NASH v. THE STATE
S98G1663
Supreme Court of Georgia
June 14, 1999
Reconsideration Denied July 6, 1999
519 SE2d 893
HUNSTEIN, Justice.
Holland & Knight, Frank O. Brown, Jr., Weissman, Nowack, Curry & Wilco, Leigh M. Wilco, Vicki V. Mott, for appellees.
HUNSTEIN, Justice.
A jury fоund Nash guilty of aggravated assault. At his sentencing hearing, the State introduced for purposes of recidivist punishment, see
In Boykin v. Alabama, supra, 395 U. S. at 242, the United States Supreme Court held that a silent record cannot be used to establish that a guilty plea was knowingly and voluntarily made and that the
In an attempt to comply with Boykin, this Court held in Pope v. State, 256 Ga. at 209 (17), in regard to the sentencing phases of deаth penalty trials, that
[a] plea of guilty that is invalid under Boykin may not be used to enhance punishment in a subsequent trial. . . . [W]e conclude that once the defendant raises the issue of intelligent and voluntary waiver with respect to prior guilty pleas, the burden is on the state to establish a valid waiver.
Subsequent to Pope, the United States Supreme Court rendered its opinion in Parke v. Raley, supra, addressing the question whether due process permitted Kentucky to place the burden of proof on recidivism defendants to attack previous convictions based on guilty pleas as invalid under Boykin, supra. The Parke Court, however, found Boykin inapplicable in such collateral proceedings. The Parke Court held that
Boykin involvеd direct review of a conviction allegedly based upon an uninformed guilty plea. [Raley], however, never appealed his earlier convictions. They became final years ago, and he now seeks to revisit the question of their validity in a separate recidivism proceeding. To import Boykin‘s presumption of invalidity into this very different context would, in our view, improperly ignore another presumption deeply rooted in our jurisprudence: the “рresumption of regularity” that attaches to final judgments, even when the question is waiver of constitutional rights. [Cit.]
Id. at 29. Looking to state courts’ established practice of nearly a quarter century‘s duration in utilizing the Boykin colloquies in guilty plea proceedings, id. at 30, the Parke Court determined there was no reason to suspend the presumption of regularity in such proceedings, stating that it “defies logic to presume from the mere unavailability of a transcript . . . that the defendant was not advised of his rights.” Id. at 30. Thus, the Parke Court concluded that “[i]n this situation, Boykin does not prohibit a state cоurt from presuming, at least initially, that a final judgment of conviction offered for purposes of sentence enhancement was validly obtained.” Id.
Accordingly, the Parke Court recognized that “even when a collateral attack on a final conviction rests on constitutional grounds, the presumption of regularity that attaches to final judgments makes
In the years since Parke v. Raley was rendered, this Court has repeatedly applied and reaffirmed our holding in Pope v. State, supra, but always in the context of the sentencing phase of a death penalty case. See, e.g., Mize v. State, 269 Ga. 646 (15) (501 SE2d 219) (1998) (State has burden of proving a valid waiver before conviction may be used in aggravation of sentence during the sentencing phase of death penalty case); Waldrip v. State, 267 Ga. 739 (21) (482 SE2d 299) (1997) (guilty plea convictions were adequate on their face to prove voluntariness; misstatement by prosecutor regarding who had burden of proving voluntariness of guilty plea conviction was properly cured by trial court‘s instruction that burden of proof rests with Statе); Bright v. State, 265 Ga. 265 (20) (455 SE2d 37) (1995) (citing Pope, supra, holds that failure to object waived any problem with State‘s proving the voluntariness of collateral guilty plea convictions); Spencer v. State, 260 Ga. 640 (10) (398 SE2d 179) (1990) (voluntariness of plea could be determined from evidence adduced by State although no Pope objection had been raised to admission of plea); Potts v. State, 259 Ga. 96 (14) (376 SE2d 851) (1989) (in absence of trial transcript, requirement of Pope satisfied by testimony of witnesses from original trial to prove commission of crime). Since Parke v. Raley was rendered, the Court of Appeals has also correctly followed the controlling authority Pope represented in cases such as Postell v. State, 233 Ga. App. 800 (3) (505 SE2d 782) (1998), decided 11 weeks after Nash, supra; Manker v. State, 223 Ga. App. 3 (5) (476 SE2d 785) (1996); Dowdy v. State, 209 Ga. App. 95 (3) (432 SE2d 827) (1993).
The appeal in Nash presents this Court with the first opportunity to сonsider the application of our holding in Pope to non-death penalty cases in light of Parke v. Raley. Because Parke holds that Boykin does not require that the entire burden be placed on the State in sentence enhancement proceedings and because our present sys-
In concluding that the recidivism defendant carries the burden of production in a collateral attack on a final judgment, we follow Parke v. Raley in relying on the presumption, long recognized in Georgia, in favor of the regularity and legality of all proceedings in the courts belоw. Grinad v. State, 34 Ga. 270, hn. 1 (1866). See also Bridges v. State, 227 Ga. 24 (2) (178 SE2d 861) (1970); Newton v. Newton, 222 Ga. 175 (149 SE2d 128) (1966); Jones v. State, 226 Ga. App. 608 (487 SE2d 89) (1997). We also recognize the well-established practice by our State courts in utilizing the Boykin colloquies, see
This determination requires us to revise our previous scheme regarding the allocation of burdens of proof. In determining what burden of proof to impose, we have surveyed the foreign jurisdictions reviewed by the U. S. Supreme Court and more recent holdings. See, e.g., State v. Payne, 504 SE2d 335, 338 (S.C.App. 1998); People v. Carpentier, 521 NW2d 195 (IV) (Mich. 1994); James v. Commonwealth, 446 SE2d 900, 904 (Va.App. 1994); State v. Shelton, supra, 621 S2d at 779 (La. 1993); Fairbanks v. State, 629 A2d 63 (Md. 1993); State v. Triptow, 770 P2d 146, 149 (Utah 1989). We find most persuasive and consonant with Georgia law the “middle position,” which “requires the defendant to produce evidence of invalidity once the fact of conviction is proved but that shifts the burden back to the prosecution once the defendant satisfies his burden of production. [Cits.]” Parke, supra, 506 U. S. at 33. This procedure most realistically balances the various policies at issue, in that on one hand it gives effect to the presumption of regularity while fully protecting the defendant‘s right to
The State will meet its burden of proof if it introduces a “perfect” transcript of the taking of the guilty plea, one which reflects a colloquy between judge and defendant wherein the defendant was informed of and specifically waived his right to trial by jury, his privilege against self incrimination, and his right to confront his accusers. If the State introduces anything less than a “perfect” transcript, . . . the judge then must weigh the evidence submitted by the defendant and by the State to determine whether the State has met its burden of proving that defеndant‘s prior guilty plea was informed and voluntary, and made with an articulated waiver of the three Boykin rights.
State v. Shelton, supra, 621 S2d at 779-780.
Although the Court of Appeals failed to follow the controlling authority of Pope v. State, supra, 256 Ga. at 195 (17), for the reasons set forth above we affirm its application of Parke v. Raley. However, reviewing the record in light of the procedure we have adopted, we
Judgment affirmed in part, remanded in part. All the Justices concur, except Benham, C. J., Fletcher, P. J., and Sears, J., who concur specially.
BENHAM, Chief Justice, concurring specially.
At the sentencing hearing following appellant‘s conviction for aggravated assault, the trial court ruled that the State had carried its burden of establishing that appellant‘s prior guilty plea, proffered by the State to enhance appellant‘s punishment for the aggravated assault, was knowing, intelligent and voluntary. The State had presented extrinsic evidence at the sentencing hearing instead of submitting a copy of the transcript of appellant‘s guilty plea hearing. That evidence consisted of appellant‘s signed guilty plea and the testimony of the assistant district attorney who had signed the guilty plea and had been present at the guilty plea. He testified that, while he could not recall the specific details of appellant‘s guilty plea hearing, he had never signed a guilty plea form during his 11 years of practice before the judge who toоk the plea unless the pleader had been informed of his rights and knowingly and voluntarily waived them, and that it was the judge‘s practice of ensuring that the pleading defendant was aware of the possible consequences of a guilty plea and was aware of and waived his constitutional rights. Sworn testimony of a customary procedure may be used to establish compliance with constitutional rights or waiver thereof (Jones v. Wharton, 253 Ga. 82, 83 (316 SE2d 749) (1984); Stargell v. State, 183 Ga. App. 434 (2) (359 SE2d 205) (1987)), and the assistant district attorney‘s testimony was suffiсient to establish that appellant had been advised of his rights and knowingly and voluntarily waived them and entered a guilty plea. Since the trial court‘s ruling and supporting rationale were correct, I would affirm the judgment entered by the trial court.
Neither the Court of Appeals nor the majority has determined that the trial court erred in its finding that the State had carried its burden. Instead, the Court of Appeals took upon itself the task of disregarding the controlling precedents of this State‘s jurisprudence in favor of the “controlling authority” it purportedly found in Parke v. Raley, 506 U. S. 20 (113 SC 517, 121 LE2d 391) (1992), a U. S. Supreme Court case involving a constitutional challenge to a differ-
In Kentucky, a “pеrsistent felony offender” who contests the use of a prior conviction based on a guilty plea to increase punishment has the burden of producing evidence that the guilty plea was not valid under Boykin v. Alabama, 395 U. S. 238 (89 SC 1709, 23 LE2d 274) (1969). The U. S. Supreme Court ruled in Parke v. Raley, supra, 506 U. S. 20, that the Kentucky scheme did not violate the Due Process Clause of the U. S. Constitution. In contrast to Kentucky, the State of Georgia places on the State the burden of establishing the validity of guilty-plea-based prior convictions proffered by the State tо enhance a recidivist defendant‘s sentence. Pope v. State, 256 Ga. 195 (17) (345 SE2d 831) (1986). Such an allocation of the burden was not ruled unconstitutional, explicitly or implicitly, by the Parke decision. In fact, the Supreme Court expressly stated it was faced with the narrow question of “whether due process permits Kentucky to employ its particular burden-of-proof scheme . . .[,]” and noted its willingness to uphold against due process challenges a variety of state procedures for the implemеntation of recidivism statutes, emphasizing that tolerance for a spectrum of state procedures dealing with recidivism “is especially appropriate. . . .” Parke v. Raley, supra, 506 U. S. at 27-28. Thus, it is very clear that we are not facing a situation in which Georgia must change its ways because it has a procedure or statute similar to that of another State whose procedure or statute has been declared unconstitutional by the U. S. Supreme Court. See, e.g., Reich v. Collins, 262 Ga. 625 (422 SE2d 846) (1992), vacated, 509 U. S. 918 (113 SC 3028, 125 LE2d 717), 263 Ga. 602 (437 SE2d 320) (1993); James B. Beam Distilling Co. v. State of Ga., 259 Ga. 363 (382 SE2d 95) (1989), rev‘d, 501 U. S. 529 (111 SC 2439, 115 LE2d 481) (1991).
While Parke neither cоntrols nor purports to control the manner in which Georgia allocates the burden of proof of the validity of a prior guilty plea used to enhance punishment, issues discussed by the U. S. Supreme Court in its opinion in Parke are worthy of consideration should we be faced with a case in which we must decide whether our allocation of the burden of proof is appropriate. In such a case, we would take into consideration circumstances as thеy exist in Georgia, much as Parke recognized the practices and procedures in place in Kentucky (see Parke v. Raley, supra, 506 U. S. at 30);
The majority jettisons our burden-of-proof allocation because of the Supreme Court‘s ruling in Parke and because our system purportedly fails to give any presumption of regularity to a final conviction usеd to enhance punishment pursuant to
Georgia requires the making and preservation of a verbatim record of the proceeding at which a defendant pleads guilty (
From a practical point, it is appropriate that the State should shoulder the burden of establishing the validity of the guilty plea conviction proffered by the State to support the State‘s request that the defendant be punished as a recidivist. Since the State is the party which decides to pursue recidivist punishment and selects which of the defendant‘s prior convictions it is going to rely upon to have the defendant‘s sentence enhanced (
I question the practical application in Georgia of the Kentucky procedure endorsed by the majority. The majority requires a defendant to produce affirmative evidence by means of a transcript of the guilty plea, testimony regarding the taking of the plea, or other affirmative evidence, but warns that the ” ‘mere naked assertion by an acсused that his prior counseled plea was not made knowingly and intelligently is insufficient.’ ” Maj. Op., p. 285. In Georgia, it has long been appropriate to grant habeas relief, despite the presumption of regularity, based on the testimony, corroborated or not, of the con-
