Zapata v. Commonwealth

516 S.W.3d 799, 2017 WL 1536466, 2017 Ky. LEXIS 141
CourtKentucky Supreme Court
DecidedApril 27, 2017
Docket2016-SC-000020-MR
StatusPublished
Cited by20 cases

This text of 516 S.W.3d 799 (Zapata v. Commonwealth) is published on Counsel Stack Legal Research, covering Kentucky Supreme Court primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Zapata v. Commonwealth, 516 S.W.3d 799, 2017 WL 1536466, 2017 Ky. LEXIS 141 (Ky. 2017).

Opinion

OPINION OF THE COURT BY JUSTICE WRIGHT

Appellant, Steven Zapata, entered a plea under North Carolina v. Alford, 400 U.S. 25, 91, 91 S.Ct. 160, 27 L.Ed.2d 162 (1970), to one count of murder. In accordance with the plea agreement, the trial court sentenced Zapata to 24 years’ imprisonment. He appeals to this Court as a matter of right, Ky. Const. § 110(2)(b), and argues that the “trial court erred by resolving an involuntary plea issue without taking evidence and without appointing conflict-free counsel.”

I. BACKGROUND

A Jefferson County Grand Jury indicted Zapata on one count of murder for his wife’s death. Before trial, he made a motion under Faretta v. California, 422 U.S. 806, 95 S.Ct. 2525, 45 L.Ed.2d 562 (1975), to be appointed as “co-counsel” in order to “assist his [counsel] in his defense.”1 The trial court granted Zapata’s request to act as hybrid counsel.

Before trial, Zapata entered an Alford plea to one count of murder. “Due process requires a trial court to make an affirmative showing, on the record, that a guilty plea is voluntary and intelligent before it may be accepted.” Edmonds v. Commonwealth, 189 S.W.3d 558, 565 (Ky. 2006) (citing Boykin v. Alabama, 395 U.S. 238, 241-42, 89 S.Ct. 1709, 23 L.Ed.2d 274 (1969)). The trial court conducted the Boy-kin colloquy and explained that Zapata was waiving the right to challenge the evidence, cross-examine witnesses, and offer evidence in his defense. The court instructed Zapata that if he entered a guilty plea, “the case is over” and he could not appeal. Zapata agreed that the Commonwealth had evidence to prove that he had [801]*801killed his wife and went ahead with the plea.

However, before sentencing, Zapata’s counsel submitted a motion to withdraw that plea, though she indicated “undersigned counsel takes no position on this motion.” Zapata filed another motion to withdraw his plea and for an evidentiary hearing under Edmonds. He asserted an evidentiary hearing “is required when, as here, a defendant makes an allegation of ineffective assistance of counsel that cannot be resolved from referral to the record.” At the hearing on the motion, Zapata argued, among other things, that his counsel deceived him when she informed him he could withdraw his plea any time before sentencing with “no problem” and that his plea was not voluntarily entered. The trial court conducted a hearing on the motion; however, it did not take sworn testimony or allow Zapata to call witnesses or present other evidence.

II. ANALYSIS

Zapata argues that he was denied counsel concerning his motion to -withdraw his guilty plea. As the United States Supreme Court held, “a trial is unfair if the accused is denied counsel at a critical stage of his trial.” United States v. Cronic, 466 U.S. 648, 659, 104 S.Ct. 2039, 80 L.Ed.2d 657 (1984). This Court recently held that “a pre-judgment proceeding at which a defendant seeks to withdraw his guilty plea is a critical stage of the proceedings at which he is entitled to the assistance of counsel.” Commonwealth v. Tigue, 459 S.W.3d 372, 382 (Ky. 2015). Furthermore, “prejudice is presumed when counsel is burdened by an actual conflict of interest,” Strickland v. Washington, 466 U.S. 668, 692, 104 S.Ct. 2052, 80 L.Ed.2d 674 (1984) (citing Cuyler v. Sullivan, 446 U.S. 335, 345-350, 100 S.Ct. 1708, 64 L.Ed.2d 333 (1980)).

Zapata’s trial counsel did prepare a motion for him to withdraw his plea and was present at the hearing on that motion. However, she stated that Zapata’s allegations toward her concerning the guilty plea put her in an awkward position. However, she pointed the trial court to this Court’s decision in Tigue, 459 S.W.3d at 389, and insisted her client had a right to representation. She did note that she was unsure of how the fact that Zapata was acting as hybrid counsel complicated the matter. Counsel indicated that she would only answer the questions the trial court ordered her to answer, but “in the interest of representing him” it was “not prudent to offer responses to those accusations.” When the trial court told the parties they should brief the issue, Zapata’s counsel declined.

The trial court determined that, while Zapata had the right to a lawyer at a motion to withdraw a guilty plea, his current counsel fulfilled that role. When Zapata’s counsel asked the trial court if she could “effectively do that ... under the circumstances,” the court stated that Zapata was representing himself “at least in part.” Therefore, the trial court proceeded with the hearing on the motion to withdraw the plea. Zapata did not ask for substitute counsel due to his current counsel’s conflict. Therefore, that issue is not preserved for our review. However, Zapata requests palpable error review under RCr 10.26.

As this Court pointed out in Tigue, “the defendant is generally entitled to an evidentiary hearing when it is alleged that the plea was entered involuntarily.” 459 S.W.3d at 387 (citing Edmonds, 189 S.W.3d at 566). The exception to this general rule is that “[t]he trial court is free to deny a motion under RCr 8.10 without an evidentiary hearing, ‘if the allegations in the motion are inherently unreliable, are not supported by specific facts or are not [802]*802grounds for withdrawal even if true.’” Ruano v. Commonwealth, No. 2014-SC-000469-MR, 2015 WL 9243549, at *2 (Ky. Dec. 17, 2015) (quoting United States v. Harris-Thompson, 751 F.3d 590, 603 (8th Cir. 2014) (citation omitted)). We went on to hold in Ruano that “we do not go so far as to say a trial court may always simply rely on its Boykin colloquy when faced with a motion to withdraw a guilty plea; but we do say that a defendant must present a colorable argument before a trial court is required to hold an evidentiary hearing on the motion to withdraw a guilty plea.” Id. Here, just as in Ruano, “the trial court did conduct a hearing during which [Zapata] and his counsel were questioned .... However, neither [Zapata] nor his counsel was placed under oath.”

In denying Zapata’s motion without conducting an evidentiary hearing, the trial court relied on the faet that Zapata was “a very sophisticated defendant, and all along the way in the course of litigating this matter I have allowed you to participate and communicate with me. And I am certain that you knew what you were doing on that date and time.” Zapata’s counsel had nothing to add and he was left to argue the motion—which she clearly opposed—alone.

First, as to the trial court’s assertion that, because Zapata acted as hybrid counsel, it was somehow okay for his public defender to have a conflict, we disagree. As this Court held in Deno v. Commonwealth:

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Cite This Page — Counsel Stack

Bluebook (online)
516 S.W.3d 799, 2017 WL 1536466, 2017 Ky. LEXIS 141, Counsel Stack Legal Research, https://law.counselstack.com/opinion/zapata-v-commonwealth-ky-2017.