State v. Cesar A. Lipa (071011) , 219 N.J. 323 ( 2014 )


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  •                                                       SYLLABUS
    (This syllabus is not part of the opinion of the Court. It has been prepared by the Office of the Clerk for the
    convenience of the reader. It has been neither reviewed nor approved by the Supreme Court. Please note that, in the
    interest of brevity, portions of any opinion may not have been summarized.)
    State v. Cesar A. Lipa (A-31-12) (071011)
    Argued February 3, 2014 -- Decided September 25, 2014
    RODRÍGUEZ, P.J.A.D. (temporarily assigned), writing for a unanimous Court.
    In this appeal, the Court considers the application of the standards set forth in State v. Slater, 
    198 N.J. 145
    (2009) and Rule 3:21-1, in the context of defendant’s pre-sentence motion to withdraw his plea of guilty to first-
    degree aggravated sexual assault.
    Defendant, Cesar A. Lipa, pleaded guilty to first-degree aggravated sexual assault, based on allegations that
    he committed sexual acts against M.G. on three occasions when she was between the ages of thirteen and sixteen.
    The State agreed to dismiss related charges and to recommend defendant be sentenced as if convicted of a second-
    degree crime. During the plea colloquy on January 9, 2009, defendant gave answers to counsel’s leading questions
    that established all of the elements of the offense to which he intended to plead guilty.
    On October 27, 2009, after retaining new counsel, and before his sentencing hearing, defendant moved to
    withdraw his guilty plea and to compel production of certain agency records (DYFS). Defendant certified that
    “[m]y prior attorney failed to obtain the necessary documentations to support my innocence.” In particular,
    defendant claimed that he told his first counsel “that alleged victim M.G. had on at least two other occasions made
    false allegations of sexual assault which were investigated by DYFS.” According to the certification, “DYFS found
    that the allegations of both matters were without merit.” The judge reviewed the DYFS records, noted that they
    provided “no basis of a false allegation,” and denied defendant’s request to compel production.
    The judge then reviewed defendant’s certification in support of his motion to withdraw the guilty plea.
    Defendant certified that he was “innocent of the[] charges,” that “[t]he allegations by M.G. are false,” and that he
    “did not sexually assault her at any time.” He certified that at the time of his plea, his attorney told him that he “had
    no other option than to take the plea offer since [he] did not have a chance of winning at [t]rial.” Defendant further
    claimed to have been recovering from knee surgery at the time of the second incident making him physically unable
    to commit the alleged act – namely, climbing through a window into M.G.’s second-floor bedroom while
    intoxicated. Defendant introduced a photograph depicting the condition of his leg at that time and photographs
    showing the exterior of M.G.’s home.
    After reviewing the test established in 
    Slater, 198 N.J. at 158-59
    , the court denied defendant’s motion to
    withdraw his guilty plea. The judge found that defendant had not properly asserted a claim of innocence because his
    claim merely made a “bald assertion” without factual support, and that the facts he relied on were not unknown to
    him at the time of the plea. The judge concluded that defendant was adequately and correctly informed of the
    consequences of his plea, and his expectations under the plea were met. The court proceeded to sentence defendant
    to an eight-year term, subject to a period of parole ineligibility under the No Early Release Act, N.J.S.A. 2C:43-7.2.
    Defendant appealed and the Appellate Division affirmed the denial of his motion to withdraw his guilty
    plea. The panel concluded that the judge’s decision was well within his discretion in light of the insubstantial facts
    asserted by defendant in support of the motion. The Court granted defendant’s petition for certification. State v.
    Lipa, 
    213 N.J. 396
    (2013).
    HELD: In the face of a general denial and specific, potentially plausible facts negating guilt, defendant’s argument
    that the trial court misapplied the standard for deciding a pre-sentence motion to withdraw a guilty plea has merit.
    Balancing the evidence and arguments in this case against all of the Slater factors, defendant is entitled to withdraw
    his guilty plea in the interest of justice.
    1
    1. Before a court can accept a defendant’s guilty plea, it first must be convinced that (1) the defendant has provided
    an adequate factual basis for the plea; (2) the plea is made voluntarily; and (3) the plea is made knowingly. R. 3:9-2.
    Once it is established that a guilty plea was made voluntarily, it may only be withdrawn at the discretion of the trial
    court. State v. Simon, 
    161 N.J. 416
    , 444 (1999). A trial judge’s finding that a plea was voluntarily and knowingly
    entered is entitled to appellate deference so long as that determination is supported by sufficient credible evidence in
    the record. State v. McCoy, 
    222 N.J. Super. 626
    , 629 (App. Div. 1988), aff’d, 
    116 N.J. 293
    (1989). “[T]he trial
    court’s denial of defendant’s request to withdraw his guilty plea will be reversed on appeal only if there was an
    abuse of discretion which renders the lower court’s decision clearly erroneous.” 
    Simon, 161 N.J. at 444
    . (pp. 9-10)
    2. Rule 3:21-1, which governs the withdrawal of guilty pleas, provides that “[a] motion to withdraw a plea of guilty
    or non vult shall be made before sentencing, but the court may permit it to be made thereafter to correct a manifest
    injustice.” Rule 3:21-1 explicitly provides that the post-sentencing standard for withdrawal of a guilty plea is
    manifest injustice. Before sentencing, the standard is “the interests of justice.” R. 3:9-3(e). (pp. 10-11)
    3. In Slater, the Court outlined a framework to assess a claim to withdraw a guilty plea, and directed trial courts to
    consider the following factors: “(1) whether the defendant has asserted a colorable claim of innocence; (2) the
    nature and strength of defendant’s reasons for withdrawal; (3) the existence of a plea bargain; and (4) whether
    withdrawal would result in unfair prejudice to the State or unfair advantage to the 
    accused.” 198 N.J. at 150
    . Here,
    defendant certified that he is innocent, claiming that he was physically unable to commit the alleged assault because
    he had surgery on one of his knees around the alleged date of the incident and would have been further hampered if
    he had been intoxicated as M.G. described. Defendant categorically denied guilt and submitted photographs to
    support his contentions. He also certified that a DYFS investigation found that M.G.’s previous accusations of
    sexual assault against defendant and a family friend lacked merit. (pp. 11-12)
    4. The Court considers defendant’s claim in light of the Slater factors. With respect to the first factor, a colorable
    claim of innocence, defendant must make a showing beyond a mere assertion of innocence. He must point to
    specific, credible facts that support his claim. Under the “colorable claim of innocence” standard, the evidence
    presented in support of the claim of innocence must be specific and raise a legitimate dispute for the jury, but need
    not clearly exonerate the defendant. Here, although the admissibility and veracity of defendant’s evidence has not
    been tested, defendant has provided more than “a bald assertion” of innocence. The specific facts that defendant
    asserted could provide a plausible basis to impeach M.G.’s testimony and cause a reasonable jury to find reasonable
    doubt as to defendant’s guilt. Thus, defendant satisfies Slater’s first requirement. With regard to the second Slater
    factor, defendant has presented sufficient reasons to support his request for withdrawal. Defendant asserts that he is
    innocent and explains that his counsel induced him to plead guilty, despite his innocence. As support for this claim,
    defendant offers some evidence that contradicts the State’s charges. The third factor, the presence of a plea
    agreement, weighs against defendant, but, given that the “vast majority of criminal cases are resolved through plea
    bargains[,]” this factor is not given the greatest weight. Although the trial judge did not reach the question of
    prejudice to the State, nothing in particular in the record demonstrates that the State would be prejudiced by
    defendant’s plea withdrawal in this case. Balancing the evidence and arguments in this case against all of the Slater
    factors, defendant has met his burden and is entitled to withdraw his guilty plea in the interest of justice. (pp. 12-16)
    5. In light of its holding, the Court does not reach the merits of defendant’s contention that the judge failed to
    adequately inform him of the deportation consequences of his guilty plea. The Court also does not address
    defendant’s alternative argument that his sentence must be reduced because the judge failed to find and apply
    existing mitigating factors. (pp. 2, 16)
    The judgment of the Appellate Division is REVERSED, the judgment of conviction is VACATED, the
    charges dismissed pursuant to the plea agreement are REINSTATED, and the matter is REMANDED to the trial
    court for proceedings consistent with this opinion.
    CHIEF JUSTICE RABNER; JUSTICES LaVECCHIA, ALBIN, PATTERSON, and FERNANDEZ-
    VINA; and JUDGE CUFF (temporarily assigned) join in JUDGE RODRÍGUEZ’s opinion.
    2
    SUPREME COURT OF NEW JERSEY
    A-31 September Term 2012
    071011
    STATE OF NEW JERSEY,
    Plaintiff-Respondent,
    v.
    CESAR A. LIPA,
    Defendant-Appellant.
    Argued February 3, 2014 – Decided September 25, 2014
    On certification to the Superior Court,
    Appellate Division.
    Daniel V. Gautieri, Assistant Deputy Public
    Defender, argued the cause for appellant
    (Joseph E. Krakora, Public Defender,
    attorney).
    Carol M. Henderson, Assistant Attorney
    General, argued the cause for respondent
    (John J. Hoffman, Acting Attorney General of
    New Jersey, attorney).
    JUDGE RODRÍGUEZ (temporarily assigned) delivered the
    opinion of the Court.
    Defendant asks this Court to reverse the Appellate
    Division’s affirmance of the denial of his motion to withdraw
    his guilty plea to first-degree aggravated sexual assault.
    Defendant argues that the Law Division judge misapplied the
    standard for deciding a motion to withdraw a guilty plea prior
    to sentencing, as set forth in State v. Slater, 
    198 N.J. 145
    1
    (2009), and Rule 3:21-1.   In the face of a general denial and
    specific, potentially plausible facts negating guilt, we find
    merit in this argument and reverse the judgment of the Appellate
    Division.   Given this holding, we do not reach the merits of
    defendant’s second contention:   that the judge failed to
    adequately inform him of the deportation consequences of his
    guilty plea.   We also do not address defendant’s alternative
    argument that his sentence must be reduced because the judge
    failed to find and apply existing mitigating factors.
    I.
    A.
    Pursuant to an agreement with the State, defendant Cesar A.
    Lipa, a Peruvian citizen, pleaded guilty to first-degree
    aggravated sexual assault, N.J.S.A. 2C:14-2(a)(2).   The charge
    was based on allegations that he committed sexual acts on three
    occasions against M.G., who was between the ages of thirteen and
    sixteen at the time.
    The record reveals that on February 5, 2008, then sixteen-
    year-old M.G. informed her teacher that defendant sexually
    assaulted her on three occasions between January 1, 2005, and
    August 1, 2007.   In a subsequent interview with the Division of
    Youth and Family Services (DYFS),1 M.G. stated that the first
    1 This agency has been renamed the Division of Child Protection
    and Permanency. L. 2012, c. 16, eff. June 29, 2012.
    2
    incident occurred in 2005, when she was thirteen years old.
    According to M.G., defendant, who was inebriated at the time,
    entered her bedroom and forcibly penetrated her vagina with his
    fingers, fleeing after she screamed.
    The second incident allegedly occurred in the summer of
    2005, when defendant climbed into her second-floor bedroom
    through a window and penetrated her vaginally with his fingers
    and penis.   According to M.G., she told defendant to stop, but
    he did not cease until she kneed him in the groin.     During this
    assault, M.G. reported that defendant also touched her breasts
    and kissed her on the lips.   Once again, she said that defendant
    was drunk.
    The third assault allegedly took place in July 2007, when
    M.G. was sixteen years old.   She stated that defendant, while
    drunk, entered her bedroom and penetrated her vaginally with his
    fingers.
    Defendant was arrested and later indicted.   Pursuant to a
    plea agreement, defendant pleaded guilty to count one, first-
    degree aggravated sexual assault “on diverse dates.”     The State
    agreed to dismiss related charges and to recommend defendant be
    sentenced as if convicted of a second-degree crime.
    During the plea colloquy on January 9, 2009, defendant gave
    answers to leading questions by his counsel.   The questions
    established all of the elements of the offense to which he
    3
    intended to plead guilty.     The judge then asked another leading
    question:     “And the only reason why you give up all those rights
    [waived as a result of the guilty plea] is because you’re in
    fact guilty.     Is that true?”   Defendant answered, “yes,” and the
    judge accepted defendant’s plea.
    On October 27, 2009, after retaining new counsel, and
    before his sentencing hearing, defendant moved to withdraw his
    guilty plea.2    Defendant also moved to compel production of
    certain DYFS records.     Defendant certified that “[m]y prior
    attorney failed to obtain the necessary documentations to
    support my innocence.”     In particular, defendant claimed that he
    told his first counsel “that alleged victim M.G. had on at least
    two other occasions made false allegations of sexual assault
    which were investigated by DYFS.”       One incident allegedly
    involved defendant; another allegation involved a friend of
    M.G.’s father.     According to the certification, “DYFS found that
    the allegations of both matters were without merit.”
    The judge first reviewed the DYFS records and noted that
    they provided “no basis of a false allegation.”       The judge
    therefore denied defendant’s request to compel production as
    irrelevant.
    2 The record does not reveal the reason for the substantial
    interval between the entry of the plea and the hearing on the
    motion.
    4
    The judge then reviewed defendant’s certification in
    support of his motion to withdraw the guilty plea.   With respect
    to the allegations against him, defendant certified as follows:
    The alleged victim states that on three
    separate occasions I sexually assaulted her.
    She is not telling the truth and I am
    innocent of these charges.   The allegations
    by M.G. are false and I did not sexually
    assault her at any time.
    Defendant certified that “[a]t the time of my plea, my
    prior attorney told me that I had no other option than to take
    the plea offer since I did not have a chance of winning at
    [t]rial.”   Defendant claimed to have been recovering from knee
    surgery at the time of the second incident, thus making him
    physically unable to commit the alleged act.   In support of that
    claim, defendant introduced a photograph depicting the condition
    of his leg at that time.   He also presented ten photographs
    depicting the exterior of the building where M.G. lived.   He
    argued that the photographs illustrated that it was “almost
    impossible” to climb out of the bathroom window and into M.G.’s
    bedroom window, particularly if he was intoxicated at the time.
    The judge denied defendant’s motion to withdraw the guilty
    plea after reviewing the test set by this Court in 
    Slater, supra
    , 198 N.J. at 158-59.   The judge found that defendant had
    not properly asserted a claim of innocence because defendant’s
    claim merely made a “bald assertion” without factual support,
    5
    and that the facts he relied on were not unknown to him at the
    time of the guilty plea.
    The judge concluded that defendant was adequately and
    correctly informed of the consequences of his guilty plea, and
    his expectations under the plea were met.    Moreover, the judge
    noted that defendants bear a heavier burden to withdraw guilty
    pleas entered as part of a plea agreement.
    Thereafter, the judge proceeded to sentencing.    The judge
    found that two of the aggravating factors enumerated in N.J.S.A.
    2C:44-1a applied:   “(3) the risk that the defendant will commit
    another offense”; and “(9) the need for deterring the defendant
    and others from violating the law.”   The judge found no
    applicable mitigating factors and imposed an eight-year term,
    subject to a period of parole ineligibility under the No Early
    Release Act, N.J.S.A. 2C:43-7.2.
    B.
    Defendant appealed.    The Appellate Division affirmed the
    judge’s denial of the motion to withdraw the guilty plea.       The
    Appellate Division concluded that the judge’s decision was well
    within his discretion in light of the insubstantial facts
    asserted by defendant in support of the motion.    The panel
    pointed out that the DYFS records sought by defendant pertained
    to allegations of events in 2002, which had no bearing on
    whether the acts in 2005 and 2007 had been committed.      In
    6
    addition, the panel observed that defendant’s claim that he
    could not have committed the second assault due to his knee
    injury does not “preclude the likelihood that defendant was able
    to engage in the conduct he admitted to at the plea hearing.”
    Defendant sought certification.   We granted the petition.
    State v. Lipa, 
    213 N.J. 396
    (2013).
    II.
    Defendant argues that the trial court misapplied the
    holding in Slater in denying his motion to withdraw his guilty
    plea.   Defendant asserts that he not only provided possible
    motivations to explain M.G.’s fraudulent claims, but he also
    provided photographic evidence of the back of the house and the
    condition of his knee at the time of the alleged assault, which
    contradict M.G.’s allegation.   Thus, defendant contends that he
    advanced more than a “bald assertion” of innocence.   He
    therefore argues that sufficient evidence existed to satisfy the
    first Slater factor.
    As to the second Slater factor, defendant relies on his
    innocence claims and the ineffectiveness of his counsel to
    justify his reasons for withdrawal.   He claims that counsel
    induced him to plead guilty.
    Defendant also claims that the existence of a plea
    agreement in the present case is immaterial under the third
    Slater factor because such agreements are common in the criminal
    7
    context.   Regarding the fourth Slater factor, defendant contends
    that he moved to withdraw his guilty plea prior to sentencing,
    when a more liberal standard of review applies, and the State
    offered no evidence showing that prejudice would result from
    permitting his plea to be withdrawn.     Defendant argues that he
    has met the burden for three of the four factors in the Slater
    balancing test, and thus should succeed on his motion.
    The State submits that defendant bears the burden of
    showing that withdrawal of his plea is in the interest of
    justice -- an evaluation that is ultimately within the
    discretion of the court.     The State argues defendant entered his
    guilty plea knowingly and voluntarily and in accordance with
    Rule 3:9-2.   With regard to defendant’s claim that the judge did
    not inform him of the possibility of deportation, the State
    highlights the trial judge’s statement during the colloquy and
    plea agreement that defendant signed and initialed,
    acknowledging his awareness of the deportation consequences.
    Moreover, the State argues that the Slater factors weigh
    heavily against defendant.     When assessing claims of innocence
    under the first Slater factor, defendant must offer more than
    “bald assertions” of innocence.     Here, defendant offers evidence
    contending it would have been “almost impossible” for him to
    enter M.G.’s window after his knee surgery.     According to the
    State, however, defendant fails to offer any evidence supporting
    8
    his innocence for the first and third assaults.    Further, the
    State notes that the evidence presented was known to defendant
    at the time of the plea and was reviewed with counsel prior to
    his plea.
    The State argues that the remaining Slater factors
    similarly weigh against defendant.    The State maintains that the
    second factor, fair and just reasons for withdrawal, does not
    warrant withdrawal of defendant’s guilty plea because the record
    provides no indication defendant was misled or unaware of the
    deportation consequences at the time his plea was entered.
    Further, the State asserts that defendant did not explain why
    the “knee surgery” defense was not raised earlier.     In addition,
    because defendant’s plea resulted from prosecutorial
    negotiations, the State argues that defendant faces a heavier
    burden under factor three.   Finally, the State contends that
    permitting defendant to withdraw his plea would result in
    significant prejudice to the State, particularly given the
    sensitive nature of child-sexual-assault cases for all parties
    involved.
    III.
    Before a court can accept a defendant’s guilty plea, it
    first must be convinced that (1) the defendant has provided an
    adequate factual basis for the plea; (2) the plea is made
    voluntarily; and (3) the plea is made knowingly.     R. 3:9-2; see
    9
    also State v. Crawley, 
    149 N.J. 310
    , 318 (1997).    In short, a
    trial court must not accept a guilty plea unless it is satisfied
    that the defendant is in fact guilty.   The judicial system
    cannot countenance the miscarriage of justice that enures when a
    defendant pleads guilty to an offense but defendant is not
    guilty and is doing so out of fear, intimidation, or to gain
    some other objective.
    Once it is established that a guilty plea was made
    voluntarily, it may only be withdrawn at the discretion of the
    trial court.   State v. Simon, 
    161 N.J. 416
    , 444 (1999).    A trial
    judge’s finding that a plea was voluntarily and knowingly
    entered is entitled to appellate deference so long as that
    determination is supported by sufficient credible evidence in
    the record.    State v. McCoy, 
    222 N.J. Super. 626
    , 629 (App. Div.
    1988), aff’d, 
    116 N.J. 293
    (1989).    “Thus, the trial court’s
    denial of defendant’s request to withdraw his guilty plea will
    be reversed on appeal only if there was an abuse of discretion
    which renders the lower court’s decision clearly erroneous.”
    
    Simon, supra
    , 161 N.J. at 444.
    Rule 3:21-1 governs the withdrawal of guilty pleas.     It
    provides that “[a] motion to withdraw a plea of guilty or non
    vult shall be made before sentencing, but the court may permit
    it to be made thereafter to correct a manifest injustice.”       R.
    3:21-1.   The rule explicitly provides that the post-sentencing
    10
    standard for withdrawal of a guilty plea is manifest injustice.
    Ibid.; see also State v. Johnson, 
    182 N.J. 232
    , 237 (2004).
    Before sentencing, the standard for plea withdrawal is “the
    interests of justice.”     R. 3:9-3(e); State v. Howard, 
    110 N.J. 113
    , 123-24 (1988).
    This Court outlined a framework to assess claims to
    withdraw a plea in 
    Slater, supra
    , 198 N.J. at 150:
    [I]n evaluating motions to withdraw a guilty
    plea, trial courts should consider the
    following   factors:      (1)  whether   the
    defendant has asserted a colorable claim of
    innocence; (2) the nature and strength of
    defendant’s reasons for withdrawal; (3) the
    existence of a plea bargain; and (4) whether
    withdrawal would result in unfair prejudice
    to the State or unfair advantage to the
    accused.
    In Slater, the defendant consented to a search of a motel
    room.     Police officers saw what appeared to be a small bag of
    marijuana in a dresser drawer that was open about six inches.
    
    Ibid. After frisking and
    handcuffing Slater, the officers
    opened the drawer and, in addition to the marijuana, found
    approximately fifteen grams of crack cocaine.     
    Ibid. The defendant entered
    a guilty plea to second-degree possession of a
    controlled dangerous substance with the intent to distribute but
    subsequently moved to withdraw the plea before sentencing.      
    Id. at 152.
        To support the motion, the defendant “claim[ed] that he
    was just visiting the motel room where the cocaine was found,
    11
    that the room was registered to another person, and that he had
    no knowledge or control of the drugs.”     
    Id. at 162.
        The motion
    was denied.   
    Id. at 153.
    The Appellate Division affirmed.      
    Ibid. This Court reversed
    the judgment of the Appellate Division and concluded
    that the defendant “presented specific, potentially plausible
    facts, and not simply a bald assertion.”     
    Id. at 163.
    IV.
    Here, defendant has presented a certification asserting
    that he is innocent because he was physically unable to climb
    into the victim’s bedroom window in order to commit an assault
    due to the fact that he had surgery on one of his knees around
    the alleged date of the incident.     According to M.G., defendant
    was inebriated at the time.   His condition thus would have
    further hampered his ability to commit the assault in the manner
    M.G. described.   In support of this argument, defendant
    categorically denied guilt and submitted photographs of his knee
    after the surgery and the exterior of the building in question.
    He also certified that a DYFS investigation found that M.G.’s
    previous accusations of sexual assault against defendant and a
    family friend lacked merit.
    We consider defendant’s claim in light of the Slater
    factors.   With respect to the first factor, a colorable claim of
    innocence, defendant must make a showing beyond a mere assertion
    12
    of innocence.   
    Slater, supra
    , 198 N.J. at 158-59.      He must point
    to specific, credible facts that support his claim.      
    Id. at 159.
    The motion judge, however, need not be convinced that the proofs
    a defendant puts forward to support his claim of innocence
    create a “winning argument.”    State v. Munroe, 
    210 N.J. 429
    , 442
    (2012).   This is “because, in the end, legitimate factual
    disputes must be resolved by the jury.”     
    Ibid. This Court addressed
    the “colorable claim of innocence”
    standard in Munroe.     There, the motion judge denied the
    defendant’s motion to withdraw his guilty plea even though he
    raised a self-defense claim during his presentence interview,
    which was never contradicted at his plea colloquy.      
    Id. at 445.
    The motion judge “was dismissive of defendant’s self-defense
    claim” because the defendant was armed with a gun, while the
    victim was armed with only a knife.     
    Id. at 446.
       The Court
    determined, however, that the disparity in weaponry was an issue
    for a jury rather than the motion judge.     
    Ibid. As a result,
    “[t]he issue is not whether in the mind of the trial court, ‘the
    likelihood of [defendant] winning on a self-defense [claim] was
    next to nothing.’     Rather, the issue is whether defendant raised
    a colorable claim of innocence that should rightly have been
    decided by a jury.”    
    Ibid. Thus, the evidence
    presented in
    support of the claim of innocence must be specific and raise a
    13
    legitimate dispute for the jury, but need not clearly exonerate
    the defendant.
    We are mindful that the admissibility and veracity of
    defendant’s evidence has not been tested.    Nevertheless, the
    specific facts that defendant asserted could provide a plausible
    basis to impeach M.G.’s testimony and cause a reasonable jury to
    find reasonable doubt as to defendant’s guilt.    In our view,
    defendant has provided more than “a bald assertion.”     His
    showing meets Slater’s first requirement.    In fact, he presented
    evidence as strong as what the defendant in Slater presented.
    The second Slater factor “focuses on the basic fairness of
    enforcing a guilty plea” and calls on defendant to present “fair
    and just reasons for withdrawal.”     
    Slater, supra
    , 198 N.J. at
    159.    Courts must assess “whether those reasons have any force.”
    
    Ibid. Slater instructs that
    [i]n assessing the nature and strength of
    the reasons for withdrawal, courts should
    not approach them with skepticism.    At the
    same time, trial judges must act with “great
    care and realism” because defendants often
    have little to lose in challenging a guilty
    plea.
    [
    Slater, supra
    , 198 N.J. at 160 (quoting
    State v. Taylor, 
    80 N.J. 353
    , 365 (1979)).]
    Here, defendant asserts he is innocent.   He also explains
    why, despite being innocent, he agreed to plead guilty.        He
    asserts that his first counsel was ineffective in preparing the
    14
    case and, later, gave defendant no option but to accept the plea
    agreement.   Defendant thus claims that his counsel induced him
    to plead guilty.   As support for this claim, defendant offers
    some evidence that contradicts the State’s charges.      We find
    that defendant has presented sufficient reasons to support his
    request for withdrawal.    The third factor, the presence of a
    plea agreement, weighs against defendant.      Defendant entered his
    plea as part of a plea agreement.      In exchange for his plea,
    defendant was sentenced as a second-degree offender rather than
    a first-degree offender.     In addition, related charges that
    could have resulted in consecutive sentences were dismissed.
    However, given that the “vast majority of criminal cases are
    resolved through plea bargains[,]” this factor is not given the
    greatest weight.   
    Id. at 161.
    The judge did not reach the question of prejudice to the
    State, despite the pronouncement in Slater that courts should
    consider all four factors.    
    Id. at 162.
       In any event, nothing
    in particular in the record demonstrates that the State would be
    prejudiced by defendant’s plea withdrawal in this case.
    Slater presents a balancing test.       Here, defendant’s
    showing on the first factor is quite strong.      After balancing
    the evidence and arguments in this case against all of the
    Slater factors, we conclude that defendant has met his burden
    15
    and is entitled to withdraw his guilty plea in the interest of
    justice.
    In light of these conclusions we need not reach the other
    issues defendant raised.
    V.
    Therefore, the judgment of the Appellate Division,
    affirming the denial of defendant’s motion to withdraw his
    guilty plea, is reversed.   The judgment of conviction is
    vacated, the charges dismissed pursuant to the plea agreement
    are reinstated and the matter is remanded to the Law Division
    for trial or other proceedings consistent with this opinion.
    CHIEF JUSTICE RABNER; JUSTICES LaVECCHIA, ALBIN, PATTERSON,
    and FERNANDEZ-VINA; and JUDGE CUFF (temporarily assigned) join
    in JUDGE RODRÍGUEZ’s opinion.
    16
    SUPREME COURT OF NEW JERSEY
    NO.    A-31                                  SEPTEMBER TERM 2012
    ON CERTIFICATION TO            Appellate Division, Superior Court
    STATE OF NEW JERSEY,
    Plaintiff-Respondent,
    v.
    CESAR A. LIPA,
    Defendant-Appellant.
    DECIDED               September 25, 2014
    Chief Justice Rabner                      PRESIDING
    OPINION BY               Judge Rodríguez
    CONCURRING/DISSENTING OPINIONS BY
    DISSENTING OPINION BY
    REVERSE/
    VACATE/
    CHECKLIST
    REINSTATE/
    REMAND
    CHIEF JUSTICE RABNER                    X
    JUSTICE LaVECCHIA                       X
    JUSTICE ALBIN                           X
    JUSTICE PATTERSON                       X
    JUSTICE FERNANDEZ-VINA                  X
    JUDGE RODRÍGUEZ (t/a)                   X
    JUDGE CUFF (t/a)                        X
    TOTALS                                  7
    1
    

Document Info

Docket Number: A-31-12

Citation Numbers: 219 N.J. 323, 98 A.3d 574, 2014 N.J. LEXIS 911

Judges: Rodriguez

Filed Date: 9/25/2014

Precedential Status: Precedential

Modified Date: 10/19/2024