State v. Samul
State v. Samul
Opinion
¶1 Theodore James Samul pled guilty to attempted aggravated sexual assault and kidnapping, and was sentenced to consecutive prison sentences. He appeals those sentences, raising two general issues for our review. First, Samul argues that the terms of the plea agreement called for concurrent sentences, and that the State breached that agreement when the prosecutor failed to affirmatively argue for concurrent sentences. Samul asserts that his attorney rendered ineffective assistance, and that the district court committed plain error, by failing to require the State to abide by the plea agreement. Second, Samul asserts that the district court plainly erred by imposing consecutive (rather than concurrent) sentences without adequately considering his history, character, and rehabilitative needs. We affirm Samul's sentences.
BACKGROUND
¶2 In December 2002, Samul was charged with aggravated sexual assault and aggravated kidnapping, both first degree felonies, in connection with an incident in which his sister accused him of raping her while driving her home from a family party. A few months later, Samul pled guilty to attempting to commit both offenses, admitting that he "seized [the victim] against her will with the intent to attempt to rape her." No recording of the change of plea hearing at which Samul pled guilty has been preserved, but the details of Samul's guilty plea were set forth on a written plea agreement form. In a section entitled "Plea bargain," that agreement states that "[a]ll the promises, duties, and provisions of the plea bargain ... are fully contained in this statement, including those explained below," and states that Samul will plead to amended charges. Immediately beneath that statement, the form contains two handwritten words: "CONCURRENT SENTENCES."
¶3 After accepting Samul's plea, the district court scheduled a sentencing hearing to be held nearly two months later. In the meantime, Adult Probation and Parole (AP&P) prepared a presentence report. In that report, AP&P noted several mitigating factors that worked in Samul's favor, including that he had a fiancé and a child, that he had a history of drug and alcohol problems for which he had sought treatment, that he was gainfully employed, and that he expressed contrition and accepted full responsibility for his actions. The pre-sentence report also noted several aggravating factors, however, including that Samul's actions in this case were particularly egregious and harmful, that he continued to use drugs and alcohol despite access to treatment options, and that in AP&P's estimation he posed a continuing "danger to the community." AP&P thus recommended that Samul be sentenced to two prison terms of three-years-to-life, to run consecutively.
¶4 At the sentencing hearing, the court first noted that it had reviewed the pre-sentence report. Samul's attorney then addressed the court and emphasized Samul's supportive family and "strong employment record," as well as the fact that his troubles appeared to be related to drug and alcohol use. Counsel did not explicitly argue for a sentence other than prison, but implied that Samul would be amenable to treatment, and argued that, "if the Court is inclined" to impose prison sentences, the sentences should be imposed concurrently, asserting that AP&P's recommendation for consecutive sentences was "not appropriate."
¶5 The prosecutor then addressed the court, and argued that "prison is the absolute appropriate sentence in this case. It's the wish of the victim. I believe that [prison] is really the only appropriate response to what happened here, and I do encourage the Court to follow the pre-sentence report recommendation." In her next sentence, the prosecutor stated that, "[a]s part of the plea bargain, I agree to not speak to the issue of consecutive and concurrent, but I will leave that to the court's decision." Samul's attorney did not express any concern with the prosecutor's statements during the sentencing hearing.
¶6 At the conclusion of the sentencing hearing, the district court told Samul his offense was "disturbing in a number of different ways," and noted that the violence Samul inflicted on his sister was "extreme." The court then indicated that it would "keep you in prison as long as I possibly can because I think it's the only safe way to sentence you for your victim and for the community at large." Accordingly, the court sentenced Samul to consecutive prison terms.
¶7 Samul did not initially appeal his sentence. Nine years later, in 2012, Samul filed a pro se motion seeking to correct alleged errors in his sentence. Samul's motion included a claim that his right to file a direct appeal should be reinstated, pursuant to
Manning v. State
,
ISSUES, STANDARDS OF REVIEW, AND PRESERVATION
¶8 Samul raises two general issues for our review. First, Samul contends that the State was obligated, under the terms of the plea agreement, to affirmatively argue for concurrent sentences at the sentencing hearing, and that the State breached the plea agreement by failing to do so. Second, Samul contends that the district court erred by imposing consecutive (rather than concurrent) sentences without adequately considering his history, character, and rehabilitative needs. 1
¶9 Samul acknowledges that he did not alert the district court that the State had allegedly breached the plea agreement, and therefore concedes that he failed to preserve his first issue. "When a party fails to raise and argue an issue in the trial court, it has failed to preserve the issue, and an appellate court will not typically reach that issue absent a valid exception to preservation."
State v. Johnson
,
¶10 Samul contends that the district court plainly erred by failing to require the State to affirmatively argue for concurrent sentences. To prevail on such a claim, Samul must show that: "(i) an error exists; (ii) the error should have been obvious to the trial court; and (iii) ... absent the error, there is a reasonable likelihood of a more favorable outcome for [Samul]."
State v. Bedell
,
¶11 Samul also contends that his attorney was constitutionally ineffective in failing to object to the State's characterization of the plea agreement at the sentencing hearing. "When a claim of ineffective assistance of counsel is raised for the first time on appeal, there is no lower court ruling to review and we must decide whether the defendant was deprived of the effective assistance of counsel as a matter of law."
Layton City v. Carr
,
¶12 With regard to the second issue-whether the district court erred by imposing consecutive sentences-Samul asserts that he preserved the issue, but in the alternative asks us to review the issue for plain error. We agree with the State's position that Samul failed to preserve this issue for appellate review. Samul contends that he preserved the issue by asking for concurrent sentences and presenting mitigating evidence at sentencing. However, to preserve an issue for appellate review, a defendant must first "present the issue to the trial court in such a way that the court had the opportunity to resolve it."
State v. Gailey
,
ANALYSIS
A
¶13 First, Samul argues that the State breached the plea agreement by failing to argue affirmatively for concurrent sentences, and asserts that his attorney rendered ineffective assistance, and that the district court plainly erred, by failing to require the State to abide by the terms of the plea agreement. This argument, in both of its iterations, fails because the plea agreement is ambiguous. 2
¶14 Under Samul's interpretation of the words "CONCURRENT SENTENCES," the State agreed to affirmatively argue for the imposition of concurrent rather than consecutive sentences. Under another at least equally reasonable interpretation, the State agreed to do nothing more than refrain from opposing Samul's advocacy for concurrent sentences. Samul vigorously argues that the plea agreement is unambiguous and cannot possibly encompass the second interpretation, but we are not persuaded. Plea agreements are generally interpreted using principles of contract law.
See
State v. Terrazas
,
¶15 The presence of ambiguity defeats Samul's argument that his counsel was ineffective. In order to prove that counsel was constitutionally ineffective, Samul must establish both (1) that counsel's performance was objectively deficient; and (2) that there is a reasonable probability that, but for counsel's deficient performance, Samul would have received a more favorable outcome.
Strickland v. Washington
,
¶16 Here, we can easily conceive of a reasoned basis for counsel's decision not to object to the State's remarks at sentencing: counsel may have believed that the State was accurately describing the terms of the plea agreement. Given the ambiguity of the phrase "CONCURRENT SENTENCES," it is plausible that counsel believed that the plea agreement simply secured the State's promise not to oppose Samul's argument for concurrent sentences, an interpretation that would have mirrored the State's. Samul has advanced no argument to undermine this potential explanation for counsel's actions, and therefore has fallen short of overcoming the strong presumption that counsel rendered adequate assistance and exercised reasonable professional judgment. Accordingly, Samul has not demonstrated that counsel was constitutionally ineffective for failing to object to the State's remarks at sentencing.
¶17 The presence of ambiguity likewise defeats Samul's argument that the district court committed plain error. While Samul is certainly correct that district courts can and should take action when a prosecutorial breach of a plea agreement is brought to its attention,
see
State v. Smit
,
¶18 This conclusion is bolstered by
State v. Gray
,
¶19 In this case, as in Gray , it is far from clear-in the context of the entire hearing-that the State breached the plea agreement during its sentencing argument. Likewise, as in Gray , defense counsel's inaction following the State's remarks strongly suggests that he "saw no error in the prosecutor's presentation worthy of correction," and strongly indicates that any breach would not have been obvious to the district court even had one occurred. Accordingly, the district court did not plainly err when it did not take issue with the prosecutor's remarks at the sentencing hearing. 4
B
¶20 Second, Samul argues that the district court erred by sentencing him without adequately considering his history, character, and rehabilitative needs. As noted above, due to Samul's failure to raise this issue below, we review it here for plain error, and we conclude that Samul has fallen well short of demonstrating that the district court plainly erred.
¶21 Under Utah law, sentencing courts considering whether to impose concurrent or consecutive prison sentences are required to consider "the gravity and circumstances of the offenses, the number of victims, and the history, character, and rehabilitative needs of the defendant."
See
¶22 On this record, Samul fails to persuasively rebut this presumption. Here, Samul argues that the district court did not take various mitigating factors into account during his sentencing, including that Samul's adult criminal history was not extensive, that Samul was remorseful and accepted responsibility for his crime, that Samul had struggled with drug and alcohol abuse and had previously voluntarily attended treatment programs, and that Samul had a good employment record and strong family connections. However, these mitigating factors were noted in AP&P's pre-sentence report, and the district court stated at the beginning of the sentencing hearing that it had reviewed that report. In addition, as Samul acknowledges, the district court was further made aware of these mitigating factors during the sentencing hearing, when Samul's counsel discussed them at some length.
¶23 Under these circumstances, Samul has failed to rebut the presumption that the district court considered the gravity and circumstance of Samul's offenses, the number of victims, and Samul's history, character, and rehabilitative needs. All of these issues were covered in the pre-sentence report, which the district court reviewed, and most of these factors were expressly discussed at the hearing.
See
State v. Monzon
,
CONCLUSION
¶24 Samul has not established that the district court plainly erred, or that his attorney rendered ineffective assistance, when they did not challenge the prosecutor's remarks at Samul's sentencing hearing. Samul has also failed to establish that the district court did not adequately consider his history, character, and rehabilitative needs, and Samul therefore falls short of demonstrating that the district court plainly erred by imposing consecutive (rather than concurrent) sentences. Accordingly, we affirm Samul's sentences.
In his brief, Samul also asked for alternative relief in the form of a remand to "reconstruct the record" regarding Samul's change of plea hearing. However, Samul's appellate counsel appeared to abandon this position at oral argument. Moreover, and in any event, we are not persuaded by Samul's request for a remand, because the only way such a reconstruction could benefit Samul is if Samul's previous attorney were able to testify that his recollection of the terms of the plea bargain in this case differs from the State's position, and that the State actually did agree to affirmatively argue for concurrent sentences. We know, however, that Samul's attorney cannot so testify, because Samul's attorney has already testified in this case that, not only does he not remember the precise terms of the fifteen-year-old plea bargain, he has "no independent recollection" of the case at all, and has destroyed his files pertinent to this case. Under these circumstances, a remand to reconstruct the record would be futile even if Samul had not abandoned his request.
We acknowledge that principles of plea agreement interpretation generally favor the defendant, and that "courts may in certain circumstances hold the government to a higher standard than the defendant."
See
State v. Patience
,
Samul also argues that the prosecutor breached the plea agreement by encouraging the district court "to follow the presentence report recommendation." We disagree with this characterization. The prosecutor's statement was referring to that part of the report that recommended that Samul be sentenced to prison rather than jail and probation. This was made clear by the prosecutor's next statement that, "[a]s part of the plea bargain, I agree to not speak to the issue of consecutive and concurrent." Considered in the "context of the entire hearing,"
see
State v. Gray
,
In his brief, Samul tries to evade this conclusion by citing to
State v. King
,
Samul argues that three cases-
State v. Galli
,
Reference
- Full Case Name
- STATE of Utah, Appellee, v. Theodore James SAMUL, Appellant.
- Cited By
- 4 cases
- Status
- Published