Griswold v. Com.

453 S.E.2d 287
CourtCourt of Appeals of Virginia
DecidedMarch 9, 1995
DocketRecord No. 2269-92-2
StatusPublished

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Bluebook
Griswold v. Com., 453 S.E.2d 287 (Va. Ct. App. 1995).

Opinion

453 S.E.2d 287 (1995)

Norman Edward GRISWOLD
v.
COMMONWEALTH of Virginia.

Record No. 2269-92-2.

Court of Appeals of Virginia.

January 10, 1995.
Rehearing En Banc Granted March 9, 1995.

*288 William H. Shewmake, Richmond (Thomas F. Coates, III; Shewmake, Baronian & Parkinson, Coates & Davenport, on briefs), for appellant.

Thomas C. Daniel, Asst. Atty. Gen. (James S. Gilmore, III, Atty. Gen.), for appellee.

Present: BARROW, KOONTZ and ELDER, JJ.

ELDER, Judge.

Norman Edward Griswold appeals from his conviction under Code § 18.2-266 for driving under the influence of alcohol after having previously been convicted of a like offense. Appellant contends the trial court erred (1) in allowing the introduction of his uncounseled 1983 misdemeanor conviction in the sentencing phase; and (2) in finding that the evidence was sufficient to show that his 1985 conviction was counseled such that it was admissible during the guilt phase.

I.

On August 3, 1992, appellant was charged with driving under the influence of alcohol under Code § 18.2-266 after having previously been convicted of a like offense. Although the indictment listed two previous convictions, one rendered in 1983 and the other rendered in 1985, appellant objected to their use as predicate offenses on the ground that both were uncounseled misdemeanor convictions.

The record shows that appellant's 1983 conviction for driving under the influence of alcohol resulted in the judge imposing a $200 fine (of which $100 was suspended), a thirty day jail sentence (of which all thirty days were suspended), and a suspended driver's license. The suspensions were predicated on appellant's attendance at an alcohol treatment program. After accepting evidence concerning the 1983 conviction, the trial court in the instant case found that the 1983 conviction was uncounseled. The court therefore barred its admission into evidence during the guilt phase of the trial but permitted its use in the sentencing phase.

The record also shows that appellant's 1985 conviction for the same offense resulted in the judge imposing an $800 fine (of which $600 was suspended), a 180 day jail sentence (of which 178 days were suspended), and a suspended driver's license. In contrast to the 1983 conviction, the trial court in the instant case found that the 1985 conviction was counseled and therefore allowed the Commonwealth to introduce evidence regarding that conviction in the guilt phase.

Appellant contends that the trial court erred in allowing the introduction of the prior convictions. The Commonwealth asserts that this appeal should be dismissed because appellant failed to make the challenged conviction orders part of the record on appeal. For the reasons that follow, we reverse appellant's conviction.

II.

As a preliminary matter, the Commonwealth asserts that the 1983 and 1985 conviction orders were not properly introduced in the trial court and therefore are not a part of the record on appeal. This Court granted appellant's motion to remand to the trial court for a determination of whether the conviction orders should have been included in the record transmitted for appeal. The trial court concluded that although the documents were never formally introduced into evidence, it considered them exhibits. Accordingly, the trial court ordered them marked as exhibits and forwarded to this Court. Despite the Commonwealth's protestations, we adhere to the principle that "formal introduction [of documentary evidence] is waived where the court and the parties treat an instrument as in evidence, ... or where it is read without objection." Martin v. Winston, 181 Va. 94, 105, 23 S.E.2d 873, 877, cert. denied, 319 U.S. 766, 63 S.Ct. 1330, 87 L.Ed. 1716 (1943); see also Mueller v. Commonwealth, 15 Va.App. 649, 652, 426 *289 S.E.2d 339, 341 (1993). Consistent with the trial court's findings on remand, the record reveals that the trial court and the parties referred extensively to the orders and that they were critical to the trial court's ruling on the issue whether the prior convictions could properly be used as predicate offenses for a third offense charge of driving under the influence. Accordingly, the trial court did not err in directing them to be marked as exhibits and transmitted to this Court, and we properly may consider them a part of the appellate record.

III.

Appellant contends the trial court erred in admitting his uncounseled 1983 conviction in the sentencing phase of the trial. We agree and hold that because appellant's 1983 conviction was not only uncounseled, but also violated Scott v. Illinois, 440 U.S. 367, 99 S.Ct. 1158, 59 L.Ed.2d 383 (1979), the trial court erred by allowing its introduction under Code § 46.2-943.[1] Our decision is guided by the United States Supreme Court's recent decision in Nichols v. United States, ___ U.S. ___, 114 S.Ct. 1921, 128 L.Ed.2d 745 (1994), and this Court's recent decision in James v. Commonwealth, 18 Va.App. 746, 446 S.E.2d 900 (1994).

The United States Supreme Court used Nichols to resolve the confusion that had been occasioned by its splintered decision fourteen years earlier in Baldasar v. Illinois, 446 U.S. 222, 100 S.Ct. 1585, 64 L.Ed.2d 169 (1980). In Nichols, the Supreme Court overruled Baldasar and held that "consistent with the Sixth and Fourteenth Amendments of the Constitution, ... an uncounseled misdemeanor conviction, valid under Scott because no prison term was imposed, is also valid when used to enhance punishment at a subsequent conviction." Nichols, ___ U.S. at ___, 114 S.Ct. at 1928.

In this Court's decision in James, we similarly held that where a defendant was represented by counsel or validly waived counsel in an earlier criminal proceeding, that conviction could be used in the sentencing phase of a subsequent trial. Id., 18 Va.App. at 752, 446 S.E.2d at 904. However, we also stated the Commonwealth cannot constitutionally introduce evidence of a prior conviction in a subsequent trial, where that prior conviction resulted in the imposition of a prison sentence, unless the defendant had been represented or validly waived representation. Id. at 750-51, 446 S.E.2d at 903. See United States v. Tucker, 404 U.S. 443, 92 S.Ct. 589, 30 L.Ed.2d 592 (1972) (holding that prisoner sentenced on basis of two prior unconstitutional convictions had to be resentenced); United States v. Jones, 907 F.2d 456, 464 (4th Cir.1990) (stating that a defendant shall not suffer an enhanced punishment predicated on a prior unconstitutional conviction), cert. denied sub nom. Johnson v. United States, 498 U.S. 1029, 111 S.Ct. 683, 112 L.Ed.2d 675 (1991). This conclusion stems from the United States Supreme Court's decision in Scott, where that Court wrote that "the Sixth and Fourteenth Amendments to the United States Constitution require ... that no indigent criminal defendant be sentenced to a term of imprisonment unless the State has afforded him the right to assistance of appointed counsel in his defense."[2]Scott, 440 U.S. at 374, 99 S.Ct. at 1162.

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Related

United States v. Tucker
404 U.S. 443 (Supreme Court, 1972)
Argersinger v. Hamlin
407 U.S. 25 (Supreme Court, 1972)
Scott v. Illinois
440 U.S. 367 (Supreme Court, 1979)
Baldasar v. Illinois
446 U.S. 222 (Supreme Court, 1980)
United States v. Jack White
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United States v. Robert J. Wilkinson
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United States v. Patrick M. Reilley
948 F.2d 648 (Tenth Circuit, 1991)
Nichols v. United States
511 U.S. 738 (Supreme Court, 1994)
Singleton v. Commonwealth
400 S.E.2d 205 (Court of Appeals of Virginia, 1991)
McGhee v. Commonwealth
248 S.E.2d 808 (Supreme Court of Virginia, 1978)
State v. Poole
289 S.E.2d 335 (Supreme Court of North Carolina, 1982)
State v. Setzer
242 S.E.2d 509 (Court of Appeals of North Carolina, 1978)
State Farm Mutual Automobile Insurance v. Powell
318 S.E.2d 393 (Supreme Court of Virginia, 1984)
Mueller v. Commonwealth
426 S.E.2d 339 (Court of Appeals of Virginia, 1993)
Sargent v. Commonwealth
360 S.E.2d 895 (Court of Appeals of Virginia, 1987)
Marshall v. Commonwealth
116 S.E.2d 270 (Supreme Court of Virginia, 1960)
James v. Commonwealth
446 S.E.2d 900 (Court of Appeals of Virginia, 1994)

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