Spann v. State

OPINION

PAGE, Justice.

On this issue of first impression, we must decide whether a defendant can waive his right to appeal after he has been convicted following a jury trial. Appellant Charles Spann was convicted of two counts of first-degree criminal sexual conduct involving separate victims after a jury trial. The district court sentenced Spann to two executed 118-month sentences to be served consecutively. Each sentence was an upward departure from the Minnesota Sentencing Guidelines presumptive sentence. of 86 months. Spann appealed his conviction and sentences to the court of appeals, but he agreed to dismiss his appeal and waive all of his rights to appellate and postconviction review when the state agreed to request that Spann be resen-tenced to presumptive guidelines sentences. The court of appeals dismissed Spann’s appeal and the district court re-sentenced Spann to executed consecutive 86-month sentences. Spann subsequently filed a postconviction petition challenging his sentences and the waiver of his right to appeal. In addition, he alleged that he had received ineffective assistance of trial and appellate counsel. The postconviction court denied the petition, finding that Spann had made a “knowing, voluntary and intelligent waiver of his right to appeal.” The court of appeals affirmed. We reverse and remand.

Spann was charged with and, after a jury trial, found guilty and convicted of two counts of first-degree criminal sexual conduct in violation of Minn.Stat. § 609.342, subd. 1(g) (2004), for the sexual abuse of two of his minor daughters. The district court sentenced Spann to consecutive 118-month sentences for the two convictions. The sentences were an upward durational departure from the presumptive *488sentence of 86 months1 for each count under the sentencing guidelines and were based on the court’s finding of several aggravating factors, which it placed on the record.

Spann appealed his conviction to the court of appeals arguing: (1) juror bias because of a comment made by one of the jurors during trial; (2) improper admission of taped interviews of both victims that introduced evidence of Spann’s bad character and, without proper notice, other bad acts by Spann; (3) prosecutorial misconduct based on improper cross-examination and attacking Spann’s character during closing arguments; and (4) improper sentencing under the sentencing guidelines. On the improper sentencing issue, Spann argued that the district court abused its discretion when it imposed a 32-month upward departure for each of the consecutive sentences because his crimes did not justify a 32-month upward departure.

Before the state filed its responsive brief at the court of appeals, the parties entered into a stipulated settlement of Spann’s claims on appeal. Under the stipulation, the state agreed to request a remand for resentencing to have Spann’s sentence reduced to two consecutive 86-month sentences from the original two consecutive 118-month sentences. In exchange, Spann agreed to dismiss his appeal and to waive his right to challenge his convictions or sentences on direct appeal or on post-conviction relief. The parties’ stipulation specifically stated, “Appellant further agrees that resentencing pursuant to stipulated [sic] agreement resolves all issues raised in appellant’s brief, and appellant waives all further appellate and post-conviction review.” The parties further agreed that if the district court did not accept the stipulation agreement, Spann’s appeal would be reinstated.

Based on the parties’ stipulation, the court of appeals dismissed the appeal and remanded for resentencing. At the resen-tencing hearing, the state explained that in exchange for the reduced sentence, the “defendant waives all issues on appeal and all appeals.” Although Spann agreed that he was “waiving all rights to appeal the case,” neither the attorneys nor the court asked Spann any specific questions about the extent of his waiver. The district court agreed to the terms of the stipulation and resentenced Spann to consecutive 86-month sentences for each count.

In May of 2003, Spann, acting pro se, filed a petition for postconviction relief in which he challenged his sentence and alleged ineffective assistance of both trial and appellate counsel. In September 2003, Spann, represented by counsel, filed an amended postconviction petition in which he challenged the waiver of his appeal rights and incorporated by reference his pro se petition. The postconviction court denied Spann’s petition, stating “[t]he record clearly establishes that [Spann] made a knowing, voluntary and intelligent waiver of his right to appeal.” The court further indicated that, under the circumstances of the case, the waiver was valid because Spann was represented by *489counsel and obtained a “known benefit” in the reduced sentence. The court also determined that Spann’s attempt to appeal his sentence was untimely and stated that Spann made no claim that his sentence was illegal.

On appeal, a divided panel of the court of appeals affirmed the postconviction court’s denial of relief. Spann v. State, 686 N.W.2d 868, 872 (Minn.App.2004). In affirming, the majority noted that Spann did not dispute that his waiver was knowing, intelligent, and voluntary, but rather argued, without citing any controlling authority, that his waiver violated public policy. Id. The court held that:

Under current Minnesota law, it was not an abuse of discretion for the district court to deny appellant’s request for postconviction relief and give effect to appellant’s waiver of his right to appeal, where the waiver was entered into (1) knowingly, intelligently, and voluntarily; (2) following appellant’s conviction, sentence, and filing of an appellate brief; and (3) in exchange for the known benefit of a sentence pursuant to the Minnesota Sentencing Guidelines.

Id. The dissenting judge, however, argued that “a convicted defendant is entitled to at least one right of review by an appellate or postconviction court” and that permitting a waiver of a defendant’s right to appeal and to a postconviction review raises “[ijssues of fairness and voluntariness” of the waiver and “risk[s] foreclosing appellate review of issues that may not be fully developed at the time of waiver.” Id. (Klaphake, J., dissenting). We granted Spann’s petition for further review.

Whether a criminal defendant can waive his right to appeal is a legal issue of first impression that this court reviews de novo. Cf. State v. Larson, 605 N.W.2d 706, 710 (Minn.2000). Spann also argues that his constitutional right to due process has been violated. This court also reviews constitutional challenges de novo. State v. Schwartz, 628 N.W.2d 134, 138 (Minn.2001).

Spann argues that the criminal appeal is a “fundamental element of procedural fairness” and “[bjecause a criminal appeal plays a critical role in the criminal justice system, public policy and Due Process preclude a defendant from waiving his right to appeal his conviction.” While acknowledging that certain rights, such as the defendant’s Sixth Amendment right to counsel, can be waived, he argues that waivers that conflict with public policy are invalid.

In that regard, he argues that appeals are necessary to correct lower court errors and that a waiver serves to affirm erroneous convictions and that denying appellate scrutiny makes appellate courts “accomplices to police violations and trial court errors.” He also argues that permitting a defendant to waive the right to appeal will harm uniformity among district court decisions because appellate review is the only way to ensure that all the district courts “move in a common direction.” Spann contends that, as a consequence of allowing defendants to waive the right to appeal, there would be a decrease in the perceived legitimacy of the criminal justice system in the eyes of both the public and the defendant. Spann further contends that allowing defendants to waive the right to appeal could circumvent policy considerations set by this court and the legislature. He suggests, as an example, that in requiring the defendant to waive all appeal rights, the state could ignore the requirement, established by this court in State v. Misquadace, 644 N.W.2d 65 (Minn.2002), that a sentencing departure cannot be based on a plea agreement alone, but must have a factual basis. Finally, Spann argues that permitting a defendant to waive *490his right to appeal violates due process, which prohibits a state from placing an impermissible burden on a defendant’s right to appeal his conviction. Citing People v. Harrison, 386 Mich. 269,191 N.W.2d 371 (1971), he asserts that “requiring [him] to waive his right to appeal in exchange for a modification of his sentence chills his right to appeal and is ‘constitutionally obnoxious.’ ” Spann states that the waiver is especially onerous in this case because he waived his right to appeal after a jury trial, rather than after a guilty plea pursuant to a plea agreement. He argues that after a trial, “the defendant’s only bargaining tool is his right to appeal” and that the defendant’s unequal bargaining position allows a prosecutor to force the defendant into giving up his rights in exchange for a small concession, which, Spann asserts, is exactly what happened in this case.

The state argues that a criminal defendant may knowingly, intelligently, and voluntarily waive his right to appeal, just as he may waive other rights. Alternatively, the state argues that even if all rights to appeal are not waivable, waiver in this case does not violate public policy. The state asserts that Spann was fully aware of his rights, had several months between signing the stipulation and resentencing to reconsider, and waived his rights only after he had a full opportunity to consult with his counsel. The state contends that the stipulation agreement was “the result of a good faith, non-coercive negotiation with benefit to both parties” and that Spann received a reduced sentence and the state was able to give closure to the child victims in the case.

The state, relying on State v. Williams, 664 N.W.2d 432 (Minn.App.2003), contends that the court of appeals has allowed a defendant to waive the right to appeal when (1) the defendant received an important concession from the state, and (2) the waiver was knowing, intelligent, and voluntary. The state distinguished the instant case from Ballweber v. State, 457 N.W.2d 215 (Minn.App.1990), in which the court of appeals held that a defendant’s right to appeal an illegal sentence cannot be waived. The state contends that Ballwe-ber is a narrow exception to the general rule that a defendant may waive an appeal right. Because Spann does not complain that his sentence is illegal, the state contends that Ballweber is inapplicable.

The state acknowledges that the right to appeal is an integral part of the criminal justice system, but argues that the importance of the right to appeal has nothing to do with whether the right is waivable. The state notes that a defendant may waive many constitutional rights, including Miranda rights, the right to a jury trial, and the right to counsel as long as the waivers are knowing, intelligent, and voluntary. Moreover, the state asserts that the prevailing view among United States jurisdictions is that the right to appeal may be waived.

The state also contends that Spann’s public policy arguments are overstated and asserts that the waiver of the right to appeal after conviction at trial is no more burdensome on a defendant than a waiver at the preconviction plea bargaining stage. The state argues that Spann had legitimate interests to negotiate and made an agreement that benefited him, the victims, and the state. The state further claims that allowing a defendant to waive his right to appeal would neither create the danger of a loss of uniformity nor undermine the judicial system because appeal waivers “are far from common practice.”

The specific question of whether a defendant, who has been convicted after a jury trial, can waive all rights to appeal as part of an agreement with the state is an issue of first impression with this court. *491Although a convicted defendant does not have a constitutional right to appeal under either the United States Constitution or the Minnesota Constitution, we have determined in Minnesota that “a convicted defendant is entitled to at least one right of review by an appellate or postconviction court.”2 Hoagland v. State, 518 N.W.2d 531, 534 (Minn.1994) (quoting State v. Knaffla, 309 Minn. 246, 252, 243 N.W.2d 737, 741 (1976)); see also Minn. R.Crim. P. 28.02, subd. 2 (“A defendant may appeal as of right from any adverse final judgment * * *.”); Minn.Stat. § 244.11, subd. 1 (2004) (“An appeal to the court of appeals may be taken by the defendant or the state from any sentence imposed or stayed by the district court according to the rules of criminal procedure for the district court of Minnesota.”).

At the same time, we have allowed criminal defendants to waive many rights stating that “it has long been settled law that courts will honor a defendant’s lawful, ‘intentional relinquishment or abandonment of a known right or privilege.’ ” State v. Givens, 544 N.W.2d 774, 777 (Minn.1996) (quoting Johnson v. Zerbst, 304 U.S. 458, 464, 58 S.Ct. 1019, 82 L.Ed. 1461 (1938)). The rights that we have allowed defendants to waive are rights personal to the defendant and include a waiver of Miranda rights, see State v. Ray, 659 N.W.2d 736, 742 (Minn.2003); the right to counsel, State v. Blom,, 682 N.W.2d 578, 613 (Minn.2004); the right to a jury trial, State v. McKenzie, 532 N.W.2d 210, 217-18 (1995), Minn. R.Crim. P. 26.01, subd. 1(2)(a); and the right to be present at trial, Brown v. State, 682 N.W.2d 162, 166 (Minn.2004), Minn. R.Crim. P. 26.03, subd. 1(2). Indeed, a defendant may waive the right to trial entirely by pleading guilty. State v. Nordstrom, 331 N.W.2d 901, 904 n. 6 (Minn.1983). We have also allowed defendants to waive the protections of certain evidentiary rules. Blom, 682 N.W.2d at 617.

Moreover, a defendant can always waive the right to appeal simply by not filing an appeal. Further, the failure to object to an error at trial constitutes a waiver of the right to appeal on that basis unless the appellant shows that there was plain error affecting substantial rights. See, e.g., State v. Bolstad, 686 N.W.2d 531, 542 (Minn.2004) (denying a new trial for unobjected-to prosecutorial misconduct where misconduct did not deny defendant a fair trial); State v. Taylor, 650 N.W.2d 190, 205 (Minn.2002) (upholding admission of evidence where appellant failed to object at trial).

We recognize that a majority of other jurisdictions have held that allowing a defendant to waive his right to appeal is not inherently illegal or unfair. See, e.g., State v. Perkins, 108 Wash.2d 212, 737 P.2d 250, 251 (1987); United States v. Nave, 302 F.3d 719, 720 (7th Cir.2002) (concluding waiver of appeal is no different than waiver of other rights). Jurisdictions allowing a defendant to waive his or her right to appeal a conviction require that the waiver be made “intelligently, voluntarily and with an understanding of the consequences.” Perkins, 737 P.2d at 251; see also Cubbage v. State, 304 Md. 237, 498 A.2d 632, 633 (1985) (upholding a knowing and voluntary waiver of appeal made by the defendant after conviction but before *492sentencing). These jurisdictions have justified the allowance of appeal waivers stating that, while the criminal defendant’s right to appeal is important, it is no more fundamental than other rights a defendant is allowed to waive. Perkins, 737 P.2d at 252; see also Nave, 302 F.3d at 720; Estelle v. Dorrough, 420 U.S. 534, 536, 95 S.Ct. 1173, 43 L.Ed.2d 377 (1975) (“there is no federal constitutional right to state appellate review of state criminal convictions”); McKane v. Durston, 153 U.S. 684, 687, 14 S.Ct. 913, 38 L.Ed. 867 (1894) (stating that the right to appeal is not a necessary element of due process of law). There may also be some advantages to allowing a defendant to waive the right to appeal the waiver: (1) brings closure to the state, defendant, and victims; (2) increases judicial economy; (3) gives the defendant power with which to bargain; and (4) reduces frivolous appeals. See, e.g., United States v. Andis, 333 F.3d 886, 889 (8th Cir.2003) (citing United States v. Rutan, 956 F.2d 827, 829 (8th Cir.1992) (overruled on other grounds)). But we note that most of the jurisdictions upholding appeal waivers have decided the issue in the context of a pretrial plea agreement in which the defendant has pleaded guilty in exchange for a reduced sentence and not in the context of the waiver of the right to appeal after the defendant has been convicted and sentenced.

Other jurisdictions, while allowing a defendant to waive the right to appeal, have explicitly placed restrictions on the appeal waiver. See, e.g., Andis, 333 F.3d at 889. The Eighth Circuit Court of Appeals stated that it “will not enforce a waiver where to do so would result in a miscarriage of justice” and concluded that claims involving an illegal sentence, a sentence in violation of the terms of the agreement, and claims asserting ineffective assistance of counsel are not waivable. See id. at 890-91. Other courts have also included prose-cutorial misconduct among the claims that the defendant cannot waive. See, e.g., United States v. Brown, 232 F.3d 399 (4th Cir.2000); Blancas v. United States, 344 F.Supp.2d 507 (W.D.Tex.2004).

The Supreme Court of Arizona has determined, however, that inclusion of an appeal waiver in a plea or other agreement is inherently coercive and allowing the defendant to waive this right provides the defendant with little bargaining power. State v. Ethington, 121 Ariz. 572, 592 P.2d 768 (1979). Essentially, the court held that the right to appeal is so vital to the protection of the defendant’s rights that it cannot be waived. See id. at 769. The court stated that the public policy of ensuring that defendants are afforded their basic rights “forbids a prosecutor from insulating himself from review by bargaining away a defendant’s appeal rights.” Id. The court further held that the right to appeal was not negotiable in plea bargaining and that a defendant, as a matter of public policy, would be allowed to bring a timely appeal from a conviction notwithstanding an agreement waiving an appeal. Id.

In People v. Harrison, the Michigan Supreme Court determined that it was “constitutionally obnoxious” to allow “the adjournment of one case with notice it would be dismissed if a defendant did not appeal a second case.” 191 N.W.2d at 374. In Michigan, where the right to appeal is included in the state constitution, the court further stated, “Such action serves to chill the exercise of a defendant’s constitutional right to appeal a criminal conviction and will not be tolerated.” Id. The court also stated, “A court is ‘without right to * * * put a price on an appeal. A defendant’s exercise of a right of appeal must be free and unfettered.’ ” Id. n. 2 (citing North Carolina v. Pearce, 395 U.S. 711, 724, 89 *493S.Ct. 2072, 23 L.Ed.2d 656 (1969) (overruled on other grounds)).

Due process guarantees in our state and federal constitutions include the right to a fair trial. State v. DeRosier, 695 N.W.2d 97, 106 (Minn.2005). The requirement that a defendant receives a fair trial makes the waiver of the right to appeal after being convicted at trial as a result of an agreement with the state fundamentally different from the defendant’s waiver of personal rights or waiver by default. Therefore, we conclude, based on public policy and due process considerations, that a defendant may not, after conviction at trial and sentencing, waive the right to appeal.

The right to appeal implicates not only matters personal to the defendant, but broader issues as well. Once the defendant is convicted, institutional concerns that the conviction was fair and proper become paramount. “There is no legitimate State interest in preserving an unjust conviction for the sake of the conviction alone.” State v. Ventura, 139 A.D.2d 196, 531 N.Y.S.2d 526, 532 (App.Div.1988). Although the state argues that allowing a defendant to waive his right to appeal allows the defendant to obtain a concrete benefit, such as a reduced sentence, in exchange for waiving the right to appeal, the need to have trial proceedings reviewed for error outweighs a defendant’s interest in accepting a particular benefit.

Moreover, requiring a defendant to waive his right to appeal after conviction in order to receive some benefit offered by the state is particularly coercive because the disparity in bargaining power between the defendant and the state increases significantly after the defendant has been convicted. Before trial, the defendant and the state face the same uncertainty as to what the outcome of the trial will be. A criminal defendant can therefore make a calculated decision as to what is in his best interest and may plead guilty if the plea is knowing, intelligent, and voluntary. State v. Brown, 606 N.W.2d 670, 674 (Minn.2000). After trial, a defendant has only his right of appeal with which to bargain. Requiring the defendant to give up the right to appeal in exchange for a reduced sentence forces the defendant to choose between a guaranteed reduced sentence and a fair trial. Allowing a defendant to waive his right to appeal after conviction and trial would foster a judicial system that discourages development of the law while encouraging the preservation of unfair trials.

Further, prosecutors have a duty to “seek justice, not merely to convict.” State v. Blasus, 445 N.W.2d 535, 539 (Minn.1989) (quoting ABA Standards Relating to the Prosecution Function, Standard 1.1(c)). Offering a benefit to a defendant in return for the defendant waiving appeal rights as part of negotiating an agreement with the state runs afoul of that duty because it puts the state in a position to hide its own misconduct and errors. As some commentators have suggested, the state would be most likely to offer such benefits in return for waiver of the defendant’s right to appeal in cases in which the defendant has meritorious issues to raise on appeal. See Robert K. Calhoun, Waiver of the Right to Appeal, 23 Hastings Const. L.Q. 127, 167 (1995). We agree with the Supreme Court of Arizona that the public policy requiring prosecutors to ensure that defendants are afforded their basic rights does not allow a prosecutor to insulate his or her actions from review by making a bargain with the defendant requiring the defendant to waive all rights to appeal. Ethington, 592 P.2d at 769. Ethington involved a waiver of the right to appeal in the plea agreement context. The *494concerns raised there are magnified in the context of a conviction after trial.

Public policy also requires that courts take an active role in ensuring the fairness of trials. Courts have a duty to be a “check against potential abuses of prosecutorial powers.” See Ventura, 531 N.Y.S.2d at 530. Allowing the state to require a defendant to waive the right to appeal after conviction in order to obtain some benefit has the potential to frustrate that duty. Simply saying that the defendant is free to reject the state’s offer does not eliminate the problem. Once conviction occurs, a waiver of the right to appeal seals trial errors. As noted earlier, due process requires that a criminal defendant receive a fair trial. Forcing the defendant to choose between a fair trial and a “known benefit” puts the defendant in an untenable situation and erodes the fairness of criminal trials. Further, as with our concern with prosecutors having an incentive to enter into plea agreements requiring a waiver of the right to appeal, so too are we concerned that courts may have an incentive to accept an appeal waiver agreement as it would also insulate the court from reversal for its errors. See Gregory M. Dyer <& Brendan Judge, Criminal Defendants’ Waiver of the Right to Appeal— An Unacceptable Condition of a Negotiated Sentence of Plea Bargain, 65 Notre Dame L.Rev. 649, 668-69 (1990). We therefore conclude that allowing a defendant to waive his right to appeal after trial conviction and sentencing is inconsistent with the court’s role as an objective supervisor whose purpose includes maintaining the integrity of the judicial system. See In re Linehan, 557 N.W.2d 171, 191-92 (Minn.1996) (stating that the district court has an affirmative duty to protect the rights of defendants).

Our holding in State v. Misquadace supports our conclusion that broader interests impose limits on the rights that a defendant can waive. In Misquadace, we held that a defendant’s plea agreement alone is not enough to support the district court’s decision to depart from the guidelines. 644 N.W.2d at 72. Our decision was based on a 1997 amendment to Minn.Stat. § 244.09 (2004) that contained the following language: “Sentencing pursuant to the guidelines is not a right that accrues to a person convicted of a felony; it is a procedure based on state public policy to maintain uniformity, proportionality, rationality, and predictability in sentencing.” Misquadace, 644 N.W.2d at 69 (citing Act of May 6, 1997, cti. 96, § 1, 1997 Minn. Laws 694, 695). We concluded that Minn.Stat. § 244.09 removed whatever “right” the defendant may have had to be sentenced under the guidelines, but that departure from the sentencing guidelines must be based on articulated substantial and compelling circumstances to ensure rational and consistent sentencing. Misquadace, 644 N.W.2d at 70-71.

There is no integrity in allowing a defendant to waive appeal rights when he has been convicted and sentenced after a trial. The waiver of the right to appeal based on an agreement with the state after the defendant has been convicted and sentenced after a trial is of a fundamentally different nature than waiver of a defendant’s rights before trial. Given that difference and the coercive nature of agreements requiring a defendant to waive the right to appeal after being convicted at trial in order to receive a reduced sentence, we also conclude that retention of the right to appeal after a conviction is necessary both for the protection of the defendant’s rights and maintaining the fairness of the judicial process and cannot be waived. The broader interests we preserve in our holding today are to ensure uniformity, rationality, and fairness in criminal trials. Allowing a *495defendant to waive his right to appeal creates a system that discourages the development of the law, permits the results of unfair trials to be preserved, and may encourage prosecutors and courts to hide their errors. Accordingly, we hold that Spann’s waiver of his appeal rights under the stipulation agreement is invalid and unenforceable. Spann’s right to appeal is reinstated.

Reversed and remanded.

ANDERSON, G. BARRY, J., took no part in the consideration or decision of this case.

. The presumptive sentence remained at 86 months for each count because the sentences were made consecutive to each other. Minn. Sent. Guidelines IV; see also State v. Hernandez, 311 N.W.2d 478 (Minn.1981). Consecutive sentences are not an upward departure from the guidelines because consecutive sentences are permissive (may be given without departure) for “[m]ultiple current felony convictions for crimes against persons.” Minn. Sent. Guidelines II. F(2). We have interpreted this provision of the guidelines to mean that ”[c]onsecutive sentences are permissive for multiple current felony convictions of crimes against separate individuals.” O'Meara v. State, 679 N.W.2d 334, 341 (Minn.2004).

. The case before this court arises in the context of the right of the defendant to waive his right to appeal after a conviction based on a trial. We express no opinion on whether a defendant may waive his right to appeal as a result of a plea bargain before trial or conviction. See, e.g., United States v. Maldonado, 410 F.3d 1231 (10th Cir.) (upholding a pretrial plea agreement in which the defendant waived his rights to "collaterally attack any matter in connection with this prosecution, conviction and sentence”).