Albright, Justice, dissenting:
I. The Interplay of State v. Nichols, Fundamental Fairness and Recidivist Proceedings
In the case before us, the petitioner was charged with third offense driving under
the influence (hereinafter DUI) and third offense driving on a license suspended for DUI.
Taking advantage of Nichols, the petitioner admitted the prior convictions at a hearing held by
the circuit court before trial. On the day set for trial of the charged offense, the petitioner pled
guilty to the charged felony offenses as well, thus subjecting himself to two sentences
enhanced by his prior convictions. Subsequent to the petitioner's guilty plea, the State filed
an information against the petitioner, seeking to further enhance his sentence under West
Virginia Code §§ 61-11-18 and 19 (also referred to hereinafter as recidivist statute). Under
the information, the petitioner would be liable to imprisonment for life unless sooner paroled.
However, the majority failed to seriously examine the issue of adequate notice
in light of our 1999 decision in Nichols and our holdings in other recidivist cases that a judge
about to hear a recidivist information is required to duly caution a defendant regarding the
penalties to which any admissions may expose a defendant. W.Va. Code § 61-11-19 (1943)
(Repl. Vol. 2000).
There is no justifiable reason why a prosecutor, having drawn an indictment
stating certain prior convictions relied upon to raise the charged offenses to a felony should
be permitted to stand silent on the State's intent to seek even further enhancement by way of
a recidivist information, when a defendant is about to completely cook his own goose by
making admissions under Nichols or in a Rule 11 guilty plea hearing that virtually guarantee
punishment enhanced twice. Certainly, the trial court's statement to the petitioner regarding
possible punishment incident to his Rule 11 hearing prior to pleading guilty was totally
inaccurate in light of the prosecutor's later pursuit of a recidivist information. Perhaps more to the point
is that this State has long recognized that a defendant is entitled, as a
matter of fundamental fairness, to be duly cautioned before making
admissions that may enhance a sentence by reason of recidivism.
(See footnote 2) In
its rush to uphold the result below in this case, the majority did not consider
the due process implications of the Nichols procedure upon a subsequent
and then unannounced intent to seek a life sentence under the recidivist statute.
See Syl. Pt. 7, Ex parte Watson, 82 W.Va. 201, 95 S.E.648 (1918)
(when interpreting a statute the presumption is that the Legislature had a
purpose in the use of every word, phrase and clause found in a statute and
intended the terms so used to be effective). Pursuant to West Virginia Code
§ 61-11-19, the subject of a recidivist information must be duly
cautioned by the trial court before that person acknowledges in open
court that he or she is the same person convicted of and sentenced for the
offenses listed in the information. Although this Court has not adopted a
rigid definition of the term duly cautioned, we have recognized
that, being jurisdictional, it is a mandatory statutory requirement placed
on the trial court which serves to satisfy principles of fundamental fairness
in a recidivist proceeding. See
State ex rel. Combs v. Boles, 151 W.Va. 194, 201, 151 S.E.2d 115, 120 (1966) (the duly
cautioned provision of the recidivist statute has been fulfilled when the requirements of
fundamental fairness, affording the defendant due process, have been satisfied). The reasons
for affording due process protections in a recidivist proceeding were summarized in State v.
Vance, 164 W.Va. 216, 262 S.E.2d 423 (1980), in the following way:
Given the heightened due process
protections which are implicated by recidivist proceedings, it is obvious
that unless those protections are extended to admissions given under Nichols,
their subsequent employment in the actual recidivist proceeding will be mere
sham justice, devoid of any meaning whatever. Fundamental fairness requires
that the State inform the trial court of its intent to file a recidivist information
before admissions are made in a Nichols hearing whenever the State
intends to use in a recidivist proceeding any prior convictions which are
status elements in the charged offense in order to preserve any semblance
of the defendant's due process rights to be duly cautioned.
(See footnote 3)
I am even more concerned that
by providing such cursory consideration of the proportionality argument the
majority failed to recognize that our decision in Williams has broader
implications than convictions under the DUI statute. A number of offenses can
be construed to fall within the Williams classification for purposes
of imposing a recidivist sentence, many of which have no general association
with violence or threats of violence. See, e.g., W.Va. Code §§
17A-8-4 (1999) (joyriding); 17B-4-3 (1999) (driving while license suspended
or revoked for driving under the influence); 60-6-9(i) (1999)(offering alcohol
to another in a public place; possessing alcohol in excess of 10 gallons without
obtaining proper stamps or seals) 61-3A-3 (1994) (shoplifting); 61-11-20 (1923)
(petit larceny). In my estimation, a proportionality argument in this context
remains to be decided by this Court.
This Court has recognized that since the recidivist statutes are in derogation of
the common law they are generally held to require a strict construction in favor of the
prisoner. State ex rel. Ringer v. Boles, 151 W.Va. 864, 871, 157 S.E.2d 554, 558 (1967).
Wanstreet at 526, 276 S.E.2d at 208 (citation omitted.). Although our
decision in Williams overruled Brown by placing felony convictions
based on predicate misdemeanor offenses within the ambit of the recidivist
statute, this statement with regard to the character of the offense subject
to the provisions of the recidivist statute retains its vitality. The Wanstreet
discussion concerning the narrow construction of the recidivist statute concluded
by saying that it is apparent that we have consistently viewed the West
Virginia recidivist statute in a restrictive fashion in order to mitigate
its harshness. Wanstreet at 528, 276 S.E.2d at 209. Trial courts
are well-advised to continue to adhere to these principles as standards against
which proportionality issues are decided in recidivist proceedings. As summarized
in syllabus point five of Wanstreet, determination of whether
a given sentence violates the proportionality principle found in Article III,
Section 5 of the West Virginia Constitution, consideration is given to the
nature of the offense, the legislative purpose behind the punishment, a comparison
of the punishment with what would be inflicted in other jurisdictions, and
a comparison with other offenses within the same jurisdiction. 166 W.Va.
at 523-24, 276 S.E.2d at 207.
(See footnote 5)
For the foregoing reasons, I dissent from the majority opinion in this case.
Regardless of whether this Court might choose to address its earlier decisions in State v.
Williams and State v. Brown, I believe the petitioner is entitled to the writ prayed for in light
of the interplay of State v. Nichols and the petitioner's entitlement to be duly cautioned
under West Virginia Code § 61-11-19. Consequently, a writ of prohibition, moulded to
address either or both issues raised in this dissent, should have been granted.
I respectfully dissent from the majority position because I firmly believe that
a writ of prohibition should have been granted in this case. In my view, two issues of
constitutional proportion deserved full exploration which cannot be found in the majority
opinion. The first of these is the interplay of State v. Nichols, 208 W.Va. 432, 541 S.E.2d 310
(1999), on the fundamental fairness we have always required in recidivist proceedings. The
second is the decision in State v. Williams, 196 W.Va. 639, 474 S.E.2d 569 (1996),
permitting the use in recidivist proceedings of offenses which are felonies solely by reason
of status elements such as we addressed in State v. Nichols.
Nichols allows a defendant charged with an offense which is enhanced by prior
convictions of like offenses to elect to admit before trial the prior convictions, called status
elements of the enhanced offense, in order to avoid the possibility that a jury will be swayed
to convict a defendant of the charged offense because of the prior convictions.
The majority found that the information filed under the recidivist statute
constituted timely notice to the petitioner of the State's intent to seek a life term of
imprisonment and did not offend Rule 11 of the Rules of Criminal Procedure regarding the
punishment information required to be given to a defendant before accepting his or her guilty
plea.
The petitioner argued that the
State's delay in filing the recidivist information did not meet the immediacy
requirement set forth in West Virginia Code § 61-11-19.
(See footnote 1) In
finding that the statutory prescription for filing the information was satisfied,
the majority said that [t]o hold otherwise would risk a defendant being
able to avoid imposition of a recidivist sentence if the State is unaware at
the time of conviction of any predicate offenses. State ex rel. Appleby
v. Recht, No. 30737, ___ W.Va. ___, ___ S.E.2d ___ (December 4, 2002). Of
course, given the fact that the enhancing crimes set forth in the information
to garner a life sentence in this case are, with one exception, exactly the
same offenses relied upon in the indictment to raise the charged offenses
to a felony, and all such charges were in this case known fully to the prosecutor
when the underlying indictment was returned, the reason stated by the majority
is mere piffle.
A recidivist proceeding is not simply a sentencing hearing,
but a proceeding whereby a new criminal status, that of being an
habitual criminal, is determined. . . . If an individual is
successfully prosecuted as an habitual criminal, a greater penalty
than that attaching to the underlying crime is imposed. For these
reasons, courts have required substantial due process protection
in recidivist proceedings.
Id. at 225, 262 S.E.2d at 429 (citations omitted).
The petitioner contended that
this Court misapprehended legislative intent in deciding State v. Williams,
in which it was held that a felony conviction resulting from one or more enhanced
misdemeanor convictions could be used to form the basis for sentence enhancement
under the terms of the recidivist statute. I am not convinced that this issue
was ripe for decision at this juncture and should have been thus decided.
(See footnote 4) However,
the majority chose instead to summarily conclude that reconsideration of Williams
was not in order because the Legislature has not chosen to amend the recidivist
statute since Williams was decided. My initial reaction to this declaration
of presumptive knowledge of legislative intent is that it overlooks the fact
that the decision in Williams was reached without reliance on any relevant
statutory change, but nonetheless overturned a seventy-year-old precedent established
in State v. Brown, 91 W.Va. 187, 112 S.E. 408 (1922).
We relied on this proposition in Wanstreet v. Bordenkircher, 166 W.Va. 523, 276 S.E.2d 205
(1981), when we noted that this Court has historically adopted a rather strict and narrow
construction of the recidivist statute. The discussion thereafter in Wanstreet related various
instances wherein this narrow construction occurred with specific reference to our decision
in State v. Brown, 91 W.Va. 187, 112 S.E. 408 (1922):
In Brown, we explained that the felonies within the scope of the
recidivist statute must be those that are felonies because of the
character of the offense, rather than those that are felonies
because of the character of the accused.
It seems to me far wiser to humbly admit the error in foresight and correct it,
especially when constitutional rights are inadvertently trampled upon. The principle of stare
decisis is not intended to perpetuate such errors. As we related in State v. Nichols,
'Remaining true to an intrinsically sounder doctrine . . . better serves the values of stare
decisis. . . . In such a situation special justification exists to depart from the recently decided
case.' Adarand Constr., Inc. v. Pena, 515 U.S. 200, 231, 115 S.Ct. 2097, 2115, 132 L.Ed.2d
158 (1995). Nichols at 445, 541 S.E.2d at 323 (1999).
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