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Rule 11 – Pleas; Special Circumstances As to Acceptance of Certain Pleas; Notice to Noncitizens of Potential Adverse Immigration Consequences of a Plea

May 13, 2021 | Criminal Procedure, Maine

(a) Pleas for any Crime.

(1)In General. A defendant may plead not guilty, not criminally responsible by reason of insanity, guilty, or nolo contendere. A defendant may plead both not guilty and not criminally responsible by reason of insanity to the same charge.

The court may refuse to accept a plea of guilty or nolo contendere.

If a defendant refuses to plead, or if the court refuses to accept a plea of guilty or nolo contendere, the court shall enter a plea of not guilty.

(2)Conditional Plea. With the approval of the court and the consent of the attorney for the State, a defendant may enter a conditional plea of guilty or nolo contendere. A conditional plea shall be in writing. It shall specifically state any pretrial motion and the ruling thereon to be preserved for appellate review. If the court approves and the attorney for the State consents to entry of the conditional plea of guilty or nolo contendere, the parties shall file a written certification that the record is adequate for appellate review and that the case is not appropriate for application of the harmless error doctrine. Appellate review of any specified ruling shall not be barred by the entry of the conditional plea.

If the defendant prevails on appeal, the defendant shall be allowed to withdraw the plea.

(b) Prerequisites to Accepting a Plea of Guilty or Nolo Contendere to a Class C or Higher Crime. In all proceedings in which the crime charged is murder or a Class A, Class B, or Class C crime, before accepting a plea of guilty or nolo contendere, the court shall ensure

(1) That the plea is made with knowledge of the matters set forth in subdivision (c); and
(2) That the plea is voluntary within the meaning of subdivision (d); and
(3) That there is a factual basis for the charge, as provided in subdivision (e); and
(4) That an unrepresented defendant has knowingly and intelligently waived the defendant’s right to counsel.
(c) Ensuring That the Plea Is Made Knowingly. Before accepting a plea of guilty or nolo contendere in a case involving a Class C or higher crime, the court shall address the defendant personally in open court and inform the defendant of, and determine that the defendant understands, the following:

(1) The elements of the crime charged, the maximum possible sentence and any mandatory minimum sentence; and
(2) That by pleading guilty or nolo contendere the defendant is giving up the right to a trial, at which the defendant would have the following rights:

(A) The right to be considered innocent until proven guilty by the State beyond a reasonable doubt; and
(B) The right to a speedy and public trial by the court or by a jury; and
(C) The right to confront and cross-examine witnesses against the defendant; and
(D) The right to present witnesses on the defendant’s behalf and the right to either be or decline to be a witness on the defendant’s behalf.
(d) Ensuring That the Plea Is Voluntary. Before accepting a plea of guilty or nolo contendere in a case involving a Class C or higher crime, the court shall determine that the plea is the product of the defendant’s free choice and not the result of force, threats, or promises other than those in connection with a plea agreement. The court shall make this determination by addressing the defendant personally in open court. The court shall inquire as to the existence and terms of a plea agreement, as provided in Rule 11A.
(e) Ensuring That There Is a Factual Basis for the Plea. Before accepting a plea of guilty or nolo contendere in a case involving a Class C or higher crime, the court shall make such inquiry of the attorney for the State as shall satisfy it that the State has a factual basis for the charge.
(f) Acceptance of a Plea of Guilty to a Class C or Higher Crime Before Indictment. A defendant who, before indictment, desires to enter a plea of guilty to a charge of a Class A, B, or C crime may in open court waive the defendant’s right to indictment by a grand jury as provided in Rule 7(b).

If the court refuses to accept the plea or the defendant, after waiving indictment in open court, declines to plead guilty or if a plea of guilty is set aside, the waiver shall be considered withdrawn and the case shall proceed in accordance with these Rules as if no waiver had been made.

(g) Prerequisites to Accepting a Plea of Guilty or Nolo Contendere to a Class D or Class E Crime From an Unrepresented Defendant. Before accepting a plea of guilty or nolo contendere to a Class D or Class E crime from a defendant who is not represented by retained or appointed counsel or a lawyer for the day, other than as provided in subdivision (j), the court shall address the defendant personally in open court and make such inquiry as to ensure that the plea is knowing, intelligent, and voluntary.
(h) Potential Adverse Immigration Consequences to Noncitizens of the Plea to Any Crime. Before accepting a plea of guilty or nolo contendere for any crime, the court shall inquire whether the defendant was born in the United States. If, based on the defendant’s answer, it appears that the defendant is not a United States citizen, the court shall ascertain from defense counsel whether the defendant has been advised of the risk under federal law of adverse immigration consequences, including deportation, as a result of the plea. If no such advice has been provided, or if the defendant is unrepresented, the court shall notify the defendant that the plea can create a risk of adverse immigration consequences, including deportation, and may continue the proceeding in order for counsel to provide the required advice or, in the case of an unrepresented defendant, for investigation and consideration of the consequences by the defendant. The court is not required or expected to inform the defendant of the nature of any adverse immigration consequences.
(i) Transfer for Plea and Sentence. The defendant may, in writing, if a criminal charge is currently pending in a court, request permission to plead guilty or nolo contendere to any other crime the defendant has committed in the state, subject to the written approval of the attorneys for the State, if more than one. Upon receipt of the defendant’s written statement and of the written approval of the attorneys for the State, the clerk of the Unified Criminal Docket in which a complaint, an indictment or an information is pending shall transmit the papers in the proceeding to the clerk of courts where the defendant is currently being held, and the prosecution shall continue in that court. The defendant’s plea of guilty or nolo contendere constitutes a waiver of venue.

The court receiving a case transferred for plea and sentence shall issue an order that either requires the case to remain in the sentencing court or requires the case to be returned to the originating court.

(j) Acceptance of Guilty Plea by the Clerk to a Charge Punishable by a Fine. At the signed request of the defendant, the clerk of the Unified Criminal Docket may accept a guilty plea upon payment of a fine as set by the court in the particular case, or as set by the court in accordance with a schedule of fines established by the court with the approval of the Chief Judge of the District Court for various categories of such crimes. Acceptance of a plea by the clerk shall be conditioned upon the defendant signing a form acknowledging that the defendant has read and understands the form and understands that, by entering the plea of guilty, the defendant is giving up all of the rights listed on the form, and that the plea will result in a criminal conviction, the punishment for which is the fine paid by the defendant.

Me. R. Uni. Crim. P. 11

Last amended effective November 2, 2016.