Opinion ID: 2037940
Heading Depth: 1
Heading Rank: 4

Heading: whether the trial court erred in allowing use of an invalid, prior dui conviction to sustain jacobson's conviction for third offense dui?

Text: Jacobson argues that a facially invalid, prior DUI conviction was used to sustain his conviction for third offense DUI. He bases his argument on the contention that the record of his DUI conviction of July 30, 1987, fails to reflect that the plea-taking court established a factual basis for acceptance of the guilty plea on which the conviction was based. We find this argument resolved by our holding in Gregory v. State, 325 N.W.2d 297 (S.D.1982). In Gregory, a habeas corpus petitioner appealed the denial of his petition for post-conviction relief on the grounds that no factual basis for the guilty plea on which the conviction was based had been established on the record. We held: [ Spirit Track v. State, 272 N.W.2d 803 (S.D.1978) ] makes it clear that the factual basis required by SDCL 23A-7-2 and SDCL 23A-7-14 must be established on the record. This can be done by questioning the defendant or by admitting transcripts of testimony, oral testimony, other sworn statements, or tangible evidence. Here the plea-taking judge did not formally make the joint preliminary hearing transcript part of the record, however it was then part of the case file of which the court had judicial notice as fully as though introduced in evidence. A fair reading of the plea-taking court's comments indicates the preliminary hearing transcript was noticed for the factual basis, which it clearly and fully established. In State v. VanEgdom, 292 N.W.2d 586 (S.D.1980), we said that where the court had substantially complied with SDCL ch. 23A-7 no prejudicial error would be found. We accordingly conclude that, in respect to the factual basis, the court substantially complied with SDCL ch. 23A-7. Gregory, 325 N.W.2d at 298-99 (citations and footnotes omitted) (emphasis added). Here, State made a prima facie showing as to the validity of Jacobson's 1987 DUI conviction by submitting a record of the conviction establishing that Jacobson entered his guilty plea personally, in open court, with the assistance of counsel and after having been fully advised of all his constitutional rights. The record also contains a preliminary hearing transcript outlining more than sufficient facts to establish the existence of a factual basis for Jacobson's plea. It is true that there is nothing in the record of the conviction showing that the plea-taking judge formally made the preliminary hearing transcript part of the record of the conviction. However, Gregory requires rejection of any contention that the preliminary hearing transcript was not part of the case file of which the plea-taking court had judicial notice. Although, in contrast with Gregory, there is nothing in the record showing that the plea-taking court formally noticed the preliminary hearing transcript as establishing the factual basis, the record does reflect that the plea-taking judge himself had conducted the preliminary hearing and, therefore, had knowledge of the underlying facts. See, Willbright v. Smith, 745 F.2d 779 (2d Cir.1984) (factual basis inquiry not mandated in order to sustain guilty plea where plea was entered voluntarily, in open court, with the assistance of counsel, and judge who accepted plea had himself conducted co-defendants' trials and, thus, had knowledge of the underlying facts). See also Paulson v. Black, 728 F.2d 1164 (8th Cir.1984) (factual basis supported by plea-taking court's access to preliminary hearing transcript). Jacobson relies on Carreon v. United States, 578 F.2d 176 (7th Cir.1978), to support his argument on the invalidity of his 1987 conviction. In Carreon, the defendant, who could not speak English, attempted to enter a guilty plea before a judge who rejected the plea because of the existence of a possible entrapment defense. The next day, the defendant was permitted to enter his guilty plea before a different judge who failed to conduct a factual basis inquiry. Under these circumstances, the Seventh Circuit allowed the defendant's subsequent collateral attack on the validity of the conviction determining that the failure to conduct a factual basis inquiry constituted a `fundamental defect which inherently results in a complete miscarriage of justice.' Id., 578 F.2d at 179 (citation omitted). The Seventh Circuit has subsequently interpreted Carreon to mean that in a collateral attack a conviction will be vacated for a Rule 11 violation only if it amounts to `a fundamental defect which inherently results in a complete miscarriage of justice.' United States v. Fels, 599 F.2d 142, 149 n. 5 (7th Cir.1979) (quoting, Carreon, supra ). This is consistent with the Eighth Circuit Court of Appeals' view that [e]stablishment of a factual basis may be constitutionally required when the guilty plea is accompanied by claims of innocence. Wabasha v. Solem, 694 F.2d 155, 157 (8th Cir.1982) (emphasis added). In this instance, none of the offending circumstances of the sort outlined in Carreon or Wabasha appear in the record of Jacobson's 1987 DUI conviction. There is no indication of any misunderstanding by Jacobson in entry of the plea nor is there any indication that Jacobson's plea was accompanied with claims of innocence. Even more telling is the fact that Jacobson has raised no contention of any misunderstanding in his entry of the 1987 plea. Therefore, we hold that the lack of a factual basis inquiry in the record of the 1987 conviction does not rise to the level of a miscarriage of justice allowing this collateral attack on the validity of the conviction. Remanded with instructions. MILLER, C. J., and AMUNDSON, J., concur. WUEST, J., concurring in result. HENDERSON, J., specially concurring in part and dissenting in part.