Court of Appeals of North Carolina, 1979

State v. Dickens

State v. Dickens
Court of Appeals of North Carolina · Decided June 5, 1979 · Carlton, Clark, Vaughn
41 N.C. App. 388; 255 S.E.2d 212; 1979 N.C. App. LEXIS 2684

State v. Dickens

Concurring Opinion

Judge VAUGHN

concurring.

I concur in the disposition of this case as it relates to the merits of the issues addressed.

I have different thoughts, however, on whether defendant had the right to appeal. The motion to withdraw the guilty pleas was not made until the day after judgment was entered and commitment issued. Under former G.S. 15-180.2, there was no right of appeal from a plea of guilty. No such right is granted under the present provisions of G.S. 7A-27. G.S. 15A-1444(e) presently provides:

“Except as provided in G.S. 15A-979, and except when a motion to withdraw a plea of guilty or no contest has been denied, the defendant is not entitled to appellate review as a matter of right when he has entered a plea of guilty or no contest to a criminal charge in the superior court, but he may petition the appellate division for review by writ of cer-tiorari.”

The Official Commentary to the foregoing recites:

“Subsection (e) carries forward the provisions of G.S. 15-180.2, a 1973 statute, which provide (d) only discretionary review when a defendant has plead guilty or entered a plea of no contest. The exception relates to review of determinations on motions to suppress vital evidence.”

In my view, the exception allowing an appeal “when a motion to withdraw a plea of guilty or no contest has been denied” should be limited to those cases where the motion to withdraw *394the plea has been made prior to judgment as, for example, might be provided for under G.S. 15A-1024. If this notion is not correct, there is no longer any practical limitation on appeals after pleas of guilty because any defendant who is dissatisfied with the judgment entered pursuant to his plea can simply move to withdraw the plea and appeal if it is denied. I conclude that defendant should have petitioned for review by writ of certiorari or, perhaps, moved for appropriate relief under the provisions of Article 89 of Chapter 15A of the General Statutes.

Opinion of the Court

CARLTON, Judge.

The defendant’s sole argument on appeal is that the trial court did not comply with subsection (c) of G.S. 15A-1022 before accepting his guilty pleas. That subsection provides as follows:

(c) The judge may not accept a plea of guilty or no contest without first determining that there is a factual basis for the plea. This determination may be based upon information including but not limited to:
(1) A statement of the facts by the prosecutor.
(2) A written statement of the defendant.
(3) An examination of the pre-sentence report.
(4) Sworn testimony, which may include reliable hearsay.
(5) A statement of facts by the defense counsel.

Defendant argues that this new subsection, not formerly required by case law, places a new and mandatory burden on our trial courts to hear evidence, and rule on its sufficiency to prove the defendant guilty of the crime charged, before accepting guilty pleas. He argues that it is necessary that the trial court discover “the motivation behind the plea.” He further argues that the actual facts of the case must be heard by the trial court in order for it to be convinced that the defendant has committed the crime to which he is pleading guilty and that the plea is not tendered out of fear or promise of leniency. We do not think our legislature intended to place such an onerous burden on our trial courts. Indeed, we do not believe that anyone would seriously contend that our trial courts should begin providing a full trial on the merits for defendants who elect to enter pleas of guilty.

Defendant argues that the record before us does not support the trial court’s conclusion that there was a factual basis for the guilty pleas entered by the defendant. He refers to the five enumerated sources of information mentioned in G.S. 15A-1022(c), *392stated above, and argues that this record contains no statement of facts by the prosecutor, defendant, defense counsel, or other witnesses or sources to support the court’s finding of a factual basis for defendant’s pleas. However, we note that the enumerated sources are not exclusive. That subsection specifically provides that the determination “may be based upon information including but not limited to” the five enumerated sources. Clearly, our legislature intended for trial judges to have access to whatever information might be properly brought to their attention in reaching this determination. Moreover, much of the information referred to in the enumerated items in the statute would not normally be included in a record. Indeed, much of it would not be recorded by the court reporter, nor should it be. We also find that much of the information received in the “transcript of plea” would be helpful to the trial judge in determining that there is a factual basis for the plea of guilty. We reject defendant’s interpretation of this statute.

The withdrawal of a guilty plea after its acceptance by the court and the imposition of sentence “is not a matter of right and a motion to be allowed to so retract is addressed to the sound discretion of the court.” State v. Crandall, 225 N.C. 148, 150, 33 S.E. 2d 861, 862 (1945). “This is especially true when it appears that the plea was understandingly and intelligently made.” Padgett v. United States, 252 F. Supp. 772 at 775, (E.D.N.C. 1965). Here, we hold that the trial court did. not abuse its discretion. Defendant obviously understood the charges against him and all of his constitutional rights were fully afforded him.

This is another ridiculous example of the abuse of the power of appeal by an indigent defendant in a criminal case. The record before us shows affirmatively that defendant, who was represented by counsel, fully understood the charges against him, the nature and effect of his pleas of guilty, and the maximum sentences that might be lawfully imposed upon him if he entered such pleas, and that he entered the pleas of guilty to the offenses charged voluntarily, without threats or inducements or promises, and with a full understanding of the effect and possible consequences of such pleas of guilty. Following substantial sums expended on his behalf at the trial court level, defendant now has added to the taxpayers’ burden by putting them to the expense of paying for the cost of the transcript of the trial proceedings, the *393cost of mimeographing the record and the brief filed for defendant, and the cost of paying a fee to the defendant’s lawyer for his services on appeal in a situation in which there is absolutely no merit.

In the proceedings below, we find

No error.

Judge VAUGHN concurring. Judge CLARK dissenting.

Dissenting Opinion

Judge CLARK

dissenting.

Withdrawal of a guilty plea should be permitted and the judgment of conviction set aside if the plea was improperly taken, if the defendant received ineffective assistance of counsel, or if the plea bargain was broken.

The plea was improperly taken if the trial court accepted the plea without first determining that there was a factual basis for the plea as required by G.S. 15A-1022(c). This statutory requirement is similar to Rule 11 of the Federal Rules of Criminal Procedure and probably was inspired by the decision in North Carolina v. Alford, 400 U.S. 25, 27 L.Ed. 2d 162, 91 S.Ct. 160 (1970), which denied a writ of habeas corpus based on the defendant’s contention that his guilty plea was involuntary, emphasizing the fact that the trial judge heard strongly damaging evidence against the accused before accepting the plea. The factual basis for the court’s determination should be in the trial record and, where the issue is properly raised, included in the record on appeal. In the case before us the record on appeal reveals that defendant was convicted after trial on all charges in the District Court. In my opinion this was a factual basis for the plea and supported the adjudication of the trial court.

Defendant’s motion for withdrawal of his guilty plea was based on his allegation that there was a plea bargain and that he was instructed by counsel how to answer the questions asked by the trial judge. The Transcript of Plea includes the following:

“10. Have you agreed to plead as a part of a plea bargain? Before you answer, I advise you that the courts have approved plea bargaining and if there is one, you may *395advise me truthfully without fear of incurring my disapproval.
Answer: N/A
11. (If applicable) The District Attorney and your counsel have informed the court that these are all the terms and conditions of your plea:_
(a) Is this correct? Answer _
(b) Do you accept this arrangement?
Answer _”

The defendant’s motion to withdraw his plea was perfunctorily denied without hearing. In my opinion the trial court erred in failing to conduct a hearing to determine whether withdrawal of the guilty plea should be permitted, and I would remand for that purpose. See Edmondson v. State, 33 N.C. App. 746, 236 S.E. 2d 397 (1977).

From many years of experience as a trial judge, I am aware that only in rare cases is there merit in a defendant’s claim after sentence that his plea of guilty was not knowingly and voluntarily made. Nevertheless, the importance of protecting the innocent and insuring that guilty pleas are a product of free and intelligent choice requires that such claims be patiently and fairly considered by the courts.

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