State v. Nichols
State v. Nichols
Opinion of the Court
The opinion of the court was delivered by
Morgan, J. A. D. Defendant was indicted, along with co-defendants Lawrence Pierce and William DeShields, Jr. for an armed robbery (N. J. S. A. 2A:141-1 and 2A:151-5) which occurred on November 15, 1971, and a first degree murder (N. J. S. A. 2A:113-1 and 2) which occurred during the course of the robbery. Defendant’s plea of guilty to the armed robbery charge and non vult to the murder count were entered pursuant to an agreement between defendant and the State in which the State offered to recommend concurrent sentences on all charges in exchange for defendant’s pleas of guilty and non vult. The promised recommendation was made, honored by the trial judge and defendant was sentenced to concurrent terms of 10 to 12 years for robbery, 2 to 3 years for being armed in the commission of the robbery, and life imprisonment on the murdeT charge.
On direct appeal, the Appellate Division, in an unreported opinion, held that the non vult plea was to a felony murder and the lesser included offenses of robbery and armed robbery merged therein. Accordingly, the conviction for murder was affirmed. The armed robbery conviction was vacated subject, however, to leave given defendant
Pursuant to the leave afforded him, defendant did apply to the trial judge for leave to withdraw his plea of non vult to murder. He contended that all participants to the plea, judge, prosecutor and counsel, had been unaware that the armed robbery conviction would merge in the murder conviction and that, consequently, defendant could not be sentenced, as he feared, to consecutive terms of life imprisonment and a custodial term for the armed robbery charge. The maximum term which could have been imposed was life imprisonment, and had defendant been made aware of this circumstance, he would not have pleaded non vult, since he had nothing to gain by entry of the plea. The instructions of the. Appellate Division, in the event defendant made an application for withdrawal of his non vult plea, were for the trial judge to conduct a hearing to determine (1) whether the plea to murder, in conjunction with the pleas to robbery and armed robbery, was entered pursuant to a meaningful bargain with a full appreciation by defendant of the legal consequences, and (2) whether the State would be prejudiced by permitting a withdrawal of the plea to murder.
In accordance with those instructions a testimonial hearing on defendant’s application was held during which defendant and the attorney who represented him at the plea and at the negotiations preceding the plea both testified that the primary inducement to plead was defendant’s con
In its opinion on the direct appeal the Appellate Division entertained “no doubt as to his (defendant’s) guilt of all of the charges.” A review of the factual basis for the plea defendant now seeks to have vacated persuades us to agree with that conclusion. Defendant admitted to the trial judge in connection with his plea that he was at the scene of the robbery on November 15, 1971 with Lawrence Pierce and William DeShields. “We were there to commit robbery.” They had come from Salem and defendant had first become aware that Pierce had a gun after they had already arrived at the scene and about five minutes before the robbery occurred. “As we entered the store, like I stood by the door and, you know, Pierce asked him to, he wanted to buy some cold cuts, and as he was getting the cold cuts and on his way back to the counter, Pierce went around the counter * * *. And he said: This is a stickup, you know. And Mr. Andras, his back was to Pierce. And as he turned around, he (Pierce) fired.” Defendant was standing by the door as a lookout, about 10 or 15 feet from where Andras
The Appellate Division further entertained “no doubt” but that the pleas were “voluntary, intelligently and understandingly made; that defendant fully understood their consequences including the life imprisonment sentence that the court would probably impose; and that he knowingly waived his right to jury trial and was satisfied with this counsel’s preparation and representation.” Here, again, a review of the plea and colloquy preceding imposition of sentence provides irrefutable support to the conclusion that defendant was fully aware that the trial judge would “probably” impose a term of life imprisonment.
This is not a case in which a trial judge failed to advise defendant of the maximum sentence which could be imposed and defendant claims surprise at the length of the custodial sentence ultimately imposed. See State v. Smith, 109 N. J. Super. 9, 12 (App. Div. 1970), certif. den. 56 N. J. 473 (1970)
The standard governing disposition of motions to withdraw pleas of guilty or non vult following imposition of sentence is set forth in R. 3 :21-1, which provides:
A motion to withdraw a plea of guilty or non vult shall be made before sentencing, but the court may permit it to be made thereafter to correct a manifest injustice.
It is defendant who hears the “strict” burden of proving that a withdrawal of a plea of non vult and a trial of his guilt is necessary to correct a manifest injustice. The “strict” burden imposed upon a defendant is to establish Cfby a fair preponderance of the proofs, not just a doubt but a solid affirmative basis dictating the exercise of judicial discretion in his favor.” State v. Daniels, 38 N. J. 242, 250 (1962), cert. den. 374 U. S. 837, 83 S. Ct. 1885, 10 L. Ed. 2d 1057 (1963).
In exercising its discretion as to whether to vacate a plea of guilty or non vult, the trial judge is required to carefully consider and evaluate not only the submitted materials relevant to the manner in which the plea was entered but also material bearing on the “related pertinent issues,” such as guilt of defendant and prejudice to the State. State v. Tyson, 43 N. J. 411 (1964), cert. den. 380 U. S. 987, 85 S. Ct. 1359, 14 L. Ed. 2d 279 (1965); State v. Deutsch, 34 N. J. 190, 201 (1961); State v. Johnson, 131 N. J. Super. 252, 256 (App. Div. 1974). In this case defendant’s guilt of the offenses charged was so clearly established that he does not even bother to assert his innocence in this appeal. Not only did he admit his participation in open court during entry of the plea and again before sentencing, but the State had his signed confession and the confession of his codefendant clearly implicating him as a participant in the armed robbery which resulted in the murder. Defendant is, in substance, asking this court to require the State to prove his admitted guilt of the offenses, apparently in the
Such relief is, in our view, well beyond the bounds of “fairness” to which defendant can legitimately claim to be entitled, particularly in the circumstances of this case. The plea was taken on May 8, 1972 and defendant was sentenced on June 9, 1972. The application to withdraw his plea was heard and decided on March 8, 1974 and the new trial which defendant seeks would first take place toward the end of 1975, over three years after entry of the plea. Aside from the fact that witnesses’ memory of the events of November 15, 1971, the date of the robbery-murder, would be dimmed by the passage of an approzimately four-year period of time, the State no longer has any means of insuring the testimony of defendant’s self-confessed accomplice, William DeShields, who has already served his sentence and is presently released on parole. Although the State has protection against DeShields’ actual perjury, it has no way of dealing with convenient lapses of memory, on the part of one who no longer has anything to gain by testifying fully and completely as to matters which can only serve to convict his friend and former accomplice. Defendant’s in-court confession made in connection with his plea would not be evidential at the trial. State v. Boone, 66 N. J. 38 (1974). DeShields’ confession inculpating defendant would not be admissible ezeept, possibly, for neutralization (but see Evict. B. 20), the sole purpose of which is to restore the status prevailing before the witness in question testified upon the particular matters under neutralization. State v. Gallicchio, 44 N. J. 540 (1965). The only eyewitness, Andras, the victim, was dead. Hence, the only hard evidence of guilt upon which the State could safely rely at this late date, almost four years after the event, would be defendant’s uncorroborated confession. In these circumstances we conclude that the trial judge’s finding that the State would be prejudiced by a new trial so far removed from the event to
We perceive nothing unfair, or even suggesting "manifest injustice,” in requiring one who has clearly admitted his guilt to a felony murder to serve a sentence he not only knew would probably be imposed as a result of his non vult plea, but which he affirmatively bargained for. The motion to vacate the non vult plea was properly rejected.
Affirmed.
Defendant’s attorney testified that he informed the defendant that even if the plea bargain was made on the basis of a life term, he would nonetheless attempt to induce the court to impose less than a life sentence since a co-defendant had been promised a less severe sentence. This was, in fact, attempted at sentencing.
In State v. Smith, the trial judge’s denial of defendant’s motion, interposed after sentence, to withdraw his plea was affirmed despite the judge’s failure to specify the maximum sentence which could be imposed.
Dissenting Opinion
(dissenting). The issue in this case is not defendant’s guilt or innocence. Were culpability in fact the critical concern, it is difficult to conceive of a situation in which a plea of guilt might be withdrawn, attended as it is by the safeguards imposed by R. 3:9-2 and R. 3:21— 4(b).
Rather than guilt or innocence, the issue is whether an accused may be held to a plea of guilt entered by him in the performance of a plea agreement induced as a result of misinformation supplied him as to the number of charges of which he might be convicted, the maximum sentences to which he would be subject were he convicted and the benefits he might expect to receive in return for the plea. Compare State v. Thomas, 61 N. J. 314, 320 (1972).
It is undisputed that, prior to entering into the plea agreement, defendant was mistakenly informed that he was subject to conviction not only of felony-murder but of armed robbery, the underlying felony, as well — notwithstanding that the well-settled law of this State was to the contrary. State v. Mowser, 92 N. J. L. 474 (E. & A. 1919); State v. Currie, 41 N. J. 531, 536-538 (1964); State v. Fitzsimmons, 60 N. J. Super. 230 (Cty. Ct. 1960), cert. den. 364 U. S. 875, 81 S. Ct. 120, 5 L. Ed. 2d 97 (1960). He was also advised that the maximum terms of incarcera^ tion authorized to be imposed were: felony murder, life imprisonment; robbery, 15 years; being armed, 10 years.
Thus misled into believing that he faced a possible maximum sentence of life plus 25 years imprisonment, defendant undertook to plead non vult to the murder charge and guilty to the armed robbery charges in return for the undertaking of the prosecutor to recommend to the court a life sentence on the murder charge and that any sentences imposed on the armed robbery charges be made concurrent with the sentence imposed on the murder charge. Both defendant and the State performed their respective undertakings. The judge sentenced defendant to life imprisonment for the murder, and to terms of 10 to 12 years and 2 to 3 years, respectively, on the charges of robbery, while armed, the latter to be served concurrently with the sentence of life imprisonment. On appeal the convictions on the armed robbery charges were vacated; the sentence of life imprisonment for murder was affirmed.
Having negotiated a waiver of his constitutional protections in exchange for what he misconceived to be lenient treatment, defendant instead received the most stringent sentence possible. A plea agreement founded upon such a false premise is no agreement at all, however unintentional the misinformation. Consideration flowed only in one direction —• from defendant to the State. There was a complete absence of consideration moving from the State to defendant.
Whatever the disparate views as to the propriety, desirability and effectiveness of plea negotiation, the process has been approved and is in use in a number of jurisdictions, including New Jersey. In all of these jurisdictions it is recognized that scrupulous fairness both to defendant and to the State is basic to the proper administration of plea
There can be little question but that, from the perspective of an accused, the principal purpose (if not the sole end) of plea negotiation is leniency of treatment, whether by sentence concession, charge reductions or charge dismissals. The accused negotiates for concessions acceptable to him which, when agreed upon by both the government and the accused, form the inducement for his undertaking to plead guilty. Where, as here, defendant’s negotiations are predicated upon erroneous information as to the maximum sanctions that could be imposed upon conviction (25 years imprisonment in excess of the maximum actually authorized), the leniency of treatment for which he negotiated as the quid pro quo of his pleas was illusory indeed.
Had defendant been aware that a conviction on the murder charge would have barred conviction on the armed robbery charges and that, in such event, the maximum sentence of incarceration that could have been imposed was life imprisonment, he would have negotiated for some sentence less than life imprisonment in exchange for his non vult plea. Based as it was on the erroneous information supplied by counsel, the plea agreement in fact negotiated fell far short of fulfilling defendant’s reasonable expecta
Even without regard to the serious question of effective representation by counsel, the waiver by defendant of his constitutional rights to trial, to confront the witnesses against him, and to refrain from self-incrimination, effected by the entry of his ploas, hardly may he said to have been either knowing or intelligent. It was instead the product of misinformation and misunderstanding. Fairness requires that defendant he relieved of his undertaking and the stains quo be restored by permitting him to withdraw his plea. To do otherwise is to stultify the law and to make the court, prosecutor and defense counsel party to deception (albeit unintentional), unfair to defendant and unacceptable to any system of justice that is truly just. State v. Thomas, supra; Cooks v. United States, 461 F. 2d 530 (5 Cir. 1972); Moore v. State, 54 Ala. App. 463, 309 So. 2d 500 (Ala. Cr. App., 1975). See, generally, Annotation, “Court’s duty to advise or admonish accused as to consequences of plea of guilty, or to determine that he is advised thereof,” 97 A. L. R. 2d 549 (1964). Compare State v. Rhein, 117 N. J. Super. 112 (App. Div. 1971).
Under such circumstances, prejudice or lack of prejudice to the State by withdrawal of the plea is not and should not he a controlling consideration. See State v. Thomas, supra.
Be this as it may and even assuming that prejudice to the State would result from withdrawal of the plea, whatever that prejudice may be it is the product solely of the passage of time. And that lapse of time was occasioned by the delay in discovering that defendant had been misinformed as to matters critical to a knowing and intelligent decision and the delay necessarily incident to these curative proceedings — for which defendant was in no way responsible or chargeable.
Eor these reasons I would reverse the order of the Law Division and would (1) permit defendant to withdraw his plea of non vult to the murder charge, (2) reinstate the charges of robbery, while armed, (3) direct that defendant plead anew to all three charges, and (4) direct that all three charges proceed to trial expeditiously, unless earlier disposed of by plea.
In Thomas the court held the State bound by a plea agreement whereby defendant pleaded guilty to atrocious assault and battery some three months before the victim died from injuries received from the assault, which occurred during the theft of her purse — and dismissed the subsequent murder indictment notwithstanding there was no bar to the murder indictment by reason of double jeopardy and despite the circumstanc that, at the time of the plea, defendant was well aware (but the State was unaware) that the death of the victim was both likely and imminent.
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