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PA Bulletin, Doc. No. 96-1703

THE COURTS

PART I.  GENERAL

[234 PA.  CODE CH. 100]

Proposed Amendments to Rule 149: Guilty Pleas Before District Justices in Court Cases

[26 Pa.B. 4895]

Introduction

   The Criminal Procedural Rules Committee is planning to recommend that the Supreme Court of Pennsylvania amend Rule 149 (Pleas of Guilty Before Issuing Authority in Court Cases). The amendment would make it clear that once the district justice accepts a guilty plea in a court case pursuant to Rule 149 and imposes sentence, the case must be forwarded to the court of common pleas for all further proceedings, including the collection of restitution, fines, and costs; supervision of probation; and revocation proceedings. The following explanatory Report highlights the Committee's considerations in formulating this proposal.

   Please note that the Committee's Report should not be confused with the official Committee Comments to the rules. Also note that the Supreme Court does not adopt the Committee's Comments or the contents of the explanatory Reports.

   The text of the proposed amendments precedes the Report.

   We request that interested persons submit suggestions, comments, or objections concerning this proposal to the Committee through counsel, Anne T. Panfil, Chief Staff Counsel, Supreme Court of Pennsylvania, Criminal Procedural Rules Committee, P. O. Box 1325, Doylestown, PA 18901, no later than Friday, November 8, 1996.

By the Criminal Procedural Rules Committee

FRANCIS BARRY MCCARTHY,   
Chair

Annex A

TITLE 234.  RULES OF CRIMINAL PROCEDURE

PART I.  GENERAL

CHAPTER 100.  PROCEDURE IN COURT CASES

PART IV.  PROCEEDINGS BEFORE ISSUING AUTHORITIES

Rule 149.  Pleas of Guilty Before [Issuing Authority] District Justice in Court Cases.

   (a)  In a court case in which [an issuing authority] a district justice is specifically empowered by statute to exercise jurisdiction, a defendant may plead guilty before an issuing authority at any time up to the completion of the preliminary hearing or the waiver thereof.

   (b)  The [issuing authority] district justice may refuse to accept a plea of guilty, and the [issuing authority] district justice shall not accept such plea unless there has been a determination, after inquiry of the defendant, that the plea is voluntarily and understandingly tendered.

   (c)  The plea shall be in writing,

   (1)  [Signed] signed by the defendant, with a representation by the defendant that the plea is entered knowingly, voluntarily, and intelligently; and

   (2)  [Signed] signed by the [issuing authority] district justice, with a certification that the plea was accepted after a full inquiry of the defendant, and that the plea was made knowingly, voluntarily, and intelligently.

   (d)  A defendant who enters a plea of guilty under this rule may, within [ten (] 10 [)] days after sentence, change the plea to not guilty by so notifying the [issuing authority] district justice in writing. In such event, the [issuing authority] district justice shall vacate the plea and judgment of sentence, and the case shall proceed in accordance with Rule 146, as though the defendant had been held for court.

   (e)  [Judgment] Ten days after the acceptance of the guilty plea and the imposition of sentence, the district justice shall certify the judgment [on a plea of guilty entered under this rule must be certified], and shall forward the case to the clerk of courts of the judicial district [within ten (10) days of disposition.] for further proceedings.

   Official Note:  Adopted June 30, 1977, effective September 1, 1977; Comment revised January 28, 1983, effective July 1, 1983; amended November 9, 1984, effective January 2, 1985; amended ______ , 1996, effective ______ .

Comment

   In certain cases, provisions for taking a plea of guilty in what would ordinarily be a court case within the jurisdiction of the court of common pleas have been placed within the jurisdiction of [issuing authorities] district justices. This rule [was initially adopted] provides the procedures to implement [procedures for such] this expanded [issuing authority] jurisdiction of district justices to accept pleas of guilty under certain circumstances in certain specified third degree misdemeanors [, pursuant to the Act of July 15, 1976, P. L. 1014, No. 204 §§ 303, 304, 42 P. S. §§ 2303, 2304. This Act has now been replaced by Section 1515(a)(5) and (6) of the]. See Judicial Code, 42 Pa.C.S. § 1515(a)(5), (6) (1981).

   This rule applies whenever [an issuing authority] a district justice has jurisdiction to accept a plea of guilty in a court case.

   Under paragraph (a), it is intended that a defendant may plead guilty at the completion of the preliminary hearing or at any time prior thereto.

   Prior to accepting a plea of guilty under this rule, it is suggested that the [issuing authority] district justice consult with the attorney for the Commonwealth concerning the case, with regard to the defendant's possible eligibility for A.R.D. or other types of diversion, and concerning possible related offenses which might be charged in the same complaint. See Commonwealth v. Campana, [452 Pa. 233,] 304 A.2d 432 (Pa. 1973). [The issuing authority should, in any event, determine before accepting the plea whether any other related offenses exist which might affect jurisdiction.]

   Before accepting a plea,

   (a) [the] The [issuing authority] district justice should [also] be satisfied of jurisdiction to accept the plea, and should determine whether any other related offenses exist which might affect jurisdiction.

   (b)  The district justice should be satisfied that the defendant is eligible under the law to plead guilty before [an issuing authority] a district justice, and, when relevant, should check [. This may include, for example, a check of] the defendant's prior record and [inquiry] inquire into the amount of damages[, where relevant].

   (c)  The district justice should advise the defendant of the right to counsel. For purposes of appointment of counsel, these cases should be treated as court cases, and the Rule 316 (Assignment of Counsel) procedures should be followed.

   (d)  The district justice should advise the defendant that, if the defendant wants to change the plea to not guilty, the defendant, within 10 days after imposition of sentence, must notify the district justice who accepted the plea of this decision in writing.

   (e)  The [issuing authority] district justice should make a searching inquiry into the voluntariness of the defendant's plea. A colloquy similar to that suggested in Rule 319 should be conducted to determine the voluntariness of the plea. At a minimum, the [issuing authority] district justice should ask questions to elicit the following information:

   (1)  That the defendant understands the nature of the charges pursuant to which the plea is entered.

   (2)  That there is a factual basis for the plea.

   (3)  That the defendant understands that he or she is waiving the right to trial by jury.

   (4)  That the defendant understands that he or she is presumed innocent until [he is] found guilty.

   (5)  That the defendant is aware of the permissible range of sentences and/or fines for the offenses charged.

   (6)  That the defendant is aware that the [issuing authority] district justice is not bound by the terms of any plea agreement tendered unless the [issuing authority] district justice accepts such agreement.

   (7)  That the defendant understands that the plea precludes consideration for A.R.D. or other diversionary programs.

   See Rule 319 and the Comment thereto for further elaboration of the required colloquy. See also Commonwealth v. Minor, [467 Pa. 230,] 356 A.2nd [246] 346 (Pa. 1976), overruled on other grounds in Commonwealth v. Minarik, 427 A.2d 623, 627 (Pa. 1981); Commonwealth v. Ingram, [455 Pa. 198,] 316 A.2d 77 (Pa. 1974); Commonwealth v. Martin, [455 Pa. 49,] 282 A.2d 241 (Pa. 1971).

   [Before accepting the plea, the issuing authority should advise the defendant of the right to counsel. For purposes of appointment of counsel, these cases should be treated as court cases, and the Rule 318 (Assignment of Counsel) procedure should be followed. The defendant should also be advised, at the time the plea is taken, that any attempt to change the plea to not guilty must be made before the issuing authority within ten (10) days of imposition of sentence.]

   While the rule continues to require a written plea incorporating the contents specified in paragraph (c), the form of plea was deleted in 1985 because it is no longer necessary to control the specific form of written plea by rule.

   Paragraph (c) does not preclude verbatim transcription of the colloquy and plea.

   [Under paragraph (a), it is intended that a defendant may plead guilty at the completion of the preliminary hearing or at any time prior thereto.]

   At the time of sentencing, or at any time within the 10-day period before transmitting the case to the clerk of courts pursuant to paragraph (e), the district justice may accept payment of, or may establish a payment schedule for installment payments of, restitution, fines, and costs.

   If a plea is not entered pursuant to this rule, the papers must be transmitted to the clerk of [court] courts of the judicial district in accordance with Rule 146. After the time set forth in paragraph (a) for acceptance of the plea of guilty has expired, the [issuing authority] district justice no longer has jurisdiction to accept a plea. [Once the case is transmitted in accordance with Rule 146, the court of common pleas has exclusive jurisdiction over the case and any plea incident thereto.]

   Regardless of whether a plea stands or is timely changed to not guilty by the defendant, the [issuing authority] district justice must transmit the transcript and all supporting documents to the appropriate court, in accordance with Rule 146.

   Once the case is forwarded as provided in this rule and in Rule 146, the court of common pleas has exclusive jurisdiction over the case and any plea incident thereto. The case would thereafter proceed in the same manner as any other court case, which would include, for example, the collection of restitution, fines, and costs; the establishment of time payments; and the supervision of probation in those cases in which the district justice has accepted a guilty plea and imposed sentence.

Committee Explanatory Reports:

   Report explaining the ______ , 1996 amendments published at 26 Pa.B. 4897 (October 12, 1996).

REPORT

Proposed Amendments to Pa.R.Crim.P. 149:  Guilty Pleas Before District Justices in Court Cases

Introduction

   The Committee received correspondence from State Court Administrator Nancy Sobolevitch and others requesting clarification of the Rule 149 (Pleas of Guilty Before Issuing Authority in Court Cases) procedures following the acceptance of a guilty plea and imposition of sentence. Specifically, the correspondents questioned whether fines, costs and restitution imposed by the district justice are to be collected by the district justice or the court of common pleas. Apparently, the Statewide practice is not uniform, with some district justices retaining the case until all the restitution, fines and costs are collected, and other district justices forwarding the entire case to the court of common pleas for collection.

   The Committee reviewed the history of Rule 149. We found that it had been the intention of the Committee when it proposed Rule 149 in 1977 that, because the pleas being accepted are court cases, once the plea process is completed, the record should be forwarded to the court of common pleas. This intention is reflected in the language of paragraph (e) which provides that:

Judgment on a plea of guilty entered under this rule must be certified to the clerk of courts of the judicial district within ten (10) days of disposition.

   Although the rule clearly provides that the cases are to be forwarded to the court of common pleas, and this was intended to mean all further proceedings would be in the court of common pleas, the Committee reviewed the comments from the correspondents who suggested that the case remain with the district justice, and considered whether the suggested benefits to the criminal justice system of this procedure were enough to merit changing the present procedure. We concluded that the procedure should not be changed. However, recognizing the lack of Statewide uniformity and the obvious confusion about the intended procedure, the Committee agreed that Rule 149 and the Comment should be amended to more clearly provide that once the district justice accepts the guilty plea and imposes sentence, the case should be forwarded to the court of common pleas where all further proceedings are to occur. ''Further proceedings'' would include the collection of restitution, fines, and costs; supervision of probation; and revocation proceedings.

   Finally, the Committee agreed that the rule should clear up another area of confusion--the district justice's authority to act while the case remains within the district justice's jurisdiction, i.e., during the 10-day period within which the defendant may withdraw the plea. Although we thought the rule was clear that the district justice has the authority to accept payment of, or to establish a payment schedule for installment payments of, any restitution and the fines and costs, we concluded that a paragraph in the Comment underscoring this authority would be helpful.

Discussion of the Rule 149 Amendments

   1.  Paragraph (e) would be amended in several ways. First, ''shall forward the case'' and ''for further proceedings'' would be added to make it clear that the case must be forwarded to the court of common pleas and that all further proceedings are to occur in the court of common pleas. The last paragraph of the Comment would be revised to explain that once the case is forwarded, it is to be treated in the same manner as any other court case, and includes examples of what might occur in these cases, such as collection of restitution, fines, and costs; establishment of payment schedules; or supervision of probation.

   Second, by beginning the paragraph with ''ten days after the acceptance of the guilty plea and the imposition of sentence, the district justice shall certify that...,'' the amendments more accurately convey that the case does not get forwarded until after the tenth day after imposition of sentence. The Committee agreed that this clarification was necessary to reduce the likelihood that a case would be forwarded before the expiration of the defendant's 10-day grace period.

   2.  The term ''issuing authority'' would be changed to ''district justice'' throughout the rule and Comment to make the rule consistent with 42 Pa.C.S. § 1515, which applies only to district justices, and provides for the acceptance of guilty pleas in certain third degree misdemeanors and other cases.

   3.  The Comment would be reorganized and revised to further clarify the Rule 149 procedures and the general requirements concerning acceptance of guilty pleas in court cases. It would also include a paragraph explaining that at the time of sentencing or during the 10-day period before a case is forwarded to the court of common pleas, the district justice may accept payment of restitution, fines, and costs, or establish a payment schedule.

[Pa.B. Doc. No. 96-1703. Filed for public inspection October 11, 1996, 9:00 a.m.]


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