After police found defendant hiding in a closet with a cache of guns, he was convicted of seven counts of being a felon in possession of a firearm. (Pen. Code, former § 12021, subd. (a)(1).)
In response to a report that someone was taking firearms into a house, Officer Kevin Howland went to the residence of defendant's parents. Howland saw defendant get out of a car and walk into the garage. The car had been reported stolen. Other people left the house and were detained, but defendant barricaded himself inside. After firing tear gas into the house, a SWAT team entered. Defendant had hidden in a closet under some stairs and was stuck. Officers had to break open the back wall of the closet to extricate him. Seven
A jury convicted defendant of seven counts of being a felon in possession of a firearm
The Court of Appeal affirmed the judgment. We affirm the judgment of the Court of Appeal.
Section 654, subdivision (a), provides: "An act or omission that is punishable in different ways by different provisions of law shall be punished under the provision that provides for the longest potential term of imprisonment, but in no case shall the act or omission be punished under more than one provision. An acquittal or conviction and sentence under any one bars a prosecution for the same act or omission under any other."
In Neal, supra, 55 Cal.2d 11, the court added a "gloss" to section 654 that has been a subject of continuing controversy and given rise to much confusion. Neal threw gasoline into a couple's bedroom and ignited it, intending to kill the occupants. The victims were severely burned, but survived. Convicted of arson and two counts of attempted murder, Neal contended he could not be punished for the arson. (Neal, at p. 15.)
Even though section 654 refers to an "act or omission," the Neal court opined that "[f]ew if any crimes ... are the result of a single physical act." (Neal, supra, 55 Cal.2d at p. 19.) Accordingly, the relevant question is typically whether a defendant's "`course of conduct ... comprised a divisible transaction which could be punished under more than one statute within the meaning of section 654.'" (Ibid., quoting People v. Brown (1958) 49 Cal.2d 577, 591 [320 P.2d 5].) To resolve this question, the Neal court
In People v. Latimer (1993) 5 Cal.4th 1203 [23 Cal.Rptr.2d 144, 858 P.2d 611] (Latimer), this court criticized Neal's analysis, but declined the Attorney General's invitation to reconsider the Neal "gloss." "While sympathetic with some of the Attorney General's arguments, we conclude that we may not now overrule Neal, supra, 55 Cal.2d 11, and its progeny. For three decades, the Legislature has enacted new sentencing statutes in light of those cases. Although the Legislature has not expressly ratified the Neal rule, it has impliedly accepted it. In some respects, the sentencing structure we have today would be different but for the Neal line of cases. To overrule them now would result in a sentencing scheme intended by no one. Principles of stare decisis compel us to adhere to the Neal test. Any changes must be made by the Legislature, not this court." (Latimer, at pp. 1205-1206.)
The court stressed, however, that "nothing we say in this opinion is intended to cast doubt on any of the later judicial limitations of the Neal rule." (Latimer, supra, 5 Cal.4th at p. 1216.)
In order to parse out the applicable precedent and to identify the flaw in the Neal footnote, it is important to distinguish among three related but distinct concepts: multiple prosecution, multiple conviction, and multiple punishment.
It is also important to recognize that section 654 concerns only multiple punishment, not multiple convictions. "It is well settled that section 654 protects against multiple punishment, not multiple conviction.[
This case involves multiple violations of the same statute, while the express language of section 654 applies to an act that is punishable in different ways by different provisions of law. That language notwithstanding, in the Neal footnote the majority remarked: "Although section 654 does not expressly preclude double punishment when an act gives rise to more than one violation of the same Penal Code section or to multiple violations of the criminal provisions of other codes, it is settled that the basic principle it enunciates precludes double punishment in such cases also. (People v. Brown, 49 Cal.2d 577, 591 ...; see People v. Roberts [(1953)] 40 Cal.2d 483, 491 [254 P.2d 501]; People v. Clemett [(1929)] 208 Cal. 142, 144 [280 P. 681]; People v. Nor Woods [(1951)] 37 Cal.2d 584, 586 [233 P.2d 897].)" (Neal, supra, 55 Cal.2d at p. 18, fn. 1, italics added.)
We asked the parties to file supplemental briefs addressing the following questions regarding this dictum.
(1) Does the authority cited in this footnote support the italicized language?
(2) In light of the language and purpose of section 654, is it reasonable to apply it to bar multiple punishment for multiple violations of the same provision of law?
In his supplemental letter brief, defendant raised two related issues. As explained below, although the Neal footnote was dictum, subsequent decisions of the Court of Appeal have applied section 654 to multiple punishment for violations of the same provision of law. The question arises whether stare decisis and legislative acceptance compel us to continue to follow the Neal footnote, just as they required us to follow the Neal gloss in Latimer, supra, 5 Cal.4th 1203. Further, may a contrary rule be applied to defendant without violating the due process and ex post facto clauses of the United States Constitution?
We conclude that, in addition to being dictum, the Neal footnote is an incorrect statement of law, unsupported by the authority it cites. The cases relied upon do not stand for the proposition that the "basic principle" enunciated in section 654 "preclude[s] double punishment when an act gives rise to more than one violation of the same Penal Code section ...." (Neal, supra, 55 Cal.2d 11, 18, fn 1.) Three of the four cases cited in the Neal footnote involved multiple convictions that were held to be improper without any reliance on section 654.
Applying this line of authority, the Clemett court reversed the possession conviction, reasoning that "the legislature prescribed but one punishment for a violation of said act ...." (Clemett, supra, 208 Cal. at p. 147.) "Clearly the possession and control period is covered by the period during which the defendant operated said still. The defendant may have had a still in his possession or under his control without operating the same, but he could not have operated it without having it under his control and in his constructive possession." (Id. at p. 146.)
In Nor Woods, supra, 37 Cal.2d 584, a used car dealer was convicted of two counts of grand theft for taking both a 1946 Ford and some cash in exchange for a 1949 Ford, then failing to deliver the newer car or to return the trade-in and money. This court reversed one of the convictions. "It is unnecessary to determine under what circumstances the taking of different property from the same person at different times may constitute one or more thefts. [Citation.] In the present case both the car and the money were taken at the same time as part of a single transaction whereby defendant defrauded [the victim] of the purchase price of the 1949 Ford. There was, accordingly,
Roberts, supra, 40 Cal.2d 483, was a prosecution under Health and Safety Code former section 11500, which read: "`Except as otherwise provided in this division, no person shall possess, transport, sell, furnish, administer or give away, or offer to transport, sell, furnish, administer, or give away, or attempt to transport a narcotic except upon the written prescription of a physician ....'" (Roberts, at p. 486.) The defendant and a confederate were convicted of conspiracy to violate the statute. They were also convicted of violating the statute in three different ways on the same occasion by illegally transporting, selling, and possessing heroin. The court reversed the transportation and possession convictions. "The three acts are charged and adjudged as separate crimes. However, `cooperative acts constituting but one offense when committed by the same person at the same time, when combined, charge but one crime and but one punishment can be inflicted.' (People v. Clemett[, supra], 208 Cal. 142, 144 ...; see, also, People v. Knowles (1950), 35 Cal.2d 175, 187 [217 P.2d 1].) The present case [(Roberts)] resembles the Clemett case in that the only possession and transportation of heroin shown were those necessarily incident to its sale. And as in the Clemett case (p. 150 of 208 Cal.) the error can be corrected by this court." (Roberts, at p. 491.)
While these cases all tangentially refer to punishment, they do so because each held that the defendants were wrongfully convicted of multiple offenses when only a single crime was committed. Naturally, because the convictions failed, any punishment based on them would also be set aside.
The fourth case cited in the Neal footnote is People v. Brown, supra, 49 Cal.2d 577. There the court considered the application of section 654 to one act that violated two different Penal Code provisions. The defendant killed Lucy Sanchez in the course of an unlawful abortion and was convicted of both second degree murder and abortion. Relying on section 654, this court reversed the abortion conviction. "It is manifest from the evidence that defendant committed against Lucy only one criminal act, that is, the insertion of a blunt instrument in combination with the injection of a solution." (Brown, at p. 590.) People v. Coltrin (1936) 5 Cal.2d 649 [55 P.2d 1161], another abortion/murder case, was overruled insofar as it held, contrary to section 654, that a person could be "twice punished for one act." (Brown, at p. 593.) Thus, Brown was a straightforward application of section 654's language and presaged the holding in Neal.
In other contexts, we have declined to extend section 654's reach and bar multiple punishment under the same provision of law. For example, section 654 does not apply to crimes of violence against multiple victims. (E.g., Oates, supra, 32 Cal.4th at p. 1063.)
Similarly, we have declined to apply section 654 where the defendant has committed multiple violations of the same provision of law prohibiting sexual assaults. In Harrison, supra, 48 Cal.3d 321, the defendant broke into the victim's home and committed three separate acts of digital penetration. After each penetration the victim was able to pull away. Twice the defendant was able to overpower her and penetrate her again. After the third assault she was able to retreat to a bathroom and lock the door. The entire episode lasted seven to 10 minutes. (Id. at pp. 325-326.)
First, the Harrison court found that the defendant was properly convicted of three separate counts of sexual penetration by a foreign object. (Harrison,
The Harrison court rejected the defendant's argument that under section 654 he could not receive multiple punishments because his crimes involved identical offenses. The court explained that to apply section 654 in that way "would mean that `once a [defendant] has committed one particular sexual crime against a victim he may thereafter with impunity repeat his offense,' so long as he does not direct attention to another place on the victim's body, or significantly delay in between each offense. [Citation.] However, it is defendant's intent to commit a number of separate base criminal acts upon his victim, and not the precise code section under which he is thereafter convicted, which renders section 654 inapplicable." (Harrison, supra, 48 Cal.3d at pp. 337-338.)
Similarly, a felon who possesses several firearms is more culpable than one who possesses a single weapon. The purpose of The Dangerous Weapons Control Law,
Reconsidering the Neal footnote is a departure. Some Court of Appeal decisions have expressly relied on it in applying section 654 to multiple punishment for violations of the same provision of law. (See People v. Davey (2005) 133 Cal.App.4th 384 [34 Cal.Rptr.3d 811] (Davey); People v. Hall (2000) 83 Cal.App.4th 1084 [100 Cal.Rptr.2d 279] (Hall).)
In Davey, supra, 133 Cal.App.4th 384, the Court of Appeal held that under section 654, "a single act of indecent exposure constitutes only one crime for the purpose of sentencing, regardless of the number of people who witness it." (Davey, at p. 387.) The court further held that "indecent exposure is not a violent crime for the purpose of the multiple-victim exception under section 654 ...." (Id. at p. 392.) Citing the Neal footnote, the court said, "Although section 654 by its terms bars only multiple punishment for a single act violating more than one statute, it has long been interpreted also to preclude multiple punishment for more than one violation of a single Penal Code section, if the violations all arise out of a single criminal act." (Davey, at p. 389.)
In Hall, supra, 83 Cal.App.4th 1084, the issue was "whether a single act of exhibiting a firearm in a threatening manner in the immediate presence of several peace officers in violation of section 417, subdivision (c), is punishable for as many times as there are peace officers present pursuant to the multiple-victim exception to section 654. We conclude that the plain language of section 654, its purpose, and the case law construing it compel a single punishment for a single act of exhibiting a firearm in violation of section 417, subdivision (c), regardless of the number of peace officers present. The crime of exhibiting a firearm `in the immediate presence of a peace officer' in violation of section 417, subdivision (c), is, by its very definition, not committed upon a peace officer, but only in the presence of a peace officer. The multiple-victim exception to section 654 requires multiple victims, not multiple observers. Only once the exhibition of the firearm becomes an assault may the observers become victims, and may a single act warrant multiple punishment." (Id. at pp. 1086-1087.) Relying on the Neal footnote, the Court of Appeal stayed sentences on two of the three brandishing convictions. (Id. at pp. 1088, 1096-1097.)
Our case most nearly on point is People v. King (1993) 5 Cal.4th 59 [19 Cal.Rptr.2d 233, 851 P.2d 27], where the court overruled In re Culbreth (1976)
While the ex post facto clause bars applying this new rule to defendant, the enactment history of former section 12021, subdivision (a) makes it clear that the Legislature intended that a felon found in possession of several firearms be liable to conviction of and punishment for each of the firearms.
The Legislature, in enacting former section 12001, subdivision (k) in 1994, made it clear that the magnitude of a felon's culpability depends on the number of weapons he or she possesses. It provided that the possession of "each firearm ... shall constitute a distinct and separate offense" under, among other provisions, section 12021.
Section 12001, subdivision (k), was enacted in response to People v. Kirk (1989) 211 Cal.App.3d 58 [259 Cal.Rptr. 44]. Kirk construed former section 12020, subdivision (a), which made it a felony to possess "any instrument or weapon of the kind commonly known as a ... sawed-off shotgun." (Stats. 1984, ch. 1562, § 1.1, p. 5499, italics added.) The question was whether Kirk could be convicted of two violations of former section 12020, subdivision (a) "where he possessed two sawed-off shotguns at the same time and place." (Kirk, at p. 61.) Finding federal authority persuasive on the question whether the term "any" was ambiguous, the Court of Appeal concluded that (1) the term "any" in former section 12020, subdivision (a), ambiguously indicated the singular or the plural and (2) the ambiguity should be construed in favor of a defendant. (211 Cal.App.3d at pp. 62-66.) The statute, the court held,
The judgment of the Court of Appeal is affirmed.
Kennard, Acting C. J., Baxter, J., Chin, J., Liu, J., and Sepulveda, J.,
In February 2006, police found defendant, a felon, in simultaneous possession of seven firearms. At that time, as now, it was illegal for a felon to possess a firearm. (Pen. Code,
As I explain, I agree with the majority that defendant may be separately punished for seven separate crimes. Like the majority, I reach that conclusion because the Legislature specifically amended the Penal Code to provide that
Former section 12021 includes no express language referencing section 654, nor does it provide that it applies "notwithstanding any other provision of law" or contain some equivalent language to suggest an exception to section 654's prohibition on multiple punishment. But a legislative reaction to an appellate decision involving a different but related weapons law suggests the Legislature intended that felons be separately punished for each weapon they illicitly possess.
In People v. Kirk (1989) 211 Cal.App.3d 58 [259 Cal.Rptr. 44], the defendant was convicted of possessing a sawed-off shotgun and a sawed-off rifle in violation of former section 12020, subdivision (a).
In response to People v. Kirk, supra, 211 Cal.App.3d 58, the Legislature amended former section 12001 to clarify that each illegal firearm was the basis of a separate crime. "In 1994, specifically in response to Kirk, the Legislature amended section 12001 by adding new subdivision[] (k) .... (Stats. 1994, First Ex. Sess. 1993-1994, ch. 32, § 1.) The new section[] provided as follows: [¶] `(k) For purposes of Section[] 12021 ..., of this code, ... notwithstanding the fact that the term "any firearm" may be used in [that] section[], each firearm ... shall constitute a distinct and separate offense under [that] section[]....' [¶] [This new subdivision was] added with the express intent of overruling the holding in People v. Kirk `insofar as that decision held that the use of the term "any" in a weapons statute means that multiple weapons possessed at the same time constitutes the same violation.' (Stats. 1994, First Ex. Sess. 1993-1994, ch. 32, § 5.)" (People v. Rowland (1999) 75 Cal.App.4th 61, 65 [88 Cal.Rptr.2d 900]; see People v. DeGuzman (2003) 113 Cal.App.4th 538, 544 [6 Cal.Rptr.3d 739] [quoting Rowland].)
At the time defendant was arrested in 2006, former section 12021, subdivision (a)(1) provided: "Any person who has been convicted of a felony ... who owns, purchases, receives, or has in his or her possession or under his or her custody or control any firearm is guilty of a felony." (Stats. 2004, ch. 593, § 6, p. 4665; § 29800, subd. (a)(1) now provides the same thing.) Also at that time, former section 12001, subdivision (k), as amended in response to People v. Kirk, supra, 211 Cal.App.3d 58, provided that "For purposes of Section[] 12021 ... each firearm ... shall constitute a distinct and separate offense ...." (Stats. 2005, ch. 715, § 4, pp. 5732, 5733.) Clearly the statutory scheme authorized the jury to convict defendant of seven separate counts of weapon possession, one for each firearm. But does it also compel an inference that the Legislature intended an implied exception to section 654 to permit multiple punishment as well?
I agree with the majority that it does. By adding subdivision (k) to former section 12001 specifically to overrule People v. Kirk, supra, 211 Cal.App.3d 58, the Legislature not only made clear that multiple convictions were permissible, it also necessarily implied that multiple sentences were also authorized. This is so because no plausible reason exists to allow for multiple convictions if the offender's aggregate sentence were to remain the same. "[W]e cannot assume our Legislature engaged in an idle act or enacted a
Inferring an exception to section 654 from the addition of subdivision (k) to former section 12001 suffices to resolve the case before us. It is thus unnecessary to address the continued vitality of the Neal dictum, which found section 654 applicable to violations of the same statute. (Neal v. State of California, supra, 55 Cal.2d at p. 18, fn. 1.) Although I do not join the majority's discussion concerning Neal, I concur in the balance of the majority opinion finding section 654 inapplicable here.
Further statutory references are to the Penal Code, unless otherwise indicated.
New section 23510 provides "notwithstanding the fact that the term `any firearm' may be used in [the specified] sections, each firearm ... constitutes a distinct and separate offense under those sections."