Adams v. State

269 N.W.2d 442, 1978 Iowa Sup. LEXIS 1008
CourtSupreme Court of Iowa
DecidedAugust 30, 1978
Docket60499
StatusPublished
Cited by12 cases

This text of 269 N.W.2d 442 (Adams v. State) is published on Counsel Stack Legal Research, covering Supreme Court of Iowa primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Adams v. State, 269 N.W.2d 442, 1978 Iowa Sup. LEXIS 1008 (iowa 1978).

Opinions

LeGRAND, Justice.

Plaintiff Doren S. Adams entered a plea of guilty to a charge of carrying a concealed weapon in violation of § 695.2, The Code. He was given a deferred sentence, which was later revoked, at which time sentence was imposed and probation granted. Probation was also revoked, and plaintiff was then ordered to serve the sentence.

Subsequently he filed a petition for post-conviction relief under § 663A.3, The Code, alleging his guilty plea was accepted in violation of both the federal constitution and the constitution of this state. He relies upon State v. Sisco, 169 N.W.2d 542 (Iowa 1969) and Brainard v. State, 222 N.W.2d 711 (Iowa 1974) to support this claim.

Although his application failed to specify which of his constitutional rights were violated, he poses the following questions to be resolved on the appeal:

1. Did the trial court make a determination that defendant understood the charge?
2. Did the trial court make a determination that the defendant understood the penal consequences of his plea?
3. Did the trial court make a determination that defendant voluntarily entered his guilty plea?

The Court of Appeals affirmed the trial court, and we granted plaintiff’s petition for further review. Plaintiff argues both the trial court and the Court of Appeals reached a result which is contrary to our previous holdings in Sisco, Brainard and State v. Reaves, 254 N.W.2d 488 (Iowa 1977). We have considered each of his complaints and find, as did the trial court and the Court of Appeals before us, that plaintiff is not entitled to postconviction relief.

We limit our review, of course, to the three issues raised and argued by plaintiff as heretofore set out. It is interesting to note he does not assert a failure to understand the charge; nor does he claim his plea was not in fact voluntary or that he was unaware of the penal consequences. He alleges only that the trial court made no determination of these matters at the time the plea was tendered.

I. Penal Consequences of Plea.

One of the requirements to the entry of a valid guilty plea is that the accused [444]*444knows the possible sentences which the court may impose. State v. Brant, 268 N.W.2d 210 (Iowa filed July 26, 1978); State v. Rand, 268 N.W.2d 642 (Iowa filed July 26, 1978); Brainard v. State, 222 N.W.2d 711, 713 (Iowa 1974); State v. Sisco, 169 N.W.2d 542, 547-48 (Iowa 1969).

This requirement was satisfied in the present case by the trial court’s inquiry at the time the guilty plea was accepted. The court asked plaintiff (defendant there) if his attorney had advised him concerning the possible sentences which could be imposed. Plaintiff answered that he had.

The situation is similar to the one we faced in State v. Reppert, 215 N.W.2d 302, 307 (Iowa 1974), where we said:

“As noted, Reppert answered [in response to the trial court’s inquiry] that he understood the possible penalties. Defendant’s positive assertion he possessed an awareness of the possible penalties made further inquiry along this line by the trial court unnecessary. * * *
“The question is not whether defendant learned of such penalty from the judge in a formal proceeding, but whether he had knowledge of such matter, whether it was from the judge, his lawyer or from some other source.”
There was no error here.

II. Voluntariness of Plea.

The same might be said concerning the voluntariness of plaintiff’s guilty plea. Again in response to an inquiry, he said his plea was voluntary and was not induced by any threats or promises. However, plaintiff also argues that the trial court did not advise him concerning the nature of the charge. He sets this out as a separate ground for reversal. As this goes to volun-tariness, we consider plaintiff’s understanding of the charge as it relates to whether the plea was voluntarily entered.

We believe the resolution of this question depends on whether testimony at the postconviction hearing may supply deficiencies in the record made at the plea-stage. If so, it is clearly sufficient; if not, the plea is open to serious question. Plaintiff argues strenuously that we are limited strictly to what appears of record at the time the plea was entered.

The Court of Appeals took a contrary view and considered the postconviction testimony in reaching the conclusion that plaintiff’s plea was a valid one. We believe it was permissible to do so.

It is imperative, of course, that an accused be aware of the nature of the charge and of the penal consequences at the time he enters his plea. It must also be shown that his plea was voluntary and that there existed a factual basis for it. There has always existed some uncertainty, however, as to how, on appeal, these matters may be shown to have existed at the plea-taking stage.

In State v. Reppert, 215 N.W.2d at 307, we noted that the important question is whether the accused possesses the necessary knowledge, not how he got it. In State v. Reaves, 254 N.W.2d at 491, we approved a shift away from courtroom formalism to an actual awareness — from whatever source— of the requisites to a valid plea.

The use of extrinsic evidence to supply deficiencies in the plea-stage record has been approved by a number of courts. Todd v. Lockhart, 490 F.2d 626, 627 (8th Cir. 1974); McChesney v. Henderson, 482 F.2d 1101, 1109 (5th Cir. 1973); Walker v. Caldwell, 476 F.2d 213-15, 16, n.1 (5th Cir. 1973); Turner v. Haynes, 485 F.2d 183, 184 (4th Cir. 1973); Mountjoy v. Swensen, 306 F.Supp. 379, 384-85 (W.D.Mo.1969); State v. Elliott, 192 Neb. 217, 219 N.W.2d 775, 776 (1974); State v. Darling, 109 Ariz. 148, 506 P.2d 1042, 1046 (1973); Merrill v. State, 206 N.W.2d 828, 829-31 (S.D.1973).

Certainly this is not the preferred way of handling guilty pleas. If a better record had been made when the plea was taken, our present task would have been avoided or, at least, made easier. We agree with this statement from State v. Darling, 109 Ariz. 148, 506 P.2d at 1046:

“Of course, the only way that the trial court may be sure that the Poykin re[445]

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271 N.W.2d 686 (Supreme Court of Iowa, 1978)
Adams v. State
269 N.W.2d 442 (Supreme Court of Iowa, 1978)

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Bluebook (online)
269 N.W.2d 442, 1978 Iowa Sup. LEXIS 1008, Counsel Stack Legal Research, https://law.counselstack.com/opinion/adams-v-state-iowa-1978.