Nichols v. State
Nichols v. State
Opinion
Johnny Ray Nichols, the appellant, was charged by six separate indictments with two instances of theft of property in the second degree, three instances of receiving stolen property in the second degree, and one instance of possession of burglar's tools. In one proceeding, he pleaded guilty to and was convicted of all six charges. Immediately after accepting the appellant's guilty pleas, the trial court sentenced him to 15 years' imprisonment on each charge, with the sentences to run concurrently with each other and with another sentence that the appellant was then serving.
On this direct appeal from the six guilty plea convictions, the appellant contends that he was improperly sentenced as a habitual offender because the State failed to give him notice of its intent to invoke the Habitual Felony Offender Act (HFOA) and also failed to prove that he had any prior convictions. We note at the outset that there was no objection on any ground at the time of sentencing and there is no indication in the record that a motion for new trial, motion to withdraw the pleas, or motion to reconsider sentence alleging these grounds, or any other grounds, was filed.1 *Page 53
This Court's cases holding that an objection is necessary to preserve the issue are: Harrell v. State,
The conflicting cases, holding that an objection isnot necessary to preserve the issue are: May v. State,
In Brannon, the defendant pleaded guilty to a drug offense and, when the State produced evidence of three prior convictions, was sentenced under the HFOA. Several months after Brannon was sentenced, the Alabama Supreme Court decided Exparte Chambers,
Brannon, who was convicted under the old Controlled Substances Act, argued on appeal that he was improperly sentenced under the HFOA. The State maintained that the issue was not properly preserved because Brannon had not objected in the trial court to the application of the HFOA. The Alabama Supreme Court held:
Ex parte Brannon, 547 So.2d at 68 (emphasis added). In Brannon, the sentencing judge applied the wrong recidivist statute. The sentence imposed was not authorized by statute, from which it follows that the sentencing judge acted without authority. As our Supreme Court stated: "Chambers makes it clear that 'defendants convicted [under the Controlled Substances Act]must be sentenced according to its provisions, not the sentencing provisions of Title 13A[, which include the HFOA].' 522 So.2d at 316." Ex parte Brannon, 547 So.2d at 69 (emphasis in Chambers)."[A]n objection was unnecessary in this case. . . . [W]hen a sentence is clearly illegal or is clearly not authorized by statute, the defendant does not need to object at the trial level in order to preserve that issue for appellate review."
The rationale of Brannon has been applied by the Alabama Supreme Court in other sentencing situations where the trial court acted without authority. See Ex parte Vinson,
A trial court's sentencing authority is found in §
The rules for proceeding under the HFOA are found in Rule 26.6(b)(3), A.R.Crim.P. (formerly Rule 6(b)(3), A.R.Crim.P.Temp.). Subsections (i) and (ii) of that rule provide:
"(i) In any case involving an alleged habitual felony offender as provided in Ala. Code 1975, §
13A-5-9 , if a hearing is necessary in order to establish the alleged prior conviction or convictions in the record, the court, on its own motion, or on a motion of the district attorney or on motion of the defendant, after a determination of guilt, shall hold a hearing at a date to be set by the court."(ii) At a reasonable time prior to the hearing, the defendant shall be notified of the prior conviction or convictions upon which the state intends to proceed."
(Emphasis added.) Obviously, notice under Rule 26.6(b)(3)(ii) also provides a defendant with notice that the State intends to invoke the HFOA. See Bland v. State,
It does not appear from either the statutes or the rules set out above that notice to the defendant is necessary to the trial court's authority (i.e., a jurisdictional prerequisite) to sentence a defendant under the HFOA. Under §
In contrast, notice to the defendant under Rule 26.6(b)(3)(ii) appears to be a procedural matter, rather than a jurisdictional prerequisite to the application of the HFOA. This conclusion is supported by several Alabama Supreme Court cases. In Ex parte Williams,
In reversing this Court's affirmance of the second, enhanced sentence, the Alabama Supreme Court, stated that "the [HFOA] is not 'self-executing.' Rule 6 of the Temporary Rules of Criminal Procedure [(now Rule 26.6, A.R.Crim.P.),] . . . contemplates that the applicability of the [HFOA] will be called to theattention of the trial court prior to sentencing." 510 So.2d at 136 (emphasis added). The Supreme Court concluded by holding:
Id. (Emphasis added.)5"[I]n order to sentence a criminal defendant under the [HFOA], the Act must be invoked prior to the defendant's original sentencing, as mandated by Rule 6 of the Temporary Rules of Criminal Procedure [(now Rule 26.6, A.R.Crim.P.)]. Furthermore, a sentence may not be subsequently set aside because of a failure to apply the [HFOA]."
On the same date that it decided Williams, the Alabama Supreme Court also decided Ex parte Glover,
In holding that the trial court erred in applying the HFOA in sentencing the defendant, the Alabama Supreme Court noted, "[w]hile the application of the [HFOA] is statutorily stated in mandatory, and not discretionary, terms, it along with theimplementing rules of court, also prescribes certain triggeringrequisites." Id. at 220 (emphasis added). Because the defendant did not admit the alleged prior conviction, the State's introduction, for impeachment purposes, of "evidence of a prior felony allegedly committed by [the defendant]" was not sufficient to put the defendant "on notice that the State was proceeding against him under the recidivist statute." Id.
The Alabama Supreme Court stated that although the trial court "err[ed] in failing to give the defendant reasonable notice of the application of the [HFOA]," this was "not adirect basis for reversal." Id. at 221 (emphasis added). It was, apparently, the combination of the trial court's failure to give the defendant notice that he would be sentenced as a habitual offender, its refusal "to continue the sentencing," and its "granting of the State's request for a recess, during the trial, to obtain material with which to impeach the defendant," that necessitated the reversal. Id.
Ex parte Lockett,
Ex parte Lockett, 548 So.2d at 1048 (emphasis added). A month later, the Alabama Supreme Court reaffirmed this holding in Exparte Thomas,"The Court of Criminal Appeals held in Glover [v. State,
531 So.2d 705 (Ala.Cr.App. 1988)], that Rule 20 does not provide a review of alleged improper enhancement of a defendant's sentence by the state through use of the [HFOA]. We hold that such a claim is properly presented in a direct appeal to the Court of Criminal Appeals. Lockett's failure to raise this issue on his appeal cannot be remedied in a Rule 20 proceeding."
The basis for the decisions in Ex parte Lockett and Ex parteThomas was that the State's alleged failure to give the defendant HFOA notice "could have been but was not raised on appeal." Rule 32.2(a)(5), A.R.Crim.P. However, claims that "[t]he court was without jurisdiction to render judgment or toimpose sentence," Rule 32.1(b), are not precluded under Rule 32.2(a)(5). Since the Alabama Supreme Court held that the notice issue was precluded, it obviously did not consider that issue to be a jurisdictional one.
We are aware that there is language in two Alabama Supreme Court cases, Jackson v. State,
In Jackson v. State, 566 So.2d at 760, the Alabama Supreme Court observed that "[t]he State correctly points out that [Exparte] Glover and [Ex parte] Williams stand for the proposition that the [HFOA] cannot be applied if the defendant was notgiven proper notice before the first sentencing hearing." (Emphasis added.) However, a more accurate summarization ofWilliams is that the HFOA cannot be applied at a subsequent sentencing hearing unless it was invoked and applied (i.e., it was brought to the trial court's attention and actually used to enhance the defendant's sentence) at the initial sentencing hearing; while Glover indicated *Page 57 that the failure to give the defendant notice was error, but not, standing alone, reversible error.
Although not citing Williams and Glover, the Alabama Supreme Court made a statement similar to that in Jackson in Connollyv. State, 602 So.2d at 454: "For the HFOA to apply to a particular sentencing, the State must give reasonable notice, prior to the sentencing hearing, of the State's intention to proceed under the HFOA." It appears, however, that the notice requirement is very flexible and may change with each successive sentence hearing:
Id. at 455 (emphasis in original)."To enhance a defendant's sentence under the HFOA, the State must give proper notice of its intent to do so. The State must also give the defendant proper notice of the alleged previous felony convictions that it will attempt to prove at that sentencing hearing. If, for whatever reason, another sentencing hearing is required and the State had notified the defendant of its intent to proceed under the HFOA at the previous sentencing hearing, then the State can re-notify the defendant of its intent to proceed under the HFOA and can notify the defendant that it will attempt to prove all previous felony convictions that the State is aware of, regardless of whether the State had attempted to prove those particular convictions at the previous sentencing hearing. In other words, the State at any sentencing hearing can attempt to prove all of the defendant's previous felony convictions of which it is aware. The State's failure to offer certain felonies as the basis for HFOA sentence enhancement does not prevent the State's offer of those felonies at any subsequent sentencing hearing. Where the State, between sentencing hearings, learns of previous felony convictions, it is under a duty to attempt to prove them at the subsequent sentencing hearing."
Although we indicated otherwise in Hugley v. State, 581 So.2d at 14,6 we now conclude, after careful review of the applicable statutes, rules, and cases, that notice to the defendant is a procedural requirement that can be waived by the defendant's failure to object rather than a jurisdictional matter that is not subject to waiver. Where the trial court has been made aware of the applicability of the HFOA, it has authority under §
For the reasons stated above, the judgment of the circuit court is affirmed.
AFFIRMED.
All Judges concur.
Although this document alleges that the State failed to prove his prior convictions, even construing the document leniently as required for pro se motions, we cannot conclude that this document should be treated as a post-trial motion requesting a new trial, to withdraw the pleas, or to reconsider or amend the sentences. The document was clearly designated "Notice of Appeal" and did not seek any action by the trial court other than the appointment of appellate counsel. Furthermore, had the document been designated as some type of post-trial motion rather than a notice of appeal, it would have been untimely since post-trial motions must be filed within 30 days of sentencing. See Rule 24.1(b) and Rule 24.2(b), A.R.Crim.P. (motions for new trial and motions in arrest of judgment "must be filed no later than thirty (30) days after sentence is pronounced"); Martinez v. State,
Thirty days from the date of appellant's sentencing would have been November 8, 1992. Because November 8, 1992, was a Sunday, the appellant would have had until Monday, November 9, 1992, to timely file any post-trial motions. See Rule 1.3(a), A.R.Crim.P. The appellant's notice of appeal was stamped "filed" by the Mobile Circuit Clerk's office on November 12, 1992. The notice of appeal recites that it was "[s]worn to and subscribed before me this 8th day of Nov[ember,] 1992," CR. 51, but it does not bear a notary public's signature. Moreover, there is nothing in the record to indicate when the notice of appeal was mailed by the appellant (who was incarcerated at the time) and we simply cannot deem the notice of appeal to have been filed any earlier than November 12. Compare Holland v.State,
Reference
- Full Case Name
- Johnny Ray Nichols, Alias Atmore v. State.
- Cited By
- 36 cases
- Status
- Published