State v. Alexander

2009 UT App 188, 214 P.3d 889, 634 Utah Adv. Rep. 10, 2009 Utah App. LEXIS 194, 2009 WL 2048126
CourtCourt of Appeals of Utah
DecidedJuly 16, 2009
DocketCase No. 20080568-CA
StatusPublished
Cited by4 cases

This text of 2009 UT App 188 (State v. Alexander) is published on Counsel Stack Legal Research, covering Court of Appeals of Utah primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
State v. Alexander, 2009 UT App 188, 214 P.3d 889, 634 Utah Adv. Rep. 10, 2009 Utah App. LEXIS 194, 2009 WL 2048126 (Utah Ct. App. 2009).

Opinion

OPINION

DAVIS, Judge:

1 James Norman Alexander appeals from a conviction of burglary, a second degree felony, see Utah Code Ann. § 76-6-202 (2008). Alexander argues that the trial court's failure to apprise him of the elements of sexual battery-the specific intent crime included in the burglary charge-as well as the trial court's failure to outline the factual basis for the plea, resulted in an unknowing and involuntary guilty plea. We agree and, accordingly, reverse.

BACKGROUND

12 In January 2006, the State filed an information against Alexander for rape and forcible sexual abuse. At the preliminary hearing, the following testimony was elicited from the alleged victim: (1) she and Alexander knew each other and had previously dated; (2) in late January 2006, she spoke with Alexander and Alexander indicated that he wanted to visit her at her home; (8) Alexander told her that he wanted to have sex with her; (4) she told Alexander that she did not want to have sex with him, but nonetheless agreed to his visit; (5) after arriving at her home, Alexander began making unwanted sexual advances toward her; (6) she told Alexander that she was engaged and "[did] not want [him]"; (7) despite her protests, Alexander became aggressive and "started touching [her], like hugging [her] and kissing [her]"; (8) she told Alexander to "get the hell off [her}," but Alexander became more physically aggressive; (8) Alexander then grabbed her arms and breasts and touched her vagina underneath her clothing without her consent; (9) she then decided to change her clothing, which she did in front of Alexander; and (10) Alexander then foreed her onto her bed and had intercourse with her without her consent.

3 Alexander did not testify at the preliminary hearing, denied all of the allegations, and entered pleas of not guilty to the charges contained in the information. Pursuant to a plea bargain, the State subsequently filed an amended information charging burglary and Alexander entered a guilty plea. Alexander and his trial counsel signed a Statement of Defendant in Support of Guilty Plea (the plea affidavit), which purported to identify the elements and the factual basis of the erime to which Alexander was pleading guilty. As to the elements of the offense, the plea affidavit stated as follows:

The defendant (1) remained unlawfully (2) in a dwelling (8) with the intent to commit a felony, theft, assault, or lewdness, or sexual battery.

As to the factual basis for the charge, the plea affidavit provided the following description of the events:

On 1/29/06 at 564 N. Pugsley St. in Salt Lake County, Utah, the defendant was in the apartment of [the alleged victim] and committed the offense of sexual battery on [her].

Additionally, during the plea hearing on the amended information, the following colloquy occurred regarding the nature and elements of the burglary charge:

THE COURT: Okay. You've explained to [Alexander] what a second degree felony means, and you feel like he's agreeing to this knowingly and voluntarily?
[ALEXANDERS COUNSEL]: I have, Your Honor. I've reviewed the amended information with him as well as [the plea affidavit]l-
THE COURT: All right.
[ALEXANDER'S COUNSEL]:-outlining all of those issues.
THE COURT: Thank you.

The trial court then asked Alexander's counsel to provide the factual basis for the plea to burglary:

[ALEXANDERS COUNSEL]: Your Honor, on January 29th [of] 2006 at 565 [1] North Pugsley Street in Salt Lake County, Mr. Alexander was in the apartment of *892 [the alleged victim], a friend of his. He did-he was allowed into the apartment, but while in the apartment, he committed the offense of sexual battery on [the alleged victim].
[COUNSEL FOR THE STATE]: And I think it may be sufficient, Your Honor. What we're alleging here is that as he's in the apartment, she starts to do some actions that clearly tell him that he needs to be out of the apartment and instead of leaving, he remains with the intent as we've outlined.
THE COURT: All right. Is that what happened, Mr. Alexander?
MR. ALEXANDER: Yes, sic. [2]

Following this brief colloquy, the trial court accepted Alexander's guilty plea.

T4 Prior to sentencing, Alexander timely moved to withdraw his plea, which motion the trial court denied. 3 Alexander now appeals.

ISSUE AND STANDARDS OF REVIEW

15 Alexander contends that the trial court erred in denying his motion to withdraw his guilty plea. Specifically, Alexander argues that the record of the plea fails to support that he understood the nature and elements of the specific intent crime underlying the burglary plea, i.e., sexual battery, and also fails to contain an adequate factual basis to support the plea. "'[Wlhether the trial court strictly complied with constitutional and procedural requirements for entry of a guilty plea is a question of law that is reviewed for correctness." " State v. Lehi, 2003 UT App 212, ¶ 7, 73 P.3d 985 (quoting State v. Holland, 921 P.2d 430, 433 (Utah 1996). However, " '[wle review a trial court's denial of a motion to withdraw a guilty plea under an "abuse of discretion" standard"" Id. (quoting Holland, 921 P.2d at 433).

ANALYSIS

16 "Rule 11 of the Utah Rules of Criminal Procedure governs the entry of guilty pleas." State v. Corwell, 2005 UT 28, ¶ 11, 114 P.3d 569; see also Utah R.Crim. P. 11. The burden of compliance with rule 11 rests squarely upon the trial court, which "means that the trial court [must] personally establish that the defendant's guilty plea is truly knowing and voluntary and establish on the record that the defendant knowingly waived his ... constitutional rights." State v. Visser, 2000 UT 88, ¶ 11, 22 P.3d 1242 (alteration in original) (internal quotation marks omitted).

T7 The trial court's burden in this regard is described "as a duty of strict compliance." Corwell, 2005 UT 28, ¶ 11, 114 P.3d 569 (internal quotation marks omitted). However, strict compliance "does not require that a [trial] court follow a particular script or any other specific method of communicating the rights enumerated by rule 11. To the contrary, strict compliance can be accomplished by multiple means so long as ... the record reflects that the requirement has been fulfilled." Id. ¶ 12 (citation and internal quotation marks omitted). Indeed, "the substantive goal of rule 11 is to ensure that defendants know of their rights and thereby understand the basic consequences of their decision to plead guilty. That goal should not be overshadowed ... by formalistic ritual." Visser, 2000 UT 88, ¶ 11, 22 P.3d 1242.

18 In furtherance of this goal, rule 11 requires a trial court to make nine findings before accepting a defendant's guilty plea.

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Related

State v. Jones
2013 UT App 106 (Court of Appeals of Utah, 2013)
State v. Alexander
2012 UT 27 (Utah Supreme Court, 2012)
State v. Ferretti
2011 UT App 321 (Court of Appeals of Utah, 2011)
State v. Moa
2009 UT App 231 (Court of Appeals of Utah, 2009)

Cite This Page — Counsel Stack

Bluebook (online)
2009 UT App 188, 214 P.3d 889, 634 Utah Adv. Rep. 10, 2009 Utah App. LEXIS 194, 2009 WL 2048126, Counsel Stack Legal Research, https://law.counselstack.com/opinion/state-v-alexander-utahctapp-2009.