People v. Carpentier
People v. Carpentier
Opinion of the Court
This case asks us to determine, in the context of a collateral challenge of juvenile adjudications used for purposes of subsequent recidivist sentencing and where the relevant juvenile records have been expunged, which party bears the initial burden of proving that the underlying convictions were procured without counsel or a proper waiver of counsel. Because we conclude that the alleged error is a jurisdictional defect not subject to the prerequisites of MCR 6.508(D)(3), judicial review of defendant’s collateral challenge is appropriate and the circuit court decision dismissing for lack of "good cause” is reversed. Similarly, while we affirm the reasoning of the Court of Appeals we do not remand because, applying the mandates of People v Moore, 391 Mich 426; 216 NW2d 770 (1974), defendant has failed to meet his initial burden of proof that a constitutional violation occurred.
i
In 1982, defendant Louis E. Carpentier, Jr., armed with a revolver, robbed a bank of over $5,000 during business hours. In 1983, a jury convicted him of armed robbery,
Defendant appealed the length of his sentence as excessive under People v Coles, 417 Mich 523; 339 NW2d 440 (1983), rev’d People v Milbourn, 435 Mich 630; 461 NW2d 1 (1990), and the Court of Appeals remanded the case for an articulation of the reasons for the sentence. After remand, the Court affirmed the sentence, holding it justified under Coles.
In November 1992, defendant again challenged the length of his sentence by filing for relief from judgment under MCR 6.508. Defendant alleged that he should be resentenced because the trial court considered juvenile adjudications that were constitutionally infirm to determine his sentence, in that he was not represented by counsel and did not waive the right to representation at the juvenile adjudications. At the sentencing hearing, defendant was twenty-one years old, and his prior contacts with the juvenile system were noted on the presentence hearing report.
Finding that defendant had failed to establish "good cause” as required by MCR 6.508(D)(3), the trial court denied his motion. The Court of Appeals, however, concluded that defendant’s Sixth Amendment claim "represents, if established, a jurisdictional defect . . . and thus the 'good cause’ requirement of MCR 6.508(D)(3)(a) is not, by its own terms, applicable.” Accordingly, the Court of Appeals ordered the case remanded to the trial court for consideration of defendant’s collateral challenge.
This Court granted leave to appeal on February 3, 1994. 444 Mich 949.
Defendant’s collateral challenge is brought pursuant to MCR 6.508(D)(3), which provides, in pertinent part:
The defendant has the burden of establishing entitlement to the relief requested. The court may not grant relief to the defendant if the motion
(3) alleges grounds for relief, other than jurisdictional defects, which could have been raised on appeal from the conviction and sentence or in a prior motion under this subchapter, unless the defendant demonstrates
(a) good cause for failure to raise such grounds on appeal or in a prior motion, and
(b) actual prejudice from the alleged irregularities that support the claim for relief. [Emphasis added.]
It is clear that, by its own terms, the "good cause” and "actual prejudice” prerequisites of MCR 6.508(D)(3) need not be satisfied where a defendant properly alleges a jurisdictional defect in a prior proceeding that resulted in conviction and sentence. It is also apparent that MCR 6.508— which articulates the procedures for obtaining postappeal relief — permits jurisdictionally based challenges to be raised after a criminal appeal has been exhausted. Certainly, if a criminal defendant may obtain postconviction review by establishing "good cause” and "actual prejudice” under MCR 6.508(D)(3), that defendant may alternately procure review by properly alleging the jurisdictional defect contemplated and exempted from the requirements of this rule. See also People v Johnson, 396 Mich 424, 442; 240 NW2d 729 (1976) ("Defendant may always challenge whether the state had a right to bring the prosecution in the first place”).
"If the accused, however, is not represented by counsel and has not competently and intelligently waived his constitutional right, the Sixth Amendment stands as a jurisdictional bar to a valid conviction and sentence depriving him of his life or his liberty[.] . . . The judgment of conviction pronounced by a court without jurisdiction is void, and one imprisoned thereunder may obtain release by habeas corpus.” [Id., 114 S Ct 1737 (emphasis added) (quoting Johnson v Zerbst, 304 US 458, 468; 58 S Ct 1019; 82 L Ed 1461 (1938).]
Notably, while affording "jurisprudential signifi
We find the reasoning of Custis both persuasive and consistent with Michigan common law. Like the federal courts, both the Michigan judiciary singularly, and the citizenry whosé collective rights and protections it is obligated to protect, have a compelling interest in championing the finality of criminal judgments. However, and again like the federal courts, Michigan has recognized the unique import of a defendant’s constitutional right to counsel. See, e.g., People v Ingram, 439 Mich 288; 484 NW2d 241 (1992); People v Crawford, 417 Mich 607, 614; 339 NW2d 630 (1983) (Brickley, J., concurring). The exceptional nature of this constitutional protection counsels for similarly atypical protection. For'this reason, we align ourselves with the rationale and result of Custis and hold that an alleged Gideon violation consti
Because defendant’s collateral challenge raises a jurisdictional defect not subject to the "good cause” or "actual prejudice” demands of MCR 6.508(D)(3), the circuit court erred in dismissing defendant’s claim for lack of good cause. Relatedly, the Court of Appeals reasoning that defendant’s claim constituted a jurisdictional defect is affirmed as accurate.
hi
Unlike the Court of Appeals, however, we do not remand this action because, on the basis of the well-established procedure set out in Moore for reviewing collateral challenges alleging Gideon violations, defendant is incapable of proving that his prior convictions were constitutionally infirm.
Twenty years ago, this Court held that a defendant who collaterally challenges an antecedent conviction allegedly procured in violation of Gideon, supra, bears the initial burden of establishing that the conviction was obtained without counsel or without a proper waiver of counsel. Moore, supra. In Moore, we explained that a defendant could satisfy this initial burden by either of two approaches:
1) by presenting "prima facie proof that a previous conviction was violative of Gideon, such as a docket entry showing the absence of counsel or a transcript evidencing the same,” or
2) by presenting evidence that the defendant requested such records from the sentencing . court and that the court either (a) failed to reply to the request, or (b) refused to furnish copies of the records, within a reasonable time. Id. at 440-441.
Once either approach was satisfied, we held that a defendant would have met his initial burden of proof and a Tucker
Today we reaffirm that Moore articulates the proper procedures to be followed where a defendant collaterally challenges a prior conviction for lack of counsel or a proper waiver of counsel. In so
B
Our Moore decision is straightforward: to prevail upon a request for Tucker relief, defendant must present prima facie proof that a prior conviction violated Gideon, or present evidence that the sentencing court either "failed to reply” to a request for or "refused to furnish” requested copies of records and documents. Putting aside the first approach for a moment, it must be acknowledged that this Court was very specific in defining the second: a sentencing court must "fail[] to reply,”
Indeed, we take this opportunity to explain that Mooré is in part directed at those situations in which a sentencing court affirmatively and intentionally acts to deny a defendant access to requested trial records. For example, where a sentencing court ignores a proper request for records, that court has "failed to reply” within the meaning of Moore. Alternatively, where a court refuses to forward records in its possession or control, that court has "refused to furnish” under Moore. Accordingly, to interpret Moore as only requiring a defendant to have requested but not received trial records opens the door to collateral challenges in a variety of situations not intended by the strict and narrow rule of Moore.
Nowhere are the implications of this expansive interpretation more conspicuous than in the instant case. The defendant here requested copies of his juvenile record so as to ascertain whether he had been afforded counsel, or had waived counsel, at prior juvenile proceedings. Defendant received a
We hold, therefore, that defendant has not met his burden of proof under Moore insofar as he has not established that the sentencing court either
Further, defendant has not otherwise presented prima facie proof that his prior conviction was violative of Gideon. Defendant’s proifered evidence in support of a Tucker hearing consisted of the aforementioned letter from the probate court and two affidavits from attorneys claiming knowledge of procedures utilized in the probate court. As noted above, however, this letter is simply a reply from the court indicating that defendant’s records have been expunged; it says absolutely nothing about whether defendant had, or waived, counsel at his juvenile proceeding. Accordingly, it is not relevant to the Gideon violation alleged here. Similarly, the two affidavits only state general allegations concerning probate court procedures and do not address defendant’s Gideon -claim specifically. Accordingly, while somewhat relevant, these affidavits also do not establish prima facie proof of a right to counsel violation.
IV
It should be acknowledged that whereas Moore involved a scenario in which a trial record was available, in the instant case defendant’s record has been expunged and is no longer obtainable either by the defendant or the prosecutor. In fact, this lack of a record is the only significant distinction between the two cases. Accordingly, our view of Moore admittedly constitutes an extension of its mandates to those scenarios in which a record has been properly expunged. For the reasons stated below, however, we do not believe that this factual distinction counsels against extending Moore in this manner.
As previously noted, this state has a legitimate
We see no tension between [assigning the burden of proof to the defendant] and Boykin. Boykin involved direct review of a conviction allegedly based upon an uninformed guilty plea. Respondent, however, never appealed his earlier convictions. They became final years ago, and he now seeks to revisit the question of their validity in a separate recidivism proceeding. To import Boykin’s presumption of invalidity into this very different context would, in our view, improperly ignore another presumption deeply rooted in 'our jurisprudence: the "presumption of regularity” that attaches to ñnal judgments, even when the question is waiver of constitutional rights. [Parke, 113 S Ct 523. Emphasis added.]
This presumption of regularity is well recognized in Michigan law as well, see Dow v Scully, 376 Mich 84; 135 NW2d 360 (1965); Fuller v Vanwagoner, 49 F Supp 281 (ED Mich, 1942), and its importance for assuring the finality of judgments, and conserving scarce judicial resources, cannot seriously be questioned. Therefore, while the presumption of invalidity may enjoy a very obvious and proper place in direct judicial review — simply to insure proper sentencing in the first instance— the presumption must be balanced against this state’s legitimate need to preserve scarce judicial resources with some finality of judgment. Because collateral attacks threaten such finality, it is appropriate to impose the burden of proof on that party making the challenge — in this case, the defendant.
v
In summary, where a juvenile record has been properly expunged, a defendant must bear the initial burden of establishing that prior juvenile adjudications were procured without counsel or without the proper waiver of counsel. This approach recognizes that expungement is a procedure benefiting the defendant and that collateral attacks seek an extraordinary judicial remedy, and adheres to the state’s well-recognized interest in insuring the finality of judgments. Properly interpreted, Moore provides an appropriate and workable framework within which a defendant may meet this initial burden.
For these reasons, and while the reasoning of the Court of Appeals is affirmed, we reverse its order remanding to the circuit court, and deny defendant’s request for relief from judgment.
MCL 750.529; MSA 28.797.
Unpublished opinion per curiam of the Court of Appeals, decided November 21, 1985 (Docket No. 73945). The Court reasoned:
The judge noted that the offense committed was a serious one, punishable by up to life imprisonment. The robbery took place at a bank during business hours, and defendant was*25 armed with a gun. Thus, several persons could have been seriously injured. The judge further noted that defendant, aged 20 at the time of the present offense, is a severe drug addict. He has a juvenile record which resulted in either probation or commitment for being a runaway, larceny in a building, breaking and entering a dwelling, unauthorized driving away of an automobile, and larceny from a person. As an adult, a negotiated plea of guilty to attempted larceny in a building resulted in a one-year sentence. Defendant showed no remorse regarding the instant offense. Defendant was discharged from the Army 13 months after he enlisted because of his inability to adapt to military life. According to defendant’s presentence report, he had been unable to sustain any consistent employment and lacks competitive job skills.
Unpublished order of the Supreme Court, entered June 3, 1986 (Docket No. 77731).
The presentence report listed defendant’s juvenile history:
02-15-78 Petition filed, Runaway.
02-15-78 Petition filed for Larceny in a Building. This offense involves Louis stealing a pocket warmer from Woolco.
02-16-78 Transferred to the Juvenile Home and it was noted that his mother refused to pick him up after being contacted by authorities.
02-17-78 Psychological examination administered by psychologist Carl Poit. The report pointed out Mr. Carpentier’s chaotic home situation and indicated he would not abide by the house rules. It was also mentioned that Mr. Carpentier liked to be a very independent individual despite being unable to adequately care for himself. He was administered the Weschler Intelligence*26 Test with a full scale i.q. of 88, his verbal i.q. 87 and his performance 91. It was pointed out that Mr. Carpentier was functioning in both Math and English at the 7.7 level.
05- 31-78 Breaking and Entering, Runaway. This offense involves Louis breaking into a home located at 1233 N. Saginaw Street, Flint, Michigan.
06- 19-78 Six months probation and was made a Temporary Ward of the Court.
07- 13-78 Petition filed for Runaway, udaa and Larceny from a Person.
07- 27-78 Committed to the Department of Social Services.
08- 06-78 Transferred to the Park Place Halfway House in Kalamazoo, Michigan.
11-31-78 Transferred from Park Place to his mother’s home.
01- 23-80 Youth parole review board felt that Louis had not responded to the services that he had been exposed to and recommended discharge.
02- 01-80 Discharged from juvenile probation.
We note, of course, that whereas the defendant in Custis raised a Sixth Amendment collateral challenge during direct review of his enhanced criminal sentence, the defendant here has raised his similar challenge some ten years after the recidivist sentence enhanced by juvenile convictions. In this regard, it may be argued that the rule of Custis is specifically directed to those situations in which a defendant collaterally challenges prior convictions on direct review of a subsequent criminal proceeding and, accordingly, that our reliance on this Supreme Court decision is inapposite.
We reject both the distinction and the conclusion. The Custis decision expressly holds that convictions obtained in violation of Gideon constitute jurisdictional defects. As contemplated by MCR 6.508(D)(3), jurisdictional defects — and any alleged error for which a defendant can show "good cause” and "actual prejudice” — may be challenged postappeal, i.e., after direct review has been exhausted. Accordingly, while Custis may proceed upon a factual foundation of direct review, we believe that, for purposes of Michigan law, the structure of its reasoning extends beyond this limited scenario to include jurisdictional defects raised after direct review. Therefore, the only thing inapposite about Custis is the timing of the collateral challenges that it contemplates. Such jurisdictional challenges may be raised on direct review or, as contemplated by MCR 6.508(D)(3), in a postappeal motion for relief from judgment.
United States v Tucker, 404 US 443; 92 S Ct 589; 30 L Ed 2d 592 (1972). In Tucker, the United States Supreme Court held that prior convictions invalid under Gideon, could not be considered at a subsequent criminal sentencing. "Tucker is applicable with full retroactivity to all sentences imposed by Michigan courts.” Moore, supra at 437.
The most notable development first emerged in People v Triplett (After Remand), 91 Mich App 82, 87; 283 NW2d 658 (1979), rev’d 407 Mich 510; 287 NW2d 165 (1980), in which the Court of Appeals dropped our requirement that a sentencing court either "fail[] to reply” or "refuse[] to furnish” requested records, and inserted language that simply required proof that a defendant had "requested such records and has not received them.” See also People v Schram, 98 Mich App 292; 296 NW2d 840 (1980) (same error); People v Evans, 115 Mich App 711; 321 NW2d 686 (1982) (same error). This interpretation has recently remanifested itself in People v Hannan (After Remand), 200 Mich App 123; 504 NW2d 189 (1993).
In Hannan, the defendant filed an affidavit stating that his request for transcripts of a prior adjudication was unfulfilled because the court reporter had been unable to locate any documentary materials pertaining to the prior conviction. Notably, the court reporter had replied to the defendant and informed the latter of the record’s unavailability. Nevertheless, the Court of Appeals concluded that the defendant’s affidavit presented a prima facie case that his pleas were obtained in violation of the right to counsel, and remanded for a Tucker hearing.
Neither appellee nor appellant has argued that the probate court’s reliance upon MCR 5.925(E)(2)(b) was improper, or that a different expungement rule should have been used. Accordingly, we do ,not decide if MCR 5.925 or a different rule is applicable for purposes of expungement in this case. Nor do we decide whether, under MCR 5.925, properly expunged juvenile convictions can be used for purposes of recidivist sentencing.
Indeed, defendant argues that Moore should apply where trial records are absent and insists that, under Moore, he has met his burden of proof in this case:
[Defendant] maintains that when he produces proof that a record does not exist or the conviction on its face indicates a lack of counsel, he has . . . taken affirmative steps to document his claim. The lack of a record or a silent record (or the court’s failure to respond) raises the issue of the lack of validity or reliability of the conviction. [Defendant] asserts that burden properly shifts to the prosecution to establish the propriety of his sentence enhancement based on what now appears to be invalid convictions. [Emphasis added.]
In short, because a record does not exist, defendant alleges to have maintained his initial burden of proof under Moore. For the reasons stated herein, we disagree.
Boykin v Alabama, 395 US 238, 243; 89 S Ct 1709; 23 L Ed 2d 274 (1969). Boykin specifically involved the waiver, by guilty plea, of three constitutional rights: (1) the right to a jury trial, (2) the right to confront one’s accusers, and (3) the privilege against self-incrimination. These constitutional rights are not the basis for defendant’s collateral attack here.
Defendant makes a strong argument that, because Michigan common law recognizes a difference between Boykin rights and the right to counsel, Parke is largely irrelevant. While technically accurate, we believe that defendant’s conclusion concerning Parke is incorrect. This Court has recognized that while the failure to advise a defendant of Boykin rights is not a constitutional issue (but, rather, one of policy), the right to counsel does implicate constitutional concerns and, accordingly, demands a more stringent inquiry on review. People v Ingram, supra; People v Crawford, supra at 615 (Brickley, J., concurring in the result) (Boykin rights "pale[] beside the right to counsel,” and the latter right must remain subject to collateral attack). Our decision today, of course, recognizes a defendant’s right to collaterally attack prior sentences procured in alleged violation of the right to counsel.
Nevertheless, we do not believe that this conclusion undermines the reasoning or rationale of Parke. The focus of our legal inquiry here is not on what happens after the waiver of counsel, but instead on the waiver (or lack thereof) itself. Specifically, who bears the burden of proof on the waiver issue? The fact that the right to counsel may enjoy greater importance before and after a guilty plea says nothing about who should bear the burden of proof concerning a waiver. For example, just because the right to counsel has greater importance after a guilty plea does not automatically mean that either the prosecutor or the defendant must bear the burden of subsequently proving or disproving a valid waiver. Instead it only suggests that the waiver remains subject to collateral attack — a conclusion not disputed in this opinion. In this regard, the distinction between Boykin rights and the right to counsel is not dispositive here and, accordingly, the reasoning of Parke is properly considered.
Concurring Opinion
(concurring). At issue in the instant case is the application of MCR 6.508(D)(3) to a collateral challenge of prior convictions utilized in
I join the majority in denying relief. While defendant had no good cause for the delay in raising the challenge, because an allegation that the right to counsel was deprived raises a jurisdictional defect, defendant is permitted to collaterally attack his prior convictions.
I write separately because the majority fails to grapple with defendant’s constitutional arguments. I would hold that the procedures in People v Moore, 391 Mich 426; 216 NW2d 770 (1974), are not dictated by the federal or Michigan Constitution, and that defendant has failed to meet his burden of proving that his prior adjudications were constitutionally infirm.
i
A
At issue in the instant case is the challenge of a sentence imposed nearly a decade ago. There is no dispute that defendant appealed his sentence immediately following his conviction and that he is now raising a new and independent challenge to the sentence. Accordingly, defendant moves for relief under MCR 6.508(D). Defendant claims that
Defendant seeks an extraordinary remedy that permits a challenge to his sentence although he was previously granted the opportunity to attack its validity at all stages of the criminal justice process. In the trial court, defendant was permitted to challenge the accuracy of his presentence report, MCR 6.425(D)(2)(b), and acquiesced in its validity and use. He was also afforded the opportunity to address the court regarding the sentence. MCR 6.425(D)(2)(c). Furthermore, once the sentence was imposed, he was permitted to request resentencing. MCR 6.429.
Moreover, our constitution guarantees a convicted criminal an appeal of right of both the conviction and sentence. Const 1963, art 1, § 20. On appeal in the Court of Appeals, a defendant may argue, brief, and document any alleged irregularity in the criminal procedure that he believes unfairly led to his conviction. Furthermore, the court must appoint counsel to represent an indigent defendant during an appeal of right if a timely motion for counsel is filed. MCR 6.425(E)(2). If dissatisfied with the outcome of the initial appeal, a defendant may request a rehearing from the Court of Appeals, MCR 7.203(A), and, of course, may apply to this Court for leave to appeal. MCR 7.302. Thus, our appellate system clearly affords a criminal defendant one fair and open multistaged and layered opportunity to appeal a criminal conviction or sentence.
Represented by counsel, defendant vigorously and competently utilized this right to appeal by
Nevertheless, MCR 6.508(D) permits a convicted defendant the opportunity to challenge a conviction or sentence even after an unsuccessful appeal of right. MCR 6.508(D) provides:
The defendant has the burden of establishing entitlement to the relief requested. The court may not grant relief to the defendant if the motion
(1) seeks relief from a judgment of conviction and sentence that still is subject to challenge on appeal pursuant to subchapter 7.200 or subchapter 7.300;
(2) alleges grounds for relief which were decided against the defendant in a prior appeal or proceeding under this subchapter, unless the defendant establishes that a retroactive change in the law has undermined the prior decision;
(3) alleges grounds for relief, other than jurisdictional defects, which could have been raised on appeal from the conviction and sentence or in a prior motion under this subchapter, unless the defendant demonstrates
(a) good cause for failure to raise such grounds on appeal or in the prior motion, and
(b) actual prejudice from the alleged irregularities that support the claim for relief. As used in this subrule, "actual prejudice” means that,
(i) in a conviction following a trial, but for the*42 alleged error, the defendant would have had a reasonably likely chance of acquittal;
(ii) in a conviction entered on a plea of guilty, guilty but mentally ill, or nolo contendere, the defect in the proceedings was such that it renders the plea an involuntary one to a degree that it would be manifestly unjust to allow the conviction to stand;
(iii) in any case, the irregularity was so offensive to the maintenance of a sound judicial process that the conviction should not be allowed to stand regardless of its effect on the outcome of the case;
(iv) in the case of a challenge to the sentence, the sentence is invalid.
The court may waive the "good cause” requirement of subrule (D)(3)(a) if it concludes that there is a significant possibility that the defendant is innocent of the crime.
The circumstances under which a defendant may appeal under MCR 6.508(D) are narrowly limited when the defendant has already utilized the full gamut of the appellate process and is found wanting. Without such restrictions, the finality of judgments would be effectively undermined. The appellate process is not a game in which defendants should be afforded unlimited and unrestricted opportunities to attack convictions and sentences that were duly imposed years before. Once a defendant has been granted his day in court and his appeal by right, only under the most egregious circumstances should he be permitted to again attack the integrity of his conviction or sentence. The people are entitled to presume that he stands fairly and finally convicted. The elaborate, detailed, and careful appellate procedures that have evolved over 150 years of experience to ensure the fair and just treatment of criminal defendants should be discarded only with extreme reluctance. Otherwise defendants "may rake up
On the other hand, this Court recognizes that some errors are so fundamental to our system of justice that no matter how long the delay in challenging the conviction or sentence, the courts must hear the appeal. These circumstances are exceedingly few and implicate the integrity of the justice system itself: (1) jurisdictional defects, (2) challenges that were not raised because of "good cause” and that constitute "actual prejudice,” or (3) the conviction of a defendant when there is a significant probability that he is innocent of the crime for which he was convicted and actual prejudice.
B
Defendant contends that he meets the "good cause” and "actual prejudice” requirements to permit relief under MCR 6.508(D)(3). The majority does not consider this issue, finding that because the allegation constitutes a jurisdictional defect, he may now attack the prior adjudications. I examine this issue first because this Court is to avoid constitutional questions if possible, and whether defendant alleges a jurisdictional defect is based on the constitutional right to counsel.
Nevertheless, there appears to be no "good
Defendant bases his demand for relief on a sentencing procedure rejected as unconstitutional in Burgett v Texas, 389 US 109; 88 S Ct 258; 19 L Ed 2d 319 (1967), and United States v Tucker, 404 US 443; 92 S Ct 589; 30 L Ed 2d 592 (1972). Assuming the validity of defendant’s allegations, after the release of Burgett and Tucker, a defendant would not have good cause to delay a challenge of counselless prior convictions utilized to enhance a sentence without an external impediment. Defendant pursued appeals of his sentence once throughout the court system well after the release of Burgett and Tucker. At the time of his conviction, his juvenile records existed. A decade later, after the administrative destruction of the records that may have conclusively closed the matter, he now collaterally attacks the adjudications. There has been no cogent reason expressed for this delay. Nor has defendant even alleged that there is a significant possibility that he is innocent
n
A
With regard to whether there was a jurisdictional defect, the Court of Appeals found:
The assertion that uncounseled juvenile adjudications were considered in exacerbation of defendant’s sentence, in violation of People v Leary, 192 Mich App 463 [481 NW2d 757] (1992), represents, if established, a jurisdictional defect, United States v Tucker, 404 US 443; 92 S Ct 589; 30 L Ed 2d 592 (1972); People v Moore, 391 Mich 426 (1974), and thus the "good cause” requirement of MCR 6.508(D)(3)(a) is not, by its own terms, applicable. If, therefore, defendant establishes that uncounseled adjudications were so used, and that he was thereby prejudiced, but see People v Watroba, 89 Mich App 718, 724-725 [282 NW2d 196] (1979), he is entitled to resentencing, whether or not this issue might have been presented at some earlier stage. [Unpublished order of the Court of Appeals, entered June 2, 1993 (Docket No. 161218).]
This Court historically has interpreted the lack of jurisdiction in criminal prosecutions with regard to the ancient writ of habeas corpus. While other writs permitted a defendant to challenge other alleged errors, Michigan law has long understood our writ of habeas corpus to permit a criminal defendant to attack a criminal conviction only when the court that convicted and sentenced the defendant was without jurisdiction to try him for the crime in question. As Justice Cooley stated for
Hence, even fundamental errors of criminal procedure may be insufficient to challenge the jurisdiction of the court. For instance, errors regarding the drafting of an information that might have warranted correction had a timely objection been made "are not so vital as to be destructive of the jurisdiction of the court.” In re Stone, supra at 210.
On the other hand, by the very nature of jurisdiction, a "[defendant may always challenge whether the state had a right to bring the prosecution in the first place.” People v Johnson, 396 Mich 424, 442; 240 NW2d 729 (1976). Jurisdictional defects are akin, but not identical, to those waived when a defendant pleads guilty,
B
In the instant case, whether the alleged improprieties are jurisdictional defects under Michigan law is dubious. In re Long, 266 Mich 369, 371; 254 NW 133 (1934) (holding that whether the defendant was denied the right to counsel at trial could not be examined under the writ of habeas corpus); People v Price, 23 Mich App 663, 670; 179 NW2d 177 (1970) (holding that the alleged denial of the right to counsel in juvenile cases is not a jurisdictional defect). Yet, the United States Supreme Court, as a matter of federal law, has found that criminal defendants possess a constitutional right to collaterally attack a prior conviction used to enhance their sentence when defendants allege that prior convictions occurred in violation of the Sixth Amendment right to counsel. Custis v United States, 511 US _; 114 S Ct 1732; 128 L Ed 2d 517 (1994). In Custis, 114 S Ct 1737, the Court found that clear language of the Armed Career Criminal Act of 1984, 18 USC 924(e) reveals that "Congress did not intend to permit collateral attacks on prior convictions under § 924(e).” The Court, however, found that the defendant possessed a constitutional right to collaterally chal
in
Similarly, I join the majority’s decision that a remand is not necessary because, as a matter of law, defendant is incapable of proving that his prior convictions were constitutionally infirm.
Defendant contends that his sentence is invalid because the court utilized prior juvenile adjudications to compute his sentence when those prior adjudications occurred without counsel and valid waiver of the right to counsel. While defendant challenges the constitutional validity of his prior convictions, he bears the burden of showing that those convictions were invalid. MCR 6.508. Defen
A
"Perhaps the privilege most important to the person accused of crime, connectéd with his trial, is that to be defended by counsel.” 1 Cooley, Constitutional Limitations (8th ed), p 696. Under historical English criminal law, "however, the aid of this profession was denied in the very cases in which it was needed most . . . .” Id. at 698. To address this injustice, the Founders of our nation drafted and ratified the Sixth Amendment of the United States Constitution, mandating that "[i]n all criminal prosecutions, the accused shall enjoy the right ... to have the Assistance of Counsel for his defence.” This palladium of liberty, applicable to states through the Due Process Clause of the Fourteenth Amendment, guarantees a criminal defendant the right to be represented by counsel. Gideon v Wainwright, 372 US 335; 83 S Ct 792; 9 L Ed 2d 799 (1963).
To maintain its integrity, a conviction obtained
In Moore, supra at 440-441, this Court, relying almost exclusively on federal authority, outlined the procedures to determine whether a prior conviction could be utilized in a sentencing context in Michigan if a defendant alleges that the prior
[T]he defendant must (1) present prima facie proof that a previous conviction was violative of Gideon, such as a docket entry showing the absence of counsel or a transcript evidencing the. same; or (2) present evidence that he has requested such records from the sentencing court and it has failed to reply or has refused to furnish copies of records within a reasonable period of time, say four weeks. Upon such presentation, either (1) or (2), the burden will then be upon the prosecutor to establish the constitutional validity of the prior conviction. Thus, if the prosecutor contends that the defendant waived counsel, the burden will be on him to show affirmative record evidence of waiver. . . .
Unless the prosecutor furnishes such evidence within one month of the defendant’s motion, the judge shall set the matter for an early hearing and order the production of the defendant at the hearing.
Defendant contends that the inability of the state to provide the records in question constitutes a failure to reply and a refusal to furnish copies of the records within a reasonable period of time. Yet, the state appropriately replied to defendant’s request for the records by notifying him of their expungement according to state procedures.
B
1
Defendant, however, also contends that, as a matter of federal constitutional law, as well as state policy, the burden of proof should be placed on the state when a criminal defendant challenges the use of a prior conviction in a sentencing hearing even after the state has presented sufficient proof of the existence of the prior conviction. The majority all but ignores this argument, implicitly holding that Moore is somehow constitutionally compelled and immune from modification. Because this Court is obligated to enforce the constitution and grant defendant due weight to his constitutional claim, I believe that we must address this issue.
I would hold that the placing of the burden on the state is not compelled by the United States Constitution. Parke v Raley, 506 US _, _; 113 S Ct 517, 522; 121 L Ed 2d 391 (1992).
Hence, federal law, refusing to dictate the fine details of state criminal procedure, mandates in the instant case only that the state "bear[] an initial burden of proving the fact of conviction [that] will ordinarily be satisfied by production of a certified copy of the conviction or an equivalent proffer.” United States v Unger, 915 F2d 759, 761 (CA 1, 1990). Once this threshold is met, the "conviction [may be] presumed valid for purposes of applying the sentencing guidelines. The burden [may] then shift[] to the defendant to establish
Nevertheless, defendant posits that Moore should be modified to place the entire burden of proof on the prosecution as a matter of policy. Defendant argues in the alternative that at the very least Moore should not be altered. Defendant suggests that placing the burden entirely on the prosecution is consistent with basic principles found within the American criminal justice system. Placing the burden on the government, defendant contends, would further the goals of the accusatorial system: protection of the innocent, checking the potentially abusive power of the government, and recognition of the imbalance of power between government and the accused.
Leaving aside the propriety of this Court adopting such a course, those states that place the burden of proof on defendants in similar circumstances still maintain the accusatorial system.
There is no persuasive reason to disregard the presumption of regularity to the denigration of the finality of judgments, judicial economy, and the orderly administration of justice. Because " ' "[e]very inroad on the concept of finality undermines confidence in the integrity of our procedures; and, by increasing the volume of judicial work, inevitably delays and impairs the orderly administration of justice,” ’ ” collateral attacks should be discouraged. Ingram, supra at 297, quoting Crawford, supra at 616 (Brickley, J., concurring), quoting United States v Timmreck, 441 US 780, 784; 99 S Ct 2085; 60 L Ed 2d 634 (1979). To permit collateral attacks of prior convictions simply on the basis of the bald assertion of a defendant or a missing transcript ensures "[p]erpetual disrespect for the finality of convictions [that] disparages the • entire criminal justice system.” Ingram, supra at 301, n 9. On the other hand, by ensuring that defendants must possess strong evidence to successfully challenge a prior conviction, placing the burden of proof on the defendants strengthens respect for the finality of judgments and the orderly administration of justice. Similarly, placing the burden on defendants furthers judicial economy. This is especially true because a defendant is the party "who participated in the earlier proceedings resulting in conviction, [and] is often in the best position to challenge the conviction on constitutional grounds. . . . [F]or example, [the prosecution may not have been] a party to the contested state court proceedings.” United States v Newman, 912 F2d 1119, 1122 (CA 9, 1990). Because the orderly administration of justice is founded on finality of judgments and an interest in judicial economy, I would hold that courts appropriately must rely on the deeply rooted presumption of regularity to place the burden on a defen
3
In summary, defendant contends that his prior juvenile adjudications were without counsel. Yet, "[t]hat a juvenile conviction was uncounseled does not render it invalid; if the right to counsel was made clear, and was sentiently waived, the absence of counsel would not in and of itself forestall use of the ensuing conviction in tabulating the defendant’s criminal history score.” Unger, supra at 761-762. Moreover, " 'bald assertions . . . that he was without counsel at his prior convictions are insufficient to overcome the presumption of regularity of the records that were before the trial court in this case.’ ” Disheroon v State, 687 SW2d 332, 334 (Tex Crim App, 1985) (en banc), quoting Maddox v State, 591 SW2d 898, 903 (Tex Crim App, 1979). "[S]elf-serving testimony, see United States v Boyer, 931 F2d 1201, 1205 (CA 7, 1991), does not overcome the court’s finding that all was in 'normal customary proper order.’ ” United States v Banks, 964 F2d 687, 693 (CA 7, 1992). Accordingly,
"[t]he failure of the state to provide a transcript when, after good faith effort, it cannot physically do so, does not automatically entitle a defendant to a new trial. . . . 'Doubts should be resolved in favor of the integrity, competence and proper performance of their official duties by the judge and the State’s attorney. ... If any presumption is to be indulged it should be one of regularity rather than of irregularity. . . . Such a presumption of regularity indicates that the court constitutionally discharged rather than unconstitutionally disregarded its state and federal duties.’ ” [People v*60 Iacopelli, 141 Mich App 566, 568; 367 NW2d 837 (1985).][18 ]
In the instant case, defendant does not contest the existence of his prior juvenile convictions. Furthermore, defendant does not contest that the law required the granting of counsel or the waiver of the right to counsel at the time of his juvenile adjudications. Moreover, defendant conceded the validity of the presentence notations of the adjudications at issue at the original sentencing hearing. Thus, the state has met its initial burden. Defendant has failed to present any evidence that he was denied counsel except his bald assertions. Without more, the presumption of regularity attaches and preserves the validity of adjudications. Hence, I concur with the majority’s holding that defendant’s request for relief must be denied.
See also Murray v Carrier, 477 US 478, 488; 106 S Ct 2639; 91 L Ed 2d 397 (1986) (good cause may be shown by "some objective factor external to the defense [that] impeded . . . efforts to comply with the State’s procedural rules”).
See also In re Eaton, 27 Mich 1 (1873).
Statements to the contrary in People v Johnson, 396 Mich 424, 444; 240 NW2d 729 (1976), are simply unfounded obiter dicta. People v New, 427 Mich 482, 489; 398 NW2d 358 (1986).
Nonjurisdictional defects are waived by a guilty plea. People v Ginther, 390 Mich 436, 440; 212 NW2d 922 (1973).
See, e.g., People v Blume, 443 Mich 476; 505 NW2d 843 (1993) (finding that Michigan courts had no jurisdiction to try a defendant for alleged acts that occurred in Florida because the state failed to allege sufficient mens rea that the detrimental effects of his actions would occur in Michigan); People v Veling, 443 Mich 23; 504 NW2d 456 (1993) (noting that the circuit court has only limited jurisdiction to hear certain offenses committed by juveniles).
See, e.g., In re Van Dyke, 276 Mich 32, 34; 267 NW 778 (1936) (finding, under a writ of habeas corpus, that Michigan had proper jurisdiction to try the defendant although a federal statute also criminalized the defendant’s conduct).
Johnson, supra at 445. Johnson involved whether a guilty plea
In re Allen, 139 Mich 712, 714; 103 NW 209 (1905).
In re Bourne, 300 Mich 398, 401-402; 1 NW2d 439 (1942).
The Court, however, also found that "there has been a theme that failure to appoint counsel for an indigent defendant was a unique constitutional defect. Custis attacks his previous convictions claiming the denial of the effective assistance of counsel, that his guilty plea was not knowing and intelligent, and that he had not been adequately advised of his rights in opting for a 'stipulated facts’ trial. None of these alleged constitutional violations rises to the level of a jurisdictional defect resulting from the failure to appoint counsel at all. Johnson v Zerbst, 304 US 458; 58 S Ct 1019; 82 L Ed 1461 (1938).” Id. The Court also noted that to rule otherwise would undermine "the finality of judgments” as well as be administratively difficult. 114 S Ct 1739.
Whether prior juvenile convictions must have been obtained following advice of counsel to meet the requirements of Burgett is not resolved in the instant case because the issue was not raised on the prosecutor’s application for leave to appeal. MCR 7.302(F). Hence, I assume for the purposes of this appeal that Burgett applies. Nevertheless, the question has in the past divided our Court of Appeals. Compare People v Himmelein, 177 Mich App 365, 381; 442 NW2d 667 (1989) (holding Burgett inapplicable) to People v Leary (On Remand), 198 Mich App 282, 285; 497 NW2d 922 (1993) (holding Burgett applicable). Leary, however, currently binds the Court of Appeals. Administrative Order No. 1990-6, 436 Mich lxxxiv; Administrative Order No. 1993-4, 442 Mich cxiii. But see Nichols v United States, 511 US _; 114 S Ct 1921, 1927; 128 L Ed 2d 745 (1994) (holding that uncounseled misdemeanor convictions that did not result in imprisonment may be utilized to enhance a subsequent sentence).
See MCR 5.925; MCL 712A.18e; MSA 27.3178(598.18e).
In Parke, the defendant pleaded guilty to a robbery charge in a Kentucky state court. He attempted to suppress the evidence of two prior burglary convictions in his persistent felony oifender proceeding. The defendant contended that the prior convictions could not be considered because no trial transcripts existed, thereby prohibiting the state from affirmatively showing that his guilty pleas were knowing and voluntary. Under Kentucky procedures, the state "must prove the existence of the judgment on which it intends to rely. Once this is done, a presumption of regularity attaches, and the burden shifts to the defendant to produce evidence that his rights were infringed or some procedural irregularity occurred in the earlier proceeding.” Id., 113 S Ct 520. Only then does the burden shift back to the state. Id.
Closely examining the Kentucky procedures, the Court affirmed their constitutionality:
*54 Respondent . . . never appealed his earlier convictions. They became final years ago, and he now seeks to revisit the question of their validity in a separate recidivism proceeding. . . .
There is no good reason to suspend the presumption of regularity here. . . . On collateral review, we think it defies logic to presume from the mere unavailability of a transcript (assuming no allegation that the unavailability is due to governmental misconduct) that the defendant was not advised of his rights. [Id., 113 S Ct 523-524. Citations omitted.]
The Court rejected the proposition that the defendant’s difficulty of obtaining evidence justified shifting the burden to the prosecution, and also found that there was "no historical tradition or contemporary practice indicating that Kentucky’s scheme violates due process.” Id., 113 S Ct 525.
See also Parke, supra, 113 S Ct 522-526; United States v Mulloy, 3 F3d 1337, 1339 (CA 9, 1993); United States v Hoffman, 982 F2d 187, 191 (CA 6, 1992); United States v Banks, 964 F2d 687, 693 (CA 7, 1992); United States v Newman, 912 F2d 1119, 1121-1122 (CA 9, 1990).
Defendant notes that the defendant in Parke challenged the propriety of his underlying conviction on the basis of a claim that the state failed to advise him regarding the right to remain silent, the right to a jury trial, and the right to confront one’s accusers as mandated by due process as found in Boykin v Alabama, 395 US 238; 89 S Ct 1709; 23 L Ed 2d 274 (1969). Defendant, therefore, suggests that Parke is inapposite because the underlying alleged constitutional infirmity did not involve a denial of the right to counsel. Nevertheless, the language and rationale of Parke are not so limited. Indeed Parke is written in sweeping language that discusses the propriety of every state’s system of allocating the burden of proof in all cases involving recidivist sentencing and challenges to the validity of prior convictions. Commonwealth v Quinones, 424 Mass 423, 434, n 7; 608 NE2d 724 (1993) ("It is clear now that the burden is on the defendant, in the sentencing enhancement context, to rebut the presumption that prior convictions are valid”). See also Mulloy, n 13 supra at 1339 (noting that "Parke strongly hints that the presumption of regularity upon which it relied . . . applies to the collateral review of any prior conviction”).
Accordingly, federal law and sentencing guidelines place the burden on the defendant collaterally challenging prior 851(c)(2) and Federal Sentencing Guidelines Manual, § 4A1.2, p 308, n 6. In fact, federal law prohibits collateral challenges of prior convictions that occurred more than five years before the date of the information challenging the prior conviction. 21 USC 851(e).
Furthermore, federal law holds that "an uncounseled conviction valid under Scott [v Illinois, 440 US 367; 99 S Ct 1158; 59 L Ed 2d 383 (1979)] may be relied upon to enhance the sentence for a subsequent offense, even though that sentence entails imprisonment.” Nichols, supra, 114 S Ct 1927.
Not unlike the federal constitution, the fundamental law of Michigan guarantees that "[i]n every criminal prosecution, the accused shall have . . . the assistance of counsel for his defense . . . .”
See, e.g., Smith v State, 477 NE2d 857 (Ind, 1985), Disheroon v State, 687 SW2d 332 (Tex Crim App, 1985), In re Kean, 520 A2d 1271 (RI, 1987), and State v Triptow, 770 P2d 146 (Utah, 1989). Cf. People v Harris, 61 NY2d 9; 459 NE2d 170 (1983).
See, e.g., People v Auerbach, 176 Mich 23, 43; 141 NW 869 (1913) (finding that appointment of a special prosecutor was valid despite a silent record showing the need for such a prosecutor because of the presumption of regularity); People v Vester, 309 Mich 409, 412; 15 NW2d 686 (1944) (holding that "[w]e must assume that the trial court made a proper investigation of the nature of the case; and that the plea was freely made with full knowledge of the nature of the accusation and without undue influence as required by 3 Comp Laws 1929, § 17328 [Stat Ann § 28.1058]”); People v Carson, 19 Mich App 1, 7; 172 NW2d 211 (1969) (utilizing the presumption of regularity to find "it is more probable that a trial judge taking a guilty plea in 1934 did not inform an accused person of his right to counsel”); People v Beal, 27 Mich App 78, 82; 183 NW2d 318 (1970) (utilizing the presumption of regularity to find that the court followed "Rule 35A [which] specifically instructs the trial court in such a situation to inform the defendant of his right to appointed counsel”); People v Leon Brown, 35 Mich App 173, 175; 192 NW2d 337 (1971) (holding that "presumption of regularity . . . precludes us from finding that the trial judge considered [incorrectly admitted] hearsay testimony in arriving at his judgment”); People v Purcell, 174 Mich App 126, 129; 435 NW2d 782 (1989) ("We are unaware of any rule requiring a minimum length of time for deliberation by the trial court as trier of fact .... Absent a demonstration to the contrary, we presume that the proceedings were proper and that the trial court discharged its duties in a constitutional manner”).
See also United States v Goodheim, 686 F2d 776, 777 (CA 9, 1982) (" 'When a prior conviction is a number of years old and there is no transcript of the taking of the plea, "evidence of the trial court’s practice is precisely the evidence which the government will have at its disposal” ’ ”). A court may also rely upon " 'the custom and practice of trial attorneys and judges to refute allegations of procedural infirmities.’ ” United States v Brown, 899 F2d 677, 679 (CA 7, 1990). If the custom of the courts involved in the prior convictions, therefore, was either to provide a defendant with counsel or to ensure a valid waiver of the right to representation, and no trial transcript existed, that custom may be relied upon by the court.
Defendant’s final contention that the opinion of the Court of Appeals should not be reversed because it is not clearly erroneous is totally devoid of merit. Issues of law are reviewed by this Court de novo. Cardinal Mooney High School v Michigan High School Athletic Ass’n, 437 Mich 75, 80; 467 NW2d 21 (1991).
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