Dеbora McEWAN, Appellant, Defendant, v. The STATE of Wyoming, Appellee, Plaintiff.
No. S-12-0252
Supreme Court of Wyoming.
Dec. 23, 2013
2013 WY 158
DAVIS, Justice.
[¶ 18] The district court, in its order denying Appellants’ motion for costs and attorney‘s fees, cited our discussion in EOG, as well as a decision from the 10th Circuit Court of Appeals holding that “A defendant may not recover attorneys’ fees when a plaintiff voluntarily dismisses an action with prejudice ... absent ‘exceptional circumstances.‘” Vanguard Envtl., Inc. v. Kerin, 528 F.3d 756, 760 (10th Cir.2008) (citing AeroTech, Inc. v. Estes, 110 F.3d 1523, 1528 (10th Cir.1997)) (“[W]hen a plaintiff dismisses an action with prejudice, attorneys’ fees are usually not a proper condition of dismissal because the defendant cannot be made to defend again.“). The district court found that “Defendants have not demonstrated ‘exceptional circumstances’ that, for example, Plaintiff made a repeated practice of bringing claims and then dismissing them with prejudice after inflicting substantial litigation costs on the opposing party and the judicial system. Vanguard Envtl., 528 F.3d at 760.” Ultimately, the district court concluded that Appellants were not entitled to costs or attorney‘s fees for any portion of the litigation:
The dismissal of Plaintiff‘s claim with prejudice before any adjudication was pursued on remand did not result in additional litigation fees or costs for Defendants. Defendants are not entitled to taxable costs or attorney‘s fees for the remand of this case. Likewise, because Defendants were not the successful party in Big-D Signature Corp. v. Sterrett Properties, LLC, 2012 WY 138, 288 P.3d 72, they are not entitled to taxable costs or attorney‘s fees for any portion of this litigation.
Additionally, in the portion of the court‘s order responding to Big-D‘s request for sanctions, the court stated that Appellants’ request for costs and attorney‘s fees “needlessly increased the cost of litigation,” that Appellants’ claims were “unwarranted by existing law,” and that “[Appellants‘] allegations flagrantly disrеgard evidentiary support.”3
[¶ 19] As indicated in the district court‘s order, the circumstances of the present case do not support Appellants’ claim that the district court‘s failure to award costs and attorney‘s fees under
[¶ 20] Affirmed.
Representing Appellee: Gregory A. Phillips, Wyoming Attorney General; David L. Delicath, Deputy Attorney General; Jeffrey Pope, Assistant Attorney General.
Before KITE, C.J., and HILL, VOIGT, BURKE, and DAVIS, JJ.
DAVIS, Justice.
[¶ 1] Appellant Debora McEwan was convicted of two felony counts of obtaining public welfare benefits by misrepresentation after entering guilty pleas without admitting guilt under North Carolina v. Alford, 400 U.S. 25, 91 S.Ct. 160, 27 L.Ed.2d 162 (1970).1 Our recent decision in Balderson v. State, 2013 WY 107, 309 P.3d 809 (Wyo.2013), requires us to reverse McEwan‘s conviction and remand with instructions to reinstate her initial not guilty plea because the district court did not provide the required statutory firearms advisement when she changed her plea. Any other issues relating to the taking of a guilty plеa can be addressed on remand if she chooses to enter a guilty plea rather than go to trial.
ISSUES
[¶ 3] McEwan raises five issues which, stripped to their essentials, may be stated as follows:
- Must her two guilty pleas be set aside because the district court failed to give the advisements required by
W.R.Cr.P. 11 andWyo. Stat. Ann. § 7-11-507 ? - Was she dеprived of her constitutional right to a speedy trial or the complementary right provided by
W.R.Cr.P. 48 ? - Did the district court abuse its discretion in denying McEwan‘s motion to withdraw her guilty plea?
- Was the district court‘s order relating to restitution illegal?
- Did the district court commit plain error by allowing one public defender to substitute for another in representing McEwan?
FACTS
[¶ 4] In late October of 2008, an anonymous tip prompted the Wyoming Department of Family Services (DFS) to begin a nearly one-year investigation of McEwan and her adult son and daughter for possible welfare fraud. McEwan lived with her three minor children in Greybull, and her adult daughter had a minor child of her own. In her application for public assistance benefits, McEwan reported to DFS that she was self-employed and derived her income solely from her karaoke services business.
[¶ 5] The investigation revealed that DFS had paid McEwan‘s adult son for caring for his adult sister‘s child at times when he was working somewhere else, and when his sister, contrary to her representations to DFS, was not working. McEwan counter-endorsed the state warrants made payable to her son. After examining documents submitted to DFS and the accounts owned by McEwan at Big Horn Federal Savings Bank, particularly one listed under the name “Live Wire Entertainment,” the DFS investigator discovered that McEwan was working for four different employers (not including herself) under pseudonyms, аnd that she had deposited wages from three of the four into her “Live Wire” account. She did not disclose those sources of income to DFS.
[¶ 6] At the same time, McEwan obtained food stamps and child care assistance benefits relating to her minor children. As to the latter, the investigator obtained records from the establishments to whom she reportedly provided karaoke services and could not verify that McEwan was working at the times she stated in her claims for child care assistance.
[¶ 7] On January 6, 2010, the Big Horn County and Prosecuting Attorney charged McEwan with three felonies: knowingly failing to report income to obtain food stamp benefits of $500 or more in violation of
[¶ 8] On the day set for the preliminary hearing, McEwan waived the time limits contained in
[¶ 9] On April 1, 2010, the county attorney requested a setting for arraignment.
[¶ 10] The new judge held McEwan‘s arraignment on August 26, 2010. On October 5, McEwan moved to compel discovery from DFS and requested a hearing on that motion. On October 21, the court set the motion hearing for October 28, and on October 25, it set McEwan‘s trial as the second casе stacked for trial on January 31, 2011. Two days before a pretrial conference scheduled for January 13, McEwan moved to continue both the conference and the trial. On January 18, the court reset the pretrial conference to March 24 and the trial to April 11, 2011.
[¶ 11] In early March of 2011, McEwan filed a signed and witnessed waiver of her right to a speedy trial and a motion to vacate the trial setting. The motion recited that she was negotiating with the newly-elected county attorney for a plea agreement for herself, and if possible, a “global” agreement also resolving similar charges against her adult children. She anticipated that negotiations could bе completed within ninety days and asked that the pretrial conference and trial not be reset until after June 15, 2011.
[¶ 12] Within a week of filing that motion, defense counsel requested that McEwan be evaluated to determine whether she was mentally fit to proceed under
[¶ 13] On June 29, 2011, another public defender entered his appearance and identified himself as the substitute for McEwan‘s original рublic defender. That same day, he filed demands for discovery, for notice of the prosecutor‘s intent to introduce uncharged misconduct evidence, and for a speedy trial. On September 27, 2011, the district court acted on McEwan‘s motion to reset her trial after June 15, 2011, and scheduled a pretrial conference on December 15, 2011, and trial on January 9, 2012, when it would be second on the trial stack. On December 16, 2011, the court rescheduled the pretrial conference to May 24, 2012, and trial first on the trial stack for June 4, 2012 on its own motion.
[¶ 14] On May 24, 2012, a letter in which McEwan indicated by her signature that she had accepted a plea agreement offered by the prosecutor was filed. The State agreed to dismiss the charge relating to concealment of income in order to obtain food stamps, in exchange for which McEwan agreed to enter an Alford guilty plea to the remaining two charges. The State also agreed to cap its sentencing argument to ask for concurrent sentences of no more than four to six years on those charges, and to dismiss pending felony probation revocation proceedings against her. McEwan was free to arguе for a lesser sentence and probation. She agreed to pay restitution on all three of the original charges.
[¶ 15] McEwan changed her plea to guilty as required by the agreement the same day it was filed.4 During that hearing she indicated that she understood the agreement and the advisements given her by the court, and that she was satisfied with her attorney‘s representation.
[¶ 16] A presentence investigation report was completed on June 10, 2012, and the court set McEwan‘s sentencing for August 2. The sentencing hearing began with an oral motion by McEwan‘s attorney to withdraw her guilty plea. Counsel explained that McEwan “feels” she was confused and did not fully understand what was going on and what she was agreeing to at the time she changed her plea, that she felt coerced by a threat that the prosecutor might bring additional charges against her and her two adult children, and that she “has the feeling that her speedy trial rights have been violated.” The district court denied the motion. McEwan was sentenced to concurrent terms of three to five years.
DISCUSSION
The Change of Plea and the Motion to Withdraw Guilty Plea
[¶ 17] McEwan‘s first and third claims of error are overlapping arguments relating to the district court‘s alleged failure to comply
[¶ 18] In her third claim of error, McEwan argues that the district court abused its discretion when it denied her motion to withdraw her guilty pleas because it failed to comply with
[¶ 19] We will reverse and remand with directions to set McEwan‘s convictions aside and to reinstate her not guilty pleas because the district court did not give the advisements required by
Section 7-11-507 provides that “[n]o judgment of conviction shall be entered upon a plea of guilty or nolo contendere to any charge which may result in the disqualification of the defendant to possess firearms ... unless the defendant was advised in open court by the judge.”§ 7-11-507 (emphasis added). The use of the word “charge” indicates to us that the legislature intended to require that the advisement be given if the charge is one which could result in loss of firearms privileges. Unlike the State, we interpret the word “may” to instruct courts to give the advisement if it is possible for a conviction of the crime charged to result in the loss of firearms rights. If the legislature had intended the advisement to be given only if a defendant had not already lost his firearms privileges, it cоuld easily have said so, but did not.
Id. at ¶ 19, 309 P.3d at 813 (footnote omitted). We emphasized that the legislature required judges to do no more than read an advisement when accepting a guilty plea to crimes that could lead to loss of firearms and employment that required carrying firearms. We also pointed out that the advisement would have to be given in all felony prosecutions, meaning that it could simply be read in all district court cases. Id. at ¶ 22, 309 P.3d at 814. Finally, we noted that if the legislature intended that failure to give the advisement would not invalidate a guilty plea if the
[¶ 20] Because we find that McEwan‘s guilty plea must be set аside due to lack of a firearms advisement, we find it unnecessary to address her claims that the provisions of
The Speedy Trial Questions
[¶ 21] McEwan also asserts she was denied the constitutional right to a speedy trial under the
[¶ 22] From the time charges were first brought against McEwan until she entеred her guilty plea 870 days elapsed. However, during a considerable portion of that time the district court had before it a waiver of speedy disposition and, except for a perfunctory written demand for a speedy trial filed by her substitute counsel nearly two-thirds of the way through that period, she never actively sought a trial date. To the contrary, she contributed to the delay.
[¶ 23] Between the filing of the charges against her on January 6, 2010, until her attorney filed his demand on June 29, 2011—a period of 540 days—McEwan waived her right to a speedy preliminary hearing and obtained a continuance of that hearing, and twice obtained continuances of her arraignment, the seсond of which was prompted by her peremptory challenge of the district judge first assigned to her case and her request that he not arraign her, even though
[¶ 24] By March 15, 2011, her interactions with her first attorney led him to suspect that McEwan might be suffering from a mental problem that adversely affected her ability to assist in her own defense, and he therefore asked that she be evaluated to determine if she was fit to proceed under
[¶ 25] When McEwan‘s substitute counsel appeared and demanded a speedy trial, he also filed motions that had to be resolved before a new trial date could be set. Nowhere in the record is there any indication that the new attorney abandoned the plea negotiations begun by McEwan‘s first appointed lawyer, which had been the reason he sought a continuance. Despite demanding a speedy trial, he did not object or ask for an earlier setting when, оn September 27, 2011, the district court set McEwan‘s trial for January 9, 2012.
[¶ 26] Trying to determine the reasons for additional delays of the trial would be an
[¶ 27] Perhaps more importantly, McEwan has failed to show that she wаs prejudiced by any delay preceding her plea. Such prejudice can take the form of unusual pretrial anxiety, lengthy pretrial incarceration, or impairment of her defense. Boucher v. State, 2011 WY 2, ¶ 17, 245 P.3d 342, 351 (Wyo.2011). Neither McEwan‘s brief nor the record hint at any unusual anxiety. She was incarcerated for no more than a week after she was arrested and so was free on bond for almost all of the time she now claims imposed an unreasonable delay.
[¶ 28] She has made little effort to show that the passage of time impaired her ability to present a defense at trial. Although she asserts in her appellate brief—in almost as few words—that essential witnesses became unavailablе or passed away, she concedes that this is not a matter of record and fails to identify those witnesses, the nature of their anticipated testimony, or when they became unavailable. For all of these reasons, we conclude McEwan was not deprived of her Sixth Amendment right to a speedy trial.
[¶ 29] We draw a similar conclusion concerning the speedy trial requirements of
[¶ 30] McEwan‘s Rule 48 argument proceeds from the faulty premise that her arraignment took place on June 22, 2010. That was indeed the day initially set for arraignment, and the day on which she first appeared before the district court to be arraigned. The first trial date set was January 31, 2011, and this would of course have been more than 180 days after June 22, 2010. McEwan argues that her rights were there-
[¶ 31] However, although the court advised her of her rights and the nature of the charges against hеr on June 22, 2011, it did not take her plea that day because she peremptorily challenged the assigned judge and her attorney asked that the arraignment be continued. A new judge was then assigned and held the arraignment on August 26, 2010.
[¶ 32] The sine qua non of an arraignment is the taking of a plea. The purpose of an arraignment is “to inform the accused of the charge against him and obtain an answer from him.” 1A Wright, supra, § 161; see also
[¶ 33] The 180-day limit contained in Rule 48 would therefore have expired on February 22, 2011, and McEwan would have had her trial within that period if it had taken place as scheduled on January 31, 2011. However, on January 11, 138 days after her arraignment, she moved to continue the trial, and the district court subsequently rescheduled it for April 11. On March 2, she waived her right to a speedy trial, and eight days later she moved for another continuance to a date no earlier than June 15. The court granted that motion and reset McEwan‘s trial for January 9, 2012. Neither she nor her new attorney objected to that setting, even though they had filed a demand for a speedy trial on June 29, 2011.8 The court then continued the trial to June 4, 2012 on its own motion, and again McEwan did not object or attempt to show how further delay might prejudicе her. Before the rescheduled trial took place, she changed her plea.
[¶ 34] Disregarding the continuances which were properly granted under Rule 48, only 138 of the permissible 180 days elapsed after McEwan‘s arraignment. After that point in time, she signed a valid waiver of her speedy trial rights. She was not therefore denied her right to speedy trial under the rule.
Restitution
[¶ 35] McEwan claims that the district court erred by ordering restitution which the Department of Corrections may withdraw from her prison earnings. Since we remand with instructions to vacate her convictions, we need not address this issue in detail, but point out what we believe to be statutory provisions that govern collection of restitutiоn from defendants incarcerated in institutions operated by the Department of Corrections.
[¶ 36] When it set the amount of restitution owed by McEwan during her sentencing hearing, the district court said, “Of course, none of that is going to be due until she‘s released.” The judgment and sentence awarded restitution without this limitation, and McEwan now claims that this omission improperly allows the Department of Corrections to make restitution payments from her inmate account and renders the written sentence illegal.
[¶ 37] Unless the district court found that McEwan was unable to pay restitution, it was required to set the total amount she must repay DFS, and its order to that effect constituted a judgment upon which DFS could еxecute.
Substitution of Counsel
[¶ 38] McEwan also argues that her first public defender did not properly withdraw from her case, that the substitution of her second public defender was therefore also improper, and that she was prejudiced by the substitution because it delayed her case and adversely affected the preparation of her defense. While the record suggests that the requirements of
CONCLUSION
[¶ 39] We reverse McEwan‘s conviction and remand with instructions to reinstate her not guilty plea because the district court did not advise her at the time of taking her guilty plea that a felony conviction would prevent her from possessing firearms and being employed in professions that require the carrying of a firearm. Because McEwan may choose to go to trial or enter a guilty plea on remand, this Court will not address other issues she raises relating to the district court‘s advice to and colloquy with her at the time of taking her plea, issues regarding the denial of her motion to withdraw her plea, restitution, or substitution of counsel. We find no violation of the Sixth Amendment right to a speedy trial or of the speedy trial provisions of
Notes
The record is somewhat vague as to whether a plea was actually entered. McEwan‘s counsel was asked how she “would” plead, and counsel said she “would plead” guilty on an Alford basis. One could argue that this was an expression of a future intent that never came to fruition. However, the parties did not raise this issue. We note that
There also appeared to be confusion as to the nature of an Alford plea as compared to a no contest or nolo contendere plea. A no contest plea cannot be used against a defendant in other civil or criminal proceedings.
On the other hand, an Alford plea is a guilty plea. N. Carolina v. Alford, 400 U.S. 25, 31, 91 S.Ct. 160, 164, 27 L.Ed.2d 162 (1970); 5 Wayne R. LaFave, et al., Crim. Proc. § 21.4(f) (3d ed.2007). It differs from a conventional guilty plea because the defendant denies his guilt and therefore does not supply a satisfactory basis for the plea, but instead seeks to obtain the benefit of a plea bargain to avoid a potentially harsher penalty than he might receive if he goes to trial and is convicted. Id. Courts considering the issue have held that an Alford plea has the same preclusive effect in subsequent civil litigation as an ordinary guilty plea. Zurcher v. Bilton, 379 S.C. 132, 136, 666 S.E.2d 224, 227 (2008); United States v. In, 83 Fed.R.Evid. Serv. 168 (D.Utah 2010). Since the plea is admissible in other proceedings, it would be good practice to confirm with the defendant seeking to enter an Alford guilty plea that she understands the right to a jury trial, believes that the State can produce the evidence it claims it can, understands that a conviction may be used against her in other proceedings, and wishes the court to accept a guilty plea and impose sentence in order to obtain more favorable treatment under a plea agreement than she expects if the case goes to trial and there is a conviction.
