Lead Opinion
Defendant Donald L. Porter appeals the imposition of a felony sentence following his conviction for driving under the influence of intoxicating liquor (DUI), third offense. 23 V.S.A. § 1210(d). Defendant argues that the use of a prior, uncounseled DUI conviction to support a felony third-offense sentence violates his federal and state constitutional rights to counsel and is barred by our decision in State v. Lafountain,
On September 15, 1993, the Addison County state’s attorney charged defendant with DUI. Because defendant had previously been convicted of DUI in 1983 and 1984, he faced a maximum penalty of five years in prison and a fine of not more than $2,500 if convicted of a third DUI offense. 23 V.S.A. §§ 1201(a)(2) & 1210(d). Defendant moved to dismiss the felony-enhancement portion of the DUI charge on the ground that his 1983 conviction had been uncounseled,
In Lafountain, we adopted the standard, articulated by Justice Blackmun in his concurrence in Baldasar v. Illinois,
Lafountain involved a sentence enhancement for third-offense driving with license suspended, 23 V.S.A. § 674(b), in which the first offense is a civil violation carrying no prison sentence. See 23 V.S.A. § 2302(c). Consequently, we upheld the defendant’s sentence enhancement as not violative of the rule set forth in Baldasar. Lafountain,
Last year, however, the United States Supreme Court overruled Baldasar. Nichols v. United States,
In the instant matter, defendant was sentenced to pay a $160 fine following his 1983 uncounseled DUI conviction. Because the 1983
Defendant contends, however, that the Vermont Constitution, Chapter I, Article 10,
We have long recognized that, “as final interpreter of the Vermont Constitution, this Court has final say on what process is due in any given situation.” State v. Brunelle,
Defendant argues that, because we grounded oür decision in Lafountain solely on the federal constitution and did not reach the defendant’s state constitutional claim, we need not give Baldasar the same interpretation under the state constitution as we did in Lafountain. Rather than relying on the Blackmun concurrence in Baldasar to define the limits of the Vermont Constitution, defendant urges us to adopt, for state constitutional purposes, the four-justice plurality in Baldasar. The Baldasar plurality found that the use of a prior, uncounseled conviction to enhance the defendant’s sentence for a subsequent conviction violated the defendant’s Sixth Amendment right by imposing a prison sentence for the prior, uncounseled conviction. See Baldasar,
In Lafountain, however, we quoted with approval the language of the United States Supreme Court’s decision in Parke v. Raley,
Enhancement statutes, whether in the nature of criminal history provisions such as those contained in the [Federal] Sentencing Guidelines, or recidivist statutes which are common place [sic] in state criminal laws, do not change the penalty imposed for the earlier conviction. As pointed out in the dissenting opinion in Baldasar, “[t]his Court consistently has sustained repeat-offender laws as penalizing only the last offense committed by the defendant.”
We believe the reasoning of Nichols is consistent with our analysis in Lafountain and Tatro, and we see no reason to reach a different conclusion under the Vermont Constitution. The Legislature has seen fit to address the problem of repeat drunk-driving by enacting a recidivism statute that imposes enhanced penalties for each subsequent offense. The increased penalty for a subsequent offense does not repunish a defendant for the first offense, but rather punishes with greater severity the last offense committed by the defendant.
Defendant argues, however, that Nichols is distinguishable from the present case on two grounds. First, the prior convictions in Nichols were introduced only at the sentencing phase, where “the state need prove such conduct only by a preponderance of the evidence,”
Defendant further contends that Nichols is distinguishable because the sentence-enhancement in Nichols is “presumptive, not conclusive,”
Finally, defendant argues that our decision in State v. DeRosa,
In sum, we adopt the reasoning of Nichols v. United States and hold that an uncounseled conviction that is constitutionally valid under Scott v. Illinois may be used for sentence-enhancement purposes under a recidivism statute that imposes a more severe penalty for subsequent convictions.
Affirmed.
Notes
Because he was represented by counsel for his 1984 conviction, defendant does not challenge the authority of the trial court to impose an enhanced sentence for a “second offense” under 23 V.S.A. § 1210(c).
The offense now carries a maximum penalty of two years in prison and a fine of $750. 23 V.S.A. § 1210(b).
“That in all prosecutions for criminal offenses, a person hath a right to be heard by oneself and by counsel;. . . nor can any person be justly deprived of liberty, except by the laws of the land . . . Vt. Const., ch. I, art. 10.
Defendant is correct that Cameron requires the State to satisfy a higher standard of proof with respect to prior convictions than does Nichols. But defendant does not explain, and we fail to see, how proof beyond a reasonable doubt, which we required in Cameron,
The statute does require a mandatory forty-eight hours in jail for second-offense DUI. 23 V.S.A. § 1210(c). As noted supra, n.1, defendant does not challenge imposition of an enhanced sentence for second-offense DUI.
Concurrence Opinion
concurring. I concur in today’s decision, but write briefly to express my rationale. The Court’s analysis rests solely on the sentence, “The increased penalty for a subsequent offense does not repunish a defendant for the first offense, but rather punishes with greater severity the last offense committed by the defendant.” That statement, of course, is true. It begs the question, however, why an uncounseled conviction may be used as part of the justification to send defendant to jail.
Sentencing ordinarily may take into account past misconduct (followed by conviction or not), and it is true that the trial court in this case was not required to send defendant to jail on account of the prior DUI conviction. If incarceration is unrelated to an uncounseled prior conviction, we would have no issue. But the Court should not facilely avoid the argument. But for defendant’s first and second DUIs, the
The issue is where to draw the line in assigning counsel at state expense to indigent DUI defendants. If the dissent were the law, such counsel would be required in every DUI case in order to consistently apply the DUI sentencing scheme. On the other hand, the price to provide counsel in every case measured against the diminished reliability when a DUI suspect is denied counsel is difficult to weigh.
We know that due process cannot be made perfect at any price. If added burden is placed on one part of the criminal justice system, a price is exacted from another. We know that public defenders’ time is limited, and if defenders are required to defend all indigents charged with DUI, public defenders’ time will be spread thinner.
The question becomes how do we weigh the benefit of more reliable adjudication with the allocation of costs in the criminal justice system? There is no empirical measure I know about, and it comes down to a matter of judgment from experience. In my judgment, the requirement that counsel be afforded to all indigent DUI defendants in order to effectuate the recidivist statute is simply too big a price to pay for the relatively small marginal gain in “reliability.”
I believe the result in this case is fair given the stakes at hand. Defendant was provided an advocate when loss of his freedom was most threatened. The offender knew that repeated DUI convictions would lead to more severe punishment, and the court had wide discretion to fashion a fair sentence under the recidivist law. Finally, in a case like this, the court may consider in fashioning the sentence that an uncounseled prior DUI conviction may have been less reliable.
Dissenting Opinion
dissenting. The majority, without engaging in independent analysis, holds today that the decision of the United States Supreme Court in Nichols v. United States,
I
The majority, following the Nichols Court, mischaracterizes this case by focusing on the function of recidivism statutes. Although the
Although the right to counsel established by the Sixth Amendment to the U.S. Constitution initially encompassed only a criminal defendant’s right to employ counsel, the U.S. Supreme Court gradually expanded its meaning to include a right of indigent defendants to appointed counsel under most circumstances. The first exhaustive review of the issue came in Powell v. Alabama,
The right to be heard would be, in many cases, of little avail if it did not comprehend the right to be heard by counsel. Even the intelligent and educated layman has small and sometimes no skill in the science of law. If charged with crime, he is incapable, generally, of determining for himself whether the indictment is good or bad. He is unfamiliar with the rules of evidence. Left without the aid of counsel he may be put on trial without a proper charge, and convicted upon incompetent evidence, or evidence irrelevant to the issue or otherwise inadmissible. He lacks both the skill and knowledge adequately to prepare his defense, even though he have a perfect one. He requires the guiding hand of counsel at every step in the proceedings against him. Without it, though he be not guilty, he faces the danger of conviction because he does not know how to establish his innocence.
Id. at 68-69.
Despite this sweeping language, the decision in Powell did not establish an absolute right to appointed counsel, even in all capital
The Court in Gideon did not indicate whether its holding was limited to defendants facing felony charges, so the extent of the right to appointed counsel remained uncertain until the Court’s decision in Argersinger v. Hamlin,
At each turn, as the Court expanded the right to appointed counsel, the Court recognized the insurmountable obstacles facing criminal defendants forced to fend for themselves without the assistance of counsel. The Johnson Court, describing the Sixth Amendment protections as essential to achieving justice, stated that the right to counsel “embodies a realistic recognition of the obvious truth that the average defendant does not have the professional legal skill to protect himself,” especially where the prosecution is presented by counsel, because “[t]hat which is simple, orderly and necessary to the lawyer, to the untrained layman may appear intricate, complex and mysterious.” Johnson,
Governments, both state and federal, quite properly spend vast sums of money to establish machinery to try defendants*525 accused of crime. Lawyers to prosecute are everywhere deemed essential to protect the public’s interest in an orderly society. . . . That government hires lawyers to prosecute and defendants who have the money hire lawyers to defend are the strongest indications of the widespread belief that lawyers in criminal courts are necessities, not luxuries.
Gideon,
The Court later explicitly recognized that the reasoning of Gideon and Powell was not limited to felony trials, but is relevant to any criminal proceeding “where an accused is deprived of his liberty.” Argersinger,
This substantial body of precedent culminated in Scott, where the Court declined to extend the right to appointed counsel to midemeanant defendants who are not sentenced to a jail or prison term. Scott,
In rejecting the argument of Justice Brennan, joined by Justices Marshall and Stevens, that the right to appointed counsel should attach for any offense for which imprisonment is authorized, id. at 382 (Brennan, J., dissenting), the Scott majority noted that extending the right to appointed counsel would “impose unpredictable, but necessarily substantial, costs on 50 quite diverse States.” Id. at 373. The Scott majority apparently concluded that the high cost of providing
II.
Inexplicably, by holding that a defendant may receive a sentence of imprisonment based on a prior uncounseled conviction, both the Nichols Court and the majority have abandoned the line drawn so emphatically in Scott. The majority, in fact, does not even confront this inconsistency, but merely explains that the increased penalty for a subsequent offense under 23 V.S.A. § 1210(d) “does not impose punishment on the basis of the prior offense, but rather punishes only the last offense committed by the defendant.”
The goal of recidivism statutes is to punish criminal acts more severely when they are committed by repeat offenders. Defendant received a felony sentence for his DUI conviction only because the
Although not mentioned by the majority, this is the issue which concerned the Baldasar plurality and the dissenting justices in Nichols. As Justice Blackmun wrote in Nichols, the “concern here is not with multiple punishments, but with reliability. Specifically, is a prior uncounseled misdemeanor conviction sufficiently reliable to justify additional jail time imposed under an enhancement statute?” Nichols,
In this case, defendant’s conviction for DUI, third offense, and the resulting felony sentence imposed pursuant to 23 Y.S.A. § 1210(d), was based in part on a prior uncounseled DUI conviction. In that earlier proceeding, defendant was denied counsel, and entered a plea of guilty. Like the defendant in Nichols, whose sentence for a federal drug offense was increased by over two years because of a prior uncounseled DUI conviction, defendant could not have been sentenced to a term of imprisonment for the prior conviction, because he was deprived of the assistance of counsel. Without counsel, defendants know they will be hampered in presenting a defense at trial. Without counsel, defendants are at a disadvantage in plea negotiations with the state’s attorney. Regardless of whether a jail term is imposed, the conviction retains the inherent unreliability of any uncounseled conviction.
The Argersinger Court’s concerns that a misdemeanant defendant without counsel might be lost in the shuffle of a busy court, or be swept along by a process not fully understood, apply with equal force to defendant’s prior conviction. If anything, such concerns ■ are heightened, not lessened, by the fact that defendant’s prior conviction was not considered sufficiently serious by the court or the state’s
III.
The U.S. Supreme Court, despite persuasive arguments to the contrary, chose in Nichols to ignore the reasoning of its own precedents and to erode the protection of the right to counsel established by the Sixth Amendment. This Court, however, as the “final interpreter of the Vermont Constitution . . . has final say on what process is due in any given situation.” State v. Brunette,
Our only precedent on this question is our decision in State v. Lafountain,
Today, the question is directly presented as one of state constitutional law. Rather than following the shifting sands of the U.S. Supreme Court, I believe we should face this issue squarely and decide it independently. I would hold that the right to counsel established by Chapter I, Article 10 of the Vermont Constitution precludes the use of defendant’s prior uncounseled misdemeanor conviction to enhance the term of imprisonment imposed for this offense. Accordingly, I would remand the case for resentencing, without reference to the prior uncounseled conviction.
Indeed, without the advice of counsel defendant may well have been unaware that his guilty plea could form the basis for a. sentence of imprisonment in a later proceeding. Although not raised here, Nichols held that a court is not obligated to inform a defendant that a conviction may later be used for sentence enhancement. Nichols,
