State v. FrederickState v. Frederick
Lead Opinion
Defendant Daniel Frederick appeals a habitual offender finding against him, assigning error to the trial court's refusal to dismiss the proceeding. He claims that both of the prior felony convictions relied upon by the State were insufficient to support a habitual offender finding, one because coercion by a private party rendered the underlying guilty plea constitutionally invalid and one because the State failed to prove it would be a felony under present law. We reject Mr. Frederick's claim that outright dismissal was warranted but hold that the trial court erred in going further and completely excluding his proffered evidence of nongovernmental coercion. We therefore remand for a new trial.
On October 14, 1980, Mr. Frederick was found guilty of first degree robbery. The State then filed a supplemental information alleging Mr. Frederick to be a habitual offender. The supplemental information alleged two prior convictions; namely, a conviction of grand larceny on May 7, 1973, and convictions of first degree robbery and first degree kidnapping on November 12, 1976. The latter two convictions, of course, must be treated as one for purposes of the habitual offender statute. See State v. Rinier,
Prior to trial of the habitual offender charge, Mr. Frederick made several motions. First, he sought to exclude evidence of the 1976 convictions on the ground that they were based on an involuntary guilty plea. Second, he sought to exclude evidence of the 1973 grand larceny conviction on the ground that the former grand larceny statute, which made felonious all larcenies of property exceeding $75 in value, included acts which were no longer felonies in Washington. Finally, Mr. Frederick sought dismissal of the
The trial court denied the motion to grant an outright dismissal of the habitual offender information but reserved judgment on the question of whether Mr. Frederick could present his proffered evidence regarding the voluntariness of the 1976 guilty plea to the jury. That evidence consisted largely of the testimony of both himself and one Joe Tharp, a former cellmate, to the effect that Mr. Frederick's code-fendant in the 1976 case had threatened to kill Mr. Frederick if he did not plead guilty.
On the day of trial, the court ruled that Mr. Frederick's proffered evidence should not be considered. In making its ruling, the court emphasized the complete lack of any State involvement in the threats against Mr. Frederick.
Mr. Frederick did not then and does not now claim that anyone acting for the State attempted to exert any improper influence or was even aware of his claimed motivation for the plea entered into in open court after full advice of rights and consequences and the expressed denial of any threats.
Report of Proceedings, at 77. The court also noted that it had reviewed a Court of Appeals file for an earlier personal restraint petition based on the same claim and evidence and that that petition had been dismissed as frivolous on its face.
The State then presented its case and Mr. Frederick chose not to put on any evidence. The jury returned a verdict finding Mr. Frederick to be a habitual offender and judgment was so entered. On appeal, the Court of Appeals affirmed. State v. Frederick,
I
A
In upholding the trial court's exclusion of Mr. Frederick's evidence of his codefendant's threats, the Court of Appeals did not reach the question of the effect of nongovernmental
The first of these reasons is that Wood places limitations solely on the State. CrR 4.2 and our holding in Wood must be limited by their purpose. That purpose is to ensure protection of defendants' rights by making the constitutional validity of guilty pleas more certain. Wood, at 511-12. To apply the limitation announced in Wood to defendants as well as the State would have the perverse effect of transforming a mechanism intended to protect constitutional rights into one which makes them more difficult to vindicate. The federal courts have consistently held that, while a record demonstrating a plea's facial validity is strong evidence of constitutional validity, it is not conclusive. See Blackledge v. Allison,
Even if Wood did apply equally to defendants and the State, it is inapplicable in the present case. We emphasized in Wood that the exclusion of extrinsic evidence of constitutional validity is mandated not by constitutional requirements but by court rule. State v. Chervenell,
B
Nonetheless, the State contends, and the trial court agreed, that nongovernmental coercion of which neither the State nor the court is aware does not render a plea involuntary in the constitutional sense. The State points out that the mere presence of unpalatable alternatives does not render a plea involuntary. See State v. Butler,
Such cases are distinguishable from the case at bar, however. In Brady v. United States, supra, the Supreme Court expressly distinguished plea bargaining pressures from threatened physical harm (Brady, at 750) and premised its decision in large part on the legal system's legitimate need for plea bargaining. Moreover, we have recognized that even plea bargaining pressures may, in particular circumstances, render a plea involuntary. See, e.g., State v. Swindell,
While the Court of Appeals stated in State v. Butler, supra, that "[t]he first and foremost question is the involvement, if any, of the State" (Butler, at 673), this language must be read in light of its facts. The question there was whether a threat had actually been made or whether it existed only in the mind of the defendant. See Butler, at 673-74. There was no threat actually made by a private party.
We hold that coercion may render a guilty plea involuntary, irrespective of the State's involvement. While prevention of governmental misconduct is certainly a weighty concern, it is merely one means of advancing the most basic goal of our criminal justice system, protection of the innocent by assuring them a fair trial. To hold one in prison who, through no real choice of his or her own, has been denied a fair trial, indeed denied any trial at all, strikes us as the ultimate in injustice. The injustice lies not in the
The cases which have considered the issue are in accord with our view. See United States v. Cammisano,
We also reject the State's contention that a defendant's denial of improper influence in open court precludes him or her from claiming coercion at some later time. The federal courts have clearly held that such a denial, while highly persuasive, is not conclusive evidence that a plea is voluntary. See Blackledge v. Allison, supra at 75; Camillo v. Wyrick, supra at 935. While society's interest in the finality of judgments is generally determinative, it must give way in circumstances such as these.
We emphasize, however, that a defendant who seeks to later retract his admission of voluntariness will bear a heavy burden in trying to convince a court or jury that his admission in open court was coerced. The task will be especially difficult where there are other apparent reasons for pleading guilty, such as a generous plea bargain or virtually incontestable evidence of guilt. Nevertheless, a defendant should not be denied the opportunity to at least present evidence on the issue.
C
In the present case, therefore, we take a middle ground. The trial court was correct in refusing to dismiss the habitual offender charge as a matter of law. To thus take the issue from the trier of fact would require that, even viewing the evidence in the light most favorable to the State, there be no substantial evidence from which a reasonable trier of fact would conclude the plea was voluntary. See State v. Boyd,
Remand for a new trial is nonetheless necessary because
The State makes much of another peculiar aspect of this case, that an identical claim was raised by Mr. Frederick in his prior personal restraint petition and rejected by the Court of Appeals. In re Frederick, cause 6333-1, June 23, 1978. The State argues, apparently relying on concepts of res judicata and collateral estoppel, that this prior litigation bars Mr. Frederick from raising his claim again.
This contention is not well taken. Even assuming principles of collateral estoppel might apply, we would be willing to apply them only if the Court of Appeals fully considered the evidence proffered by Mr. Frederick and applied the correct law. Here, the Court of Appeals simply issued a 1-sentence order denying Mr. Frederick's petition as "ha[ving] no basis either in fact or law and appear[ing] frivolous on its face". In re Frederick, supra (order denying personal restraint petition). No factual hearing pursuant to RAP 16.11 was ordered and the only evidence in the record before the Court of Appeals was the transcript of the guilty plea hearing, the information, the judgment and sentence, and a brief statement of facts generally outlining in only three sentences the facts to which Mr. Frederick and his witnesses would testify. The Court of Appeals thus could not possibly have fully considered the witness testimony Mr. Frederick sought to introduce in the present case.
Neither does the Court of Appeals appear to have applied the correct law. In light of the State's legal argument that nongovernmental coercion of which the court is unaware can never render a plea involuntary (see In re Frederick, supra, Brief of Respondent to personal restraint petition), the Court of Appeals summary disposition without hearing Mr. Frederick's evidence suggests that it simply applied the erroneous rule of law advocated by the State. Applying the correct rule of law would have necessitated a
II
Mr. Frederick also contends that evidence of his 1973 grand larceny conviction should not have been admitted because not all felony grand lárcenies under 1973 law are felonies now. In particular, he points out that the former law made all thefts of property exceeding $75 in value a felony while present law requires value in excess of $250. Compare Laws of 1909, ch. 249, § 353, as amended by Laws of 1955, ch. 97, § 1 with
Most courts faced with such claims have taken the view that reclassification of a felony as a misdemeanor, or even complete decriminalization, is not pertinent. See Annot., Determination of Character of Former Crime as a Felony, so as To Warrant Punishment of an Accused as a Second Offender,
The habitual offender statute is concededly ambiguous. It provides:
Every person convicted in this state of . . . any felony, who shall previously have been twice convicted, whether in this state or elsewhere, of any crime which under the laws of this state would amount to a felony . . . shall be punished by imprisonment in the state penitentiary for life.
(Italics ours.)
Whatever the most appropriate general rule, a question which we do not decide, we hold that the 1973 changes in the grand larceny statute should be ignored. Adjustments in the value element of an offense which simply reflect inflation indicate no change in society's view of the offense's severity. See, e.g., State ex rel. Grandstaff v. Gore,
The case is remanded for a new proceeding. At that proceeding, Mr. Frederick should be allowed to present evidence of his former codefendant's threats. The State should be allowed to introduce evidence of Mr. Frederick's prior grand larceny conviction, as long as it can show it differed from present felony theft only in a change of the value element.
Williams, C.J., and Stafford, Dolliver, and Pearson, JJ., concur.
Notes
Our past decisions have concededly created some confusion and not been entirely consistent in their analysis, though their results are consistent with our analysis today. See, e.g., In re Keene,
A challenge in a habitual offender proceeding to the validity of a prior guilty plea is not a collateral attack. Holsworth, at 154. Such a challenge does bear some resemblance to a petition for habeas corpus, however, in that, as noted above, it may raise only constitutional error.
The State's argument is strangely reminiscent of Doc Daneeka's explanation of mental illness discharges in the novel Catch-22.
Yossarian looked at him soberly and tried another approach. "Is Orr crazy?"
"He sure is," Doc Daneeka said.
"Can you ground him?"
"I sure can. But first he has to ask me to. That's part of the rule."
"Then why doesn't he ask you to?"
"Because he's crazy," Doc Daneeka said. "He has to be crazy to keep flying combat missions after all the close calls he's had. Sure, I can ground Orr. But first he has to ask me to."
"That's all he has to do to be grounded?"
"That's all. Let him ask me.”
"And then you can ground him?" Yossarian asked.
"No. Then I can't ground him."
"You mean there's a catch?"
"Sure there's a catch," Doc Daneeka replied. "Catch-22. Anyone who wants to get out of combat duty isn't really crazy."
"That's some catch, that Catch-22," he observed.
"It's the best there is," Doc Daneeka agreed.
J. Heller, Catch-22 45-46 (1961). Here the State argues that one who fears that he will be killed if he pleads not guilty must inform the court, which will then presumably enter sua sponte the very not guilty plea which the defendant has been told will bring about his death.
Dissenting Opinion
(dissenting) — The majority summarily rejects what I perceive to be the real issue in this case— whether a defendant who has raised an issue in a prior personal restraint petition, considered by the Court of Appeals and the Supreme Court, may then raise the same issue concerning the same crime during a habitual criminal proceeding. There is no reason to reach the question of nongovernmental coercion and thus I express no opinion on the majority's discussion of that issue.
Additionally, I cannot fully agree with the majority's discussion in part II of its opinion.
I
The chronology of the various court proceedings in this case is important to the first issue. The hearing at which petitioner pleaded guilty to robbery and kidnapping in 1976 lasted some 36 minutes and encompassed 25 pages of transcript. It included not only colloquy between counsel, judge and defendant, but also sworn testimony of the arresting officer. Never have I seen a more thorough proceeding for the taking of a plea. To summarize the events testified to, Frederick and one Griffin, in Frederick's car, with Frederick's father's 357 magnum robbed a gas station, took the gas station attendant hostage, drove him from the scene and released him unharmed. Frederick and Griffin were sighted near the scene of the crime within a short time
drove into the gas station, stopped, waited a few minutes, had the other guy get out with the gun waved around, got the money, got back in the car. We took off with the guy in back and let him out and that was it.
The court inquired at great length as to the voluntariness of the plea and as to any other comments Frederick had. He criticized his lawyer at that time, and expressed unhappiness with his lawyer's performance in that he made comments concerning the defendant he didn't appreciate. Frederick freely expressed his dissatisfaction to the judge concerning the judge's previous decision that his confession would be admissible against him at trial. He voiced complaints that that decision was predetermined or "fixed". Frederick did not voice any fear from any source at that time. He undoubtedly knew that conviction would be inevitable as a result of his confession being ruled admissible for trial. He was obviously making one final attempt to persuade the court to reconsider its decision regarding the admissibility of the confession. That attempt being unsuccessful, the defendant considered his alternatives and pleaded guilty.
When Frederick refused to testify against him, his code-fendant, Griffin, was found not guilty. It was then that Frederick apparently felt he made a poor choice in pleading guilty. Because it was too late to file an appeal, he filed a personal restraint petition challenging the voluntariness of his plea. He alleged for the first time that his codefendant had coerced him into pleading guilty.
The Court of Appeals considered Frederick's assertion that he feared for his life and thus pleaded guilty, as well as the entire record surrounding the plea, and dismissed the petition as being frivolous. RAP 16.11(b). The facts of Mr.
Frederick, in his attempt to have the trial court in this habitual criminal proceeding reconsider his coercion claim, presented a letter from his former attorney. The letter in pertinent part reads:
As the case developed, the strongest evidence against my client was his own confession. I might add that he had told the investigating officers that he wanted to get caught. As it turns out, Mr. Frederick pleaded guilty to the charges, without any reductions or plea bargaining. Further, Mr. Frederick had told me right from the start that he did not want to testify against Mr. Griffin, because his life would be put in jeopardy when he was transferred to the Department of Institutions. This was brought up in front of the Judge and the Court determined that there were no direct threats being made against Mr. Frederick, and therefore allowed his plea to be accepted. As such, I do not believe that there is grounds [sic] for his plea to be withdrawn, but, I have always felt that he was intimidated by the prison system, especially since he had been there once before.
(Italics mine.) The attorney is now deceased, which is precisely one reason why finality of judgments is so important in these cases.
The trial court in the habitual criminal proceedings, in my opinion, did not emphasize the complete lack of any State involvement in the threats against Frederick in making his ruling. Majority opinion, at 553. The sentence quoted by the majority, at page 553, was taken out of an entire page of explanation given by the trial judge. He specifically included a detailed recital of the chronology of Frederick's prior personal restraint petition and concluded
While we have recently relaxed our rules as to when and what issues may be raised when a defendant attacks a plea or conviction in a proceeding other than a direct appeal (compare In re Myers,
I am additionally concerned with the majority's lack of clear direction on a rehearing. While stating the defendant will bear a "heavy burden" (majority opinion, at 558), it fails to set out the standard. What is the standard? Beyond a reasonable doubt? Preponderance of evidence? The holding could be read in the manner urged by the petitioner that if a defendant produces some evidence, the burden shifts to the State again to prove voluntariness, thus requiring the State to produce extrinsic evidence contrary to the holding of Wood v. Morris,
II
The majority holds that "changes in the grand larceny
The Legislature completely revised the criminal code in 1975. Requiring the prosecutor to go behind every felony
Accordingly, I would affirm the trial court.
Rosellini, Brachtenbach, and Dore, JJ., concur with Dimmick, J.
Reconsideration denied February 29, 1984.