Edward Eugene Penn v. Attorney General of the State of Alabama, John E. Nagle
Edward Eugene Penn v. Attorney General of the State of Alabama, John E. Nagle
Opinion of the Court
Edward Penn appeals the judgment of the United States District Court for the Northern District of Alabama denying his 28 U.S.C. § 2254 petition for habeas corpus relief. He alleged that he was denied equal protection of the law because the Circuit Court of Jefferson County, Alabama, used convictions obtained under an unconstitutional juvenile statute to sentence him as an habitual felony offender to life in prison with no chance of parole. Even if the challenged code section was unconstitutional as contended by Penn, he would still have been tried as an adult in accordance with the general law of Alabama in force at that time. Therefore, we affirm the judgment of the district court.
Penn was sentenced to life in prison without parol in 1985 under the Alabama Habitual Felony Offender Act because he had committed three prior felony offenses.
On September 10, 1985, Penn was found guilty of robbery in the first degree in the Circuit Court of Jefferson County, Alabama. At the sentencing hearing the state introduced evidence that Penn had three prior felony convictions, which, under the terms of the Habitual Felony Offender Act, required mandatory imposition of a sentence of life in the penitentiary without parole.
Penn argues that Title 62 section 311 of the Code of Alabama (1940, Recompiled 1958) which dealt with the jurisdiction to try juvenile offenders only in Jefferson County, Alabama was unconstitutional as violative of the equal protection clause because it singled out males for different treatment than females. Under the terms of this statute males between the ages of sixteen and eighteen years of age were tried as adults in the Circuit Court of Jefferson County, while young women under the age of eighteen years of age were under the exclusive jurisdiction of the juvenile court. As a result, he maintains, the two convictions are invalid and the state court should not have been able to use these convictions to enhance his current sentence.
Penn does not challenge the underlying criminal laws he was charged with violating in 1969 and 1970. Nor, is he attacking the validity of the Alabama Habitual Felony Offender Act. He is only concerned with the constitutionality of the jurisdictional language of the Jefferson County juvenile code and its effect on his convictions as an adult in 1969 and 1970.
The magistrate, after determining that the issue was properly before the court, agreed with Penn that the Jefferson County juvenile code violated the constitutional guarantee of equal protection. However, the magistrate then considered what would have happened if the law had been challenged in 1969 or 1970. He concluded that if Title 62, section 311, Code of Alabama (1940, Recompiled 1958) was struck down as violative of the equal protection clause, then Penn would have been tried as an adult under Title 13, sections 350 and 363, Code of Alabama (1940, Recompiled 1958) which applied to the entire state of Alabama except Jefferson County. Under this title all children under the age of sixteen were treated as juveniles. However, those youths between the ages of sixteen and eighteen were under the exclusive jurisdiction of the courts of general jurisdiction unless the court exercised its discretion to transfer the case to juvenile court. Therefore, the magistrate was of the opinion that since Penn was sixteen or older in 1969 and 1970 he suffered no prejudice and that the convictions obtained in Jefferson County could be used to enhance his sentence under the Habitual Felony Offenders Act. The district court adopted the recommendations of the magistrate.
We agree with the district court and the state that Penn’s 1969 and 1970 convictions were properly used to enhance his sentence under Alabama’s Habitual Felony Offender Act. By simply holding that Title 62, section 311 deprived Penn of his right to equal protection of the law does not mean that those convictions as an adult were not valid and set aside for enhancement purposes. In these circumstances it makes little difference whether the jurisdiction to try Penn as a juvenile in Jefferson County was constitutional. If the jurisdictional language of the Jefferson County statute was unconstitutional, then the
The jurisdictional language in Title 13, sections 350 and 363 make it clear that the legislature intended that the juvenile court have exclusive jurisdiction- over all delinquent children under the age of sixteen in all of Alabama except Jefferson county. Title 13, § 350 and § 363 Code of Alabama (1940, Recompiled 1958). The same is true for Title 62, section 311, the only difference being that, in addition, the juvenile court retained exclusive jurisdiction over females under the age of eighteen. Title 62, section 311 of the Code of Alabama (1940, Recompiled 1958), since repealed by the 1975 code of Alabama, reads in pertinent part:
‘delinquent child’ shall mean any male child who while under sixteen years of age, or any female child who while under eighteen years of age, being or residing in such county, violates any penal law of the United States or of this state, or any regulation, ordinance or law of any city, town, or municipality of such county; or who commits any offense or act for which he or she could be prosecuted in a method partaking of the na*842 ture of a criminal action or proceeding; or who is beyond the control of his or her parent, parents, guardian or custodian, or who defies their authority, or who is otherwise incorrigible; or who is guilty of immoral conduct; or who is leading, or from any cause is in danger of leading an idle, dissolute, lewd or immoral life, or who is found in any place, for permitting which, an adult may be punished by law; or a male child between the ages of sixteen and eighteen years of age, who has been brought before any other court, charged with a crime, and which court has by proper order transferred said child to the said juvenile and domestic relations court to be dealt with under the terms of this subdivision.
Id. (Emphasis added).
As can be seen, the Jefferson County law also contained language, which gave the local criminal court jurisdiction over male delinquents between the ages of sixteen and eighteen years, unless the court in its discretion saw fit to transfer the case to juvenile court. The section of the code dealing with juveniles for the rest of the state defined a delinquent child as any child under sixteen years of age who violates any penal law.
Title 13, section 363 entitled “Transferring jurisdiction; transfer to the juvenile court” states that any criminal court which has before it a “child between the ages of sixteen and eighteen,” has the discretion to “transfer such child ... to the jurisdiction of the juvenile court.”
[A] male child between the ages of sixteen and eighteen years of age, who has been brought before any other court, charged with a crime, and which court has by proper order transferred said child to the said juvenile and domestic relations court to be dealt with under the terms of this subdivision.
Title 62, § 311 Code of Alabama, (1940, Recompiled 1958).
The courts of general jurisdiction had exclusive jurisdiction over male juveniles between sixteen and eighteen in section 311 and all juveniles between those ages in section 363 unless the court exercised its discretion to transfer the case to juvenile
Therefore, despite the fact that certain portions of the jurisdictional language of the Jefferson County juvenile code may have been violative of the guarantee of equal protection, Penn suffered no constitutional harm. There existed a privilege to have his case transferred to the juvenile court. However, that option was only a privilege, there was no constitutional or statutory right for a youth between sixteen and eighteen years old to be tried as a juvenile. Accordingly, the judgment of the district court is hereby
AFFIRMED.
. The pertinent portion of the Habitual Felony Offender Act provides:
(c) In all cases when it is shown that a criminal defendant has been previously convicted of any three felonies and after such convictions has committed another felony, he must be punished as follows:
es) On conviction of Class A felony, he must be punished by imprisonment for life without parole.
Ala.Code § 13A-5-9(c)(3) (1975).
. Robbery in the first degree is a Class A felony. See note 1, supra.
. See United States v. Tucker, 404 U.S. 443, 447, 92 S.Ct. 589, 591, 30 L.Ed.2d 592, 596 (1972); Gideon v. Wainwright, 372 U.S. 335, 83 S.Ct. 792, 9 L.Ed.2d 799 (1963).
. Title 13, § 350(3) Code of Alabama (1940, Recompiled 1958) in pertinent part reads:
The words ‘delinquent child’ shall mean any child who while under sixteen years of age violates any penal law of the United States or of this state, or any regulation, ordinance or law of any city, town or municipality, or who commits any offense or act for which an adult could be prosecuted in a method partaking of the nature of a criminal action or proceeding; or who is beyond the control of his parent, parents, guardian, or custodian, or who is otherwise incorrigible, or who is guilty of immoral conduct, or who is leading an idle, dissolute, lewd or immoral life; or who engages in any calling, occupation or exhibition punishable by law or is found in any place for permitting which an adult may be punished by law.
Id.
. Title 13, § 363 Code of Alabama (1940, Recompiled 1958) in pertinent part reads:
Nothing in this chapter shall be construed as forbidding the arrest, with or without warrant, of any child as is now or may hereafter be provided by law, or as forbidding the issuance of warrants by magistrates as provided by law. Whenever a child under sixteen years of age is brought before a magistrate of any court in the county other than the juvenile court, charged with any offense, such magistrate or court shall forthwith, by proper order, transfer the case to the juvenile court of the county. Any criminal court or any court exercising criminal jurisdiction in any county coming under the provisions of this chapter before which any child between the ages of sixteen and eighteen years is brought, charged with the commission of a crime, shall have the authority, if such court shall deem it to be in the interest of justice and of the public welfare, to in like manner transfer such child by proper order to the jurisdiction of the juvenile court of said county to be dealt with as a delinquent child under the terms of this chapter and when so transferred such child shall come under all terms and conditions of this chapter.
Id.
Dissenting Opinion
dissenting:
I. BACKGROUND
The facts in this case are uncontroverted. In 1969, appellant-petitioner Edward Eugene Penn pled guilty to burglary and received a jail sentence. He was 16 years old. In 1970, he pled guilty to grand larceny and received a jail sentence. He was then 17 years old. Penn has one other prior felony conviction. In 1985, Penn was convicted of robbery and was sentenced to life without parole as a habitual offender. Had the state sentencing court not considered his 1969 and 1970 convictions, he would have been eligible for parole in 10 years.
Penn has challenged the enhancement of his 1985 sentence for the reason that his convictions in 1969 and 1970 violated the equal protection clause of the Fourteenth Amendment. He claims that an Alabama statute that was in effect in 1969 and 1970 irrationally discriminated between males and females in its definition of juvenile status.
Penn filed a habeas petition in federal district court on February 21, 1989. The district court determined that Penn’s convictions in 1969 and 1970 as an adult offender violated the equal protection clause, in that a similarly situated woman would have been convicted as a juvenile offender. The district court then denied habeas relief on the ground that, had the equal protection claim been adjudicated at the time of Penn’s convictions in 1969 and 1970, the court would have had no choice but to declare the statute unconstitutional and therefore nullify it completely (as opposed to extending the statute’s benefits to the excluded classes).
II. EXTENSION OR NULLIFICATION
The district court was certainly correct to find that Penn’s 1969 and 1970 convictions violated the equal protection clause.
A. The Requirement of a Concrete Remedy
This court’s precedents conclusively show that Penn cannot be allowed to go remediless. In Cox v. Schweiker,
When a statute conferring benefits on a certain class of persons is held unconstitutional due to a violation of the equal protection clause, then the unlawful discrimination or classification must be eradicated, either by granting the benefits to the inappropriately excluded class, or by denying them to the class theretofore benefitted unlawfully. In such cases where a sovereign has intentionally conferred some type of benefit upon one group and thereby unconstitutionally deprived another, the normal judicial remedy is to extend the benefits to the deprived group. Otherwise, the result is an imposition of hardship on a number of persons whom the legislature intended to protect.4
The “normal judicial remedy” should be applied in this case as well.
Our decision in Cox was informed by a line of Supreme Court cases that discuss the means by which courts are to determine whether an unconstitutional statute is to be nullified or extended. Justice Harlan’s concurrence in Welsh v. United States
The appropriate disposition of this case ... is determined by the fact that at the time of Welsh’s induction notice and prosecution the Selective Service was, as required by statute, exempting individuals whose beliefs were identical in all respects to those held by petitioner except that they derived from a religious source. Since this created a religious benefit not accorded to petitioner, it is clear to me that this conviction must be reversed under the Establishment Clause of the First Amendment unless Welsh is to go remediless.8
Justice Harlan also stated that, because Welsh’s challenge to the statute involved a criminal conviction, the statute’s extension was “mandated by the Constitution.”
The right invoked is that to equal treatment; and such treatment will be attained if either [the petitioning banks’] competitors' taxes are increased or their own reduced. But it is well settled that a taxpayer who has been subjected to discriminatory taxation through the favoring of others in violation of federal law cannot be required himself to assume the burden of seeking an increase of the taxes which the others should have paid. Nor may he be remitted to the necessity of awaiting such action by the state officials upon their own initiative.
The petitioners are entitled to obtain in these suits refund of the excess of taxes exacted from them.12
Although writing in the context of taxation, Justice Brandéis clearly expressed a preference for tangible relief to litigants subjected to discriminatory laws. Applying Brandéis’ reasoning to this case, our court should refuse to lower the age of criminal majority (raise the tax rate) but instead should require that all defendants be subject to the same age of criminal majority (tax rate) as the favored group.
B. The Issue of Legislative Intent
The most recent Supreme Court pronouncement on this question indicates that courts “must look to the intent of the state legislature to determine whether to extend benefits or nullify the statute.”
In this case, we have little evidence as to what the Alabama legislature would have intended had the statute at issue been declared unconstitutional at the time of Penn’s convictions in 1969 and 1970. The legislature later abolished the distinction created by the statute and established 16 as the statewide age of criminal majority for both sexes.
Perhaps more importantly, the Supreme Court in Skinner v. Oklahoma
C. Policy Considerations
Policy reasons also indicate that the benefits of the statute should be retroactively extended to all defendants in the state of Alabama. The statutory scheme in question is no longer in effect. The consequences of declaring a superseded statute unconstitutional are minimal. There is little possibility of disrupting Alabama’s current administration of its criminal justice system, of requiring large expenditures of funds to right the inequality, or even of causing friction between state legislative leaders and the federal courts. The only consequence is that those who are currently incarcerated on sentences that stem at least in part
III. PRESENT RELEVANCE OF PRIOR CONVICTIONS
Penn’s requested relief should be granted on the alternate ground that the Supreme Court has indicated that it is the present effect of Penn’s prior, unconstitutional convictions that must be remedied, regardless of whether Penn would have been ultimately successful had he sought relief in 1969 or 1970. The Court has reversed criminal sentences that have been enhanced by prior, unconstitutional convictions without taking heed of whether the defendant would have escaped punishment under the prior convictions, had his rights been secured in the earlier proceedings. In the context of a federal enhanced sentence in United States v. Tucker,
We need not speculate about whether the outcome of the respondent’s 1938 and 1946 prosecutions would necessarily have been different if he had had the help of a lawyer. Such speculation is not only fruitless, but quite beside the point. For the real question here is not whether the results of the Florida and Louisiana pro*847 ceedings might have been different if the respondent had had counsel, but whether the sentence in the 1953 federal case might have been different if the sentencing judge had known that at least two of the respondent’s previous convictions had been unconstitutionally obtained.22
Applying the words of Tucker to the facts of this case, we have: “The real question here is not whether the results of the 1969 and 1970 prosecutions might have been different if the age-differentiation statute had been found unconstitutional at that time, but whether the sentence in the 1985 conviction might have been different if the sentencing judge had known that at least two of the respondent’s previous convictions had been unconstitutionally obtained.” The Tucker Court looked only to the present effect of the unconstitutional action, not to hypothetical past effects. The Court in Tucker was willing to overturn Tucker’s conviction even though the lack of counsel may well have been harmless error. Analogously, even assuming that the statute at issue would have been nullified and not extended if it had been challenged at the time of Penn’s prior convictions, Penn’s prior convictions as an adult were all the same entered in violation of the equal protection clause, and his present sentence was unconstitutionally enhanced.
IV. CONCLUSION
Penn is suffering severely from a violation of his rights to equal protection. He has been sentenced to life in prison without parole on the basis of prior convictions that were unconstitutionally entered against him. This court should follow the Supreme Court’s decisions in Skinner and Tucker and grant the writ of habeas corpus. Any other course of action leaves Penn remediless.
. Tit. 62, § 311, Code of Alabama (1940, recompiled 1952).
. See, e.g., Lamb v. Brown, 456 F.2d 18, 20 (10th Cir. 1972) ("Because the purpose of the disparity in the age classification between 16-18 year old males and 16-18 year old females has not been demonstrated, we hold that [the statute creating the disparate treatment] is violative of the equal protection clause.”); Raiford v. State, 296 Md. 289, 462 A.2d 1192 (1983) (extending statewide statute establishing 18 as the limit for juvenile status to Baltimore).
. 684 F.2d 310 (5th Cir. Unit B 1982).
. Id. at 317 (emphasis added and citations omitted),
. 398 U.S. 333, 344, 90 S.Ct. 1792, 1798, 26 L.Ed.2d 308 (1970) (Harlan, J., concurring).
. 443 U.S. 76, 89, 94, 99 S.Ct. 2655, 2663, 2666, 61 L.Ed.2d 382 (1979).
. 398 U.S. at 362, 90 S.Ct. at 1808 (citations and footnote omitted).
. See also Miller, Constitutional Remedies for Underinclusive Statutes: A Critical Appraisal of Heckler v. Mathews, 20 Harv.C.R.-C.L.L.Rev. 79 (1985):
In Welsh, the unconstitutionality of Welsh’s injury plainly could have been remedied by nullifying the exemption granted to religious objectors. As Justice White pointed out in dissent, Welsh had no constitutional claim to exemption independent of the fact that it had been granted to others. Nevertheless, nullification was inadequate as a constitutional remedy. The reason, for Justice Harlan and implicitly for Justice White, was that while nullification would correct the unconstitutionality of the statutory exemption scheme, it would not touch the injury suffered by Welsh — the conviction for refusing induction and the corresponding prison sentence.
Id. at 115 (footnote omitted).
. 284 U.S. 239, 52 S.Ct. 133, 76 L.Ed. 265 (1931).
. 284 U.S. at 247, 52 S.Ct. at 136 (citations omitted).
. California Fed. Sav. & Loan Ass’n v. Guerra, 479 U.S. 272, 292 n. 31, 107 S.Ct. 683, 695 n. 31, 93 L.Ed.2d 613 (1987).
. Welsh, 398 U.S. at 361, 90 S.Ct. at 1808; see also Westcott, 443 U.S. at 90, 99 S.Ct. at 2664 (‘‘[A]n injunction suspending the program’s operation would impose hardship on beneficiaries whom Congress plainly meant to protect.”); Kalina v. Railroad Retirement Bd., 541 F.2d 1204, 1210 (6th Cir. 1976) (invalidating gender-based disparate treatment of spouses of railroad employees; "the Board suggests that we should hold that all spouses, female as well as male, of railroad employees must prove that they are dependent in fact in order to qualify for a spouse's annuity. This result would he contrary to the considered decision of Congress that spouses of male railroad workers are to be conclusively presumed dependent.”), aff’d, 431 U.S. 909, 97 S.Ct. 2164, 53 L.Ed.2d 220 (1977).
.Ala.Code § 12-15-1(3) (1975).
. See Cox, 684 F.2d at 317 ("Otherwise the result is an imposition of hardship on a number of persons whom the legislature intended to protect.” (citation omitted)).
. 316 U.S. 535, 62 S.Ct. 1110, 86 L.Ed. 1655 (1942).
. Id. (citation omitted).
. See generally Maleng v. Cook, 490 U.S. 488, 109 S.Ct. 1923, 104 L.Ed.2d 540 (1989).
. 404 U.S. 443, 92 S.Ct. 589, 30 L.Ed.2d 592 (1972).
. 404 U.S. at 447-48, 92 S.Ct. at 592 (footnotes omitted).
. See generally United States v. Addonizio, 442 U.S. 178, 187, 99 S.Ct. 2235, 2241, 60 L.Ed.2d 805 (1979) (emphasizing that challenge to enhanced sentence must rest on "misinformation of constitutional magnitude").
Case-law data current through December 31, 2025. Source: CourtListener bulk data.