Case Name: STATE OF NORTH CAROLINA v. HERMAN LEE DICKENS
Court: North Carolina Court of Appeals
Jurisdiction: North Carolina
Decision Date: 1979-06-05
Citations: 41 N.C. App. 388
Docket Number: No. 797SC117
Parties: STATE OF NORTH CAROLINA v. HERMAN LEE DICKENS
Judges: Judge VAUGHN concurring.
Reporter: North Carolina Court of Appeals Reports
Volume: 41
Pages: 388–395

Head Matter:
STATE OF NORTH CAROLINA v. HERMAN LEE DICKENS
No. 797SC117
(Filed 5 June 1979)
1. Criminal Law § 23.1— acceptance of guilty plea — duty of court
G.S. 15A-1022(c) does not place a mandatory burden on trial courts to hear evidence and rule on its sufficiency to prove defendant guilty of the crime charged before accepting a guilty plea.
2. Criminal Law § 23.1— acceptance of guilty plea — factual basis — sources of information
The sources of information enumerated in G.S. 15A-1022(c) for determining whether there is a factual basis for a plea of guilty are not exclusive, it being the intent of the legislature for trial judges to have access to whatever information might properly be brought to their attention in making such determination.
3. Criminal Law § 23.4— refusal to allow withdrawal of guilty plea
The trial court did not abuse its discretion in refusing to permit defendant to withdraw his guilty plea after it had been accepted and sentence had been imposed.
Judge Vaughn concurring.
Judge Clark dissenting.
APPEAL by defendant from Brown, Judge. Judgment entered 27 November 1978 in Superior Court, NASH County. Heard in the Court of Appeals 1 May 1979.
Defendant was arraigned on eight separate counts of drawing and issuing a worthless check in violation of G.S. 14-107. Four of the warrants upon which the defendant was arraigned alleged that he had issued checks in amounts exceeding $50 and the remaining four warrants alleged worthless checks in amounts less than $50.
On 27 November 1978, the defendant, through court-appointed counsel, entered pleas of guilty to each of the charges. Before accepting the defendant’s pleas of guilty, the trial court addressed the defendant to determine if his pleas of guilty were freely, voluntarily, and understandingly made. From the answers provided by the defendant to the questions enumerated on the “Transcript of plea, AOC-L, Form 290,” the court made findings that there was a factual basis for the entry of the defendant’s plea; that the defendant was satisfied with his counsel; and that defendant’s pleas were the informed choice of defendant and made freely, voluntarily, and understandingly. The trial court concluded that defendant’s pleas of guilty should be accepted by the court and ordered that the record indicate that defendant’s guilty pleas were accepted. The court then entered judgment on the guilty pleas and sentenced the defendant to four consecutive six month terms; six months for each count alleging the issuance of a worthless check in an amount in excess of $50. In addition, the court consolidated the four counts of issuing a worthless check in amounts of less than $50 for judgment and sentenced the defendant to an active prison term of 30 days to run concurrent with the four six-month terms previously imposed.
On 28 November 1978, the defendant returned to open court and “in his own person” moved the court for leave to withdraw his pleas of guilty. Defendant argued that his previous pleas of guilty were entered by him on the understanding that his punishment would be the payment of a fine and restitution in the amounts of the several checks.
The following exchange then took place between Judge Brown and the defendant:
COURT: I understand you want to say something to the court?
DEFENDANT: I want to withdraw my guilty plea. I was told I was going to be allowed to make restitution.
COURT: I asked you if you had agreed to plead as part of a plea bargain and you told me you had not.
DEFENDANT: I was told by Mr. Evans and he talked with Mr. Williams, and that was the other time, that I was going to be allowed to make restitution.
COURT: I also asked you, “Has anyone made you any promises or threatened you in any way to cause you to enter this plea? You answered that, “No.”
DEFENDANT: I answered all questions no, sir, but I was told to answer those questions no, and definitely I would not have entered a plea of guilty if I had been aware of what was happening.
COURT: Your motion to withdraw your pleas of guilty is denied. .
DEFENDANT: I give notice of appeal to the Court of Appeals.
COURT: All right, sir, who is going to represent you?
DEFENDANT: I don’t know, sir, I don’t have a lawyer and I am not in position to get one.
COURT: You mean you were willing to pay these checks off but you are not able to hire a lawyer to represent you on appeal.
DEFENDANT: Yes, sir, I was willing. My company was going to pay the checks off to keep me at work.
COURT: But your company is not willing to pay for your lawyer?
DEFENDANT: Well, right now I don’t have a lawyer.
COURT: I will let him fill out an affidavit. I set a $4,000.00 appearance bond. Let him fill out an affidavit and I will decide whether or not to appoint a lawyer.
Thereafter, the trial court appointed counsel for defendant who perfected this case on appeal.
Attorney General Edmisten, by Assistant Attorney General Mary I. Murrill and Deputy Attorney General William W. Melvin, for the State.
Ralph G. Willey III for defendant appellant.

Opinion:
CARLTON, Judge.
The defendant's sole argument on appeal is that the trial court did not comply with subsection (c) of G.S. 15A-1022 before accepting his guilty pleas. That subsection provides as follows:
(c) The judge may not accept a plea of guilty or no contest without first determining that there is a factual basis for the plea. This determination may be based upon information including but not limited to:
(1) A statement of the facts by the prosecutor.
(2) A written statement of the defendant.
(3) An examination of the pre-sentence report.
(4) Sworn testimony, which may include reliable hearsay.
(5) A statement of facts by the defense counsel.
Defendant argues that this new subsection, not formerly required by case law, places a new and mandatory burden on our trial courts to hear evidence, and rule on its sufficiency to prove the defendant guilty of the crime charged, before accepting guilty pleas. He argues that it is necessary that the trial court discover "the motivation behind the plea." He further argues that the actual facts of the case must be heard by the trial court in order for it to be convinced that the defendant has committed the crime to which he is pleading guilty and that the plea is not tendered out of fear or promise of leniency. We do not think our legislature intended to place such an onerous burden on our trial courts. Indeed, we do not believe that anyone would seriously contend that our trial courts should begin providing a full trial on the merits for defendants who elect to enter pleas of guilty.
Defendant argues that the record before us does not support the trial court's conclusion that there was a factual basis for the guilty pleas entered by the defendant. He refers to the five enumerated sources of information mentioned in G.S. 15A-1022(c), stated above, and argues that this record contains no statement of facts by the prosecutor, defendant, defense counsel, or other witnesses or sources to support the court's finding of a factual basis for defendant's pleas. However, we note that the enumerated sources are not exclusive. That subsection specifically provides that the determination "may be based upon information including but not limited to" the five enumerated sources. Clearly, our legislature intended for trial judges to have access to whatever information might be properly brought to their attention in reaching this determination. Moreover, much of the information referred to in the enumerated items in the statute would not normally be included in a record. Indeed, much of it would not be recorded by the court reporter, nor should it be. We also find that much of the information received in the "transcript of plea" would be helpful to the trial judge in determining that there is a factual basis for the plea of guilty. We reject defendant's interpretation of this statute.
The withdrawal of a guilty plea after its acceptance by the court and the imposition of sentence "is not a matter of right and a motion to be allowed to so retract is addressed to the sound discretion of the court." State v. Crandall, 225 N.C. 148, 150, 33 S.E. 2d 861, 862 (1945). "This is especially true when it appears that the plea was understandingly and intelligently made." Padgett v. United States, 252 F. Supp. 772 at 775, (E.D.N.C. 1965). Here, we hold that the trial court did. not abuse its discretion. Defendant obviously understood the charges against him and all of his constitutional rights were fully afforded him.
This is another ridiculous example of the abuse of the power of appeal by an indigent defendant in a criminal case. The record before us shows affirmatively that defendant, who was represented by counsel, fully understood the charges against him, the nature and effect of his pleas of guilty, and the maximum sentences that might be lawfully imposed upon him if he entered such pleas, and that he entered the pleas of guilty to the offenses charged voluntarily, without threats or inducements or promises, and with a full understanding of the effect and possible consequences of such pleas of guilty. Following substantial sums expended on his behalf at the trial court level, defendant now has added to the taxpayers' burden by putting them to the expense of paying for the cost of the transcript of the trial proceedings, the cost of mimeographing the record and the brief filed for defendant, and the cost of paying a fee to the defendant's lawyer for his services on appeal in a situation in which there is absolutely no merit.
In the proceedings below, we find
No error.
Judge VAUGHN concurring.
Judge CLARK dissenting.