Commonwealth v. Tirrell
Commonwealth v. Tirrell
Opinion of the Court
On May 22, 1979, the defendant pleaded guilty to indictments charging him with the malicious burning of a dwelling house, G. L. c. 266, § 1, larceny in a building, G. L. c. 266, §§ 16, 20, and breaking and entering in the nighttime with the intent to commit a felony, G. L. c. 266, § 16. The judge imposed sentence in accordance with the recommendation- of the Commonwealth. Two
Because we reverse the decision of the judge on the issue of the prosecutor’s increase of the sentence recommendation, we deal only briefly with the issue of an alleged agreement between the Commonwealth and the defendant’s accomplice. The judge held a full evidentiary hearing on Tirrell’s claim of an undisclosed arrangement for leniency by the Commonwealth for the accomplice in exchange for his testimony against the defendant. Our review of the transcript of this hearing and the Commonwealth’s responses to the defendant’s pretrial motions lead us to the conclusion that the judge’s findings of fact on this issue were supported by the evidence. See Commonwealth v. Buonopane, 9 Mass. App. Ct. 651, 654 (1980). The judge did not err in concluding that the Commonwealth had not made any promise or inducement to the defendant’s accomplice relative to the offenses with which he was charged or in connection with its assent to his motion to reduce his sentence. See
The defendant’s second contention is that on May 4, 1979, the prosecutor told defense counsel that the Commonwealth’s sentence recommendation upon the defendant’s pleas of guilty would be one that would result in his incarceration at M.C.I., Concord, for three years. This would be accomplished by recommending that the defendant be sentenced on the various indictments for an aggregate of twenty-five years. When defense counsel asked what the recommendation would be if the defendant were to proceed to trial and be found guilty, the prosecutor replied that the recommendation was a “firm” one. It would be the same if the defendant proceeded to trial or if he should plead guilty. The defendant alleges that when it became apparent to the prosecutor on May 8 that the defendant intended to go to trial, the prosecutor informed defense counsel that, if the defendant were to be found guilty, the Commonwealth’s recommendation would be that the defendant be incarcerated at M.C.I., Walpole, for a term of six to ten years. The defendant asserts that this threat of an increased recommendation resulted in his guilty pleas. He alleges that his pleas were involuntary, as they were the product of the fear instilled in him by the prosecutor’s actions.
The judge made no findings of fact on this issue. Notwithstanding the labels attached to these motions, they were implicitly motions for a new trial, see Commonwealth v. Penrose, 363 Mass. 677, 681 (1973); Commonwealth v. Huot, 380
We recite the facts as the prosecutor alleged them during arguments on the motion to vacate and the motion to reconsider. He related that the staff of the district attorney’s office had reviewed the defendant’s case at its outset and that it had been the consensus of the office that the defendant should be incarcerated in a house of correction for a minimum of four years. The prosecutor stated that in spite of this consensus, he had made “firm recommendation” of three years incarceration at Concord because he believed that “there was no way in the world that this man was going to go to trial.” His belief was based upon the facts that there were thirty-five pending charges against the defendant and that the Commonwealth had a strong case. The prosecutor explained to the judge that his original recommendation of May 4 had been based upon the fact that if the defendant were willing to plead guilty and to demonstrate a sense of rehabilitation, he (the prosecutor) would be willing to fight in his office for a lower recommendation. He gave the firm recommendation “relying in my own mind that the Defendant would plead guilty, thinking that he
Defense counsel stated in his affidavit in support of his motion to reconsider that on the morning of May 22 the defendant advised him that “he was scared to stand trial and risk a Walpole sentence,” and that the defendant pleaded “notwithstanding [counsel’s] disapproval or misgivings.” Defense counsel stated to the judge that the defendant would not listen to his advice because “he just didn’t know what was going to be
The defendant argues that the increase in the recommendation was the result of prosecutorial vindictiveness because it penalized the exercise of his right to trial and violated his right to due process of law. See North Carolina v. Pearce, 395 U.S. 711 (1969); Blackledge v. Perry, 417 U.S. 21 (1974). The Commonwealth argues that increasing the original recommendation was permissible as it was within “the ‘give-and-take’ of plea bargaining” and that the defendant was “free to accept or reject the prosecution’s offer” of May 11. See Bordenkircher v. Hayes, 434 U.S. 357, 363 (1978); Commonwealth v. LeRoy, 376 Mass. 243, 246 (1978).
North Carolina v. Pearce, supra, 395 U.S. at 724-726, holds that a harsher sentence upon reconviction following a successful appeal would violate the due process clause of the Fourteenth Amendment to the United States Constitution if it were imposed as a punishment for the successful appeal. Such judicial vindictiveness causes direct injury to the penalized defendant and impermissibly places a chill upon the exercise of the right of appeal of all convicted defendants who may refrain from exercising this right out of fear of retaliation by the sentencing judge. Due process of law, therefore, not only demands that a sentence imposed upon retrial be free of vindictiveness; it requires that all convicted defendants be free of apprehension of a retaliatory motivation on the part of a sentencing judge. To guarantee the absence of this improper motivation, Pearce requires that when a judge imposes a harsher sentence upon a defendant after his retrial, his reasons for doing so must affirmatively appear. The holding rests on the fundamental principle that a person cannot be penalized for choosing to exercise constitutional rights. Id. at 724. See also Chaffin v. Stynchcombe, 412 U.S. 17, 32-33 n.20 (1973); Bordenkircher, supra, 434 U.S. at 363. Blackledge v. Perry, supra, extended Pearce to afford protection against prosecutorial vindictiveness or its appearance by holding that reindictment for
We hold that the Pearce rule applies to the plea bargaining process, a process recognized as “mutually beneficial to both the defendant and the State.” Corbitt v. New Jersey, 439 U.S. 212, 222 (1978). See also Brady v. United States, 397 U.S. 742, 751-752 (1970); Santobello v. New York, 404 U.S. 257, 260-261 (1971); Blackledge v. Allison, 431 U.S. 63, 71 (1977) ;
We do not intimate that the Commonwealth must engage in plea bargaining with a defendant, see Commonwealth v. Coyne, 372 Mass. 599, 601 (1977), nor do we imply that the due process clause of the Fourteenth Amendment is violated when the prosecutor, at the outset of plea bargaining, sets forth harsh alternatives. See Bordenkircher, 434 U.S. at 360-364. Compare id. at 370-371 n.2. (Powell, J., dissenting). These harsh alternatives may be “actualized” when a guilty plea is withdrawn, see United States v. Gerard, 491 F.2d 1300, 1305-1306 (9th Cir. 1974), and they may be increased or withdrawn when the defendant’s conduct justifies it. Pearce, 395 U.S. at 726. We hold only that an unjustified change in the recommendation is vindictive and it
The Commonwealth’s attempt to rely upon Bordenkircher fails here. In Bordenkircher, 434 U.S. at 359-360, the Court focused upon the facts that the defendant was told by the prosecutor at the outset of the plea negotiations what his choices were and the consequences of each and that his election to go to trial “led to his indictment” on the more serious offense, just as he had been told it would. In setting out these facts, the Court invited comparison, without endorsement, of the holdings in United States ex rel. Williams v. McMann, 436 F.2d 103 (2d Cir. 1970), and United States v. Ruesga-Martinez, 534 F.2d 1367 (9th Cir. 1976). Bordenkircher, supra, 434 U.S. at 360 n.5. These cases were decided on the basis of whether there was a justified change in the prosecutor’s position in respect to the offense to be charged.
The sequence of events in the present case created “a significant possibility that [the prosecutor’s] discretion may
The prosecutor twice represented to the judge his reasons for the increased recommendation, and at each hearing he offered the same and only reason as justification for the increase: the continued actions of defense counsel in preparing for trial demonstrated to him that the defendant did not possess the rehabilitative attitude upon which he had based his original recommendation.
The Commonwealth relies upon Brady, 397 U.S. at 742, and Tollett v. Henderson, 411 U.S. 258 (1973), to argue that the defendant is precluded from relief by virtue of his guilty pleas.
The Commonwealth argues that the defendant should not be allowed to withdraw his pleas because if he elects to proceed to trial he will be immunized from receiving a harsher sentence than that imposed upon his guilty pleas by the implications of Pearce. The Commonwealth contends that this will place the defendant in a superior position because he was never guaranteed that after a trial the judge would accept the Commonwealth’s sentence recommendation. We do not agree. Unlike a hearing on the offering of guilty pleas, a trial provides a judge with far more information about the defendant and the crime charged. “Pearce was not written with a view to protecting against the mere possibility that, once the slate is wiped clean and the prosecution begins anew, a fresh sentence may be higher for some
The order denying the defendant’s motion to withdraw his pleas is reversed. The case is remanded to the Superior Court for further proceedings consistent with this opinion.
So ordered.
Although this allegation was not set out on the face of the defendant’s first motion, it was asserted and argued by defense counsel at the evidentiary hearing held on the first motion.
The Commonwealth states in its brief that the allowance of either of these motions would have “pushed the case off the sitting” and that there would have been a delay of several months.
The prosecutor, as noted, represented that he told the defendant that the three year Concord recommendation was “firm,” and the record does not reflect that the staff’s original recommendation, a minimum of four years’ incarceration in a house of correction, had ever been communicated to defense counsel or the defendant.
The increased recommendation related only to a sentence after trial, and was not tied to the defendant’s motion to suppress. When the defendant offered his pleas of guilty, the judge advised him that, if the judge could not accept the Commonwealth’s sentence recommendation, the defendant would be allowed to withdraw his guilty pleas.
In Jones the defendant pleaded not guilty to an indictment and a short time later the prosecutor secured additional indictments. The defendant sought to dismiss the subsequent indictments on the basis that additional indictments could be used to chill a defendant’s exercise of the right to plead not guilty. The motion was denied because the defendant could not show prosecutorial vindictiveness. The prosecutor knew that the defendant intended to plead not guilty before he secured even the first indictment. Further, the additional indictments were secured on the basis of evidence which the prosecutor discovered subsequent to the first indictment.
While contract principles are sometimes employed in resolution of plea bargaining issues, Santobello, supra, those principles do not override or dispose of a constitutional claim that one has been penalized for exercising his right to trial. Pearce, supra.
Brady, 397 U.S. at 751 n.8, did not view this type of conduct as a pressure inherent to the process. “We here make no reference to the situation where the prosecutor or judge, or both, deliberately employ their charging and sentencing powers to induce a particular defendant to tender a plea of guilty. In Brady’s case there is no claim that the prosecutor threatened prosecution on a charge not justified by the evidence or that the trial judge threatened Brady with a harsher sentence if convicted after trial in order to induce him to plead guilty.” See also Letters v. Commonwealth, 346 Mass. 403 (1963).
“[I]t is clear that the legitimate purposes of plea bargaining are not served if a prosecutor abuses his powers in order to coerce an unwilling defendant into foregoing his constitutional right to trial.” Hayes v. Cowan, 547 F.2d 42, 44 (6th Cir. 1976), reversed sub nom. Bordenkircher, supra. In reversing the court below, Bordenkircher, 434 U.S. at 361, the Court did not take issue with this statement; rather, it concluded that no abuse of power had occurred. “The ultimate conclusion of the Court of Appeals thus seems to have been that a prosecutor acts vindictively and in violation of due process of law whenever his charging decision is influenced by what he hopes to gain in the course of plea bargaining negotiations.” As is clear from our opinion, we attribute the different results in Hayes and Bordenkircher to the emphasis the Supreme Court placed upon the fact that the defendant was advised of his options from the outset. See also Brady, supra, 397 U.S. at 751 n.8 (see note 7, supra).
We do not mean to suggest that the prosecutor acted with personal animus to the defendant by our use of the word “vindictiveness.” As used by the Court in Pearce, supra, it is a term meaning an absence of justification. See Blackledge, v. Perry, 417 U.S. at 28; Jackson v. Walker, 585 F.2d 139, 142 n.3 (5th Cir. 1978).
The prosecutor does not allege that his perception of the defendant’s motions of May 8 as deliberately dilatory was the cause of the increased recommendation. Indeed, he specifically denies this, and we need not consider whether the filing of motions regarded by the prosecutor as dilatory could constitute justification for increasing a recommendation.
We are aware of the fact that prosecutors could seek to avoid potential Pearce problems in the plea bargaining process by offering unrealistically harsh alternatives from the outset. However, such a practice would, as a practical matter, present defendants with little choice but to proceed to trial, and it would frustrate the process to the detriment of all. As stated in Blackledge v. Allison, supra, 431 U.S. at 71: “Whatever might be the situation in an ideal world, the fact is that the guilty plea and the often concomitant plea bargain are important components of this country’s criminal justice system. Properly administered, they can benefit all concerned. The defendant avoids extended pretrial incarceration and the anxieties and uncertainties of a trial; he gains a speedy disposition of his case, the chance to acknowledge his guilt, and a prompt start in realizing whatever potential there may be for rehabilitation. Judges and prosecutors conserve vital and scarce resources. The public is protected from the risks posed by those charged with criminal offenses who are at large on bail while awaiting completion of criminal proceedings.” (footnote omitted.)
The court was not required to reach this issue in Blackledge v. Perry, 417 U.S. at 30-31, because the State was precluded by the due process clause in the first instance from requiring the defendant to answer to the felony charge to which he pleaded guilty. See also Commonwealth v. Zion, 359 Mass. 559, 563 (1971).
Dissenting Opinion
(dissenting). In Bordenkircher v. Hayes, 434 U.S. 357 (1978), the Supreme Court rejected a contention that the principle of North Carolina v. Pearce, 395 U.S. 711 (1969), should be extended into the area of plea negotiation. It drew a distinction between a defendant’s right to appeal from a conviction, which was involved in the Pearce case and in Blackledge v. Perry, 417 U.S. 21 (1974), and the defendant’s right to insist on trial, which the Supreme Court had recently (see Brady v. United States, 397 U.S. 742 [1970]) held could be burdened by the possibility of a more onerous sentence. “Whatever might be the situation in an ideal world, the fact is that the guilty plea and the often concomitant plea bargain are important components of this country’s criminal justice system.” Bordenkircher at 361-362, quoting from Blackledge v. Allison, 431 U.S. 63, 71 (1977). “While confronting a defendant with the risk of more severe punishment clearly may have a ‘discouraging effect on the defendant’s assertion of his trial rights, the imposition of those difficult choices [is] an inevitable’ — and permissible — ‘attribute of any legitimate system which tolerates and encourages the negotiation of pleas.’ Chaffin
The majority seem to treat as pivotal the fact that the prosecutor changed his position as to the sentence he would recommend if the defendant insisted on going to trial.
There is further reason that the judge’s decision should not be disturbed. The defendant’s motion, which was, in effect, a motion for a new trial, raised nothing that was not fully known to the defendant and his counsel at the time the defendant entered his guilty plea. See Smith, Criminal Practice and Procedure §§ 1087, 1088 (1970). It is well settled that a defendant “may not waive or terminate a trial by pleading guilty, sample the penalty and then elect to litigate preexisting nonjurisdictional legal questions.” Commonwealth v. Zion, 359 Mass. 559, 563 (1971). “When a criminal defendant has solemnly admitted in open court that he is in fact guilty of the offense with which he is charged, he may not thereafter raise independent claims relating to the deprivation of constitutional rights that occurred prior to the entry of the guilty plea. He may only attack the voluntary and intelligent character of the guilty
I would affirm the action of the judge in refusing to set aside the defendant’s guilty pleas.
Unless the change of position is justified by new information coming to the attention of the prosecutor after the original proposal for a sentence recommendation, the majority seem to hold that the change is prompted by “vindictiveness” as matter of law, thus fitting the case into the operative rubric of North Carolina v. Pearce and eliminating the need for an inquiry into the prosecutor’s actual motives. Doubtless a trial judge may and should permit a defendant to withdraw a guilty plea which was induced by unfair, vindictive, or unconscionable behavior by a prosecutor, but the record before us shows none of these. The prosecutor explained to the judge (this being the explanation from which the majority infer “vindictiveness” in the artificial sense in which they employ the word) that he had offered the three-year recommendation despite the consensus in his office that the defendant should be given four years of in-prison time, that his proposed recommendation was based on an erroneous surmise that the defendant has no thought of contesting his guilt and that he was genuinely conscience-stricken; that when the defendant indicated he might go to trial and filed what the prosecutor thought to be dilatory motions, the prosecutor “felt in good conscience that the original recommendation in this case was not a fair one”; that based on “the consideration of the [defendant's attitude, that given a substantial prior record, the large number of offenses still facing him, the probation violation that was still facing him, the fact that in the past he has served as many as ten months already in jail, I felt that the recommendation was really too lenient. I communicated all that information to [the defendant’s counsel] on May 11th of 1979. I have notes to that effect. I communicated that to him as soon thereafter as I felt that in my good conscience I could not stick with that recommendation, your Honor. I communicated that to him forthrightly, openly, honestly and expeditiously. That communication was made on May 11, 1979. I’d suggest that there could be no substantial reliance whatsoever on the fact of that original recommendation; that the [defendant was privy to that information for ten days prior to that time that we walked into this courtroom two days ago.”
Both the Bordenkircher case and Blackledge v. Perry involved a change in the charges returned against the defendant. In Perry a more severe charge was brought after the defendant had been found guilty of a lesser charge in a District Court and had taken an appeal to a Superior Court where he would obtain a trial de novo; it was held that North Carolina v. Pearce precluded the bringing of the more severe charges, that such action impermissibly burdened the defendant’s statutory right to appeal. In the Bordenkircher case the prosecutor told the defendant that if he did not plead guilty to the pending charge the prosecutor would cause more severe charges to be brought; the prosecutor later carried out the threat. The Court of Appeals, relying on North Carolina v. Pearce, held in a decision reasoned strikingly like the majority’s decision in the present case that “[w]hen a prosecutor obtains an indictment less severe than the facts known to him at the time might permit, he makes a discretionary determination that the interests of the state are served by not seeking more serious charges .... Accordingly, if after plea negotiations fail, he then procures an indictment charging a more serious crime, a strong inference is created that the only reason for the more serious charges is vindictiveness. Under these circumstances, the prosecutor should be required to justify his action.” Hayes v. Cowan, 547 F.2d 42, 44-45 (6th Cir. 1976), quoted in the Bordenkircher opinion, 434 U.S. at 361 n.6. The Supreme Court reversed, holding North Carolina v. Pearce and Blackledge v. Perry inapplicable. “In those cases the Court was dealing with the State’s unilateral imposition of a penalty upon a defendant who had chosen to exercise a legal right to attack his original conviction — a situation ‘very different from the give-and-take negotiation common in plea bargaining between the prosecution and defense, which arguably possess relatively equal bargaining power.” Bordenkircher at 362, quoting from Parker v. North Carolina, 397 U.S. 790, 809 (1970) (opinion of Brennan, J.). The opinion of the majority in the present case goes further in restricting the prosecutor’s discretion than did the Court of Appeals decision which was overturned in the Bordenkircher case, binding the prosecutor not only to a position formally taken by the bringing of the charge but also to a sentencing position informally taken at an early stage of plea negotiation.
Correspondingly, it must be conceded, some of those who plead guilty under the present system will, as a result of being forced to trial, be acquitted.
The Supreme Court has recognized one exception to that rule, but it is inapplicable here. That is where “ [t]he very initiation of the proceedings against [the defendant] in the Superior Court . . . operated to deny him due process of law,” Blackledge v. Perry, 417 U.S. at 30-31. In that case (see note 2, supra) the prosecutor, following the defendant’s appeal to a superior court from his misdemeanor conviction at the District Court level, secured a felony indictment based on the same facts.
Reference
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- Commonwealth vs. Herbert H. Tirrell
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