GANTS, J.
The issue in this case is whether a judge has the authority under Mass. R. Crim. P. 29 (a), 378 Mass. 899 (1979), to reduce a sentence after the defendant and the Commonwealth had entered into a plea agreement in which the Commonwealth agreed not to seek indictments against the defendant on the pending charges, the defendant had agreed to plead guilty to the charges and join the prosecutor's sentencing recommendation, and the judge had imposed the recommended sentence. We conclude that where, as here, a judge acts on his own timely motion
Background. The defendant was charged with possession of a class B substance (oxycodone) with intent to distribute, in violation of G. L. c. 94C, § 32A, and possession of a class D substance (marijuana) with intent to distribute, in violation of G. L. c. 94C, § 32C (a).
On July 26, 2010, the Commonwealth filed a petition under G. L. c. 211, § 3, asking a single justice to vacate the revised sentence and remand the case to restore the original sentence.
Discussion. The procedure for tendering a guilty plea and sentencing a defendant who has pleaded guilty is governed by Mass. R. Crim. P. 12, as appearing in 442 Mass. 1511 (2004), and G. L. c. 278, § 18.
The Commonwealth contends that, once a judge accepts the terms of an agreed recommendation in a plea agreement, the judge is bound by the terms of the agreement and may not exercise the authority under rule 29 to revise or revoke the sentence. Implicit in this argument is that rule 12 includes a procedure whereby an agreed recommendation in a plea agreement, once accepted by the judge, binds the judge and bars the judge from later revising or revoking the sentence even if the judge later determines that the sentence is unjustly severe. We conclude that nothing in rule 12 denies a judge the authority to reduce a sentence under rule 29 (a) where the judge timely determines the sentence to be unjustly severe.
"Few, perhaps no, judicial responsibilities are more difficult than sentencing. The task is usually undertaken by trial judges who seek with diligence and professionalism to take account of the human existence of the offender and the just demands of a wronged society." Graham v. Florida, 130 S.Ct. 2011, 2031 (2010). "A sentencing judge is given great discretion in determining a proper sentence." Commonwealth v. Lykus, 406 Mass. 135, 145 (1989). In exercising this discretion to determine a just sentence, a judge must weigh various, often competing, considerations, including, but not limited to, the severity of the crime, the circumstances of the crime, the role of the defendant in the crime, the need for general deterrence (deterring others from committing comparable crimes) and specific deterrence (deterring the defendant from committing future crimes), the defendant's prior criminal record, the protection of the victim, the defendant's risk of recidivism, and the extent to which a particular sentence will increase or diminish the risk of recidivism. See generally Commonwealth v. Donohue, 452 Mass. 256, 264 (2008), and cases cited. Therefore, to impose a just sentence, a judge requires not only sound judgment but also information concerning the crimes of which the defendant stands convicted, the defendant's criminal and personal history, and the impact of the crimes on the victims.
We recognize that Federal law comes to a different result under the analogous plea procedure set forth in Fed. R. Crim. P. 11, but the Federal rule differs significantly from our rule 12. The Federal rule recognizes two different types of plea agreements: one where the prosecutor's recommendation does not bind the judge, Fed. R. Crim. P. 11 (c) (1) (B); and another where the recommendation binds the judge once the judge accepts the plea agreement, Fed. R. Crim. P. 11 (c) (1) (A) and (C), (c) (3) (A), and (c) (4). Where the plea agreement is nonbinding, a judge need neither accept nor reject the agreement, and the defendant may not withdraw the plea if the judge imposes a sentence more severe than the prosecutor's recommendation. Fed. R. Crim. P. 11 (c) (3) (B).
In contrast with Fed. R. Crim. P. 11, our rule 12 does not identify any plea agreement where the recommendation shall bind the judge. Where there is a plea agreement, the judge is only bound to allow a defendant to withdraw his plea where the judge imposes a sentence more severe than the prosecutor's recommendation. Mass. R. Crim. P. 12 (c) (2). While Fed. R. Crim. P. 11 (c) (3) (A) requires a judge at the plea hearing to accept or reject a "plea agreement . . . of the type specified in Rule 11 (c) (1) (A) or (C)," our rule 12 (c) (5) (B) requires a judge at the plea hearing to accept or reject "the plea or admission," not the plea agreement. Because even an agreed recommendation under our rule 12 is made "with the specific understanding that the recommendation shall not be binding upon the court," rule 12 (b) (1) (B); because the rule nowhere speaks of a plea recommendation binding the judge; and because a judge at the plea hearing accepts the plea, not the plea agreement, our
The advantage of this approach is illustrated by the facts of
At the plea hearing, the judge asked the defendant if he understood that he was charged with possession with intent to distribute marijuana and "possession to [sic] distribute a class A substance, either heroin or morphine or some kind of opiate." The defendant said he did, and no one corrected either him or the record to clarify that he was now charged with possession of a class B substance (oxycodone) with intent to distribute. After the judge accepted the defendant's plea following the plea colloquy, there was a sidebar conference with counsel only, the content of which is not part of the record because it was inaudible. After the sidebar, the judge asked defense counsel and the prosecutor if there was anything more they wanted to tell him, they said there was not, and the judge imposed the agreed recommendation as the sentence.
At the rule 29 hearing, it became apparent that the judge at the time of the plea and sentencing believed that the defendant
Moreover, when the judge accepted the agreed recommendation, he appeared to have known little of the defendant's past medical history except that the defendant was presently taking medication for bipolar disorder. It was only at the rule 29 hearing,
By asking that we interpret rule 12 to bind a judge to an earlier acceptance of an agreed recommendation, the Commonwealth is essentially asking that we interpret our rules to bind a judge to a sentence that the judge agreed to based on mistaken and incomplete information, and that the judge timely wishes to revise or revoke because he now believes the sentence to be unfairly severe based on information that existed at the time of sentencing. We do not interpret our rules to require such a result.
It is not unfair to the Commonwealth to allow a judge to revise a sentence where justice otherwise "may not have been done." Mass. R. Crim. P. 29 (a). The defendant did not obtain a lesser sentence through a breach of the plea agreement; the defendant presented the agreed recommendation to the judge and did not move to revise or revoke under rule 29. And the Commonwealth obtained what it bargained for: the defendant pleaded guilty and agreed to the prosecutor's recommendation. The Commonwealth should have recognized that its agreed recommendation was made "with the specific understanding
Nor does a judge "exercise the . . . executive powers" and thereby violate art. 30 of the Massachusetts Declaration of Rights by revising or revoking a sentence under rule 29 where there was an agreed recommendation in a plea agreement.
Conclusion. The case is remanded to the county court for the entry of a judgment denying the Commonwealth's petition.
So ordered.
CORDY, J. (concurring, with whom Botsford, J., joins).
I concur with the court's interpretation of Mass. R. Crim. P. 12 (b) (1), as appearing in 442 Mass. 1511 (2004), as presently in effect. The rule does not make a judge a party to a plea agreement containing a joint recommendation on the acceptance of the guilty plea. Nor does it bind a judge to impose the sentence jointly recommended by the prosecutor and defense counsel in such an agreement, or require a judge to allow the Commonwealth to withdraw from its agreement if, on consideration of the information presented at the sentencing phase of the proceeding, the
A different rule is provided for judges and parties in the Federal courts, and in a number of other States. While I agree that our rule does not violate the separation of powers clause of the Massachusetts Constitution, the policy reasons articulated by the Commonwealth in the present case are significant, warrant consideration in the rule-making context, and are appropriate for referral to this court's standing advisory committee on the rules of criminal procedure for further review, assessment, and recommendation.
SPINA, J. (dissenting).
The court construes Mass. R. Crim. P. 12 (b) (1) (B), as appearing in 442 Mass. 1511 (2004), to require that any plea agreement with an agreed recommendation must be made "with the specific understanding that the recommendation shall not be binding upon the court." Ante at 258. I do not believe the rule contains such a requirement.
Rule 12 (b) (1) of the Massachusetts Rules of Criminal Procedure, as appearing in 442 Mass. 1511 (2004), states in relevant part:
The type of agreement described in subsection (B) is merely one of several options. Indeed, subsection (H) suggests that a plea agreement can take virtually any form. This is supported by the Reporters' Notes, which state: "The list of actions set out in this subsection that a prosecutor may include in a plea agreement is not exhaustive and allows for considerable flexibility." Reporters' Notes (revised, 2004) to Rule 12, Mass. Ann. Laws Court Rules, Rules of Criminal Procedure, at 1431 (LexisNexis 2011-2012). The plain meaning of rule 12 (b) (1) (H) complements the other clauses of rule 12 (b) (1) in a manner that is consistent with the Reporters' Notes. The structure of Mass. R. Crim. P. 12, as appearing in 442 Mass. 1511 (2004), is not closed, as the court reasons, but open. The court's comparison of our rule 12 with Fed. R. Crim. P. 11 is not useful because the two rules are very different. Rule 12 is more expansive than Federal rule 11 in terms of the types of plea agreements that may be used. Reference to Federal rule 11 is useful, however, to the extent it is an acknowledgment by the Federal judiciary that plea agreements may bind a judge, notwithstanding the perception that sentencing is a "quintessential" judicial function.
The type of plea agreement described in rule 12 (b) (1) (B), one containing an agreed recommendation that does not bind the judge, requires "specific" language that the joint recommendation is "not" binding on the judge. It follows by necessary implication that a plea agreement with an agreed recommendation that binds a judge, a type permitted under rule 12 (b) (1) (H), does not require specific language to the effect that it is binding on a judge. Of course, consistent with inherent judicial sentencing discretion, a judge can reject a binding plea agreement. What a judge may not do is alter a binding plea agreement without the
The procedure under rule 12 (b) (1) (H) that I have described does not violate rule 12 (c) (5) or principles of double jeopardy. Rule 12 (c) (5) (C) only requires a judge to proceed with sentencing after accepting the plea. Rule 12 (c) (5) does not prohibit all sentencing considerations before a judge accepts a plea. A judge has discretion to consider such material on the question of the voluntariness of the plea before accepting the plea, especially where a prosecutor has made charge concessions in conjunction with an agreed recommendation. A preliminary sentencing hearing would allow sentencing considerations to be aired fully before a judge accepts a plea. Such a procedure is entirely sensible and not inconsistent with rule 12. Rule 12 (e) already permits a judge to examine a presentence report at the time of "tender of a plea," which includes the plea colloquy. See Commonwealth v. Whitford, 16 Mass.App.Ct. 448, 453 (1983). A judge can receive all necessary information, then announce whether he will accept the plea agreement with the agreed recommendation and any charge concession. If the judge agrees to be so bound, then he can accept the plea and proceed to sentencing, conformably with rule 12. This procedure is not prohibited by rule 12 or otherwise, and it would avoid any problem as to double jeopardy.
A parallel procedure exists under G. L. c. 152, § 15, where a Superior Court judge may either approve or disapprove, but
The construction the court has given rule 12 encroaches on the principle of separation of powers in art. 30 of the Massachusetts Declaration of Rights in cases where a plea agreement contains an agreed recommendation and a charge concession, but is silent as to whether it is binding on the judge. Until today, such an agreement has been considered a type contemplated by rule 12 (b) (1) (H), and binding if accepted by the judge. As discussed above, this is not the type of plea agreement described in rule 12 (b) (1) (B) because it does not contain the requisite language that it is not binding on the judge. By treating an agreement without the requisite language as a nonbinding agreement, a judge effectively modifies the agreement by inserting the requisite language that makes it nonbinding. This modification is an exercise of executive authority both as to the authority to modify the terms of a plea agreement and the authority to make a charge concession. A judge's exercise of executive authority is not permitted under art. 30. See Commonwealth v. Gordon, 410 Mass. 498, 500-503 (1991) (judge may not, conformably with art. 30, accept plea to lesser charge without consent of Commonwealth).
Here, because the type of plea agreement presented for the judge's consideration was not the type described in rule 12 (b) (1) (B), and if, as the court holds, rule 12 does not contemplate a binding plea agreement, the judge's only option was to reject the agreement outright as one that is not permitted under rule 12. Instead, the judge unilaterally rewrote the agreement to add a term that required the prosecutor's consent. This had the further effect of authorizing a charge concession that also required the prosecutor's consent, and which the prosecutor had authorized on condition that the judge impose the agreed-on sentence.
Rule 12 will now permit judges impermissibly to exercise
It is precisely because of the charge concession that a prosecutor most often will insist on a binding agreement, and why binding plea agreements are essential. They protect the legitimate interests of the Commonwealth. It is unreasonable for a court
The court states that because the Commonwealth "had reduced the charge of trafficking . . . before the plea agreement was entered into, . . . the defendant could have pleaded guilty as charged without a plea agreement." Ante at 264. This is an unlikely scenario. First, a defendant does not have an absolute right to have his guilty plea accepted. See Santobello v. New York, 404 U.S. 257, 262 (1971). Second, the prosecutor must be present to give a recitation of facts that would be offered by the Commonwealth to support a conviction, or present witnesses to that end. See Mass. R. Crim. P. 12 (c) (5) (A). See also Reporters' Notes (revised, 2004) to Rule 12, Mass. Ann. Laws Court Rules, Rules of Criminal Procedure, at 1438-1439 (LexisNexis 2011-2012). Third, until today, the vast majority of
The court's indorsement of the judge's view that, had the Commonwealth "implore[d]" him for time to seek an indictment, the Commonwealth likely would not have prevailed "because so much time had passed without an indictment" is neither sensible, constitutionally acceptable, nor fairly reflective of what occurred here. Ante at note 11. The defendant had been arraigned on June 5, 2009, and the complaint had been amended on August 3. The parties entered into plea negotiations in September, reasonably soon after the drug analysis was received, and reached an agreement in approximately six weeks. The case had been scheduled for hearings on pretrial motions on October 23. Based on the plea agreement that had been reached the case was brought forward on October 22 and scheduled for disposition on November 19. There is no indication of sloth or dilatory tactics by the prosecutor. The prosecutor agreed to refrain from indicting the defendant on a trafficking charge if the defendant agreed to the joint recommendation in question. The plea agreement was enforceable by the Commonwealth, see Commonwealth v. Pelletier, 62 Mass.App.Ct. 145, 147 (2004), to the extent the prosecutor could have prevented the defendant from attempting to plead guilty without first honoring the plea agreement. The prosecutor lived up to the terms of the plea agreement by not indicting the defendant in exchange for the defendant's agreement to a joint sentencing recommendation. The judge was made aware of the charge concession. Had the judge rejected the plea agreement and given the prosecutor a reasonable amount of time to obtain an indictment, the prosecutor could have sought an indictment against the defendant for drug trafficking.
Although the court says the "judge did not deny the prosecutor the opportunity to indict or reduce the criminal charges
Today's decision amounts to nothing more than the ambush of a prosecutor who, based on long-standing practice under rule 12 (b) (1) (H), negotiated in good faith a plea agreement with an agreed recommendation and a charge concession; who in good faith reasonably expected a judge to tell him if the negotiated plea agreement would not be accepted; and who in good faith reasonably expected the judge to give him reasonable time to exercise his quintessential executive prerogative to bring maximum criminal charges if the plea agreement were not accepted. The prosecutor's charge concession was conditioned on a specific sentence and acceptance of the plea agreement, but the judge denied both the prosecutor and the public the benefits of that agreement by usurping executive authority to rewrite the agreement.
Even if the judge's actions did not violate art. 30, they were entirely inappropriate and at least were an abuse of discretion. In Commonwealth v. Lowder, 432 Mass. 92 (2000), we joined the "`overwhelming majority' of courts [that] have held that motions to acquit a defendant made after an opening statement `should be denied unless it clearly appears from the opening statement that the defendant cannot be lawfully convicted and then only after the prosecutor has been made aware of the difficulty and fails or is otherwise unable to correct it.'" Id. at
The prosecutor relied on the perfectly sensible expectation that the judge would have announced in advance that he would not accept the plea agreement and that he would give the Commonwealth a reasonable opportunity to seek an indictment. Today's decision communicates to prosecutors (and the public) that the Commonwealth will not receive equal treatment in any type of plea agreement.
What is especially problematic in the court's decision lies beyond the facts of this case. The prosecutor's decision to refrain from obtaining an indictment figures prominently in the court's decision. However, that fact cloaks the real devil in the decision. The broad holding of today's decision is that even if there were an indictment, a judge need not honor the Commonwealth's position in any plea agreement that contains either an agreed recommendation or a charge concession, or both. Stated otherwise, no plea agreement under rule 12 can ever bind a judge. By way of illustration, if a prosecutor agrees to allow a defendant charged with murder to plead guilty to so much of the indictment as alleges manslaughter in exchange for an agreed recommendation of a ten- to twelve-year prison sentence, the judge can accept the recommendation and the plea agreement, accept a plea to manslaughter, then sentence the defendant to one year (or less) in a house of correction. Such a result is absurd, and it undermines our constitutional form of government. It is not the way plea agreements with charge concessions and agreed recommendations have been viewed since the rules of criminal procedure were adopted in 1979, and it likely is not the understanding of the Justices who first adopted rule 12.
Normally, we apply a rule of construction that construes an enactment in harmony with related laws, whenever possible. See, e.g., Charland v. Muzi Motors, Inc., 417 Mass. 580, 583 (1994). We also normally apply a rule of construction that seeks, whenever possible, to avoid absurd results that flow from the literal interpretation of an enactment. See Champigny v. Commonwealth, 422 Mass. 249, 251 (1996). However, today's decision makes no use of those rules and instead construes rule 12 in a way that confronts with unnecessary dissonance the duty conferred by the people onto a coordinate branch of government, and it produces an absurd result. It challenges the wisdom expressed by Justice Cardozo in Snyder v. Massachusetts, 291 U.S. 97, 122 (1934), where he said, "[J]ustice, though due the accused, is due to the accuser also. . . . We are to keep the balance true."
Any prosecutor who hereafter makes a charge concession in conjunction with an agreed recommendation does so with full
Remarkably, the defendant did not file a motion to vacate his guilty plea. We can infer from this that he was satisfied with the performance of his attorney, and that he had no difficulty accepting the justice of the agreement that had been struck. This speaks volumes. A judge should be circumspect about rejecting a binding plea agreement with an agreed recommendation. There is much that a judge does not know, and probably never will know, about the strengths and weaknesses of a particular criminal case. Defense counsel is in the best position to assess his or her client's case, after having reviewed the discovery materials, interviewed the defendant and the witnesses, and evaluated the impression they likely would have on the fact finder and the damaging impact that certain evidence would have on the outcome if the case were tried.
The court finds fault with the performance of both defense counsel and the prosecutor, but the judge contributed to whatever confusion existed. At the plea hearing, the judge was under the impression that the defendant was charged with "possession [with intent to] distribute a class A substance," based on the
For the foregoing reasons I respectfully dissent. I would conclude that because the judge was without authority to alter the agreed-on sentence upon acceptance of the defendant's guilty plea, he could not subsequently alter the agreed-on sentence pursuant to rule 29. A judge may only impose a sentence under rule 29 that he could have imposed at the time of sentencing. Because the judge here was bound to impose the agreed-on sentence when he accepted the defendant's guilty plea, he was similarly bound when revisiting the sentence under rule 29. I believe the Commonwealth is entitled to imposition of the sentence set forth in the plea agreement. See Commonwealth v. Pelletier, 62 Mass.App.Ct. 145, 147 (2004). I would vacate the revised sentence and order the original sentence reinstated.
There are two flaws in the dissent's argument. First, while rule 12 (b) (1) (H) recognizes the possibility of plea agreements beyond those specified in rule 12 (b) (1) (A)-(G), where a plea agreement provides for an agreed recommendation, the rule provides that the recommendation comes "with the specific understanding that the recommendation shall not be binding upon the court." Mass. R. Crim. P. 12 (b) (1) (B). Contrast Mass. R. Crim. P. 12 (b) (1) (C) ("Recommendation of a particular sentence . . . which may also include the specific understanding that the defendant shall reserve the right to request a lesser sentence" [emphasis added]). Second, the dissent recognizes that even a binding plea agreement does not bind a judge to accept an agreed recommendation, but the procedure suggested by the dissent for a judge to reject a binding agreement is contrary to the plea procedure established in rule 12. As noted, supra, our rule 12 (c) (5) (B) requires a judge at the plea hearing to accept or reject "the plea or admission," not the plea agreement, and the "plea or admission" is accepted or rejected based solely on the voluntariness of the plea and the factual basis of the charge. Mass. R. Crim. P. 12 (c) (5). Only after the guilty plea is accepted may a judge proceed to sentencing. Mass. R. Crim. P. 12 (c) (5) (C). In essence, the dissent would transform a plea hearing into a preliminary sentencing hearing where a judge must decide whether to accept or reject the agreed recommendation. Where a judge accepts the recommendation, the actual sentencing hearing would become a formality, because the judge would be barred from imposing any sentence other than the agreed recommendation once it has been accepted.
The dissent's description of our plea procedure reflects Fed. R. Crim. P. 11, not our rule 12. Post at 268-269. However, because we respect the concerns raised by the dissent, the Commonwealth, and the amici district attorneys, we shall ask this court's standing advisory committee on the rules of criminal procedure to consider whether amendments to rule 12 are necessary or appropriate and, if so, whether rule 29 should be amended to conform with any such amendments.