State v. Theis, A06-662.

Decision Date27 December 2007
Docket NumberNo. A06-662.,A06-662.
Citation742 N.W.2d 643
PartiesSTATE of Minnesota, Respondent, v. Joel David THEIS, Appellant.
CourtMinnesota Supreme Court
OPINION

GILDEA, Justice.

Appellant Joel David Theis was charged with three counts of felony criminal sexual conduct. Theis entered an Alford plea1 to an amended count of gross misdemeanor criminal sexual conduct. Before sentencing, Theis moved to withdraw his plea. The district court denied the motion, and the court of appeals affirmed. Because we conclude that Theis's Alford plea was not accurate, we reverse.

The criminal complaint charged Theis with one count of second-degree criminal sexual conduct and two counts of fourth-degree criminal sexual conduct for allegedly touching his stepdaughter in an inappropriate manner on three specific occasions. On January 17, 2006, the morning of his scheduled trial, Theis agreed to plead guilty to an amended charge of gross misdemeanor fifth-degree criminal sexual conduct in exchange for dismissal of the felony charges and an agreement that no executed jail time would be imposed. Theis signed a plea petition in which he affirmed that he was represented by counsel, had sufficient time to discuss the case and any possible defenses with his attorney, was satisfied that his attorney represented his interests and had fully advised him, and was waiving his trial rights. Although the petition indicated that "I now make no claim that I am innocent," and the record does not specifically identify Theis's plea as an Alford plea, the parties agree that the plea entered in this case was such a plea.

During a hearing to determine whether to accept Theis's guilty plea, Theis reviewed the plea petition and agreed that he had gone over the document with his attorney "line-by-line," that he understood the plea negotiation, and that he was entering the plea voluntarily. The district court received the petition and found that Theis understood his rights and made a knowing and voluntary waiver of those rights. During the subsequent questioning by his attorney, Theis acknowledged that he lived with his stepdaughter, understood the charges against him, and had reviewed the evidence with his attorney. The transcript also reflects that the following exchange took place between Theis and his attorney:

Q: And you would agree with me that if this case were to proceed there is a risk to you that you would be found guilty of that fifth degree non-consent sexual contact? You're aware the State has made some what they call Spreigl evidence that he would want admitted as well?

A: Yes.

When defense counsel concluded its questions, the prosecutor asked Theis whether he had "read the statute with [his] attorney" and whether he was "pleading guilty to engaging in nonconsensual sexual contact with [his stepdaughter]." Theis answered both questions in the affirmative. Without any further inquiry, the district court stated that it was "satisfied with the basis for the plea and [would] accept it." The court scheduled a sentencing hearing for March 24, 2006.

The morning after he pleaded guilty, Theis contacted a new attorney to discuss withdrawing his guilty plea. According to Theis, he believed that his attorney was not prepared for trial, he was extremely emotional and uncomfortable with his attorney's representation, and he felt "compelled and coerced" to accept the plea agreement. After taking some additional time to consider the matter, Theis decided on January 20 to pursue withdrawal of his plea. Theis's new attorney informed the prosecutor and the pre-sentence investigator of the decision on the same day, and filed a motion with the district court on January 31, 2006. The court heard Theis's motion to withdraw the plea on February 7.

On February 13, 2006, the district court denied Theis's motion to withdraw his guilty plea. The court found that Theis's plea was accurate, voluntary, and intelligent, and that the State would be prejudiced if the court allowed withdrawal. Accordingly, the court held that "it would not be fair and just to allow [Theis] to withdraw his plea." On appeal, the court of appeals concluded that the district court did not abuse its discretion in making these findings, and therefore affirmed the denial of Theis's motion to withdraw his guilty plea. We granted Theis's petition for review.

I.

A defendant does not have an absolute right to withdraw a valid guilty plea. State v. Farnsworth, 738 N.W.2d 364, 371 (Minn.2007). But the Minnesota Rules of Criminal Procedure allow a defendant to seek to withdraw a guilty plea in two circumstances. First, a court must allow a defendant to withdraw a guilty plea, even after sentencing, if "withdrawal is necessary to correct a manifest injustice." Minn. R.Crim. P. 15.05, subd. 1. We have recognized that manifest injustice exists where a guilty plea is invalid. Butala v. State, 664 N.W.2d 333, 339 (Minn.2003) ("The involuntariness of a guilty plea constitutes such a manifest injustice as to entitle a defendant to withdraw his plea." (internal quotation omitted)); Perkins v. State, 559 N.W.2d 678, 688 (Minn.1997) ("Manifest injustice occurs if a guilty plea is not accurate, voluntary, and intelligent, and thus the plea may be withdrawn.").

Second, the district court may allow a defendant to withdraw a plea before sentencing if the defendant proves that "it is fair and just to do so." Minn. R.Crim. P. 15.05, subd. 2; see also Kim v. State, 434 N.W.2d 263, 266 (Minn.1989). Although this standard is less demanding than the manifest injustice standard, it does not allow a defendant to withdraw a guilty plea "for simply any reason." Farnsworth, 738 N.W.2d at 372.

Theis argues that withdrawal should have been permitted under the fair-and-just standard of Rule 15.05, subdivision 2. Specifically, he argues that he should have been allowed to withdraw his plea because it was not valid when entered, and that therefore it is fair and just to permit him to withdraw the plea. We have recognized three requirements for a valid plea: "it must be accurate, voluntary and intelligent." State v. Ecker, 524 N.W.2d 712, 716 (Minn.1994); see also State v. Trott, 338 N.W.2d 248, 251 (Minn.1983). If a plea fails to meet any of these requirements, it is invalid. See Ecker, 524 N.W.2d at 716.

Theis bases his argument on the fair-and-just standard of subdivision 2. But if a review of the record demonstrates that Theis's plea was invalid, we need not reach the question of whether withdrawal may have been authorized under the discretionary fair-and-just standard because the manifest injustice standard of subdivision 1 requires withdrawal where a plea is invalid. See Hirt v. State, 298 Minn. 553, 557, 214 N.W.2d 778, 782 (1974) ("[A] defendant who can show manifest injustice is entitled as a matter of right to withdraw his plea of guilty"). We therefore examine as a threshold matter whether Theis's plea was invalid, i.e., whether it was accurate, voluntary and intelligent.

A.

We turn first to the accuracy requirement. "A proper factual basis must be established for a guilty plea to be accurate." Ecker, 524 N.W.2d at 716. Theis argues that the factual basis for his plea was not properly established, and the plea was therefore inaccurate. The State, in essence, responds that the district court's finding that Theis's plea was accurate is supported by the testimony and the documents in the court file; that the district court is not required to expressly state the source of the factual basis; that there is a sufficient factual basis for an Alford plea if the facts in the complaint could satisfy the elements of the charge, and that this requirement is satisfied in the present case. Because this case involves the use of an Alford plea, we look to Alford and our own jurisprudence regarding such pleas to determine whether Theis's plea was accurate.

In North Carolina v. Alford, the United States Supreme Court held that it was constitutional for a court to accept a defendant's guilty plea, even though the defendant maintained his innocence, where the State demonstrated "a strong factual basis for the plea" and the defendant clearly expressed his desire to enter the plea based on his belief that the State's evidence would be sufficient to convict him. 400 U.S. 25, 38, 91 S.Ct. 160, 27 L.Ed.2d 162 (1970). The Supreme Court recognized that convictions based on guilty pleas are generally "justified by the defendant's admission of guilt and by the defendant's knowing and voluntary waiver of a trial." State v. Goulette, 258 N.W.2d 758, 760 (Minn.1977) (citing Alford, 400 U.S. at 25, 91 S.Ct. 160). But there are also some circumstances in which a defendant could decide that a guilty plea is the best available course of action despite his inability to admit guilt or his affirmative belief in his innocence. See Alford, 400 U.S. at 37-38, 91 S.Ct. 160; Goulette, 258 N.W.2d at 761. Acknowledging this fact, the Supreme Court held that the acceptance of Alford's guilty plea did not violate the federal Constitution because of the "strong factual basis for the plea demonstrated by the State" in that case and because of Alford's "clearly expressed desire to enter [the plea] despite his professed belief in his innocence." Alford, 400 U.S. at 38, 91 S.Ct. 160.

In State v. Goulette, we held that state law also permits the acceptance of Alford pleas "if the court, on the basis of its interrogation of the accused and its analysis of the factual basis offered in support of the plea, reasonably concludes that there is evidence which would support a jury verdict of guilty and that the plea is voluntarily, knowingly, and understandingly entered." 258 N.W.2d at 760. The factual basis offered in Goulette is...

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