CORNELIA A. CLARK, C.J., delivered the opinion of the Court, in which JANICE M. HOLDER, GARY R. WADE, WILLIAM C. KOCH, JR., and SHARON G. LEE, JJ., joined.
The defendant, a convicted violent sexual offender, was released on parole in 2006. He registered pursuant to the Tennessee Sexual Offender and Violent Sexual Offender Registration, Verification, and Tracking Act of 2004
In 1985, at the age of seventeen, the defendant Terry Phelps ("Defendant") pled guilty to aggravated rape, aggravated robbery, and first degree burglary. Defendant was sentenced to serve thirty years for these crimes, and he spent the following twenty-one years in prison before being released on parole in June 2006. While incarcerated, Defendant obtained his GED, a barber's license, a cabinet and millworks certificate, and a culinary arts certificate. He also completed a sex offender treatment program. The record reflects no disciplinary infractions.
Defendant's conviction of aggravated rape required him to register as a violent sexual offender in conjunction with his release. See Tenn.Code Ann. §§ 40-39-202(24) & (25); -203(b). Defendant initially registered on June 7, 2006, and, on June 13, 2006, Defendant received a copy of the Tennessee Bureau of Investigation's instruction sheet for sexual offenders. As of October 1, 2007, Defendant notified the Tennessee Bureau of Investigation ("TBI") that his primary residence was in Shelbyville, Bedford County, and that his secondary residence was in Murfreesboro, Rutherford County. Defendant was provided with another TBI instruction sheet (updated July 5, 2007), which states in pertinent part that "[s]exual offenders and violent sexual offenders shall . . . report in person to their designated law enforcement agency within 48 hours of changing their address, becoming employed, practicing a vocation, establishing a physical presence at a particular location or becoming a student in TN." The terms "changing their address" and "establishing a physical presence at a particular location" are not defined in the instruction sheet.
In November 2007, Defendant was arrested in Lincoln County. According to the presentence report prepared in conjunction with the instant offense, Defendant was arrested on two counts of aggravated burglary and theft, and the charges were dismissed "when law enforcement determined [Defendant] was not involved." During their investigation of these charges, Fayetteville police officers determined that Defendant had been "living" with his father in Lincoln County for about two weeks. Defendant had not, however, notified the appropriate authorities about his presence in Lincoln County and had not updated his sexual offender registration information.
In December 2007, Defendant was indicted for violating the Registration Act by failing timely to register a change in his primary or secondary residence.
The trial court
At the plea submission hearing, the trial court informed Defendant about the charge as follows:
(Emphases added). Upon Defendant's affirmative response, the trial court continued:
Upon Defendant's affirmative response, the prosecuting attorney stated the following:
The trial court then asked Defendant if "in November or sometime around then, [he had] move[d] to Fayetteville and not register[ed] that [he] had moved?" Defendant responded, "I was down there, Your Honor, yes." After confirming Defendant's 1985 aggravated rape conviction, the trial court asked Defendant if he saw "how this fits the definition of violation of the sex offender registry?" Defendant responded affirmatively and also affirmed that he had discussed with his attorney the elements of "this offense" and "the proof that State of Tennessee says they have against" him.
Later in the plea submission hearing, Defendant told the trial court that he had questions and stated, "It's a whole lot I don't understand that's going on." On prompting by the trial court, Defendant continued:
(Emphasis added). The trial court explained that Defendant had the choice of taking the State's offer to plead open or the case could be set for a jury trial. The court reminded Defendant that he had been notified earlier about the disposition deadline and that he would have to make the choice that day. The trial court confirmed that the State was not going to make a more favorable offer. The court emphasized that the decision was Defendant's, and Defendant stated "I'm going to take my counsel's advice." The plea submission hearing then continued, and the trial court found as follows:
The trial court then set the sentencing hearing for April 3, 2008.
On March 25, 2008, Defendant filed a motion to withdraw his guilty plea. Attached to the motion was an affidavit in which Defendant explained his grounds for seeking withdrawal:
(Emphasis added).
On March 28, 2008, the trial court held a hearing on Defendant's motion to withdraw
Defendant also testified that he had not understood the significance of an open plea and thought that the sentencing hearing was to inform him about his range. He testified that he thought he would be able to make a decision about his plea after he learned about his range. Defendant explained that he and his lawyer disagreed about his range, and he was waiting for the judge to tell him what his range was before deciding whether to accept the plea. Defendant acknowledged that he initially began rethinking his plea after he spoke with some of the other jail inmates.
The trial court ruled against Defendant, finding him not credible and that he "merely had a change of heart" after talking to the "jailhouse attorney committee." The trial court determined that a change of heart is not sufficient grounds for withdrawing a plea and that Defendant had failed to establish a "fair or just reason" for withdrawing his plea under Tennessee Rule of Criminal Procedure 32(f).
On April 3, 2008, the trial court held Defendant's sentencing hearing. Defendant testified about his presence in Lincoln County:
Defendant clarified that he would sometimes stay the night with his father because his father would ask him to do so. He emphasized that he did not realize that his visits with his father "violat[ed] the law."
With respect to his prior convictions, Defendant stated that he had accompanied two older men on what was intended to be the burglary of an empty house. A woman
Defendant explained that he was not going to commit any more crimes and that all he wanted to do was live with his wife of ten years, get to know his family, get a job, and "be a productive citizen."
Tonya Phelps, Defendant's wife, also testified. She explained how remorseful Defendant was and that she was convinced he would not commit any future crimes. She intended to stay with him regardless of his sentence but she asked the court to allow Defendant to come home.
Natasha Phelps, Defendant's sister, also testified. She explained that she lived in Fayetteville and confirmed that Defendant had been visiting their father to assist in his care. She stated that Defendant did not move to Fayetteville.
The trial court determined that Defendant is a Range II offender and sentenced him to three years imprisonment.
As to alternative sentencing, the trial court found that Defendant "is a high risk to reoffend" and that "his potential for rehabilitation is low." Accordingly, the trial court denied alternative sentencing.
Defendant appealed both the trial court's denial of his motion to withdraw his guilty plea and his sentence. The Court of Criminal Appeals affirmed the trial court's rulings in all respects.
We review a trial court's disposition of a defendant's motion to withdraw his or her plea of guilty for an abuse of discretion. State v. Crowe, 168 S.W.3d 731, 740 (Tenn.2005). A trial court abuses its discretion when it applies incorrect legal standards, reaches an illogical conclusion, bases its ruling on a clearly erroneous assessment of the proof, or applies reasoning that causes an injustice to the complaining party. State v. Jordan, 325 S.W.3d 1, 38-40 (Tenn.2010). This Court will also find an abuse of discretion when the trial court has failed to consider the relevant factors provided by higher courts as guidance for determining an issue. State v. Lewis, 235 S.W.3d 136, 141 (Tenn. 2007).
Tennessee Rule of Criminal Procedure 32(f) provides as follows:
Tenn. R.Crim. P. 32(f) (emphases added). Under this Rule, a criminal defendant who has pled guilty does not have a unilateral right to later withdraw his plea either before or after sentencing. Crowe, 168 S.W.3d at 740; see also State v. Mellon, 118 S.W.3d 340, 345 (Tenn.2003). In either event, however, "the trial judge should always exercise his discretion with caution in refusing to set aside a plea of guilty, to the end that one accused of crime may have a fair and impartial trial." Henning v. State, 184 Tenn. 508, 201 S.W.2d 669, 671 (1947). See also, e.g., People v. Jameson, 387 Ill. 367, 56 N.E.2d 790, 794 (1944) ("The discretion of the trial court to permit the withdrawal of the plea of guilty is a judicial discretion which should always be exercised in favor of innocence and liberty."). The defendant bears the burden of establishing sufficient grounds for withdrawing his plea. See State v. Turner, 919 S.W.2d 346, 355 (Tenn.Crim.App.1995).
Sound reasons support the very different standards for the grant of a motion to withdraw a guilty plea depending upon whether the motion is made before or after sentencing. As we recognized in Crowe,
168 S.W.3d at 741 (quoting Kadwell v. United States, 315 F.2d 667, 670 (9th Cir. 1963) (footnote and emphasis omitted)).
With respect to the more stringent standard that applies to post-sentencing motions to withdraw, this Court has previously determined that "manifest injustice" is made out where, for instance,
Crowe, 168 S.W.3d at 742 (quoting Henning, 201 S.W.2d at 670) (footnotes omitted). We have, moreover, recognized that a denial of due process constitutes manifest injustice as a matter of law. Id. at 742-43. Significantly, in addressing the parameters of "manifest injustice," we have stated that "a defendant's change of heart about pleading guilty" will not support the withdrawal of a guilty plea on this
Although this Court has had occasion to consider the meaning of "manifest injustice," the issue of what constitutes the less restrictive "any fair and just reason" supporting the withdrawal of a guilty plea before sentencing is one of first impression before this Court.
Rule 32(f) does not provide any guidance as to what constitutes a "fair and just reason" supporting the pre-sentence withdrawal of a guilty plea. Given that Federal Rule of Criminal Procedure 11(d)(2)(B)
The term "fair and just" as used in conjunction with the withdrawal of guilty pleas appears to stem from the Supreme Court's decision in Kercheval v. United States, 274 U.S. 220, 47 S.Ct. 582, 71 L.Ed. 1009 (1927). See, e.g., United States v. Young, 424 F.2d 1276, 1279 (3d Cir.1970). In Kercheval, the defendant had pled guilty to using the mails to defraud and was sentenced to prison for three years. The defendant filed a petition alleging that the prosecution had induced him to plead through the promise of a more lenient sentence. After a hearing, the trial court allowed the defendant to withdraw his plea. At the subsequent trial and over the defendant's objection, the trial court admitted proof of the defendant's guilty plea as substantive evidence. The jury convicted the defendant.
On appeal, the Supreme Court held that the trial court erred in admitting the guilty plea into proof. In discussing the significance of a plea, and differentiating it from "a mere admission or an extrajudicial confession," the Court explained that,
274 U.S. at 223-24, 47 S.Ct. 582 (citation omitted).
Almost fifty years later, the United States Court of Appeals for the District of Columbia Circuit noted that Federal Rule of Criminal Procedure 32, which had been adopted in the interim, permitted the post-sentence withdrawal of a guilty plea to prevent "manifest injustice," but provided "no particular standard for deciding withdrawal motions filed prior to sentencing."
Another guideline recognized in Barker was the length of delay between the defendant's plea and his subsequent request to withdraw it:
Id. at 222.
As noted above, the federal rule has been amended since Barker to specifically provide that a pre-sentence motion to withdraw a guilty plea may be granted upon the defendant's showing any "fair and just reason." Fed.R.Crim.P. 11(d)(2)(B). And, the federal courts have continued to elucidate the "rough guidelines" for determining "fair and just." For instance, the Court of Appeals for the Sixth Circuit has recently articulated seven specific factors to be considered when a defendant seeks to withdraw a guilty plea prior to sentencing:
United States v. Haygood, 549 F.3d 1049, 1052 (6th Cir.2008) (quoting United States v. Bashara, 27 F.3d 1174, 1181 (6th Cir. 1994), superceded on other grounds as recognized in United States v. Caseslorente, 220 F.3d 727, 734 (6th Cir.2000)). The court declared that this list of factors is not exclusive; that no single factor is dispositive; and that the relevance of each factor varies according to the circumstances surrounding both the plea and the motion to withdraw. Id. Moreover, a trial court need not consider the seventh factor unless and until the defendant establishes a fair and just reason for permitting
Our Court of Criminal Appeals has also looked to federal precedent when reviewing whether a defendant has established a "fair and just reason" for withdrawing his plea prior to sentencing. For instance, in State v. Maxwell, the intermediate appellate court relied on Spencer in setting forth the following factors to be used by trial courts when assessing a pre-sentencing motion to withdraw a guilty plea:
No. E1999-00124-CCA-R3-CD, 2000 WL 1606582, at *8-9 (Tenn.Crim.App. Oct. 27, 2000) (citing Spencer, 836 F.2d at 239-40); see also State v. Green, No. E2009-00359-CCA-R3-CD, 2010 WL 624133, at *1 (Tenn.Crim.App. Feb. 23, 2010); State v. Iman, No. M2007-00103-CCA-R3-CD, 2008 WL 5101000, at *3-4 (Tenn.Crim. App. Dec. 4, 2008); State v. Robinson, No. M2005-00670-CCA-R3-CD, 2006 WL 1097456, at *4-5 (Tenn.Crim.App. Apr. 5, 2006); State v. Southern, No. M2003-02150-CCA-R3-CD, 2004 WL 2659056, at *5-6 (Tenn.Crim.App. Nov. 22, 2004); State v. Lyons, No. 01C01-9508-CR-00263, 1997 WL 469501, at *12 (Tenn. Crim.App. Aug. 15, 1997). We agree with our intermediate appellate court that the federal courts' non-exclusive multi-factor approach is the correct one for a trial court to follow in assessing whether to grant a pre-sentencing motion to withdraw a guilty plea.
While our intermediate appellate court has identified the correct approach to determining what constitutes a "fair and just reason," we are constrained to disagree with its repeated pronouncements that a trial court may not set a guilty plea aside on this basis "merely because the defendant experiences a change of heart." Maxwell, 2000 WL 1606582, at *3; see also Green, 2010 WL 624133, at *3; Robinson, 2006 WL 1097456, at *5. In support of this proposition, the Court of Criminal Appeals has relied on our decision in Ray. That case, however, did not deal with a defendant's effort to withdraw his guilty
Ray, 451 S.W.2d at 856. Our "change of heart" language in Ray should not be relied upon to deny a motion to withdraw a guilty plea made before sentencing.
Significantly, the Court of Appeals for the Sixth Circuit has emphasized that the purpose of the "any fair and just reason" standard "is to allow a hastily entered plea made with unsure heart and confused mind to be undone." United States v. Alexander, 948 F.2d 1002, 1004 (6th Cir.1991) (emphasis added). See also Ellis, 470 F.3d at 281 ("Withdrawal of a plea is appropriate where there is a real confusion or misunderstanding of the terms of the agreement."). We hold that, where a trial court applies the correct non-exclusive multi-factor analysis and determines that the balance of factors weighs in the defendant's favor, the trial court should allow the defendant to withdraw his plea, even if the defendant's reasons could be characterized as a "change of heart." We also caution trial courts, however, that a defendant should not be allowed to pervert this process into a tactical tool for purposes of delay or other improper purpose. See Alexander, 948 F.2d at 1004 (quoting United States v. Carr, 740 F.2d 339, 345 (5th Cir.1984)).
In this case, the trial court made a "factual finding" that "the jailhouse attorney committee" convinced Defendant "that he made the wrong decision" about pleading guilty and "that's all that's changed in this situation." The trial court reiterated the manner in which the open plea was explained to Defendant and also found that Defendant's testimony at the withdrawal hearing was not credible. The trial court then ruled that Defendant had "merely had a change of heart, which . . . is not sufficient grounds" to withdraw a guilty plea, and denied Defendant's motion.
Although the Court of Criminal Appeals had adopted the Sixth Circuit's multi-factor test for pre-sentencing motions to withdraw guilty pleas many years before this matter came before the trial court, see, e.g., Lyons, 1997 WL 469501, at *12, the trial court made no attempt to apply the factors to the proof before it.
However, the record is inadequate to explain the length of time that passed between Defendant's plea and his motion to withdraw, the second factor in our inquiry. Because neither the parties nor the trial court were utilizing the appropriate multi-factor analysis in addressing Defendant's motion, no one asked him why he had not sought to withdraw his plea earlier. Rather, Defendant simply testified that he told his lawyer to file the necessary papers to withdraw his plea during a meeting after the plea hearing. The record is unclear about when this meeting took place and the length of time that passed between Defendant's instructions to his lawyer and the filing of the motion, or whether Defendant had sought to meet with his lawyer earlier. This factor is therefore inconclusive.
The next factor focuses on Defendant's assertion of innocence. Certainly, Defendant asserted his innocence during the hearing on his motion to withdraw his plea, but the trial court found Defendant not credible on this point. Returning to the plea submission hearing, Defendant's assertions were rather more confused. To put them in context, it is necessary to review in some detail the offense with which he was charged.
Defendant was charged with violating Tennessee Code Annotated section 40-39-203. In pertinent part, that statute provides that, "[w]ithin forty-eight (48) hours of establishing or changing a primary or secondary residence, establishing a physical presence at a particular location, or becoming employed or practicing a vocation or becoming a student in this state, the offender shall register in person, as required by the provisions of this part." Id. at (a)(1) (Supp.2007). Of these multiple scenarios, the indictment charges Defendant with changing his primary or secondary residence. The Registration Act defines "primary residence" as "a place where the person abides, lodges, resides, or establishes any other living accommodations in this state for five (5) consecutive days." Tenn.Code Ann. § 40-39-202(11) (Supp.2007). A "secondary residence" is defined as "a place where the person abides, lodges, or resides, or establishes any other living accommodations in this state for a period of fourteen (14) or more days in the aggregate during any calendar year, and that is not the person's primary residence" or "a place where the person routinely abides, lodges, or resides for a period of four (4) or more consecutive or nonconsecutive days in any month and that is not the person's primary residence." Id. at (15).
During the plea submission hearing, the trial court informed Defendant that, to prove that he had committed the offense with which he was charged, the State had to prove that he "knowingly failed to register in person with the designated law enforcement agency and failed to complete
We are concerned that the record is less than crystal clear about the extent to which Defendant understood the elements of the offense with which he was charged. The trial court did not explain what "establishing or changing a primary or secondary residence" meant in terms of the statutory definitions. Although the trial court also used the term "moved" and the prosecutor claimed that Defendant had admitted to "living at" a Fayetteville address for two weeks, these terms were not related back to the actual language of the statute. Defendant expressed his confusion at the plea submission hearing by indicating "I'm guilty and I'm not guilty" and clarified at the subsequent plea withdrawal hearing that he thought he was pleading guilty to visiting his father, conduct that he freely admitted to having engaged in. He protested that he had not "moved" to Lincoln County and that he had therefore not violated the registration requirement. At no point during the plea submission hearing did Defendant affirmatively state that he had committed the acts necessary to constitute the offense he was charged with, to wit, abiding, lodging, residing, or otherwise establishing living accommodations in Fayetteville for five consecutive days; abiding, lodging, residing, or otherwise establishing living accommodations in Fayetteville for an aggregate of fourteen days out of the calendar year; or routinely abiding, lodging, or residing for at least four days in a given month in Fayetteville.
The imprecise and abbreviated explanation of the charge lodged against Defendant combined with his ambiguous statements of guilt weight this factor in Defendant's favor.
The next factor looks to the circumstances underlying the entry of the guilty plea. Defendant was represented by counsel prior to and during his plea, albeit there was a substitution of counsel prior to
We next look to Defendant's nature and background. "A defendant's intelligence, sophistication, and understanding of the plea are relevant to a court's analysis of this factor." United States v. Medina, No. 3:08-CR-48, 2010 WL 3338567, at *11 (E.D.Tenn. Aug. 23, 2010) (citing Ellis, 470 F.3d at 285). Defendant obtained his GED and several vocational certificates while incarcerated. These accomplishments indicate that Defendant is capable of understanding a proper plea colloquy. As to Defendant's prior experience with the criminal justice system, it appears to be limited to having pled guilty to several serious offenses in 1985. While prior knowledge about the mechanics and significance of guilty pleas would ordinarily weigh against a defendant, in this case, Defendant was only seventeen years old at the time of his initial pleas. He had not completed high school. He spent the next 21 years incarcerated and the record reveals no further experience during that time with criminal prosecutions. These factors weigh slightly in favor of Defendant.
In sum, the record before us supports at least some of the factors which may establish a fair and just reason for allowing the withdrawal of a guilty plea prior to sentencing. Accordingly, the factor examining any potential prejudice to the prosecution if the motion to withdraw is granted becomes relevant. Although no proof was proffered on this factor, the prosecutor's statements at the plea colloquy indicate that the State was relying on statements Defendant made to investigating police officers. This proof remains available to the State, and we conclude that this factor is neutral.
Our review of the record in light of the relevant factors of the non-exclusive multi-factor test convinces us that Defendant established a fair and just reason for withdrawing his guilty plea. Accordingly, we reverse the judgments of the trial court and the Court of Criminal Appeals, grant Defendant's motion to withdraw his guilty plea, and remand this matter for further proceedings consistent with this opinion.
As set forth above, the trial court sentenced Defendant as a Range II offender to a mid-range sentence of three years to serve. Although Defendant appealed his sentence, defense counsel represented to this Court at oral argument that Defendant did not obtain a stay pending his appeal and has now "served his entire time." We consider Defendant's appeal of his sentence therefore moot and we need not address this issue.
The trial court erred when it failed to apply the proper analysis to Defendant's motion to withdraw his guilty plea and further erred when it denied Defendant's motion. We therefore reverse the judgments of the trial court and the Court of Criminal Appeals, grant Defendant's motion to withdraw his guilty plea, and remand this matter to the trial court for further proceedings consistent with this opinion.
The costs of this cause are taxed to the State of Tennessee.