OPINION OF THE COURT BY JUSTICE ABRAMSON
Guilty pleas have become the means by which the vast majority of criminal prosecutions are resolved.
The controversy arose from Muhammad's October 2011 guilty plea in Fayette Circuit Court to one felony count of receiving stolen property (RSP), as delineated by Kentucky Revised Statute (KRS) 514.110(3)(a) (value of property between $500.00 and $10,000.00, making the offense a Class-D felony). In exchange for Muhammad's Alford
In pertinent part, KRS 532.043 currently provides that persons convicted of or pleading guilty to a felony offense under KRS Chapter 510 (Sexual Offenses) shall be subject, upon completion of their regular sentences, to an additional period of parole-board supervision. In November 2007, when Muhammad pled guilty to one count of first-degree sexual abuse — a KRS Chapter 510 felony (KRS 510.110) — the statute referred to the additional period of supervision as "conditional discharge" and provided that the "period of conditional discharge shall be five (5) years." KRS 532.043(2) (2007).
KRS 532.043 (2007).
According to records of the Division of Probation and Parole, Muhammad completed his two-year sentence for first-degree sex abuse and began serving his five-year period of sex-offender conditional discharge on May 17, 2009. He was still serving that part of his sentence in October 2011 when he pled guilty to RSP. As just noted, under the 2007 version of KRS 532.043, whether to seek revocation of Muhammad's conditional discharge as a result of his new conviction was a matter of prosecutorial discretion, and thus, under that version of the statute, there is not much question that the prosecutor could have legitimately offered non-revocation as part of the consideration for Muhammad's guilty plea.
As it happened, however, in Jones v. Commonwealth, 319 S.W.3d 295 (Ky.2010), a case rendered in April 2010, this Court held that KRS 532.043 ran afoul of the separation of powers doctrine to the extent that it made the judicial branch responsible for conditional discharge revocation proceedings, proceedings properly the responsibility of the executive branch. "Once a prisoner is turned over to the Department of Corrections for execution of the sentence," the Court explained, "the power to determine the period of incarceration passes to the executive branch." 319 S.W.3d at 300. Consistent with the separation of powers doctrine, then, the General Assembly can "create a form of conditional release [such as KRS 532.043's "conditional discharge"] with terms and supervision by the executive branch," 319 S.W.3d at 299, but it cannot derogate from that executive authority by involving the judicial branch directly in the exercise of administrative action. "Only on appeal of an administrative action," the Court observed, "should the judicial branch become involved." 319 S.W.3d at 300.
KRS 532.043(5) (2011). At the time of Muhammad's October 2011 guilty plea, therefore, revocation of a sex offender's "postincarceration supervision" was no longer a matter of prosecutorial discretion, but, like the revocation of other forms of parole, a matter entrusted to parole authorities and ultimately to the Parole Board.
Nevertheless, in exchange for Muhammad's guilty plea, the prosecutor promised not to pursue revocation of Muhammad's "conditional discharge." Both the trial court and defense counsel signed off on that agreement, with everyone, including particularly Muhammad, apparently understanding that despite the new RSP conviction, Muhammad's conditional discharge from his 2008 sex offense would not be revoked.
To Muhammad's surprise, however, on the day (October 18, 2011) the trial court's Judgment convicting Muhammad of RSP and sentencing him to three years in prison was entered, a parole officer commenced revocation proceedings by filing a Notice of Preliminary Hearing. Following the preliminary hearing on November 14, 2011, an administrative law judge ruled that, notwithstanding Muhammad's plea bargain, his new conviction provided probable cause for the revocation of his discharge. The ALJ therefore referred the matter to the Parole Board for a final
There the matter stood, apparently, until August 7, 2012, when Muhammad filed in the trial court a pro se motion under Kentucky Rule of Criminal Procedure (RCr) 11.42 for relief from the October 2011 Judgment. He alleged that defense counsel had rendered ineffective assistance when she advised him to plead guilty in reliance on a promise — the promise that Muhammad's conditional discharge would not be revoked — that the prosecutor was not authorized to make. He attached to his motion a letter from defense counsel to the effect that she had indeed misadvised him in that regard. Muhammad's motion also alleged, and the Parole Board does not dispute this claim, that in May 2012 Muhammad served out his three-year sentence for receiving stolen property.
Counsel was appointed to assist Muhammad with his RCr 11.42 motion, and when counsel saw that RCr 11.42 arguably did not apply,
The Parole Board, as the real party in interest, appealed the Oldham Circuit Court's Order to the Court of Appeals. A panel of that Court unanimously reversed. In the panel's view, Muhammad's resort to a habeas proceeding was improper for at least a couple of reasons. First, according
Our analysis must begin with the Parole Board's insistence that the case is now moot and should be dismissed. As the Board points out, Muhammad's period of sex-offender postincarceration supervision came to an end in May 2014, and thus at this point regardless of our ruling on review of the Court of Appeals' decision, we can provide Muhammad no substantive relief. The general rule, of course, is that "`where, pending an appeal, an event occurs which makes a determination of the question unnecessary or which would render the judgment that might be pronounced ineffectual, the appeal should be dismissed.'" Morgan v. Getter, 441 S.W.3d 94, 99 (Ky.2014) (quoting Louisville Transit Co. v. Dep't of Motor Transp., 286 S.W.2d 536, 538 (Ky. 1956)). There are exceptions to this rule, however, and in Morgan we recently recognized the Court's discretion, under what we referred to as the "public interest exception," to consider an otherwise moot case "when (1) the question presented is of a public nature; (2) there is a need for an authoritative determination for the future guidance of public officers; and (3) there is a likelihood of future recurrence of the question." 441 S.W.3d at 102.
We are persuaded that this case, as did Morgan, raises well-litigated issues of sufficient public importance to warrant our review pursuant to the public interest exception, notwithstanding mootness. Guilty pleas, as we noted at the outset, and the plea bargaining that typically precedes them, dominate criminal adjudications and are matters of the utmost public importance. This case raises significant questions about the effect of plea breaches and the avenues open for remedying them. Answers to even some of those questions would provide valuable guidance to prosecutors, courts, and defense counsel alike as they all attempt to ensure that the efficiencies made possible by guilty pleas comport with defendants' constitutional rights. To the extent, moreover, that a large percentage of guilty pleas lead to relatively short
Turning then to the merits of Muhammad's appeal, we are confronted, seemingly, with the difficult question of how to remedy the Commonwealth's breach of an "unfulfillable" plea bargain. First, we note that a prosecutor's promise can be "unfulfillable" for a couple of reasons. The benefit promised can simply be illegal, as when, for example, the prosecutor promises to recommend concurrent sentences when the law requires that the sentences be consecutive, or promises a sentence outside the range established by the sentencing statutes. The promise can also be "unfulfillable" because the promised benefit, although legal, is one the grant of which is ordinarily entrusted to the discretion of an official other than the prosecutor, such as a licensing authority or officials in a different jurisdiction.
Suffice it to say, that at least since the United States Supreme Court declared in Santobello v. New York, 404 U.S. 257, 260, 92 S.Ct. 495, 30 L.Ed.2d 427 (1971), that "[w]hen a [guilty] plea rests in any significant degree on a promise or agreement of the prosecutor, so that it can be said to be part of the inducement or consideration, such promise must be fulfilled." 404 U.S. at 262, 92 S.Ct. 495, courts, both federal and state, have struggled to determine how best to "fulfill" the "unfulfillable."
This moot case does not oblige us to weigh in on this conundrum, but it does offer us an opportunity to observe that if ever an ounce of prevention is worth a pound of cure it is in the making and taking of guilty pleas. Everyone involved in the process, the court, all counsel, and the defendant, has an interest in ensuring not only that the defendant understands what he (or she) is giving up, but also that he is making his concessions in exchange for prosecutorial promises firmly grounded in the law and in the prosecutor's own authority. Doubtful deals should be scrutinized carefully and breaches should be brought to the court's attention as soon as they are perceived. In short, unfulfillable plea bargains should be avoided but, at a minimum, identified promptly and dealt with in the trial court.
That said, fortunately, the large question regarding unfulfilled promises is reduced
These diverse interpretations of the situation reflect the important concerns involved. On the one hand is this Court's (and the circuit court's) profound concern that a prosecutor's plea-bargain promise, even an ill-advised one, implicates the state's integrity, as well as the defendant's rights. The breaking of that promise compromises the Commonwealth's integrity in a manner that echoes far beyond the confines of a specific prosecution. Thus in Commonwealth v. Reyes, 764 S.W.2d 62, 65-66 (Ky.1989), a murder case involving Reyes and a co-defendant, this Court upheld the trial court's decision to hold the prosecutor to his promise not to seek the death penalty against Reyes, who performed his part of the bargain, even after newly developed ballistics evidence established, contrary to the prosecutor's initial theory, that Reyes and not the co-defendant was the murderer. Reyes relied in large part on this Court's seminal opinion in Workman v. Commonwealth, 580 S.W.2d 206 (Ky.1979) (overruled on other grounds by Morton v. Commonwealth, 817 S.W.2d 218 (Ky.1991)). In that case, the trial court denied the defendant's motion to enforce the prosecutor's promise to dismiss a murder indictment if the defendant took and passed a lie detector test. The defendant passed two such tests, but the prosecutor reneged, and following trial the defendant was convicted. Reversing the conviction and ordering that the indictment be dismissed in accord with the prosecutor's promise, this Court explained,
580 S.W.2d at 207.
On the other hand are the equally important concerns (reflected in the Court of Appeals' ruling) that criminal judgments be subject to an orderly system of challenge and review, Gross v. Commonwealth, 648 S.W.2d 853 (Ky.1983) (discussing the opportunities for review provided by direct appeal, RCr 11.42, and Civil Rule 60.02), and that habeas corpus not be haphazardly invoked so as to frustrate that system. Its use, as a post-judgment remedy, is thus generally reserved for cases in which a prisoner can "establish in a summary procedure that the judgment by which he is detained is void ab initio." Commonwealth v. Marcum, 873 S.W.2d 207, 212 (Ky.1994). See also, John S. Gillig, Kentucky Post-Conviction Remedies and the Judicial Development of Kentucky Rule of Criminal Procedure 11.42, 83 Ky. L.J. 265 (1994-95) (discussing habeas corpus in the context of Kentucky's more typical post-conviction remedies). Plea bargain breaches have forced other courts to wrestle with similar concerns, including the
The Supreme Court, of course, long ago endorsed plea bargaining as "an essential component of the administration of justice." Santobello v. New York, 404 U.S. at 260, 92 S.Ct. 495. "Properly administered," the Court noted, that essential component of the criminal justice system not only eases the strain criminal proceedings place on government resources, but it is also desirable as
404 U.S. at 260-61, 92 S.Ct. 495. All of the benefits derived from plea bargaining, however, are contingent on there being "fairness in securing agreement between an accused and a prosecutor." Id. Accordingly,
404 U.S. at 262, 92 S.Ct. 495 (emphasis supplied).
Santobello involved the breach of the prosecutor's promise to abstain from recommending a sentence. When instead the prosecutor recommended the maximum sentence, defense counsel promptly objected on the basis of the plea agreement and moved for a continuance. Denying the motion, the trial judge assured counsel that the prosecutor's recommendation had no bearing on his sentencing decision, which was based instead on a pre-sentence report replete with a "long serious criminal record." 404 U.S. at 259, 92 S.Ct. 495.
Notwithstanding this suggestion that the prosecutor's breach was likely harmless, the Supreme Court concluded
404 U.S. at 262-63, 92 S.Ct. 495. Thus, although the Court vacated the judgment without regard to harmlessness, by permitting the plea to stand if in the state court's judgment that is what the circumstances
This idea that a prosecutor's breach of a plea bargain invalidates the guilty plea also appeared as dictum in Mabry v. Johnson, 467 U.S. 504, 104 S.Ct. 2543, 81 L.Ed.2d 437 (1984), where the Court stated that "when the prosecution breaches its promise with respect to an executed plea agreement, the defendant pleads guilty on a false premise, and hence his conviction cannot stand." 467 U.S. at 509, 104 S.Ct. 2543. It may well be that the Oldham Circuit Court had this precedent in mind — that Muhammad's guilty plea would be rendered void if the prosecutor's non-revocation promise could not be enforced — when it determined that Muhammad was entitled to habeas corpus relief. More recent precedent suggests otherwise.
In Puckett v. United States, 556 U.S. 129, 129 S.Ct. 1423, 173 L.Ed.2d 266 (2009) the Supreme Court held that Fed. R. Civ. Pro. 52(b) — the plain error rule — applies to forfeited (unpreserved) claims that the Government breached a plea bargain. In the course of so holding, the Court expressly disavowed the suggestion in Mabry that a plea breach retroactively renders the guilty plea either unknowing or involuntary. 556 U.S. at 138, n.1, 129 S.Ct. 1423. Rather, Government failures to abide by plea bargains are, like almost all other trial errors,
Contemporaneous objection is as important in this context as in any other, the Puckett Court explained, not only to prevent savvy defendants from sandbagging the trial court by withholding objection until the proceedings turn sour; but also to give opposing parties and the trial court an opportunity to address on the record whether an alleged breach has occurred; to allow for the breach to be cured if possible; or, if cure is not possible, to enable the trial court to select a remedy while the array of possible remedies is still at its fullest. 556 U.S. at 140, 129 S.Ct. 1423. Nor, the Court insisted, is plain error review meaningless. While plea breaches do indeed violate a defendant's rights, not all breaches will be plain; not all plain breaches will be prejudicial; and not all plain, prejudicial breaches will, in the terms of our Kentucky rule, result in "manifest injustice." 556 U.S. at 141-42, 129 S.Ct. 1423.
To be sure, as the U.S. Supreme Court acknowledged, any slight on the Government's integrity is a serious matter, and a plea breach is particularly serious because of its tendency to undermine trust between prosecutors and defendants, the trust upon which the whole plea-bargaining system depends. Indeed, under Santobello, a properly preserved plea breach is subject to automatic reversal,
Puckett, 556 U.S. at 141, 129 S.Ct. 1423 (quoting Santobello, 404 U.S. at 261-62, 92 S.Ct. 495). No less essential and desirable, however, according to the Court, is the rule of contemporaneous objection, so that "when the two collide we see no need to relieve the defendant of his usual burden of showing prejudice." Id. We agree.
Applying a Puckett-like analysis, we are compelled to consider more closely than the parties or the lower courts have done whether Muhammad preserved his claim of plea breach, and if not what effect his forfeiture has upon his entitlement to relief. Plainly, Muhammad's claim was not properly preserved. Under our rule of contemporaneous objection — RCr 9.22 — Muhammad was required to object to the plea-breach error as soon as he had grounds to believe that the prosecutor's promise was not being fulfilled. Cf. West v. Commonwealth, 780 S.W.2d 600, 602 (Ky.1989) ("RCr 9.22 imposes upon a party the duty to make `known to the court the action he desires the court to take or his objection to the action of the court.'... If a party claims entitlement to [relief], he must timely ask the court to grant him such relief."); Winstead v. Commonwealth, 283 S.W.3d 678, 688 (Ky.2009) ("KRE 103 and RCr 9.22 require that objections... be both timely and specific. As Professor Lawson notes, the general rule is that an objection is not timely unless it is made `as soon as the basis for objection becomes apparent.'") (quoting Lawson, The Kentucky Evidence Law Handbook, p. 36 (4th ed. 2003)).
Muhammad had grounds for concern on October 18, 2011, the day final judgment in the RSP case was pronounced and sentence imposed. That same day, Probation and Parole Officer Elizabeth Russell served on Muhammad (whose signature appears on the document in acknowledgement of receipt) a Notice of Preliminary Hearing to the effect that the RSP conviction warranted revocation of Muhammad's sex-offender conditional discharge. The notice is a clear breach of the prosecutor's promise that revocation would not be sought, and at that point the trial court still had jurisdiction of the case and could have entertained a motion by Muhammad to withdraw the plea or (perhaps) to compel the prosecutor to establish his authority to uphold the non-revocation promise he had made. Commonwealth v. Steadman, 411 S.W.3d 717, 721 (Ky.2013) (citing Commonwealth v. Marcum, supra as illustrating the rule that "a trial court loses jurisdiction of a case ten days after entry of a final order or judgment"). In any event, Muhammad was on notice of a breach of the plea agreement, and, if he wished to preserve the issue, the onus was on him promptly to object and to give the trial court an opportunity to address it. If the trial court's resolution left Muhammad dissatisfied, he could then have sought relief by way of appeal.
Furthermore, as the Court of Appeals noted, between the expiration of his right to appeal, apparently in November 2011, and the completion of his RSP sentence, in May 2012, Muhammad was under sentence for about six months. During that time, RCr 11.42 provided him with a procedure for challenging the effectiveness of counsel's plea advice. See Fraser v. Commonwealth,
Muhammad was also on early notice of a potential disagreement with the Parole Board over its authority to revoke his conditional discharge notwithstanding his plea bargain. He might thus have sought, rather than or in addition to enforcement of the plea bargain, to preclude the revocation upon receiving notice of the proceeding in October 2011. Our law has long provided that a mandamus action against the Parole Board (but not an action for habeas corpus)
Muhammad thus had numerous opportunities between October 2011 and May 2012 to seek by other means the relief he sought by way of habeas corpus in November 2012. The general rule, as noted by the Court of Appeals, is that habeas corpus may not be invoked merely as a substitute for what are or were other available remedies. M.M. v. Williams, 113 S.W.3d 82, 85 (Ky.2003) (citing Lear v. Commonwealth, 884 S.W.2d 657 (Ky. 1994)).
On the other hand, of course, habeas corpus is not merely a court-created procedure, but is a fundamental right against unlawful detention secured by Section 16 of our Kentucky Constitution and implemented by KRS Chapter 419. That Chapter creates an expedited procedure whereby "anyone showing by affidavit probable cause that he is being detained without lawful authority," KRS 419.020, may be brought before a circuit court for a hearing, "summary in nature," KRS 419.110, on the merits of the claim.
Because it is constitutionally based, habeas corpus cannot simply be supplanted by the rule and statute-based system that has evolved in Kentucky for the review of criminal judgments. Commonwealth v. Marcum, 873 S.W.2d at 210. As noted above, in Marcum the Court attempted to articulate the balance that obtains between a prisoner's right to expeditious release through habeas corpus when the unlawful detention is "patently obvious" and the Commonwealth's need for an orderly system of post-conviction review. Id. The Court explained that habeas may be invoked for judgment-review purposes whenever the alternative is inadequate, but that generally the alternative will not be deemed inadequate and may be insisted upon unless the prisoner "can establish in a summary procedure that the judgment by which he is detained is void ab initio." 873 S.W.2d at 212.
Marcum is a classic example of the proper use of habeas corpus because the
Muhammad's situation is manifestly different. Puckett, which we find persuasive, lays to rest any claim by Muhammad that his guilty plea was rendered automatically void when his plea bargain was not specifically enforced. Unlike Marcum, Muhammad's is not a scenario where the judgment is clearly void ab initio. Instead, Muhammad should have availed himself of either a direct appeal or a motion under RCr 11.42, both of which provided adequate opportunity to seek relief for the prosecutor's alleged breach of the plea bargain promise regarding revocation of "conditional discharge." Puckett likewise forecloses any claim that the Parole Board lacked authority to revoke Muhammad's postincarceration supervision,
Of course it may be that Marcum does not represent the exclusive habeas exception to our ordinary post-conviction review procedures, and perhaps Marcum's void-ab-initio rule does not exhaust habeas's appropriateness for post-conviction review purposes. One might claim that a prosecutor's breach of a plea bargain is another circumstance justifying habeas relief. Certainly, in both Reyes and Workman this Court condemned plea breaches in forceful terms:
Reyes, 764 S.W.2d at 66. And, to reiterate
Workman, 580 S.W.2d at 207. Are plea breaches so repugnant to our law that a judgment resting on one should, like a judgment void ab initio, be subject to habeas corpus notwithstanding the petitioner's failure to make use of the available alternative remedies? To the extent that Muhammad suggests that interpretation,
Workman and Reyes were not habeas cases. In both, the prosecutor's breach was timely raised and addressed in the trial court, and thus was subject to direct review by this Court on appeal. However forcefully this Court deplored the serious prosecutorial errors in those cases, they are not precedent for the proposition that unpreserved plea breaches render detention unlawful and thus excuse a defendant's failure to make use of other available procedures, allowing instead resort to the exceptional writ of habeas corpus.
On the contrary, the lawfulness of Muhammad's detention at the time of his habeas petition depended not only on whether Muhammad's plea bargain had been broken, but also, assuming it had, on whether the breach of an unauthorized (and possibly illegal)
In sum, while persons incarcerated for crimes in Kentucky are generally required to challenge and seek review of the judgments against them by means of the direct and collateral procedures outlined in Gross v. Commonwealth, an exception exists for prisoners who can show that those procedures are inadequate. They will be deemed inadequate, this Court held in Marcum where a summary proceeding will suffice to show that the Commonwealth's detention of the prisoner is unlawful because the judgment against him or her was void ab initio. In that type of case, the prisoner need not use the more cumbersome, time-consuming procedures typically employed but may seek prompt release by way of a writ of habeas corpus. Muhammad was not entitled to habeas relief in this case because he failed to establish that the ordinary post-conviction procedures
Thus, although its reasoning differs somewhat from ours, the Court of Appeals correctly concluded that Muhammad's invocation of habeas corpus was not warranted. Accordingly, we affirm its Order reversing the grant of habeas relief, recognizing that the mootness of Muhammad's case renders our ruling of little consequence to him personally, albeit important for future cases of alleged plea-bargain breach by the Commonwealth.
All sitting. Minton, C.J.; Barber, Keller, Noble, and Venters, JJ., concur. Cunningham, J., concurs in result only by separate opinion.
CUNNINGHAM, J., CONCURRING IN RESULT ONLY:
I respectfully concur in result only. Since the Appellant is not incarcerated, I would dismiss this appeal as moot. The writ of habeas corpus ("you have the body") is a right deeply rooted in the English common law going back over one thousand years. It is the most cherished legal redress we possess. The availability of the writ of habeas corpus is the last line of defense against arbitrary imprisonment and punishment at the whim of the state. It is a personal right, not a public concern. The decision we are writing today will not affect one Kentucky citizen out of thousands. We should speak to this timeless principle frugally and only out of necessity. Therefore, it is my deep respect for this ancient remedy which causes me to urge judicial restraint from addressing the sacrament writ of habeas corpus without a body in need. See Griffith v. Schultz, 609 S.W.2d 125, 126 (Ky.1980) (citing Hinton v. Byerly, 483 S.W.2d 138 (Ky.1972) ("[w]hen appellant regained his freedom, his habeas corpus proceeding became moot.").