Com. v. Garcia, F.

J-A26021-21
2022 PA Super 63COMMONWEALTH OF PENNSYLVANIA IN THE SUPERIOR COURT
OF PENNSYLVANIA
Appellee
v.
FREDDIE SALVATOR GARCIA
Appellant No. 2140 EDA 2020
Appeal from the Judgment of Sentence Entered October 19, 2020
In the Court of Common Pleas of Northampton County
Criminal Division at No: CP-48-CR-0003036-2019
BEFORE: BOWES, J., STABILE, J., and McCAFFERY, J.
OPINION BY STABILE, J.: FILED APRIL 12, 2022
Appellant, Freddie Salvator Garcia, appeals from the October 19, 2020
judgment of sentence imposing four to eight years of incarceration followed
by two years of probation for sexual assault, 18 Pa.C.S.A. § 3124.1. We
vacate and remand.
The guilty plea transcript reflects the following:
[O]n August 2, 2019, the Easton Police were dispatched to
[…] Easton for a report of a sexual assault in progress. Upon
arrival they met with the victim, [A.V.] who stated that her ex-
boyfriend, [Appellant], had climbed the exterior of her apartment
building onto her deck and entered the residence through a sliding
glass patio door without her consent. Once inside, he proceeded
to force forced her to engage in sexual intercourse without her
consent. She did have an active [Protection From Abuse order ]
against [Appellant] at that time.
When the police arrived, they did locate [Appellant] who was
hiding in the bushes outside of the apartment building. The victim
made an immediate, prompt report, was taken to the hospital
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where she underwent a sexual assault examination kit that was
sent out to the Pennsylvania State Police Crime Lab to be
analyzed. [Appellant’s] DNA did come back as being seminal
material found on the victim’s vaginal swab, and [Appellant’s]
DNA was also found under the victim’s fingernails because she had
told police she tried to defend herself while the assault was going
on.
N.T. Guilty Plea, 3/4/20, at 11-12 (record citations omitted).
The parties negotiated the sentence set forth above in exchange for
Appellant’s plea, but sentencing was deferred pending the outcome of a
hearing to determine whether Appellant was a Sexually Violent Predator
(“SVP”). The Commonwealth withdrew charges of aggravated indecent
assault (18 Pa.C.S.A. § 3125(a)(1)) and indecent exposure (18 Pa.C.S.A.
§ 3127(a)).
On April 22, 2020, prior to sentencing, Appellant filed a motion to
withdraw his plea in which he asserted his innocence. Motion to Withdraw
Guilty Plea, 4/22/20, at ¶ 19, 20. The Commonwealth opposed the motion,
arguing that Appellant offered only a bare and implausible assertion of
innocence given his incriminating statements shortly after the assault. Brief
in Opposition to Motion to Withdraw Guilty Plea. 4/30/20, at 8-10. The
Commonwealth also argued prejudice, citing the difficulty the victim
experienced in testifying at the preliminary hearing; her relief at learning of
Appellant’s guilty plea; and her devastation and anxiety at learning Appellant
wanted to withdraw his plea. Id. at 10 n.7.
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The trial court held a hearing on the motion on June 12, 2020. Appellant
did not testify, and the only evidence Appellant introduced was the transcript
of the preliminary hearing. At the preliminary hearing, the victim testified to
the facts set forth above in the Commonwealth’s recitation of facts at the
guilty plea hearing. In addition, the victim testified that she and Appellant
had an on and off relationship for about a year and a half. N.T. Preliminary
Hearing, 9/12/19, at 5. Appellant lived with the victim at the apartment from
November of 2018 through February of 2019, at which point they broke up,
though the victim said they spoke occasionally in February and March of 2019.
Id. at 14-15. After that, they had little contact until late July of 2019, when
Appellant called. Id. at 16-17. She invited him to her apartment for thirty
minutes. Id. at 18. A week later, the alleged assault happened. The victim
said Appellant was drunk during the assault. Id. at 7. The victim also testified
that, during the assault, she sent two text messages to her sister asking for
help. Id. at 10.
The trial court accepted the preliminary hearing transcript into evidence
at the June 12, 2020 plea withdrawal hearing. N.T. Plea Withdrawal Hearing,
6/12/20, at 13. Appellant rested without testifying or introducing any other
evidence. Id. at 11, 13. Defense counsel argued that, because the victim
and Appellant had been in a relationship over many years, and because the
victim permitted Appellant into her apartment a week before the assault,
Appellant had a viable consent defense. Id. at 4, 8-9. Counsel noted that
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the victim permitted Appellant in her apartment the week before the alleged
assault—and even permitted him to live with her for a while in late 2018 and
early 2019—despite having a PFA against him stemming from his alleged
sexual assault of the victim in 2017. Id. at 8-9. Counsel also claimed that
police reports from the 2019 incident, provided by the Commonwealth in
discovery, indicate that Appellant claimed the victim invited him to her
apartment that night. Id. at 18-19. Finally, counsel asserted that one of the
reasons Appellant accepted the plea deal was to avoid facing charges on the
2017 incident (the Commonwealth did not file charges in 2017 because, at
that time, the victim was reluctant). Id. at 8-9, 16.
The Commonwealth argued that Appellant made incriminating
statements to police regarding the 2019 allegations and that he had confessed
to police regarding the 2017 allegations. Id. at 15. Thus, there was no viable
claim of innocence. The Commonwealth also noted that Dr. Veronique
Valliere, the sexual assault expert who would have testified for the
Commonwealth at trial, had instead conducted Appellant’s SVP assessment
after Appellant pled guilty. Id. at 14. Her work on the SVP assessment
precluded her testimony at a subsequent trial. Id. at 14-15. No other local
experts were available to testify on behalf of the Commonwealth at trial. Id.
The trial court, noting Appellant’s failure to testify and assert his innocence,
denied Appellant’s motion at the conclusion of the June 12, 2020 hearing. Id.
at 22-26.
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On August 27, 2020, Appellant filed a second pre-sentence motion to
withdraw his plea, this time asserting newly discovered evidence. He claimed
he subpoenaed records from the Sexual Offender Assessment Board
(“SOAB”), in response to which he received police reports he had not seen any
earlier. The reports referenced the two text messages the victim allegedly
sent to her sister during the assault. The victim told police that she and her
sister obtained new phones shortly after the assault, and police never followed
up or attempted to obtain evidence of the messages in question. Motion,
8/27/20, at ¶¶ 15-20. The Commonwealth argued that Appellant was aware
of the text messages, based on the victim’s preliminary hearing testimony.
The Commonwealth also asserted that the police reports in question had been
provided earlier. Finally, the Commonwealth argued that the alleged after
discovered evidence would, at most, challenge the victim’s credibility and thus
was not a valid basis for plea withdrawal. The trial court denied the second
motion without conducting a hearing.
The following considerations govern the decision to grant or deny a
presentence motion to withdraw a plea:
(1) “there is no absolute right to withdraw a guilty plea;”
(2) “trial courts have discretion in determining whether a
withdrawal request will be granted;” (3) “such discretion is to be
administered liberally in favor of the accused;” and (4) “any
demonstration by a defendant of a fair-and-just reason will suffice
to support a grant, unless withdrawal would work substantial
prejudice to the Commonwealth.”
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Commonwealth v. Norton, 201 A.3d 112, 116 (Pa. 2019) (quoting
Commonwealth v. Carrasquillo, 115 A.3d 1284, 1292 (Pa. 2015)).1 A fair
and just reason exists where the defendant makes claim of innocence that is
at least plausible. Carrasquillo, 115 A.3d at 1292. “Stated more broadly,
‘the proper inquiry on consideration of such a withdrawal motion is whether
the accused has made some colorable demonstration, under the
circumstances, such that permitting withdrawal of the plea would promote
fairness and justice.” Norton, 201 A.3d at 120-21 (quoting Carrasquillo,
115 A.3d at 192). “[T]rial courts have discretion to assess the plausibility of
claims of innocence.” Id. at 121.2
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1 The standard for withdrawal of a post-sentence motion is much more
stringent. In that case, the defendant must demonstrate that manifest
injustice would result from denial of the motion. Commonwealth v.
Broaden, 980 A.2d 124, 129 (Pa. Super. 2009). The trial court, citing
Commonwealth v. Prendes, 97 A.3d 337 (Pa. Super. 2014), believed that
the post-sentence standard applied here because the defendant’s plea bargain
included a negotiated sentence, thus giving the defendant foreknowledge of
what his sentence would be. N.T. Hearing, 6/12/20, at 4-7, 9-10. In response
to some dispute from the parties, the trial court found that Appellant’s first
motion failed under either the pre- or post-sentence standard. Id. at 22. As
to the decision on Appellant’s second withdrawal motion, the trial court
correctly noted that Prendes was no longer good law. Prendes relied on
Commonwealth v. Lesko, 467 A.2d 307 (Pa. 1983), which our Supreme
Court overruled in Commonwealth v. Hvizda, 116 A.3d 1103, 1106 (Pa.
2015). This Court has recognized that Hvizda, by overruling Lesko, impliedly
overruled Prendes. Commonwealth v. Baez, 169 A.3d 35, 42 n.2 (Pa.
Super. 2017). The upshot of all this is that the presentence standard applies
where, as here, the parties negotiate a sentence, but the defendant moves to
withdraw the plea prior to sentencing.
2 Rule 591 of the Pennsylvania Rules of Criminal Procedure provides:
(Footnote Continued Next Page)
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We review that exercise of discretion as follows:
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. An
appellant cannot meet this burden by simply persuading an
appellate court that it may have reached a different conclusion
than that reached by the trial court; rather, to overcome this
heavy burden, the appellant must demonstrate that the trial court
actually abused its discretionary power. An abuse of discretion
will not be found based on a mere error of judgment, but rather
exists where the [trial] court has reached a conclusion which
overrides or misapplies the law, or where the judgment exercised
is manifestly unreasonable, or the result of partiality, prejudice,
bias or ill-will. Absent an abuse of that discretion, an appellate
court should not disturb a trial court’s ruling.
[…]
[I]t is important that appellate courts honor trial court’s
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 please would promote fairness and justice.”
Norton, 201 A.3d at 120, 121 (citations omitted).
The trial court’s discretion, however, is not unfettered. “[T]he term
‘discretion’ imports the exercise of judgment, wisdom and skill so as to reach
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(A) At any time before the imposition of sentence, the
court may, in its discretion, permit, upon motion of the defendant
[…] the withdrawal of a plea of guilty or nolo contendere and the
substitution of a plea of not guilty.
Pa.R.Crim.P. 591(A). The comment to Rule 591 provides, “[a]fter the attorney
for the Commonwealth has had an opportunity to respond, a request to
withdraw a plea made before sentencing should be liberally allowed.”
Pa.R.Crim.P. 591, Comment.
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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.” Id. at 121
(quoting Commonwealth v Widmer, 744 A.2d 745, 753 (Pa. 2000)). The
trial court must be mindful that the law requires trial courts to grant
presentence plea withdrawal motions liberally and make credibility
determinations supported by the record. Id. “The trial courts in exercising
their discretion must recognize that before judgment, the courts should show
solicitude for a defendant who wishes to undo a waiver of all constitutional
rights that surround the right to trial—perhaps the most devastating waiver
possible under our constitution.” Commonwealth v. Islas, 156 A.3d 1185,
1188 (Pa. Super. 2017) (quoting Commonwealth v. Elia, 83 A.3d 254, 262
(Pa. Super. 2013), appeal denied, 94 A.3d 1007 (Pa. 2014)). Finally, this
Court must not substitute its judgment for that of the trial court; rather, we
must discern whether the trial court acted within its permissible discretion.
Norton, 201 A.3d at 121.
The defendant in Norton, facing charges for indecent assault and
corruption of minors, entered a nolo contendere plea to one count of each on
the day of his jury selection. Prior to that, the defendant’s motion to exclude
prior bad acts evidence—his alleged sexual assault of his daughter many years
prior—was denied. Norton, 201 A.3d at 114-15. Four months after entering
his plea, and before sentencing, the defendant moved to withdraw it. The
defendant claimed he was innocent, could not live with himself for entering
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the guilty plea, and that he wanted to test the Commonwealth’s evidence at
trial. Id. at 115, 121. The trial court denied the defendant’s motion, and
both this Court and our Supreme Court affirmed. In essence, the defendant
put forth a bare assertion of innocence, and his claims that he could not live
with himself and that he wanted to test the Commonwealth’s evidence were
“makeweight” and “non-substantive.” Id. at 121. The Supreme Court noted
that the trial court was “intimately familiar” with the case and “demonstrated
a studied understanding of the law.” Id. at 122. Moreover, the defendant
was aware of his available defenses when he entered his plea, and he
“inexplicably” waited four months to file the withdrawal motion. Id.
Likewise, the Supreme Court in Carrasquillo concluded denial of the
plea withdrawal motion was proper where the defendant claimed in support of
the motion that he was framed by the Central Intelligence Agency.
Carrasquillo, 115 A.3d at 1287. The defendant’s statements, compared
against the Commonwealth’s strong proffer of evidence at the plea hearing,
rendered the assertion of innocence implausible. Id. at 1298. The denial of
relief in the companion case to Carrasquillo was proper where the defendant
asserted his innocence but offered no evidence. Commonwealth v. Hvizda,
116 A.3d 1103, 1104, 1107 (Pa. 2015).
In Commonwealth v. Baez, 169 A.3d 35, 38 (Pa. Super. 2017), the
defendant claimed he pled guilty to rape of a child in response to the trial
court’s threat to sentence him to sixty-five years of incarceration if convicted.
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Because the defendant made nothing other than a bald assertion of innocence
and failed to assert any possible defenses, and because the guilty plea
colloquy did not support the defendant’s assertion that his plea was the result
of the trial court’s threat, this Court found no error in the trial court’s denial
of the defendant’s withdrawal motion. Id. at 40-41. Further, the
Commonwealth would have suffered substantial prejudice, as it had already
picked a jury and presented three witnesses, including the victim. Id. at 42.
On the other hand, this Court in Commonwealth v. Islas, 156 A.3d
1185 (Pa. Super. 2017), held that the defendant’s pre-sentence plea
withdrawal motion should have been granted. The defendant, facing charges
of indecent assault of a victim less than thirteen years of age, entered a guilty
plea to one count in exchange for the Commonwealth’s agreement to nolle
pros the other two. Id. at 1187. At his subsequent plea withdrawal hearing,
the defendant testified that he did not commit the charged offenses and had
maintained his innocence to investigating officers. Id. at 1191. The
defendant also noted the absence of witnesses, the victim’s motive to
fabricate, and his lack of a criminal record. Id.
In analyzing the defendant’s argument, the Islas Court distilled four
“guideposts” from Carrasquillo:
First, the Court squarely rejected a per se approach in which
any presentence motion to withdraw a guilty plea based on a claim
of innocence must be granted. Second, nothing in Carrasquillo
suggests that the Court intended the pendulum to swing fully in
the other direction—from automatic grants to automatic denials of
pre-sentence motions to withdraw. Indeed, the Court expressly
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reaffirmed the liberal-allowance language in Forbes, which
continues to stand in sharp contrast to the “manifest injustice”
standard for post-sentence motions to withdraw. Third, the Court
directed trial courts to distinguish between “mere, bare, or non-
colorable” assertions of innocence on the one hand and those that
are “at least plausible” on the other. Fourth, as trial courts
undertake the task of making that distinction, both the timing and
the nature of the innocence claim, along with the relationship of
that claim to the strength of the government’s evidence, are
relevant. In addition, in his concurring opinion in Carrasquillo,
then-Justice Stevens added that trial courts assessing the
credibility of an accused’s assertion of innocence should also
consider any “ulterior or illicit motive” for the motion to withdraw.
Islas, 156 A.3d at 1190–91.
Analyzing the defendant’s claim, the Islas Court noted that the
defendant testified to several plausible bases for his assertion of innocence.
Id. at 1191. The Commonwealth’s case appeared to rest solely on the
testimony of the victim; there was no strong evidence to undermine the
defendant’s asserted innocence. Id. at 1191-92. The defendant sought to
withdraw his plea only one month after it was entered, and two months before
the scheduled sentencing. Id. at 1191. Finally, the defendant had no obvious
ulterior motive for withdrawing his plea. Id. Thus, the trial court erred in
denying the defendant’s motion. Id. at 1194.
Similarly, in Commonwealth v. Elia, 83 A.3d 254 (Pa. Super. 2013),
the trial court granted the defendant’s withdrawal motion. On appeal after a
jury verdict against him, the defendant argued the trial court erred in
permitting him to withdraw his guilty plea because the defendant had not
asserted a plausible claim of innocence. Significantly, for our purposes, this
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Court agreed that the defendant’s testimony did not include an unequivocal
declaration of innocence. Id. at 264. Rather, he argued that his counsel
bullied him into the plea, and that the evidence against him was not sufficient.
Id. Based on these assertions, the Elia Court found that the trial court did
not err in granting the defendant’s motion to withdraw. Id.The record in the instant case is poorly developed. Appellant, as noted
above, did not testify in support of either motion to withdraw. The trial court
commented on the absence of testimony repeatedly during the hearing on the
first motion, but counsel rested on the introduction into evidence of the
preliminary hearing transcript. The trial court declined to conduct a hearing
on the second motion.
We begin with a consideration of the first withdrawal motion. Mindful of
the policy for liberal allowance of presentence plea withdrawal, we offer the
following observations. Because counsel inexplicably chose not to put
Appellant on the witness stand at the hearing on his first motion, despite
repeated promptings from the trial court, the trial court was unable to assess
his credibility. Nonetheless, the record is not completely bereft of evidence.
Appellant argues, from the preliminary transcript, that he has a plausible
consent defense. Per the victim’s testimony at the preliminary transcript, she
permitted Appellant into to her apartment as recently as one week prior to the
alleged assault, and while she had a PFA in effect against him.
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The Commonwealth argues, under Norton, that these facts do not add
up to a plausible assertion of innocence. Here, as in Norton, Appellant was
aware of the victim’s preliminary hearing testimony well in advance of his
plea. Thus, he entered his plea well after the basis for his subsequent
withdrawal motion was readily apparent. In other respects, however, we find
Norton distinguishable. There, the defendant waited four months to withdraw
his plea, and the Norton Court characterized his claim—that he could not live
with himself for entering the plea and that he wanted to test the
Commonwealth’s evidence—as non-substantive. Instantly, Appellant’s
withdrawal motion was much more prompt, and he relies on a consensual visit
to the victim’s apartment just prior to the alleged assault, as well as a prior
relationship with the victim, in support of a consent defense. Thus, Appellant
has made more than the bare, “makeweight” assertion of innocence at issue
in Norton.
Further, as in Islas, there is no strong evidence to undermine the
plausibility of Appellant’s consent defense. The Commonwealth cites
Appellant’s contemporaneous confessions to police, but those were not a part
of the proffer at the guilty plea hearing, and the Commonwealth did not
produce them, or any other evidence, at the withdrawal hearing.3 We
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3 The Commonwealth, in its brief opposing Appellant’s first withdrawal motion,
expressed its intent to support its case in opposition with evidence at the
(Footnote Continued Next Page)
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recognize that Appellant, as movant, bore the burden of production and
persuasion, but both parties are at fault for the limited record before us.
Because Islas teaches that the strength of the Commonwealth’s case, in
relation to the nature of the defendant’s claim of innocence, is relevant to our
analysis, the Commonwealth would have done well to develop a record in
opposition to plea withdrawal, regardless of Appellant’s limited evidence.
We further observe that we are not faced with a guilty plea entered on
the eve of trial. Appellant was arrested on August 2, 2019, the day of the
offense. The preliminary hearing occurred on September 12, 2019, and the
arraignment took place on December 5, 2019. The only other proceeding was
a January 2, 2020 scheduling conference. Appellant entered his plea on March
4, 2020, before any trial date was set, and he filed his first motion to withdraw
approximately a month and a half later, on April 22, 2020.4 We discern no
reason why the timing of Appellant’s plea and subsequent withdrawal motion
pose obstacles to the granting of his withdrawal request. A withdrawal motion
one month after the plea was sufficiently timely in Islas. The instant case is
clearly distinct from Baez, for example, where the defendant sought to
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hearing, but it failed to do so. See Response to Motion to Withdraw Guilty
Plea, 4/30/20, at 8 n.4.
4 Appellate counsel asserts that she notified the prosecutor by text message
on April 1, 2020, of Appellant’s intent to withdraw. There is no evidence in
the record in support of this assertion.
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withdraw after a jury was empaneled and the Commonwealth had presented
several witnesses.
Considering the foregoing under the applicable precedent, we conclude
that Appellant proffered a timely and plausible basis for withdrawing his guilty
plea. We observe that the defendant in Elia, though he testified, failed to
make an unequivocal assertion of his innocence during his testimony. The
Elia Court nonetheless found in the defendant’s testimony other valid bases
for withdrawal of his plea. The instant record, similarly lacks an unequivocal
on-the-record assertion of Appellant’s innocence, establishes that the victim
consented to a visit from Appellant shortly before the alleged assault, and
during the pendency of a PFA against him. While this is not an especially
compelling claim in support of Appellant’s withdrawal motion, neither has the
Commonwealth created a strong record in support of the motion’s denial. The
law does not require a compelling case for the defendant’s innocence, only a
plausible one based on the available facts.
Next, we consider the Commonwealth’s assertion that Appellant’s plea
withdrawal would result in substantial prejudice. The Commonwealth asserts
that it cannot use Dr. Valliere, the sexual assault expert who would have
testified for the Commonwealth at trial, because after his plea she conducted
Appellant’s SVP assessment on behalf of the SOAB. The Commonwealth
asserts that Dr. Valliere’s work on the SVP assessment precludes her
testimony at a subsequent trial, and that she is the only local expert in her
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field. Assuming without deciding that this is true (again, the record is
lacking),5 we cannot conclude that it supports a finding of substantial
prejudice. Though the Commonwealth may be inconvenienced in this case by
the need to procure a non-local expert, mere inconvenience is not a basis for
refusing Appellant his right to a jury trial.
Further, the Commonwealth argues that Appellant’s plea withdrawal
motions have created difficulties for the Commonwealth in meeting the
Pa.R.Crim.P. 600 deadline for bringing Appellant to trial in this case. Appellant
argues that Rule 600 was suspended for much of the Covid 19 pandemic.
Regardless, the Commonwealth fails to explain how any of the delay
occasioned by Appellant’s plea and subsequent attempts to withdraw it will be
chargeable to the Commonwealth under Rule 600. And for that reason, we
fail to understand how the Commonwealth will be any worse off after our
disposition of this appeal than it was on the day before Appellant pled guilty.
We find Appellant’s Rule 600 argument unpersuasive.
In conclusion, we have determined that Appellant asserted a consent
defense that is at least plausible. We find no basis upon which to conclude
that withdrawal of Appellant’s plea will result in substantial prejudice to the
Commonwealth. And while we do not condone Appellant’s reliance on a poorly
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5 The Islas Court criticized the trial court for finding substantial prejudice
based on speculation in the Commonwealth’s brief; the Commonwealth
entered no evidence as to substantial prejudice. Islas, 156 A.3d at 1192-94.
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developed record, we conclude, mindful of the policy of liberal granting of
presentence plea withdrawal motions, that Appellant’s first motion to withdraw
his plea should have been granted. In finding otherwise, the trial court
misapplied the liberal standard applicable to presentence plea withdrawals.
Given our disposition of Appellant’s first plea withdrawal motion, we need not
consider the second.
Judgment of sentence vacated. Case remanded. Jurisdiction
relinquished.
Judgment Entered.
Joseph D. Seletyn, Esq.
Prothonotary
Date: 4/12/2022
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