In re Anthony Bridger
In re Anthony Bridger
Opinion of the Court
¶ 1. Petitioner Anthony Bridger appeals the trial court's order granting summary judgment to the State on his petition for post-conviction relief (PCR). He argues that his guilty-plea colloquy did not satisfy Vermont Rule of Criminal Procedure 11(f). We agree and so reverse and remand.
¶ 2. The record indicates the following. In July 2009, petitioner was charged in three counties-Bennington, Windham, and Rutland-with committing numerous burglaries. Petitioner pled guilty in the Bennington and Windham cases before the Bennington Criminal Division in September 2009. These cases were then transferred to the Rutland Criminal Division for purposes of joining the pending Rutland matter and for sentencing. In February *4912010, petitioner pled guilty before the Rutland Criminal Division to sixteen counts of burglary in the Rutland docket pursuant to a plea agreement. The remaining Rutland charges-nine counts of grand larceny and eight counts of petit larceny-were dismissed. In addition to an oral Rule 11 colloquy, petitioner signed a written waiver of his rights; he also signed restitution orders. At the sentencing hearing, the State noted that petitioner had cooperated with police and provided them with a full and complete confession. The court sentenced petitioner to six-to-twenty-years on the Rutland charges, and eighteen-months-to-five-years on the transferred Bennington dockets, to be served concurrently with the Rutland counts.
¶ 3. In August 2015, petitioner filed a PCR petition, challenging the sufficiency of the Rutland Criminal Division's plea colloquy under Rule 11(f).
¶ 4. The PCR court granted summary judgment to the State, relying on the following record from the change-of-plea hearing. At the hearing, the sentencing court discussed each burglary charge with petitioner, including the elements of the charges, the dates of the alleged crimes, the names of the victims, and the maximum penalty for each charge. The court described the rights that petitioner would be giving up by pleading guilty. Petitioner indicated that he understood the information provided to him by the court. The colloquy also included the following exchange:
THE COURT: Do you agree that the affidavit of the [Vermont State Police] troopers that were-the affidavit-numerous affidavits, provide a factual basis to establish each of the essential elements of each of the charges?
THE DEFENDANT: Yes.
THE COURT: The Court will find that there is a factual basis.
The affidavits, which are part of the trial court record, recite, among other things, the victims' complaints to police and petitioner's confession to committing over twenty burglaries, including those charged. The affidavits set out petitioner's detailed description to police of various facts related to the burglaries, including the layout of the homes and the items that were stolen.
¶ 5. Based on this record, the PCR court concluded that the sentencing court did not violate Rule 11(f). In its analysis, the PCR court first noted that, to satisfy Rule 11(f) under this Court's precedent, the record must " 'affirmatively show sufficient facts to satisfy each element of an offense' "; the sentencing court must directly inquire into the factual basis of the plea; and the defendant must " 'admit to and possess an understanding of the facts as they relate to the law for all elements of the charge or charges to which the defendant has pleaded.' " In re Bridger, 475-8-15 Rdcv, slip op. at 2,
¶ 6. Here, the sentencing court asked petitioner if he "agree[d] that the ... affidavits provide a factual basis to establish each of the essential elements of each of the charges," and petitioner answered "yes." The PCR court rejected petitioner's contention that his "yes" should be interpreted as something less than an admission of the truth of the facts set forth in those affidavits. The PCR court observed, moreover, that the burglary charges were not factually complex offenses that required a careful clarification as to what specific facts satisfied specific necessary elements of each offense.
¶ 7. The PCR court rejected petitioner's assertion that this case was like Stocks, where the petitioner acknowledged only that he "understood" the State's allegations reflected in the charges against him, but never affirmed that they were true.
¶ 8. Petitioner argues, as he did below, that the sentencing court violated Rule 11(f) because he did not explicitly admit to any facts during the colloquy, including any facts contained in the troopers' affidavits. He cites Stocks and contends that although he admitted to understanding the factual elements of the charged offenses and admitted that the troopers' affidavits provided a factual basis for those charges, he did not admit to any of the facts stated in the affidavits. Petitioner further asserts that the sentencing court erred in relying on affidavits to establish the factual basis. Citing State v. Yates,
¶ 9. To prevail on his PCR petition, petitioner needed to show "by a preponderance of the evidence that one or more fundamental errors rendered his conviction defective." In re Brown,
¶ 10. At the outset, and in light of the increasing number of Rule 11(f) cases being appealed to this Court, we review this Court's application of Rule 11(f), and clarify precisely what the rule requires.
¶ 11. Over thirty years ago, this Court explained, "The requirement of [ Rule] 11(f) involves an understanding by the defendant that the conduct admitted violates the law as explained to him by the court. Absent this, no matter how perfectly the other parts of Rule 11 have been observed, we cannot find a voluntary plea." In re Dunham,
¶ 12. In In re Dunham, our first case examining Rule 11(f), the petitioner was present at the murder of Byron Nutbrown and subsequently charged with second degree murder. At the change of plea hearing, the petitioner's attorney asked the petitioner a series of questions about what he observed as a bystander on the night when another man murdered Nutbrown. Dunham,
*494¶ 13. This decision in Dunham relied on our interpretation of federal case law. First, we relied on McCarthy v. United States for the proposition that a plea " 'cannot be truly voluntary unless the defendant possesses an understanding of the law in relation to the facts.' " Dunham,
¶ 14. Since Dunham, we have consistently held that the necessary affirmative showing required to accept a plea of guilty must include, at least, some admission by the defendant on the record of the facts that underlie the elements of the crime charged. Immediately following Dunham, we noted in another case that the "record must reveal that the elements of each offense were explained to the defendant and that a factual basis for each element was admitted." In re Kasper,
¶ 15. Our only deviation from this consistent line of caselaw occurred in State v. Whitney, when the trial court relied on a police officer's affidavit, which was supplied to the defendant, to establish a factual basis.
¶ 16. In Yates, however, we pulled back and clarified that Whitney stood only for the principle "that an affidavit may be a source of facts to support the plea, but that the defendant must subsequently admit to these facts in the plea colloquy to demonstrate that there is a sufficient factual basis."
¶ 17. After Yates, all but two of our cases have followed the same stance originally adopted in Dunham. We have denied Rule 11(f) challenges where the defendant affirmatively admitted on the record to a factual basis for the elements. See, e.g., State v. Fucci,
¶ 18. Unfortunately, State v. Morrissette and State v. Cleary inadvertently sowed confusion by importing the phrase "substantial compliance" into our Rule 11(f) jurisprudence. Morrissette,
¶ 19. Moreover, we overruled Morrissette in In re Manosh,
[t]o the extent that we suggested in Morrissette that a waiver-of-rights form signed by a defendant can substitute for the court's personally addressing a defendant *496in open court for the purposes of Rule 11(c), (d) or (f), or that a defendant's one-word acknowledgment of signing and understanding the waiver form is a sufficient basis for the court's conclusion that the plea is knowing and voluntarily made, we overrule that decision as inconsistent with the requirements of Rule 11 and our more recent case law.
Id. ¶ 23.
¶ 20. Although we did not explicitly refer to the "substantial compliance" standard when we overruled Morrissette, we now make explicit what Manosh made implicit: "substantial compliance" has no place in Rule 11(f) claims. This conclusion jibes with our previous decisions. For example, we first repudiated the "substantial compliance" standard for Rule 11(f) claims in Dunham, our earliest decision analyzing Rule 11(f).
¶ 21. Absent the vague "substantial compliance" standard, we are left with a body of case law that has consistently mandated that an "adequate factual basis" sufficient to demonstrate voluntariness must consist of some recitation on the record of the facts underlying the charge and some admission by the defendant to those facts. See, e.g., In re Miller,
¶ 22. There are good reasons for our continued adherence to this interpretation of Rule 11(f). As we have repeatedly declared, the Rule 11(f) inquiry is tied to the voluntariness of the plea. In re Dunham,
¶ 23. Similarly, this Rule 11(f) requirement fits with the other components of Rule 11.
¶ 24. In this case, the record is devoid of such a factual inquiry. Petitioner made a generic admission to unspecified facts in multiple affidavits covering sixteen burglary counts. As in In re Kasper, the sentencing court in this case merely summarized the factual basis by indicating the location and date of each burglary and by naming the victim at each location. 145 Vt. at 120,
Reversed and remanded for entry of judgment allowing petitioner to withdraw his plea in Docket No. 1067-7-09 Rdcr.
Petitioner referenced all of his convictions in his PCR petition, including those from other counties. As the State pointed out, the plea colloquy in question concerned only the burglary charges on the Rutland County docket.
Petitioner also argues, for the first time on appeal, that reliance on affidavits was improper because there was no clear indication that he had specific knowledge of the affidavits to which the court referred or that he had an opportunity to read and review those documents. Petitioner waived this argument by failing to raise it below. See Lane v. Town of Grafton,
We have never required a particular formula for obtaining this recitation. See, e.g., In re Stocks,
In this case, for example, the error in the Rule 11(f) inquiry was not that the court relied on the affidavits as a source of the facts to support defendant's plea, but that defendant made a general admission to unspecified facts in multiple affidavits. See infra, ¶ 24. As a result, we cannot say that the petitioner understood the law underlying each charge in relation to the facts. Id.; see also In re Kasper,
We acknowledge that this obligation under Rule 11(f) may depart from the federal courts' application of the federal rule. Post, ¶ 46. But we do not believe that this necessitates a complete reversal of our prior precedent given the important goals served by our more demanding standard. As the federal courts state, the best method of producing a factual basis for review is to ask the defendant to describe, on the record, the conduct that establishes the factual basis for the plea. See, e.g., United States v. Tunning,
No inconsistency exists between Criminal Procedure Rule 43 and our interpretation of Rule 11(f), despite the dissent's claim that our holding brings Rule 11 into direct conflict with Criminal Procedure Rule 43 and "draws into question the continued viability of plea by waiver." Post, ¶¶ 48-50. We addressed the interplay of Rule 11 and Rule 43 in In re Manosh -when it was properly before the Court.
We rejected the State's argument that by signing the waiver form, the "petitioner effectively waived the protections of the Rule 11 colloquy, even though he did not technically waive his appearance." Id. ¶ 14. Instead, we stated that Rule 43"carves out a narrow exception" and does not allow a court to "accept a defendant's written waiver of the rights protected by Rule 11" when the defendant does not waive his presence in court and the court makes no findings regarding the hardship of appearing in court. Id. ¶ 15. We noted that, in comparison to the rules in other states, Rule 43 does not explicitly provide an exception to the waiver of the colloquy under Rule 11, but only allows a defendant to waive his or her personal presence under limited circumstances for some misdemeanor charges. Id. ¶ 16. As a result, we determined that "Rule 43(c)(2) only authorizes a court to accept a plea without personally addressing a defendant in open court pursuant to Rule 11 when a case meets the Rule 43 requirements-including the requirement that defendant waive presence in court." Id. To conclude otherwise would have dramatically narrowed the reach of Rule 11 and allowed courts, in every misdemeanor case involving a guilty plea, to "dispense with personally addressing the defendant" to satisfy Rule 11's requirements, including acknowledging a factual basis for the plea. Id. ¶ 17.
In short, Manosh harmonized Rule 11 with Rule 43 by making clear that, because "Rule 11 does not exempt all misdemeanor cases from the requirement that the court address the defendant personally in court," the Rule 11 requirements may only be dispensed with in the narrowly proscribed circumstances outlined in Rule 43. Id.
Concurring Opinion
¶ 25. I join Justices Skoglund and Robinson in their opinion for the Court. I write separately to emphasize the most important consequence of the decision and to answer, for myself, why we should deviate from federal and state decisions under federal and state criminal procedure rules with identical or very similar language.
¶ 26. There is no criminal procedural rule more important than Rule 11. Over ninety-five percent of all criminal cases that reach court judgment are resolved by a plea of guilty, usually as a result of some kind of plea bargain. See, e.g., Vt. Judiciary, Annual Statistical Report for FY16, 31, https://www.vermontjudiciary.org/sites/default/files/documents/FY16S¨tatistical0¨Report-¨F¨INAL0¨20617_1.pdf [https://perma.cc/5BZW-68ND]. Thousands of criminal cases are resolved in this way every year. Id. In all these cases, the trial judge must take a guilty plea under procedures that comply with Rule 11. Unlike the vast majority of procedural errors, a deviation from the requirements of Rule 11 can be the subject of a collateral attack on the adjudication of guilt, often a collateral attack that is commenced long after the defendant has pleaded guilty. See In re Hemingway,
¶ 27. Under these circumstances, it is critical that the requirements of Rule 11 be crystal clear and predictable so they can be implemented without error. It is equally critical, however, that pleas of guilty be voluntary, with full knowledge and understanding of a defendant's rights and the consequences of the plea and without improper influences and considerations. It is common in the law that we face conflicting policies and must find a way to balance them. I can think of no balance we must achieve that is more important than the one we face in Rule 11 cases and no balance where it is more important that we get it right.
¶ 28. Although we have decided many Rule 11 cases, I think we have failed to achieve clear requirements that can be implemented correctly in thousands of cases. This case is a demonstration of our *500failing. The criminal division judge who took the guilty plea determined that the plea had a factual basis using methods that we have endorsed in some of our decisions. See State v. Cleary,
¶ 29. Thus, both the majority opinion and the dissenting opinion rely on precedents that support 100 percent the holding of each, but have never been reconciled. Allowing conflicting decisions to exist without acknowledgement and reconciliation, or the overruling of one or more decisions, is a bad practice that is inconsistent with our responsibility to be stewards of Vermont law. It is an extraordinarily bad practice where thousands of trial court actions every year must be based on the right answer and, if wrongly done, are subject to collateral attack.
¶ 30. The most important consequence of today's decision is that it finally faces up to the conflicts in our decisions and reconciles them by explicitly overruling those that are not consistent with our clearly stated holding. See ante, ¶¶ 20-21. I think clarity and predictability are the more important values at this point in the development of the law. I hope the Court will be as decisive in future opinions that address other Rule 11 requirements where reconciliation of conflicting decisions has not occurred.
¶ 31. Having said the above, I fully recognize that we have interpreted the factual basis requirement of Rule 11 in a way that is more rigorous than the interpretations of the same language by the federal and state courts. The dissent is clearly right on this point and is also right that we never acknowledged that we were deviating from the holdings of other courts, particularly the federal courts interpreting F.R.Cr.P. 11 on which our rule is based. See post, ¶¶ 41-42.
¶ 32. Despite this deviation, I join the majority's holding. My reason is based on what I believe is the proper operation of the criminal justice system. No defendant should plead guilty to a crime for which the defendant cannot acknowledge that he or she committed the elements of the crime or believes that he or she has a valid affirmative defense. As the New Jersey Supreme Court has stated:
Our court rules and case law require a factual basis for a plea of guilty, that is, a truthful account of what actually occurred to justify the acceptance of a plea. That approach in the long-run is the best means of ensuring that innocent people are not punished for crimes they did not commit. It is an approach that is essential to the very integrity of our criminal justice system.
State v. Taccetta,
¶ 33. Moreover, our sentencing system, particularly for serious crimes involving illegal sexual conduct or domestic violence, is now based heavily on defendant's acknowledgement of committing the crime as a prerequisite to probation or treatment. See State v. Katon,
I recognize that the U.S. Constitution does not prohibit a court from accepting a guilty plea from an individual who maintains his innocence so long as there is an adequate factual basis elsewhere in the record. North Carolina v. Alford,
Dissenting Opinion
¶ 34. For many reasons, I dissent. The majority holds that for a plea to be voluntary, Vermont Rule of Criminal Procedure 11(f) requires "some recitation on the record of the facts underlying the charge and some admission by the defendant to those facts." Ante, ¶ 21.
¶ 35. The record shows that nearly a decade ago petitioner confessed, in detail, to committing the charged crimes; he affirmed in court that those confessions, along with other evidence, provided a factual basis for his guilty pleas. He signed a written waiver to this effect. He expressed remorse for his crimes. The court dismissed seventeen additional charges against petitioner based on his guilty pleas. Yet according to the majority, his pleas must now be vacated, not because the court failed to provide petitioner the advice required by Rule 11(c) or ensure that the plea was voluntary under Rule 11(d), but because the trial court could not satisfy itself on this record that a "factual basis" existed for petitioner's guilty pleas. The majority's interpretation of Rule 11(f) is inconsistent with the law and it leads to untenable results.
¶ 36. Vermont's Rule 11 is based on and substantially identical to Federal Rule of Criminal Procedure 11. See Reporter's Notes, V.R.Cr.P. 11 (stating that Vermont rule is based on federal rule). Thus, "[d]ecisions of the federal courts interpreting the Federal Rules ... are an authoritative source for the interpretation" of our rule. Reporter's Notes, V.R.Cr.P. 1. "[A]lthough the procedure embodied in Rule 11 has not been held to be constitutionally mandated, it is designed to assist the [trial] judge in making the constitutionally required determination that a defendant's guilty plea is truly voluntary," and "to produce a complete record at the time the plea is entered of the factors relevant to this voluntariness determination." McCarthy v. United States,
¶ 37. Rule 11(f), by contrast, does not explicitly require the court to address a defendant "personally in open court" for the judge to determine that there is a factual basis for the plea. Instead, the rule provides that "[n]otwithstanding the acceptance of a plea of guilty, the court should not enter a judgment upon such plea without making such inquiry as shall satisfy it *503that there is a factual basis for the plea."
¶ 38. This makes sense because a defendant admits that he committed the charged conduct by pleading guilty. The Supreme Court has made clear that
[o]rdinarily, a judgment of conviction resting on a plea of guilty is justified by the defendant's admission that he committed the crime charged against him and his consent that judgment be entered without a trial of any kind. The plea usually subsumes both elements, and justifiably so, even though there is no separate, express admission by the defendant that he committed the particular acts claimed to constitute the crime charged in the indictment.
Alford,
[b]y entering a plea of guilty, the accused is not simply stating that he did the discrete acts described in the indictment; he is admitting guilt of a substantive crime. That is why the defendant must be instructed in open court on "the nature of the charge to which the plea is offered," [F.R.Cr.P.] 11(c)(1), and why the plea "cannot be truly voluntary unless the defendant possesses an understanding of the law in relation to the facts," McCarthy v. United States,394 U.S. 459 , 466 [89 S.Ct. 1166 ,22 L.Ed.2d 418 ] (1969).
Broce,
The court should satisfy itself, by inquiry of the defendant or the attorney for the government, or by examining the presentence report, or otherwise, that the conduct which the defendant admits constitutes the offense charged in the indictment or information or an offense included therein to which the defendant has pleaded guilty. Such inquiry should, e.g., protect a defendant who is in the position of pleading voluntarily with an understanding of the nature of the charge but without realizing that his conduct does not actually fall within the charge.... The normal consequence of a determination that there is not a factual basis for the plea would be for the court to set aside the plea and enter a plea of not guilty.
Advisory Committee Notes-1966 Amendments, F.R.Cr.P. 11 (emphasis added); see *504also Reporter's Notes, V.R.Cr.P. 11 (citing 1966 Federal Advisory Committee's Note, and recognizing that there are multiple sources of information in ascertaining factual basis, and further noting that Rule 11(f)"leaves to the judge the standard of probability of guilt to be applied, as well as the nature and depth of the inquiry"). Thus, from the time that the factual-basis language was added to the federal rule in 1966, and from the time that Vermont's rule was promulgated by this Court in 1973, it has been established that the trial court can look to a variety of sources in determining if there is a factual basis for a guilty plea, including, but not limited to, information provided by the defendant.
¶ 39. Countless treatises reiterate this point. As stated succinctly by Wright & Miller:
The factual basis for the plea must be developed on the record, and courts can look to a variety of sources when deciding whether a factual basis exists. "An inquiry might be made of the defendant, of the attorneys for the government and the defense, of the presentence report when one is available, or by whatever means is appropriate in a specific case."...
Neither Rule 11 nor the case law requires an on-the-record colloquy before the judge makes the factual basis determination. A court may instead rely on its examination of relevant materials in the record.
1A C. Wright, et al., Fed. Prac. & Proc. Crim. § 179 (4th ed. 2008) (quoting Advisory Committee Notes-1974 Amendments, F.R.Cr.P. 11 ); see also 24 J. Moore, et al., Moore's Federal Practice § 611.08[2][a], at 611-76-611-77 (3d ed. 2013) (recognizing that "[t]here are a number of sources from which the court may determine that the requisite 'factual basis' exists," including inquiring of defendant, but trial court's failure "to inquire personally of the defendant is not, of itself, grounds for reversal if the factual basis is otherwise established."); 5 W. LaFave, et al., Crim. Procedure § 21.4(f) (4th ed.) (explaining that "factual basis" provisions generally "leave the judge free to decide in the particular case how this determination can best be made," whether through "inquiry of the defendant ..., inquiry of the prosecutor or defense counsel, examination of the plea agreement, presentence report, complaint, indictment, or preliminary hearing transcript, grand jury transcript, testimony by police or a complaining witness, a combination of those methods; or, indeed, anything appearing on the record" (footnotes and quotation omitted)); ABA Standards for Criminal Justice: Pleas of Guilty § 14-1.6, Commentary (3d ed. 1999) (revising standard concerning factual basis to eliminate suggestion that court should "generally" require defendant to make detailed statement concerning commission of offense, finding such language "unduly restrictive and inconsistent with actual practice," and recognizing that "[o]ther appropriate procedures for establishing a factual basis for the plea include having the prosecutor make a proffer of what the state is prepared to prove, accepting the parties' stipulation on a set of *505facts, and, in rare cases, calling witnesses to testify concerning the defendant's conduct"); Irizarry v. United States,
¶ 40. As indicated above, the Reporter's Notes to our rule explicitly recognize that a court may look to a variety of sources in determining the existence of a factual basis, and "[p]ossible sources of information are the defendant himself, the prosecutor, or the presentence report." Reporter's Notes, V.R.Cr.P. 11 (citing ABA Minimum Standards § 1.6, Commentary). This makes sense, of course, because our rule is entirely based on the federal rule. Indeed, even in the cases that the majority relies upon, we have explicitly recognized that the trial court "may obtain facts from other sources, including the prosecutor and the presentence report." State v. Yates,
¶ 41. To the extent that we have departed from this standard, we have articulated no basis for doing so. Our cases rely solely on federal case law, which does not support this departure. See, e.g., Yates,
*506Stocks,
¶ 42. The majority offers no rationale for why we should depart from the practice under the identical federal rule. It does not address the history and intent of the rule, reflected in our Reporter's Notes. It does not acknowledge that the rule expressly omits a personal-colloquy requirement. It ignores the fact that our rule is based on the federal rule and that federal case law is "an authoritative source" for the interpretation of our rule. Reporter's Notes, V.R.Cr.P. 1. It does not address the unvaried holdings from federal courts, or the unequivocal statement in countless treatises that "[n]either Rule 11 nor the case law requires an on-the-record colloquy before the judge makes the factual basis determination," and that "[a] court may instead rely on its examination of relevant materials in the record." 1A C. Wright, et al., Fed. Prac. & Proc. Crim. § 179 (4th ed. 2008) (quoting Advisory Committee Note-1974 Amendments, F.R.Cr.P. 11 ); see also 24 J. Moore et al., Moore's Federal Practice, § 611.08[2][a], at 611-76-611-77. This statement, of course, reflects the expressed intent of the Advisory Committee that drafted the rule. Other than a *507desire to adhere with a limpet grip to some of our case law, which is by no means consistent, the majority identifies no reason why we should not follow clear federal precedent concerning Rule 11(f).
¶ 43. The majority relies heavily on the Supreme Court's statement in McCarthy, reiterated in Dunham and other Vermont cases, that a plea "cannot be truly voluntary unless the defendant possesses an understanding of the law in relation to the facts."
¶ 44. In my view, the majority has misconstrued Dunham, "our first case examining Rule 11(f)." Ante, ¶ 12. In Dunham, we held, consistent with the text of the rule, that "[t]here must be an adequate factual basis for all elements of the charge developed on the record."
¶ 45. The requirements of Dunham were met in this case through petitioner's acknowledgement that the affidavits, which were replete with admissions made by petitioner, provided an adequate factual basis. No one contends that under federal case law the procedure followed did not comply with Rule 11(f). No one contends that the affidavits were in some way inadequate to establish the facts necessary for conviction, only that petitioner was not called upon to admit to the specific facts within the affidavits that supported the charges. The majority instead requires petitioner to admit that his own admissions were true.
¶ 46. Our Rule 11(f) cases since Dunham have been inconsistent and their inconsistency has led to confusion. What is clear, however, is that to the extent that our cases have required a personal colloquy with a defendant to establish a factual basis, they purport to rely, incorrectly, on federal case law for this requirement. The interpretation of the requirements under the federal rule have not changed over time-they continue to be consistent with the intent of the drafters as expressly stated in the Advisory Committee Notes. It was our case law that departed from the clear federal standard-notwithstanding the fact that the rules are substantively identical-without acknowledging any rationale for doing so. Cf. ante, ¶ 22 n.5 (reasoning that requirement of personal colloquy under Rule 11(f)"may depart from the federal courts' application of the federal rule," but "we do not believe that this necessitates a complete reversal of our prior precedent").
¶ 47. When we depart from an established rule, there should be a rationale for the departure and consistency in practice. Both are missing here. Obviously, the federal rule, like our rule, is designed to prevent the entry of guilty pleas when the conduct at issue does not constitute the crime charged, and the rule as designed offers the necessary protection to serve this goal. The concerns raised by the majority are both contemplated and satisfied by the federal approach.
¶ 48. The majority's position that Rule 11(f) can only be satisfied by a direct colloquy with the defendant also brings Rule 11 into direct conflict with V.R.Cr.P. 43(c), which allows for a guilty plea by waiver without any colloquy whatsoever with the defendant. Thousands of convictions have been entered pursuant to this rule. Rule 11(c) and (d) expressly provide that no personal colloquy is required in plea-by-waiver cases under Rule 43. See also Reporter's Notes, V.R.Cr.P. 11 (stating that requirement found in Rule 11(c) and (d) that court address defendant personally *509"is, of course, waived if the defendant waives appearance under Rule 43(c)(2)"). If a direct colloquy with the defendant is so critical, what rationale justifies its exclusion in the plea by waiver cases? That Rule 43(c) provides for guilty pleas by waiver in certain circumstances does not justify the departure from the majority's position that V.R.Cr.P. 11(f) requires a personal colloquy with the defendant.
¶ 49. Convictions in cases where defendant enters a guilty plea by waiver are not children of a lesser god; they carry with them the same consequences and the same potential punishments as convictions for like offenses rendered in open court. If personal inquiry of the defendant regarding the factual basis is required, as the majority asserts, the majority provides no sound basis why the requirement should be disposed of when a defendant waives appearance under V.R.Cr.P. 43(c). The majority's citation of In re Manosh,
¶ 50. Unlike Rule 11(c) and (d), Rule 11(f) does not provide any exception "as authorized by Rule 43," nor do the Reporter's Notes discuss a waiver of any "personal colloquy" requirement with respect to the court's determination of a factual basis. That is because, as the plain language of the rule and the Reporter's Notes reflect, Rule 11(f) does not require the court to engage in a personal colloquy with the defendant to satisfy itself that a factual basis exists. Thus, the majority's holding that Rule 11(f)requires the court to elicit from a defendant information to support the finding of a factual basis creates an inconsistency between Rule 11 and Rule 43, and draws into question the continued viability of plea by waiver.
¶ 51. I agree with the majority that confusion exists concerning "substantial compliance" in the context of Rule 11(f) and that the concept of "substantial compliance" makes little sense in the context of Rule 11(f). There is either a factual basis for a defendant's guilty plea, from whatever sources, or there is not.
¶ 52. Although actual compliance with Rule 11(f) is required, there is no set method by which the trial court must satisfy itself that there is a factual basis for the charge. The rule "leaves to the judge the standard of probability of guilt to be applied, as well as the nature and depth of the inquiry." Reporter's Notes, V.R.Cr.P. 11 (citing ABA Minimum Standards § 1.6, Commentary); ABA Standards for Criminal Justice: Pleas of Guilty § 14-1.6, Commentary ("No attempt is made, in this standard, to specify a particular level of probable guilt for the factual basis inquiry. The matter is left largely to the discretion of the judge, as the circumstances of the case will dictate both the degree and kind of inquiry that is necessary."); see also In re Stocks,
*511¶ 53. As is evident throughout our Rule 11 cases and those of the federal courts, " Rule 11 mandates no precise language or magic words; rather, it mandates an outcome." In re Brown,
¶ 54. With these principles in mind, it is evident that petitioner's argument in this case must fail. According to petitioner, the court could not find a factual basis for his guilty plea despite his agreement, on the record, that a factual basis existed. Petitioner's admission rested on facts outlined in law enforcement affidavits. We have specifically recognized that an affidavit may provide a sufficient factual basis for a plea of guilty if the court engages in "a confirming colloquy with the defendant." Yates,
¶ 55. Contrary to petitioner's suggestion, we did not hold in Yates that a court must read any affidavits into the record, or that a defendant must orally admit each specific fact contained in an affidavit. This would elevate form over substance, requiring the type of "magic words" that we have steadfastly rejected in the Rule 11 context. In re Brown,
¶ 56. Petitioner's belated argument is further belied by the fact that he signed a written waiver of his rights in which he acknowledged, among other things, that he was "aware of the evidence to support the charge and any defenses which might be available to [him]." He expressed his understanding that "by pleading GUILTY, [he] admit[ted] the essential part of the offense with which [he] ha[d] been charged." He "ask[ed] the Court to accept [his] plea, making no claim of innocence." The court could rely on this document as additional support for its conclusion that a factual basis existed for petitioner's guilty pleas. I would overrule Manosh,
¶ 57. I emphasize, moreover, that it is the court, not the defendant, which must be satisfied under V.R.Cr.P. 11(f) that a factual basis exists for the pleas. See, e.g., 5 W. LaFave, et al., Crim. Procedure § 21.4(f) (4th ed.) (explaining that purpose of factual basis provision is for judge, who receives a plea of guilty "to make a determination regarding the accuracy of the plea"); cf. ante ¶ 24 (concluding that evidence fails to show that "petitioner understood the law underlying each charge in relation to the facts" (emphasis added)). There is no showing, on this record, that the court failed to "protect a defendant who is in the position of pleading voluntarily with an understanding of the nature of the charge but without realizing that his conduct does not actually fall within the charge." McCarthy,
¶ 58. Whatever our Rule 11(f) jurisprudence might be, it should not become an avenue where a defendant makes a plea *513agreement, receives the benefit of the State's dismissal of some or many charges, and then years later claims he did not understand the factual basis for the charges to which he pleaded guilty. This deprives the State, if for no other reason than the passage of time, of a fair opportunity to litigate claims previously dismissed pursuant to a later-challenged plea agreement. It upsets the finality of decisions. This is particularly true in the PCR context, as the only time limit imposed on such requests is that the petitioner be "[a] prisoner who is in custody under sentence of a court." 13 V.S.A. § 7131. If we allow such challenges many years after the initial plea, fairness to the trial court dictates we should apply the law concerning the ascertainment of a factual basis as it existed at the time of the plea, not under the latest iteration of our Rule 11(f) jurisprudence.
¶ 59. Our case law concerning Rule 11(f), as set forth above, has been contradictory to this point. The concurrence acknowledges this. Ante, ¶ 29. The majority's insistence that our case law has been consistent "with few exceptions" does not render it so. At the time that the plea was taken here, the trial court could have relied on our holding in Yates that "an affidavit may be a source of facts to support the plea," and that petitioner's admission that these affidavits provided a factual basis satisfied the rule.
¶ 60. The trial court could not, however, have relied on Stocks, and subsequent case law, which came well after the plea was accepted here. The majority has not explicitly considered the question of whether its decision should be retroactively applied, nor has it grappled with the decision's far-reaching implications. I expect we will soon see a spate of collateral challenges to very old criminal convictions on "factual basis" grounds, relying on Stocks,
¶ 61. Lastly, even if we ignore the question of retroactivity, the appropriate remedy here should not be a remand to allow petitioner to withdraw his guilty pleas. Instead, if, as the majority concludes, "the record does not include sufficient information from which the district court could find a factual basis for the guilty plea, the appropriate remedy is to remand to the [trial] court for further proceedings to create the appropriate record." Tunning,
¶ 62. The strong dissent in Manosh emphasized that we must continue to embrace "a practical and functional application" of Rule 11's requirements, rather than "a mechanical approach."
¶ 63. I am authorized to state that Chief Justice Reiber joins this dissent.
The majority does not address the U.S. Supreme Court holding in North Carolina v. Alford that a guilty plea may be voluntary even in the face of a defendant's refusal to admit the underlying facts. See North Carolina v. Alford,
See Teague v. Lane,
In 2002, the language of Federal Rule 11 was "amended and reorganized as part of the general restyling of the Criminal Rules to make them more easily understood and to make style and terminology consistent throughout the rules." See Advisory Committee Notes-2002 Amendment, F.R.Cr.P. 11. What had been Rule 11(f) became Rule 11(b)(3), which now provides: "Before entering judgment on a guilty plea, the court must determine that there is a factual basis for the plea." As the Advisory Committee Notes make clear, this change was "intended to be stylistic only." Advisory Committee Notes-2002 Amendment, F.R.Cr.P. 11.
We have previously recognized that the trial court can consult various sources in ascertaining a factual basis. Thus, in State v. Whitney,
In Whitney, we concluded that the trial court had properly "satisfied itself that there was a factual basis for the plea by examining the affidavit of the arresting officer," which had been supplied to the defendant.
At the time McCarthy was decided, Rule 11 provided:
A defendant may plead not guilty, guilty or, with the consent of the court, nolo contendere. The court may refuse to accept a plea of guilty, and shall not accept such plea or a plea of nolo contendere without first addressing the defendant personally and determining that the plea is made voluntarily with understanding of the nature of the charge and the consequences of the plea. If a defendant refuses to plead or if the court refuses to accept a plea of guilty or if a defendant corporation fails to appear, the court shall enter a plea of not guilty. The court shall not enter a judgment upon a plea of guilty unless it is satisfied that there is a factual basis for the plea.
Quoted in McCarthy,
A defendant may plead not guilty, guilty or, with the consent of the court, nolo contedere. The court may refuse to accept a plea of guilty, and shall not accept the plea without first determining that the plea is made voluntarily with understanding of the nature of the charge. If a defendant refuses to plead or if the court refuses to accept a plea of guilty or if a defendant corporation fails to appear, the court shall enter a plea of not guilty.
Quoted in E. Brand, "Revised Federal Rule 11: Tighter Guidelines for Pleas in Criminal Cases,"
This would seem to conflict with the Supreme Court's holding in Alford.
The majority also asserts that "[a]bsent strict application of the Rule 11(f) requirement, there would be no portion of a Rule 11 colloquy to satisfy the court that the guilty plea is factually supported." Ante, ¶ 23. Why would this be so? The court must develop a factual basis on the record and it can do so through a variety of sources. It is not clear why a "strict application" of Rule 11(f) would impose a personal-colloquy requirement in any event given that that requirement is not in the text of the rule itself.
Indeed, Rule 11(c) and (d) were expressly amended in 2013
to clarify that in misdemeanor cases, consistent with the provisions of Rule 43, the court may accept a plea of guilty or nolo contendere and find that such a plea is knowing and voluntary, without a colloquy in open court, upon submission of a plea by a defendant given in writing, upon a written waiver form which acknowledges understanding and voluntary waiver of all advisements and rights that are the subject of colloquy prescribed by Rules 11(c) and (d).... Pleas by waiver pursuant to plea agreement in certain misdemeanor cases have long been accepted in misdemeanor cases, and the amendment serves to clarify the practice. In each case, the judge must also find in writing that the plea is knowing and voluntary and with adequate factual basis.
Reporter's Notes-2013 Amendment, V.R.Cr.P. 11.
V.R.Cr.P. 11(f) does not require the establishment of a factual basis for a plea of nolo contendere. See generally 1A C. Wright, et al., Fed. Prac. & Proc. Crim. § 179 (4th ed.) (stating that "factual basis" requirement is only provision that applies to pleas of guilty but not to pleas of nolo contendere, and "[t]his is because a plea of nolo contendere may be accepted from a defendant who is wholly innocent but who does not wish to contest the charge"). "Implicit in the nolo contendere cases is a recognition that the Constitution does not bar imposition of a prison sentence upon an accused who is unwilling expressly to admit his guilt but who, faced with grim alternatives, is willing to waive his trial and accept the sentence." Alford,
As the concurrence points out, moreover, the majority's holding now apparently prohibits the entry of Alford pleas, which, rare as they might be, we have previously accepted and which the U.S. Supreme Court finds constitutionally acceptable.
In In re Manosh,
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