|
Richard D. Frum, Esq. Spencer, West Virginia Attorney for Petitioner |
Rebecca Stafford, Esq. Prosecuting Attorney Spencer, West Virginia Attorney for Respondent |
1. Prohibition lies only to restrain inferior courts from proceeding in
causes over which they have no jurisdiction, or, in which, having jurisdiction, they are
exceeding their legitimate powers and may not be used as a substitute for writ of error, appeal
or certiorari. Syl. pt. 1, Crawford v. Taylor, 138 W. Va. 207, 75 S.E.2d 370 (1953).
2. When a prior conviction constitute(s) a status element of an offense,
a defendant may offer to stipulate to such prior conviction(s). If a defendant makes an offer
to stipulate to a prior conviction(s) that is a status element of an offense, the trial court must
permit such stipulation and preclude the state from presenting any evidence to the jury
regarding the stipulated prior conviction(s). When such a stipulation is made, the record
must reflect a colloquy between the trial court, the defendant, defense counsel and the state
indicating precisely the stipulation and illustrating that the stipulation was made voluntarily
and knowingly by the defendant. To the extent that State v. Hopkins, 192 W. Va. 483, 453
S.E.2d 317 (1994) and its progeny are in conflict with this procedure they are expressly
overruled. Syl. pt. 3, State v. Nichols, ___ W. Va. ___, ___ S.E.2d ___, 1999 WL 1101343
(No. 26009, December 3, 1999).
3. Our holding in State v. Armstrong, 175 W. Va. 381, 332 S.E.2d 837
(1985) is overruled because it imposes an unnecessary restriction on the use of valid
uncounseled previous convictions and we find that under the sixth amendment to the U.S.
Constitution and article III, section 14 of the West Virginia Constitution, 'an uncounseled
misdemeanor conviction, valid under Scott [v. Illinois, 440 U.S. 367, 99 S.Ct. 1158, 59
L.Ed.2d 383 (1979)], because no prison term was imposed, is also valid when used to
enhance punishment at a subsequent conviction.' Nichols [v. United States] [511] U.S. [738],
[749], 114 S.Ct. 1921, 1928, 128 L.Ed.2d 745, 755 (1994). Syl. pt. 3, State v. Hopkins, 192
W. Va. 483, 453 S.E.2d 317 (1994).
4. A conviction derived from a plea of nolo contendere may be used for
purposes of this state's recidivist sentencing laws. Syl. pt. 3, State v. Evans, 203 W. Va.
446, 508 S.E.2d 606 (1998).
5. When a trial judge is made aware of a possible problem with
defendant's competency, it is abuse of discretion to deny a motion for psychiatric evaluation.
To the extent State v. Arnold, 159 W. Va. 158, 219 S.E.2d 922 (1975), differs from this rule,
it is overruled. Syl. pt. 4, State v. Demastus, 165 W. Va. 572, 270 S.E.2d 649 (1980).
6. When a trial judge orders a competency examination under W. Va.
Code § 27-6A-1(a) (1983) (Repl. Vol. 1999), but the examination is not undertaken in the
manner required by that statute, the court must grant a subsequent motion for a competency
evaluation made by the defendant and order any such examinations as are necessary to
comport with W. Va. Code § 27-6A-1(a). Syl. pt. 5, State v. Paynter, 206 W. Va. 521, 526
S.E.2d 43 (1999).
Per Curiam:
Defendant below Marjorie Webb petitions for a writ of mandamus to prevent
the Circuit Court of Roane County from trying her on a charge of third offense shoplifting
before allowing her to complete a psychiatric evaluation. Webb also challenges the validity
of two prior shoplifting convictions. We agree that Ms. Webb should be able to complete
her psychiatric examination before proceeding to trial and grant the writ of mandamus
directing the court to require the examination.
The court appointed counsel for Ms. Webb, who assisted her in entering a plea
of not guilty at a hearing on June 4, 1999. On July 6, 1999, counsel requested a mental
examination of Ms. Webb and the court granted this request. Thereafter, the procedural
history of this case becomes a comedy of errors, continuances, and missed appointments. In
short, although the court agreed to have Ms. Webb examined in July of 1999, that
examination had still not been completed a full year later.See footnote 2
2
After numerous delays, on May 23, 2000, counsel for Ms. Webb reported that yet another appointment had been made for the examination for July 3, 2000, and that Ms. Webb was considering a negotiated settlement or plea. The court agreed to continue the case until June 1, 2000. However, on that date, Ms. Webb refused to make any sort of negotiated settlement, and as a result the court set the case for trial for June 6, 2000.
Ms. Webb filed her petition for a Writ of Prohibition in this Court on June 5,
2000, requesting that this Court stay the trial below and require the respondent judge to allow
her to complete the psychiatric examination as previously ordered. In her petition, she also
questions the validity of the third offense shoplifting charges leveled against her.
Specifically, Ms. Webb requests that this Court prohibit the lower court from requiring her
to stand trial on the charge of Third Offense Shoplifting, and instead require the lower court
to reexamine the validity of the first two shoplifting charges.
For the reasons set forth below, we grant a writ of mandamus requiring the
completion of the psychiatric examination of Ms. Webb, but we reject Ms. Webb's attack
upon the validity of her earlier shoplifting charges.
We have heard and disposed of a strikingly similar argument in a recent case.
In State v. Hopkins, 192 W. Va. 483, 453 S.E.2d 317 (1994), the defendant argued that his
third offense shoplifting indictment was invalid because he had not received the benefit of
counsel when faced with his earlier charges. We noted:
Mr. Hopkins alleges that a dismissal is required by our holding
in State v. Armstrong, 175 W. Va. 381, 332 S.E.2d 837 (1985).
However, Mr. Hopkins' reliance is misplaced because
Armstrong was based on Baldasar v. Illinois, 446 U.S. 222, 100
S.Ct. 1585, 64 L.Ed.2d 169 (1980), which was overruled by the
U.S. Supreme Court in Nichols v. U.S., 511 U.S. 738, 114 S.Ct.
1921, 128 L.Ed.2d 745 (1994). In Nichols, the Supreme Court
allowed enhancement of the defendant's sentence under the
United States Federal Sentencing Guidelines based on the
defendant's uncounseled misdemeanor conviction for DUI.
State v. Hopkins, 192 W. Va. 483, 489, 453 S.E.2d 317, 323 (1994) (footnote omitted).
The defendant in Hopkins had made the same basic argument made by Ms.
Webb: that the use of uncounseled guilty pleas on earlier misdemeanor charges cannot be
used to enhance a later sentence or a recidivist charge without violating the sixth amendment
to the constitution. But as we explained in Hopkins, this is not the case:
Because we find the Supreme Court's holding in Nichols
persuasive, we overrule Armstrong and hold that under the sixth
amendment to the U.S. Constitution and article III, section 14 of
the West Virginia 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, 511 U.S. at [749], 114 S.Ct.
at 1928, 128 L.Ed.2d at 755.
Because Mr. Hopkins' previous convictions for
shoplifting are valid under Scott, we find these convictions are
also valid when used to enhance punishment in this case and,
therefore, reject Mr. Hopkins' third assignment of error.
State v. Hopkins, 192 W. Va. 483, 490, 453 S.E.2d 317, 324 (1994).
Our opinion in a subsequent case has partially overruled Hopkins, but this basic
concept that earlier charges may be used to enhance later charges remains intact. In State v.
Nichols (not to be confused with U.S. v. Nichols, above), we addressed the question of
whether evidence of prior convictions or pleas must be presented to a jury. We found that
it is permissible for a defendant to stipulate to earlier conviction or pleas, and overruled
Hopkins to the extent that it conflicted with this procedure. In so doing we relied upon the
U.S. Supreme Court case of Old Chief v. United States, 519 U.S. 172, 117 S.Ct. 644, 136
L.Ed.2d 574 (1997). In Nichols, we noted that, because a status element of an offense is
independent of an offense's mental and physical requirements, it was not necessary that a
jury be informed of a status element. State v. Nichols, ___ W. Va. ___, ___, ___ S.E.2d.
___, ___, 1999 WL 1101343 (No. 26009, December 3, 1999).
However, in Nichols we did not address the underlying question of whether the
earlier convictions could be used as the basis for an increased penalty for a recidivist offense.
We merely held that:
When a prior conviction constitute(s) a status element of an
offense, a defendant may offer to stipulate to such prior
conviction(s). If a defendant makes an offer to stipulate to a
prior conviction(s) that is a status element of an offense, the trial
court must permit such stipulation and preclude the state from
presenting any evidence to the jury regarding the stipulated prior
conviction(s). When such a stipulation is made, the record must
reflect a colloquy between the trial court, the defendant, defense
counsel and the state indicating precisely the stipulation and
illustrating that the stipulation was made voluntarily and
knowingly by the defendant. To the extent that State v. Hopkins,
192 W. Va. 483, 453 S.E.2d 317 (1994) and its progeny are in
conflict with this procedure they are expressly overruled.
State v. Nichols, ___ W. Va. ___, ___ S.E.2d. ___, 1999 WL 1101343 (No. 26009, December 3, 1999). In the case before us, the matter has not proceeded to trial, yet Ms. Webb asks us to rule, as a matter of law, that her earlier pleas may not constitute the basis for a charge of third offense shoplifting. Because we have previously ruled in Hopkins, as modified by Nichols, that earlier, uncounseled pleas may indeed be used in this manner, we must reject Ms. Webb's request to invalidate her first two convictions.See footnote 3 3
W. Va. Code § 27-6A-1(1983).
Because of the importance we place upon protecting the rights of the mentally
ill, we have underlined the duty of a judge to order an evaluation when conditions warrant:
When a trial judge is made aware of a possible problem with defendant's competency, it is
abuse of discretion to deny a motion for psychiatric evaluation. To the extent State v. Arnold,
159 W. Va. 158, 219 S.E.2d 922 (1975), differs from this rule, it is overruled. Syl. pt. 4,
State v. Demastus, 165 W. Va. 572, 270 S.E.2d 649 (1980).
We have also identified the factors a judge is to consider when weighing a
defendant's mental condition:
A judge may be made aware of a possible problem with
defendant's competency by such factors as: a lawyer's
representation concerning the competence of his client; a
history of mental illness or behavioral abnormalities; previous
confinement for mental disturbance; documented proof of
mental disturbance; evidence of irrational behavior; demeanor
observed by the judge; and, psychiatric and lay testimony about
competency.
State v. Paynter, 206 W. Va. 521, 528, 526 S.E.2d 43, 50 (1999) (citing State v. Arnold, 159 W. Va. 158, 219 S.E.2d 922 (1975) (citations omitted)). In the case before us, the record indicates that Ms. Webb is known by the local police for a history of behavioral abnormalities, and that her lawyers have represented that she may be incompetent to stand trial.
The judge was correct when he made his initial determination that Ms. Webb
should receive a mental examination pursuant to W. Va. Code § 27-6A-1. While we
understand his natural frustration that the examination was not complete a full year after he
ordered it, that delay alone is not reason to forgo the examination. In other words, if Ms.
Webb's competency were in doubt a year ago, mere delay, in and of itself, cannot have
eliminated those doubts. In the recent case of State v. Paynter, 206 W. Va. 521, 526 S.E.2d
43 (1999), we found it was reversible error for the judge to refuse the defendant's request for
a second mental evaluation, after the first had been conducted by a psychologist alone. We
held:
Due to the profound importance of assuring that criminal
defendants are not denied their due process rights by being
subjected to trial, conviction or sentencing when they do not
possess the requisite mental competence, we hold that when a
trial judge orders a competency examination under W. Va. Code
§ 27-6A-1(a) (1983) (Repl. Vol. 1999), but the examination is
not undertaken in the manner required by that statute, the court
must grant a subsequent motion for a competency evaluation
made by the defendant and order any such examinations as are
necessary to comport with W. Va. Code § 27-6A-1(a).
State v. Paynter, 206 W. Va. 521, 528, 526 S.E.2d 43, 50 (1999) (footnote omitted). In the
case of Ms. Webb, where she has not completed even one mental examination, the need for
her prompt evaluation is just as great. Thus we find that the circuit court abused its
discretion by failing to allow the petitioner to obtain a mental examination. Accordingly, we
grant petitioner's request for a Writ of Mandamus, and order the lower court to see to it that
Ms. Webb's examination is completed prior to any trial.
Ms. Webb appeared for the January 24, 2000, appointment, but for some reason the
doctor's office did not conduct the examination. The court continued the case until
March 13, 2000, and a new appointment was set for March 11. Ms. Webb missed that
appointment due to illness and the case was continued until April 24, 2000, with a new
appointment scheduled for April 8, 2000. Ms. Webb missed that appointment as well.
The court ordered that the case be continued until May 23, 2000, and that the case would be set for trial whether or not the mental examination had been completed. The court also made a finding that the failure to complete the examination was due to Ms. Webb's lack of cooperation.
Upon analysis then, what is prohibited by the rules of evidence and criminal rules of procedure is use of the fact of the plea of
nolo contendere in subsequent civil or criminal proceedings to
prove that the defendant committed the offense to which he
entered the plea. See Israel, supra, at 801. The rules, however,
do not proscribe the use of a conviction premised on such a nolo
plea. The distinction between the prohibited use of the plea
versus the permissible use of the conviction is critical. As
recognized by the Fifth Circuit in United States v. Williams, 642
F.2d 136 (5th Cir.1981), [o]nce convicted, whether as a result
of a plea of guilty, nolo contendere, or . . . [trial], convictions
stand on the same footing. . . . Id. at 139. Accordingly, we
hold that a conviction derived from a plea of nolo contendere
may be used for purposes of this state's recidivist sentencing
laws.
State v. Evans, 203 W. Va. 446, 450, 508 S.E.2d 606, 610 (1998).