Opinion ID: 1921424
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Heading: is imposition of probation after conviction a final judgment, order or decision?

Text: We come then as a result of our analysis of the constitution, legislation and court rules to the question whether the imposition of probation after conviction of the original crime is a final judgment, order or decision. As already noted above, our Court of Appeals in Calhoun, held that the imposition of probation after conviction constitutes a final judgment, order or decision, persuaded by the reasoning in the United States Supreme Court case of Korematsu and the Illinois Court of Appeals case, People v Nordstrom, 73 Ill App 2d 168; 219 NE2d 151 (1966), aff'd 37 Ill 2d 270; 226 NE2d 19 (1967), which also relies on Korematsu. In Korematsu v United States, 319 US 432; 63 S Ct 1124; 87 L Ed 1497 (1943), the question was whether a judgment was final when the imposition of sentence itself was suspended and the defendant placed on probation. Here the 9th Circuit Court of Appeals was unsure whether this was a final judgment over which they could assert jurisdiction. The United States Supreme Court stated: It has often been said that there can be no `final judgment' in a criminal case prior to actual sentence, Miller v. Aderhold, 288 U.S. 206, 210 [53 S Ct 325; 77 L Ed 702 (1933)]; Hill v. Wampler, 298 U.S. 460, 464 [56 S Ct 760; 80 L Ed 1283 (1936)], and this proposition was restated in Berman v. United States, 302 U.S. 211, 212. In applying this general principle to a situation like that of the instant case, the Second and Fourth Circuit Courts of Appeals have concluded that they lacked jurisdiction to hear an appeal from an order placing a defendant on probation without first imposing sentence. United States v. Lecato, 29 F.2d 694, 695 [(CA 2, 1928)]; Birnbaum v. United States, 107 F.2d 885 [(CA 4, 1939)]. The Fifth Circuit appears to take the opposite view. Nix v. United States, 131 F.2d 857 [(CA 5, 1942)]. The `sentence is judgment' phrase has been used by this Court in dealing with cases in which the action of the trial court did not in fact subject the defendant to any form of judicial control. Thus in Miller v. Aderhold, supra , imposition of sentence was suspended and the defendant was put under no obligation at all. Hence the Court held that there was no jurisdiction to hear the appeal. But certainly when discipline has been imposed, the defendant is entitled to review. In the Berman case, supra, we held that the appeal was proper where the sentence was imposed and suspended, and the defendant was placed on probation. The probationary surveillance is the same whether or not sentence is imposed. In either case, the probation order follows a finding of guilt or a plea of nolo contendere. Thereafter, the defendant must abide by the orders of the court. He must obey the terms and conditions imposed upon him, or subject himself to a possible revocation or modification of his probation; and under some circumstances he may, during the probationary period, be required to pay a fine, or make reparation to aggrieved parties, or provide for the support of persons for whom he is legally responsible. 18 U.S.C. § 724. He is under the `supervision' of the probation officer whose duty it is to make reports to the court concerning his activities, 18 U.S.C. § 727, and at `any time within the probation period the probation officer may arrest the probationer wherever found, without a warrant, or the court which has granted the probation may issue a warrant for his arrest.' 18 U.S.C. § 725. These and other incidents of probation emphasize that a probation order is `an authorized mode of mild and ambulatory punishment, the probation being intended as a reforming discipline.' Cooper v. United States, 91 F.2d 195, 199 [(CA 5, 1937)]. The difference to the probationer between imposition of sentence followed by probation, as in the Berman case, and suspension of the imposition of sentence, as in the instant case, is one of trifling degree. Probation, like parole, `is intended to be a means of restoring offenders who are good social risks to society; to afford the unfortunate another opportunity by clemency,' Zerbst v. Kidwell, 304 U.S. 359, 363 [58 S Ct 872; 82 L Ed 1399 (1938)], and this end is served in the same fashion whether or not probation is preceded by imposition of sentence. In either case, the liberty of an individual judicially determined to have committed an offense is abridged in the public interest. `In criminal cases, as well as civil, the judgment is final for the purpose of appeal when it terminates the litigation ... on the merits and leaves nothing to be done but to enforce by execution what has been determined.' Berman v. United States, supra, 212, 213. Here litigation `on the merits' of the charge against the defendant has not only ended in a determination of guilt, but it has been followed by the institution of the disciplinary measures which the court has determined to be necessary for the protection of the public. 319 US 432, 434-435. We agree with the Court of Appeals in Calhoun that the reasons to grant an appeal as of right after the imposition of probation are persuasive and hold that there is such an appeal as of right. However, we obviously disagree with the opinion that such appeal as of right is exclusive of an appeal as of right after determination of a probation violation and prison sentence. V  TWO APPEALS AS OF RIGHT Our analysis reaches the conclusion that an appeal as of right is available either after conviction and imposition of probation or after determination of probation violation and prison sentence. In Part II we concluded that the constitution, statutes and court rules recognized the possibility of more than one appeal as of right. We therefore hold that the two such appeals as of right are available under the conditions prescribed by court rule. VI  SCOPE OF APPEAL AS OF RIGHT Obviously the scope of appeal as of right following original conviction and probation can only cover matters arising up to that time. Since we have held that there is the just described appeal as of right, we hold that the appeal as of right following determination of probation violation and sentence must necessarily be limited to those matters relating to the probation violation and the hearing thereon. We have given defendant the opportunity to raise any questions concerning his trial on his first appeal as of right. To allow him to raise trial related matters on this second appeal would, in effect, be granting two rights of appeal to the same final determination and make the 60-day requirement of GCR 1963, 803.1 in taking an appeal as of right meaningless. See People v Nordstrom, 73 Ill App 2d 168; 219 NE2d 151 (1966); Gossett v State, 282 SW2d 59 (Tex Crim App, 1955). The Arizona Supreme Court in a pair of cases dealing with the problems faced here came to similar legal conclusions. In State v Heron, 92 Ariz 114; 374 P2d 871 (1962), defendant was convicted, placed on probation and appealed therefrom. The state moved to dismiss the appeal on the basis that no final judgment had been entered since defendant had not been sentenced. The Court held that under their rules of criminal procedure a judgment of guilty was a final judgment from which an appeal could be taken even though the sentence or the imposition of the sentence had been suspended. The Court also stated: The defendant must, of course, file a timely notice of appeal and abide by the other procedures set out for the prosecution of appeals. He may not take the benefit of his probation and hold off on his appeal until, for instance, his probation is revoked. In State v Osborn, 107 Ariz 295; 486 P2d 777 (1971), defendant was convicted and placed on probation. Eighteen months later his probation was revoked and he appealed claiming error at his trial while raising no error as to the sentence or revocation hearing. The Court held that there was an appeal as of right after conviction and probation but that such appeal had to be taken within 60 days of guilt. It also held there was an appeal as of right after revocation of probation. The Court held: After the revocation of probation the defendant could have appealed from the sentence imposed or any issues raised by the revocation of his probation. We hold, however, that an appeal from the judgment of guilt must be taken within sixty days after a judgment of guilt and probation is entered and that the suspension of the sentence in nowise extends the time for filing such appeal. 107 Ariz 295-296; 486 P2d 777, 778. See also State v Ward, 108 Ariz 288; 496 P2d 588 (1972). The case is reversed and remanded to the Court of Appeals for further proceedings not inconsistent with this opinion.