Lead Opinion
OPINION
The question-presented by this case is whether the district court abused its discretion when it excluded evidence of an Alford plea entered during a previous criminal proceeding regarding the same course of conduct from being considered in a subsequent civil trial. The civil jury found respondent Ralph Liebsch not liable for sexual assault and battery against appellant Jane Doe 136. The court of appeals affirmed. Because we conclude that the district court acted within its discretion, we affirm.
Doe first encountered Liebsch in the summer of 2000, when Doe was 7 years old. At that time, Liebsch owned a largely unimproved lot on White Bear Lake that was adjacent to Doe’s childhood home. Doe’s childhood friend and formér neighbor testified that Liebsch spent more time than usual at his lot that summer to repair storm damage to the roof of his garage. Doe’s friend testified that he saw Liebsch kiss . Doe on the lips. That summer, Dóe also told her friend that Liebsch “put his tongue in her mouth and it was gross.” Four years later, Doe disclosed to two of her cousins that Liebsch “had touched her vagina and fingered her, used his fingers to touch her and it hurt, and he kissed her on the lips.” Over the next few years, one
In June. 2008 investigators from the White Bear Lake Police Department questioned Liebsch regarding the alleged sexual assault, and Liebsch denied any involvement or knowledge. A few. months later, Liebsch was charged with first- and second-degree criminal sexual conduct, Minn. Stat. §§ 609.342, subd. 1, 609.343, subd. 1(a) (2014). Liebsch pleaded not guilty, and the case proceeded to trial. On the second day of trial, the district court declared a mistrial when Doe’s mother suggested that Liebsch had previously committed sexual misconduct.
Prior to a second trial, in January 2010, Liebsch pleaded guilty to fifth-degree criminal sexual conduct, Minn.Stat. § 609.3451, subd. 1 (2014),
Doe sued Liebsch in February 2011, alleging that he committed sexual battery and sexual abuse based on the conduct that gave rise to the criminal charges. The complaint alleged that Liebsch “pled guilty to criminal sexual conduct in the 5th degree.” In his answer, Liebsch admitted .entering a guijty plea, but denied all allegations that he committed sexual abuse. Prior to. the start of trial, Liebsch brought a motion in limine to prevent Doe from introducing evidence of the Alford plea. Doe opposed the motion, arguing that the court should allow the Alford plea to be introduced into evidence, and that Liebsch could then explain why. he entered the plea.
The district court granted Liebsch’s motion under Minn. R. Evid. 403. The court noted that a defendant may have several reasons for pleading guilty while maintaining innocence, such as “avoiding] the possibility of a longer prison sentence” and “avoiding] ... .civil liability.” The court excluded. evidence of the Alford plea because it ■ “contains an admission by [Liebsch] only that a jury might find him guilty,” and .therefore “any mention of the Alford plea would be substantially more prejudicial to [Liebsch] than probative to [Doe]’s case.” ,
The civil case proceeded to a jury trial. During his ' direct examination, Liebsch testified that "he always denied that he sexually abused Doe. Doe’s counsel argued
I.
First, we determine whether the district court abused its discretion when it excluded the use of Liebsch’s Alford plea as substantive evidence under Minn. R, Evid, 403. We afford the district court broad discretion when ruling on evidentia-ry matters, and we will not reverse the district court absent an abuse of that discretion. Peterson v. BASF Corp.,
A.
An Alford plea is a plea in which “[a]n individual accused of [a] crime may voluntarily, knowingly, and understandingly consent to the imposition of a prison sentence” while not admitting-guilt. Alford,
We formally adopted the use of Alford pleas in State v. Goulette,
“[A] trial court may accept a plea of guilty by an accused even though the accused claims he is innocent if the court, on the basis of its interrogation of the accused and its analysis of the factual basis offered in support of the plea, reasonably concludes that there is evidence which would support a jury verdict of guilty and that the plea is voluntarily, knowingly, and understandingly entered.”
Because the accuracy of a plea may be at issue when the, defendant does not admit guilt, we have recommended that district courts “have the defendant specifically acknowledge on the .record at the. plea hearing, that the evidence the State would likely offer against him is sufficient for a jury, applying a reasonable doubt standard, to find the defendant guilty of the offense to which he is pleading guilty.” State v. Theis,
A conviction based upon an Alford plea generally carries the same penalties and collateral consequences as a conventional guilty plea. 5 LaFave et al., supra, § 21.4(f), at 848-49; see, e.g., Burrell v. United States,
B.
The district court excluded the use of Liebsch’s Alford plea as substantive evidence under Minn. R. Evid. 403, which provides that “evidence may be excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or misleading the jury, or by considerations of undue delay, waste of time, or needless presentation of cumulative evidence.” Evidence has probative value “when it, in some degree, advances the inquiry.” State v. Schulz,
The question of whether evidence of an Alford plea is admissible in a subsequent trial is a matter of first impression in Minnesota. Courts in other jurisdictions have split on whether Rule 403 precludes admission of evidence of an Alford plea in a subsequent criminal trial. Compare United States v. In, No. 2:09CR00070 DS,
The district court found that evidence of Liebsch’s Alford plea contained
The district court also found that evidence of Liebsch’s Alford plea had the capacity to “persuade by illegitimate means.” See Cermak,
Doe ■ argues that evidence of Liebsch’s Alford plea would not result in prejudice because Liebsch knowingly, voluntarily, and intelligently entered the plea, and he did so after' consultation with counsel. Liebsch’s mental state when he entered the plea is irrelevant, however, for determining whether evidence of the Alford plea would unfairly prejudice Leibsch under Rule 403. Instead, among other things, we look to whether the “evidence will be used by the jury for an improper purpose,” State v. Bolte,
Doe further argues that excluding evidence of an Alford plea under Rule 403 ignores a 100-year-old practice of admitting evidence of a guilty plea in a subsequent civil case. We have held that evidence that a party has entered a guilty plea is generally admissible in a subsequent civil trial regarding the same course of conduct. See, e.g., Glens Falls Grp. Ins. Corp. v. Hoium,
Moreover, none of the cases cited by Dpe involved Minn. R. Evid. 403, and we have never held that evidence of a guilty plea is exempt from Rule 403’s balancing test.
II.
Next, Doe argues that the district court should have admitted Liebsch’s answer to the complaint, in which he admitted to entering a guilty plea, to impeach Liebsch’s testimony that he has always denied sexually abusing Doe. A party generally may impeach a witness with a prior contradictory statement. O’Neill v.
But impeachm'ént eyidehce, like substantive evidence, is subject to the requirements of Minn. R. Evid. 403. King v. All-Am., Inc.,
Liebsch testified that he has denied allegations of sexual abuse “any time anybody has asked [him].” During closing argument, Liebsch’s counsel stated that Doe presented no evidence “that called into question any of the things that are at issue in this case” or refuted Liebsch’s version of the relevant events. Doe argues that these statements contradict Liebsch’s admission that he entered a guilty plea, and therefore she should have been permitted to introduce the admission as impeachment evidence.
The district court noted that Liebsch’s admission’ in the answer, like Liebsch’s Alford plea, “[does] not constitute an admission of the underlying facts of this matter.” The court therefore concluded that the admission was consistent with Liebsch’s testimony, which “did still deny that he committed the acts.” Importantly, Liebsch never denied that "he entered an Alford plea. Consistent with his Alford plea, Leibsch only denied the facts establishing guilt. We therefore conclude that the district court acted within its discretion when ¡it did not allow Liebsch’s Alford plea to be admitted for impeachment purposes.
Affirmed. '
Notes
. Because Liebsch had no prior convictions for criminal sexual conduct within the previous 7 years, he was convicted of a gross misdemeanor rather than a felony. See Minn. Stat. § 609.3451, subds. 2-3 (2014).
. Doe also argued that Liebsch’s Alford plea should prevent him from denying -the sexual abuse under the doctrine of collateral estop-pel. The district court concluded that collateral estoppel did not apply. Doe did not appeal that decision, and therefore we do not address it.
. The dissent takes particular issue with this point, arguing that we routinely- ask Minnesota juries to consider complex and difficult questions. Although the dissent is no doubt correct, deciding which facts or issues could confuse the jury — and whether that risk of confusion is necessary to the adjudication of the case — is a function that rests soundly within.the discretion of the trial court. In this case, we cannot say that the trial court abused its discretion when it concluded that evidence of Liebsch’s Alford plea would create a significant risk of jury confusion and prejudice while providing little probative valúe.
. A guilty plea is an out-of-court statement offered to prove the truth of the .matter assert'ed (i.e., it is hearsay). Prior to our adoption of the Minnesota Rules of Evidence, we- allowed evidence of a guilty plea as an “admission against interest.” Hoium,
. At oral argument, Doe’s counsel urged us to consider cases in which a defendant who entered an Alford plea was subject to the same consequences as though he had entered a conventional guilty plea. See State v. Soto,
Amicus curiae National Center for Victims of Crime also cites three cases in which evidence of an Alford plea was admitted into evidence. See Blohm v. Comm’r,
. We leave for another day consideration of admission of Alford pleas under other circumstances.
. The same arguments that support’ a finding that Liebsch’s testimony did not contradict his Alford plea also support a finding that the statement Liebsch’s counsel made during closing argument did not contradict Liebsch’s Alford plea. Critically, neither the testimony nor the statement in closing ¡arguments denied that Liebsch entered an Alford plea. The statement in closing arguments was consistent with Liebsch’s Alford plea and thus the district court did abuse its discretion by denying Doe the opportunity to impeach Liebsch with evidence of his Alford plea.
Dissenting Opinion
(dissenting).
For almost 40 years we have allowed Minnesota defendants to plead guilty to .crimes while they simultaneously’ deny their guilt — by what we know as Alford pleas. Whatever the wisdom of that judicial policy, it has been black-letter law that an Alford plea may be used for the samé
I.
In 2008, Ralph Joseph Liebsch was charged with first- and second-degree criminal sexual conduct under MinmStat. §§ 609.342, subd. 1(a), 609.343, subd. 1(a) (2Ó14). The complaint alleged that a girl, age 7 or 8 at the time of the conduct, was the victim. Now she is the plaintiff (Doe 136) in this civil case.
With the advice of experienced criminal defense counsel, Liebsch resolved the criminal charges with a guilty plea to one count of criminal sexual conduct in the fifth degree under Minn.Stat.- § 609.3451, subd. 1 (2014), a gross misdemeanor. His guilty plea was an Alford plea, entered pursuant to North Carolina v. Alford,
As part of the plea proceeding, and as required by Rule 15 of the Minnesota Rules of Criminal Procedure, Liebsch submitted a “Petition to Enter Plea of Guilty in Felony or Gross Misdemeanor.” The petition shows that Liebsch intended to enter an Alford plea. In the petition Liebsch represented: “I now make no claim that I am innocent.”
After Liebsch’s plea was accepted and he was convicted, the victim sued Liebsch for sexual assault and battery. The district court granted Liebsch’s motion in li-mine to exclude all evidence of Liebsch’s guilty plea, including the petition. The court made its decision under Rule 403 of the Minnesota Rules of Evidence, which allows relevant evidence to be “excluded if its probative value is substantially outweighed by the danger of unfair prejudice, confusion of the issues, or misleading the jury....”
II.
A district court’s Rule 403 ruling is reversible only for an abuse of discretion, and that discretion is broad. Peterson v. BASF Corp.,
By its ruling, the district court kept from the jury highly probative evidence. Although we have not considered the issue, the weight of authority from other jurisdictions holds that, an Alford plea, is not just probative, but is admissible, for. issue preclusion in a civil case based on the conduct underlying the plea. See Blohm v. Comm’r,
Further, both the Rules of Criminal Procedure and the Rules of Evidence indicate the probative value of a guilty plea, whether under Alford or otherwise. Minnesota Rules of Criminal Procedure 15.06. provides that guilty pleas not accepted or withdrawn, and related evidence of them, are inadmissible in any criminal, civil, or administrative proceeding. The implication is.that accepted guilty pleas are .admissible. Minnesota Rule of Evidence 410 is to the same effect. Neither rule exempts accepted guilty pleas, whether Alford or otherwise.
Not only did the district court profoundly mischaracterize the Alford plea, it also dramatically overstated the danger of prejudice and' confusion that would have resulted had thé jury been allowed to learn about Liebsch’s guilty plea and conviction. I particularly take issue with the court of appeals’ statement, when it affirmed the district court, that a jury “might fail to fully comprehend or appreciate the nature of an Alford plea, which is a subject usually reserved to persons with legal training.” Doe v. Liebsch,
I grant that any reasonable lay person might be perplexed and perhaps troubled by the concept that a charge of criminal sexual conduct by penetration of a child may be resolved .with an Alford plea, which -allows the defendant to continue to deny that the conduct happened, But the Alford plea exists and is used regularly in our courts, including in criminal sexual conduct cases. We expect the defendants ■themselves and their alleged victims, most without legal training, to understand the essentials of Alford pleas. Why shouldn’t jurors, properly instructed, be able to do the same?
By assuming that 'Minnesota juries simply can’t understand, will give undue weight to, or will be “distracted” by ah Alford plea, we give jurors too little credit. Juries in both criminal and" civil cases routinely consider and decide the most tangled and difficult disputes/sometimes involving scientific and technical issues that vex experts. See, e.g., Hudson v. Snyder Body, Inc.,
in this case, by excluding all evidence of the guilty plea, the district court left the jury in the dark. At several points in the trial, the jurors learned that Liebsch had been investigated, but they were not allowed to learn the legal result of that investigation.
Therefore, the district court’s Rule 403 analysis was fundamentally flawed and unbalanced. When they involve the same incident or transaction at issue in the civil case, Alford guilty pleas are not “technical,” but are probative and perhaps even dispositive.' Properly instructed, juries can understand, and should be allowed to consider, Alford pleas.
As the district court’s ruling was erroneous and was objected to, I must next consider whether the ruling constitutes prejudicial error entitling Doe to a new trial. See City of Moorhead v. Red River Valley Co-op. Power Ass’n,
Accordingly, I respectfully dissent. The court should have reversed and remanded the case to the court of appeals to decide the remaining issue on appeal: whether the motion for a new trial was timely.
. During the plea proceeding, both Liebsch and his attorney confirmed that they had "reviewed each and every paragraph” of the petition, and that the attorney had "read it out loud to you as we went through it together.” Liebsch, his attorney, the prosecutor, and the court all agreed that Liebsch was entering an Alford plea.
. State v. Goulette ‘‘emphasize[d]” that it is "absolutely crucial” that an Alford-type plea not be "cavalierly accepted,” and that "the factual basis requirement would appear to be essential.” -
. Rule 410 also excludes evidence of pleas of nolo contendré. The reference is to nolo pleas from other jurisdictions, as Minnesota does not allow nolo pleas. See Minn. R.Crim. P. 1401; Minn, R. Evid. 410 comm. cmt.— 1977. Unlike a nolo plea, Alford pleas are accepted only after inquiry into actual guilt, so they should be accepted as standard guilty pleas for purposes of Rule 410. See Dixon v. State,
, Doe 136 did not appeal the district court’s decision that tine Alford plea was not preclu-sive on liability.
, In closing, Liebsch's attorney specifically linked the fact that there had been an investigation to his argument that the plaintiff’s attorney .did , not impeach Liebsch: "You learned that Mr. Liebsch in due course was interviewed by an investigator and that the interview lasted for an hour. And then you heard and saw Mr. Liebsch take the witness stand here. You did not hear a single question put to Mr. Liebsch by Mr. Meyers that called into question any of the things that are at issue in this case, you heard the issue about the property line dispute, but there was no impeaching evidence. And you heard instruc-
