¶ 56 Prior to our decision in Gibbons, as long as the trial court demonstrated “substantial compliance” with rule 11, a defendant's guilty plea could not be withdrawn. For application of the “substantial compliance” test, see Warner v. Morris, 709 P.2d 309, 310 (Utah 1985) (holding that where the trial court failed to advise the defendant of his right against compulsory incrimination, the record as a whole demonstrated that he “entered his plea with full knowledge and understanding of its consequences and of the rights he was waiving, including his right against self-incrimination”); State v. Miller, 718 P.2d 403, 405 (Utah 1986) (holding that where defendant alleged that he was not fully advised of the consequences of the plea but failed to provide a transcript of the plea colloquy proving as much, the regularity of the proceeding would be presumed); Brooks v. Morris, 709 P.2d 310, 311 (Utah 1985) (stating that “the record as a whole affirmatively establishes that [the defendant] entered his plea with full knowledge and understanding of its consequences.”) ( overruled by State v. Hoff, 814 P.2d 1119, 1123 (Utah 1991)); Warner v. Morris, 709 P.2d 309, 310 (Utah 1985) (holding that where the trial court failed to advise the defendant of his right against
State v. Benvenuto, 1999 UT 60, ¶ 11, 983 P.2d 556 (internal quotation marks omitted). For application of the "substantial compliance" test,see Warner v. Morris, 709 P.2d 309, 310 (Utah 1985) (holding that where the trial court failed to advise the defendant of his right against compulsory incrimination, the record as a whole demonstrated that he "entered his plea with full knowledge and understanding of its consequences and of the rights he was waiving, including his right against self-incrimination"); State v. Miller, 718 P.2d 403, 405 (Utah 1986) (holding that where defendant alleged that he was not fully advised of the consequences of the plea but failed to provide a transcript of the plea colloquy proving as much, the regularity of the proceeding would be presumed); Brooks v. Morris, 709 P.2d 310, 311 (Utah 1985) (stating that "the record as a whole affirmatively establishes that [the defendant] entered his plea with full knowledge and understanding of its consequences.") (overruled by State v Hoff, 814 P.2d 1119, 1123 (Utah 1991); Warner v. Morris, 709 P.2d 309, 310 (Utah 1985) (holding that where the trial court failed to advise the defendant of his right against co
See State v. Hoff, 814 P.2d 1119, 1123-24 (Utah 1991) ( Gibbons should not be applied to guilty pleas taken before it was issued).Jolivet v. Cook, 784 P.2d 1148, 1149 (Utah 1989) (quoting State v. Miller, 718 P.2d 403, 405 (Utah 1986)); see also Brooks v. Morris, 709 P.2d 310, 311 (Utah 1985); Warner v. Morris, 709 P.2d 309, 310 (Utah 1985). We review the ultimate decision to deny a motion to withdraw a guilty plea under an abuse of discretion standard.
Prior to our decision in Gibbons, a guilty plea was valid and could not be withdrawn if the trial court demonstrated substantial compliance with Rule 11. See State v. Miller, 718 P.2d 403, 405 (Utah 1986); State v. Kay, 717 P.2d 1294, 1299-1302 (Utah 1986); Warner v. Morris, 709 P.2d 309, 310 (Utah 1985); Brooks v. Morris, 709 P.2d 310, 311 (Utah 1985); State v. Vasilacopulos, 756 P.2d 92, 94-95 (Utah Ct.App. 1988), cert. denied, 765 P.2d 1278 (Utah 1988). In cases decided after Gibbons involving guilty pleas entered before the issuance of Gibbons, we have applied the pre- Gibbons substantial compliance standard.
However, this Court has held, "[T]he absence of a finding under [section 77-35-11] is not critical so long as the record as a whole affirmatively establishes that the defendant entered his plea with full knowledge and understanding of its consequences and of the rights he was waiving." State v. Miller, 718 P.2d 403, 405 (Utah 1986); Brooks v. Morris, 709 P.2d 310, 311 (Utah 1985); Warner v. Morris, 709 P.2d 309, 310 (Utah 1985). Following the evidentiary hearing held on the motion to withdraw, Judge Brian made specific findings that Jolivet entered his guilty pleas knowingly and voluntarily.
The trial court then witnessed the affidavit previously signed by Dean. The record as a whole thus affirmatively establishes that Dean entered his guilty plea free from threats or promises. Warner v. Morris, 709 P.2d 309 (Utah 1985) (citing North Carolina v. Alford, 400 U.S. 25, 91 S.Ct. 160, 27 L.Ed.2d 162 (1970); Brady v. United States, 397 U.S. 742, 90 S.Ct. 1463, 25 L.Ed.2d 747 (1970); Boykin v. Alabama, 395 U.S. 238, 89 S.Ct. 1709, 23 L.Ed.2d 274 (1969)). State v. Gibbons had not been decided at the time defendants entered their pleas.
We have held that the absence of a finding under this section is not critical so long as the record as a whole affirmatively establishes that the defendant entered his plea with full knowledge and understanding of its consequences and of the rights he was waiving. Brooks v. Morris, Utah, 709 P.2d 310 (1985); Warner v. Morris, Utah, 709 P.2d 309 (1985). In the instant case, defendant has not supplied us with a transcript of the arraignment hearing where he entered his guilty plea or with any other evidence that the court failed to fully explain the consequences of the plea. If an appellant fails to provide an adequate record on appeal, this Court must assume the regularity of the proceedings below.
A party is no more entitled to a perfect plea proceeding than he is to a perfect trial. See Warner v. Morris, Utah, 709 P.2d 309 (1985) (failure to follow letter of Rule 11 does not render plea void). III
This is an appeal from a denial of a petition for habeas corpus. The companion case of Warner v. Morris, 709 P.2d 309, (1985), is dispositive. In 1981, appellant pleaded guilty to second degree murder.
Prior to 1987, the Utah Supreme Court did not require strict compliance with Rule 11. The court had concluded that a guilty plea may be upheld if "the record as a whole affirmatively establishes that defendant entered his plea with full knowledge and understanding of its consequences." Warner v. Morris, 709 P.2d 309, 310 (Utah 1985) (mem.); see also Brooks v. Morris, 709 P.2d 310, 311 (Utah 1985) (per curiam). This "record as a whole" test was later reaffirmed in State v. Miller, 718 P.2d 403, 405 (Utah 1986) (per curiam).