State v. Trotter

2014 UT 17, 330 P.3d 1267, 761 Utah Adv. Rep. 32, 2014 Utah LEXIS 72, 2014 WL 2090556
Utah Supreme Court·Decided May 20, 2014·No. 20111056·Published·Cited by 10 cases

Opinion

Justice DURHAM,

opinion of the Court:

INTRODUCTION

1 1 In 2007, Kenneth Trotter pled guilty to unlawful sexual conduct with a minor. Mr. Trotter later moved to withdraw his guilty plea, claiming it was not made voluntarily or knowingly because his defense counsel and the trial court failed to advise him that his plea would carry with it the requirement that he register as a sex offender. Mr. Trotter argued that this failure amounted to ineffective assistance of counsel in violation of the Sixth Amendment and a violation of rule 11 of the Utah Rules of Criminal Procedure. The district court denied Mr. Trotter's motion to withdraw because it held that the registration requirement was a collateral consequence of the guilty plea, and therefore neither defense counsel nor the district court had an obligation to inform him of that consequence. Mr. Trotter appeals that denial.

1 2 We hold that the requirement to register on the state's sex offender registry is properly classified as a collateral consequence of a defendant's guilty plea. Therefore, neither defense counsel nor the trial court is constitutionally compelled to inform a defendant of the registration requirement before a guilty plea may be accepted as knowing and voluntary. We thus affirm the decision of the district court.

BACKGROUND

1 3 In 2007, Mr. Trotter, then twenty years old, was arrested and charged for having sexual intercourse with two minor girls between the ages of fourteen and sixteen. Mr. Trotter's public defender advised him to plead guilty to the unlawful sexual conduct in exchange for a reduction of his charge to a class A misdemeanor. It appears from the record that neither defense counsel nor the trial court informed Mr. Trotter that if he pled guilty, he would be required to register on the state's sex offender registry. The trial court followed the procedures outlined by rule 11 of the Utah Rules of Criminal Procedure to confirm with Mr. Trotter that his plea was freely, knowingly, and voluntarily given. Mr. Trotter acknowledged this fact in writing, and the plea was subsequently accepted by the court in March 2009.

T4 Mr. Trotter later hired private counsel and filed a motion requesting to withdraw his guilty plea. Mr. Trotter argued that his plea was not made voluntarily and knowingly as required by the Due Process Clause of the United States Constitution and Utah Code section 77-13-6(2)(a) (Plea Withdrawal Stat ute) because the trial court did not inform him of the sex offender registration requirement. Alternatively, he claimed that his public defender's failure to inform him of the registration requirement amounted to ineffective assistance of counsel in violation of the Sixth Amendment. At this point, Mr. Trotter's sole argument was that the registration requirement was a direct rather than eollateral consequence of his guilty plea, meaning that the court and defense counsel were obligated to ensure he understood the requirement prior to his submitting-and the court accepting-his guilty plea. The State responded by arguing that sex offender registration was a collateral consequence of the plea, so that neither the court nor defense counsel was constitutionally obligated to disclose this consequence for his plea to be valid. In July 2011, the trial court denied Mr. Trotter's motion to withdraw his plea, holding that the requirement to register on the sex offender registry, despite its definite and automatic nature, was not a direct consequence of the plea.

T5 Three months later, but prior to his sentencing, Mr. Trotter again attempted to withdraw his guilty plea in October 2011, this time advancing a new argument for with *1270 drawal. Mr. Trotter argued that the United States Supreme Court's decision in Padilla v. Kentucky, 559 U.S. 356, 130 S.Ct. 1473, 176 L.Ed.2d 284 (2010)-which stated that defendants have a constitutional right to be informed of the deportation risks of a guilty plea-should also extend to the sex offender registration requirement. Mr. Trotter argued that Padill¢ rendered the distinction between direct and collateral consequences of a guilty plea immaterial whenever a consequence is severe enough to warrant discarding it. And due to the severity of the consequence of sex offender registration, Mr. Trotter urged the trial court to extend Padilla's reasoning to the sex offender registry context and to conclude that because he was not informed of the registration requirement, his guilty plea was not knowing and voluntary and was therefore invalid. The district court rejected Mr. Trotter's arguments and denied his second motion to withdraw his plea. In November 2011, the court entered a judgment and sentence against Mr. Trotter on the unlawful sexual conduct charge. Mr. Trotter now appeals the district court's denial of his motion to withdraw his plea.

STANDARD OF REVIEW

16 Though appellate review of a district court's denial of a motion to withdraw a guilty plea could implicate questions of law, questions of fact, and mixed questions of law and fact, the questions before us on this appeal-concerning the seope of Padilla and whether sex offender registration is a direct or collateral consequence of a plea-are pure questions of law reviewed for correctness. See State v. Candland, 2013 UT 55, ¶¶ 9-10, 309 P.3d 230. See also Commonwealth v. Abraham, 62 A.3d 343, 346 (Pa.2012) (reviewing similar questions de novo).

ANALYSIS

T7 As noted above, Mr. Trotter advances two related arguments in support of his claim that the district court erred when it denied his motion to withdraw his guilty plea. Both arguments hinge on the fact that he was not informed, prior to entry of his guilty plea, that if he pled guilty he would be required to register as a sex offender. Mr. Trotter claims that the district court and his defense counsel were both required to inform him of this consequence and that by failing to do so, the district court violated rule 11 of the Utah Rules of Criminal Procedure and his defense counsel rendered constitutionally deficient performance under the Sixth Amendment to the United States Constitution.

18 We note that Mr. Trotter's claim of error on the part of the district court is improperly framed as a violation of rule 11. Mr. Trotter incorrectly assumes that rule 11 is the source of his right to withdraw a guilty plea that is unknowing and involuntary. The actual source of this right is the federal Due Process Clause; its derivative "knowing and voluntary" standard is further codified in Utah's Plea Withdrawal Statute. See State v. Alexander, 2012 UT 27, ¶ 19, 279 P.3d 371 ("Although rule 11 provides guidance for the entry of guilty pleas, any attempt to withdraw that plea is governed by statute.... This statutory [knowing and voluntary'] standard mirrors the showing necessary for defendants to prove that their pleas are unconstitutional." (footnotes omitted)). And as we recently clarified in Alexander,

compliance with rule 11 is not mandated by the Plea Withdrawal Statute or by the U.S. Constitution.... Thus, even if there was a violation of rule 11 during the plea hearing, appellate courts must continue to inquire into whether there is evidence that the plea was nonetheless knowingly and voluntarily made.

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State v. Trotter, 2014 UT 17, 330 P.3d 1267, 761 Utah Adv. Rep. 32, 2014 Utah LEXIS 72, 2014 WL 2090556 (Utah 2014).

2014 UT 17 (State v. Trotter) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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