Menefee v. State
Full Opinion (html_with_citations)
OPINION
delivered the opinion of the Court
The appellant pled guilty in an open plea proceeding to the offense of possession of cocaine with intent to deliver in an amount greater than one, but less than four grams, a second-degree felony.
On appeal, the appellant contended that the evidence was insufficient to support his guilty plea, in contravention of Article 1.15
PROCEDURAL POSTURE
The indictment alleged, inter' alia, that the appellant âdid then and there possess with intent to deliver, a controlled substance, namely, cocaine, in an amount of one (1) gram or more but less than four (4) grams, including any adulterants or dilu-tants[.]â The written stipulation of evidence in support of the appellantâs open guilty plea, however, acknowledged as âtrue and correctâ that the appellant âdid then and there with intent to deliver, a controlled substance, namely, cocaine, in an amount of one (1) gram or more but less than four (4) grams, including aduler-ants and dilutants[.]â It is undisputed that the written stipulation thus failed to include the element of possession with intent to deliver the requisite amount of cocaine. For this reason, the court of appeals proceeded to inquire, consistent with Dinnery v. State,
The court of appeals found independent support for the appellantâs guilty plea in the following sworn colloquy between the trial court and the appellant occurring during the guilty plea proceeding:
THE COURT: Mr. Menefee, in your case the grand jury returned an enhanced first degree felony charge of possession of a controlled substance with intent to deliver. The range of punishment on that particular charge is no less than 15 years and up to 99 years or life in the penitentiary and up to a hundred thousand dollar fine. You understand thatâs the range of punishment?8
THE DEFENDANT: Yes, sir.
*12 THE COURT: Knowing that thatâs the range of punishment, the paperwork thatâs been provided to me that indicates that youâve decided to enter an open plea of guilty in relation to that particular charge and leave it to the Court to decide what type of punishment should be assessed. Is that correct?
THE DEFENDANT: Thatâs correct, Your Honor.
THE COURT: And to that charge in the indictment as weâve just covered, how do you plead, guilty or not guilty?
THE DEFENDANT: Guilty, Your Honor.
From this point, the trial court turned to inquire into the appellantâs plea to the enhancement provisions in the indictment.
The court of appeals held that the above colloquy sufficed to make up for the deficiency of the written stipulation. It reasoned that â[bjecause [the appellant] pleaded guilty â[a]s to that charge in the indictmentâ â possession of a controlled substance with intent to deliver â he supplied the element of possession, which was included in the indictment but omitted from his stipulation of evidence.â
The United States Constitution does not require that the State present evidence in support of a guilty plea in Texas courts.
A deficiency of one form of proofâ say, a defective written stipulation of evidence (as we have in this case) or written judicial confession â may be compensated for by other competent evidence in the record.
ANALYSIS
Article 1.15 requires substantiation of a guilty plea. By its plain terms it requires evidence in addition to, and independent of, the plea itself to establish the defendantâs guilt.
[tjhere is sometimes difficulty determining whether a statement made by the defendant is part of the plea entry process or is independent of it. Clearly, the uttering of the words âguiltyâ or âno contestâ in response to the question, âHow do you wish to plead?â is not substantiation, but the plea itself. Some additional statement must be found to support a claim of substantiation by oral judicial confession.22
If they are right, then the court of appeals plainly erred in this case. When the appellant answered the trial courtâs question, âAs to that charge in the indictment as weâve just covered, how do you plead,
Unfortunately, Professors Dix and Dawson cite no cases for their assertion that the plea itself cannot provide substantiation. Perhaps the reason for this omission is that our case law is impossibly ambiguous on the subject. We turn to an examination of the relevant case law.
Brain
In Drain v. State,
Q Your name is Dyon Weslie Drain?
A Yes, sir.
Q And you heard me make several waivers for you, and did I have the right to make those waivers for you? A Yes, sir.
Q And are you guilty of this charge and are you pleading guilty because you are guilty and for no other reason?
A Yes, sir.26
We held this sworn colloquy to constitute, not an oral judicial confession, but âmerely an additional admonishment by counsel.â
Cooper and Craven
Two subsequent cases tend to cast the holding of Drain in doubt. In Cooper v. State,
It is true that [the] written judicial confession cannot support the guilty plea. When appellant took the stand and testified, however, he stated that he was pleading guilty just as he was charged in the indictment, and that he was saying*16 he was guilty regardless of what punishment the court would assess. We consider this was a sufficient judicial confession to support the plea under Art. 1.15, supra. Cf. Potts v. State, Tex.Cr.App. 571 S.W.2d 180, and authorities cited there.29
Neither Potts, however, nor the âauthorities cited thereâ directly support the proposition that a defendantâs mere acknowledgment that he was âpleading guilty,â or even that he was âsaying he was guilty[,]â constitutes an oral judicial confession, independent of the entry of the plea itself and sufficient to substantiate it.
In Craven v. State,
Judge Clinton dissented to the Courtâs denial of Cravenâs motion for en banc rehearing. He construed the panel opinion to stand for the proposition that the following colloquy between Craven and the trial court constituted a judicial confession:
Q: You are the same Lemuil Craven as charged in the Indictment in this cause, is that right?
A: Yes, sir.
Q: Is that a cause that lists an offense on January the 15th, 1975, is that right?
A: Yes, sir.
Q: And are you pleading guilty to that Indictment?
A: Yes, sir.34
We reject Judge Clintonâs view, however, that the panel opinion in Craven held that this colloquy (quite similar to the colloquy in this case that the court of appeals relied upon) could, by itself, constitute sufficient evidence to support a guilty plea. At best, Craven can be read only for the proposi
Morris
In 1986, we granted a petition for discretionary review to resolve this latent confusion in the case law. In Morris v. State,
In his opinion for the Court, Presiding Judge Onion nevertheless disposed of the case by holding that the court of appeals had lacked jurisdiction to reach the merits of the sufficiency claim; accordingly, he declined to address the issue upon which review had been granted.
Simply to invest the plea itself with the trappings of an oath does not elevate it to the status of evidence. Appellant merely swore to the fact that he understood the indictment and was pleading no contest to it. This does not amount to confirmation that such allegations are true and correct or that appellant committed the offense so alleged. Patently, as modified, the stipulation constitutes neither a âjudicial confessionâ nor any other manner of evidence contemplated under Article 1.15 as necessary to support the trial courtâs judgment.42
Moreover, Judge Clinton advocated overruling both Cooper and Craven, at least to the extent that they can be construed to conflict with the earlier decision in Drain.
We take the opportunity to do so now. For the reasons expressed in Judge Clintonâs dissenting opinion in Morris, we hold that the appellantâs sworn affirmation, in response to the trial courtâs questioning,
DISPOSITION
The court of appeals erred to hold that the deficiency in the written stipulation was remedied by the appellantâs plea colloquy with the trial court in this cause. On appeal, the State also argued that evidence adduced at the subsequent sentencing hearing also independently served to provide evidentiary support for the appellantâs guilty plea.
WOMACK, J., filed a concurring opinion in which COCHRAN, J., joined.
COCHRAN, J., filed a concurring opinion.
. Tex. Health & Safety Code § 481.112(a) & (c).
. Id., § 481.134(b)(1) and Tex. Penal Code § 12.42(c)(1), respectively.
. Tex.Code Crim. Proc. art. 1.15.
. Menefee v. State, No. 12-07-00001-CR, 2008 WL 4335170 (Tex.App.-Tyler, delivered September 24, 2008) (not designated for publication) (hereinafter, Menefee II). The appellant's first attorney on appeal filed an Anders brief. Anders v. California, 386 U.S. 738, 87 S.Ct. 1396, 18 L.Ed.2d 493 (1967). The court of appeals recognized, however, that the defective stipulation presented a non-frivolous issue for appeal, abated the appeal, and remanded the cause to the trial court for appointment of new appellate counsel and briefs. Menefee v. State, No. 12-07-00001-CR, 2008 WL 787851 (Tex.App.-Tyler, delivered March 26, 2008) (not designated for publication) (Menefee I).
. Menefee II, supra (Hoyle, J., dissenting).
. TexR.App. P. 66.3(c) & (e).
. 592 S.W.2d 343, 352 (Tex.Crim.App.1980) (opinion on reh'g) (where defendant entered written judicial confession to the wrong offense, reviewing court would look to other evidence in the record for substantiation of guilty plea).
. At a later point in the proceedings, the trial court realized that the applicable fine was not $100,000, but only $10,000, and the appellant was admonished accordingly. This discrepancy is not material to the issue before us in this case.
. Menefee II, supra (slip op. at *4).
. 573 S.W.2d 533 (Tex.Cnm.App.1978).
. Menefee II, supra (slip op. at *7)(Hoyle, J., dissenting).
. In her brief dissenting opinion, Presiding Judge Keller advocates that we dismiss the appellantâs petition as improvidenlly granted. She claims that the court of appeals might have lacked "jurisdictionâ because the certification of appeal was defective. But the very case she cites, Dears v. State, 154 S.W.3d 610, at 612 (Tex.Crim.App.2005), holds that "[a]p-pellate jurisdiction is invoked by giving timely and proper notice of appeal." That was done in this case, so the court of appeals acquired jurisdiction over the appeal. It is true that, once an appellate court has acquired jurisdiction, it must nevertheless dismiss the appeal "if a certification that shows the defendant has the right of appeal has not been made part of the record under these rules.â Tex. R.App P. 25.2(d). But there is such a certification in this record. Presiding Judge Keller argues that the certification is defective because it is belied by the balance of the record, which contains a waiver of appeal that was signed by the appellant on the same day that the trial court signed the certificate of appeal. There is no explanation in the record for this apparent discrepancy. Consistent with Dears, the court of appeals could have examined the certification of appeal for defectiveness and, if appropriate, used Rules 37.1 and 34.5(c) of the Rules of Appellate Procedure to obtain a new certificate of appeal. 154 S.W.3d at 614-15; see also Greenwell v. Court of Appeals for the Thirteenth Judicial District, 159 S.W.3d 645, 650 n. 24 (Tex.Crim.App.2005) (although appellate court may require lower court to address apparent defect in certification of appeal, it "may not dictate the content of the certificationâ). If a new certificate of appeal obtained by this process were to certify that the appellant waived his right to appeal, then, of course, the court of appeals could only exercise its appellate jurisdiction to dismiss the appeal under Rule 25.2(d). As Professors Dix and Dawson have observed, "[u]nder Dears, a court of appeals clearly may, once the record is filed, compare a certification to the record to determine whether the certification is supported by the record. It would seem that the appellate tribunal is required to do so upon a suggestion by the State that a facially valid certification lacks support in the record.â George E. Dix & Robert O. Dawson, 43A Texas Practice. Criminal Practice and procedure § 43.287 (2d ed. 2008-2009 Sup.), at 253. But the court of appeals in this case did not determine wheth
. Ex parte Williams, 703 S.W.2d 674, 682 (Tex.Crim.App.1986).
. Id. at 678.
. See Tex.Code Crim Proc. art. 1.15 (âNo person can be convicted of a felony except upon the verdict of a jury duly rendered and recorded, unless the defendant, upon entering a plea, has in open court in person waived his right of trial by jury in writing in accordance with Articles 1.13 and 1.14; provided, however, that it shall be necessary for the state to introduce evidence into the record showing the guilt of the defendant and said evidence shall be accepted by the court as the basis for its judgment and in no event shall a person charged be convicted upon his plea without sufficient evidence to support the same. The evidence may be stipulated if the defendant in such case consents in writing, in open court, to waive the appearance, confrontation, and cross-examination of witnesses, and further consents either to an oral stipulation of the evidence and testimony or to the introduction of testimony byâaffidavits, written statements of witnesses, and any other documentary evidence in support of the judgment of the court. Such waiver and consent must be approved by the court in writing, and be filed in the file of the papers of the cause.â) (emphasis added).
. Id. See also, e.g., Hammond v. State, 470 S.W.2d 683 (Tex.Crim.App.1971); Brewster v. State, 606 S.W.2d 325 (Tex.Crim.App.1980); Stone v. State, 919 S.W.2d 424 (Tex.Crim.App.1996).
. E.g., Sprinkle v. State, 456 S.W.2d 387 (Tex.Crim.App.1970); Waage v. State, 456 S.W.2d 388 (Tex.Crim.App.1970); Soto v. State, 456 S.W.2d 389 (Tex.Crim.App.1970); Sexton v. State, 476 S.W.2d 320 (Tex.Crim.App.1972); Knight v. State, 481 S.W.2d 143 (Tex.Crim.App.1972); Potts v. State, 571 S.W.2d 180 (Tex.Crim.App.1978).
. See Dinnery v. State, supra at 351 ("A plea of guilty is an admission of guilt of the offense charged, but it does not authorize a conviction in a bench trial upon such plea unless there is evidence offered to support such plea and the judgment to be entered.â).
. Bender v. State, 758 S.W.2d 278, 280-81 (Tex.Crim.App.1988); Ex parte Martin, 747 S.W.2d 789, 793 (Tex.Crim.App.1988); Ex parte Williams, supra.
. Dinnery v. State, supra at 352 (where written judicial confession was deficient, Court would "turn to see if there is other evidence independent thereof which will support die plea of guiltyâ). See also George E. Dix & Robert 0. Dawson, 43 Texas Practice: Criminal Practice and Procedure §§ 34.74-34.76 (2d ed.2001), at 379-380 ("omission of an element of the offense [in stipulated evidence] can be cured by a âcatch-allâ admission that the indictment is true and correct. â * * Oral judicial confessions can be used to substantiate a plea when the stipulation agreement is invalid and when a written judicial statement is insufficient. â â â The entire plea proceeding is examined to determine whether there is substantiation.â).
. See Boykin v. State, 818 S.W.2d 782, 785 (Tex.Crim.App.1991) (when statutory language is clear and unambiguous, we give effect to plain language unless to do so would lead to absurd consequences). Under Article 1.15, "in no event shall a person charged be convicted upon his plea without sufficient evidence to support the same.â
. Dix & Dawson, supra § 34.75, at 379 (footnote omitted).
. Dinnery v. State, supra at 359 n. 14 (Clinton, J., dissenting).
. 465 S.W.2d 939 (Tex.Crim.App. 1971).
. The statute was subsequently amended to permit oral stipulations. Acts 1971, 62nd Leg., ch. 996, p. 3028, § 1, eff. June 15, 1971.
. Drain v. State, supra at 940 (emphasis added).
. Id.
. 573 S.W.2d 533 (Tex.Crim.App.1978).
. Id. at 535.
. Relying on Adam v. State, 490 S.W.2d 189 (Tex.Crim.App.1973), and Miles v. State, 486 S.W.2d 326 (Tex.Crim.App.1972), we reiterated in Potts that âan affirmation of the indictment as true and correct will constitute a judicial confession sufficient to support a judgment of conviction." 571 S.W.2d at 182. Cooper made no such "affirmation," unless "saying he was guilty regardless of what punishment the court would assessâ should somehow count as expressly "affirmingâ that all the elements of the offense as alleged in the indictment are true and correct.
. 607 S.W.2d 527 (Tex.Crim.App.1980).
. Id. at 528.
. "This is not a 'no evidence' case, however. The appellant judicially confessed to burglary with intent to commit theft, and he also took the stand arid pled guilty to the indictment.â Id.
. Id. at 528 (Clinton, J., dissenting to denial of motion for rehearing) (emphasis added).
. 749 S.W.2d 772 (Tex.Crim.App.1986).
. Id. at 776 (Clinton, J., dissenting on original submission).
. Id. at 773.
. Id.
. Id. at 775 (Clinton, J., dissenting on original submission).
. Id. at 777 (Clinton, J., dissenting on original submission).
. Id. at 778 n. 11 (Clinton, J., dissenting on original submission).
. The State argued on appeal that the trial court took judicial notice of the pre-sentence investigation report at the later sentencing proceeding. Although the PSI was not included in the appellate record, the State argues that it is apparent from the court reporterâs record that it included evidence to substantiate the guilty plea. Having disposed of the appellantâs claim of insufficient evidence to support the plea on another basis, the court of appeals did not address this argument.
. Because the court of appeals did not address this argument, it rendered no "decisionâ for this Court to review. E.g., Stringer v. State, 241 S.W.3d 52, 59 (Tex.Crim.App.2007). The issue is nevertheless now "necessary to final disposition of the appeal.â See Tex R.App P. 47.1 ("The court of appeals must hand down a written opinion that is as brief as practicable but that addresses every issue raised and necessary to final disposition of the appeal.â).
. Whether the appellant must object at trial before he may complain on appeal would seem to be a function of whether Article 1.15âs requirement of evidence to support a plea constitutes a "systemic requirementâ or "fundamental feature of the system,â not optional with the parties. See Marin v. State, 851 S.W.2d 275, 279 (Tex.Crim.App.1993) (âThus, our system may be thought to contain rules of three distinct kinds: (1) absolute requirements and prohibitions; (2) rights of litigants which must be implemented by the system unless expressly waived; and (3) rights of litigants which are to be implemented upon request. In the present context, the most important thing to remember about the Texas law of procedural default is that it only applies to the last category.â).
. E.g., Haley v. State, 173 S.W.3d 510, 515 (Tex.Crim.App.2005).
. Tex R.App P. 44.2(b). Neither the appellant nor the State briefed the issue of harm, vel non, in their briefs in the court of appeals. Nor does the State argue now, in its reply brief to the appellantâs brief on discretionary review, that trial error, if any, was harmless.