Ex Parte Dison
Ex Parte Dison
Opinion of the Court
This Court granted certiorari in order to respond to the following legal question: Whether an appeal from a conviction of a misdemeanor in district court upon an unsworn DUI ticket and complaint gives the circuit court jurisdiction in a trialde novo and allows the circuit court to verify the complaint, or whether a subsequent judgment of conviction in circuit court is void.
Appellant Dison was arrested by a state trooper on December 24, 1982, and given a ticket for driving under the influence of alcohol. The arresting officer signed the ticket and complaint, but it was not sworn to and acknowledged by a judge or magistrate prior to or during the district court proceedings. Dison was tried in the district court of Jefferson County on February 22, 1983, and found guilty and fined $200. He appealed to the circuit court, where the district attorney filed a separate complaint.
Dison moved to dismiss the complaint on the ground that the district court judgment was void as based on a complaint without the affidavit. The circuit court judge denied the motion, and then the judge signed the verification portion of the original ticket after having the arresting officer take the stand and swear to the charge. Dison was found guilty and again fined $200.
On March 20, 1984, the Court of Criminal Appeals affirmed Dison's conviction, and, on April 24, 1984, overruled his application for rehearing.
A perusal of the authorities leads to the conclusion that the Court of Criminal Appeals erred in affirming petitioner's conviction under these facts.
The manner of a court's obtaining jurisdiction was discussed in Kyser v. State,
"Jurisdiction of the offense and of the person must concur to authorize a court of competent jurisdiction to proceed to final judgment in a criminal prosecution. This to the end, a formal accusation sufficient to apprise the defendant of the nature and cause of the accusation is a prerequisite to jurisdiction of the offense. *Page 664 Irregularities in obtaining jurisdiction of the person may be waived, but a formal accusation by indictment, or authorized information, or complaint supported by oath, is essential to complete jurisdiction, and cannot be waived. " (Emphasis added.)
In Slater v. State,
Leonard v. State,"We are impelled to hold that a blanket charge of violation of the prohibition law of Alabama as it now exists does not designate any distinct or specific offense by name or as known in common parlance. It is equally applicable to any one of numerous distinct offenses, some misdemeanors, some felonies, each depending on its own state of facts. A charge of violating the law of the road, or the public health laws, would be equally specific. We must, therefore, hold the affidavit void.
"This want of an affidavit, the initial step in the prosecution, goes to the jurisdiction of the court. The court must take notice ex mero motu. . . .
"A complaint filed by the solicitor in the circuit court on appeal from a conviction in the county court in such case will not suffice to give the circuit court jurisdiction. . . ." (Emphasis added.) (Citations omitted.)
230 Ala. at 322 ,162 So. at 132.
"We held in Hawkins v. State,
"`* * * The only manner provided by law for the commencement of a prosecution in this state is by the finding of an indictment or by the swearing out a warrant based upon probable cause of the officer issuing same. The statute provides a party aggrieved, or desiring to bring a charge of misdemeanor before the county court, may apply to the judge thereof, or to some justice of the peace of the county, for a warrant of arrest, and, upon making affidavit in writing that he has probable cause for believing, and does believe, that an offense (designating the misdemeanor by name, or by some other phrase which in common parlance designates it) has been committed in said county by the accused on the person or property, as the case may be, of A.B. (naming the person injured), then the judge of said court or the justice of the peace shall examine the affiant under oath and other witnesses, if he so desires, touching the offense charged in the affidavit, and, if the court or justice of the peace has probable cause for believing that the offense alleged in the affidavit has been committed, he shall issue his warrant of arrest. Code 1907, § 6703. (Now Title 13, § 327, Recompiled Code 1958)'
"We also held in Wetzel v. State,
"`That part of the Solicitor's complaint filed in the circuit court charging the carrying of a pistol on premises not his own, not being sustained by an affidavit as provided by section 3815 of the Code of 1923 (Now Title 13, § 327, Recompiled Code 1958), is void, and would not support a conviction. Hawkins v. State,
20 Ala. App. 285 ,101 So. 514 .'"
And, in Sparks v. State,
The respondent cites us to Pierce v. State,
Cf. also Temporary Rule 16.2 (d)., A.R.Crim.P.:
"The lack of subject matter jurisdiction or the failure of the charge to state an offense may be raised by the court or by motion of the defendant at any time during the pendency of the proceeding. . . ." (See Comment which explains that subject matter jurisdiction, such as a sworn complaint, cannot be waived; however, personal jurisdiction may be waived.)
Respondent also argues that petitioner's appeal to the circuit court was via a trial de novo: It cites Yarbrough v.City of Birmingham,
Yarbrough itself, however, recognized that the inferior court's judgment was "a step toward the jurisdiction of the Circuit Court." Although the slate is wiped clean, in a sense, our decisions have not allowed a subsequent district attorney's complaint to be sufficient to confer jurisdiction upon the circuit court without resting upon a charge supported by affidavit. Horn v. State,"A trial de novo means that the slate is wiped clean and a trial in the Circuit Court is had without any consideration being given to prior proceedings in another court."
"[m]ere inaccuracies or imperfections in the proceedings before the county court cannot be taken advantage of on appeal to the circuit court, where the trial is de novo, but this rule cannot be extended so as to authorize the arrest of a person, and subject him to a prosecution in the circuit court upon a mere statement of the solicitor, unsupported by an affidavit which charges an offense, and which affidavit is insufficient to authorize the issue of a warrant of arrest. . . ." Miles v. State,
94 Ala. 106 ,107 ,11 So. 403 (1892).
And, when the initial affidavit in a misdemeanor case is not merely irregular, but void, it will not support the filing of a sufficient information or complaint by the district attorney for a trial de novo in circuit court. Sellers v. State,
We observe that our judicial decisions on the question before and since Pierce v. State, supra, i.e., Sparks, supra; Dennis,supra; and Leonard, supra, have applied the correct principle. To the extent that Pierce, supra, is contrary to those decisions, it is expressly overruled.
It follows from the authorities cited above that the circuit court did not have jurisdiction in petitioner's trial de novo because the district court judgment was void as being based upon an unverified complaint. Hence, petitioner's conviction in circuit court was itself void. Accordingly, the judgment of the Court of Criminal Appeals is reversed, and this cause is remanded to *Page 666 that court for an order consistent with this opinion. It is so ordered.
REVERSED AND REMANDED WITH DIRECTIONS.
TORBERT, C.J., and FAULKNER, JONES, ALMON, SHORES, EMBRY and ADAMS, JJ., concur.
Addendum
APPLICATION FOR REHEARING OVERRULED.
TORBERT, C.J., and FAULKNER, JONES, ALMON, SHORES, EMBRY and ADAMS, JJ., concur.
MADDOX, J., dissents.
Dissenting Opinion
I did not participate in the opinion of the Court on original deliverance, because I did not sit during the oral arguments, but in view of the gravity of the majority's opinion, I now take this opportunity, on the State's application for rehearing, to register my dissent and express why the overruling of Pierce v. State,
"It is true that a solicitor's complaint must rest upon a charge supported by an affidavit. Usually the affidavit filed in the inferior court from which the appeal is taken serves this purpose. Horn v. State,
22 Ala. App. 459 ,117 So. 283 [1928]."However, the affidavit is no substantial part of the solicitor's complaint, and is merely to insure good faith in instituting the prosecution. It must be deemed as analogous to the verification to a common law information. The absence of a verification to a common law information does not render it void or deprive a court of jurisdiction, and a failure to verify can be corrected at any time before trial, or in the absence of a showing that the accused has been prejudiced, at any time during trial. See 42 C.J.S., Indictments and Informations, § 86, p. 948.
"The appellants having failed to challenge the solicitor's complaints at any time in the proceedings below, and the complaints not being void but at most only formally defective, and therefore amendable if questioned, they must be deemed to have waived such defect and their challenges now come too late. See Nicholas v. State,
32 Ala. App. 574 ,28 So.2d 422 ."
In Champion v. State,
"This appellant was found guilty in the County Court of Calhoun County upon his trial on a complaint charging him with the possession of prohibited beverages. Thereafter he perfected his appeal to the Circuit Court of Calhoun County.
"In the circuit court the appellant entered a plea of guilty, and judgment was duly entered upon such plea.
"The appellant then perfected his appeal to this court, which affirmed the judgment of the circuit court, no opinion being written by this court.
"The appellant has not filed an application for rehearing, and counsel urge that the complaint is void and therefore no legal judgment could be entered upon it.
"The complaint in the county court was as follows:
"`The State of Alabama
"`Calhoun County
"`Before me, J.B. Holman, Judge of Calhoun County, personally appeared _____ who, being duly sworn, deposes and says he has probable cause for believing and does believe that in said State and County, and before making this affidavit Ralph B. Champion did have in his possession beverages prohibited by law against the peace and dignity of the State of Alabama.
"`L.C. Marshall
*Page 667"Sworn to and subscribed before me, this 18 day of Jan., 1956.
"`M.S. Nelson "`Clerk of Calhoun County Court.'
"It is to be noted that the name of the complainant is left blank in the face of the complaint, though it is signed by L.C. Marshall. We pretermit discussion of the validity of the complaint in this form, for it is clear that the doctrine stated in Nicholas v. State,
"`Where a defendant does not, before a justice, or in this case before a recorder, raise any objection to the sufficiency of the warrant or affidavit, he will not be heard to raise it on appeal to the Circuit Court, for the reason that the affidavit and warrant were amendable, and if objection had been made before the justice or recorder, the insufficiency could have been cured. Smith v. State,
73 Ala. 11 ; Laney v. State,109 Ala. 34 ,19 So. 531 ."`The above principles are reflected in and fortified by the provisions of Section 346 of Title 13, Code of Alabama, 1940, as follows:
"`"It shall be no objection to the proceedings of the county court, either in that court or elsewhere, that they are imperfect or inaccurate; and when its proceedings are reviewed on appeal or certiorari, all amendable errors shall be regarded as amended, so as to present only the substantial inquiry of the guilt or innocence of the accused."'
"Application denied."
Although Title 13, § 346, Code of 1940, which regarded as amended on appeal any amendable imperfections or inaccuracies in inferior proceedings, was repealed by Acts of Ala. 1975, No. 1205, § 4-134, I do not believe the absence of a verification of the traffic ticket rendered it void. As Judge Harwood, who later served on this Court, stated in Pierce, supra:
"The absence of a verification to a common law information does not render it void or deprive a court of jurisdiction. . . ." (Emphasis added.)
Temporary Rule 16.2 (d), Ala.R.Crim.P., which provides that a question of subject matter jurisdiction can be raised at any time, does not apply. The majority quotes the substance of this rule in its opinion and states: "See Comment which explains that subject matter jurisdiction, such as a sworn complaint, cannot be waived; however, personal jurisdiction may be waived." The Comment to Temp. Rule 16.2 (d), Ala.R.Crim.P., does not make any reference to the words "such as a sworncomplaint," which appear in the majority opinion, so I interpret the majority's reference to be an interpretation of the words "subject matter jurisdiction." A district court hasjurisdiction to try traffic offenses such as the one involved here; therefore, I disagree with the majority's interpretation of the words "subject matter jurisdiction."
I am mindful of our state's constitutional provision that the accused is entitled "to demand the nature and cause of the accusation; and to have a copy thereof." Sec. 6, Ala. Const., 1901. Here, the defendant had a statement of "the nature and cause of the accusation"; it just was not verified. The lack of a verification, in my opinion, was an amendable defect, and did not make the accusation void, nor deprive the court of subjectmatter jurisdiction. Consequently, I respectfully dissent.
Reference
- Full Case Name
- Ex Parte Elmore N. Dison III. (Re: Elmore N. Dison III v. State.)
- Cited By
- 55 cases
- Status
- Published