Commonwealth v. Gomez
Commonwealth v. Gomez
Opinion
**240
In response to a reported question from a Superior Court judge, we decide whether a defendant may enter a guilty plea expressly conditioned on his or her right to appeal from the denial of a motion to suppress evidence, otherwise known as a conditional guilty plea. Although Mass. R. Crim. P. 12, as appearing in
1. Background . a. Factual summary . After a hearing on the defendant's motion to suppress, the motion judge found the following facts. On October 6, 2014, a Framingham police sergeant and detective stopped for dinner at a restaurant in Framingham. Inside, they saw two men who were known to them, the defendant and another man who they believed had an outstanding warrant for his arrest. They then determined that the man did not have an outstanding warrant, and left the restaurant to return to their unmarked police cruiser.
From the cruiser, the officers continued to observe the defendant as he left the restaurant and met a man later identified as Alcides Zimmerman. The defendant reached into his front right pants pocket; Zimmerman then did the same, and handed the defendant some money. The officers saw the defendant touch Zimmerman's hand two times, after which Zimmerman drove away in his motor vehicle. The officers *638 followed Zimmerman's vehicle for one mile before executing an investigatory stop. The sergeant asked Zimmerman, "Where is it?" and Zimmerman responded, "In my pocket." Zimmerman reached his hand toward his pocket, but the sergeant grabbed it and then reached his own hand into Zimmerman's pocket, retrieving a small glassine bag with a white powdery substance.
The officers arrested Zimmerman and then returned to the restaurant where they had seen the defendant. They entered the restaurant with two additional officers. The defendant was standing with another person, counting a large amount of money. As the officers approached, the defendant reached toward his waistband. The officers each grabbed one of the defendant's arms and escorted him from the restaurant. The defendant was "sweating **242 profusely and appeared to be weak in the knees." He moved and shook his body as if trying to remove something from his waist. The officers pat frisked him and found a loaded handgun. On searching him further, they found ammunition and seven glassine bags, one of which had a substance resembling heroin. The defendant was then arrested.
b. Prior proceedings . The defendant was indicted for narcotics and firearm offenses. 3 He moved to suppress the evidence seized following the search of his person. A Superior Court judge denied the motion after an evidentiary hearing; the judge reasoned that the officers had conducted a proper investigatory stop because they had reasonable suspicion that a crime was being committed, and also reasonably suspected that when they approached the defendant, he was reaching for a weapon. Prior to the scheduled trial date, the defendant "indicated he wishe[d] to plead guilty and avoid the costs of trial, provided he [were] able to secure appellate review of the ruling on the motion to suppress and to withdraw his plea if he prevail[ed] on appeal." He argued that "the outcome of the trial is a fait accompli, effectively determined by the suppression ruling." The Commonwealth was initially amenable, but ultimately would not agree to a conditional guilty plea. A second Superior Court judge stayed the trial date and reported the case to the Appeals Court in order to obtain an answer to the following question: 4
"To avoid a trial that is otherwise only required to preserve **243 appellate review of the denial of a dispositive pretrial motion, *639 may the Superior Court, with the Commonwealth's agreement or over the Commonwealth's objection, accept a defendant's guilty plea and sentence the defendant expressly conditioned on [the] defendant's rights to appeal the denial of the specific dispositive pretrial motion and to withdraw his/her plea if defendant prevails on appeal?"
We transferred the case from the Appeals Court to this court on our own motion.
2.
Discussion
.
5
Ordinarily, a guilty plea "by its terms waives all nonjurisdictional defects."
Commonwealth
v.
Cabrera
,
a. Rule 12 . Rule 12, which governs guilty pleas, is silent **244 regarding conditional guilty pleas. The rule permits a defendant to enter a guilty plea, with or without an agreement with the Commonwealth, and details the procedural requirements in each circumstance. With regard to pleas that involve an agreement with the Commonwealth, Mass. R. Crim. P. 12 (b) (5) (A) expressly permits a plea agreement conditioned on a particular sentence and charge concessions. The judge may accept or reject such a plea agreement. If the judge accepts the plea agreement and the defendant's plea, Mass. R. Crim. P. 12 (d) requires the judge to sentence the defendant according to the terms of the plea agreement. Mass. R. Crim. P. 12 (d) (4) (A). Therefore, rule 12 only explicitly recognizes pleas conditioned on dispositional terms, such as sentences and charge concessions, as outlined in Mass. R. Crim. P. 12 (b) (5) (A). 6 *640 The language of rule 12 also differs significantly from Fed. R. Crim. P. 11(a)(2), which has expressly permitted conditional guilty pleas since 1983. 7 See Advisory Committee Notes to Rule 11 (1983), Federal Criminal Code and Rules, Rules of Criminal Procedure, at 68-69 (Thomson Reuters 2018 rev. ed.). The Federal rule states: "With the consent of the court and the government, a defendant may enter a conditional plea of guilty or nolo contendere, reserving in writing the right to have an appellate court review an adverse determination of a specified pretrial motion. A defendant who prevails on appeal may then withdraw the plea." Fed. R. Crim. P. 11(a)(2).
Where rule 12 expressly differs from the comparable Fed. R. Crim. P. 11, we have declined to interpret rule 12 according to Federal standards. For example, in
Commonwealth
v.
Dean-Ganek
,
It is doubtful, then, that rule 12 can reasonably be interpreted to allow for conditional pleas, particularly because there is already an existing statute and rule that allows for a defendant to seek leave from a single justice of this court to take an interlocutory appeal from the denial of a motion to suppress. See G. L. c. 278, § 28E ; Mass. R. Civ. P. 15 (a) (2), as appearing in
b.
Other jurisdictions
. The majority of other States and the District of Columbia allow conditional pleas in some form.
8
Five
*641
of
**246
these States have enacted statutes or rules specifically exempting a motion to suppress evidence from the general rule that a defendant forfeits certain appellate rights when entering a plea of guilty or no contest.
9
As the Commonwealth notes, most States that permit conditional pleas do so by statute or rule. See
Neuhaus
v.
People
,
A handful of State courts have also recognized conditional guilty pleas "despite the absence in those jurisdictions of any authorizing court rule or statute."
State
v.
Sery
,
c.
Practical considerations
. Without the availability of a conditional guilty plea and due to the limited availability of interlocutory review, a defendant typically must proceed to trial in order to preserve his or her appellate rights, even if the defendant desires only to appeal from a particular pretrial ruling. See, e.g.,
Fanelli
,
The Commonwealth argues that there is no need for conditional guilty pleas because of the availability of stipulated evidence trials. In such proceedings, a defendant stipulates "that the Commonwealth's witnesses [will] testify in the manner asserted by the prosecutor," and thereby expedites the trial and purportedly saves resources. See
Commonwealth
v.
Garcia
,
Specifically, in a stipulated evidence trial, the trial judge should "question the defendant whether he recognizes that 1) he is entitled to confront witnesses against him; 2) the Commonwealth has the burden of proving the offense beyond a reasonable doubt; 3) he may be giving up the right not to incriminate himself; 4) he is giving up the right to cross-examine; and 5) ... he is acknowledging evidence likely to lead to a finding of guilty" (citation omitted).
Monteiro
,
Not infrequently, the parties or the judge makes mistakes during the colloquy at a stipulated evidence trial. See, e.g.,
Monteiro
,
*644
Brown
,
Even when conducted correctly, however, a stipulated evidence trial constitutes a flawed procedure. A stipulated evidence trial is confusing to the defendant and to members of the public, as it is a legal fiction rather than an actual trial. "Although there is a remote theoretical possibility that the defendant may be acquitted, the reality is that factual guilt is a foregone conclusion. After all, neither a reasonable defendant nor a prosecutor would choose to pursue a stipulated bench trial (or guilty plea) if the evidence is
**250
doubtful."
People
v.
Gonzalez
,
As a practical matter, a stipulated jury trial is available to a defendant to preserve appellate review from a denial of a motion to suppress evidence. In reality, the required colloquy turns out to be difficult to do, and even if the colloquy is sufficient, it does not necessarily provide a realistic alternative to a conditional plea. For example, for a defendant, a stipulated evidence trial presents a more limited opportunity to negotiate a sentence or charge concessions. For a prosecutor, the procedure is rife with procedural pitfalls that "expose[ ] a conviction to recantation and subsequent proceedings far more onerous than the original administration of the warning."
Monteiro
,
A conditional guilty plea, on the other hand, facilitates plea bargaining. See
Gonzalez
,
The Commonwealth argues that a conditional guilty plea undermines the finality of a defendant's plea. This concern is not without merit. On the other hand, conditional guilty pleas inevitably result in more guilty pleas. A defendant who may want to agree to an offer by the Commonwealth if his or her motion to suppress is denied, but does not plead guilty because the defendant wants to first litigate that motion to suppress, would have another option -- a conditional plea -- if the Commonwealth and the court agreed to the procedure. In addition, while a conditional guilty plea "does not have the complete finality of an unconditioned plea, ... it still results in a judgment of conviction, not an interlocutory order. That judgment is as final as any conviction after trial that might be reversed on direct appeal." See
**251
Sery
,
Some courts in other jurisdictions have determined that it is inconsistent to plead
*645
guilty and yet preserve certain appellate rights. See, e.g.,
Hooten
v.
State
,
Any suggestion that the allowance of conditional guilty pleas would overwhelm the appellate courts seems unlikely. While some increase in the courts' caseload is certainly possible, the requirement that a defendant obtain the consent of the Commonwealth and the court will generally ensure that frivolous issues are not reserved for appeal. In any event, "allowing conditional pleas would undoubtedly reduce claims of ineffective assistance of counsel that frequently arise in appeals from stipulated bench trials."
Gonzalez
,
The Federal rules include certain safeguards to protect against many of the Commonwealth's concerns, namely (1) requiring the consent of the court and the government, (2) requiring that the reservation of appellate rights be made in writing at the time the plea is entered, and (3) requiring the defendant to specify at the time the plea is entered which pretrial motion he or she intends to appeal. Fed. R. Crim. P. 11(a)(2). See Note, "A Pious Fraud": The Prohibition of Conditional Guilty Pleas in Rhode Island,
Though not required by the express language of Fed. R. Crim. P. 11 (a) (2), Federal Courts of Appeals that have reached the issue have interpreted the Federal rule to require that the pretrial motion from which a defendant seeks to appeal be dispositive. See, e.g.,
United States
v.
Bundy
,
**252
United States
v.
Bentz
,
*646
We therefore exercise our superintendence powers, G. L. c. 211, § 3, in deciding that a conditional guilty plea is permissible, so long as it is entered with the consent of the Commonwealth and the court, and the defendant specifies the pretrial motion from which he or she seeks to appeal at the time the plea is entered. We ask this court's standing advisory committee to propose a rule reflecting these requirements for this court's consideration, taking into consideration other issues related to the adoption of this procedure. See
Commonwealth
v.
Hanright
,
3. Conclusion . We answer the reported question, "Yes," temporarily adopting the procedures utilized in Federal court under Fed. R. Crim. P. 11(a)(2), until Mass. R. Crim. P. 12 is amended consistent with this opinion. We ask this court's standing advisory committee on the rules of criminal procedure to propose an amendment to rule 12 accordingly. The matter is remanded to the **253 Superior Court for further proceedings consistent with this opinion.
So ordered .
We acknowledge the amicus brief submitted by the Committee for Public Counsel Services.
The defendant was charged with possession of a firearm without a license, G. L. c. 269, § 10 ( a ) ; possession of a loaded firearm, G. L. c. 269, § 10 ( n ) ; possessing ammunition without a firearms identification card, G. L. c. 269, § 10 ( h ) ; distribution of cocaine, G. L. c. 94C, § 32A ( c ) ; possession of cocaine with the intent to distribute, G. L. c. 94C, § 32A ( c ) ; and possession of heroin with the intent to distribute, G. L. c. 94C, § 32 ( a ). He also faced sentencing enhancements for being a second-time offender, G. L. c. 269, § 10 ( d ), and under the armed career criminal statute, G. L. c. 269, § 10G ( b ).
See Mass. R. Crim. P. 34, as amended,
The Commonwealth mentions in passing in its brief that the issue before us is moot, because "the Commonwealth does not agree to a guilty plea conditioned on reserving the defendant's right to appeal the denial of his motion to suppress." Our answer to the reported question in this case may render this issue moot, since we conclude that conditional guilty pleas are permissible only with the consent of the court and the Commonwealth. "However, we make an exception to the general rule against hearing moot claims in some cases because of the public interest involved and the uncertainty and confusion that exist" (citation, quotations, and alterations omitted). See
Matter of the Liquidation of Am. Mut. Liab. Ins. Co
.,
The defendant notes that Mass. R. Crim. P. 12 (b) (5) (B), as appearing in
Prior to the amendment of Fed. R. Crim. P. 11 in 1983, the Federal Courts of Appeals were divided on the permissibility of conditional guilty pleas. See
United States
v.
DePoli
,
See
Of the remaining States, fifteen do not allow conditional guilty pleas. See
State
v.
Zunino
,
See
See D.C. Super. Ct. R. Crim. P. 11(a)(2) ; Haw. R. Penal P. 11(a)(2) ; Idaho R. Crim. P. 11(a)(2) ; Mich. R. Crim. P. 6.301(C)(2); N.J. R. Crim. P. 3:9-3(f); N.M. Dist. Ct. R. Crim. P. 5-304A(2); N.D. R. Crim. P. 11(a)(2) ; Utah R. Crim. P. 11(j) ; Vt. R. Crim. P. 11(a)(2) ; W. Va. R. Crim. P. 11(a)(2) ; Wyo. R. Crim. P. 11(a)(2) ;
See
See
Ginn
v.
State
,
Georgia initially authorized conditional pleas by judicial decision but subsequently reversed the decision. See
Hooten
v.
State
,
The Commonwealth argues that a conditional guilty plea "may reduce the effectiveness of appellate review due to the lack of a full trial record, and vitiates the harmless error doctrine by forcing consideration of alleged errors which have not practically wronged the defendant." As explained above, however, the motion judge has discretion to limit the defendant's appeal to dispositive issues, and may consider the completeness of the record when making this determination.
Reference
- Full Case Name
- COMMONWEALTH v. Franke GOMEZ.
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- 15 cases
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- Published