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People v. Gonzales, Docket No. 26802 (Mich. Ct. App. July 21, 1976)

Factual and Procedural Background

Rogelio Gonzales shot four people. He was originally charged in a four-count information: one count of first-degree murder and three counts of assault with intent to murder. The prosecutor amended the information to add four counts (Counts V–VIII): one count of manslaughter and three counts of assault with intent to do great bodily harm less than murder. Gonzales entered a plea of nolo contendere to Counts V–VIII, was sentenced to prison, and appealed. On appeal the trial record was found deficient in that the trial judge did not state on the record his reasons for not personally interrogating the defendant about participation in the crime as contemplated by GCR 1963, 785.7(3)(d). The Court of Appeals remanded for supplementation of the record and directed that, if the judge cannot state a valid reason for not interrogating the defendant, the plea must be vacated and the case set for trial.

Legal Issues Presented

  1. Whether the trial court's failure to state on the record its reasons for not personally interrogating the defendant regarding his participation in the crime (as required by GCR 1963, 785.7(3)(d)) mandates remand and possible vacatur of the nolo contendere plea.
  2. Whether a transcript of the preliminary examination may be examined by the court and used as substantial support for a finding that a crime was committed (i.e., as a factual basis for accepting a plea of nolo contendere).

Arguments of the Parties

Defendant's Arguments

  • Defendant claimed that the transcript of the preliminary examination can never be used as a basis for a finding that the defendant is, in fact, guilty of the charged offense.

The opinion does not contain a detailed account of the prosecution's opposing arguments beyond the record entry that defense counsel stipulated that the court may examine the transcript of the preliminary examination in lieu of proofs.

Table of Precedents Cited

Precedent Rule or Principle Cited For Application by the Court
People v Franchi, 3 Mich. App. 511; 142 N.W.2d 881 (1966) That, as of 1966, "there was no such plea as nolo contendere in Michigan" (no tradition/history of the plea). Used to note historical absence of nolo contendere in Michigan prior to later statutory and rule adoption.
Guilty Plea Cases, 395 Mich. 96; 235 N.W.2d 132 (1975) The Supreme Court stated a preference for interrogation of the defendant by the judge when taking pleas. Court relied on this preference to require that the trial judge state reasons on the record for not interrogating the defendant; absence of such statement required remand for supplementation of the record.
People v Conville, 55 Mich. App. 251; 222 N.W.2d 312 (1974) Support for the procedure of examining the preliminary examination transcript in lieu of proofs. Cited as authority supporting the trial court's practice of reading the preliminary examination transcript and accepting the plea when counsel stipulated to such examination.
People v Spann, 60 Mich. App. 48; 230 N.W.2d 302 (1975) Discussed in the opinion both for reconciling inconsistencies in the nolo contendere rule and as support for use of preliminary examination transcript. Referenced for its effort to reconcile inconsistencies in the nolo contendere rule and as supporting the transcript-examination procedure.

Court's Reasoning and Analysis

The court began by reciting the relevant portions of GCR 1963, 785.7 governing pleas of guilty and nolo contendere, emphasizing three requirements: (1) the court must advise the defendant and determine the defendant understands the nature of the charge, sentencing exposure, and rights being waived; (2) the court must determine the plea is voluntary and, if the plea results from an agreement, the agreement must be stated on the record; and (3) the court must be satisfied that a crime was committed and, for nolo contendere pleas, must either conduct a hearing establishing substantial support for a finding of guilt or state reasons for believing that the interests of the defendant and the administration of justice do not require interrogation of the defendant.

The court observed that Michigan only recently adopted the nolo contendere plea by statute and rule, noted policy concerns about using nolo contendere in violent crimes, and advised discouragement of its use where long prison terms are contemplated.

Applying the rule and the Supreme Court's preference in Guilty Plea Cases for judge interrogation, the Court of Appeals found the trial judge failed to state on the record his reasons for not personally interrogating Gonzales as required by GCR 1963, 785.7(3)(d). Because the record lacked such a statement, the court remanded so the trial court could supplement the record with those reasons. The opinion specified that if the trial judge cannot state a valid reason for not interrogating the defendant, then the plea must be vacated and the case set for trial.

On the defendant's contention that the preliminary examination transcript can never serve as a basis for a finding of guilt, the opinion noted the record showed defense counsel stipulated that the court could examine the preliminary examination transcript in lieu of proofs, and the trial court read the preliminary examination and accepted the plea. The Court of Appeals found that this procedure has support in prior decisions (Conville and Spann), and therefore upheld the permissibility of using the transcript where counsel so stipulates and the court otherwise finds substantial support for a finding that a crime was committed.

Holding and Implications

Holding: The matter was REMANDED to the trial court for supplementation of the record to state reasons for not interrogating the defendant personally as required by GCR 1963, 785.7(3)(d). If the trial judge cannot state a valid reason for declining personal interrogation, the nolo contendere plea must be vacated and the case set for trial.

Implications:

  • Direct effect: The trial court must supplement the record with on-the-record reasons for not personally interrogating the defendant; failure to supply valid reasons will result in vacatur of the plea and return to trial status.
  • The court expressed a judicial policy preference that the nolo contendere plea be used cautiously, and discouraged its use in crimes of major violence where substantial prison terms are likely. The opinion did not purport to establish a new binding rule beyond requiring compliance with the existing court rule and the procedural remedy (remand and potential vacatur) described above.

PEOPLE v. GONZALES

BEASLEY, J.

This is another case where after a plea of nolo contendere the defendant is sentenced to prison and, disliking the sentence, appeals.

In this case defendant shot four people which gave rise to a four-count information, one of murder in the first degree, and three counts of assault with intent to murder. After arraignment, the prosecutor amended the information to add four counts, numbers five through eight, one of manslaughter and three of assault with intent to do great bodily harm less than murder. To these latter four counts, namely, one of manslaughter and three of assault with intent to do great bodily harm less than murder, defendant pled nolo contendere.

At the time the plea was taken the court rules dealing with nolo contendere provided in part as follows:

"[GCR 1963, 785.7] Plea of Guilty and Plea of Nolo Contendere. A defendant may enter a plea of guilty or plead nolo contendere only with the consent of the court. If the defendant states his intent to plead guilty or to plead nolo contendere the following practice shall be observed:

"(1) Advice by the Court. The court shall not accept a plea of * * * nolo contendere without first personally addressing the defendant and informing him of and determining that he understands the following:

"(a) the general nature of the charge to which the plea is offered; the court is not obliged to, but may explain the elements of the offense or any defenses possible;

"(b) the maximum sentence and the mandatory minimum sentence, if any, for the offense to which the plea is offered;

"(c) that, if the defendant is on probation or parole, the entry of his plea in the present action admits violation of probation or parole, and may subject him to a sentence of imprisonment for the offense under which he was paroled or placed on probation;

"(d) that by his plea of * * * nolo contendere the defendant waives the following rights:

"(i) the right to a jury trial or trial by the court,

"(ii) the right to be presumed innocent until proven guilty beyond a reasonable doubt,

"(iii) the right to confront and to question the witnesses against him and to have compulsory process for obtaining witnesses in his favor,

"(iv) the right to remain silent or to testify at his trial, as he may choose, and that at a trial no inferences adverse to him may be properly drawn if defendant chooses not to testify.

"(2) Insuring the Plea is Voluntary. The Court shall not accept a plea of * * * nolo contendere without personally addressing the defendant and determining that the plea is freely, understandingly and voluntarily made. If the tendered plea is the result of an agreement between the prosecutor and the defendant or his lawyer regarding the entry of a plea, the agreement shall be stated on the record and affirmatively acknowledged by the defendant, his lawyer and the prosecutor.

"(3) Determining Factual Basis for Plea.

"(a) The court shall not accept a plea of * * * nolo contendere until it is satisfied that a crime was committed.

* * *

"(d) Where a plea of nolo contendere is made the court shall not interrogate the defendant regarding his or her participation in the crime. However, the court may not accept a plea of nolo contendere unless there has been or the judge thereupon conducts a hearing establishing substantial support for a finding that the defendant is in fact guilty of the charged offense or the offense to which he is offering the plea of nolo contendere and unless the judge first states reasons for believing that the interests of the defendant and the proper administration of justice do not require interrogation of the defendant regarding his participation in the crime.

"(4) The court may take the proffered plea under advisement. However, until the court accepts the plea on the record, the defendant may withdraw it as a matter of right without assigning cause. After the court accepts the plea the court may on motion of the defendant set aside his plea of * * * nolo contendere; or the court may sua sponte with the consent of the defendant, set aside his plea."

As late as 1966 this Court held that there was no such plea as nolo contendere in Michigan. Thus, there is neither history nor a tradition of nolo contendere under Michigan jurisprudence, People v Franchi, 3 Mich. App. 511; 142 N.W.2d 881 (1966).

However, in 1969 by statute and in 1973 by court rule, Michigan has adopted the plea of nolo contendere. Perhaps, in some situations the cause of justice has been served by the adoption and use of the nolo contendere rule. But many believe that the problems and confusion caused by the nolo contendere plea far exceed and outweigh any benefits. The plea of nolo contendere has been defined to mean literally "I do not wish to contend". It has been said that the plea of nolo contendere is the renaissance of a plea already half forgotten and apparently on the way to complete oblivion. (152 ALR 253, p 254) Certainly, the inconsistencies and the vagaries of the court rule as drafted are great.

For example: in negligent homicide cases where civil litigation pends, the use of nolo contendere may be justified.

See the manful effort to reconcile these inconsistencies in People v Spann, 60 Mich. App. 48, 54-55; 230 N.W.2d 302 (1975).

In any event, the plea of nolo contendere was never intended to be used in crimes of major violence where sentences may involve substantial prison terms. In the United States, the genesis of the nolo contendere plea appears to have been in the Federal courts which, of course, are simply inexperienced in this kind of violent crime. Nolo contendere is said to be a plea, entirely a matter of grace, and to have originated in England although there has not been any case of nolo contendere in England since 1702. See 51 Yale Law Journal 1255, 1256 (1942).

Two popular areas for use of nolo contendere in the Federal system are the anti-trust prosecutions and income tax violations.

Unless appropriate amendments to the nolo contendere court rules are made the trial bench would be well advised to discourage use of nolo contendere in crimes of major violence where long prison terms are contemplated. Extended incarceration where there is neither an admission of guilt by plea nor a finding of guilt after trial is inconsistent with traditional concepts of criminal law.

In the within case, the trial judge conducted the usual litany with respect to plea taking, but neglected to state on the record his reasons for believing that the interests of the defendant and the proper administration of justice did not require personal interrogation of the defendant by the judge regarding participation in the crime. Under the Guilty Plea Cases, 395 Mich. 96, 132-135; 235 N.W.2d 132 (1975), the Supreme Court stated a preference for interrogation of the defendant by the judge. Therefore, where the record does not contain a statement of such reasons for not personally interrogating the defendant, the case must be remanded to the trial court for supplementation of the record to indicate such reasons. If the judge is unable to state a valid reason for not personally interrogating the defendant, then the plea must be vacated and the case set for trial.

On appeal defendant also claims that the transcript of the preliminary examination can never be used as a basis for a finding that the defendant is, in fact, guilty of the charged offense. In this case the record with respect to taking of the plea indicates as follows:

" Mr. Brisbois (defendant's trial counsel): Further stipulate in lieu of proofs the Court may examine the transcript of the preliminary examination in this matter."

* * *

" The Court: At this time, the record will reflect that the Court has read the preliminary examination and at this time would accept the plea of nolle contendre [sic] as to Counts V, VI, VII and VIII."

The foregoing procedure finds support in the cases. See People v Conville, 55 Mich. App. 251; 222 N.W.2d 312 (1974), People v Spann, 60 Mich. App. 48; 230 N.W.2d 302 (1975).

Remanded.

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PEOPLE v. GONZALES
(Jul 21, 1976)