Smith v. State

Stephanie L. Smith v. State of Maryland, No. 80, September Term, 2016. Opinion by Greene,
J.
BINDING AGREEMENTS—PLEA AGREEMENTS—PARTIES’ CONSENT—
ILLEGAL SENTENCE:
The Court of Appeals reaffirmed that under Maryland law a sentencing court may not impose
a sentence below a binding plea agreement, unless the parties agree to the modification. See
Bonilla v. State, 443 Md. 1, 15, 115 A.3d 98, 106 (2015). The terms of the plea agreement
reached by the State and the defendant clearly did not include probation before judgment, nor
did the plea agreement allow for home detention. Once the sentencing judge accepted the terms
of the plea agreement and agreed to be bound by the plea agreement he could only deviate from
those terms with the permission of both parties, and the State did not consent to the deviation.
Accordingly, the Court affirmed the judgment of the Court of Special Appeals.
Circuit Court for Prince George’s County
Case No. CT151085X
Argued: May 4, 2017 IN THE COURT OF APPEALS
OF MARYLAND
No. 80
September Term, 2016
______________________________________
STEPHANIE L. SMITH
v.
STATE OF MARYLAND
Barbera, C.J.
Greene,
Adkins,
McDonald,
Watts,
Hotten,
Getty,
JJ.
______________________________________
Opinion by Greene, J.
______________________________________
Filed: June 22, 2017
In this case, the petitioner, Stephanie L. Smith (“Ms. Smith”), entered into a plea
agreement with the State. The terms of the agreement included that Ms. Smith would enter
a plea of guilty to the crime of theft and that she would serve jail time. At the guilty plea
proceeding, the sentencing Circuit Court accepted the terms of the agreement, binding itself
to the agreement. However, the judge imposed a sentence below the terms of the plea
agreement by sentencing Ms. Smith to probation before judgment, not finding her guilty
of theft, and ordering home detention, rather than actual jail time. Moreover, this was done
without the consent of the State. We shall hold that the more lenient sentence in this case
was not consistent with the terms of the binding plea agreement and was without the
consent of the State; thus, it was an illegal sentence. Bonilla v. State, 443 Md. 1, 15, 115
A.3d 98, 106 (2015) (holding “that when a sentencing court violates Rule 4–243(c)(3) by
imposing a sentence below a binding plea agreement without the State’s consent, the
sentence is inherently illegal and subject to correction under Rule 4–345(a)”).
Accordingly, we shall affirm the judgment of the Court of Special Appeals. State v. Smith,
230 Md. App. 214, 146 A.3d 1189 (2016).
FACTUAL AND PROCEDURAL BACKGROUND
Indictment
On September 10, 2015, Ms. Smith was indicted by a Grand Jury for Prince
George’s County, on various theft charges for making fraudulent insurance claims,
including a charge of theft of property with a value of at least $10,000 but less than
$100,000. Under Md. Code (2002, 2012 Repl. Vol.), Criminal Law Article (“CR”), § 7–
104(g)(ii), the maximum penalty for this violation is imprisonment not exceeding 15 years,
a fine not exceeding $15,000, or both.
Plea Bargain
A month after the indictment, Ms. Smith, her counsel, and the State began plea
negotiations. Eventually the parties reached a plea agreement. Ms. Smith agreed to plead
guilty to the primary theft charge. In exchange, Ms. Smith was guaranteed a sentence not
to exceed 5 years of incarceration. Further, with respect to actual jail time, the 5 year
sentence would be suspended except for 30 to 90 days of incarceration, followed by 5 years
of supervised probation. Moreover, she would not have to pay a fine. As part of the
agreement, the State would not seek the maximum sentence of incarceration up to 15 years
and a fine up to $15,000. However, ultimately, there would be a conviction on Ms. Smith’s
record and a requirement that she pay $47,460.02 restitution to the victims of the theft.
Pursuant to Md. Rule 4–243, plea agreements may be binding on the court. The
binding agreement required the approval of the judge.1
Guilty Plea Hearing
On January 5, 2016, before a judge of the Circuit Court for Prince George’s County,
the State called the case for a hearing on Ms. Smith’s acceptance of the guilty plea. The
1
Subsection 4-243(a)(1)(F) provides that “the parties will submit a plea agreement
proposing a particular sentence, disposition, or other judicial action to a judge for
consideration.” Subsections (c)(2) and (3) provide that the proposed plea agreement is only
binding once the judge approves it; once the judge does this, it is binding on the judge: “(3)
Approval of plea agreement. If the agreement is approved, the judge shall embody in the
judgment the agreed sentence, disposition, or other judicial action encompassed in the
agreement or, with the consent of the parties, a disposition more favorable to the defendant
than that provided for in the agreement.”
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State presented the judge with the terms of the agreement that had been reached between
the parties:
[PROSECUTOR]: It would be a plea to Count 1, which is theft scheme
greater than $10,000 but less than $100,000. In exchange for the guilty plea,
there is a ceiling and a floor. The State would be allowed to argue for 5 years,
suspend all but 90 days, 5 years supervised probation, and restitution in the
amount of $47,460.02.
THE COURT: $47,000.
[PROSECUTOR]: $460.02. And the defense [is] free to argue for as little as
5 years, suspend all but 30 days, followed by 5 years supervised probation
and also the restitution in the $47,460.02.
[DEFENSE COUNSEL]: [Prosecutor], didn’t we talk about I can ask for
weekends?
[PROSECUTOR]: That is correct. The defense is free to argue that she serve
weekends. But, no, we didn’t talk about home detention, just weekends.
The State agreed to enter a nolle prosequi to the remaining counts in exchange for
Ms. Smith’s guilty plea to the top count. The judge informed the defense that the court
could impose up to 15 years of incarceration notwithstanding the agreement. The State
then clarified that the parties were anticipating that the court would bind itself to the terms
they had agreed to:
THE COURT: All right. Now, before I can accept your plea, I have to be
satisfied that the State actually has a factual basis for this, that they are not
whistling in the wind, that there are basic elements that they would have
proven if the matter had gone to trial. Have a seat. Get yourself together.
Listen to what [the prosecutor] says the State would have proven had this
matter gone to trial.
[PROSECUTOR]: Your Honor, thank you. Just briefly, before that I have a
housekeeping matter. I would like to add that despite the range, the 90 and
30 days, it is contemplated this would be a binding plea, therefore, it can only
be modified in the future if both parties agree.
THE COURT: Are you saying that if the Defendant is sentenced within the
parameters of—first of all, are you asking the Court to bind itself to the 5-
year cap?
[PROSECUTOR]: To the range.
THE COURT: 90-day cap.
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[PROSECUTOR]: Yes, sir.
THE COURT: Or 30-day cap.
[PROSECUTOR]: Yes.
THE COURT: I have to hear the facts before I’m willing to do that. Okay,
number one. And number two, are you saying that the Defendant is
prohibited from asking for reconsideration?
[PROSECUTOR]: No. They are not prohibited from asking. But before the
motion can be granted, both sides would have to agree.
At this point the judge conditionally agreed to be bound by the terms of the
agreement subject to some unforeseen issue in the subsequent statement of supporting
facts. The judge explained to Ms. Smith the limits on the sentence that the plea bargain
had imposed and that he was prepared to follow them. The terms that the judge announced
and that Ms. Smith accepted were:
THE COURT: Okay, I see. Ms. Smith, the [State] is asking me to bind
myself so I won’t give you any more than 90 days jail time. So since that’s
coming from the State, that’s certainly something that I will consider.
The defense always wants the Court to bind itself to a fixed amount of time.
Your attorney is asking for 30 days. Naturally, if I did accept this plea, I
would take the higher amount, the 90 days. The other thing, in other words,
5 years suspend all but 90 days. You get 5 years but the most I could actually
give you in terms of jail time at this time would be 90 days. But if you mess
up on probation, because that’s going to be 5 years, then the hammer falls
and you get up to 5 years in prison. Do you understand that, ma’am?
[SMITH]: Yes.
Next, the State gave the court the factual basis and summary of the evidence offered
for the plea. Ms. Smith agreed to the accuracy of the statement. After the judge confirmed
that Ms. Smith had no prior criminal convictions and that no unexpected development
would cause the judge not to go forward with the sentencing limitations, he formally bound
himself to the agreement.
THE COURT: That’s helpful to know given that I will accept this as an ABA
plea. Which means, Ms. Smith, I agree to sentence you within the ranges
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recommended by the attorneys. You want to explain that to her, [defense
counsel], if that needs any explanation.
In other words, ma’am, I’m not going to give you 15 years. The maximum
penalty that I’m going to give you is 5 years. And I will suspend either all
but 90 days or maybe 30 days. I will consider weekends, but not necessarily
weekends. But I will order restitution in the amount of $47,460.02. You will
be on 5 years supervised probation and the main condition of that probation
is that you pay this money back.
Ms. Smith agreed to this: “THE COURT: Knowing that, ma’am, how do you wish
to plead, guilty or not guilty? [SMITH]: Guilty.” The judge also expressly agreed:
THE COURT: The Court is satisfied the State has provided an adequate
factual basis for me to accept [Smith]’s plea of guilty. I find that her plea of
guilty is freely, voluntarily made and with understanding of what she is
doing. And the Court accepts her guilty plea and finds you guilty, ma’am,
of Count 1 of the indictment in this case.
The court then turned to the imposition of the sentence and considered Ms. Smith’s
personal circumstances, which were relevant as the judge was deciding to impose a
sentence between 30 days to 90 days of actual jail time. The judge was concerned with the
impact jail time would have on Ms. Smith’s employment and ability to pay restitution. The
judge then imposed a more lenient sentence, which modified the terms of the plea
agreement, without notifying the prosecutor or defense in advance of the proposed change:
THE COURT: I’m going to give you a break. The law allows me to keep this off
of your record and give you jail time at the same time. I want you to keep your job.
I think that is the most important benefit that you come with.
I’m going to defer the imposition of sentence under [Md. Code, Criminal Law
Article, §] 6–220. But you are still going to have to do jail time, 60 days. Now, I
will make it on weekends to be convenient to you, but you say you work on
weekends.
The judge changed the sentence to benefit Ms. Smith by imposing probation before
judgment: “[t]his deal is getting sweeter and sweeter for you, ma’am.” Even further, the
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judge modified the sentence of 60 days of jail time by changing it to a sentence of home
detention.
The prosecutor objected and relayed to the judge his concerns about deviating from
the terms of the plea agreement:
[PROSECUTOR]: Your Honor, may I be heard, briefly? So the sentence,
I’m unclear, the sentence is probation before judgment?
THE COURT: That is correct.
[PROSECUTOR]: I don’t want to be sour grapes, but when we were
contemplating a binding plea agreement and now we have arrived at a
sentence that doesn’t represent anything with respect to the binding plea
agreement. I wasn’t prepared for this to go this direction.
The plea agreement clearly provided that Ms. Smith would be found guilty of a
crime and serve jail time; instead, the sentence imposed by the judge did not include a
finding of guilt or incarceration. As a result of the sentence imposed, the State noted an
appeal. The Court of Special Appeals reversed the judgment of the Circuit Court. Smith,
230 Md. App. at 218, 146 A.3d at 1193 (holding that the plea agreement was binding under
Md. Rule 4–243(c)(3) and the judge’s sentence was illegal under Md. Rule 4–345 as the
sentence imposed was below the floor of the terms, by not including a finding of guilty,
and it was imposed without the consent of the State).
Ms. Smith filed a petition for writ of certiorari in this Court. We granted certiorari
to answer the following questions:
1. Do the holdings in Cuffley v. State, 416 Md. 568 (2010) and Baines v. State,
416 Md. 604 (2010), under which a plea agreement is construed according to
what a reasonable lay person in the defendant’s position would have
understood it to mean and any ambiguity must be resolved in the defendant’s
favor, apply when the State challenges a sentence allegedly imposed in
violation of Md. Rule 4–243(c)?
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2. Would a reasonable lay person in Petitioner’s situation have believed that
probation before judgment was precluded by the plea agreement where the
agreement was silent as to probation before judgment and required Petitioner
to pay $47,460 in restitution?
3. Under Md. Rule 4–243(c), which provides in part that “if [the guilty plea] is
accepted, [the judge] may approve the [plea] agreement or defer decision as
to its approval or rejection until after such pre-sentence proceedings and
investigation as the judge directs,” is the court bound to the plea agreement
upon accepting the guilty plea or may it reject the agreement after accepting
the plea, and if the latter, did the trial court reject the agreement after
accepting Petitioner’s guilty plea?
4. Did the Court of Special Appeals err in holding that Petitioner’s sentence
was imposed in violation of Rule 4–243(c)(3)?
Smith v. State, 451 Md. 250, 152 A.3d 754 (2017).
We hold that the Court of Special Appeals did not err in holding that Ms. Smith’s
sentence was imposed in violation of Rule 4–243(c). Ordinarily, where there is a binding
plea agreement in place, the judge must impose a sentence consistent with the terms of that
agreement. In order to provide a more lenient sentence to the defendant, the judge must
obtain the consent of the State and the defense. Further, we hold that the sentence in this
case was illegal because it deviated from the terms of the plea agreement and was entered
without the consent of both parties. Moreover, Cuffley and Baines provide that a plea
agreement should be construed according to what a reasonable lay person in the
defendant’s position would have understood it to mean; this analysis is applicable when a
defendant challenges the interpretation of a binding plea agreement. We determine, under
the facts in the case at bar, the terms of agreement were unambiguous, and thus a reasonable
lay person in the defendant’s position would have understood the terms of the agreement
to mean that there would be a finding of guilt and actual incarceration. Furthermore, when
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the State makes a challenge to the interpretation of a plea agreement, we focus on whether
both parties to the agreement received fairness and equity in the respective benefits of their
bargain. Here, the State did not receive what it bargained for when the judge imposed a
sentence below the terms of the plea agreement. Thus, under the standards for interpreting
the plea agreement, the sentence imposed was below the terms agreed upon by the parties
and the State did not consent to the deviation of the terms. Accordingly, we affirm the
judgment of the Court of Special Appeals.
STANDARD OF REVIEW
Our review of whether a trial court has violated the terms of a plea agreement is a
question of law. Cuffley v. State, 416 Md. 568, 581, 7 A.3d 557, 564 (2010). We, therefore,
review de novo the question of whether Ms. Smith’s plea agreement has been violated. See
Tweedy v. State, 380 Md. 475, 482, 845 A.2d 1215, 1219 (2004) (“Whether a plea
agreement has been violated is a question of law which we review de novo.”).
DISCUSSION
Ms. Smith contends that the trial court did not approve the plea agreement and was
thus not bound by its terms. According to Ms. Smith, because the plea agreement was
ambiguous and silent as to probation before judgment, it could have been imposed by the
judge and a reasonable lay person in the defendant’s position could have interpreted the
agreement to allow for such a sentence. Ms. Smith claims that by imposing probation
before judgment instead of a conviction, the trial court did not enter a disposition more
favorable to her. To the contrary, she maintains that the court imposed a sentence identical
to what was expected in the plea agreement, and thus the State should not have appealed.
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The State, on the other hand, contends that the court unambiguously bound itself to
impose a sentence in conformity with the plea agreement and, therefore, erred when it
imposed a sentence more favorable to Ms. Smith without the State’s consent. Moreover,
it is the State’s position that the terms of the plea agreement were clearly discernible.
Plea Agreements
We agree with the Court of Special Appeals’ explanation of a plea agreement:
A plea agreement is, of course, a contract between a criminal defendant and
the State in which each seeks to gain a benefit and, in return for such benefit,
each agrees to pay a price. It is a very special contract, moreover, in that
even after the basic quid pro quo is agreed upon by the primary contracting
parties, the entire package may be submitted to a criminal court for its
approval and its subsequent enforcement. If it should then be the enforcing
authority (to wit, the court) that commits a breach of the contract, what even-
handed justice requires is that each of the primary contracting parties, if
suffering from the breach, is equally entitled to seek a remedy under equally
conducive procedural conditions.
Smith, 230 Md. App. at 218, 146 A.3d at 1191–92.
This Court in Dotson v. State, 321 Md. 515, 517, 583 A.2d 710, 711 (1991),
discussed the importance of encouraging plea agreements to aid in the administration of
justice and eliminate “uncertainties and practical burdens of trial, permit the judiciary and
prosecution to concentrate their resources on those cases in which they are most needed,
and further law enforcement by permitting the State to exchange leniency for information
and assistance.” We noted that an overwhelming percentage of criminal cases are resolved
through plea agreements, saving time and resources by avoiding the burden of a full-scale
trial. Dotson, 321 Md. at 517, 583 A.2d at 710. The Court of Special Appeals also
discussed the advantages of plea agreements in Banks v. State:
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One of the reasons the process works effectively is the element of certainty
it lends to the criminal justice system. From the public perspective, it may
well be advantageous for the prosecutor to exchange the uncertainty of
conviction following trial for the certainty of conviction produced by a guilty
plea, even when a plea agreement includes some provision in mitigation of
potential sentence. From the defense viewpoint, it may be equally
advantageous to give up the possibility of acquittal following trial for the
certainty of a relatively lenient disposition included as part of a plea
agreement. We recognized the importance of this “certainty” aspect of plea
bargaining, and the adverse effect its loss would have on the process, in []
Sweetwine: “If the prosecutor cannot rely upon the plea bargain, the potential
‘chilling effect’ upon the very institution of plea bargaining could be
devastating.” 42 Md. App. at 12, 398 A.2d 1262. Similar results could ensue
if the defendant were unable to rely upon the bargain. Thus, plea bargains
have been enforced both against the State, as in State v. Brockman, supra,
and against the defendant, as in Blinken v. State, 291 Md. 297, 435 A.2d 86(1981).
Banks v. State, 56 Md. App. 38, 52, 466 A.2d 69, 75–76 (1983). See also State v. Sanders,
331 Md. 378, 385, 628 A.2d 209, 212 (1993) (holding that the court may impose a
disposition more favorable to the defendant only if the parties agree). Under our
jurisprudence, both parties are equally protected from a breach of this agreement:
That it was critical in Dotson that the violation of the plea agreement
prejudiced the defendant does not mean that a violation of a plea agreement
that prejudices the State is beyond the reach of principles of fairness and
equity or that the institution of plea bargaining cannot be adversely affected.
Just as a defendant would be [sic] loathe to participate in plea bargaining if
he or she could not be certain that the bargain that he or she made would be
fulfilled, so too would the State. There would be no incentive for the State
to engage in plea bargaining if it were possible for a defendant to enter into
a binding plea agreement only to have the sentence contemplated by that
agreement modified a short time later. Nor would it be fair to the State,
which is, after all, one of the parties to the agreement.
Chertkov v. State, 335 Md. 161, 174, 642 A.2d 232, 238–39 (1994).
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A sentence is illegal if, without the permission of both parties to the agreement, a
judge fails to embody in its judgment the terms of the binding plea agreement. See Sanders,
331 Md. at 388, 628 A.2d at 214. Md. Rule 4-243(c)(3) provides:
Approval of plea agreement. If the plea agreement is approved, the judge
shall embody in the judgment the agreed sentence, disposition, or other
judicial action encompassed in the agreement or, with the consent of the
parties, a disposition more favorable to the defendant than that provided for
in the agreement.
The Bonilla case made clear that a sentence is illegal, within the meaning of Rule
4–345(a), if it (1) exceeds the maximum ceiling set by the plea agreement or (2) falls below
the minimum floor set by the plea agreement. Bonilla, 443 Md. at 3, 12, 115 A.3d at 99,
104 (“Considering Dotson, Cuffley, Matthews, and Chertkov, we conclude that when a
sentencing court violates Rule 4–243(c)(3) by imposing, without consent, a sentence that
falls below a binding plea agreement, the resulting sentence is inherently illegal under Rule
4–345(a).”). See also Cuffley, 416 Md. at 575 n.1, 7 A.3d at 561 n.1 (“Maryland Rule 4-
345(a) permits a court to correct an illegal sentence at any time. If a sentence is ‘illegal’
within the meaning of that section of the rule, that is, the illegality inheres in the sentence
itself, then the defendant may file a motion in the trial court to correct it, notwithstanding
that (1) no objection was made when the sentence was imposed, (2) the defendant purported
to consent to it, or (3) the sentence was not challenged in a timely-filed direct appeal or at
some other previous procedural juncture. If the court denies a motion to correct such an
illegality, the defendant has the right to challenge the ruling on direct appeal. We have
held that a sentence that exceeds the sentence to which the parties agreed as part of a plea
agreement is an illegal sentence within the meaning of Rule 4–345(a).” (citations and
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internal quotation marks omitted)). Moreover, under Md. Rule 4–345(a), “[t]he court may
correct an illegal sentence at any time.”
In Bonilla, this Court considered whether a sentence was illegal when “a sentencing
court impose[d] a sentence below the sentence agreed to in a binding plea agreement
without the State’s consent.” Bonilla, 443 Md. at 3, 115 A.3d at 99 (involving a challenge
brought by the State and establishing that such body of law applies to both parties of the
plea agreement). In that case, the parties had agreed that Mr. Bonilla would plead guilty
to murder Counts I and III, and Mr. Bonilla would testify, for the State, if called, against a
co-defendant. Bonilla, 443 Md. at 4, 115 A.3d at 99. In exchange Mr. Bonilla would
receive a sentence of life imprisonment on Count III with a consecutive sentence of life
imprisonment, with all but 20 years suspended, on Count I. Moreover, the State would
enter a nolle prosequi to the remaining counts charged in the indictment. Id. At the plea
hearing, the terms were presented to the judge, the State proffered the facts, the judge
determined that Mr. Bonilla was voluntarily pleading guilty, and the judge accepted the
plea and approved the agreement. Bonilla, 443 Md. at 4, 115 A.3d at 99–100.
The sentencing, however, was postponed until after the co-defendant’s trial. Id. At
sentencing for Mr. Bonilla, defense counsel incorrectly stated that the parties had agreed
to a lower sentence of life imprisonment, with all but 20 years suspended, on Count III,
rather than life imprisonment, without any portion of the sentence suspended. Bonilla, 443
Md. at 5, 115 A.3d at 100. The State did not recognize the error, and the court sentenced
Mr. Bonilla to life imprisonment on Count I and a consecutive sentence of life
imprisonment, with all but 20 years suspended, on Count III. Id. On review, we concluded
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“that when a sentencing court violates Rule 4–243(c)(3) by imposing a sentence below a
binding plea agreement without the State’s consent, the sentence is inherently illegal and
subject to correction under Rule 4–345(a).” Bonilla, 443 Md. at 15, 11, 115 A.3d at 106,
104 (“Rule 4–243(c)(3) prohibits a sentencing court from imposing a sentence below a
binding plea agreement if the parties do not agree to the deviation . . . Indeed, the court
may impose a disposition more favorable to the defendant only if the parties agree.”).
In the present case, we hold that deviating from the terms of the binding plea
agreement, as approved by the court, results in an illegal sentence, regardless of whether
the deviation is upwards or downwards. As the Court of Special Appeals noted, just as a
defendant enjoys the protection of the Due Process Clause, the State enjoys the principles
of fairness and equity. Smith, 230 Md. App. at 221, 146 A.3d at 1193. See also Bonilla,
443 Md. at 12–13, 115 A.3d at 104–05 (“In Cuffley, we confirmed that ‘fairness and equity
govern the enforcement of plea agreements.’ As such, when the State and a defendant have
entered into a binding plea agreement, each party is entitled to the benefit of its bargain.
Concluding that sentences below binding plea agreements are legal under Rule 4–345(a)
would be unfair to the State by depriving it of the benefit of its bargain.”). The Bonilla
Court noted that Mr. Bonilla
recognizes the sentences this Court declared inherently illegal in Dotson and
Cuffley exceeded the plea agreements. Neither our reasoning nor our
holdings in those cases, however, suggest that striking a sentence as illegal
can only occur when a sentence exceeds the terms of a binding plea
agreement. In both cases, we determined that the sentences were illegal
because the sentencing courts violated Rule 4–243(c)(3) by deviating from
the binding plea agreements.
Bonilla, 443 Md. at 10, 115 A.3d at 103.
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As Judge Charles E. Moylan, Jr., writing for the Court of Special Appeals,
thoroughly explained, in this case, a judge conditionally accepts a plea agreement, with the
expectation that he or she will accept the terms. Smith, 230 Md. App. at 227, 146 A.3d at
1196–97. The judge conditionally accepts the terms if they appear to be reasonable, but
conditions it upon hearing the facts first, and, if some unexpected revelation does not occur,
the judge fully accepts the terms of the plea agreement. When there are no unexpected
revelations and once the conditional acceptance is satisfied, then the conditional acceptance
becomes an absolute acceptance. See Tweedy v. State, 380 Md. 475, 483–84, 845 A.2d
1215 (2004) (discussing conditional acceptances and absolute acceptances). Ultimately,
the judge accepts the plea bargain after he or she has heard the statement of supporting
facts and then starts discussing and using the language of the plea bargain. As Judge
Moylan further explained, “[t]here is a symbiosis between the two acceptances and it is
impossible to say which, if either, came first. This transition should be discernible by the
defense, even without kettle drums. In this case, it was discernible by us.” Smith, 230 Md.
App. at 227, 146 A.3d at 1197.
In interpreting the discussions between the State, defense counsel, Ms. Smith, and
the judge, we conclude that it is clear that the judge conditionally agreed to be bound by
the terms subject to some unforeseen issue in the subsequent statement of supporting facts.
The prosecutor explained the terms of the agreement, stating, “I would like to add that
despite the range, the 90 and 30 days, it is contemplated this would be a binding plea,
therefore, it can only be modified in the future if both parties agree.” The judge also
indicated that he would need to hear the facts from the State before he could agree to bind
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himself to the terms: “I have to hear the facts before I’m willing to do that.” Additionally,
the judge explained to Ms. Smith the limits on the sentence that the plea bargain had
imposed and that he, the judge, was prepared to follow. The judge stated, “Okay, I see.
Ms. Smith, the [State] is asking me to bind myself so I won’t give you any more than 90
days jail time.” Next, the prosecutor provided a statement of facts in support of the plea,
which Ms. Smith agreed was accurate. Ms. Smith also stated that she knowingly and
voluntarily wished to plead guilty. The judge then expressly accepted the plea:
The Court is satisfied the State has provided an adequate factual basis for me
to accept [Ms. Smith]’s plea of guilty. I find that her plea of guilty is freely,
voluntarily made and with understanding of what she is doing. And the Court
accepts her guilty plea and finds you guilty, ma’am, of Count 1 of the
indictment in this case.
Accordingly, we hold, as a matter of law, that prior to sentencing, the court unquestionably
accepted the plea agreement and bound itself to its terms. See Tweedy, 380 Md. at 485,
845 A.2d at 1221 (“Once the plea was accepted, the court was required to impose the agreed
upon sentence, assuming that all the conditions imposed upon the defendant were
fulfilled.”); State v. Poole, 321 Md. 482, 497, 583 A.2d 265, 272 (1991).
At the sentencing phase of the proceeding, the judge having previously accepted the
terms of the agreement, provided even greater leniency to the defendant because of the
court’s concern about the impact that the sentence might have on Ms. Smith’s continued
employment. As a result of the sentence imposed, the judge breached the terms of the
agreement between the parties. The sentencing judge’s breach of the plea agreement was
apparently an unconscious breach because Rule 4–243(c)(4) provides that “[i]f the plea
agreement is rejected, the judge shall inform the parties of this fact.” The sentencing judge
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never indicated to the parties that he intended to deviate from the terms of their agreement.
See Tweedy, 380 Md. at 484–85, 845 A.2d at 1220–21. Here, the judge imposed a sentence
of probation before judgment and 60 days of home detention. The plea agreement,
however, specified that Ms. Smith would be found guilty of the theft charge and the jail
sentence would be between 30 or 90 days.
Accordingly, we hold that the sentence imposed in the case at bar was not consistent
with the terms of the binding plea agreement, as it fell below the minimum floor set by the
agreement and was without the consent of the State; thus, the sentence is illegal.
Reasonable Interpretation of the Plea Agreement
As the Court of Special Appeals explained, not unlike the Bonilla case, when the
State makes a challenge to the interpretation of a plea agreement based on the mandatory
limits of that agreement, we focus on whether the State and the defendant obtained the
respective benefits of their bargain and what they expected pursuant to the terms of the
agreement. Smith, 230 Md. App. at 237, 146 A.3d at 1202. On the other hand, where a
defendant challenges the State’s interpretation of the plea agreement the standard is that a
plea agreement should be construed according to what a reasonable lay person in the
defendant’s position would have understood it to mean. This case involves both the State’s
challenge to a sentence that falls below the minimum set by the binding plea agreement
entered into between the parties, as well as the defendant’s challenge to the State’s
interpretation of the terms. Writing for the Court of Special Appeals in this case, Judge
Moylan explained the significance of evaluating the plea in the procedural context of the
challenge to a sentence. He wrote:
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When, in a challenge to a sentence brought by the State, our focus is on
whether the State got what it had a right to expect pursuant to a plea
agreement, what the [defendant] may or may not have thought about it is
totally immaterial. If a sentence is illegal, as in Bonilla, because it fell below
the mandatory floor bargained for in the plea agreement, the [defendant]
cannot make it legal by putting her interpretive seal of approval on it. To say
the plea agreement meant whatever the [defendant] thought that it meant is
ridiculous. That would empower the [defendant] to decide the case.
Smith, 230 Md. App. at 237, 146 A.3d at 1202.
When a defendant challenges the sentence imposed on the ground that he or she did
not receive the benefit of the plea bargain, our focus is then on “the defendant’s rights, the
defendant’s entitlements, and the defendant’s reasonable expectations because those [are]
the only issues then before the [tribunal].” Smith, 230 Md. at 236, 146 A.3d at 1202. We
note that in Bonilla the sentence was imposed by mistake, and all of the parties failed to
recognize that at the time, thus there was no issue of interpretation or ambiguity of the plea
agreement’s terms. In the present case, the defendant challenges the State’s interpretation
of the plea agreement, and the State challenges the defendant’s interpretation. Our focus
on the State’s procedural challenge involves a determination of what Ms. Smith and the
State bargained for, and what each party had a right to expect pursuant to the plea
agreement. The State had a right to expect Ms. Smith’s conviction for theft and a sentence
of actual incarceration between 30 to 90 days. Ms. Smith did not bargain for probation
before judgment, and the State did not consent to change the disposition to probation before
judgment. It is unreasonable to say that Ms. Smith bargained for probation before
judgment where that term is neither contemplated by the agreement nor mentioned in the
agreement and is inconsistent with a conviction and sentence between 30 and 90 days.
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Shifting our focus to the standard used when a defendant challenges the sentence
imposed, we hold that no reasonable lay person in Ms. Smith’s position, pursuant to the
clear terms of the plea agreement could have reasonably expected a sentence below the
minimum set by the agreement. Ms. Smith cites to Cuffley, 416 Md. at 582, 7 A.3d at 565–
66 and Baines, 416 Md. at 615, 7 A.3d at 584–85, for the proposition that a plea agreement
is construed according to what a reasonable lay person in the defendant’s position would
have understood it to mean:
We conclude that, by its express terms, Rule 4–243 requires strict compliance
with its provisions. We further conclude, as the natural consequence of
requiring strict compliance with the Rule, that any question that later arises
concerning the meaning of the sentencing term of a binding plea agreement
must be resolved by resort solely to the record established at the Rule 4–243
plea proceeding. The record of that proceeding must be examined to
ascertain precisely what was presented to the court, in the defendant’s
presence and before the court accepts the agreement, to determine what the
defendant reasonably understood to be the sentence the parties negotiated
and the court agreed to impose. The test for determining what the defendant
reasonably understood at the time of the plea is an objective one. It depends
not on what the defendant actually understood the agreement to mean, but
rather, on what a reasonable lay person in the defendant’s position and
unaware of the niceties of sentencing law would have understood the
agreement to mean, based on the record developed at the plea proceeding. It
is for this reason that extrinsic evidence of what the defendant’s actual
understanding might have been is irrelevant to the inquiry.
Cuffley, 416 Md. at 582, 7 A.3d at 565–66. In Cuffley, the defendant pleaded guilty to
robbery pursuant to a plea agreement and the State agreed to a guidelines sentence of 4 to
8 years. Cuffley, 416 Md. at 573–74, 7 A.3d at 560. At the plea hearing, the court found
that Mr. Cuffley knowingly and voluntarily entered the plea and the court accepted the plea
agreement pursuant to Rule 4–243(c), binding itself to its terms. Cuffley, 416 Md. at 574,
7 A.3d at 560. Later, at the sentencing hearing, the court imposed a sentence of 15 years
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imprisonment with all but 6 years suspended. Id. Mr. Cuffley filed a Rule 4–345(a)
motion, arguing that the sentence was illegal because it exceeded the maximum sentence
of 8 years according to the plea agreement. Cuffley, 416 Md. at 574–75, 7 A.3d at 561. He
also asserted that he understood the agreement to provide for a total sentence of no more
than 8 years, and to his knowledge his attorney did not inform him that he could receive
suspended time above the 8 year cap; moreover, Mr. Cuffley argued that he would have
remembered because he was always concerned with how much time he would have over
his head. Cuffley, 416 Md. at 575, 7 A.3d at 561. We noted that “[a]ll that is relevant, for
purposes of identifying the sentencing term of the plea agreement, is what was stated on
the record at the time of the plea concerning that term of the agreement and what a
reasonable lay person in [Mr. Cuffley’s] position would understand, based on what was
stated, the agreed-upon sentence to be.” Cuffley, 416 Md. at 584, 7 A.3d at 566.
The case at bar is unlike Cuffley, where “[n]o mention was made at any time during
that proceeding-much less before the court agreed to be bound by the agreement and
accepted [Mr. Cuffley’s] plea—that the [4]-to-[8]-year sentence referred to executed time
only” and thus, “a reasonable lay person in [Mr. Cuffley’s] position would not understand
that the court could impose the sentence it did.” Cuffley, 416 Md. at 585, 7 A.3d at 567.
As we have noted, here, the State indicated that Ms. Smith would be pleading guilty to a
count of theft and did not indicate that the disposition of probation before judgment was a
part of the plea agreement or indeed even a possibility. Moreover, the prosecutor also
expressly stated that the parties did not agree to home detention as an option, but that the
agreement contemplated serving time on weekends. Unlike in Cuffley, given the facts at
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hand, the terms of the agreement were clearly discernible and not ambiguous. Thus, in the
present case, the sentencing judge erred by imposing a sentence inconsistent with the plea
agreement and without the State’s consent.
In Baines, which we decided the same day as Cuffley, the plea agreement provided
that Mr. Baines would plead guilty to two counts of armed robbery and that he would be
sentenced within the guidelines, which was 7 to 13 years. Baines, 416 Md. at 607, 7 A.3d
at 580. “The court accepted the plea and agreed ‘just [to] commit [itself] within [the]
Guidelines.’” Id. However, the court sentenced him on the first count to 20 years, all but
7 years suspended, and on the second count to a consecutive 20 years, all but 6 years
suspended. We held that Mr. Baines “reasonably understood that the court would not
impose a total sentence exceeding 13 years, including both non-suspended and suspended
time. Therefore, [he was] entitled to the relief of specific performance of the agreement.”
Baines, 416 Md. at 607–08, 7 A.3d at 580.
Just like in Baines, the judge in this case also explicitly agreed to bind himself to
the terms of the agreement when he stated, “I agree to sentence you within the ranges
recommended by the attorneys” and
[t]he Court is satisfied the State has provided an adequate factual basis for
me to accept [Mr. Smith]’s plea of guilty. I find that her plea of guilty is
freely, voluntarily made and with understanding of what she is doing. And
the Court accepts her guilty plea and finds you guilty, ma’am, of Count 1 of
the indictment in this case.
Also similar to Baines, the judge here imposed a sentence that was not in accordance with
the plea agreement. In Baines we held that the terms and sentencing guidelines were clear
and a reasonable person in the defendant’s position would have understood those terms.
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As we have discussed, this determination is also true in the case sub judice. Accordingly,
we hold that no reasonable lay person in Ms. Smith’s position could have expected, under
the terms of the plea agreement, to receive a sentence below the minimum set by the
agreement.
Moreover, we do not agree with Ms. Smith that a sentence of probation before
judgment is identical to a conviction. A conviction has many consequences that a sentence
of probation before judgment would not, including
possible enhanced sentencing if convicted again, possible deportation,
possible loss of the right to vote, disqualification for public office, possible
loss of employment (as the judge articulated in this case), the rejection of
one’s application to the country club. The consequences may be myriad,
large and small. The debilitating stigma of conviction is harmful in and of
itself.
Smith, 230 Md. App. at 239, 146 A.3d at 1203–04. The terms of the agreement
unambiguously included a finding of guilt, not probation before judgment. The terms were
clear and no reasonable lay person in the defendant’s position could have interpreted them
otherwise. Moreover, the State did not receive the benefit of its bargain.
CONCLUSION
For the reasons stated above, we affirm the judgment of the Court of Special
Appeals. The judge in this case was bound by the terms of the plea agreement and should
have imposed a sentence consistent with those terms. Because the judge deviated from the
terms of the plea agreement without the consent of both parties, the sentence was illegal.
JUDGMENT OF THE COURT OF
SPECIAL APPEALS AFFIRMED.
COSTS TO BE PAID BY PETITIONER.
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