Claude SCHARNHORST, Appellant, v. STATE of Missouri, Respondent.
No. WD 40827
Missouri Court of Appeals, Western District.
June 20, 1989.
Motion for Rehearing and/or Transfer to Supreme Court Denied Aug. 1, 1989.
Application to Transfer Denied Sept. 12, 1989.
772 S.W.2d 241
For all of the abovementioned reasons, we find movant was entitled to no relief and his motion was properly dismissed. Rule 24.035(g).
Judgment affirmed.
CRANDALL, P.J., and REINHARD, J., concur.
David Harrison Miller, Richmond, for appellant.
Philip M. Koppe, Asst. Atty. Gen., Kansas City, for respondent.
Before FENNER, P.J., and SHANGLER and BERREY, JJ.
SHANGLER, Judge.
The movant Scharnhorst appeals from an order which denied his Rule 27.26 motion to vacate judgment and sentence after an evidentiary hearing. Scharnhorst was charged by information with receiving stolen property [
Scharnhorst then brought his Rule 27.26 motion [still in effect] to set aside the conviction on the plea of guilty. There was no direct appeal from the conviction. The grounds alleged for post-conviction relief are both jurisdictional and that the ineffective assistance of counsel rendered the plea involuntary.
The statute which defines the offense for which the movant was convicted [
A person commits the crime of receiving stolen property if for the purpose of depriving the owner of a lawful interest therein, he receives, retains or disposes of property of another knowing that it has been stolen, or believing that it has been stolen.
The movant complains that the information does not identify the owner of the stolen property which he was charged with receiving.1 An information which fails to contain an essential averment in the description of the offense will be held defective even after verdict—or judgment on a plea of guilty. State v. Brooks, 507 S.W.2d 375, 376[1-3] (Mo.1974).
Ownership, however, is not an essential element of the offense of receiving stolen property as defined in
The movant argues next that the sentence imposed by the trial court was in excess of that authorized by law and hence the denial of relief under Rule 27.26 was clearly erroneous. The movant pleaded guilty to the Class C felony of receiving stolen property and was sentenced to a term of fifteen years under a plea bargain agreement which suspended the execution of sentence and imposed a five year term of probation. The plea was to an information which charged Scharnhorst as a persistent offender also under
At the plea proceeding, the court read to the accused the substantive charge of receiving stolen property as rendered by the information, the allegation of persistent offender, the detail of each of the seven prior felony convictions on which that allegation rested, the normal penalty for conviction of receiving stolen property, and the enhanced penalty for conviction as persistent offender. The court explained, and Scharnhorst acknowledged understanding of the constitutional rights which attend an accused in a criminal trial, waived them, confessed the crime and tendered his plea of guilty to the information. Counsel for the defendant then examined his client. Scharnhorst acknowledged to him the answers to the document, To Defendants Who Plan to Enter a Plea of Guilty, and his subscription. The entries on the form acknowledge that the range of punishment for the offense charged is up to 15 years and that the plea bargain is for a fifteen year sentence with a five year probation. An entry also confessed that he received stolen guns. The court accepted the plea of guilty as voluntary and imposed the sentence and probation as delineated by the plea bargain agreement.
The guilty plea court made no determination or entry that Scharnhorst was a persistent offender, nor findings of fact upon which the adjudgment rests. The movant complains in the Rule 27.26 motion that the absence of a finding of persistent offender and of the facts upon which that determination rests not only violates
The extended term procedures statute,
1. The court shall find the defendant to be a prior offender, persistent offender, or dangerous offender, if
(1) The indictment or information, original or amended, or the information in lieu of an indictment pleads all essen
tial facts warranting a finding that the defendant is a prior offender, persistent offender, or dangerous offender; and (2) Evidence is introduced that establishes sufficient facts pleaded to warrant a finding beyond a reasonable doubt that the defendant is a prior offender, persistent offender, or dangerous offender; and
(3) The court makes findings of fact that warrant a finding beyond a reasonable doubt by the court that the defendant is a prior offender, persistent offender, or dangerous offender.
2. In a jury trial, the facts shall be pleaded, established and found prior to submission to the jury outside of their hearing, except the facts required by subdivision (1) of subsection 4 of section 558.016 may be established and found at a later time, but prior to sentencing, and may be established by judicial notice of prior testimony before the jury.
3. In a trial without a jury or upon a plea of guilty, the court may defer the proof and findings of such facts to a later time, but prior to sentencing. The facts required by subdivision (1) of subsection 4 of section 558.016 may be established by judicial notice of prior testimony or the plea of guilty.
4. The defendant shall be accorded full rights of confrontation and cross-examination, with the opportunity to present evidence, at such hearings.
5. The defendant may waive proof of the facts alleged.
6. Nothing in this section shall prevent the use of presentence investigations or commitments under sections 557.026 and 557.031, RSMo.
7. At the sentencing hearing both the state and the defendant shall be permitted to present additional information bearing on the issue of sentence. [emphasis added].
We declared in State v. Thompson, 629 S.W.2d 361 (Mo.App.1981), approved 629 S.W.2d 369 (Mo. banc 1982), at 365[5, 6]: The extended term section 558.016 of the recently adopted criminal code invests a trial court with the altogether new power to enhance a sentence of imprisonment beyond that determined by the jury or prescribed by statute as punishment for the offense . . . The imposition of an extended term . . . rests on the proof of a charge beyond the offense for which the jury returned conviction. The due process of law concomitant by which a valid criminal conviction obtains, therefore, also attends the determination of the new matter upon which a valid extension of term rests. [emphasis added].
The procedures of
The constitutional necessity for notice is met by the
The extended term given at the guilty plea does not rest on findings of fact that warrant beyond a reasonable doubt that Scharnhorst is a persistent offender, and so
The prosecution cites
The extended term of punishment imposed upon the plea of guilty conviction rests on evidence other than the receiving stolen property felony charged and involves new determinations of fact: that is, a persistent offender who has been convicted of two or more felonies committed at different times. The due process of law concomitant by which a valid criminal conviction obtains also attends the determinations of the new matter upon which a valid extension of terms rests. Among those concomitants is the determination of two or more prior felonies—that is, the status of persistent offender. In the absence of such an express determination, the extended term simply has not been adjudicated and may not be lawfully imposed. Specht v. Patterson, 386 U.S. at 610, 87 S.Ct. at 1212; State v. Thompson, 629 S.W.2d at 369[5, 6]; State v. Berry, 609 S.W.2d at 956.
The prosecution argues nevertheless that the admissions and acknowledgements made by Scharnhorst at the plea of guilty inquiry constituted a waiver of not only the proof of the prior felony convictions alleged in the information as a basis for the extended term sentence, but also of the finding of fact by the court that the persistent offender status was proven by that evidence. Indeed,
Nor can the extended term be validated on the theory that Scharnhorst was not prejudiced by the absence of the findings of prior convictions and, hence, persistent offender, or that the findings were “implicitly” found by the imposition of the extended term. It is not a matter of prejudice or not that bears on the validity of the enhanced sentence, but that the extended term simply remains unadjudicated. That is the principle our supreme court en banc lays down in State v. Thompson, 629 S.W.2d 361 (Mo.App.1981), approved 629 S.W.2d 369 (Mo. banc 1981) and State v. Berry, 609 S.W.2d 948 (Mo. banc 1980).4
The dissent cites one decision of the supreme court en banc, State v. Kilgore, 771 S.W.2d 57 (Mo. banc 1989), and two decisions of this court, State v. Williams, 728 S.W.2d 690 (Mo.App.1987) and State v. Richardson, 719 S.W.2d 884 (Mo.App.1986), ostensibly for the principle that the failure to make findings that the defendant is a persistent offender “is a procedural defect rather than a substantive error,” and so requires a showing of prejudice before resentencing may be ordered.
In Kilgore the question before the supreme court en banc was not as to a necessity of procedure due process defines and the statute imposes for a valid adjudication—as in the determination of the persistent offender status to support an enhanced punishment under
In Williams the court expressly found the previous convictions to sustain both the prior and persistent offender status. The complaint on appeal was that the findings were not sufficiently specific to satisfy a finding of persistent offender under
Williams holds that in cases of prior offender adjudications an irregularity in the articulation of the finding of fact on which adjudication of such a status rests does not ipso facto require a remand of the proceedings for the entry of a regular finding of fact. This holding rests on the rationale that any imposition of sentence because of prior offender must fall within the term prescribed by the statute and hence does not constitute an enhancement of punishment. Id. at 693. See
In Richardson, also cited by the dissent, the defendant sought a reversal of a conviction punished to an enhanced sentence as a persistent offender. The complaint was that the court failed to follow the trial procedure prescribed by
Nor can notions of implicit finding avail. That dispensation known to the practices under the superseded Habitual Criminal Act [§ 556.280(2),] that the neglect of the judge to enter specific findings did not invalidate the enhanced sentence, rested on the notion that the Act merely transposed the duty to sentence from the jury to the judge—but only within the limits permitted by law for that offense. The persistent offender statute, rather, extends the punishment beyond that otherwise imposable by law for the offense, and hence the basis for enhancement must be adjudged anew and separately. State v. Thompson, 629 S.W.2d at 368.
Accordingly, the order of the Rule 27.26 court to deny the vacation of sentence and remand for reimposition of sentence erroneously applied the law and is reversed. Murphy v. Carron, 536 S.W.2d 30, 32[1-3] (Mo. banc 1976).
The final point on appeal contends that the Rule 27.26 order was clearly erroneous in the denial of the motion to set aside the conviction on the ground of ineffectiveness of counsel. Scharnhorst claims that his counsel did not inform him that an element of the offense required the prosecution to prove that the value of the property was $150 or more. He claims ineffectiveness also because counsel failed to investigate the value of the property in question and to produce evidence, readily available, that its value was in fact under $150.
A plea of guilty is more than a confession which admits the conduct of the criminal offense; it is a conviction, and nothing remains but to give judgment and impose punishment. Boykin v. Alabama, 395 U.S. 238, 242, 89 S.Ct. 1709, 1711, 23 L.Ed.2d 274 (1969). If the plea of guilty is not voluntary and knowing, it constitutes a violation of due process and is void. A guilty 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, 1171, 22 L.Ed.2d 418 (1969). See Rule 24.02. After a plea of guilty, allegations of ineffective assistance of counsel are relevant only to the extent that they affect the voluntariness and understanding with which the plea was entered. Hunter v. State, 755 S.W.2d 421, 422[1] (Mo.App.1988).
The dual test of Strickland v. Washington, 466 U.S. 668, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984) applies to a collateral attack on a guilty plea. Thus, a movant who undertakes to set aside the plea on the ground of ineffective assistance of counsel must show that performance of counsel fell below an objective standard of reasonableness and there is reasonable probability that, but for the errors of counsel, the defendant would not have pleaded guilty,
The transcript of the guilty plea colloquy before the Rule 27.26 court, and now before us, as well as the subscribed form completed by Scharnhorst as prelude to the plea, easily allow the inference that the elements of the offense were explained to him by court and counsel and that he voluntarily and knowingly entered the plea of guilty to the charge of receiving stolen property of a value of $150 or more. The question then remains whether counsel was ineffective because he allowed Scharnhorst to plead guilty without investigation as to whether the guns were in fact worth $150 or more. The testimony at the Rule 27.26 motion was at variance as to whether counsel advised with Scharnhorst about the significance of the value of the stolen firearms. In response as to whether the value of the stolen property was discussed with the client and the significance of that value as it bore on the degree of the offense proven, counsel replied: “It seems to me like I did.” Scharnhorst denied such advisement altogether. The trial court entered no specific finding, but only that the client never raised any question as to the value of the property.
We may not assume a finding of fact by implication as the basis for a Rule 27.26 review. Mikel v. State, 528 S.W.2d 796, 798 (Mo.App.1975). Accordingly, we assume for purpose of this appeal that counsel failed to investigate the question of the value of the stolen property and that there was evidence available that it was, in fact, worth less than $150. To prove an involuntary plea of guilty from the ineffective performance of counsel the movant must show the “special circumstances that might support the conclusion that he placed particular emphasis [on the value of the stolen property] in deciding whether or not to plead guilty.” Hill v. Lockhart, 474 U.S. at 60, 106 S.Ct. at 371. There was no evidence of any special circumstance that induced Scharnhorst to plead guilty, other than the assessed probability of conviction on the trial and the promise of probation under the plea bargain in exchange for the admission of guilt. The conclusiveness of the proof of the value of the stolen property certainly cannot be inferred as the inducement for the plea of guilty. The postconviction court found, rather, that Scharnhorst “never raised any question as to the value of the two firearms, which [the information] alleged to be $150 or more, with his attorney, Dennis A. Rolf, or the Court before, during or after the October 8, 1985, guilty plea until after Movant‘s probation was revoked.”
The evidence was that counsel brought to the attention of his client that the prosecution was required to prove that the value of the stolen guns was $150 or more. It was the testimony of the attorney that the police report in the case attributed the value of $120 to each of the weapons. Counsel knew from experience that the police generally had a “good basis” for these attributions of value in the official reports and, himself, deemed them not to be “way out of line.” Counsel knew that the testimony of the owner [presumably the source for the police report entries] was sufficient to prove value of the property stolen from him. Counsel also learned through the discovery process that the prosecutor was prepared to prove that the value of the weapons was $240.
Counsel testified that when he consulted with his client prior to trial, Scharnhorst “didn‘t think they were worth $150.” Counsel advised him that the issue could be raised, but that in such event “it was very possible that [Scharnhorst] could be
The postconviction court found expressly that Scharnhorst was not denied the effective assistance of counsel and that he voluntarily and knowingly entered his plea of guilty to the information. These findings and conclusions rest on substantial evidence and are not clearly erroneous, as the narrative of the record attests. The choice to plead guilty for a sentence of 15 years and probation was, in every sense, a strategic decision. The choice to confess to the crime of the possession of stolen property—even though Scharnhorst harbored belief that proof of value essential to conviction was contestable—was concluded “after thorough investigation of law and facts relevant to plausible options.” As such, it is “virtually unchallengeable” on a postconviction proceeding. Strickland v. Washington, 466 U.S. at 690, 104 S.Ct. at 2066. “In any ineffectiveness case, a particular decision not to investigate must be directly assessed for reasonableness in all the circumstances, applying a heavy measure of deference to counsel‘s judgment.” Id. at 691, 104 S.Ct. at 2066. In this case, the record supports the conclusion that the choice to plead guilty to the offense of receiving stolen property, whatever the fallibility of the evidence of value, was not only the option Scharnhorst favored as the most lenient open to him, but also the most benign. Thus, Scharnhorst neither proved any “special circumstance” that might support the conclusion that he placed particular emphasis on the conclusiveness of the proof of the value of the property to decide to plead guilty to the charge rather to go to trial; nor even, the fallibility of that proof assumed, that he was prejudiced by the plea of guilty under the bargain agreement. Hill v. Lockhart, 474 U.S. at 60, 106 S.Ct. at 371.
That point is denied.
Accordingly, the sentence of fifteen years imprisonment is set aside and the cause remanded to the circuit court for the specific findings
BERREY, J., concurs.
FENNER, J., dissents in separate dissenting opinion filed.
FENNER, Judge, dissenting.
I respectfully dissent from the majority opinion wherein it holds that the appellant‘s enhanced sentence must be set aside and the cause remanded to the trial court for reimposition of sentence on the grounds that appellant‘s guilty plea did not rest on findings of fact that warrant beyond a reasonable doubt that appellant was a persistent offender.
As set forth in the majority opinion,
1. The court shall find the defendant to be a . . . persistent offender, . . . if
(1) The . . . information . . . pleads all essential facts warranting a finding that the defendant is a . . . persistent offender, . . . and
(2) Evidence is introduced that establishes sufficient facts pleaded to warrant a finding beyond a reasonable doubt that the defendant is a . . . persistent offender, . . . and
(3) The court makes findings of fact that warrant a finding beyond a reason
able doubt by the court that the defendant is a . . . persistent offender, . . . . . .
(5) The defendant may waive proof of the facts alleged.
The majority opinion holds that the appellant‘s extended sentence does not rest on findings of fact as required under
The record reflects that when appellant entered his guilty plea the sentencing court reviewed with appellant his seven prior felony convictions as specifically set forth in the information by date of conviction and nature of offense. The court then inquired if appellant was aware of the consequences of his entering a guilty plea in light of the fact that he was considered a persistent offender because of the prior convictions that had just been addressed. The court also reviewed with appellant the fact that the 15 year sentence contemplated in the plea bargain the court was asked to accept was only possible in light of the fact that appellant was a persistent offender. Appellant responded that he was aware of the consequences of his prior convictions and acknowledged he was also aware that the sentence of 15 years was only possible in light of his prior convictions.
Appellant admitted the allegations of the charge against him, which charge specifically set forth his seven prior felony convictions, and entered a plea of guilty. Upon appellant entering a plea of guilty the court continued to discuss appellant‘s plea with him generally discussing the facts and circumstances of the case, the sentence and the terms of probation that the court was imposing. In the course of this discussion the court stated twice that appellant had seven prior felony convictions and also twice stated that appellant‘s record would reflect eight felony convictions in light of his plea to the case at hand.
A defendant may waive proof of facts alleging that he is a persistent offender.
In my opinion, when a defendant admits to specific prior convictions sufficient to establish that he is a persistent offender, he waives the necessity of the court making findings to that effect as otherwise required under
Furthermore, any lack of findings of appellant‘s prior convictions, under the circumstances of the case at bar, amounts to the fact that after appellant admitted to the specific prior offenses, as delineated by the court, the court accepted appellant‘s admission to the specific prior convictions and found him to be a persistent offender but did not reiterate the specific convictions which appellant had admitted. Any error that might be attributed to the trial court in this regard is a procedural defect rather than a substantive error resulting in prejudice to appellant. Since appellant has made no showing that he suffered any prejudice, resentencing is not required. State v. Kilgore, 771 S.W.2d 57, 64 (Mo. banc 1989); State v. Williams, 728 S.W.2d 690, 694 (Mo.App.1987); State v. Richardson, 719 S.W.2d 884, 886 (Mo.App.1986).
