Legal Document

506 U.S. 20 113 S.Ct. 517 121 L.Ed.2d 391 Al C. PARKE, Warden, Petitioner,v.Ricky Harold RALEY. No. 91-719. Argued Oct. 5, 1992. Decided Dec. 1, Rehearing Denied Jan. 19, 1993. See , 1068. Syllabus * In 1986, respondent Raley was charged with robbery and being a persistent felony offender under Kentucky statute that enhances sentences for repeat felons. He moved to suppress the 1979 1981 guilty pleas formed basis latter charge, claiming they were invalid because records contained no transcripts of proceedings hence did not affirmatively show, as required by Boykin v. Alabama, 395 238, 89 1709, 23 274, knowing voluntary. Under state procedures governing hearing on his motion, ultimate burden persuasion rested government, but presumption regularity attached judgments once Commonwealth proved their existence, then shifted produce evidence invalidity. As plea, testified that, among other things, he signed form specifying charges which agreed plead judge at least advised him right jury trial. His suppression motion denied, convicted, appealed. The Court Appeals found fully informed rights in inferred remained aware them 1981. filed federal habeas petition. District rejected argument courts had erred shifting production him, reversed holding, inter alia, where transcript is available, prosecution has entire establishing plea's validity clear convincing attaches prior judgment. Held: 1. Kentucky's burden-of-proof scheme permissible Due Process Clause. Pp. ____. (a) "Tolerance spectrum dealing [recidivism] especially appropriate" given high rate recidivism diversity approaches States have developed addressing it. Spencer Texas, 385 554, 566, 87 648, 655, 17 606. (b) deeply rooted final would be improperly ignored if invalidity applied cases direct review imported proceedings, are collaterally attacked. absence an allegation government misconduct, it cannot presumed from mere unavailability collateral defendant rights. Burgett 389 109, 88 258, 19 319, distinguished. makes appropriate assign proof even when attack rests constitutional grounds. And difficulty proving convictions entered many years ago does make fundamentally unfair place defendant, since may superior access evidence. Nor Raley's position supported courts' historical treatment defendants wide range contemporary practices regarding allocation burden, or interpretations analogous laws, see, e.g., United Gallman, 907 F.2d 639, 643-645. (c) process require prove conviction extra-record Even addressed question measure proof, necessarily follow same standard should apply proceedings. Given difficulties both sides, something less than assigned persuasion. There tradition setting this particular level, practice far uniform. 2. properly concluded plea valid. Their factual determinations entitled correctness accorded court findings 28 U.S.C. § 2254(d). Marshall Lonberger, 459 422, 431-432, 103 843, 849, 74 646. fairly experience understood consequences plea. See, id., 437, 852. That, combined admission against self-serving testimony could remember whether trial rights, satisfied every considered issue carried its scheme. It said error. 945 137 (CA6 1991), reversed. O'CONNOR, J., delivered opinion Court, REHNQUIST, C.J., WHITE, STEVENS, SCALIA, KENNEDY, SOUTER, THOMAS, JJ., joined. BLACKMUN, concurring Ian G. Sonego, Frankfort, Ky., petitioner. John F. Manning, Asst. Sol. Gen., Washington, D.C., U.S., amicus curiae, special leave Court. J. Gregory Clare, Louisville, respondent. Justice O'CONNOR 1 "Persistent sentencing" statute, Ky.Rev.Stat.Ann. 532.080 (Michie 1990), provides mandatory minimum law, challenge charge ground invalid. Respondent, who indicted claimed two offered 274 (1969). court, after hearing, claim, convicted sentenced offender. After exhausting remedies, petitioned writ corpus Western Kentucky. denied relief, Sixth Circuit ordered conditionally issue, concluding constitutionally infirm. comes presented procedure determining conviction's violates Clause Fourteenth Amendment carry proceeding unavailable. 2 May Ricky first degree.1 based burglaries pleaded November October Respondent never appealed those crimes. nevertheless proceeding, arguing contain show respondent's 3 held according set forth Gadd, 665 S.W.2d 915 (Ky.1984), Dunn Commonwealth, 703 874 (Ky.), cert. 479 832, 107 121, 93 67 (1986). Supreme observed requires only fact previous beyond reasonable doubt; need also validly obtained. S.W.2d, 917. But, citing 319 (1967), must able Ibid. clarified followed. When challenges through existence judgment intends rely. Once done, attaches, shifts infringed some procedural irregularity occurred earlier proceeding. If refutes regularity, back underlying manner did, fact, protect defendant's 876. 4 certified copies burglary, sides about eleventh grade education, read adequately, intoxicated otherwise mentally impaired challenged pleas, represented counsel occasions. remembered each case asking voluntary, specifically told waived pleading guilty. government's showed (though later read) "Plea Guilty" form, stated maximum punishment faced, attorney verified own signature another part indicating explained him. acknowledged signing specified admitted 5 Based evidence, motion. conditional counts, reserving appeal determination. robbery, enhanced 10 conviction. 6 affirmed. totality circumstances surrounding sufficient support finding upheld use knowledge permitted inference months later. Respondent's testimony, moreover, indicated sophistication legal increased substantially discretionary review. 7 petition, requiring adduce rather convictions' validity. petition essentially reasons Appeals. Parke, Civil Action C89-0756-L(A) (WD Mar. 15, 1990). Circuit, however, respondent, relying recent decision Simmons, 877 1275 (1989), 494 1061, 110 1539, 108 778 (1990). (1991). Simmons exists, validity, F.2d, 1277. seeks demonstrate "clear convincing." Although decided became final, argue Teague Lane, 489 288, 109 1060, 334 barred application case. Cf. Collins Youngblood, 497 37, 40-41, 2715, 2718, 111 30 (1990) (Teague jurisdictional). 8 affirmed Court's determination respect declined infer 1979, reasoning such give rise line-drawing problems discriminate between accused recidivists offenders experience. took before decided, yet opportunity try meet higher imposed. Thus, outright, directed grant hold new compliance within 90 days. We granted certiorari. 503 ----, 112 1260, 117 490 (1992). II A. 9 Statutes punish more severely long country dates colonial times. I Acts Resolves, Public Private, Province Massachusetts Bay 52 (Boston 1869) (1692 providing progressive punishments burglary); Laws Virginia 276-278 (W. Henning ed. 1823) (1705 hog stealing); see Graham West Virginia, 224 616, 623, 32 583, 585, 56 L.Ed. 917 (1912). Such laws currently effect all 50 States, Department Justice, Requiring Use Criminal History Record Information 17-41 (June 1991) (NJC-129846), several been enacted Federal Government, well, 18 924(e) (Armed Career Act); 21 §§ 842(c)(2)(B), 843(c), 844(a) (provisions Controlled Substances Sentencing Commission, Guidelines Manual 4A1.1 (Nov. 1992) (prior criminal conduct history purpose sentencing range). valid interest deterring segregating habitual criminals. Rummel Estelle, 445 263, 284, 100 1133, 1144, 63 382 (1980). separate offense, goes only. Oyler Boles, 368 448, 452, 82 501, 503, 446 (1962); Graham, supra, 623-624, 585; McDonald Massachusetts, 180 311, 313, 389, 390, 45 542 (1901). we repeatedly statutes "against contentions violate strictures double jeopardy, ex post facto cruel unusual punishment, due process, equal protection, privileges immunities." 560, 651, 606 (1967) (citing Oyler, supra; Gryger Burke, 728, 68 1256, 92 1683 (1948); McDonald, Moore Missouri, 159 673, 16 179, 40 301 (1895)). But Solem Helm, 463 277, 3001, 77 637 (1983) (life sentence without parole imposed violated Eighth current passing bad check offenses similarly minor). 11 States' freedom define types used enhancement unlimited. uncounseled person either guilt enhance offense." Id., 115, 262. This expressed willingness uphold, Clause, variety implementing statutes. Spencer, supra (due allows introduce past rendered offense); advance notice substantive offense will followed habitual-criminal accusation). Harlan 25 "a rule-making organ promulgation rules procedure." 564, S.Ct., 654. 655. think remains persuasive today; studies suggest two-thirds arrested records, often jurisdictions. 1; n. 9, 9. narrow face permits employ allowing Boykin. our view, burden-shifting rule easily passes muster. B 12 initial matter, decline reach broad advanced petitioner Solicitor General fortiori because, exceptions applicable here, permit purposes all. Petitioner below ordinarily do issues raised certiorari, Yee City Escondido, 1522, 118 153 (1992), unnecessary us determine allow challenges. turn, then, us. 13 dispute Boykin, 242, 1711; McCarthy 394 459, 466, 1166, 1171, 22 418 "The represents voluntary intelligent choice alternative courses action open defendant." North Carolina Alford, 400 25, 31, 91 160, 164, 27 162 (1970). That so constitutes waiver three rights: trial, confront one's accusers, privilege self-incrimination. 243, 1712. 14 reversible error accepted creating record showing thought rejection compelled Boykin's statement resulting "presume[d] . silent record." favors upon judgment; unable offer rebuttal reasoned "bare conviction." 1278. 15 tension involved allegedly uninformed convictions. They ago, now revisit To import into very different context would, ignore jurisprudence: "presumption regularity" judgments, Johnson Zerbst, 304 458, 464, 468, 58 1019, 1023, 1025, 1461 (1938). perhaps most familiar principle actions, Barefoot 880, 887, 3383, 3391, 1090 (1983); Johnson, equally forms attack, Voorhees Jackson, 35 (10 Pet.) 449, 472, (1836) (observing, court-ordered sale property ejectment action, "[t]here law better settled, act competent jurisdiction shall rightly till contrary appears"). definition, attacked convictions; sought deprive normal force independent overturn judgments. Black's Law Dictionary 261 (6th 1990); Lewis 55, 58, 65, 915, 917, 920, 198 (1980) (challenge predicate subsequent characterized "collateral"). good reason suspend here. extant suspiciously "silent" Evidently, colloquies exist Transcripts normally made taken judge's specific direction, Tr. Oral Arg. 13-14, stenographer's notes any tapes preserved five years, 16-17. circumstance missing nonexistent is, suspect, atypical, particularly old. nearly quarter-century. On review, defies logic presume (assuming governmental misconduct) situation, prohibit presuming, initially, necessitate result. counsel. 114-115, suggests stands proposition "presumptively void" appear record. Brief 14-15. broadly. At time entered, defendants' recognized, possess. already explained, virtue fails well-established requirements. argues imposing protected question." 15. By apparently refers Fifth waives Our precedents clear, grounds, defendant. 468-469, 1025. contends difficult jurisdiction, unavailable witnesses inaccessible. little doubt serious practical party evidentiary circumstances. Loper Beto, 405 473, 500-501, 1014, 1028, 31 374 (1972) (REHNQUIST, dissenting). not, State adopt one over results favorable accused." Medina California, 505 2572, 2573, 120 353 invariably, usually, Indeed, witness actually present raising claim pointing suffices infrequently forced expend considerable effort expense attempting reconstruct far-flung unfamiliar memories unreliable. extent staleness course, legitimate differentially punishing compromised. light relative positions say cites process. Medina, ----. For much history, appears altogether prohibited challenging erroneous, opposed void lack jurisdiction. Kelly People, 115 Ill. 588, N.E. 644, 645-646 (1886); accord, Webb, 36 N.D. 235, N.W. 358, 361 (1917). various allocated burdens differently. Some, like evidently full prosecution. Elling, Ohio Misc.2d 13, N.E.2d 668, 670 (Com.Pl.1983) conviction); Hennings, Wash.2d 379, 382, P.2d 256, 257 plea). Others established People Harris, 61 N.Y.2d 471 N.Y.S.2d 61, 63, 170, 172 (guilty plea); D.C.Code Ann. 23-111(c)(2) (1989); N.C.Gen.Stat. 15A-980(c) (1988). Several, Kentucky, take middle satisfies production. Watkins 655 834, 837 (Colo.1982) O'Neil, N.M. 727, 729, 580 495, (Ct.App.1978) (uncounseled Triptow, 770 146, 149 (Utah 1989) (same). certainly allocating unfair. Interpretations Courts point strongly away position. Armed Act, 924(e), placed 643-645 (CA7 499 1110, 219 (1991); Paleo, 967 7, (CA1 1992); Day, 949 973, 982-983 (CA8 1991); Ruo, 943 1274, 1276 (CA11 1991). renders calculating Guidelines. Boyer, 931 1201, 1204-1205 502 209, 116 167 text Comprehensive Drug Abuse Prevention Control Act 1970 itself clearly bears proof. 851(c)(2). sum, neither nor compel conclusion operation. Accordingly, impose C Circuit's holding prosecution's convincing. petitioner's preponderance claims habeas, appropriate. observing "extraordinary persuasion" justified "in view misgivings inherent 'collateral seek probe murky memories.' " 1277 (quoting 244, 1713); Roddy Black, 516 1380, 1384 (CA6), 423 96 226, 46 147 (1975). heightened standard, reiterates arguments importance stake defendant's. 24 analysis parallels discussion proper burdens. address had, find here context. obvious assigns persuasion, anything extrinsic Again, pointed level. uniform; demand ranging preponderance, 149; Watkins, 837, doubt, Wash.2d, P.2d, 257. therefore unprepared carries III longer 646 (1983), quite similar one. obtain death although "the Constitution law," 431, questions including inferences drawn facts, 2254(d), 849; cf. Miller Fenton, 474 104, 113, 117, 106 445, 451, 453, (1985) (holding confession subject determination, expressly distinguishing Lonberger). Lonberger bound contents court's "an individual, well experienced processes stages capable counsel," conclusions appellate "inferences deductible these facts." 435, 851 (internal quotation marks omitted); Sumner Mata, 449 539, 545-547, 101 764, 768-769, 66 722 (1981) (deference owed courts). 26 note theory case, consider, standard. indeed mandated, seem reviewable sufficiency Jackson 443 307, 99 2781, 560 (1979). choose standards convinced "fairly record" meaning 2254(d)(8). Appeals, reviewing conviction, way noted 1979. determinations. Supporting "knowledge judicial system App. Pet. Cert. A32. knew, example, difference first- second-degree charges, knew requirements offenses. "[H]e strong defense persuaded accept Commonwealth's bargain return recommendation sentence. voluntarily knowingly chose risk uncertainties trial." 32-33. previously treated justice relevant 852; 730, 1257, (1948), simply framework. 29 accordingly Reversed. agree 874, 876 (Ky.1985), (1986), complied write separately, emphasize persistent-felony-offender provision offense. 33 located chapters Revised chapter 532, classifications respective penalties located. Section sentencing," concerned enhancing penalty status associated conviction—at imprisonment—to years. 532.080(6)(b). 34 described statute: "There additional merely severe punishment. KRS create recognizes and, apart fixes fixed Hardin 573 657, 661 (Ky.1978). Malicoat 640, 641 (Ky.1982). "element" first-degree persistent-felony Hon 851, 853 (Ky.1984). However, 37 "[i]t introducing felon. specify obtained impermissible means." 38 believe chosen crime, mistakenly believes has, 12-13, means. circumstances, rely provision, why rebut reason, demanded required. syllabus prepared Reporter Decisions convenience reader. Detroit Lumber Co., 200 321, 337, 282, 287, 499. "A degree twenty-one (21) age having (2) felonies." Ky.Rev.Stat. 532.080(3) depends nature presently convicted. A (the crime ultimately guilty) faces 515.030, ineligible probation until served 532.080(7).

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