DocketNumber: 53 MAP 2017
Judges: Baer, Saylor, Donohue
Filed Date: 1/23/2019
Status: Precedential
Modified Date: 10/19/2024
In Commonwealth v. Carrasquillo ,
The relevant background underlying this matter can be summarized as follows. In December of 2012, a criminal complaint was filed against Appellant Michael Norton ("Appellant"), charging him with five counts of indecent assault and one count of corruption of minors. According to the complaint and the accompanying affidavit of probable cause, on at least five occasions from September of 2008 through April of 2012, Appellant sexually abused his paramour's granddaughter ("Victim"), born in September of 2004.
On February 27, 2013, a preliminary hearing occurred, where Victim and Corporal James Travis of the Pennsylvania State Police testified. Following that hearing, the magisterial district judge dismissed *115three counts of indecent assault but bound over for trial the remaining charges. The district judge's decision was based upon his observation that Victim testified specifically to only two alleged incidents of abuse. N.T., 10/15/2013, Exhibit 1, at 21.
On August 7, 2013, Appellant filed an omnibus pretrial motion in which he sought an order precluding the Commonwealth from presenting at trial evidence regarding sexual abuse Appellant allegedly inflicted upon his now-adult daughter ("Daughter") when Daughter was a child in the late 1980s and early 1990s. That evidence included a 1996 statement signed by Appellant in which he admitted to abusing Daughter sexually.
On November 7, 2014, trial was scheduled to commence for purposes of jury selection. However, on that date, the parties informed the trial court that they had reached an agreement. Specifically, Appellant agreed to plead nolo contendere to one count each of indecent assault and corruption of a minor in exchange for an aggregate term of imprisonment of two to six years. In the presence of the court, Appellant's attorney conducted a plea colloquy, which was supplemented by questioning by the district attorney regarding the fact that Appellant's plea would require him to be assessed for purposes of determining whether he should be classified as a sexually violent predator. The parties also submitted to the court Appellant's written plea colloquy.
The trial court accepted the plea agreement, ordered Appellant to be assessed by the Sexual Offenders Assessment Board ("SOAB"), and tentatively scheduled sentencing for February 13, 2015. However, on the Commonwealth's motion, sentencing was later rescheduled for May 7, 2015.
On March 23, 2015, Appellant filed a motion to withdraw his nolo contendere plea. In that motion, Appellant asserted his innocence and proclaimed that he could not live with himself for taking a plea under the circumstances. The trial court held a hearing concerning this motion on April 30, 2015. At that hearing, Appellant reiterated that he wanted to withdraw his plea because he was innocent of the crimes to which he pleaded nolo contendere and because he could not live with himself for entering his plea.
At that time, the prevailing law in the Commonwealth required a trial court to grant a presentence motion to withdraw a guilty plea when withdrawal of the plea was based upon a defendant's bare assertion of innocence. See, e.g. , Commonwealth v. Carrasquillo ,
*116On June 5, 2015, this Court decided Carrasquillo and Hvizda , employing Carrasquillo as the lead opinion. In examining whether a defendant's bare assertion of innocence requires a court to allow a defendant to withdraw a guilty plea presentence, the Carrasquillo Court observed that this Court's seminal decision in Commonwealth v. Forbes ,
In setting out to clarify the law in this area, the Carrasquillo Court adopted the approach of other jurisdictions that require a defendant's claim of innocence to "be at least plausible to demonstrate, in and of itself, a fair and just reason for presentence withdrawal of a plea."
*117After this Court issued its opinions in Carrasquillo and Hvizda , the Commonwealth, in the case at bar, timely filed in the trial court a motion for reconsideration of its order permitting Appellant to withdraw his plea of nolo contendere . In that motion, the Commonwealth highlighted that the court permitted Appellant to withdraw his plea based solely on an assertion of innocence and that Carrasquillo and Hvizda held that a bare assertion of innocence is not, in and of itself, a sufficient reason to require a court to grant a defendant's presentence request to withdraw a guilty plea.
On June 25, 2015, the trial court entertained argument on the Commonwealth's motion for reconsideration. For its part, the Commonwealth questioned the plausibility and sincerity of Appellant's assertion of innocence and suggested that Appellant simply was seeking to delay the prosecution and the consequences that awaited him. The Commonwealth posited that strong evidence of record indicates that Appellant's assertion of innocence was implausible and that fairness and justice did not require the court to allow Appellant to withdraw his plea.
Appellant's counsel, on the other hand, insisted that Appellant had always maintained his innocence, emphasizing that his nolo contendere plea did not equate to an admission of guilt to the crimes of which he was convicted. In this regard, Counsel also asserted that, when the SOAB interviewed Appellant to assess his sexual offender status, he "refused to participate, maintaining his innocence." N.T., 6/25/2015, at 7. Counsel further stated that, if permitted to withdraw his plea, Appellant intended to contest the Commonwealth's evidence at trial by attacking Victim's credibility, as she answered, "I don't remember," at least 15 times during the preliminary hearing. Id. at 8. Counsel also seemed to insinuate that he would again challenge at trial the admissibility of the prior-bad-acts evidence regarding his sexual abuse of Daughter.
On June 26, 2015, the trial court issued a speaking order granting the Commonwealth's motion for reconsideration and denying Appellant's motion to withdraw his plea. In so doing, the court applied the Carrasquillo standard and concluded that Appellant "did not make a colorable demonstration for withdrawal of his plea of nolo contend [e ]re that would promote fairness and justice." Trial Court Order, 6/26/2015, at 2-3. In support of this conclusion, the court observed that Appellant entered his negotiated plea on November 7, 2014, which notably was the day that the court and parties were set to pick a jury. Id. at 3. The court further reported that, shortly after entering his plea, Appellant signed a sexual offender colloquy, acknowledging his obligations to register as a sexual offender as required by Pennsylvania law.
The trial court continued by explaining that, in his motion to withdraw his plea, Appellant simply averred that "he was innocent and could not live with himself for *118taking a plea to offenses of which he is innocent." Id. at 4. Appellant made the same general claim at the April 30, 2015, hearing on his motion to withdraw, which the court determined "was the gist" of Appellant's reason for requesting withdrawal of his plea. Id.
Appellant filed a motion for reconsideration of the June 26th order, which was denied on August 4, 2015.
Appellant timely filed a notice of appeal, and the trial court directed him to comply with Pa.R.A.P. 1925(b). Appellant filed a concise statement of matters complained of on appeal. Therein, Appellant stated that he intended to raise four issues on appeal, all of which concerned the trial court's decision to deny his motion to withdraw his nolo contendere plea.
In its Pa.R.A.P. 1925(a) opinion, the trial court bolstered the analysis that it provided in its speaking order denying Appellant's motion to withdraw his plea. In relevant part, the court stated that it went to great lengths in the plea colloquy with Appellant to ensure that he entered his plea knowingly, voluntarily, and intelligently. Trial Court Opinion, 11/17/2015, at 6. The court explained that the plea colloquy was conducted in chambers while the prospective jury pool waited in the courtroom.
The trial court also explained that it initially granted Appellant's motion to withdraw his plea based upon the prevailing law at the time which suggested that a bare assertion of innocence warranted the withdrawal of a plea prior to sentencing. However, on the Commonwealth's motion, the court believed it prudent to reconsider its decision in light of this Court's opinion in Carrasquillo , id. at 6-7, which was decided eight days after the court permitted Appellant to withdraw his plea based upon his bare assertion of innocence. In this regard, the court reiterated its conclusion that Appellant failed to "demonstrate, under the facts of this case, that permitting withdrawal of his plea would promote fairness and justice." Id. at 7. The court opined that Appellant had ample time prior to his November 7, 2014, plea to consider and assert his innocence. Id.
Lastly, the trial court addressed Appellant's claim that he intended to contest the Commonwealth's evidence at trial. Id. at 8. Similar to its consideration of his assertion of innocence, the court found that Appellant had ample time to discover and inspect the Commonwealth's evidence well prior to his plea. The court stated, "It would be logical that [Appellant] and his counsel considered all of the evidence of the case, including the Commonwealth's evidence or lack thereof, in deciding whether to enter into the negotiated[ ] nolo contendere plea agreement with the Commonwealth." Id. The court concluded that any assertion of a desire to challenge the Commonwealth's evidence was not new to the case. Id. In other words, Appellant's two "primary claims, that he was innocent and that he sought to challenge the Commonwealth's evidence at trial, were not novel to the post-plea proceedings of this *119case." Id. The trial court, therefore, denied Appellant's motion to withdraw his nolo contendere plea because his bare assertion of innocence did not establish that withdrawal of the plea would promote fairness and justice.
On appeal to the Superior Court, Appellant posited that the trial court abused its discretion by denying his presentence motion to withdraw his plea of nolo contendere . In terms of the Carrasquillo standard, Appellant contrasted his claim of innocence with Carrasquillo's claims. Appellant argued that, unlike the circumstances presented in Carrasquillo , his protestation of innocence was plausible because he had maintained his innocence throughout the trial court proceedings. Appellant further argued that the record indicated that he was not attempting to delay his prosecution and that he offered a viable defense to the charges to which he pleaded, namely, he could challenge the sufficiency of the Commonwealth's evidence by undermining the credibility of the Commonwealth's witnesses, particularly that of Victim.
The Commonwealth insisted that the trial court properly applied Carrasquillo . In so doing, the Commonwealth highlighted that, in seeking to withdraw his plea of nolo contendere , Appellant merely asserted his innocence without making any specific, colorable demonstration that the withdrawal of that plea would promote fairness and justice. In terms of Appellant's declared trial-defense strategy, the Commonwealth suggested that any defense predicated on attacking Victim's credibility should have been readily apparent to Appellant and his counsel following the preliminary hearing; yet, despite this seemingly obvious knowledge, Appellant nonetheless chose to plead nolo contendere . Thus, in the Commonwealth's view, the trial court acted within its discretion by denying Appellant's presentence motion to withdraw his plea.
The Superior Court ultimately affirmed Appellant's judgment of sentence in an unpublished memorandum. Commonwealth v. Norton ,
Senior Judge Fitzgerald filed a dissenting memorandum. In the dissent's view, the trial court erroneously failed to address the quality of Appellant's assertion of innocence and conflated the liberal standard for assessing a presentence motion to withdraw a guilty plea with the more stringent standard that governs a defendant's post-sentence request to withdraw such a plea.
Appellant filed a petition for allowance of appeal, which we granted to address the following issue, as phrased by Appellant:
Whether a defendant's assertion of innocence based on the sufficiency of the evidence and his inability to reconcile entering a plea when he maintained his innocence well before the time of his sentencing and when the Commonwealth made no argument of prejudice, is sufficient to establish a fair and just reason for withdrawing his plea of nolo contendere ?
Commonwealth v. Norton ,
In his brief to this Court, Appellant simply reiterates, with minor augmentation, the arguments that he presented to the Superior Court regarding the alleged errors made by the trial court. Indeed, the "Argument" portion of Appellant's brief fails to acknowledge the rationale that the Superior Court offered in support of its decision to affirm Appellant's judgment of sentence, let alone assign any error to that rationale. In response, the Commonwealth similarly renews its contention that the trial court acted within its discretion by denying Appellant's motion to withdraw his plea.
Reduced to its essence, the question Appellant poses to this Court requires us to examine whether the Superior Court properly determined that the trial court acted within its discretion by denying Appellant's presentence motion to withdraw his plea of nolo contendere pursuant to this Court's decision in Carrasquillo . Thus, it is helpful to begin our analysis with a brief review of the well-settled law regarding trial court discretion.
"When a [trial] court comes to a conclusion through the exercise of its discretion, there is a heavy burden [on the appellant] to show that this discretion has been abused." Commonwealth v. Eichinger ,
With these standards in mind, we reiterate that the Carrasquillo Court overruled a relatively long line of precedent which, understandably but mistakenly, required trial courts to grant presentence motions to withdraw guilty pleas based upon defendants' bare assertions of innocence. As noted above, Carrasquillo held that, when a defendant files a presentence motion to withdraw a guilty plea based upon a claim of innocence, the "innocence claim must be at least plausible to demonstrate, in and of itself, a fair and just reason for presentence withdrawal of a plea." Carrasquillo ,
Thus, the Carrasquillo Court clearly established that trial courts have the discretion to assess the plausibility of claims of innocence. Consistent with the well-established standards governing trial court discretion, it is important that appellate courts honor trial courts' discretion in these matters, as trial courts are in the unique position to assess the credibility of claims of innocence and measure, under the circumstances, whether defendants have made sincere and colorable claims that permitting withdrawal of their pleas would promote fairness and justice.
To be clear, when a trial court is faced with a presentence motion to withdraw a guilty plea, the court's discretion is not unfettered. As this Court has often explained, "[t]he term 'discretion' imports the exercise of judgment, wisdom and skill so as to reach a dispassionate conclusion, within the framework of the law, and is not exercised for the purpose of giving effect to the will of the judge." Commonwealth v. Widmer ,
Turning to the circumstances of this case, in support of his presentence motion to withdraw his plea of nolo contendere , Appellant asserted in the trial court that: (1) he is innocent; (2) he cannot live with himself for taking a plea; and (3) he wants to test the Commonwealth's evidence at trial. Simply put, the last two assertions add nothing to the first. Appellant's contention that he could not live with himself for entering his plea is self-serving makeweight and does not add any substantive support to the plausibility of his claim of innocence. Appellant's desire to test the Commonwealth's evidence at trial is equally non-substantive. Generally speaking, trials are always proceedings in which the parties test each other's evidence, and Appellant's belated wish for a trial fails to bolster his claim of innocence, particularly in light of the fact that any vulnerability in the Commonwealth's evidence, specifically Victim's testimony, was well known to Appellant prior to him entering his plea. In other words, for all intents and purposes, the reality is that Appellant solely asserted *122his innocence in an attempt to withdraw his plea presentence.
The trial court was intimately familiar with this case, having observed Appellant throughout the various trial court proceedings. Additionally, the court demonstrated a studied understanding of the law in this area. For example, the trial court appropriately assessed the plausibility of Appellant's contentions supporting withdrawal of his plea when it considered the timing and entry of the nolo contendere plea, which occurred in chambers while a prospective jury pool waited in the courtroom. The trial court also properly factored into its exercise of discretion Appellant's knowledge of his available defenses when he pleaded and then inexplicably waited four months to file his motion to withdraw his plea.
After the trial court assessed the nature of the claim Appellant offered in support of his motion to withdraw his plea, the court reasonably determined that, like the defendant in Hvizda , Appellant simply was presenting a bare assertion of innocence. Consequently, the court denied his presentence motion to withdraw his guilty plea. As the Superior Court determined, the clear standard articulated in Carrasquillo establishes that the trial court acted within its discretion when it denied Appellant's motion on the basis that his bare assertion of innocence was not, in and of itself, a sufficient reason to require the court to grant Appellant's presentence motion to withdraw his nolo contendere plea. See Hvizda ,
For these reasons, we hold that the Superior Court correctly determined that the trial court did not abuse its discretion by denying Appellant's motion to withdraw his plea.
Chief Justice Saylor and Justices Todd, Dougherty and Mundy join the opinion.
Chief Justice Saylor files a concurring opinion in which Justices Todd and Dougherty join.
Justice Donohue files a dissenting opinion in which Justice Wecht joins.
"Nolo contendere " is a Latin phrase which means, "I do not wish to contend[.]" Nolo Contendere Definition, Black's Law Dictionary (10th ed. 2014), available at Westlaw. When a defendant enters a plea of nolo contendere , he technically does not admit guilt. See
Appellant attached this statement to his omnibus pretrial motion. The statement is dated March 1, 1996, and appears to have been given to New York investigators.
Regarding the application of these principles to the circumstances in Carrasquillo , Carrasquillo pleaded guilty to several sexual offenses. At Carrasquillo's plea colloquy, the Commonwealth proffered evidence, including his inculpatory statements to police and DNA evidence linking him to the crimes. Carrasquillo ,
Upon further appeal to this Court, we clarified the law in this area, as discussed supra , and applied that law to Carrasquillo's circumstances. The Court concluded that the trial court acted within its discretion by denying Carrasquillo's presentence motion to withdraw his guilty plea because Carrasquillo's claim of innocence was implausible in light of, inter alia , the bizarre nature of his statements during his plea colloquy and the strength of the Commonwealth's case against him. Id. at 1291-93.
As to Hvizda , Hvizda pleaded guilty to first-degree murder and possession of an instrument of crime.
The trial court did not explain why it noted this fact, though it appears to have been aimed simply at giving a full timeline of the events that led up to Appellant filing his motion to withdraw his nolo contendere plea.
The trial court apparently held a hearing on Appellant's motion for reconsideration, but there is no transcript of that hearing in the certified record.
Stated succinctly, "the standard for post-sentence withdrawal is a stringent one, requiring the defendant to establish manifest injustice." Hvizda ,
The Dissent expresses concern that we are: (1) creating a per se rule that "it is not a fair and just reason to withdraw a plea where the withdrawal is based on a factually supported argument that the Commonwealth does not have sufficient evidence to convict[,]" Dissenting Opinion at 123; (2) suggesting that, as a matter of law, "if facts are discovered post-plea, a motion to withdraw may be viewed more favorably[,]" id. at 124; and (3) somehow "imbuing trial courts with unfettered discretion in granting or denying motions to withdraw[,]" id. at 124; see id. at 125 (asserting that "the Majority's opinion is so amorphous in its statement of the law that it can be read to say that a trial court, having the opportunity to observe the defendant, can, in its discretion, convert any reason for withdrawal into a 'bare assertion of innocence' and deny the motion").
Respectfully, we are not creating any per se rules regarding what constitutes a fair and just reason to withdraw a guilty plea presentence. To the contrary, we believe that this opinion makes clear that trial courts must decide on a case-by-case basis whether a defendant, moving to withdraw a guilty plea presentence, has presented a fair and just reason to support such a motion. Indeed, one of Carrasquillo 's lessons is that trial courts should not deny or grant presentence motions to withdraw guilty pleas based upon any particular factor, such as a defendant's bare assertion of innocence or, as the dissent seems to suggest, a desire to pursue a standard defense strategy seeking to discredit the Commonwealth's evidence. Rather, when ruling on a presentence motion to withdraw a guilty plea, a court should carefully exercise its discretion in accordance with the law. While we believe that this opinion adequately explains the concept of trial court discretion in this context, supra at 120-22, we are confident that trial courts are well-aware of the boundaries of their discretion, as myriad of their rulings turn on the exercise of this time-honored legal standard. If, through the proper exercise of this discretion, a trial court concludes that a defendant merely has made an assertion of innocence in support his motion to withdraw his plea, then the court has the authority to deny the motion. Carrasquillo , supra .