Lane v. State Of Tenn.

Decision Date14 July 2010
Docket NumberNo. E2007-00032-SC-R11-PC.,E2007-00032-SC-R11-PC.
Citation316 S.W.3d 555
PartiesJeffery Aaron LANEv.STATE of Tennessee.
CourtTennessee Supreme Court

COPYRIGHT MATERIAL OMITTED

COPYRIGHT MATERIAL OMITTED

Robert E. Cooper, Jr., Attorney General and Reporter; Michael E. Moore, Solicitor General; John H. Bledsoe, Assistant Attorney General; H. Greeley Wells, Jr., District Attorney General; and James F. Goodwin, Assistant District Attorney General, for the appellant, State of Tennessee.

Jason R. McLellan, Kingsport, Tennessee, for the appellee, Jeffery Aaron Lane.

OPINION

SHARON G. LEE, J., delivered the opinion of the Court, in which JANICE M. HOLDER, C.J., CORNELIA A. CLARK, GARY R. WADE, and WILLIAM C. KOCH, JR., JJ., joined.

SHARON G. LEE, J.

We review this post-conviction case to determine the validity of defendant's guilty plea when the trial court did not specifically ask the defendant “How do you plead?” and he did not respond with the words, “Guilty” or “Not guilty.” We hold that the defendant's guilty plea was valid because the facts and circumstances of the case show that the defendant intended to plead guilty, affirmatively admitted his guilt, stated that he was entering his plea voluntarily, and believed that he was pleading guilty. Accordingly, the defendant knowingly and voluntarily entered a guilty plea, and the guilty plea proceedings in this case substantially complied with the mandates of federal and state law. Therefore, the judgment of the Court of Criminal Appeals is reversed, and we remand for reinstatement of the defendant's conviction under the accepted plea agreement.

Factual and Procedural History

On July 12, 2005, the defendant, Jeffery Aaron Lane, entered into a negotiated plea agreement with the State in which he agreed to plead guilty to one count of identity theft in exchange for the State's recommended sentence of seven years as a Range II, multiple offender. Prior to the guilty plea hearing, the defendant signed and submitted to the Court a completed “Request for Acceptance of Plea of Guilty Waiver of Rights” and “Waiver of Rights and Consent to Apply Criminal Sentencing Reform Act of 1989 (“the Blakely Waiver”) forms.

At the guilty plea hearing, the trial court conducted an extensive colloquy with the defendant. The trial court first advised the defendant of his constitutional right against self-incrimination and informed him that if he answered a question falsely, he could be charged with perjury. The trial court then described the crime of identity theft, both in statutory and colloquial terms. The trial court next described the range of punishment, including incarceration and fines, for such an offense as well as the meaning of “Range II Offender” and how this designation could affect the defendant's sentence. The trial court informed the defendant concerning the various rights the defendant was giving up by pleading guilty, such as the right to vote, hold public office, and possess a firearm. The trial court also mentioned that a guilty plea could create “other disabilities” which could affect the defendant. The trial court asked if the defendant understood the sentence he agreed to in the Plea Agreement. The defendant responded affirmatively. The trial court then summarily ensured that the defendant understood the nature of the charges against him, the potential range of punishment, and the plea agreement in his case. The defendant affirmed that he understood.

Following this exchange, the trial court described the United States Supreme Court's holding in Blakely v. Washington, 542 U.S. 296, 124 S.Ct. 2531, 159 L.Ed.2d 403 (2004), before reading the Blakely Waiver in its entirety. The trial court received an affirmation from the defendant that he understood that he was waiving the rights afforded him by Blakely. The trial court also verified that the defendant had an attorney and that the defendant knew that he was entitled to representation by an attorney throughout the proceedings.

The trial court reiterated these rights and more during the next exchange in which it asked the defendant if he was “knowingly and voluntarily” giving up his rights to a jury trial, to compulsory process for witnesses, to confronting witnesses, and against self-incrimination. After stating each right, the trial court asked whether the defendant knew what each right was. The trial court asked the defendant again if he was “knowingly and voluntarily giving up all of those rights.” The defendant responded, “Yes, sir.”

The trial court next described the defendant's rights if the case went to trial, including the State's burden to prove every element of the offense beyond a reasonable doubt and the defendant's right not to testify, which would not “diminish the presumption of innocence” that he had. The trial court also informed the defendant that his guilty plea would be used to impose a longer sentence should the defendant be convicted of a new offense in the future. The defendant stated that he understood such an effect.

The State then provided a detailed description of the facts, and the defendant's attorney verified that he had had an opportunity to discover the State's case and was convinced that the State could produce witnesses to testify to the facts as stated. The trial court also ensured that these facts were “all true and correct” according to the defendant. The trial court accepted the stipulation of fact, finding that “a reasonable trier of fact ... could find the Defendant guilty by use of [the] beyond a reasonable doubt standard.” The trial court then questioned the defendant's mental capacity to plead guilty and his attorney's service to him. Following these questions and affirmative responses, the trial court asked:

THE COURT: Do you understand that Mr. Harrison [Mr. Lane's attorney] cannot make the decision to plea[d] guilty or not guilty? You are the only person in the whole world that can make that decision.
MR. LANE: Yes, sir, Your Honor.
THE COURT: And is it your free and voluntary decision to plead guilty?
MR. LANE: Yes, sir, Your Honor.

After this colloquy, the trial court asked whether the defendant had been threatened into waiving his rights by pleading guilty, to which the defendant responded negatively. The trial court also asked whether the defendant authorized his attorney to negotiate with the district attorney to resolve his case, to which the defendant responded affirmatively. The trial court again asked the defendant separate questions regarding whether he signed, read, understood, and went over with his attorney the Defendant's Waiver of Rights, the Blakely Waiver, and the plea negotiation agreement. The defendant answered all of these questions affirmatively, and his attorney verified that they had [gone] over everything.”

The remainder of the hearing was devoted to procedural matters, primarily setting a date for a sentencing hearing and the trial court describing what would occur before and during that hearing. The trial court told the defendant that because the State was not recommending probation, the trial court would “have to have a sentencing hearing at a later date to determine whether or not you make probation or alternative sentencing” and that that date would depend on preparation of “the report.” The defendant stated that he would wait to make a statement at the sentencing hearing. The defendant was placed on bond. The trial court issued an “Order Accepting Plea of Guilty” the same day, which was signed by the trial court, counsel for the State and the defendant, and the defendant.

Throughout the colloquy, the trial court asked the defendant, “Do you understand that?” to which the defendant variously replied, “Yes, sir, Your Honor” and “Yes, Your Honor.” Additionally, the trial court would verify that the defendant waived his enumerated rights. However, the trial court did not specifically ask the defendant “How do you plead?” and, therefore, the defendant failed to state “Guilty” or “Not guilty.”

On October 28, 2005, the defendant was sentenced to seven years in confinement at thirty-five percent in accordance with the plea agreement. Following his sentencing, the defendant petitioned for post-conviction relief on the basis of ineffective assistance of counsel.1 During the post-conviction relief hearing on this motion, a videotape of the guilty plea was played, and the court determined that it had not asked the defendant “How do you plead?” Accordingly, the defendant filed an amended petition, arguing that, because he did not plead guilty in open court, the guilty plea should be vacated as it was involuntarily and unknowingly entered.

During the second post-conviction hearing, held on December 13, 2006, the defendant testified that he signed both the “Request for Acceptance of Plea of Guilty Waiver of Rights” form and the Blakely Waiver form. The defendant acknowledged that his trial attorney explained the forms to him as well as his right to plead not guilty and proceed to trial by jury without being compelled to testify. The defendant further testified that there was no agreement as to alternative sentencing and that this guilty plea could be used to enhance future punishment.

The State then went through the transcript of the guilty plea hearing with the defendant. The defendant acknowledged that at the time of the guilty plea hearing he understood his rights at trial and the consequences of giving up those rights by pleading guilty. The defendant further confirmed that he stated “Yes” when asked whether he freely and voluntarily decided to plead guilty as well as when asked whether he read, understood, and signed the “Request for Acceptance of Plea of Guilty Waiver of Rights” form. The State then asked, [a]nd at the end of that discussion between the judge and you, you understood, when you walked out of the courtroom that day, that you ha[d] pled guilty.” The defendant responded: “To my understanding?” The State answered...

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