed, and he could not be punished under the new law because its attempted application would render it an ex post facto law. (See Sekt v. Justice’s Court (1945) 26 Cal.2d 297 [159 P.2d 17, 167 A.L.R. 833].)
Section 9608, we explained in Estrada, was enacted simply to authorize prosecutions under the former statute in order to avoid this technically absurd result by which a defendant could be prosecuted under no law, simply because the Legislature had decided to increase the punishment for his crime. (See People v. McNulty (1892) 93 Cal. 427, 437 [26 P. 597, 29 P. 61].) We concluded, however, that the provision was not intended to abrogate the well-established common law rule which, in the absence of clear legislative intent to the contrary, accorded a criminal defendant the benefit of a mitigation of punishment adopted before his criminal conviction became final. Thus, we held that “[w]here the amendatory statute mitigates punishment and there is no saving clause,
The Estrada court’s conclusion as to the limited reach of Government Code section 9608 finds direct support in a line of United States Supreme Court decisions construing the comparable language of the general federal “saving” provision. (1 U.S.C. § 109.)
The People contend, however, that the case at bar is distinguishable from Estrada, pointing out that in the instant case the intervening
In Spears v. County of Modoc (1894) 101 Cal. 303 [35 P. 869], for example, defendant was convicted in justice court of violating a local penal ordinance prohibiting “the keeping of a saloon where spiritous liquors were sold” and was fined $500. Pending his appeal to the superior court, the local ordinance was repealed but the superior court nonetheless affirmed the conviction. In subsequent proceedings, this court determined that the superior court had been in error and explicitly held that the repeal of the ordinance before the judgment became final invalidated the conviction.
Citing numerous respected authorities, the Spears court explained its conclusion at some length: “[T]he effect of repealing a statute is ‘to obliterate it as completely from the records of the parliament as if it had never passed; and it must be considered as a law that never existed, except for the purpose of those actions which were commenced, prosecuted and concluded while it was an existing law.’ This principle has been applied more frequently to penal statutes, and it may be regarded as an established rule that the repeal of a penal statute without any saving clause has the effect to deprive the court in which any prosecution under the statute is pending of all power to proceed further in the matter. ‘The repeal of a statute puts an end to all prosecutions under the statute repealed, and to all proceedings growing out of it pending at the time of the repeal.’ (Sedgwick’s Statutory and Constitutional Law, 130. . . .) ‘If a penal statute is repealed pending an appeal, and before the final action of an appellate court, it will prevent an affirmance of a conviction, and the prosecution must be dismissed, or judgment reversed.’ (Sutherland on Statutory Construction, sec. 166.)” (101 Cal. at p. 305.)
In light of these numerous authorities, it is clear that the People can gain no comfort from the fact that the intervening amendment of section 288a completely repealed the provisions under which defendant was convicted instead of simply mitigating the punishment for defendant’s conduct.
The People alternatively claim that, assuming the governing common law rules call for a reversal of defendant’s conviction in the
The People concede that the portions of the recent legislation relating to the amendment of Penal Code section 288a give no indication that the. Legislature intended to alter the established common law rules,
As the United States Supreme Court has observed, it is “the universal common-law rule that when the legislature repeals a criminal statute or otherwise removes the State’s condemnation from conduct that was formerly deemed criminal, this action requires the dismissal of a pending criminal proceeding charging such conduct. The rule applies to any such proceeding which, at the time of the supervening legislation, has not yet reached final disposition in the highest court authorized to review it.” (Bell v. Maryland (1964) 378 U.S. 226, 230 [12 L.Ed.2d 822, 826, 84 S.Ct. 1814].) In the instant case, this “universal common-law rule” mandates the reversal of defendant’s conviction.
The judgment is reversed.
Wright, C. J., Mosk, J., and Sullivan, J., concurred.
The People adduced no evidence that defendant received compensation for her roles in these films. One of the films bore a commercial logo and a suggestive title, and some of the films were apparently unsuccessfully offered for sale.
Prior to January 1, 1976, section 288a read in pertinent part: “Any person’s parcticipating in an act of copulating the mouth of one person with the sexual organ of another is punishable by imprisonment in the state prison for not exceeding 15 years, or by imprisonment in the county jail not to exceed one year....”
As amended, section 288a proscribes acts of oral copulation only when affected by force, committed while confined in a state prison, or committed with a minor. (See fn. 8, post.)
Section 9608 provides in full: “The termination or suspension (by whatsoever means effected) of any law creating a criminal offense does not constitute a bar to the indictment or information and punishment of an act already committed in violation of the law so terminated or suspended, unless the intention to bar such indictment or information and punishment is expressly declared by an applicable provision of law.”
See People v. Harmon (1960) 54 Cal.2d 9 [4 Cal.Rptr. 161, 351 P.2d 329]; People v. Fowler (1959) 175 Cal.App.2d 808, 812 [346 P.2d 792]; In re Crane (1935) 4 Cal.App.2d 265 [41 P.2d 179]; People v. King (1934) 136 Cal.App. 717 [29 P.2d 870]; People v. Lindsav (1925) 75 Cal.App. 115, 121 [242 P. 87]; People v. Pratt (1924) 67 Cal.App. 606, 608 [228 P. 47]; People v. Davis (1924) 67 Cal.App. 210, 215 [227 P. 494]; People v. Williams (1914) 24 Cal.App. 646 [142 P. 124],
Estrada explained the rationale for the rule in the following terms: “When the Legislature amends a statute so as to lessen the punishment it has obviously expressly determined that its former penalty was too severe and that a lighter punishment is proper as punishment for the commission of the prohibited act. It is an inevitable inference that the Legislature must have intended that the new statute imposing the new lighter penalty now deemed to be sufficient should apply to every case to which it constitutionally could apply.” (63 Cal.2d at p. 745).
The federal provision reads in relevant part: “The repeal of any statute shall not have the effect to release or extinguish any penalty, forfeiture, or liability incurred under such statute, unless the repealing act shall so expressly provide, and such statute shall be treated as still remaining in force for the purpose of sustaining any proper action or prosecution for the enforcement of such penalty, forfeiture or liability.”
A contrary reading of Estrada which confined its holding to amendments which mitigated punishment and excluded amendments which repealed all criminal sanction would clearly lead to absurd results. Under the dissent’s interpretation, if the Legislature had simply amended section 288a to reduce the maximum punishment to one day in jail defendant would be accorded the benefit of that mitigation; since the Legislature completely repealed all criminal penalties for a violation of former section 288a, however, the dissent would find a Legislative intent that defendant be subjected to the full punishment prescribed by the repealed legislation. With all respect, such a reading of legislative intent belies reality.
The relevant portion of the recent bill reads in full: “Section 288a of the Penal Code is amended to read: (a) Oral copulation is the act of copulating the mouth of one person with the sexual organ of another person, (b) Any person who participates in an act of oral copulation with another person who is under 18 years of age shall be punished by imprisonment in the state prison for a period of not more than 15 years or in a county jail for a period of not more than one year, (c) Any person who participates in an act of oral copulation with another person who is under 14 years of age and more than 10 years younger than he, or who has compelled the participation of another person in an act of oral copulation by force, violence, duress, menace, or threat of great bodily harm, shall be punished by imprisonment in the state prison for a period not less than three years, (d) Any person who, while voluntarily acting in concert with another person, either personally or by aiding and abetting such other person, commits an act of oral copulation by force or violence and against the will of the victim shall be punished by imprisonment in the state prison for a period of five years to life, (e) Any person who participates in an act of oral copulation while confined in any state prison, as defined in Section 4504 or in any local detention facility as defined in Section 6031.4, shall be punished by imprisonment in the state prison for a period of not more than five years, or in a county jail for a period of not more than one year.”
Concurring Opinion
I concur in the judgment under the compulsion of In re Estrada (1965) 63 Cal.2d 740 [48 Cal.Rptr. 172, 408 P.2d 948].
The question presented by this appeal is whether our general saving statute (Gov. Code, § 9608) is applicable when the statute under which the defendant was convicted is, in effect, repealed before judgment becomes final. The majority, relying on In re Estrada (1965) 63
The fundamental premise of Justice Peters’ argument, which was unsuccessful in Harmon but prevailed in Estrada, is that section 9608 “tells us that the Legislature intended that the offender be punished, but it offers no clue as to what statute shall be applied.” (Harmon, at p. 30.) Permitting defendant to entirely escape punishment for her offense is, of course, inconsistent with this premise.
In Harmon, Justice Peters distinguished three types of cases: (1) The statute under which the defendant was convicted is repealed pending appeal. (2) The statute under which the defendant was convicted is amended, pending appeal, by increasing the punishment. (3) The statute under which the defendant was convicted is amended, pending appeal, by decreasing the punishment. Justice Peters’ ultimate conclusion in Harmon, as well as Estrada, is that the considerations leading to the application of section 9608 in case (2) do not compel its application in case (3). However, in the course of reaching this conclusion, Justice Peters expressly affirmed that section 9608 applies to case (1), i.e., this case.
Case (2) is unlike case (3) in this respect: the constitutional prohibition against ex post facto laws prevents application of an amended statute increasing punishment to crimes already committed, but does not prevent application to such crimes of an amended statute decreasing punishment. Therefore, Justice Peters concluded, the Legislature’s intent, expressed in section 9608, that the offender be punished can only be given effect in case (2) under the old law whereás in case (3) it can be given effect under the new law as well.
“In both situations, that is, where the amendment increases or decreases the punishment, we are required to ascertain the legislative intent. The saving clause tells us that the Legislature intended that the offender be punished, but it offers no clue as to what statute shall be applied. Where the amended statute increases the punishment the amended statute cannot constitutionally be applied to the punishment of
Case (1) is like case (2) in this respect: there is no question as to which law the Legislature intended the offender to be punished under. The prohibition against ex post facto laws eliminates the new law from consideration when an amendment increases the punishment. When a statute is repealed there is no new law to enter into consideration. In both cases, therefore, the Legislature’s intent that the offender be punished, expressed in section 9608, can only be given effect under the old law. “In both of the situations . . . ,' if there is a saving clause, the offender may be punished under the old law. This is so because the saving clause has expressed an intent that, even though the old statute has been repealed or amended, the offender is to be punished, and since the only law under which he can be punished is the old law, he is to be punished under that law.” (Harmon at p. 28.)
Justice Peters reaffirmed this principle in Estrada. “A reading of [section 9608] demonstrates that the Legislature . . . positively expressed its intent that an offender of a law that has been repealed or amended should be punished . . . .” (63 Cal.2d at pp. 747-748.) Reversing defendant’s conviction, therefore, is inconsistent with Estrada.
The majority profess to find support for their thesis—that general saving statutes such as 9608 are intended to apply only to instances of “technical abatement,” i.e., amendment of a statute to increase the punishment—in Hamm v. Rock Hill (1964) 379 U.S. 306 [13 L.Ed.2d 300, 85 S.Ct. 384], In relying on Hamm, the majority lean on a slender reed. The high court there interpreted the federal saving statute in light of its understanding of Congress’ intent in enacting that particular statute. The court could not, and did not purport to, render an opinion as to what other legislatures must have intended in enacting their own saving
Defendant’s conviction should be affirmed.
McComb, J., concurred.
Reference
- Full Case Name
- The PEOPLE, Plaintiff and Respondent, v. SHEILA ISABELLE ROSSI, Defendant and Appellant
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- 153 cases
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- Published