Spann v. State

• Decision Date: 06 October 2005
• Docket Number: No. A04-278.,A04-278.
• Citation: 704 N.W.2d 486
• Parties: Charles Lee SPANN, Appellant, v. STATE of Minnesota, Respondent.
• Court: Minnesota Supreme Court

704 N.W.2d 486

Charles Lee SPANN, Appellant, v. STATE of Minnesota, Respondent.

No. A04-278.

Supreme Court of Minnesota.

October 6, 2005.

Bradford Colbert, Legal Assistance to Minnesota Prisoners, William Mitchell College of Law, St. Paul, MN, for Appellant.

Mike Hatch, Attorney General, Susan Gaertner, Ramsey County Attorney, Jeanne L. Schleh, Assistant Ramsey County Attorney, St. Paul, MN, for Respondent.

Heard, considered, and decided by the court en banc.

OPINION

PAGE, Justice.

On this issue of first impression, we must decide whether a defendant can waive his right to appeal after he has been convicted following a jury trial. Appellant Charles Spann was convicted of two counts of first-degree criminal sexual conduct involving separate victims after a jury trial. The district court sentenced Spann to two executed 118-month sentences to be served consecutively. Each sentence was an upward departure from the Minnesota Sentencing Guidelines presumptive sentence of 86 months. Spann appealed his conviction and sentences to the court of appeals, but he agreed to dismiss his appeal and waive all of his rights to appellate and postconviction review when the state agreed to request that Spann be resentenced to presumptive guidelines sentences. The court of appeals dismissed Spann's appeal and the district court resentenced Spann to executed consecutive 86-month sentences. Spann subsequently filed a postconviction petition challenging his sentences and the waiver of his right to appeal. In addition, he alleged that he had received ineffective assistance of trial and appellate counsel. The postconviction court denied the petition, finding that Spann had made a "knowing, voluntary and intelligent waiver of his right to appeal." The court of appeals affirmed. We reverse and remand.

Spann was charged with and, after a jury trial, found guilty and convicted of two counts of first-degree criminal sexual conduct in violation of Minn.Stat. § 609.342, subd. 1(g) (2004), for the sexual abuse of two of his minor daughters. The district court sentenced Spann to consecutive 118-month sentences for the two convictions. The sentences were an upward durational departure from the presumptive sentence of 86 months¹ for each count under the sentencing guidelines and were based on the court's finding of several aggravating factors, which it placed on the record.

Spann appealed his conviction to the court of appeals arguing: (1) juror bias because of a comment made by one of the jurors during trial; (2) improper admission of taped interviews of both victims that introduced evidence of Spann's bad character and, without proper notice, other bad acts by Spann; (3) prosecutorial misconduct based on improper cross-examination and attacking Spann's character during closing arguments; and (4) improper sentencing under the sentencing guidelines. On the improper sentencing issue, Spann argued that the district court abused its discretion when it imposed a 32-month upward departure for each of the consecutive sentences because his crimes did not justify a 32-month upward departure.

Before the state filed its responsive brief at the court of appeals, the parties entered into a stipulated settlement of Spann's claims on appeal. Under the stipulation, the state agreed to request a remand for resentencing to have Spann's sentence reduced to two consecutive 86-month sentences from the original two consecutive 118-month sentences. In exchange, Spann agreed to dismiss his appeal and to waive his right to challenge his convictions or sentences on direct appeal or on post-conviction relief. The parties' stipulation specifically stated, "Appellant further agrees that resentencing pursuant to stipulated [sic] agreement resolves all issues raised in appellant's brief, and appellant waives all further appellate and post-conviction review." The parties further agreed that if the district court did not accept the stipulation agreement, Spann's appeal would be reinstated.

Based on the parties' stipulation, the court of appeals dismissed the appeal and remanded for resentencing. At the resentencing hearing, the state explained that in exchange for the reduced sentence, the "defendant waives all issues on appeal and all appeals." Although Spann agreed that he was "waiving all rights to appeal the case," neither the attorneys nor the court asked Spann any specific questions about the extent of his waiver. The district court agreed to the terms of the stipulation and resentenced Spann to consecutive 86-month sentences for each count.

In May of 2003, Spann, acting pro se, filed a petition for postconviction relief in which he challenged his sentence and alleged ineffective assistance of both trial and appellate counsel. In September 2003, Spann, represented by counsel, filed an amended postconviction petition in which he challenged the waiver of his appeal rights and incorporated by reference his pro se petition. The postconviction court denied Spann's petition, stating "[t]he record clearly establishes that [Spann] made a knowing, voluntary and intelligent waiver of his right to appeal." The court further indicated that, under the circumstances of the case, the waiver was valid because Spann was represented by counsel and obtained a "known benefit" in the reduced sentence. The court also determined that Spann's attempt to appeal his sentence was untimely and stated that Spann made no claim that his sentence was illegal.

On appeal, a divided panel of the court of appeals affirmed the postconviction court's denial of relief. Spann v. State, 686 N.W.2d 868, 872 (Minn.App.2004). In affirming, the majority noted that Spann did not dispute that his waiver was knowing, intelligent, and voluntary, but rather argued, without citing any controlling authority, that his waiver violated public policy. Id. The court held that:

Under current Minnesota law, it was not an abuse of discretion for the district court to deny appellant's request for postconviction relief and give effect to appellant's waiver of his right to appeal, where the waiver was entered into (1) knowingly, intelligently, and voluntarily; (2) following appellant's conviction, sentence, and filing of an appellate brief; and (3) in exchange for the known benefit of a sentence pursuant to the Minnesota Sentencing Guidelines.

Id. The dissenting judge, however, argued that "a convicted defendant is entitled to at least one right of review by an appellate or postconviction court" and that permitting a waiver of a defendant's right to appeal and to a postconviction review raises "[i]ssues of fairness and voluntariness" of the waiver and "risk[s] foreclosing appellate review of issues that may not be fully developed at the time of waiver." Id. (Klaphake, J., dissenting). We granted Spann's petition for further review.

Whether a criminal defendant can waive his right to appeal is a legal issue of first impression that this court reviews de novo. Cf. State v. Larson, 605 N.W.2d 706, 710 (Minn.2000)

. Spann also argues that his constitutional right to due process has been violated. This court also reviews constitutional challenges de novo. State v. Schwartz, 628 N.W.2d 134, 138 (Minn.2001).

Spann argues that the criminal appeal is a "fundamental element of procedural fairness" and "[b]ecause a criminal appeal plays a critical role in the criminal justice system, public policy and Due Process preclude a defendant from waiving his right to appeal his conviction." While acknowledging that certain rights, such as the defendant's Sixth Amendment right to counsel, can be waived, he argues that waivers that conflict with public policy are invalid.

In that regard, he argues that appeals are necessary to correct lower court errors and that a waiver serves to affirm erroneous convictions and that denying appellate scrutiny makes appellate courts "accomplices to police violations and trial court errors." He also argues that permitting a defendant to waive the right to appeal will harm uniformity among district court decisions because appellate review is the only way to ensure that all the district courts "move in a common direction." Spann contends that, as a consequence of allowing defendants to waive the right to appeal, there would be a decrease in the perceived legitimacy of the criminal justice system in the eyes of both the public and the defendant. Spann further contends that allowing defendants to waive the right to appeal could circumvent policy considerations set by this court and the legislature. He suggests, as an example, that in requiring the defendant to waive all appeal rights, the state could ignore the requirement, established by this court in State v. Misquadace, 644 N.W.2d 65 (Minn.2002), that a sentencing departure cannot be based on a plea agreement alone, but must have a factual basis. Finally, Spann argues that permitting a defendant to waive his right to appeal violates due process, which prohibits a state from placing an impermissible burden on a defendant's right to appeal his conviction. Citing People v. Harrison, 386 Mich. 269, 191 N.W.2d 371 (1971), he asserts that "requiring [him] to waive his right to appeal in exchange for a modification of his sentence chills his right to appeal and is `constitutionally obnoxious.'" Spann states that the waiver is especially onerous in this case because he waived his right to appeal after a jury trial, rather than after a guilty plea pursuant to a plea agreement. He argues that after a trial, "the defendant's only bargaining tool is his right to appeal" and that the defendant's unequal bargaining position allows a prosecutor to force the defendant into giving up his rights in exchange for a small concession, which, Spann asserts, is exactly what happened in this case.

The state argues that a criminal defendant may knowingly, intelligently, and voluntarily waive his right to appeal, just as he may waive other rights. Alternatively, the state...