Opinion ID: 2634732
Heading Depth: 1
Heading Rank: 6

Heading: Voluntariness of Plea/Factual Basis For Plea

Text: [¶ 21] Van Haele contends that the district court did not substantiate that his plea of nolo contendere to the charge of aggravated assault and battery was made voluntarily or that a sufficient factual basis supported the plea. In the acceptance of a plea of nolo contendere, a judge is required to follow the dictates of the Wyoming Rules of Criminal Procedure, in general, and W.R.Cr.P. 11, in particular. [3] Rule 11 acts as a guideline for courts in determining that a plea by a defendant is intelligent, knowing and voluntary, and that the plea has been entered with an understanding of the consequences. Ingalls v. State, 2002 WY 75, ¶¶ 10-11, 46 P.3d 856, ¶¶ 10-11 (Wyo.2002). [¶ 22] We have also stated: A guilty plea must be knowing and voluntary. McCarty v. State, 883 P.2d 367, 372 (Wyo.1994) (quoting Parke v. Raley, 506 U.S. 20, 28, 113 S.Ct. 517, 523, 121 L.Ed.2d 391 (1992)). The validity of a guilty plea is tested by determining `whether the plea represents a voluntary and intelligent choice among the alternative courses of action open to the defendant.' McCarty at Id. (quoting North Carolina v. Alford, 400 U.S. 25, 31, 91 S.Ct. 160, 164, 27 L.Ed.2d 162 (1970)). Becker v. State, 2002 WY 126, ¶ 11, 53 P.3d 94, ¶ 11 (Wyo.2002). [¶ 23] Van Haele's contention that his nolo contendere plea was involuntary is not persuasive. At the change of plea hearing, the State provided the district court with details of the plea agreement, including the sentencing recommendation and restitution amounts. After receiving the details of the plea agreement, Van Haele confirmed that the terms of the plea agreement were correctly expressed. Van Haele further indicated that he had ample opportunity to discuss the agreement with his counsel. [¶ 24] The court then made inquires to determine that Van Haele was not under the influence of alcohol or drugs. The district court also explained to Van Haele that it was not bound by the plea agreement, that a presentence investigation report would be conducted and, thereafter, another hearing would be held so that the district court could determine if it would accept the plea agreement. The district court further advised Van Haele that if it rejected the plea agreement, Van Haele could withdraw his plea and proceed to trial. However, if the district court accepted the plea agreement, a conviction would be entered, sentence imposed, and Van Haele would not be permitted to withdraw his plea. The court also explained to Van Haele that his plea would entail the loss of certain civil rights, which the district court noted had been discussed with Van Haele at previous proceedings. [4] The district court further summarized some of the terms of his supervised probation should the district court accept the plea agreement. [¶ 25] At that time Van Haele indicated that he affirmatively desired to change his plea and formally plead nolo contendere to the charge of aggravated assault and battery. In particular, after the above detailed admonishments were given, the following transpired: THE COURT: Well, what do you think you want to do, Mr. Van Haele? Do you want to change your plea in hopes this agreement will go through, or do you want to go to trial? [VAN HAELE]: Change my plea, Your Honor. THE COURT: All right, sir, would you please stand. As to the charge that on or about June 29, 2001 here in Sheridan County, Wyoming you did attempt to cause or intentionally or knowingly did cause bodily injury to [the victim] in violation of our aggravated assault and battery statute, how do you plead? [VAN HAELE]: Guilty. [VAN HAELE'S COUNSEL]: Say nolo contendere. THE COURT: All right, you may be seated, Mr. Van Haele. Thus, we conclude that Van Haele's plea of nolo contendere to the charge of aggravated assault and battery was intelligent, knowing and voluntary, and that such plea was entered with Van Haele's understanding of the consequences. [¶ 26] Van Haele further argues that the district court did not obtain a sufficient factual basis concerning his nolo contendere plea. The record on appeal discloses that the district court did not question Van Haele about the factual basis establishing Van Haele's nolo contendere plea at the change of plea hearing. Rather, the district court commented as follows: Because this Court has sat through the one trial concerning the alleged facts in this case, I believe there is an adequate factual basis to accept the Defendant's plea of no contest. [¶ 27] It is true that W.R.Cr.P. 11(f) provides that notwithstanding the acceptance of a plea of guilty, the court should not enter a judgment on a guilty plea without making such inquiry as shall satisfy it that there is a factual basis for the plea. Ingalls, at ¶ 11. However, the factual basis for accepting a plea may be inferred from circumstances surrounding the crime and need not be established only from the defendant's statements. Anderson v. State, 2002 WY 46, ¶ 32, 43 P.3d 108, ¶ 32 (Wyo.2002) (citing Barnes v. State, 951 P.2d 386, 388-89 (Wyo.1998); Rude v. State, 851 P.2d at 17-18). Rule 11(f) does not require proof beyond a reasonable doubt that a defendant who pleads is actually guilty; the rule's standard is much lower. Reyna, ¶ 14 (citing United States v. Webb, 433 F.2d 400, 403 (1st Cir.1970) and McCoy v. United States, 363 F.2d 306, 308 (D.C.Cir. 1966)). Rule 11(f) merely requires the court to satisfy itself that a factual basis exists for the guilty plea before accepting such plea. Lee v. State, 2001 WY 129, ¶ 14, 36 P.3d 1133, ¶ 14 (Wyo.2001) (citing Rude, at 7). Additionally, this court has expressly held that the above-cited requirements do not apply in the acceptance of a plea of nolo contendere, so long as the charging document, whether it be an information, indictment, or other charging form, contains an accurate and complete statement of all the elements of the crime charged. Peitsmeyer, ¶ 7. [¶ 28] In support of this position, this court noted: At one time in the past the Advisory Committee on Criminal Rules proposed that a plea of nolo contendere not be accepted without the court first satisfying itself that the defendant committed the crime charged. This overlooked the fact that an innocent defendant may not wish to contest the charge and that the nolo plea is a means for him or her to do this. Accordingly that proposal was not adopted and Rule 11(f), requiring the court to determine the accuracy of a plea, applies to guilty pleas but not to pleas of nolo contendere. 1A Charles Alan Wright, Federal Practice and Procedure: Criminal 3d § 177 (1999). We embrace that proposition because any other reading of W.R.Cr.P. 11(f) would obliterate the distinction between a plea of guilty and a plea of nolo contendere. State v. Steele, 620 P.2d 1026, 1028 (Wyo.1980); State v. Merino, 81 Hawai'i 198, 915 P.2d 672, 691-92 (1996). Thus, we expressly hold that a district court need not obtain a factual basis when accepting a plea of nolo contendere, so long as the charging document, whether it be an information, indictment, or other charging form, contains an accurate and complete statement of all the elements of the crime charged. Peitsmeyer, at ¶¶ 6-7. [¶ 29] Here, the information expresses an accurate and complete statement of the elements of the charge of aggravated assault and battery. In addition, the affidavits of probable cause made a part of the information give detailed descriptions of the events that were alleged to have occurred on the evening in question. [¶ 30] Upon reading the transcript of the initial trial, however, we conclude that Van Haele, himself, provided an adequate factual basis to support his nolo contendere plea to the aggravated assault and battery charge. Specifically, Van Haele clearly admitted that after he kicked in the doors of the victim's vehicle, a fracas ensued between himself and the victim. Thereafter, Van Haele realized that a Leatherman tool was in his pocket so he unfolded it under his belly and stabbed the victim. Moreover, both the victim and Ms. Van Haele gave their eyewitness testimony substantiating these facts. Numerous other witnesses who later arrived at the scene testified they saw that the victim had been stabbed and Van Haele admitted to them that he had stabbed the victim. The Leatherman tool was found at the scene and was identified as being in Van Haele's possession. Additionally, Dr. Walter H. Gould testified that the stabbing wound resulted in the laceration of the victim's skin and lung causing bleeding into the chest cavity, which had to be drained. The victim was required to stay in the hospital for four days as a result of the injury he sustained. The record is sufficient to support the district court's conclusion that a factual basis existed for Van Haele's nolo contendere plea to aggravated assault and battery even though a factual basis was not required.