The Pennsylvania Superior Court has decided the case of Commonwealth v. Garcia, holding that sufficient evidence was presented to allow the defendant to withdraw his guilty plea. This decision is significant in multiple ways. First, the Court re-committed to the general rule that a defendant should usually be allowed to withdraw a pre-sentence guilty plea. Second, it also illustrates the importance of creating a thorough record at these types of hearings. In its opinion, the Superior Court highlighted the lack of details in the trial record, but the Court found that the defendant had presented enough evidence to have his guilty plea withdrawn. At the same time, it found the Commonwealth had done a poor job of showing why it would be substantially prejudiced if the defendant’s guilty plea was withdrawn. Because the prosecution did not make an adequate record, there was not enough evidentiary support to deny the defendant’s appeal. 

Commonwealth v. Garcia

Easton police were called for a report of a sexual assault in progress. Upon arrival, they met with the complainant, who stated that her ex-boyfriend, the defendant, had climbed the exterior of her apartment building onto her deck and entered the residence through a sliding glass patio door without her consent. Once inside, he proceeded to force her to engage in sexual intercourse without her consent. She also had an active protection from abuse order against the defendant. 

The police located the defendant, who was hiding in the bushes outside of her apartment building. The complainant was then taken to the hospital where she underwent a sexual assault examination kit that was sent to the Pennsylvania State Police Crime Lab to be analyzed. The defendant’s DNA came back as being seminal material found on the complainant’s vaginal swab. They also found the defendant’s DNA under the complainant’s fingernails because she had told the police she tried to defend herself while the assault was going on. 

Before a trial date was even set, the Commonwealth and the defendant negotiated a guilty plea where the defendant would serve four to eight years’ incarceration followed by two years of reporting probation for the crime of sexual assault. The defendant then entered into the plea, but his sentencing was deferred to determine whether he qualified as a Sexually Violent Predator (“SVP”). Prior to his sentencing hearing, the defendant filed a motion to withdraw his plea in which he asserted his innocence. The Commonwealth opposed the motion, arguing that the defendant offered only a bare and implausible assertion of innocence given his incriminating statements shortly after the assault. The Commonwealth also argued prejudice, citing the difficulty the victim experienced in testifying at the preliminary hearing, her relief at learning of the defendant’s guilty plea, her anxiety at learning that the defendant wanted to withdraw his guilty plea, and the difficulty of finding another sexual assault expert because their expert had conducted the defendant’s SVP evaluation and therefore could no longer testify at trial. The Commonwealth claimed that were no other “local” experts. 

The court held a hearing to determine whether or not the defendant should be allowed to withdraw his guilty plea. At the hearing, the defense moved the preliminary hearing transcript into evidence. The defendant argued that the transcript suggested that he had a viable consent defense. Specifically, he argued that transcript made clear that the he had a previous relationship with the complainant and that she had allowed him inside her residence a week before the alleged assault. The defendant did not testify at this hearing. At the conclusion of arguments, the trial court denied his motion to withdraw his guilty plea. The defendant then filed a second pre-sentence motion to withdraw his plea. This second pre-sentence motion was denied without a hearing. The defendant was subsequently sentenced, and he then filed a timely appeal. 

Can a Defendant Withdraw a Guilty Plea Before He is Sentenced? 

Yes, a defendant is permitted to withdraw a guilty plea before he is sentenced. However, there is no absolute right to withdraw a guilty plea. Trial courts have discretion in determining whether a defendant can withdraw his guilty plea, but such discretion is to be administered liberally in favor of the accused. Additionally, any demonstration by a defendant of a fair-and-just reason will suffice to support a grant, unless withdrawal would work substantial prejudice to the Commonwealth. A fair and just reason exists where the defendant makes a claim of innocence that is at least plausible. However, trial courts are also supposed to consider the timing and the nature of the innocence claim, along with the relationship of that claim to the strength of the government’s evidence. Finally, trial courts should also consider any ulterior or illicit motive by the defendant for withdrawing his guilty plea. 

The Pennsylvania Superior Court’s Decision

The Pennsylvania Superior Court vacated the defendant’s sentence and remanded his case back to the trial court so that he could have a trial. The Superior Court reviewed the record in this case, which it described as “poorly developed.” Nonetheless, the Superior Court found that the defendant made a prompt motion to withdraw his guilty plea and that the preliminary hearing notes did in fact establish that the complainant allowed the defendant inside her home a week before the alleged assault and that he had a prior relationship with her. According to the Superior Court, these facts established “more than the bare ‘makeweight’ assertion of innocence.”

Additionally, there was no strong evidence presented at the sentencing hearing to undermine the plausibility of the defendant’s consent defense. Further, this guilty plea was not entered on the eve of trial as no trial date had been set. Additionally, the Superior Court was unpersuaded by the Commonwealth’s argument that it would be substantially prejudiced by the withdrawal of the defendant’s guilty plea. In part, because the Commonwealth did not develop the record sufficiently enough to show how it would be prejudiced. As such, the Superior Court found that the defendant proffered a timely and plausible basis for withdrawing his guilty plea and therefore he will be able to go to trial on these charges.  

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