The two issues presented in this appeal are: (I) whether North
Carolina General Statutes section 20-138.5 (1999), the habitual
impaired driving statute, violates the principles of double
jeopardy under the United States and North Carolina Constitutions;
(II) if North Carolina General Statutes section 20-138.5 isconstitutional, whether it was unconstitutionally applied in this
case. We hold the statute to be constitutional on its face and as
applied.
[1]/A HREF>Defendant argues that the habitual impaired driving
statute is unconstitutional because it violates principles of
double jeopardy. The habitual impaired driving statute provides
that a person commits the offense of habitual impaired driving if
he drives while impaired as defined in G.S. 20-138.1 and has been
convicted of three or more offenses involving impaired driving as
defined in G.S. 20-4.01(24a) within seven years of the date of this
offense. N.C. Gen. Stat. § 20-138.5(a)(1999).
It is well settled that the Double Jeopardy Clause of the
North Carolina and United States Constitutions protect against . .
. multiple punishments for the same offense.
State v. Gardner,
315 N.C. 444, 451, 340 S.E.2d 701, 707 (1986);
See also Brown v.
Ohio, 432 U.S. 161, 165, 53 L. Ed. 2d 187, 193 (1977);
North
Carolina v. Pearce, 395 U.S. 711, 717, 23 L. Ed. 2d 656, 665
(1969),
overruled on other grounds,
Alabama v. Smith, 490 U.S. 794,
104 L. Ed. 2d 865 (1989);
Green v. United States, 355 U.S. 184,
188, 2 L. Ed. 2d 199, 204 (1957).
It is also well settled that recidivist statutes, or repeat-
offender statutes, survive constitutional challenges in regard to
double jeopardy challenges because they increase the severity of
the punishment for the crime being prosecuted; they do not punish
a previous crime a second time.
See e.g, Monge v. California, 524
U.S. 721, 728, 141 L. Ed. 2d 615, 624 (1998)([a]n enhancedsentence imposed on a persistent offender thus 'is not to be viewed
as either a new jeopardy or additional penalty for the earlier
crimes' but as 'a stiffened penalty for the latest crime, which is
considered to be an aggravated offense because a repetitive one.')
(quoting
Gryger v. Burke, 334 U.S. 728, 732, 92 L. Ed. 2d 1683,
1687 (1948));
Nichols v. United States, 511 U.S. 738, 747, 128 L.
Ed. 2d 745, 754 (1994) (the Supreme Court consistently has
sustained repeat-offender laws as penalizing only the last offense
committed by the defendant).
Relying on
State v. Priddy, 115 N.C. App. 547, 445 S.E.2d 610,
disc. review denied, 337 N.C. 805, 449 S.E.2d 751 (1994), defendant
argues that section 20-138.5 violates principles of double
jeopardy, because it is a substantive offense that is capable of
supporting a criminal sentence, not merely a status offense.
Status offenses, such as North Carolina General Statutes section
14-7.1, the habitual felon statute, are not separate criminal
offenses and do not run counter to double jeopardy concerns.
See
e.g, State v. Allen, 292 N.C. 431, 233 S.E.2d 585 (1977);
State v.
Creason, 123 N.C. App. 495, 473 S.E.2d 771 (1996),
affirmed, 346
N.C. 165, 484 S.E.2d 525 (1997).
Defendant asserts that cases consistently draw a distinction
between a substantive and a status offense in assessing double
jeopardy concerns, concluding that a substantive offense implicates
double jeopardy concerns whereas a status offense does not.
Indeed, numerous cases throughout our nation's appellate court
system seem to stand for this proposition.
See e.g, Baker v.Duckworth, 752 F.2d 302, 304 (7
th Cir. 1985),
cert.
denied, 472 U.S.
1019, 87 L. Ed. 2d 618 (1985) (Indiana's habitual offender statute
does not create a separate crime . . . . Thus, an habitual
criminal who receives an enhanced sentence pursuant to an habitual
offender statute does not receive additional punishment for his
previous offenses.);
Sudds v. Maggio, 696 F.2d 415, 417 (5
th Cir.
1983) (Under the Texas habitual offender statute . . . the prior
conviction is used only for enhancement of the sentence, not as an
element of the subsequent crime. This statute does not violate the
prohibition against double jeopardy.);
Davis v. Bennett, 400 F.2d
279, 282 (8
th Cir. 1968),
cert. denied, 395 U.S. 980, 23 L. Ed. 2d
768 (1969) (It has therefore uniformly been held that since
habitual criminal statutes do not constitute separate offenses,
they do not violate double jeopardy as to prior convictions.);
People v. Dunigan, 650 N.E.2d 1026, 1029 (Ill. 1995) (habitual
criminal statutes do not define a new or independent criminal
offense . . . . The Act does not punish a defendant again for his
prior felony convictions, nor are those convictions elements of the
most recent felony offense[.]);
State v. Torrez, 687 P.2d 1292,
1294 (Ariz. Ct. App. 1984) (Statutes authorizing the infliction of
more serious penalties on one who is a persistent offender do not
create a new, separate, distinct, independent or substantive
offense.). In arguing that a substantive/status distinction is
the answer to the issue of the case
sub judice, however, defendant
is oversimplifying the issue.
Habitual impaired driving is a substantive offense
. See Priddy, 115 N.C. App. at 548, 445 S.E.2d at 612.
Priddy holds
that habitual impaired driving is a substantive offense because the
statute:
explicitly provides that '[a] person commits
the offense of habitual impaired driving if. .
. .' and contains two elements which the State
must prove beyond a reasonable doubt: (1) that
the defendant drives while impaired . . . and
(2) that the defendant has been convicted of
three or more offenses involving impaired
driving. . . . By comparison, the habitual
felon statute, which is solely a penalty
enhancement statute, states, in relevant part:
'[a]ny person who has been convicted of or
pled guilty to three felony offenses . . . is
declared to be an habitual felon.' Because
G.S. § 14-7.1 simply defines certain persons
to be habitual felons, who, as such, are
subject to greater punishment for criminal
offenses, our Supreme Court has held that
being an habitual felon is not a crime and
cannot support, standing alone, a criminal
sentence. Rather, being an habitual felon is
a status justifying an increased punishment
for the principal felony. By contrast, the
legislature chose the specific language to
define the crime of habitual impaired driving
as a separate felony offense, capable of
supporting a criminal sentence.
Priddy at 548-49, 445 S.E.2d at 612 (1994) (citation omitted).
In
Priddy, the Court concluded that the legislature must not
have intended to make habitual impaired driving
solely a punishment
enhancement status.
Priddy at 549, 445 S.E.2d at 612 (emphasis
added). We emphasize the word solely because it contextualizes
the mistake defendant makes in arguing that habitual impaired
driving is a substantive offense rather than a status offense.
Statutes criminalizing behavior such as theft and murder, which are
substantive offenses, are subject to double jeopardy analysis. Habitual impaired driving, however, is a substantive offense
and a
punishment enhancement (or recidivist, or repeat-offender) offense.
It is not disputed that the habitual impaired driving statute
is a recidivist statute. Of the aforementioned cases that draw a
distinction between substantive and status offenses, none hold a
recidivist statute unconstitutional for double jeopardy reasons.
Throughout the country, recidivist statutes are routinely upheld
against double jeopardy concerns. The more authentic distinction
to be drawn in assessing double jeopardy concerns is between
recidivist and non-recidivist statutes, not between substantive and
status offenses. While most recidivist statutes are set out in
language that makes them classifiable as status offenses, the
difference between a status offense and the habitual impaired
driving statute, a substantive offense, is merely one of form, not
substance. Prior convictions of driving while impaired are the
elements of the offense of habitual impaired driving, but the
statute does not impose punishment for [these] previous crimes,
[it] imposes an enhanced punishment for the latest offense.
State
v. Smith, 139 N.C. App. 209, 214, 533 S.E.2d 518, 521 (2000).
Relying on
Priddy, this Court in
Smith also held North
Carolina General Statutes section 14-33.2, the habitual misdemeanor
assault statute, to be a substantive offense and not merely a
status.
Id. at 212, 533 S.E.2d at 521. The
Smith Court reasoned
that the habitual misdemeanor assault statute was congruent in form
to the habitual driving while impaired statute such that both were
substantive and not merely status offenses.
Id. at 213, 533S.E.2d at 520. However, in determining whether the habitual
misdemeanor assault statute withstood constitutional scrutiny in
regard to the prohibition against
ex post facto laws, the fact that
the statute was a sentence enhancement statute, not the fact that
it was a substantive offense, was dispositive. The
Smith Court
compared the habitual misdemeanor assault statute to the habitual
felon statute, concluding that because neither statute impose[s]
punishment for previous crimes, but imposes an enhanced punishment
. . . because of the repetitive nature of such behavior, neither
statute violated the prohibition on
ex post facto laws.
Id. at
214-215, 533 S.E.2d at 521. It follows in the case at bar, then,
that the habitual driving while impaired statute does not violate
the prohibition on double jeopardy, because it enhances punishment
for present conduct rather than repunishing for past conduct. We
hold that the habitual impaired driving statute does not punish
prior convictions a second time, but rather punishes the most
recent conviction more severely because of the prior convictions.
We therefore uphold the constitutionality of the habitual impaired
driving statute.
Defendant further argues that because section 20-138.5
encompasses prior driving while impaired convictions as
elements of
the crime of habitual driving while impaired, the statute
unconstitutionally violates the double jeopardy clause. Again,
this argument does not survive a double jeopardy analysis.
Defendant cites a litany of cases that seem to stand for the
proposition that when a criminal offense
in its entirety is anessential element of another offense a defendant may not be
punished for both offenses.
State v. Williams, 295 N.C. 655, 659,
249 S.E.2d 709, 713 (1978)(emphasis added). The United States
Supreme Court, however, distinguishes
prior convictions as elements
of a crime from other elements of a crime, holding that
[o]ther
than the fact of a prior conviction, any fact that increases the
penalty for a crime beyond the prescribed statutory maximum must be
submitted to the jury, and proved beyond a reasonable doubt.
Apprendi v. New Jersey, 530 U.S. 466, 490, 147 L. Ed. 2d 435, 455
(2000)(emphasis added).
Apprendi is in line with our conclusion
in the case
sub judice, that whether a statute survives a double
jeopardy constitutional analysis does not depend on whether the
statute is called substantive or status, or whether the statute is
comprised of elements or sentencing factors, but what the statute
accomplishes in reality. The point that [l]abels do not afford an
acceptable answer . . . applies as well . . . to the
constitutionally novel and elusive distinction between 'elements'
and 'sentencing factors.'
Apprendi at 494, 147 L. Ed. 2d at 457
(citation omitted) (alteration in original). Despite what appears
to us the clear 'elemental' nature of the factor here, the relevant
inquiry is one not of form, but of effect[.]
Id. The effect of
section 20-138.5 is that a defendant is punished more severely for
a recent crime based on having committed previous crimes.
Consequently, section 20-138.5 does not violate the United States
and North Carolina Constitutions.
[2]Defendant's other argument on appea
l is that section 20-
138.5 is unconstitutional as applied to defendant in the case at
bar. This argument is without merit. Two of defendant's
misdemeanor driving while impaired convictions that were used in
defendant's first habitual impaired driving conviction were used
again in defendant's second habitual impaired driving conviction.
Defendant argues that this placed him twice in jeopardy for the
same crime. We have already decided that the habitual impaired
driving statute is not unconstitutional on its face because it is
a recidivist statute that punishes the most recent offense more
severely. Rather than being punished three times for each of the
two misdemeanor driving while impaired convictions, as defendant
argues, defendant was punished only one time for his most recent
offense, though more severely.
Based on the foregoing, we conclude that defendant received a
fair trial, free from prejudicial error.
No error.
Judge JOHN concurs.
Judge GREENE dissents.
=================================
GREENE, Judge, dissenting.
Because I believe prosecution for habitual impaired driving
violates the prohibition against double jeopardy, I respectfully
dissent.
If a criminal offense in its entirety is an essential element
of another offense[,] a defendant may not be punished for both
offenses, as punishment for both offenses violates the prohibitionagainst double jeopardy.
State v. Williams, 295 N.C. 655, 6
59, 249
S.E.2d 709, 713 (1978). Because habitual impaired driving is a
substantive offense, not a status,
State v. Priddy, 115 N.C. App.
547, 550, 445 S.E.2d 610, 612,
disc. review denied, 337 N.C. 805,
449 S.E.2d 751 (1994), and because convictions for three or more
offenses involving impaired driving are necessary elements of the
habitual impaired driving offense, N.C.G.S. § 20-138.5(a) (1999),
the defense of double jeopardy bars the prosecution for habitual
impaired driving,
see State v. Freeland, 316 N.C. 13, 21, 340
S.E.2d 35, 39 (1986) (double jeopardy barred prosecution of
defendant for both first-degree kidnapping and underlying sexual
offense);
State v. Cherry, 298 N.C. 86, 113, 257 S.E.2d 551, 567
(1979) (defendant convicted of first-degree murder under the
felony-murder rule cannot also be convicted of the underlying
felony),
cert. denied, 446 U.S. 941, 64 L. Ed. 2d 796 (1980).