Lead Opinion
Petitioner, Michael Anthony Bruno, was tried in the Circuit Court for Harford County on stipulated evidence and was convicted of first degree rape by the trial judge (Whitfíll, J.). Bruno appealed his conviction, challenging the admissibility of incriminating statements that he made to three different individuals. At a pretrial motions hearing, the trial judge denied a motion to suppress these statements, and they were included as part of the stipulated evidence. On appeal, the Court of Special Appeals ruled that the statements to two of the three individuals were inadmissible, however, it found their admission was harmless in light of the other overwhelming evidence of guilt. We granted certiorari to consider if improperly admitted statements could be deemed harmless error when a defendant, in order to preserve for appeal the trial court’s ruling on a motion to suppress, has pled not guilty and agreed to a trial by stipulated evidence.
Bruno was charged with first degree rape and related offenses. He pled not guilty and initially elected to be tried by a jury. Prior to trial, Bruno sought to suppress several incriminating statements on the ground that they were obtained in violation of his Sixth Amendment right to counsel. The challenged evidence included (1) “the Smith statement”— Bruno’s admission to Norman Smith, a fellow inmate in the Harford County Detention Center, that Bruno had forcibly raped the victim after a night of partying; (2) “the Mack statement” — statements made by Bruno to another inmate, Curtis Mack, expressing his desire to have the rape victim killed; and (3) “the Walters statement” — Bruno’s conversation with Corporal Frank Walters, an undercover officer with the Maryland State Police, in which Bruno repeated his desire to have the rape victim killed and agreed to a price for the murder. The trial court denied Bruno’s motion to suppress all three of these statements.
After the denial of his suppression motion, Bruno reaffirmed his not guilty plea; however, he decided to waive his right to a jury trial and agreed to a trial by stipulated evidence.
“[STATE’S ATTORNEY]: Your Honor, in the early morning hours of March 29, 1990, a woman by the name of Kimberly W.,[4 ] approximate age 24, was at a bar called Lucky Spirits in Baltimore City. She met up with a group of five men, among them Michael Bruno, the Defendant. Mr. Bruno was on an, I guess bar hopping would be a good term, with the other men.
As the evening progressed, Miss W. became part of the group, and shortly before closing, Miss W. left the bar in Mr. Bruno’s limousine with the five men, including Mr. Bruno. They went on a rather circuitous route, through Baltimore County, ultimately ending up in Harford County.
At some point, two of the men, Chuckie and Ricky Frazier, left the group, leaving Miss W. with Michael Bruno, Robert Ambrose, and Andre Whims.
There came a time when Mr. Bruno and/or his companions demanded sexual relations with Miss W. The limousine was parked at the time. Miss W. refused these advances.
At that point, Mr. Ambrose and Mr. Whims held down Miss W. and Mr. Bruno started to remove her clothing forcefully. Miss W. resisted. She was kicking and pushing at them, and telling them to stop.
Mr. Bruno obtained an electronic stun gun device that delivers shocks of relatively high voltage of electricity, and shocked her with it on her bare skin numerous times.
While she was being held down by his companions and after the weapon, which she perceived to be a dangerous*678 and deadly weapon, was used upon her, she submitted, and Mr. Bruno engaged in forceful vaginal intercourse with her forcefully, and against her consent, while the two companions were assisting in subduing her.
Other sexual acts took place, all against her will, and without her consent. There were several acts of sexual intercourse, acts of sodomy, and battery.
Ultimately, when the sexual events were over, Mr. Bruno and his companions began to discuss the possibility of having breakfast. Miss W., realizing this would involve going to a place where there were other people, and a place of safety, agreed to do so. They came to Denny’s in the Fallston area of Harford County. There, she was let out of the vehicle and approached a waitress.
The police were summoned. Mr. Bruno and his companions were all arrested. While in jail, in the Harford County Detention Center, under this charge, pending trial, Mr. Bruno admitted to a fellow inmate by the name of Norman Smith, that he had raped Miss W.
He also had a conversation with a fellow inmate by the name of Curtis Mack concerning killing Miss W., the State’s witness. Mr. Mack made arrangements to have Mr. Bruno contact Corporal Frank Walters of the Maryland State Police, who was identified to Mr. Bruno as Tony, a professional hit man who would take care of Miss W. for him.
Mr. Bruno contacted Corporal Walters and engaged in a conversation with him, which has been marked as a State’s exhibit. We would ask it be included as an exhibit, the transcript of the conversation, included as an exhibit in the Statement of Facts.
THE COURT: Be accepted.
[STATE’S ATTORNEY]: Thank you. In this conversation Mr. Bruno solicited the murder of Miss W. for a sum of money which was agreed for approximately $1,500.
Just to clear it up, I am not sure I precisely phrased it regarding Mr. Mack. At some point Mr. Bruno and Mr. Mack had a conversation regarding Mr. Bruno’s desire to*679 kill Kimberly W. Mr. Mack gave the name, phone number, and the name “Tony,” which was Frank Walters of the Maryland State Police, which brings about the transcript we have asked to be included.
The terminating point of the transport of Miss W. in the course of thе rape was, of course, Harford County, which, of course, gives us jurisdiction. That would be the Statement of Facts.
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[DEFENSE ATTORNEY]: Your Honor, in light of the agreement, if that’s — if the State’s witnesses were to testify in this case, that would be their testimony. Given that, we have no further additions, corrections, deletions, or modifications.
THE COURT: Argument as to whether or not the Statement of Facts is sufficient to constitute the offenses charged?
[DEFENSE ATTORNEY]: We will submit.
THE COURT: Based on the Statement of Facts, I am convinced beyond a reasonable doubt and to a moral certainty the Defendant is guilty of First Degree Rape of Kimberly W., and that he had vaginal intercourse with her against her will by use of force, with assistance of others, and the use of a weapon.
So, for that reason, a finding of guilty as to Count 1, First Degree Rape, will be entered.”
There was a further stipulation to incorporate relevant testimony from the motions hearing regarding Bruno’s statements to Smith, Mack, and Walters. Bruno offered no evidence and called no witnesses to controvert thе stipulated testimony, and expressly acknowledged that the credibility of the State’s witnesses was not at issue.
On appeal, the Court of Special Appeals addressed Bruno’s Sixth Amendment, right-to-counsel challenge to the statements to Smith, Mack, and Walters. The intermediate appellate court determined that the Smith statement, in which
Before this Court, Bruno contends that the Court of Special Appeals erred by finding the improperly admitted statements harmless error. First, Bruno asks us to analogize a not guilty plea, together with a stipulation as to the State’s evidence, to a procedure permitted in some jurisdictions called a conditional guilty plea. He further contends that, if we analogize a trial by stipulated evidence to a conditional guilty plea, we should then follow cases that have refused to apply harmless error to an erroneous refusal to suppress evidence followed by a conditional guilty plea. Those courts have reasoned that there is no way to assess the impact erroneously admitted evidence had upon a defendant’s decision to plead conditionally guilty. See, e.g., People v. Miller,
For reasons we will discuss below, we believe the Court of Special Appeals properly invoked the harmless error rule under the facts of this case. We emphasize that this decision only addresses the propriety of applying harmless error. Bruno does not challenge the intermediate appellate court’s ruling on the admissibility of “the Smith statement.” In its conditional cross-petition, the State does challenge the ruling on the inadmissibility of the Mack and Walters statements. The State presents the question of “[w]hether the Court of Special Appeals erred in holding that evidence that Bruno solicited the murder of the rape victim was inadmissible in his rape trial under Maine v. Moulton [
II.
We begin our analysis with a discussion of conditional guilty pleas. A conditional guilty plea, where permitted by statute or rule, generally allows a defendant to plead guilty, yet still retain the right to appellate review of certain pretrial motions. As implemented by the Federal Rules of Criminal Procedure, a defendant must preserve, in writing, appellate review of the
Bruno directs our attention to cases dealing with conditional guilty pleas in light of his decision to elect an abbreviated form of trial on stipulated evidence. We recognize that several courts have determined that harmless error should not be applied where there is an improper denial of a suppression motion followed by a conditional guilty plea. For example, in Hill, supra, thе Supreme Court of California determined that an appeal from the denial of a suppression motion, expressly authorized by statute after a guilty plea, prevented the court from invoking harmless error when some, but not all, of the evidence should have been suppressed. Id.,
We first note that the Hill decision has not escaped criticism. In People v. Salazar,
Conditional guilty plea cases refusing to apply harmless error analysis after a defendant pleads guilty are inapposite to the instant case. First, and most important, Bruno did not plead guilty, and thus we are neither concerned with the “magnitude of the consequences of a guilty plea,” nor with how an erroneous refusal to suppress evidence impacted upon a decision to plead “guilty.” By pleading not guilty, Bruno was convicted after a trial, albeit, one based on stipulated evidence. Bruno enjoyed the right to full appellate review, as well as benefited from the State’s sentence recommendation and its decision to place other charges on the stet docket. Unlike a guilty plea, under which the State would be relieved of its burden of proof, Moyer v. State,
We are also unpersuaded by those cases finding harmless error inappropriate in conditional guilty plea appeals because they primarily rest upon interpretations of statutes that expressly enable defendants to appeal certain rulings even after entering a guilty plea. See Hill,
Our conclusion that harmless error is applicable to the instant case finds further support in federal court decisions that have criticized conditional guilty pleas. Even prior to the enactment of Federal Rule of Criminal Procedure 11(a)(2), a few federal courts permitted conditional guilty pleas. See discussion in United States v. DePoli,
Bruno also relies on United States v. Weber,
III.
We continue our discussion by briefly mentioning the effect of a not guilty and guilty plea on a defendant’s right to appellate review. Ordinarily, a defendant is entitled to appellate review after a final judgment in a criminal case. See Maryland Code (1974, 1989 Repl.Vol.), Courts and Judicial Proceedings Article, § 12-301. By pleading guilty, however, a defendant forfeits any right to a direct appeal, id. § 12-302(e), and ordinarily waives all nonjurisdictional defects in the pro
Although Maryland does not authorize a conditional guilty plea, see Md.Rule 4-242(a), defendants have preserved appellate review and avoided the necessity of a full trial by pleading nоt guilty, and either stipulating to the testimony of the State’s witnesses (i.e., stipulated evidence) or entering into an “agreed statement of facts” (ie., stipulated facts). See, e.g., Polk v. State,
“There is a distinction between an agreed statement of facts and evidence offered by way of stipulation. Under an agreed statement of facts both [the] State and the defense agree as to the ultimate facts. Then the facts are not in dispute, and there can be, by definition, no factual conflict. The trier of fact is not called upon to determine the facts as the agreement is to the truth of the ultimate facts themselves. There is no fact-finding function left to perform. To render judgment, the court simply applies the law to the facts agreed upon. If there is agreement as to the facts, there is no dispute; if there is dispute, there is no agreement. It would be well, to avoid confusion, that when the parties are in agreement on the facts, the statement of them*690 begin with language to the effect, ‘It is agreed that the following facts are true.... ’
On the other hand, when evidence is offered by way of stipulation, there is no agreement as to the facts which the evidence seeks to establish. Such a stipulation only goes to the content of the testimony of a particular witness if he were to appear and testify. The agreement is to what the evidence will be, not to what the facts are. Thus, the evidence adduced by such a stipulation may well be in conflict with other evidence received. For the trier of fact to determine the ultimate facts on such conflicting evidence, there must be some basis on which to judge the сredibility of the witness whose testimony is the subject of the stipulation, or to ascertain the reliability of that testimony, to the end that the evidence obtained by stipulation may be weighed against other relevant evidence adduced____ We note that the usual way of introducing such a stipulation— ‘If John Doe were to testify, he would testify as follows .... ’ — makes clear the status of the evidence so offered.” (Emphasis in original).
In the instant case, Bruno pled not guilty, as emphasized by his counsel.
Because he pled not guilty and in effect had a trial, Bruno retained his right to full appellate review. Bruno, however, now suggests that the harmless error doctrine should not be applicable to his appeal and he is entitled to a new trial because of insignificant errors. He contends that, because he proceeded by stipulating to the State’s evidence rather than undergoing a full, adversarial trial, he retains the benefit of full appellate review, but the State forfeits the benefit of the harmless error rule. We refuse to allow Bruno to “have his cake and eat it too.” Jones v. State,
Guiding this decision is our belief that a defendant should not be able to circumvent the application of the harmless error rule because he or she opts to proceed to trial by stipulated evidence or an agreed statement of facts. The harmless error doctrine is based on “appellate judgments that a retrial is not justified if the error has not affected the rights of the parties,” Dorsey v. State,
In essence, Bruno asks us to create a per se rule, granting a defendant a new trial whenever an appellate court rules any challenged evidence inadmissible, simply because the trial was conducted on stipulated evidence, and regardless of whether the erroneously admitted evidence lends only an insignificant inference of guilt, is cumulative, or for any other reason would not affect the trial judge’s ultimate decision. We decline to do so. For instance, suppose that a defendant pleads not guilty and proceeds on stipulated' evidence following a denial of a motion to supprеss seven separate confessions to the same crime. Further assume that, on appeal, only the last of these confessions is ruled inadmissible, leaving six properly admitted confessions. Refusing to apply harmless error to the seventh, cumulative confession, simply because the trial was by stipulated testimony, would in no way promote “ ‘public respect for the criminal process by focusing on the underlying fairness of the trial rather than on the virtually inevitable presence of immaterial error.’ ” Fulminante,
Defendants should not be able to avoid the harmless error rule and obtain appellate review of pretrial rulings admitting clearly insignificant or cumulative evidence. Nor should convictions, even convictions on stipulated testimony, be reversed when a judge properly denied a motion to suppress most of the incriminating evidence, but erred in failing to suppress relatively insignificant items. A trial on stipulated evidence is a trial; it is not a circuitous method of obtaining appеllate review of rulings admitting immaterial evidence. Neither the State nor the defendant, nor the two acting in concert, can mandate appellate relief for rulings which are harmless be
Perhaps anticipating our decision that harmless error may be applied in an appeal from a trial by stipulated evidence, Bruno argues that the admission of his statements tо Mack and Walters cannot be deemed harmless beyond a reasonable doubt. Bruno is really suggesting that, in trials by stipulated evidence, the evidence stipulated to should rarely be considered harmless. Although Bruno’s case is not as clear-cut as our above hypothetical case involving seven confessions, it is nonetheless a proper setting for invocation of the harmless error rule. The Court of Special Appeals ruled inadmissible the Mack and Walters statements, in which Bruno indicated his desire to have the rape victim killed. At best, these statements lend only inferential support to the conclusion that Bruno committed rape, i. <?., they indicate “consciousness of guilt.” Arguably, the statements “show not so much a consciousness of guilt [but] simply a desire to get out of jail and escape the prosecution.” Bruno,
We are confident that the statements to Mack and Walters “in no way influenced the [judge’s] verdict.” Dorsey,
We should briefly address the propriety of deeming an error harmless where a defendant stipulates to evidence sufficient for conviction in order to preserve a pretrial suppression
IV.
We do not believe that today’s ruling will force all future defendants to go through full, adversarial trials to preserve the right to challenge pretrial rulings denying the suppression of evidence. In cases where truly dispositive rulings are at issue, a not guilty plea with stipulаted evidence still provides a defendant the opportunity for quicker trials without fearing the application of the harmless error doctrine on appeal. However, we decline to allow a defendant to stipulate to evidence in order to challenge multiple, nondispositive pretrial rulings on appeal, with a reversal mandated if even a single “harmless” ruling was incorrect.
JUDGMENT OF THE COURT OF SPECIAL APPEALS AFFIRMED. COSTS TO BE PAID BY PETITIONER.
Dissenting opinion by ROBERT M. BELL, J.
Notes
. Although the court, the prosecutor, and defense counsel made reference to a "Not Guilty Statement of Facts,” it is clear from the record that the parties were not agreeing as to ultimate fact, but only as to what testimony would be offered by the State’s witnesses.
. As a result of Bruno’s efforts to have the rape victim killed, he was charged and subsequently convicted of solicitation to commit murder and obstruction of justice.
. This summary apparently was based upon the would-be testimony of the rape victim, police investigators, the doctor, the hospital, Smith, Mack, and Corporal Walters.
. We will omit the surname of the rape victim.
. In very limited instances, we have held that, for purposes of conducting a voluntary litany associated with entering into a guilty plea, see Maryland Rule 4-242(c), a "not guilty agreed statement of facts” is the functional equivalent of a guilty plea. See Sutton v. State,
. In his brief, Bruno relies on cases interpreting California's conditional guilty plea statute to prohibit the use of harmless error analysis in appeals taken pursuant thereto. Interestingly, California’s conditional guilty plea statute fails to provide for appellate review of the denial of a motion to suppress admissions on fifth or sixth amendment grounds. See People v. Mattson,
. Bruno argues that by agreeing to the stipulation, the parties and trial court assumed that all of the evidence sought to be suppressed was necessary to prove his guilt. In light of this "assumption,” Bruno maintains that no error can be deemed harmless. However, an examination of the record does not bear out this contention. We fail to see the "assumption” that the inadmissibility of any portion of the evidence sought to be suppressed would be dispositive of Bruno’s appeal and thereby necessitate a new trial. If Bruno was led to believe he was entitled to a new trial upon an appellate court’s ruling that any one of the statements preserved for appeal was inadmissible, there is nothing in the record to show that the prosecution or the court created this belief. Thus, post-conviction relief might be the proper avenue for asserting any argument that Bruno acted upon improper advice of counsel. See Stewart v. State,
. At least twice, defense counsel stated "this is a Not Guilty agreed Statement of Facts, not a Guilty plea." (Emphasis added).
. The stipulated evidence, in pertinent part, detailed that, while the rape victim "was being held down by [Bruno’s] companions and after [a stun gun], which she perceived to be a dangerous and deadly weapon, was used upon her, she submitted, and Mr. Bruno engaged in ... vaginal intercourse with her forcefully, and against her consent, while the two companions were assisting in subduing her.”
Dissenting Opinion
Judge dissenting.
The harmless error rule
*697 [W]hen an appellant, in a criminal case, establishes error, unless a reviewing court, upon its own independent review of the record, is able to declare a belief, beyond a reasonable doubt, that the error in no way influenced the verdict, such error cannot be deemed “harmless” and a reversal is mandated. Such reviewing court must thus bе satisfied that there is no reasonable possibility that the evidence complained of — whether erroneously admitted or excluded-— may have contributed to the rendition of the guilty verdict.
Id. at 659,
I agree, unlike the majority, with the petitioner that “in trials by stipulated evidence, the evidence stipulated to should rarely be considered harmless.” See majority opinion at 693. The petitioner merely states a well-settled proposition that harmless error analysis is supposed to be strict, that it “has been and should be carefully circumscribed.” Younie v. State,
“Continued expansion of the harmless error rule will merely encourage prosecutors to get such testimony in, since they know that, if they have a strong case, such testimony will not be considered to be reversible error, yet if they have a weak case, they will use such testimony to buttress the case*698 to gain a conviction and then hope that the issue is not raised on appeal.”
Id. at 248,
In the case sub judice, the stipulated evidence consisted of a summary of the testimony of the State’s witnesses, and evidence pertinent to the review of the court’s ruling on the petitioner’s motion to suppress. The testimony of three of those witnesses — two of whom, Mack and Smith were former inmates with the petitioner and the third, Walters, was a Maryland State Police undercover officer — related statements purportedly made to them by the petitioner. This testimony was the subject of the motion to suppress, which the trial court denied. The statement to Smith, which purportedly related the details of the rape, was held by the Court of Special Appeals to have been properly admitted. The opposite conclusion was reached as to those statements, involving the petitioner’s desire to have the rape victim killed, made to Walters and Mack. The Court of Special Appeals, as did the majority, concluded the trial court’s error was, however, harmless. As the majority views it:
The trial judge [nevertheless] had overwhelming evidence of guilt properly before him, consisting of the admission to Smith of the rape, as well as the uncontroverted, stipulated evidence [of the facts and circumstances of the rape].
Majority opinion at 694 (footnote omitted). To reach that conclusion, both the majority and the Court of Special Appeals characterized the statements to Mack and Walters as “lending] only inferential support to the conclusion that Bruno committed rape, i.e. they indicate ‘consciousness of guilt.’ ” Id. at 693.
In harmless error analysis, the issue is not what evidence is available to the trier of fact, but rather what evidence the trier
Although the reviewing court, in conducting its harmless error analysis, must independently review the record, it cannot lose sight of the role of the trier of fact in assessing whether the State has met its burden of proof. The trier of fact’s role involves, inter alia, weighing the evidence and resolving any credibility issues which might be presented. See Dykes v. State,
I also find singularly unpersuasive the distinction that the majority draws between the statements. Conceivably, a statement made to an undercover police officer, in which the petitioner seeks to put a contract on the life of the victim, corroborated by another inmate, is more credible and would be more likely to influence the trier of fact’s verdict as to the petitioner’s guilt than simply a statement to a fellow inmate that he was involved in the crime. Certainly, it is well settled that evidence lending inferential support of a defendant’s guilt by establishing consciousness of guilt is highly relevant and, therefore, routinely admitted for that purpose.
I therefore dissent.
. I will not question the proposition the majority so firmly embraces in this case — that harmless error analysis applies whenever, in order to preserve for appeal a trial court’s ruling on a motion to suppress, a defendant enters a not guilty plea and proceeds to trial on stipulated evidence. There may be a rare case, perhаps the example proffered by the majority, see majority opinion at 692, in which the harmless error test enunciated in Dorsey v. State,
In this case, the petitioner proceeded to trial on stipulated evidence in order to ensure that he was able to challenge the court’s ruling on his suppression motion without having to go through a full trial. By proceeding in that fashion, the trial court’s decision on guilt or innocence was, and was expected to be, totally predictable; the trial court would find the petitioner guilty. See Bunnell v. Superior Court,
In Lefkowitz v. Newsome, the United States Supreme Court noted that the procedure whereby a criminal defendant could stipulate to all the state’s evidence while entering a plea of not guilty benefits a defendant who intends to appeal his pretrial claim of unlawful search and seizure without the desire of going through an entire trial.
By applying harmless error analysis in a case like the present one, the Court encourages the violation of the spirit, if not the letter, of the parties' agreement. Moreover, the Court encourages a party who is unable to anticipate the consequences of a not altogether successful appeal if he or she proceeds on a stipulated case, to proceed to trial simply to obtain review of a challenged motions ruling.
