Julius D. Thomas v. Commonwealth of Kentucky

• Court: Kentucky Supreme Court
• Decided: October 31, 2017
• Docket: 2016 SC 000593
• Status: Unknown

Opinion

IMPORTANT NOTICE . NOT TO BE PUBLISHED OPINION

· THIS OPINION IS DESIGNATED "NOT TO BE PUBLISHED." PURSUANT TO THE RULES OF CIVIL PROCEDURE PROMULGATED BY THE SUPREME COURT, CR 76.28(4)(C), . · THIS OPINION IS NOT TO BE PUBLISHED AND SHALL NOT BE CITED OR,USED AS BINDING PRECEDENT IN ANY OTHER CASE IN ANY.COURT OF THIS STATE; HOWEVER, . UN PUBLISH.ED .KENTUCKY APPELLATE DECISIONS, ·. RENDERED AFTER JANUARY 1, 2003, MAY BE CITED FOR CONSIDERATION BY THE COURT IF THERE IS NO PUBLISHED OPINION THAT·WOULD ADEQUATELY·ADDRESS THE ISSUE BEFORE THE COURT. OPINIONS CITED FOR CONS.IDERATION BY THE COURT ,SHALL BE SET OUT AS AN UNPUBLISHED DECISION IN THE FILED DOCUMENT AND A COPY OF THE ENTIRE DECISION SHALL·BE TENDERED ALO.NG WITH THE DOCUMENT TO THE COURT AND ALL PARTIES TO THE. ACTION. RENDERED: NOVEMBER 2, 2017 NOT TO BE PUBLISHED

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JULIUS.D. THOMAS APPELLANT

ON APPEAL FROM JEFFERSON CIRCUIT COURT v. HONORABLE MARY M. SHAW, JUDGE NO. 13-CR-003085

COMMONWEALTH OF KENTUCKY APPELLEE

MEMORANDUM OPINION' OF THE ·couRT

AFFIRMING

Appellant, Julius D. Thomas~ appeals from the Jefferso,..-n Circuit Court

judgment convicting him of incest, third-degree rape, and third-:degree sodomy,

and sentencing him to prison for a total of twenty years. 'fhe trial court

sentenced 1-ppellant in accordance with his penalty agreement with the

Commonwealth. Appellant claims the trial court erred by not allowing him to

withdraw the penalty agreement. As grounds for relief, he claims that he did

·not voluntarily and intelligently enter the agreement, and alternatively, the trial

court abused its discretion ~y 'denying- his motion.

For reasons stated below, we-affirm the judgment of the Jefferson Circuit

Court. I. FACTUAL AND PROCEDURAL BACKGROUND A jury found Appellant guilty of incest, third-degree r~pe, and third-

· degree sodomy. The next day, knowing that the jury could recommend a

sentence of up to thirty years in prison, Appellant entered into an agreement

with the Commonwealth to forgo his right under KRS 532.055(2) to a penalty-

phase hearing before the jury.. In exchange for the prosecution's promise to I . >

, recommend. a twenty-year sentence, Appellant promised ndt to appeal the

·guilty verdicts. The agreement was memorialized in writing.

After conducting a hearing and finding that Appellant had knowingly and

intelligently entered into the agreement, the trial court accepted the agreementl ' \

in lieu of the formal penaJty phase hearing. Almost two months later and.prior

to final sentencing, Appellant moved to vacate the penalty agreement. He

claimed that he was rushed at the time he made the agreement and was not

thinking . clearly because of his emotional state after. receiving the guilty

verdicts, that he was not properly informed of the penalty conditions, and that

he did not have' a fair trial. He moved for a penalty phase hearing before a jury / and the restoration of his right of appeal. ·,

The trial court denied Appellant's motion based upon the finding that

Appellant had knowingly and voluntarily entered the agreement. Appellant was

sentenced pursuant to the agreement and final judgment was entered

accordingly. He now appeals the trial court's denial of his motion to withdraw

from the penalty agreement.

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2 II. ANALYSIS

A. Appellant validly waived his right to appeal. On appeal, Appellant reasserts his argument that he entered into the

sentencing agreement involuntarily and without awareness of its

consequences; that he has maintained his innocence throughout the

proceeding and did not conce~e guilt by accepting a plea agreement, but

instead accepted only a negotiated penalty; and that he felt rushed and coerced

into the agreement between the return of the guilty verdicts and pending

penalty phase. We review a trial court's finding that a defendant validly waived

his right to appeal for clear error. See Edmonds v. Commonwealth, 189 S.W.3d

558, 570.(Ky. 2006) (citing Rodriguez v. Commonwealth, "87 S.W.3d 8, 10 (Ky.

2002); Elkins v; Commonwealth, 154 S.W.3d 298, 300 (Ky. App. 2004)).

For a waiver of a constitutional right to be valid, the defendant in a ·

criminal prosecution must voluntarily, knowingly, .and· intelligently waive the

right. Brady v. United States, 397 U.S. 742, 748 (1970); King v. Commonwealth,

374 S.W.3d 281, 290 (Ky. 2012) (citations omitted). Before accepting a waiver,

the trial court must "make an affirmative showing, on the record, that [a waiver

ofa constitutional right] is voiuntary and intelligent." Edmonds, 189 S.W.3d at

565 (citing Boykin v. Alabama, 395 U.S. 238, 241-242 (1969)). A waiver is

intelligent. when "done with sufficient awareness of the relevant circumstances \ and likely .consequences." Brady, 397 U.S. at 748 (citations omitted). A

finding of an intelligent waiver of the right to appeafas part of a sentencing

agreement is supported when the defendant is advised by competent counsel

3 and is made aware of the rights he is waiving, and when there is nothing' to

indicate that the defendant was incompetent, or otherwise not in control of his

mental faculties. See id. at 756. A waiver is voluntary if the defendant is not

induced by threats or by misrepresentations by the Commonwealth or the trial

court. Id .. at 755; Edmonds, 189 S.W.3d at 565. Appellant's waiver was not

invalid in either respect.

In his colloquy with the trial court before the formal entry of the penalty

agreement, Appellant acknowledged that 1) he was not coerced into the r \ agreement; 2) he understood· he was giving up the penalty-phase rights to jury

sentencing, to present witnesses and evidence, and to not testify; and 3) he

understood he was giving up the right to appeal. Appellant also affirmed he

agreed with the Commonwealth's recommendation that he serve 20 years for

incest, 5 years for rape, and 5 years for sodomy, to be served concurrently.

Additionally, Appellant affirmed he understood his parole eligibility status, his

legal responsibilities as a sex offender, and that upon release from prison, he

was subject to conditional discharge, for five years. "Solemn declarations in

open court carry a strong presumption of verity." Blackledge v. Allison, 431 .

U.S. 63, 97 (1977). ' evidence to suggest that he was not truthful in his Appellant offers no

colloquy with. the court.'\ He says only that he was rushed in· deciding whether

to accept the offered sentence of twenty years and eliminate the risk of a

greater penalty that the jury could ~mpose. We recognize that Appellant had

relatively little time in which to make a serious -decision in the midst of an

4 ongoing trial. But the urgency inherent in such circumstances does not equate

. to coercion. There is no evidence that anyone threatened him or that-his ' acceptance of the agreement was induced by anything other than the benefit he ·

received from his bargain. With or without time constraints, having to choose

between the strong probability of a lesser sentence, at the price of waiving his

constitutional right to appeal, and the possibility that a jury would set a much

greater sentence, does .not render the waiver compulsory and involuntary. See

. Brady, 397 U.S. at 750-751; see also Edmonds, 189 S.W.3d at 570.

We see nothing to suggest "that [Appellant] did not or could not, with the

help of counsel, rationally weigh the advantages of [the jury deciding his .,

penalty] against the advantages of [entering the sentenciryg agreement]."

Brady, 397 U.S. at 750. When questioned by the trial court at the time of his

waiver, Appellant gave no indication that he lacked an essential understanding

of the situation or an awareness of the consequen~es of the waiver of his rig~t \

to .appeal.·

Substantial eviaence support~ the trial court's conclusion that Appellant

voluntar~ly and intelligently entered the sentencing agreement.

B. The trial court did not abuse its discretion when it declined to permit Appellant to withdraw from the penalty agre.ement. Appellant argues that even if he voluntarily and intelligently entered the

1 sentencing agreement, the trial court abused its discretion when denying his ' J

motion to withdraw from it. He argues that granting his motion to withdraw

from the agreement would have been the fair and just thing to do.

5 He argues that because a penalty agreement to forgo jury sentencing is

simply one aspect of a plea agreement, this Court should apply to his

sentencing.agreement the seven factors identified in United States v.

Hockenberry, 73{) F.3d 645, 662 (6th 1Cir. 2013), as fair and just reasons for ' , '

allowing a federal defendant to withdraw a guilty plea.1 Under Federal Rules of

Criminal Procedure 1 l(d)(2)(B) a guilty plea may be withdrawn if "the defendant

can' show a ,fair andjust reason for requesting the withdrawal." Although the, I , ,

Hockenberry factors may touch on considerations relevant to determining

whether a waiver of a constitutionru right is valid, we decline to alter our

existing precedent for determining wh~ther the trial court erred when denying a '

motion· to withdraw from an agreement in which a defendant waived a

constitutional right. Consequently, we next.address whether t~e trial court's

decision to deny Appellant's motion was arbitrary, unreasonable, unfair, or

~unsupported by sound legal principles. Commonwealth v. English, 993 S.W.2d

941, 945 (Ky. 1999)._ _/

Citing Parson v. C~mtnonwealth, 144 S.W.3d 775, 782-785 (Ky. 2004),

the. Commonwealth points out that becaµse it detrimentally relied upon the

agreement when it waived its opportunity to seek a greater sentence and

1 The seven, non-exclusive Hockenberry factors are: (1) the amount of time that elapsed between the plea and the motion to withdraw it; (2) the presence (or absence) of a valid reason for the failure to move for withdrawal earlier in the proceedings; (3) whether the defendant has ·asserted or maintained his innocence; (4) the circumstances underlying the entry of:the guilty plea; (5) the defendant's nature and background; (6) the degree to which the defendant has had prior experience with the criminal justice system; and (7) potential prejudice to the government if the motion to withdraw is granted. /

. .J /

released the jury that had heard the guilt-phase evidence, Appellant should not

be permitted to withdraw from his waiver. If the agreementwere to be set

aside, before an appeal of the guilt phase could be heard, the trial court would

have to complete a penalty phase trial using a new jury' before whom the guilt-

phase ·evidence would be replicated. r

Appellant's agreement with the Commonwealth is a contract. We have

made clear that if an "offer is made by _the prosecution and accepted by the

accused, either by entering a plea or by taking action to his detriment in

reliance on the offer, then the agreement becomes binding and enforceable."

Commonwealth v. Reyes, 764 S.W.2d 62,, 65 (Ky. 1989). A defendant is entitled

to insist on the benefit of his bargain. See Santobello v. New York, 404 U.S.

257, 261-262 (1971). When, as in this case, there has been no unfairness or

constitutional infirmity "in securing agreement between an accused and a

prosecutor," id. at 261, there is no valid or compelling reason why Appellant

should not likewise be held to his bargain in accordance with the general laws

applicable to contracts.

When Appellant entered into negotiations with the Commonwealth, he

was left with little bargaining power. One thing he could offer in exchange for a

twenty-year sentence recommendation was his right to appeal. He decided to

make a deal- rather than take a chance that the jury would recommend a

greater sentence. The Commonwealthlrelied upon Appellant's promise and

kept its promise. Appellant "was Tully aware of the likely consequences when

he [entered the sentencing agreement]; it is not unfair to expect him to live with

7 those consequences now." Mabry v. Johnson, 467 U.S. 504, 511 (1984). We ·

cannot say that the trial court's _denial of Appellant's motion to withdraw from . . the sentencing agreement was aJ;bi~rary, unreasonable, unfair, or unsupported

by sound legal principles. The trial court did not abuse its discretion.

III. CONCLUSION For the foregoing reasons, the judgment of the Jefferson Circuit Court is_./

\. affirmed. / All sitting. All concur.

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COUNSEL FOR APPELLANT:

Linda Roberts Horsman Assistant Public Advocate

COUNSEL FOR APPELLEE:

Andy Beshear Attorney General of Kentucky

Todd Dryden Ferguson .Assistant Attorney General

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