Tate v. State
Tate v. State
Opinion
I.
The dispositive question before us in this case is whether, under the totality of the circumstances, Petitioner Brian Arthur Tate knowingly and voluntarily pleaded guilty to first-degree
murder. After failing to seek leave to appeal his conviction following his guilty plea and failing to obtain requested postconviction relief, Mr. Tate requested that his postconviction matter be reopened pursuant to Section 7-104 of the Criminal Procedure Article of the Maryland Code (2001, 2008 Repl. Vol.) (" Crim. Proc. § 7-104"). Mr. Tate alleged that this Court's decision in
State v. Daughtry
,
This Court granted certiorari and now affirms the judgment of the Court of Special Appeals. The record of the plea hearing alone demonstrates that Mr. Tate entered his guilty plea knowingly and voluntarily. Additionally, the postconviction hearing judge reopened the proceedings and vacated the guilty plea based on this Court's opinion in Daughtry . Procedural distinctions preclude Daughtry's application to the present case. Believing that Daughtry had changed the law and, thus, it was in the interests of justice to reopen Mr. Tate's postconviction proceedings and set aside his guilty plea, the postconviction hearing judge erred and abused his discretion.
II.
Brian Arthur Tate pleaded guilty to first-degree murder based on the following statement of facts. On February 24, 1992, Mr. Tate engaged in an altercation with the victim on or near Summit Drive in Annapolis, Maryland. Eventually, Mr. Tate dragged the victim's body behind a nearby shed. Then Mr. Tate left the scene. An autopsy conducted by the State's medical examiner revealed that the victim had endured 24 stab wounds and slashes to multiple parts of his body, including the back, lungs, liver, neck, arms, and hands. Additionally, the victim suffered blunt force trauma to the head which caused various bone fractures. The police recovered a broken knife, the suspected murder weapon, at the scene of the crime.
As a result of investigation, Anne Arundel County Police learned from various witnesses that Mr. Tate had threatened the victim several times prior to the altercation because the victim had begun to date Mr. Tate's former girlfriend. One such threat included that Mr. Tate planned to dress in dark clothing to catch the victim by surprise, stab him, cut his throat, and after the victim died, Mr. Tate would continue to physically assault the victim. Another such threat indicated that Mr. Tate had been sharpening his knife in preparation for the assault. Witnesses also admitted to seeing a knife and sharpening stone in Mr. Tate's bedroom prior to the homicide as well as seeing Mr. Tate with brass knuckles on the day of the homicide. After the police conducted a search of Mr. Tate's home, they recovered a blood-stained black ski jacket. A DNA test established that the victim's DNA was on the jacket. Lastly, as a result of the search, police uncovered brass knuckles and the victim's wallet in Mr. Tate's home.
Plea Hearing and Sentencing
On March 16, 1992, a grand jury in the Circuit Court for Anne Arundel County indicted Brian Arthur Tate in case number K-92-862 for: first-degree murder, armed robbery, attempted armed robbery, robbery, assault with intent to commit robbery, and theft. In an unrelated case, case number K-92-863, Mr. Tate was charged with several counts of attempted murder, arson, burning the personal property of another, and reckless endangerment. Mr. Tate pleaded guilty to first-degree murder on November 2, 1992 in exchange for the State entering a nolle prosequi ("nol pros") to the remaining charges contained in indictment number K-92-862, as well as charges in indictment number K-92-863. The State agreed to withdraw its request for a sentence of life without the possibility of parole. The State also agreed not to oppose Mr. Tate's request for admission to the Patuxent Institution. The State and the defendant expressed, in general terms, that they agreed to the conditions, including Mr. Tate pleading guilty to first-degree murder that occurred in the way expressed in a detailed statement of facts. Thereafter, the Honorable Raymond G. Thieme, the plea hearing judge, directly addressed the voluntariness of Mr. Tate's decision to plead guilty:
THE COURT: Ha[ve your attorneys] gone over [t]his letter of October 30, 1992[,] with you?
MR. TATE: Yes, [they have].
THE COURT: Ha[ve they] read to you, or have you read the statement of facts that are attached thereto? 1
MR. TATE: Yes, I have.
THE COURT: Ha[ve they] told you the consequences of coming in here pleading guilty?
MR. TATE: Yes, [they have], Your Honor.
THE COURT: Told you what rights you are giving up?
MR. TATE: Yes, [they have].
THE COURT: Do you understand the maximum penalty could be up to life?
MR. TATE: Yes, I do.
THE COURT: Now, other than what has been set forth in this letter, have there been any other inducements or promises of any type to get you to come in here and plead guilty?
MR. TATE: Not that I am aware of, Your Honor.
THE COURT: Has anyone threatened you?
MR. TATE: No one.
THE COURT: Are you under the influence of any alcohol, drugs, narcotics, or other pills?
MR. TATE: No, I'm not.
Notably, Judge Thieme inquired into Mr. Tate's educational level, his mental health status, and his prior criminal record:
THE COURT: How far did you go in school?
MR. TATE: Halfway through my junior year, Your Honor.
THE COURT: Now, other than this case, where I know you have been examined by various mental health individuals, before this case have you ever been under the care of a psychiatrist or in a mental institution?
MR. TATE: Yes, I have.
THE COURT: How long ago?
[MR. TATE'S ATTORNEY]: Your Honor, if it pleases the Court, some months before the incident in question, Brian, after a series of difficulties at home and school, was presented by his parents in the offices of a Dr. Steven Lasht, who I believe is a licensed social worker, perhaps [a] psychologist, for some counseling sessions.
I have seen some statements, very brief statements, coming out of those interviews, and it does not appear that there was anything suggested in that counseling that would indicate that Mr. Tate, Brian Tate, did not understand the nature of the proceedings before the Court today.
THE COURT: Mr. Tate, is that correct?
MR. TATE: Yes, it is, Your Honor.
THE COURT: Are you now on parole or probation for anything?
MR. TATE: No, I am not.
Then Judge Thieme assessed Mr. Tate's understanding of his decision to plead guilty to first-degree murder:
THE COURT: Were you given a copy of the charges?
MR. TATE: Yes, I have.
THE COURT: Have you read it and discussed it with your attorney[s]?
MR. TATE: Yes, I have.
THE COURT: Do you understand what you are charged with?
MR. TATE: Yes, I do.
THE COURT: Do you understand what you are pleading guilty to?
MR. TATE: Yes, I do.
THE COURT: Now, I am telling you, these charges aren't evidence. They are only accusations. You have a right to plead not guilty. If you plead not guilty[,] [ ] you could be found [not] guilty, the charges have to be proved by evidence, which convinces a jury, or a [c]ourt, if you want, that you are guilty to the exclusion of a reasonable doubt, and to a moral certainty. Do you understand that?
MR. TATE: Yes, I do.
A part of Judge Thieme's assessment included questions regarding Mr. Tate's belief in the competence of his defense attorneys as well as their advice:
THE COURT: Did you tell your attorneys all the facts about this case?
MR. TATE: Excuse me, Your Honor.
THE COURT: Did you tell your attorneys all the facts about this case as best you know them[?]
MR. TATE: Yes[,] I have.
THE COURT: Did they tell you what you can do in court?
MR. TATE: Yes.
THE COURT: Is there anything you wanted them to do that they haven't done?
MR. TATE: No, there isn't. They've done everything they can.
THE COURT: Are you satisfied with the services of your attorneys?
MR. TATE: Yes, I am.
THE COURT: Do you believe they are competent?
MR. TATE: Yes, I do.
Notwithstanding Mr. Tate affirming that his attorneys explained to him the consequences of a guilty plea, Judge Thieme also explained the ramifications to Mr. Tate on the record:
THE COURT: I am telling you, even though in fact you may be guilty of this offense to which you are pleading guilty, you have a right to plead not guilty. You are entitled to a speedy public trial by either a jury or Court, whichever you want, and you have a right to have your attorney with you throughout your trial. Do you understand you are giving up those right[s]?
MR. TATE: Yes, I do.
THE COURT: Do you understand you are giving up your right to a trial by jury?
MR. TATE: Yes, I do.
THE COURT: Now, I am telling you, a jury consists of 12 people selected at random from this county, each of them at least 18 years of age. To find you guilty[,] all 12 have to say you are guilty upon evidence that satisfies them of your guilt to the exclusion of a reasonable doubt, to a moral certainty. Do you understand that?
MR. TATE: Yes, I do.
THE COURT: Do you understand you are giving up that right?
MR. TATE: Yes, I do.
THE COURT: Have you discussed that right with your counsel[ors]?
MR. TATE: Yes, I have.
THE COURT: I am telling you, when you plead guilty, you are giving up your right to see, hear and question the State's witnesses. You are giving up your right to call witnesses or present any evidence [o]n your behalf. Do you understand that?
MR. TATE: Yes, I do.
THE COURT: And you are giving up your right to remain silent.
MR. TATE: Yes, I do.
THE COURT: I am telling you, you are presumed innocent, and this presumption continues throughout your trial until overcome by proper evidence proving you are guilty to the exclusion of a reasonable doubt. Do you understand you are giving up the benefits of what I just said?
MR. TATE: Yes, I do.
THE COURT: Are you pleading guilty of your own free will?
MR. TATE: Yes, I am.
THE COURT: Are you pleading guilty because you are guilty?
MR. TATE: - 2
THE COURT: I am telling you, when you plead guilty you are giving up your right to complain about any defects, mistakes, errors or irregularities in the State's case, and these in part go to the motions that your attorneys have filed on your behalf. And amongst other things, these motions go to the question of any invalid search and seizure, and invalid warrant, and any invalid arrest. Do you understand that?
MR. TATE: Yes, I do.
THE COURT: Do you understand you are giving up your right to proceed further with those motions?
MR. TATE: Yes.
Finally, Judge Thieme discussed ancillary ramifications of Mr. Tate's plea:
THE COURT: Have you made any statements to the police or any public official? If[ ] for any reason you feel that they weren't freely or voluntarily made, you are entitled to a separate hearing, either before your trial or during your trial to have me decide[ ] whether they were freely and voluntarily made, they can't be used against you. Do you understand you are giving up your [right] to proceed further with this?
MR. TATE: Yes, I do.
THE COURT: If I accept your guilty plea, you lose your automatic right to appeal. If I sentence you, you have 30 days to ask the [h]igher [c]ourt to let you appeal. If they let you appeal, the only points you could raise would be the jurisdiction of this [c]ourt and the validity of the sentence, the voluntariness of this plea, and the competence of your attorney.
All that means is if the State proves the crime occurred in Anne Arundel County, and you challenge my right to try you on appeal, you would lose. Do you understand?
MR. TATE: Yes, I do.
THE COURT: Do you understand that if the record shows that you are [ ] intelligently, voluntarily, and knowingly pleading guilty, and you challenged your guilty plea on appeal, you would lose. Do you understand?
MR. TATE: Yes.
THE COURT: If I give you any sentence within the limits prescribed by law, and you challenge that on appeal, you would lose.
And lastly, if you claimed that your attorneys didn't represent you properly, unless you could prove that on appeal, you would lose.
MR. TATE: I understand, Your Honor.
THE COURT: Is there anything about what I have questioned you [that] you don't understand?
MR. TATE: None, Your Honor.
THE COURT: Do you want to ask me any questions?
MR. TATE: No, Your Honor.
THE COURT: You still want to go ahead with this.
MR. TATE: Yes, I do.
THE COURT: The Court is satisfied.
After Judge Thieme expressed his satisfaction with the defendant's response to the questions posed, one of Mr. Tate's attorneys followed with additional questions regarding the context of Mr. Tate's knowledge and voluntariness with regard to the guilty plea:
[MR. TATE'S ATTORNEY]: Mr. Tate, you are under 18, is that correct?
MR. TATE: Yes, sir.
[MR. TATE'S ATTORNEY]: And when we began to discuss the possibility of this plea, and once it reached the form that you have heard given to the Court, [co-counsel] and I have met with you in [the] Anne Arundel County Detention Center in the company of both of your parents, is that correct?
MR. TATE: Yes, sir, it is.
[MR. TATE'S ATTORNEY]: And that was in person, and not through windows, and we discussed for over an hour this plea negotiation, is that correct?
MR. TATE: Yes.
[MR. TATE'S ATTORNEY]: And [co-counsel] and I refrained from making any recommendation at that time, did we not?
MR. TATE: Yes, sir.
[MR. TATE'S ATTORNEY]: And did you have an opportunity to discuss this fully with your parents as well?
MR. TATE: Yes, I have.
[MR. TATE'S ATTORNEY]: Now, also to ensure that this is your decision and not your parents' decision, I followed up and saw you very early the next morning, is that correct?
MR. TATE: Yes, it is.
[MR. TATE'S ATTORNEY]: And you indicated to me at that time that that was also your decision as well, is that correct?
MR. TATE: Yes, I have.
[MR. TATE'S ATTORNEY]: And you discussed this further with other relatives and an attorney in New York as well, is that correct?
MR. TATE: Yes.
[MR. TATE'S ATTORNEY]: Okay. Now, one thing I want to make absolutely clear and the Judge did tell you about this, but you remember that hearing we had in here for a number of days where we very heatedly argued against the finding of the wallet in your bedroom?
MR. TATE: Yes.
[MR. TATE'S ATTORNEY]: Do you understand you are giving up your right to appeal [the judge's] decision that that should be admitted into evidence in the proceeding in this matter. In other words, once everything is said and done here, and at your sentencing, you can't come back afterwards and say, "Hey, I want to appeal the issue of whether that wallet should have been entered into evidence." Do you understand that?
MR. TATE: -
[Mr. Tate's Counsel]: Do you have anything you would like to ask of myself or [co-counsel] at this time?
MR. TATE: -
THE COURT: You still want to go ahead?
MR. TATE: Yes, I do, Your Honor.
At the conclusion of defense counsel's questioning, Judge Thieme again expressed his satisfaction with the response. The statement of facts was read into the record, and the State proffered to Judge Thieme that it had multiple witnesses to testify to the veracity of the statement. After hearing no objection from Mr. Tate's attorneys, Judge Thieme found Mr. Tate guilty of first-degree murder, and the case was set in for sentencing.
Mr. Tate was sentenced on January 18, 1993. The State called two witnesses who were members of the victim's family. Mr. Tate called two licensed psychiatrists to support his request to receive psychological treatment at the Patuxent Institution. Ultimately, Judge Thieme sentenced Mr. Tate to life in prison with the possibility of parole and recommended Mr. Tate for treatment at Patuxent.
Request for Postconviction Relief
Mr. Tate filed a Petition for Postconviction Relief in September 2005, at which time the Circuit Court for Anne Arundel County took no action. Mr. Tate filed an Amended Petition for Postconviction Relief in January 2006. In his Amended Petition, Mr. Tate, in part, argued that he did not fully understand his guilty plea, including the nature of the charges and possible defenses as well as that there was no discussion on the record regarding his intent, the differences between premeditated and felony murder, and that there was no factual finding that he knowingly and voluntarily entered the plea, all of which rendered his guilty plea a nullity. For reasons not entirely clear from the record, the case was transferred to the Circuit Court for Howard County in July 2006. In February 2007, the Circuit Court for Howard County stayed proceedings with regard to the Amended Petition for Postconviction Relief to permit Mr. Tate to file a belated application for leave to appeal his conviction, which the Court of Special Appeals denied in May 2009.
The Circuit Court for Howard County resumed proceedings in the postconviction case and held a hearing in September of 2009. Mr. Tate raised two different allegations of error in his request for postconviction relief: that his guilty plea was invalid, and that his trial counsel was ineffective. 3 The postconviction hearing judge weighed the "very thorough colloquy" as well as evidence that was not before the plea hearing judge 4 and concluded that Mr. Tate's guilty plea was valid and that he did not receive ineffective assistance of counsel with regard to the guilty plea. The postconviction hearing judge found that "there was [an] abundan[ce of] objective evidence of premeditation presented" and that the facts read into the record "crystallized the basic elements or components of premeditated [f]irst-[d]egree [m]urder." Additionally, the postconviction hearing judge found, based upon testimony from one of Mr. Tate's attorneys, 5 that the attorneys discussed the plea bargain comprehensively and, as a part of that conversation, the attorneys would have discussed with Mr. Tate the facts as well as "the nature of the plea."
The postconviction hearing judge determined that Mr. Tate failed to prove he was entitled to postconviction relief on each of his additional claims as well, apart from his claim of ineffective assistance of counsel based on his request for a three-judge panel. Because Mr. Tate testified both that he requested his counsel to file for review by a three-judge panel and that his attorneys ignored his request, with no testimony to the contrary, 6 the hearing judge granted Mr. Tate the right to file a belated application for review by a three-judge panel.
Mr. Tate filed his Application for Review of Sentence in June 2010 and the Circuit Court for Howard County granted his request for review by a three-judge panel. At that time, Mr. Tate also filed an Application for Leave to Appeal the postconviction hearing judge's denial of the requested relief. The three-judge panel reviewed Mr. Tate's sentence in November 2010 and determined that Mr. Tate's sentence should remain unchanged, which Mr. Tate appealed and which the Circuit Court consolidated with his then pending application for leave to appeal.
Request to Reopen Postconviction Proceedings
In September 2011, Mr. Tate filed a motion entitled, "Motion to Reopen Postconviction Case" in which he argued that the recently decided case,
State v. Daughtry
,
The postconviction hearing judge granted the requested relief by vacating the judgment entered pursuant to the plea agreement. He reasoned that " Daughtry's on-the-plea record hearing requirements, when read closely and applied, using the 'totality of the circumstances [analysis],' to the unique facts of this case, require the plea and the bargain supporting it to be set aside." The basis of his decision was that Daughtry required Mr. Tate to receive an explanation at the plea hearing of the complexity of first-degree murder. Specifically, the hearing judge noted in his written discussion of his basis for ruling to vacate the guilty plea that
neither the plea judge [n]or trial counsel ever explained the nature or the elements of the offense of premeditated first-degree murder and its complexities in express terms at the plea hearing. No expressed differentiation of the specific intent to commit that crime of aggravated murder, either in technical legal or layman's terms was placed on the record at the plea hearing . No expressed differentiation of premeditated first-degree murder versus first-degree felony murder, which he could have been found guilty of, given the simple form of the first-degree murder count under which he was charged and the robbery count in the indictment, was placed on the record. Nor was there an expressed differentiation of the other degrees of murder, i.e. , second degree, explained or set out on the record at the plea hearing , nor were the words "feloniously, willful, deliberate, premeditated, malice of forethought[,]" [ ] the formal legal description of first-degree murder as charged in his indictment pursuant to former Article 27, § 407 of the Annotated Code of Maryland, the statute under which he was charged, ever uttered at the plea hearing.
The postconviction hearing judge expressed his concern that Judge Thieme "never made a finding that Mr. Tate knowingly, freely and voluntarily entered the plea." The hearing judge distilled from Daughtry that "the record of the plea hearing must contain some evidence that proves the defendant possessed the necessary knowledge of the crime's elements[,]" and that it was "no longer sufficient to presume that a defendant understands such things merely because he is represented by counsel." The hearing judge found that "[i]n the present case, this [c]ourt now finds the plea record lacks any expressed exposition of the nature or elements of the crime, premeditated first[-]degree murder, to which [Mr. Tate] pled guilty as required by Daughtry , other recent guilty plea appellate rulings cited herein, and Rule 4-242." Therefore, the hearing judge set aside Mr. Tate's guilty plea and remanded the case to the Circuit Court for Anne Arundel County for a new trial.
The State filed an application for leave to appeal the postconviction relief granted and requested a stay of further proceedings in October 2014. The Circuit Court for Anne Arundel County granted the State's motion to stay pending the outcome of the application for leave to appeal.
The Court of Special Appeals heard the State's appeal. In an unpublished opinion, the intermediate appellate court first denied Mr. Tate's motion to dismiss and held that the State properly filed for leave to appeal.
See
State v. Tate
, No. 2823, Sept. Term, 2014,
Mr. Tate petitioned this Court for
certiorari
, which we granted.
Tate v. State
,
Was Brian Tate's guilty plea record sufficient to conclude he understood the nature and elements of first-degree murder, despite the fact that he was a minor with diminished mental capacity and no one addressed the nature and elements of the crime on the record?
We answer in the affirmative that the guilty plea record was sufficient for Judge Thieme to conclude that Mr. Tate understood the nature and elements of first-degree murder. Upon our review of the jurisprudence of this Court with regard to the validity of guilty pleas and the totality of the circumstances, we conclude that nothing about the Daughtry case changed the determination initially made by Judge Thieme and then later affirmed at the postconviction hearing. The hearing judge misinterpreted our opinion in Daughtry and abused his discretion when he used the case as the basis for reopening Mr. Tate's postconviction proceedings.
III.
Our primary task is to determine whether Mr. Tate's guilty plea was valid. This case also raises further questions of whether the Daughtry opinion applies to the facts of Mr. Tate's postconviction case as well as whether Mr. Tate's postconviction case should have been reopened at all. Mr. Tate contends that, at his plea hearing, neither Judge Thieme nor Mr. Tate's counsel explained sufficiently on the record the nature or elements of premeditated first-degree murder. According to Mr. Tate, that deficiency alone would merit, under Daughtry , vacating the guilty plea. Mr. Tate maintains that, when coupled with his age and his mental status, the totality of the circumstances would demonstrate that the inquiry on the record was insufficient. Mr. Tate urges this Court to reconsider our guilty plea jurisprudence with an understanding that the United States Supreme Court, as well as other courts, have created distinct criminal procedures for juveniles due to certain scientific evidence that has shown juveniles face disadvantages in criminal proceedings. Finally, Mr. Tate argues that the Court of Special Appeals should not have disturbed the findings made by the postconviction hearing judge without concluding that the findings were clearly erroneous.
To the contrary, the State argues that Daughtry did not alter the legal landscape for what constitutes a defective guilty plea. In terms of where Mr. Tate's plea fits on the spectrum of guilty plea cases, the State contends that this case is more similar to Priet than Daughtry . Additionally, the State does not contest that Mr. Tate's youth and mental status are factors that a hearing judge should consider, but rather the State does contest Mr. Tate's characterization that those factors were not considered in this case based on the record.
We first turn to whether the postconviction hearing judge's conclusion to set aside Mr. Tate's guilty plea was
correct. When an appellate court reviews the application of the law to the facts of a case, a trial court receives no deference.
Daughtry
,
The provision that sets forth the requirements for the court's acceptance of guilty pleas is found in Maryland Rule 4-242(c). Md. Rule 4-242(c) states:
The court may not accept a plea of guilty, including a conditional plea of guilty, until after an examination of the defendant on the record in open court conducted by the court, the State's Attorney, the attorney for the defendant, or any combination thereof, the court determines and announces on the record that (1) the defendant is pleading voluntarily, with understanding of the nature of the charge and the consequences of the plea; and (2) there is a factual basis for the plea. In addition, before accepting the plea, the court shall comply with section (f) of this Rule. The court may accept the plea of guilty even though the defendant does not admit guilt. Upon refusal to accept a plea of guilty, the court shall enter a plea of not guilty.
A court assesses the knowing and voluntary nature of a guilty plea under the totality of the circumstances, as reflected by the record.
State v. Priet
,
Mr. Tate knowingly and voluntarily pleaded guilty to first-degree murder considering the totality of the circumstances. The postconviction hearing judge determined as much in 2010 when he denied relief to Mr. Tate. Nothing in the law changed between 2010 and 2014 to warrant further postconviction relief in Mr. Tate's case.
The record of the guilty plea hearing confirms that Mr. Tate knowingly and voluntarily pleaded guilty to first-degree murder. The State announced that Mr. Tate would plead guilty to first-degree murder as a necessary condition of the bargain, and the State would, in turn, nol pros the other charges. Mr. Tate discussed those terms, as well as the facts read into the record regarding the crime, with his counsel. Mr. Tate, when asked by Judge Thieme, said that he had read and discussed his charges with his attorneys. Mr. Tate confirmed for the court that he understood the charges to which he was pleading guilty. Mr. Tate also affirmed that he told his attorneys the facts of the case and that he believed that they had "done everything they c[ould]" under the circumstances.
Judge Thieme carefully reviewed the rights Mr. Tate waived as a result of his decision to plead guilty. Mr. Tate confirmed that he understood he was giving up his right to a jury or court trial, and that his right to trial had been discussed with his attorneys. He stated that he understood he was giving up his right to present evidence and call witnesses, the presumption of innocence, his right to raise Fourth Amendment defects with regard to his search and seizure, his right to possible Miranda violations based on the possible involuntariness of statements made to police, and his automatic right to appeal. In addition, he affirmed his understanding that if "the record shows that [he was] intelligently, voluntarily,
and knowingly pleading guilty, and [he] challenged [his] guilty plea on appeal, [he] would lose." Judge Thieme took care to ask if Mr. Tate had any questions or failed to understand any aspect of the proceeding, and Mr. Tate affirmed that he wanted to go forward with the guilty plea.
Judge Thieme had, on the record before him, sufficient facts to fairly conclude that Mr. Tate understood that he was charged with the premeditated and deliberate killing of the victim with malice. The facts on the record showed that Mr. Tate planned and rehearsed the murder. He stabbed and slashed the victim twenty-four times across the victim's body, broke parts of the victim's face, and hid the body. The police recovered the body where Mr. Tate hid it. Multiple witnesses corroborated the motive for the crime as well as the pre-meditation:
that Mr. Tate planned to kill the victim, that he planned to ambush the victim at night in the dark, that he planned to use a knife, that he planned to continue to assault the victim after the victim died, and that Mr. Tate in fact had a knife, a sharpening tool, and brass knuckles prior to the murder. The victim's DNA was found on Mr. Tate's jacket, and brass knuckles as well as the victim's wallet were found in Mr. Tate's home. Without leaving room for interpretation, the detailed statement of facts captures the essence of first-degree murder.
Mr. Tate now contends that his youth at the time of the plea, the complexity of first-degree murder, and the lack of information on the record regarding the nature of the charges require this Court to determine that his guilty plea was defective. We agree that Mr. Tate's youth, the complexity of the charges, and the extent of the plea colloquy are relevant considerations for a hearing judge.
See
Priet
,
psychologist, but nothing that materialized from those sessions should have led Judge Thieme to find that Mr. Tate did not understand the nature of the proceedings. Judge Thieme asked Mr. Tate to confirm the accuracy of his attorney's representations to the court, which Mr. Tate did.
After Judge Thieme expressed his satisfaction with Mr. Tate's responses to the questions raised, Mr. Tate's attorney chose to ask additional questions related to Mr. Tate's age. Mr. Tate confirmed that he was under the age of eighteen. Mr. Tate's attorney delved into a meeting at the Anne Arundel County Detention Center where Mr. Tate and his counselors had discussed the plea negotiations for over an hour, which Mr. Tate agreed was accurate. Mr. Tate then agreed with his attorney's representation that he had the opportunity to discuss the plea bargain with his parents. Mr. Tate agreed with his counsel that the decision to proceed was his own decision. Mr. Tate also confirmed that he had spoken with other members of his family as well as another attorney about his plea bargain. After Mr. Tate's attorney finished questioning Mr. Tate, Judge Thieme again expressed his satisfaction with the responses. Based on the totality of the circumstances, Mr. Tate entered his guilty plea knowingly and voluntarily.
Mr. Tate next contends that when reviewing courts assess the knowing and voluntary nature of adolescent guilty pleas, they must consider the age of the defendant as well as "related characteristics" to determine if the defendant knowingly and voluntarily entered a guilty plea. Mr. Tate directs us to consider various cases from the United States Supreme Court, which treat juveniles differently than adults with regard to life sentences, as well as cases from Maryland which treat juveniles differently than adults with regard to Miranda violations. Mr. Tate fails to direct this Court, however, to any case in our jurisprudence, or elsewhere, which treats juvenile guilty pleas differently from adult guilty pleas. As this Court has previously held, a hearing judge should consider age and related characteristics such as educational level.
Priet
,
Mr. Tate also contends that the complexity of first-degree murder required a greater showing than what was present on
the record for the court to accept Mr. Tate's guilty plea as knowing and voluntary. Relying on
Daughtry
, Mr. Tate asks that we adopt a standard for crimes that are not easily understood that requires some degree of greater explanation, on the record, in order to show that a defendant understands the nature of the charges.
See
Daughtry
,
Mr. Tate and the postconviction judge used the same example to support their conclusions that Mr. Tate may not have understood the nature of the charges to which he pleaded guilty. According to Mr. Tate and the postconviction hearing judge, Mr. Tate may have confused pleading guilty to premeditated first-degree murder with felony murder. This confusion seems unlikely, as the State announced at the outset that the agreement was conditioned upon Mr. Tate pleading guilty to "Count No. 1 ... murder in the first degree." 7 Mr. Tate admitted to reading the charging document, discussing the
charges with his counsel, and understanding the charges and to what he was pleading guilty. In addition, Mr. Tate could have raised an objection to the statement of facts if he disagreed with them, but instead he decided against doing so. In opting not to do so, Mr. Tate agreed that he had committed first-degree murder. Clearly, the statement of facts can be reasonably interpreted as the factual basis to support the elements of premeditated first-degree murder and not felony murder. The State emphasized that it had witness statements related to Mr. Tate's intent and preconceived plan to murder the victim, as opposed to emphasizing evidence of Mr. Tate committing robbery or any other specific felony. The facts were not framed in such a way that the State could have proven Mr. Tate committed felony murder. Therefore, the facts underscore the nature and elements of the crime of first-degree murder, namely premeditation and deliberation.
Mr. Tate proposes that this Court consider establishing a rule where, for juveniles particularly, the elements and nature of the charges are explained on the record in non-legal language such that the hearing judge can ensure that the defendant understands the nature of the charge. At this time, we do not adopt this rule. The case law does not support the adoption of this rule, and in particular, the
Daughtry
opinion does not support the adoption of this rule either. Although
Daughtry
held, in part, that first-degree murder was complex,
Daughtry
did not depart from prior
case law. There is no constitutional requirement that there must be a recitation of the particular elements of the charged crime on the record at the plea hearing.
See
Bradshaw v. Stumpf
,
Gross v. State
,
IV.
In the case at bar, the hearing judge in reopening the postconviction proceedings relied on
Daughtry
as the appropriate standard of review for Mr. Tate's postconviction case, and in doing so, committed legal error. The postconviction court applied the following standard: "Whether, considering the record as a whole, the trial judge could fairly determine that the defendant understood the nature of the charge to which he pleaded guilty."
Daughtry
,
The Law in Daughtry
Police officers in Prince George's County apprehended Mr. Daughtry when they responded to a reported shooting.
Id. at 43,
the prosecution of Mr. Ashton. In exchange for his guilty plea and cooperation, Mr. Daughtry received a life sentence with all but thirty years suspended.
During the plea hearing, the judge preliminarily asked for Mr. Daughtry's name, age, the last grade in school he completed, and whether he could read, write, and understand the English language, all of which Mr. Daughtry answered in the affirmative.
This Court affirmed the Court of Special Appeals.
purpose of the totality of the circumstances test.
The Court in
Daughtry
relied on Maryland Rule 4-242(c) to bolster its decision. Although the Rule itself does not prescribe any particular litany for the plea hearing judge to follow in order for a guilty plea to comply with the Rule, it does require an examination on the record in open court. Md. Rule 4-242(c) ;
see also
Daughtry
,
Therefore, we hold that, regarding the issue of the defendant being made aware of the nature of the charges against him, where the record reflects nothing more than the fact that a defendant is represented by counsel (as in the present case) and that the defendant discussed generically the plea with his or her attorney, such a plea colloquy is deficient under Rule 4-242(c), and the plea must be vacated.
The Court provided guidance to hearing judges for "determining whether to accept a guilty plea."
Court stated that "it is possible that the factual basis proffered to support the court's acceptance of the plea may describe the offenses charged in sufficient detail to pass muster under the Rule."
The Reasoning of the Postconviction Hearing Judge
In the instant case, the postconviction hearing judge misapplied Daughtry to Mr. Tate's postconviction case and vacated Mr. Tate's guilty plea, reasoning that "neither the plea judge [n]or trial counsel ever explained the nature or the elements of the offense of premeditated first-degree murder and its particular complexities, [as addressed in Daughtry ], in express terms at the plea hearing." The hearing judge explained that there was neither an explanation of the nature of the charge nor the specification of the intent required on the record at the plea hearing. Notably, the hearing judge repeatedly emphasized that the explanation did not occur on the record , explicitly citing to the Daughtry opinion.
The postconviction hearing judge failed to appreciate the significance of the procedural posture of
Daughtry
. Mr. Daughtry appealed his conviction after entry of his guilty plea.
Importantly,
Daughtry
does not apply when a postconviction hearing judge reviews a guilty plea in the collateral review context.
See
Smith
,
of a conviction after a plea). The
Smith
Court explained that the purpose of an appeal of a conviction after a plea is to determine "what the trial court could find, and that issue is necessarily limited to what happened at the plea hearing."
In contrast to
Daughtry
, Mr. Tate sought review of his conviction when he initiated the collateral review process. He filed a petition for postconviction relief in 2006 and alleged both that his plea was defective and that his counsel was ineffective.
See, e.g.,
Mosley v. State
,
V.
Because the hearing judge misapplied Daughtry , we raise the question whether, in the absence of applying
Daughtry , the hearing judge should have reopened Mr. Tate's postconviction case. 8 This question is inextricably linked with the outcome of this case. As we shall explain, the hearing judge abused his discretion when he reopened Mr. Tate's postconviction case on the basis of the Daughtry opinion, but, even in the absence of applying Daughtry , Mr. Tate's case should not have been reopened.
Reopening Postconviction Proceedings
Under certain circumstances, a court has discretion to reopen a postconviction proceeding. According to Crim. Proc. § 7-104, "The court may reopen a postconviction proceeding that was previously concluded if the court determines that the action is in the interests of justice." As the Criminal Procedure Article affords discretion to a court to reopen a postconviction matter, appellate courts review the decision for an abuse of discretion.
Gray v. State
,
Our cases outline what may fall within the "interests of justice" pursuant to Crim. Proc. § 7-104. "The list of possible grounds" for reopening postconviction proceedings "is virtually open-ended."
Love v. State
,
interests of justice that may compel reopening postconviction cases include "ineffective assistance of postconviction counsel or a change made in the law that should be applied retroactively."
Gray
,
Here, the basis for reopening Mr. Tate's postconviction case, according to the hearing judge, was not ineffective assistance of postconviction counsel or even, necessarily, a change made in the law. Instead, the hearing judge believed that Daughtry established law that was not necessarily new but nonetheless required retroactive application. In his order to vacate the guilty plea, the hearing judge explained:
This Court notes Tate purports Daughtry to be a change in the law. That is true in [an] overall sense, but, in a more technical legal sense it is not, since the Court of Appeals ruled it had to be applied retroactively because it did not ultimately change applicable guilty plea law. Nevertheless, it is clear it must ultimately be given its retroactive applicability and, thus, requires that this Petitioner's Post-Conviction proceedings be reopened in the interests of justice, the plea and sentence vacated, and a new trial granted based on the legal standards just noted, as well as other reasons set forth herein.
On its face, this reasoning does not survive our scrutiny. In 2009, after Mr. Tate initially sought postconviction relief, the hearing judge upheld Mr. Tate's guilty plea as valid. Based on that outcome, the interests of justice could not have compelled the postconviction hearing judge to reopen the matter. Notwithstanding, if Daughtry did not alter our jurisprudence, as the postconviction hearing judge himself acknowledged in September 2014, then the interests of justice could not have
compelled the hearing judge to reopen the matter on the basis of a change in the law.
See
Gray
,
Understanding the Nature of the Offense Pre -Daughtry
The United States Supreme Court has established that when a defendant has representation, defense counsel will routinely explain the charges sufficiently for the accused to plead guilty.
Henderson v. Morgan
,
The United States Supreme Court affirmed. First, the Court pointed out that determining the voluntariness of a guilty plea required evaluating the totality of the circumstances.
See
This Court had the opportunity to interpret
Henderson
in
State v. Priet
,
The
Priet
Court reversed the Court of Special Appeals and held that no "ritualistic or fixed procedure" was required in order for a plea to be considered valid.
Id. at 288,
of the charges.
The
Priet
Court explained that
Henderson
did not compel a different conclusion. Nothing about
Henderson
required "a formal recitation of the elements of the offense."
Id.
at 288,
The United States Supreme Court has since revisited, and affirmed, its holding in
Henderson
in
Bradshaw v. Stumpf
,
However, the United States Supreme Court reversed the judgment of the Sixth Circuit and remanded for additional consideration of a second issue not related to the guilty plea.
The Daughtry Case
Notably,
Daughtry
offered significant guidance for resolving whether it constituted a departure from pre-existing case law with respect to a defendant's understanding of the nature of the offense to which he or she pleaded guilty. The
Daughtry
Court addressed the future application of its opinion and highlighted that its decision did not constitute a departure from our jurisprudence at the time.
Daughtry
,
Collateral Review of Guilty Pleas
After
Daughtry
, this Court had occasion to address the validity of guilty pleas in the collateral review context in
State v. Smith
,
The Court of Appeals reversed the intermediate appellate court and affirmed the judgment of the Circuit Court.
Id. at 622,
This distinction is vital, as in a coram nobis case such as this one, the only issue is whether the defendant understood the nature of the charges- regardless of whether the trial court could determine as much. By contrast, in an appeal of a conviction after a plea such as the one in Daughtry , the ultimate issue depends on what the trial court could find, and that issue is necessarily limited to what happened at the
plea hearing, which includes the entirety of what the trial court could find.
Id.
at 653,
Most recently, this Court further clarified its guilty plea jurisprudence in
State v. Rich
,
The Court of Appeals reaffirmed the distinction in standards of review based upon the procedural posture of the case:
[W]hen challenging a guilty plea on [application for leave to appeal a conviction following a guilty plea], the reviewing court is limited to the record of the plea hearing itself. But, when challenging a guilty plea through a petition for writ of error coram nobis , the coram nobis court may consider additional evidence, such as the trial lawyer's testimony regarding his or her conversations with the defendant explaining the terms of the plea, in addition to the record of the plea hearing itself.
knowing and voluntary nature of the guilty plea; whereas, on appeal of a conviction following a guilty plea, a reviewing court is limited exclusively to an examination of the record from the guilty plea hearing.
Daughtry Did Not Alter the Interests of Justice Analysis
In the case at bar, the postconviction hearing judge determined that
Daughtry
tilted the interests of justice in favor of reopening Mr. Tate's postconviction case. Upon our review of Maryland's guilty plea jurisprudence,
Daughtry
did not alter the law as it stood. The intent of this Court in
Daughtry
was merely to clarify the law and not change it.
with Rule 4-242(c), its predecessor, and attendant case [ ] law."
The act of the hearing judge in the present case to reopen Mr. Tate's postconviction proceeding in order to apply
Daughtry
was an abuse of his discretion. Although
Daughtry
applies retroactively, nothing about the case altered the horizon of legal possibilities for Mr. Tate. The
Henderson
presumption, which we adopted in
Priet
("
Henderson
/
Priet
presumption"), continues to exist after
Daughtry
.
The hearing judge misinterpreted
Daughtry
when he concluded that
Daughtry
ended the
Henderson
/
Priet
presumption. The
Henderson
/
Priet
presumption consists of the notion that ordinarily, "defense counsel routinely explain the nature of the offense in sufficient detail to give the accused notice of what he [or she] is being asked to admit."
Priet
,
The postconviction hearing judge justified his disregard for the
Henderson
/
Priet
presumption on the additional basis that, like in
Daughtry
, the record was so "anemic" as to require disregarding it. The plea hearing in
Daughtry
was considered deficient because the only pertinent question the hearing court asked Mr. Daughtry was
whether he had discussed his plea
with his lawyer.
Focusing solely on what Mr. Daughtry actually said, we concluded that Mr. Daughtry never affirmed that he read, discussed, or understood the charges. It is entirely possible, as suggested by the
Daughtry
Court, that Mr. Daughtry understood the terms of the guilty plea but nothing of the nature of the charges to which he pleaded guilty.
The postconviction hearing judge also misinterpreted Daughtry when he concluded that Daughtry discussed how
much weight he needed to give to certain facts. The hearing judge explained that what distinguished the outcome of Mr. Tate's second attempt at postconviction relief from the first resided in the diminished weight the hearing judge afforded to the evidence outside the plea hearing record. Additionally, the hearing judge reconsidered Mr. Tate's personal characteristics with "added weight" when said characteristics militated against the knowing and voluntary nature of his guilty plea. Daughtry , however, does not discuss the weight afforded to evidence on the record versus extrinsic evidence. 10 In the instant case, no new evidence was presented to the hearing judge that he had not previously considered at the postconviction hearing. The only difference between the two hearings
was the court's consideration of the
Daughtry
opinion. Therefore, the hearing judge should not have afforded additional weight as a matter of law to Mr. Tate's personal characteristics, and in particular his age and alleged diminished mental capacity. The legal standard for cases on appeal following conviction after a guilty plea continues to be, after
Daughtry
, whether the plea court could have found, under the totality of the circumstances considering the entirety of that record, that the defendant entered into the guilty plea knowingly and voluntarily.
Daughtry
,
VI.
In conclusion, the postconviction hearing judge erred when he misapplied
Daughtry
to the facts of Mr. Tate's case and abused his discretion when he reopened Mr. Tate's postconviction matter. The totality of the circumstances based on the record from the plea hearing alone demonstrated the knowing and voluntary nature of Mr. Tate's guilty plea. The plea court had enough evidence before it to find that Mr. Tate knowingly and voluntarily entered his guilty plea to first-degree murder. The postconviction hearing judge premised his decision to reopen as well as his decision to vacate on the basis of the
Daughtry
case.
Daughtry
, however, involved review after the entry of a guilty plea and not collateral review after the entry of a guilty plea.
See
Smith
,
JUDGMENT OF THE COURT OF SPECIAL APPEALS AFFIRMED. COSTS TO BE PAID BY PETITIONER.
Prior to his plea hearing, Mr. Tate read and agreed to the following statement of facts attached to the correspondence between his attorney and the State:
On Monday, February 24, 1992, between 10:30 p.m. and 11:00 p.m. Ms. Zedra Bognar, who was residing with her fiancé's parents at 989 Roundtop Drive, Annapolis, Anne Arundel County, Maryland, heard what she described as "fighting sounds" outside the residence. She looked from her bedroom window and saw the victim, identified as Jerry Lee Haines, who lived across the street at 1174 Summit Drive. Jerry was approached by a person she referred to as a stranger, approximately 6-feet tall, 200-pounds and wearing a dark jacket, light blue jeans and baseball cap.
Ms. Bognar observed Jerry and the stranger struggle near Jerry's white pick-up trick which Jerry had parked next to his house near the corner of Summit and Roundtop Drives.
Ms. Bognar observed the fight move from the truck to the area next to 989 Roundtop. She observed "the stranger" standing next to Jerry, beating and kicking him in the area of the face. She heard Jerry calling for his Mom for help and begging his assailant to stop.
Ms. Bognar asked her fiancé's mother, Mrs. Barbara Hartley, to call the police, which she did. While Mrs. Hartley was on the telephone to police, Zedra continued to report to Mrs. Hartley the actions of the stranger and Jerry Haines. Ms. Bognar observed the stranger drag the body of Jerry past her bedroom window and to the rear of 1176 Summit Drive, the home of Marshall and Gloria Vestal, and hide the body behind a shed. She then observed the stranger walk back to the street, look around, and walk away.
When police arrived the body of the victim, Jerry Lee Haines, was discovered behind the shed and "the stranger" was gone.
A subsequent autopsy of the victim by the Office of Chief Medical Examiner for the State of Maryland revealed the victim had suffered twenty-four (24) stab and cutting wounds to his body, including fourteen (14) wounds to the back, both lungs, liver, bilateral homothoraces; six (6) wounds to the neck; two (2) to the upper right and one to the upper left arm; one (1) to the left hand; and multiple cutting wounds to the neck, hands and right forearm. In addition[,] he suffered blunt force trauma to the head, including multiple facial lacerations and fractures of the nasal and right maxillary bones. Dr. John [Smialek], Chief Medical Examiner for the State of Maryland would testify [that] the manner of death was homicide. [ ]
A search of the crime scene revealed the handle and partial blade of a broken knife which is believed to [have been] used to inflict the stab and cutting wounds sustained by the victim.
Through investigation[,] Anne Arundel County Police learned the Defendant, Brian Arthur Tate, had made several threats against the life of the victim, Jerry Lee Haines, because Jerry had been dating Tate's former girlfriend, Tammi Heath.
Among the witnesses the State would call to prove these threats would be Brian Hannon[,] who would testify [that] the Defendant told him he was going to dress up in dark clothing and ambush Jerry at his residence. He told Brian he would stab Jerry and cut his throat[,] and that after he was dead he would physically assault and batter him. Tate told Hannon that he had been sharpening a knife all week long.
Among the other witnesses the State would call to substantiate these threats are Sandra Eastwood and Joseph Allen, who would both testify [that] they were told by the Defendant that he intended to kill Jerry.
A witness for the State, Amanda Jones, would testify that she was in the bedroom of the Defendant, prior to the homicide[,] and observed a sharp knife, approximately 10-inches long, and a sharpening stone under his bed.
Another State's witness, Mark Wirth, would testify that he saw the Defendant with a pair of brass knuckles on February 24, 1992, prior to the homicide.
A search and seizure warrant, executed February 25, 1992, at the home of the Defendant produced a blood stained black ski jacket, owned by the Defendant, which revealed the presence of human blood on the right cuff. This blood was compared by Cellmark Laboratories with the blood of the victim, Jerry Lee Haines, by DNA profiling [,] and found to be a positive match. In addition, a subsequent search of the victim's bathroom, adjacent to his private bedroom revealed a pair of brass knuckles and the victim's wallet, which contained his personal papers and identification.
At this point, and at several other times, the hearing transcript reflects that Mr. Tate's response was inaudible. The absence of a response is denoted by the following symbol: -.
Included within the broader claim of ineffective assistance of counsel were multiple specific allegations of error, including that his attorneys provided ineffective assistance when failing to fully investigate his case, when advising him to plead guilty to first-degree murder, for pressuring Mr. Tate to plead guilty, for permitting Mr. Tate's family to pressure him to plead guilty, for failing to raise the defense of Not Criminally Responsible, for failing to advise of collateral consequences to his plea, for failing to be effective at sentencing, for failing to file an application for three-judge panel review of Mr. Tate's sentence, and that the cumulative errors resulted in denying Mr. Tate a fair trial.
Evidence considered by the postconviction hearing judge that was not before Judge Thieme at the plea hearing included conversations prior to the plea hearing, testimony from the sentencing hearing, psychological reports from Mr. Tate's time at Patuxent, and testimony at the postconviction hearing.
The attorney who testified sat as second chair on Mr. Tate's case.
The lead attorney in Mr. Tate's case died prior to Mr. Tate's postconviction hearing. As a result, he could not testify to confirm or deny Mr. Tate's assertions.
The first count in the indictment stated: "The GRAND JURY charges that the aforesaid defendant, on or about the aforesaid date, feloniously, wilfully, and of deliberately premeditated malice aforethought did kill and murder Jerry Lee Haines."
Mr. Tate contends that this argument is not preserved because the State did not raise the argument before the Court of Special Appeals. Notwithstanding, the only reason the Circuit Court vacated Mr. Tate's guilty plea is because the postconviction hearing judge errantly interpreted Daughtry . In order to rectify any uncertainty surrounding the Daughtry decision's impact on our jurisprudence, we address the postconviction hearing judge's decision to reopen Mr. Tate's postconviction case.
The
Daughtry
Court anticipated the importance of retroactive application of the
Daughtry
opinion in cases where the
Henderson
/
Priet
presumption alone-that a defendant had an attorney and therefore understood the nature of the charges against him or her-was the only basis showing that a defendant entered a plea knowingly and voluntarily.
State v. Daughtry
,
The only passage from Daughtry that the hearing judge could have referenced with regard to "additional weight" for the personal characteristics of the accused is as follows:
Instead of merely informing practitioners and judges what conduct merely will not pass muster under Rule 4-242(c) ( i.e. the mere fact of representation alone and that the defendant discussed the plea with his or her attorney), we shall elaborate somewhat on what factors can and should aid a trial court in determining whether to accept a guilty plea. Priet provided a starting point, when we stated that "the required determination can only be made on a case-by-case basis, taking into account ... among other factors, the complexity of the charge, the personal characteristics of the accused, and the factual basis proffered to support the court's acceptance of the plea .
State v. Daughtry
,
Reference
- Full Case Name
- Brian TATE v. STATE of Maryland
- Cited By
- 2 cases
- Status
- Published