Robert Lee MENEFEE, Appellant v. The STATE of Texas.
No. PD-1530-08.
Court of Criminal Appeals of Texas.
July 1, 2009.
287 S.W.3d 9
Michael J. West, Asst. Criminal District Atty., Tyler, for State.
OPINION
PRICE, J., delivered the opinion of the Court in which MEYERS, WOMACK, JOHNSON, HOLCOMB and COCHRAN, JJ., joined.
The appellant pled guilty in an open plea proceeding to the offense of possession of cocaine with intent to deliver in an amount greater than one, but less than four grams, a second-degree felony.1 He also pled true to an allegation that the offense occurred within a thousand feet of an institution of higher learning as well as to an allegation that he had been previously convicted of another felony offense for possession of a controlled substance, thus subjecting him to punishment as an enhanced first-degree felon.2 The trial court assessed his punishment at confinement in the penitentiary for a period of fifty-six years.
On appeal, the appellant contended that the evidence was insufficient to support his guilty plea, in contravention of Article 1.15
PROCEDURAL POSTURE
The indictment alleged, inter alia, that the appellant “did then and there possess with intent to deliver, a controlled substance, namely, cocaine, in an amount of one (1) gram or more but less than four (4) grams, including any adulterants or dilutants[.]” The written stipulation of evidence in support of the appellant‘s open guilty plea, however, acknowledged as “true and correct” that the appellant “did then and there with intent to deliver, a controlled substance, namely, cocaine, in an amount of one (1) gram or more but less than four (4) grams, including adulterants and dilutants[.]” It is undisputed that the written stipulation thus failed to include the element of possession with intent to deliver the requisite amount of cocaine. For this reason, the court of appeals proceeded to inquire, consistent with Dinnery v. State, 592 S.W.2d 343, 352 (Tex.Crim.App.1980), whether the record might otherwise contain evidence sufficient to sustain the appellant‘s guilty plea.7
The court of appeals found independent support for the appellant‘s guilty plea in the following sworn colloquy between the trial court and the appellant occurring during the guilty plea proceeding:
THE COURT: Mr. Menefee, in your case the grand jury returned an enhanced first degree felony charge of possession of a controlled substance with intent to deliver. The range of punishment on that particular charge is no less than 15 years and up to 99 years or life in the penitentiary and up to a hundred thousand dollar fine. You understand that‘s the range of punishment?8
THE DEFENDANT: Yes, sir.
THE COURT: Knowing that that‘s the range of punishment, the paperwork that‘s been provided to me that indicates that you‘ve decided to enter an open plea of guilty in relation to that particular charge and leave it to the Court to decide what type of punishment should be assessed. Is that correct?
THE DEFENDANT: That‘s correct, Your Honor.
THE COURT: And to that charge in the indictment as we‘ve just covered, how do you plead, guilty or not guilty?
THE DEFENDANT: Guilty, Your Honor.
From this point, the trial court turned to inquire into the appellant‘s plea to the enhancement provisions in the indictment.
The court of appeals held that the above colloquy sufficed to make up for the deficiency of the written stipulation. It reasoned that “[b]ecause [the appellant] pleaded guilty ‘[a]s to that charge in the indictment‘—possession of a controlled substance with intent to deliver—he supplied the element of possession, which was included in the indictment but omitted from his stipulation of evidence.”9 For support of this proposition, the court of appeals relied principally upon this Court‘s opinion in Cooper v. State, 573 S.W.2d 533 (Tex.Crim.App.1978).10 Justice Hoyle disagreed with the majority, observing that “the fact that the trial court specifically referenced the ‘charge in the indictment’ before [the appellant] pleaded guilty is not evidence supporting the conviction.”11 We granted the appellant‘s petition for discretionary review to determine which view better accords with our case law construing Article 1.15.12
THE LAW
The United States Constitution does not require that the State present evidence in suppоrt of a guilty plea in Texas courts.13
A deficiency of one form of proof—say, a defective written stipulation of evidence (as we have in this case) or written judicial confession—may be compensated for by other competent evidence in the record.20 In the instant case, the court of appeals held that the defective written stipulation was saved by the sworn colloquy between the trial court and the appellant in which the appellant acknowledged that he was pleading guilty to the offense as alleged in the indictment, including the element of possession that was missing from the stipulation. The question presented in this case is whether a sworn acknowledgment that one is opting to plead “guilty” to the charged offense (without expressly admitting that the charges are “true and correct“) is tantamount to a judicial confession, sufficient to satisfy
ANALYSIS
[t]here is sometimes difficulty determining whether a statement made by the defendant is part of the plea entry process or is independent of it. Clearly, the uttering of the words “guilty” or “no contest” in response to the question, “How do you wish to plead?” is not substantiation, but the plea itsеlf. Some additional statement must be found to support a claim of substantiation by oral judicial confession.22
If they are right, then the court of appeals plainly erred in this case. When the appellant answered the trial court‘s question, “As to that charge in the indictment as we‘ve just covered, how do you plead,
Unfortunately, Professors Dix and Dawson cite no cases for their assertion that the plea itself cannot provide substantiation. Perhaps the reason for this omission is that our case law is impossibly ambiguous on the subject. We turn to an examination of the relevant case law.
Drain
In Drain v. State, 465 S.W.2d 939 (Tex.Crim.App.1971),24 an oral stipulation was dictated into the record in support of the guilty plea. At that time,
Q Your name is Dyon Weslie Drain?
A Yes, sir.
Q And you heard me make several waivers for you, and did I have the right to make those waivers for you?
A Yes, sir.
Q And are you guilty of this charge and are you pleading guilty because you are guilty and for no other reason?
A Yes, sir.26
We held this sworn colloquy to constitute, not an oral judicial confession, but “merely an additional admonishment by counsel.”27 This was so even though Drain seemed to be expressly admitting he was “guilty of this charge.” If Drain is controlling, then the court of appeals plainly erred in the instant case, because the only thing that the appellant acknowledged under oath during his plea proceeding was that he was pleading guilty to the charged offense, not that he was in fact guilty of that offense. This was but an entry of his plea, and not an independent substantiation of it.
Cooper and Craven
Two subsequent cases tend to cast the holding of Drain in doubt. In Cooper v. State, 573 S.W.2d 533 (Tex.Crim.App.1978),28 the case upon which the court of appeals here principally relied, we upheld the sufficiency of the evidence to support a guilty plea with little more discussion than this:
It is true that [the] written judicial confession cannot support the guilty plea. When appellant took the stand and testified, however, he stated that he was pleading guilty just as he was charged in the indictment, and that he was saying
he was guilty regardless of what punishment the court would assess. We consider this was a sufficient judicial confession to support the plea under
Art. 1.15 , supra. Cf. Potts v. State, Tex.Cr.App. 571 S.W.2d 180, and authorities cited there.29
Neither Potts, however, nor the “authorities cited there” directly support the proposition that a defendant‘s mere acknowledgment that he was “pleading guilty,” or even that he was “saying he was guilty[,]” constitutes an oral judicial confession, independent of the entry of the plea itself and sufficient to substantiate it.30 We made no mention of Drain in Cooper, much less did we try to distinguish it.
In Craven v. State, 607 S.W.2d 527 (Tex.Crim.App.1980),31 the appellant attempted to collaterally attack his guilty plea in an appeal of the revocation of his probation. He argued that the evidence did not support the original plea because, whereas the indictment had alleged burglary by entry and commission of theft, he judicially confessed to burglary by entry with the intent to commit theft. A three-judge panel of the Court noted that an allegation of insufficient evidence may not be entertained in a collateral attack; only claims of no evidence will give rise to relief in a collateral attack.32 We apparently regarded Craven‘s flawed judicial confession, together with the fact that he “took the stand and pled guilty to the indict-
ment[,]” to provide at least some evidence (even if not necessarily sufficient evidence in contemplation of Article 1.15) to support the plea, and we therefore concluded that he could not attack the plea proceeding collaterally.33
Judge Clinton dissented to the Court‘s denial of Craven‘s motion for en banc rehearing. He construed the panel opinion to stand for the proposition that the following colloquy between Craven and the trial court constituted a judicial confession:
Q: You are the same Lemuil Craven as charged in the Indictment in this cause, is that right?
A: Yes, sir.
Q: Is that a cause that lists an offense on January the 15th, 1975, is that right?
A: Yes, sir.
Q: And are you pleading guilty to that Indictment?
A: Yes, sir.34
We reject Judge Clinton‘s view, however, that the panel opinion in Craven held that this colloquy (quite similar to the colloquy in this case that the court of appeals relied upon) could, by itself, constitute sufficient evidencе to support a guilty plea. At best, Craven can be read only for the proposi-
Morris
In 1986, we granted a petition for discretionary review to resolve this latent confusion in the case law. In Morris v. State, 749 S.W.2d 772 (Tex.Crim.App.1986),35 the appellant had modified a written judicial confession that would have acknowledged that the indictment allegations were “true and correct,” so that it only acknowledged that he was in fact pleading “no contest” to those allegations.36 The court of appeals had hеld this, nevertheless, to constitute a judicial confession, sufficient in itself to support the plea under
In his opinion for the Court, Presiding Judge Onion nevertheless disposed of the case by holding that the court of appeals had lacked jurisdiction to reach the merits of the sufficiency claim; accordingly, he
declined to address the issue upon which review had been granted.40 In a dissenting opinion, Judge Clinton disagreed that the court of appeals hаd lacked jurisdiction over the issue, and he therefore addressed the merits.41 In the latter context, he argued:
Simply to invest the plea itself with the trappings of an oath does not elevate it to the status of evidence. Appellant merely swore to the fact that he understood the indictment and was pleading no contest to it. This does not amount to confirmation that such allegations are true and correct or that appellant committed the offense so alleged. Patently, as modified, the stipulation constitutes neither a “judicial confession” nor any other manner of evidence contemplated under Article 1.15 as necessary to support the trial court‘s judgment.42
Moreover, Judge Clinton advocated overruling both Cooper and Craven, at least to the extent that they can be construed to conflict with the earlier decision in Drain.43 Since Morris, this Court has not revisited thе issue of whether a defendant‘s sworn affirmation that he is indeed pleading guilty should be regarded as evidence sufficient to substantiate his plea for purposes of
We take the opportunity to do so now. For the reasons expressed in Judge Clinton‘s dissenting opinion in Morris, we hold that the appellant‘s sworn affirmation, in response to the trial court‘s questioning,
DISPOSITION
The court of appeals erred to hold that the deficiency in the written stipulation was remedied by the appellant‘s plea colloquy with the trial court in this cause. On appeal, the State also argued that evidence adduced at the subsequent sentencing hearing also independently served to provide evidentiary support for the appellant‘s guilty plea.44 The court of appeals was not compelled to address this argument given its acceptance of the State‘s other argument. However, in light
of our holding today, we think it necessary to the final disposition of the appeal that the court of appeals address it now.45 Moreover, the State also argues, albeit for the first time in its reply brief to the appellant‘s petition for discretionary review, that the appellant prоcedurally defaulted his Article 1.15 sufficiency claim because he made no complaint about the deficiency in the written stipulation at trial.46 Because issues of error preservation are systemic in first-tier review courts,47 we think it appropriate that the court of appeals address this issue as well (or in the alternative, as the case may be), subject to our discretionary review at a later date. Finally, because the court of appeals concluded that there was no trial error, it did not confront the question of whether it would be appropriate to conduct a harm analysis, and, if so, whether the trial error was harmless under Rule 44.2(b) of the Rules of Appellate Procedure.48 It may become necessary for the
WOMACK, J., filed a concurring opinion in which COCHRAN, J., joined.
COCHRAN, J., filed a concurring opinion.
KELLER, P.J., filed a dissenting opinion in which KEASLER and HERVEY, JJ., joined.
WOMACK, J., filed a concurring opinion, in which COCHRAN, J., joined.
So far as the United States Constitution is concerned, a voluntary and knowing plea of guilty is a sufficient basis for a judgment of guilt.1
In a federal court, the only additional requirement is that “the court should not enter a judgment upon such plea without making such inquiry as shall satisfy it that there is a factual basis for the plea.”2
Many states have adopted a comparable provision. Generally, these provisions leave the judge free to decide in the particular case how this determination can best be made; the factual basis is
Nevertheless, “it is the responsibility of the reviewing court, once it concludes there was error, to determine whether the error affected the judgment.” Ford v. State, 73 S.W.3d 923, 925 (Tex.Crim.App.2002) (plurality opinion), citing Johnson v. State, 43 S.W.3d 1, 5 (Tex.Crim.App.2001). Should it conclude on remand that trial error did occur, and that the error was preserved, the court of appeals should not reverse the conviction without addressing the harm issues enumerated above. The court of appeals may invite the parties to file supplemental briefs. See TEX.R.APP. P. 38.7 (“A brief may be amended or supplemented whenever justice requires, on whatever reasonable terms the court may prescribe.“).
most commonly made by inquiry of the defendant (sometimes said to be the best method), inquiry of the prosecutor or defense counsel, examination of the plea agreement, presentence report or preliminary hearing transcript, testimony by police, or a combination of these methods. Nor do they attempt to establish a precise quantum of evidence which must be met.3
Texas has a unique requirement that, if a jury trial has been waived, a plea of guilty in a felony case must be supported by evidence.
This requirement of evidence was part of a 1931 act of the legislature that permitted a jury trial to be waived. Before 1931, Texas law required a jury in every felony case. Jury trial was required in every case in which the defendant pleaded not guilty. The first legislature of the state enacted a statute requiring juries to assess punishment in every case in which a defendant pleaded guilty.4 In 1879, the requirement of a jury on a plea of guilty was limited to felony cases.5
In 1930, the Supreme Court held in Patton v. United States that the Sixth Amendment was not violated by the waiver of trial by jury in a criminal case in the
The 1931 statute also required that, when a jury is waived in a felony case, the State must introduce evidence showing the defendant‘s guilt.8 This requirement now appears in
No person can be convicted of a felony except upon the verdict of a jury duly rendered and recorded, unless the defendant, upon entering a plea, has in open cоurt in person waived his right of trial by jury in writing in accordance with Articles 1.13 and 1.14; provided, however, that it shall be necessary for the state to introduce evidence into the record showing the guilt of the defendant and said evidence shall be accepted by the court as the basis for its judgment and in no event shall a person charged be convicted upon his plea without sufficient evidence to support the same. The evidence may be stipulated if the defendant in such case consents in writing, in open court, to waive the appearance, confrontation, and cross-examination of witnesses, and further consents either to an oral stipulation of the evidence and testimony or to the introduction of testimony by affidavits, written statements of witnesses, and any
othеr documentary evidence in support of the judgment of the court. Such waiver and consent must be approved by the court in writing, and be filed in the file of the papers of the cause.
The basis of the requirement, according to one member of this court, was that, “Obviously the legislature ... did not want any man whom the state could not and did not prove guilty of the crime charged sent to the penitentiary upon his plea of guilty before a trial court.”9
If that was what the legislature wanted in 1931, it must have changed its mind in 1965, when it revised the Code of Criminal Procedure. It added to the statute a provision that the evidence to support a guilty plea could be stipulated.10 So the statutory protection was limited to that class of defendants who: (1) could not be proved guilty by the State, (2) would waive a triаl by jury and plead guilty, but (3) would refuse to stipulate to the evidence.
In 1980, the Court encountered a case in which a defendant had waived trial by jury, pleaded guilty to burglary, and entered into a stipulation of evidence, but it was a stipulation to a different kind of burglary than the one for which he was being tried. This Court held that the following testimony of the defendant was sufficient to support the conviction:
Q You have gone over that indictment with me, have you not?
A Yes, sir.
Q We have read it?
A Yes, sir.
Q And is it true and correct?
A Yes, sir.11
Thus the Court of Criminal Appeals decided that, despite what the statute said, a defendant‘s judicial confession would be sufficient to meet the requirement that the State produce evidence of guilty when a trial by jury had been waived.
Since then, fifteen Legislatures have convened and adjourned without changing the requirement of evidence.
What interest is being served by the statutory requirement of evidence if it can be satisfied by a judicial confession?
Of course, it is the Legislature‘s prerogative to regulate this procedure by statute. The statute, as this court had construed it, now protects only defendants who: (1) could not be proved guilty by the State, (2) but would waive a trial by jury and plead guilty, (3) but would refuse to stipulate to the evidence, and (4) would refuse to judicially confess.
I agree that in this case the State did not satisfy the statute (as this court has construed it), since the prosecutor failed to introduce real evidence or stipulated evidence, and even failed to ask the defendant to judicially confess.
OPINION
COCHRAN, J., filed a concurring opinion.
I join the opinion of the Court as well as Judge Womack‘s concurring opinion. I agree with the majority that the explicit terms of
This case is a good example of why the “independent evidence” requirement of
It is, as the majority correctly notes, trial error.5 It is hard to imagine how this typographical omission could “affect appellant‘s substantial rights” under our current harmless error rule,6 but because the parties have not yet had an opportunity to present arguments on that issue, and the court of appeals has not addressed it, I agree that this case should be returned to that court.
DISSENTING OPINION
KELLER, P.J., filed a dissenting opinion in which KEASLER and HERVEY, JJ., joined.
The certification of appeal says that this was not a plea-agreement case and appel-lant had a right to appeal. This certification is refuted by the record. Appellant expressly waived his right to appeal. Under our opinion in Dears v. State, the certification of appeal is therefore defective.1 It is not clear whether a waiver of appeal or a defective certification results in a lack of appellate jurisdiction, or whether authorizing an appeal when there is a waiver or a defective certification is a systemic error under Marin,2 or whether the State has to complain at some point. We have not written on the specific issue. It does seem clear that if the discrepancy between the record and the certification had been raised early on, the court of appeals would have been, at the least, “obligated to review [the] record in ascertaining whether the certification [was] defective.”3 It also seems that the court of appeals would have lacked authority to reverse the judgment until thе matter was cleared up.4
We could remand this case to the court of appeals to address the issue of jurisdiction. Or we could address it ourselves. What we should not do is skip over the issue, because if the court of appeals did not have jurisdiction of the case, neither do we.
Rather than proceed under these circumstances, I would dismiss the petition as improvidently granted.
