State v. Ernest Phillips
State v. Ernest Phillips
Opinion
¶ 1. Defendant Ernest Phillips filed an interlocutory appeal of the trial court's denial of his motion to accept a plea agreement after lengthy litigation in the criminal division concerning defendant's alleged sexual contact with two minors between 2012 and 2014. He argues that the trial court accepted his proposed plea agreement and therefore could not subsequently reject it. In addition, he argues that the trial court's reasons for rejecting the proposed plea agreement are legally invalid. We granted permission for the interlocutory appeal on the following questions: (1) may a defendant waive the right to a direct appeal as a condition of a plea agreement; (2) may a defendant enter a plea to a reduced criminal charge based upon a statute that did not exist at the time of the commission of the original offense; and (3) is the trial court authorized to reject a plea agreement after accepting it. We answer the first question in the affirmative and therefore do not need to reach the second question. The third question is moot because we hold that the trial court never accepted the plea agreement. Accordingly, we remand to the trial court to reconsider whether to accept or reject the plea agreement consistent with this opinion.
¶ 2. In November 2012, the Vermont State Police investigated allegations that defendant had sexual contact with two female minors pursuant to a complaint received from a dance school where defendant worked as an instructor. The complaint alleged that defendant had engaged in sexual contact with a seventeen-year-old student and a fifteen-year-old student. The police interviewed only the first alleged victim, who denied any sexual relationship with defendant. Thereafter, the investigation became inactive.
¶ 3. In 2016, during a background check investigation, the first alleged victim admitted that she had not been truthful with the police during the initial 2012 investigation. She subsequently told the police that she had in fact had sexual contact with defendant and provided the name of the second alleged victim. Police interviewed the second alleged victim, who asserted that she had also had sexual contact with defendant during the period in question. After obtaining a warrant, police recorded a phone call between the first alleged victim and defendant. During the call, the first alleged victim asked defendant whether she should "lie to [the police] all over again." Defendant advised her to "stick with the story you had before." The State charged defendant on April 13, 2016, with four counts of sexual assault of a minor under 13 V.S.A. § 3252(c) and two counts of sexual exploitation of a minor under 13 V.S.A. § 3258(c).
¶ 4. On December 16, 2016, the charges were amended to one count of sexual assault of a minor under 13 V.S.A. § 3252(c), *1101 one count of sexual exploitation of a minor under 13 V.S.A. § 3258(c), and one count of lewd or lascivious conduct with a child under 13 V.S.A. § 2602. Nearly a year later, on October 27, 2017, the parties negotiated a plea agreement stipulating that defendant plead guilty to two counts of prohibited conduct under 13 V.S.A. § 2601a(a), in lieu of the counts under §§ 3252(c) and 3258(c), in exchange for dismissal of the third charge under 13 V.S.A. § 2602 and a recommended deferred sentence of three years, under certain probation conditions. 1 That same day, the parties informed the trial court of the proposed plea agreement during a status conference. The parties also explained in chambers that the alleged victims opposed the plea agreement. At the end of the status conference, the trial court indicated that the next hearing may be a combined change of plea and sentencing hearing and kept the notice of plea agreement, deferred sentence, and probation order. The trial court also informed the second alleged victim's attorney of the impending hearing.
¶ 5. At the ensuing hearing, the court suggested that a condition be added to the plea agreement that defendant "not engage in teaching activities with females under the age of eighteen." Defendant refused to accept this additional condition, believing that it would preclude him from teaching in any facility where women under the age of eighteen were present. The court insisted that the condition was necessary to its acceptance of the plea agreement and stated that, given defendant's reluctance, the plea agreement was not accepted. Defendant subsequently agreed to the condition upon clarification that it would only prevent him from teaching classes containing women under the age of eighteen, but not preclude him from teaching other individuals in a facility where women under the age of eighteen may otherwise be present. The State approved of the condition.
¶ 6. The court then began a colloquy with defendant under Vermont Rule of Criminal Procedure 11. 2 The trial court interrupted the colloquy to express its doubts that defendant could plead guilty under 13 V.S.A. § 2601a, given that the statute did not exist at the time of defendant's alleged wrongful conduct. 3 Defendant asserted that this would not be a *1102 problem given that his alleged conduct was proscribed by a different statute at the time. The court then suggested bypassing any potential problem by having defendant waive his right to appeal or petition for post-conviction relief, thus insulating the case from appellate review.
¶ 7. The trial court asked defendant whether defendant was agreeing to waive appeal of the ex post facto issue; defendant confirmed that he was. The trial court explained the nature of post-conviction relief and asked the defendant if he understood the implications of an appeal; defendant affirmatively confirmed his understanding of these procedures. The trial court repeatedly asked defendant if he wished to waive his right to appeal; each time, defendant responded in the affirmative. When asked by the trial court whether he "underst[ood] what that means," defendant replied, "I do." When asked by the trial court whether he was "doing that freely and voluntarily," defendant responded, "[y]es, I am."
¶ 8. After consulting with his lawyer during a recess, defendant indicated his desire to proceed with the plea agreement. The court accepted defendant's guilty pleas to both counts of prohibited conduct contained in the plea agreement and indicated that it would "enter judgments of guilty on both [counts]." The third charge was dismissed.
¶ 9. The court then heard statements from both alleged victims, read by their representatives, condemning the plea agreement and expressing a strong desire that the case go to trial. The second alleged victim's attorney indicated that neither he nor his client were part of the plea negotiations. When asked by the court to comment, the State explained that although victims have a statutory right to be heard at sentencing, "[t]hey do not have any rights to be involved in plea negotiations." The court asked defendant whether he had "any other argument as to sentencing," to which defendant's attorney replied, "[n]o, we'd just ask the Court to adopt the agreement." The court then expressed its doubts as to whether recent amendments to 13 V.S.A. § 5321 had been satisfied, which require, among other things, that prosecutors involve victims throughout the plea agreement negotiation process. The court stated that the alleged victims, despite both being represented by counsel, had not been fully involved in the process of crafting the plea agreement or proposed probation conditions, and had not otherwise been involved or consulted in the negotiation process. The court clarified that it was "not saying that it will or will not accept the plea agreement, but [it] [was] saying that ... a brief period is required to allow the prosecutor's office ... to fully consult with the victims about the proposed probation conditions." The court ended the hearing stating that the case would be resolved shortly with "either an acceptance of the plea agreement and a sentencing under the plea agreement to the deferred sentence or some other outcome ...."
¶ 10. The trial court and prosecutor signed and dated the second draft of the notice of plea agreement on November 1, 2017. 4 Defendant and his attorney both signed and dated the agreement on November 9, 2017. All parties, including the trial court, signed and dated the deferred sentence and probation order form on November 9, 2017.
*1103 ¶ 11. A week later, on November 16, 2017, defendant filed a motion to accept the plea agreement. Nearly a month later, on December 8, 2017, defendant filed a motion to enforce the plea agreement. The trial court denied both motions, instead issuing an order rejecting the plea agreement and expressing doubt that a defendant could either waive the right to appeal or plead guilty under a statute that did not exist at the time of the alleged criminal conduct. Defendant subsequently filed a motion in the trial court seeking interlocutory appeal on three grounds: (1) the trial court accepted the plea agreement and could not thereafter reject it; (2) the trial court erred in determining that a defendant cannot waive the right to appeal as a condition of entering into a plea agreement; and (3) the trial court erred in determining that a defendant may not plead guilty under a statute that did not exist at the time of the alleged offense. The trial court issued an order granting interlocutory appeal on the latter two issues. On the first issue, the trial court denied the request for interlocutory appeal, finding that it had "made it clear under Rule 11 that it was uncertain about and reserving on the acceptance of the plea agreement." This Court granted interlocutory appeal on all three issues identified by defendant.
¶ 12. Defendant now raises three arguments: (1) the trial court's grounds for rejecting the plea agreement were legally incorrect; (2) the trial court accepted the plea agreement by, among other things, accepting the defendant's guilty pleas and signing the deferred sentencing order and the notice of plea agreement; and (3) the court, having accepted the plea agreement, could not rescind its acceptance by subsequent written order. The State concedes the validity of defendant's first argument. But because the issues implicated in this argument are likely to arise again, we nonetheless briefly address it.
¶ 13. The trial court's rejection of the proposed plea agreement rested on two grounds: first, that defendant could not waive his general right to appeal as a condition of the plea agreement; and second, that defendant could not plead guilty under 13 V.S.A. § 2601a, given that the statute did not exist at the time of defendant's alleged conduct. On the former point, defendant argues that "it is universal practice in Vermont to waive the right to direct appeal following a guilty plea," and furthermore that such a waiver is explicitly authorized by our holdings in
In re Torres
,
¶ 14. Accordingly, we turn to the trial court's rejection of the plea agreement for the reason that defendant could not waive his general 5 right to appeal. 6
*1104
Our review of this question of law is de novo.
State v. Valyou
,
¶ 15. Here, the trial court personally addressed defendant, asking multiple questions, ensuring that defendant was knowingly and voluntarily waiving his rights to appeal and to pursue post-conviction relief. The trial court explained the nature of post-conviction relief and appeal proceedings and asked defendant whether he understood. Defendant responded affirmatively. The trial court asked defendant whether he wished to give up his right to pursue post-conviction relief. Defendant responded affirmatively. The trial court repeatedly asked defendant whether he wished to waive his right to appeal. Each time, defendant responded affirmatively. Finally, when asked whether he was waiving his right to appeal freely and voluntarily, defendant responded, "[y]es, I am." Defendant does not contend that his plea was not freely or voluntarily given, nor is there any contrary indication in the record.
¶ 16. This Court has consistently recognized that the U.S. Constitution's Ex Post Facto Clause prohibits the passage of laws that retroactively increase the punishment for a crime after it was committed. See, e.g.,
*1105
Wool v. Pallito
,
¶ 17. On the other hand, there is no indication that the Legislature intended § 2601a to apply retrospectively. Nor are the elements of §§ 2601 and 2601a equivalent. Compare 13 V.S.A. § 2601a (prohibiting "open and gross lewdness"), with
¶ 18. Assuming, without deciding, that the retroactive application of 13 V.S.A. § 2601a creates an ex post facto issue, we hold that such an issue may be waived under these particular circumstances. We note that courts around the nation have upheld knowing and voluntary waivers of ex post facto arguments. See, e.g.,
United States v. Riggi
,
¶ 19. Here, defendant personally agreed to waive the ex post facto argument with respect to 13 V.S.A. § 2601a at the plea hearing and now argues that there is no such issue in this case. Defendant knowingly and voluntarily agreed to a plea agreement that explicitly laid out charges under 13 V.S.A. § 2601a. See
Gilcrist
,
¶ 20. This brings us to the central issue in this case-whether the trial court accepted the parties' proposed plea agreement. Defendant argues that the trial court accepted the plea agreement by, among other things, (1) accepting and entering defendant's guilty pleas and dismissing the remaining charge, and (2) signing the notice of plea agreement and deferred sentencing order. Defendant further contends that the trial court could not subsequently revoke its acceptance of the plea agreement and is thereby bound. The State responds that the trial court did not accept the plea agreement because the procedure in V.R.Cr.P. 11(e)(3) was not satisfied, as required by V.R.Cr.P. 11(e)(2). We conclude that the trial court did not accept the plea agreement, despite the court's acceptance of defendant's pleas, dismissal of the remaining charge against defendant, and signature on the notice of plea agreement and deferred sentencing order.
¶ 21. Defendant's first argument conflates the acceptance of a guilty plea and the acceptance of a plea agreement. A plea agreement is an exchange between the parties, wherein the State and a defendant reach
an agreement that, upon the entering of a plea of guilty or [no contest] to a charged offense or to a lesser or related offense, the prosecuting attorney will move for dismissal of other charges, or will recommend or not oppose the imposition of a particular sentence, or will do both.
V.R.Cr.P. 11(e)(1). The rule expressly precludes the trial court from participating in the development of such an agreement, unless the court's participation is on the record, but does not contemplate a court's abdication of its duty "to insure the appropriateness of the correctional disposition reached by the parties and to guard against any tendency of the prosecutor to overcharge or to be excessively lenient."
State v. Hunt
,
¶ 22. Accordingly, and as defendant correctly notes, when a defendant has already entered a plea pursuant to a plea agreement and the trial court subsequently rejects or refuses to impose the sentence recommended by the plea agreement, the proper remedy is to give the defendant an opportunity to withdraw their plea. See, e.g.,
State v. Bergerson
,
¶ 23. Defendant's argument centers on the trial court's actions at the change of plea hearing, contending primarily that the trial court effectively accepted the plea agreement. We disagree. Rule 11(e)(2) sets out the procedure by which a plea agreement reached by the parties is disclosed:
If a plea agreement has been reached by the parties which contemplates entry of a plea of guilty or [no contest] in the expectation that a specific sentence will be imposed or that other charges before the court will be dismissed, the court shall require the disclosure of the agreement in open court at the time the plea is offered. In a felony case, the prosecuting attorney shall also disclose the reasons for entry into the plea agreement. Thereupon the court, before entry of the plea, may accept or reject the agreement, or defer its decision as to acceptance or rejection until there has been opportunity to consider the presentence report. The plea agreement shall not be binding upon the court nor shall it limit the court in the judgment and sentence to be imposed unless the court accepts the plea agreement under subdivision (e)(3) of this rule.
Rules 11(e)(3) and (4) set out the procedure by which a trial court either accepts, rejects, or defers its decision on a plea agreement:
If the court accepts the plea agreement, the court shall inform the defendant that it will embody in the judgment and sentence the disposition provided for in the plea agreement or a less onerous disposition.
If the court rejects the plea agreement or defers decision upon it, the court shall inform the parties of this fact, advise the defendant personally in open court that the court is or may not be bound by the plea agreement, pursuant to Rule 32(d) afford a defendant who has already pleaded the opportunity to then withdraw his plea, and advise the defendant that if he persists in his plea the disposition of the case may be less favorable to the defendant than that contemplated by the plea agreement.
The rule is straightforward-a trial court has the discretion to accept or reject a plea agreement, or to defer such acceptance or rejection. The rule accordingly sets out the mechanism by which the trial court completes its acceptance, rejection, or deferral. Defendant's argument thus essentially relies on a negative. That is, he contends that because the trial court did not explicitly decide to reject the plea agreement or explicitly defer its decision in the way required by the rule, the trial court must be bound by the plea agreement.
¶ 24. This argument undercuts the importance of the process for accepting a plea agreement in Rule 11(e)(3), which requires the court to inform a defendant that the defendant will be sentenced in accordance with the agreement or with a lesser sentence. Here, not only did the trial court not expressly notify defendant that it would accept the plea agreement, the court also made multiple statements indicating that it was deferring a decision on the plea agreement. The trial court stated that it was "not saying that it will or will not accept the plea agreement" and concluded the change of plea hearing by stating "we will reconvene in approximately one week and complete this case either with an acceptance of the plea agreement and a sentencing under the plea agreement to the deferred sentence or
some other outcome
." At no point during or prior to the hearing did the trial court inform defendant, either explicitly or implicitly, that "it will embody in the judgment and sentence the disposition provided for in the plea agreement or
*1108
a less onerous disposition." V.R.Cr.P. 11(e)(3) ;
State v. Delisle
,
¶ 25. Rather, the record here suggests that the court was deferring its decision on the plea agreement. We note, however, that the court's failure to expressly tell defendant that it was deferring its decision on the plea agreement, as contemplated in Rule 11(e)(4), does not require that we hold the court accepted the plea agreement. Such a result would be contrary to the express provisions of Rule 11(e)(2) and (3) and our caselaw.
¶ 26.
Delisle
and
State v. Hendricks
, both of which presented essentially the same issue as that raised by defendant in this case, control here. The
Delisle
defendant argued that "the trial court accepted, and thus was bound by, the terms of a plea agreement reached by the parties."
Delisle
,
¶ 27. Likewise, in
State v. Hendricks
the defendant argued that the trial court impliedly accepted the plea agreement by stating that the sentence in the agreement was "the worst that could happen to [him] at the sentencing hearing."
¶ 28. Defendant argues that two primary factors distinguish this case from
Delisle
. First, unlike in
Delisle
, the trial court in this case did not inform defendant that he could withdraw his guilty pleas. Second, the trial court here went further than in
Delisle
, by considering the addition of a probation condition that defendant not work directly with females under the age of eighteen. In
Delisle
we noted that "[w]hile we encourage the courts to follow subsection 11(e)(4) to the letter, we cannot conclude in this instance that the court accepted the agreement."
[B]ecause the Vermont rule states that the court is not bound by a plea agreement unless it informs the defendant that the strictest judgment and sentence it will impose is the one provided in the agreement, we reject defendant's argument that an acceptance must be presumed unless the court explicitly rejects the agreement or defers its decision. We recognize that the court did not defer its decision in the exact terms provided in subsection 11(e)(4), but the court suggested that it had not yet decided whether to accept the agreement, and it informed defendant that he could still withdraw his plea.
¶ 29. We also do not find significant the factual distinctions between this case and
Hendricks
, which defendant argues requires a different result. There, the trial court indicated its deferral of consideration of the plea agreement before entering the defendant's pleas.
Hendricks
,
¶ 30. Defendant is correct in arguing that Delisle and Hendricks stand for the proposition that the acceptance of a plea agreement is based on an analysis of the totality of the circumstances. The relevant question to the acceptance of the plea agreement is whether the totality of the circumstances show that the trial court has accepted the plea agreement and the consequent requirement "that it will embody in the judgment and sentence the disposition provided for in the plea agreement or a less onerous disposition." V.R.Cr.P. 11(e)(3). We do not hold that a trial court may never implicitly accept a plea agreement by its actions. In this case, however, a fair reading of the record indicates that the trial court deferred its decision on the plea agreement.
¶ 31. We likewise do not find defendant's reliance on
State v. Lumbus
, a decision of the Ohio Court of Appeals, persuasive.
¶ 32. Finally, defendant contends that the fact the judge signed the deferred sentencing order in this case means that the court accepted the deferred sentencing agreement. Defendant introduces the following analogy: a criminal case is final when a sentence is imposed, and a court cannot revoke a guilty plea after imposing a sentence, and thus, because a deferred sentence is never actually imposed, a court could theoretically revoke a guilty plea and its accompanying deferred sentencing order at any time during the deferred sentence. But here again, a "plea agreement shall not be binding upon the court," unless the court "inform[s] the defendant that it will embody in the judgment and sentence the disposition provided for in the plea agreement or a less onerous" one. V.R.Cr.P. 11(e)(2)-(3). Contrary to defendant's argument, it would not serve the purposes of Rule 11(e) to hold that a plea agreement is categorically accepted by a court's signature on a form. Rule 11(e)(2) and (3) provide a method by which a trial court may accept a plea agreement, and further state that an agreement will not be binding on the court unless the method is followed. Although a trial court's signature on an agreement is strong evidence of its acceptance, it is not a dispositive factor. 10 We recognize the uncertainty caused by the trial court's failure to follow Rule 11 to the letter, as well as its signatures on the undocketed notice of plea agreement and deferred sentencing order forms. 11 Criminal defendants have a strong interest in knowing for certain where they stand. However, the rule itself plainly sets forth a standard at which point a plea agreement becomes binding upon the court.
¶ 33. Our decision here does not rely on a hyper-technical reading of Rule 11(e)(2) and (3). Whether the trial court uses the precise language of Rule 11(e)(3) is not the important question, although precision on the part of trial courts is encouraged. See, e.g.,
State v. Ploof
,
¶ 34. Because we conclude that the plea agreement was not accepted, we need not consider whether the trial court could revoke the agreement after acceptance.
We answer the first question certified in this interlocutory appeal in the affirmative and do not reach the second question. We find that the third question is moot because the court did not accept the plea agreement and remand for the trial court to reconsider whether to accept or reject the plea agreement and to conduct further proceedings consistent with this opinion.
The plea agreement contained "standard" probation conditions A, B, F, G, and J, requiring that defendant: (1) notify his probation officer within forty-eight hours if arrested or cited for a new offense; (2) not be convicted of a new offense; (3) notify his probation officer within two days of any change in address; and (4) allow a probation officer to visit him where he was living.
V.R.Cr.P. 11(c) requires, among other things, that a court, prior to accepting a plea of guilty or no contest, address the defendant in open court and inform the defendant of and determine that the defendant understands: the nature of the charges to which the plea is offered; the mandatory minimum and maximum penalties provided for the offense to which the plea is offered; that the defendant has the right to plead not guilty; that if the defendant's guilty plea is accepted there will be no further trial or the rights associated with a trial, such as the privilege against self-incrimination; that, if there is a plea agreement that has not been accepted pursuant to V.R.Cr.P. (11)(e)(3), the court is not limited in the sentence it may impose by such agreement; and the collateral consequences of a conviction. V.R.Cr.P. 11(d) also requires that the court not accept a plea of guilty or nolo contendere without first determining, by addressing the defendant personally in open court, that the plea is voluntary and not the result of force or threats or of promises apart from a plea agreement.
Section 2601a became effective in 2017. See 2017, No. 44, § 1. Thus, this statute did not exist when defendant's alleged conduct occurred.
This draft of the plea agreement was not created until November 9, 2017. Thus, the date added by the trial court was incorrect. As this error has no effect on our decision here, we do not address it further.
The record in this case, as well as the trial court's decision, is somewhat unclear regarding whether defendant was waiving all rights to appellate review or waiving only his right to appeal on grounds that the charges against him raised an ex post facto issue. Thus, we address these two issues separately.
Although our review of questions of law is de novo, and thus without deference to the trial court, we note that the trial court cited both
State v. Buck
,
This is not a blanket rule. We have recognized that the "knowing and voluntary" requirement necessarily compels a number of limited exceptions to the general rule that a defendant can waive virtually any nonjurisdictional right. See
Torres
,
We stress that our holding here is confined to the particular facts in this case. Therefore, we do not hold that ex post facto issues are categorically waived by the knowing and voluntary waiver of nonjurisdictional issues. For a related discussion of the waiver of the right to appeal constitutional violations, see
Class v. United States
, --- U.S. ----, ----,
This phrase in Rule 11(e)(2) appears to suggest that a trial court may defer decision on acceptance or rejection of the plea agreement only to consider the presentencing investigation report. In practice, however, there are many legitimate reasons why a trial court may defer a decision on whether to accept a plea agreement, even in cases where there is no presentence investigation report.
We need not determine the effect of a signed order that has not been docketed due to a clerical error because in this case the record is clear that the court did not intend to enter an order accepting the plea agreement but intended to defer its decision on taking the plea agreement.
While it may be the practice in some counties for the judge who presides over a change of plea hearing to sign the plea agreement and other related documents, in order to memorialize the taking of the plea(s), especially when sentencing will happen at a later date, this practice complicates the very issues presented in this case. These documents should not be signed until the agreement and proposed sentence have been accepted by the court, so it remains clear when that important decision has actually been made.
Reference
- Full Case Name
- STATE of Vermont v. Ernest PHILLIPS
- Cited By
- 2 cases
- Status
- Published