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H.B. 238






Sponsor: Katherine M. Bryson

             6      This act clarifies provisions of the Code of Criminal Procedure relating to the withdrawal
             7      of guilty pleas, expert testimony, suspension of sentences, and the filing of investigation
             8      records.
             9      This act affects sections of Utah Code Annotated 1953 as follows:
             10      AMENDS:
             11          77-13-6, as last amended by Chapter 16, Laws of Utah 1994
             12          77-17-13, as last amended by Chapter 43, Laws of Utah 1999
             13          77-18-1, as last amended by Chapter 8, Laws of Utah 2002, Fifth Special Session
             14          77-22-4, as last amended by Chapter 38, Laws of Utah 1993
             15      Be it enacted by the Legislature of the state of Utah:
             16          Section 1. Section 77-13-6 is amended to read:
             17           77-13-6. Withdrawal of plea.
             18          (1) A plea of not guilty may be withdrawn at any time prior to conviction.
             19          (2) (a) A plea of guilty or no contest may be withdrawn only upon [good cause shown
             20      and with leave of the court.] a showing that it was not knowingly and voluntarily made.
             21          (b) Whether a guilty plea was knowingly and voluntarily made shall be determined
             22      under a totality of the circumstances. Compliance with Rule 11, Utah Rules of Criminal
             23      Procedure, as determined by a review of the record as a whole, creates a rebuttable presumption
             24      that the plea was knowingly and voluntarily made.
             25          [(b)] (c) A request to withdraw a plea of guilty or no contest [is] shall be made by
             26      motion [and shall be made] before sentence is announced or within 30 days after [the entry of
             27      the plea. (3) This section does not restrict the rights of an imprisoned person under Rule 65B,

             28      Utah Rules of Civil Procedure.] pleading guilty or no contest, whichever occurs first. Sentence
             29      may not be announced unless the motion is denied.
             30          (d) Any challenge to a guilty plea not made within the time period specified in
             31      Subsection (2)(c) shall be pursued under Title 78, Chapter 35a, Post-Conviction Remedies Act,
             32      and Rule 65C, Utah Rules of Civil Procedure.
             33          Section 2. Section 77-17-13 is amended to read:
             34           77-17-13. Expert testimony generally -- Notice requirements.
             35          (1) (a) If the prosecution or the defense intends to call any expert to testify in a felony
             36      case at trial or any hearing, excluding a preliminary hearing held pursuant to Rule 7 of the Utah
             37      Rules of Criminal Procedure, the party intending to call the expert shall give notice to the
             38      opposing party as soon as practicable but not less than 30 days before trial or ten days before
             39      the hearing.
             40          (b) Notice shall include the name and address of the expert, the expert's curriculum
             41      vitae, and [a copy of the expert's report. (2) (a) The expert shall prepare a written report
             42      relating to the proposed testimony. (b) If the expert has not prepared a report or the report does
             43      not adequately inform concerning the substance of] one of the following:
             44          (i) a copy of the expert's report, if one exists; or
             45          (ii) a written explanation of the expert's proposed [testimony including any opinion and
             46      the bases and reasons of that opinion, the party intending to call the expert shall provide to the
             47      opposing party a written explanation of the expert's anticipated] testimony sufficient to give the
             48      opposing party adequate notice to prepare to meet the testimony[, followed by a copy of any
             49      report prepared by the expert when available.]; and
             50          (iii) a notice that the expert is available to cooperatively consult with the opposing
             51      party on reasonable notice.
             52          (c) The party intending to call the expert is responsible for any fee charged by the
             53      expert for the consultation.
             54          (2) If an expert's anticipated testimony will be based in whole or part on the results of
             55      any tests or other specialized data, the party intending to call the witness shall provide to the
             56      opposing party the information upon request.
             57          (3) [(a)] As soon as practicable after receipt of the expert's report or the information
             58      concerning the expert's proposed testimony, the party receiving notice shall provide to the other

             59      party notice of witnesses whom the party anticipates calling to rebut the expert's testimony,
             60      including the [name and address of any expert witness and the expert's curriculum vitae. If
             61      available, a report of any rebuttal expert shall be provided to the other party] information
             62      required under Subsection (1)(b).
             63          [(b) If the rebuttal expert has not prepared a report or the report does not adequately
             64      inform concerning the substance of the expert's proposed testimony, or in the event the rebuttal
             65      witness is not an expert, the party intending to call the rebuttal witness shall provide a written
             66      explanation of the witness's anticipated rebuttal testimony sufficient to give the opposing party
             67      adequate notice to prepare to meet the testimony, followed by a copy of any report prepared by
             68      any rebuttal expert when available.]
             69          (4) (a) If the defendant or the prosecution fails to [meet] substantially comply with the
             70      requirements of this section, the opposing party shall, if necessary to prevent substantial
             71      prejudice, be entitled to a continuance of the trial or hearing sufficient to allow preparation to
             72      meet the testimony.
             73          (b) If the court finds that the failure to comply with this section is the result of bad faith
             74      on the part of any party or attorney, the court shall impose appropriate sanctions. The remedy
             75      of exclusion of the expert's testimony will only apply if the court finds that a party deliberately
             76      violated the provisions of this section.
             77          (5) (a) For purposes of this section, testimony of an expert at a preliminary hearing
             78      held pursuant to Rule 7 of the Utah Rules of Criminal Procedure constitutes notice of the
             79      expert, the expert's qualifications, and a report of the expert's proposed trial testimony as to the
             80      subject matter testified to by the expert at the preliminary hearing.
             81          (b) Upon request, the party who called the expert at the preliminary hearing shall
             82      provide the opposing party with a copy of the expert's curriculum vitae as soon as practicable
             83      prior to trial or any hearing at which the expert may be called as an expert witness.
             84          (6) This section does not apply to the use of an expert who is an employee of the state
             85      or its political subdivisions, so long as the opposing party is on reasonable notice through
             86      general discovery that the expert may be called as a witness at trial, and the witness is made
             87      available to cooperatively consult with the opposing party upon reasonable notice.
             88          Section 3. Section 77-18-1 is amended to read:
             89           77-18-1. Suspension of sentence -- Pleas held in abeyance -- Probation --

             90      Supervision -- Presentence investigation -- Standards -- Confidentiality -- Terms and
             91      conditions -- Termination, revocation, modification, or extension -- Hearings -- Electronic
             92      monitoring.
             93          (1) On a plea of guilty or no contest entered by a defendant in conjunction with a plea
             94      in abeyance agreement, the court may hold the plea in abeyance as provided in Title 77,
             95      Chapter 2a, Pleas in Abeyance, and under the terms of the plea in abeyance agreement.
             96          (2) (a) On a plea of guilty, guilty and mentally ill, no contest, or conviction of any
             97      crime or offense, the court may, after imposing sentence, suspend the [imposition or] execution
             98      of the sentence and place the defendant on probation. The court may place the defendant:
             99          (i) on probation under the supervision of the Department of Corrections except in cases
             100      of class C misdemeanors or infractions;
             101          (ii) on probation with an agency of local government or with a private organization; or
             102          (iii) on bench probation under the jurisdiction of the sentencing court.
             103          (b) (i) The legal custody of all probationers under the supervision of the department is
             104      with the department.
             105          (ii) The legal custody of all probationers under the jurisdiction of the sentencing court
             106      is vested as ordered by the court.
             107          (iii) The court has continuing jurisdiction over all probationers.
             108          (3) (a) The department shall establish supervision and presentence investigation
             109      standards for all individuals referred to the department. These standards shall be based on:
             110          (i) the type of offense;
             111          (ii) the demand for services;
             112          (iii) the availability of agency resources;
             113          (iv) the public safety; and
             114          (v) other criteria established by the department to determine what level of services
             115      shall be provided.
             116          (b) Proposed supervision and investigation standards shall be submitted to the Judicial
             117      Council and the Board of Pardons and Parole on an annual basis for review and comment prior
             118      to adoption by the department.
             119          (c) The Judicial Council and the department shall establish procedures to implement
             120      the supervision and investigation standards.

             121          (d) The Judicial Council and the department shall annually consider modifications to
             122      the standards based upon criteria in Subsection (3)(a) and other criteria as they consider
             123      appropriate.
             124          (e) The Judicial Council and the department shall annually prepare an impact report
             125      and submit it to the appropriate legislative appropriations subcommittee.
             126          (4) Notwithstanding other provisions of law, the department is not required to
             127      supervise the probation of persons convicted of class B or C misdemeanors or infractions or to
             128      conduct presentence investigation reports on class C misdemeanors or infractions. However,
             129      the department may supervise the probation of class B misdemeanants in accordance with
             130      department standards.
             131          (5) (a) Prior to the imposition of any sentence, the court may, with the concurrence of
             132      the defendant, continue the date for the imposition of sentence for a reasonable period of time
             133      for the purpose of obtaining a presentence investigation report from the department or
             134      information from other sources about the defendant.
             135          (b) The presentence investigation report shall include a victim impact statement
             136      according to guidelines set in Section 77-38a-203 describing the effect of the crime on the
             137      victim and the victim's family.
             138          (c) The presentence investigation report shall include a specific statement of pecuniary
             139      damages, accompanied by a recommendation from the department regarding the payment of
             140      restitution with interest by the defendant in accordance with Title 77, Chapter 38a, Crime
             141      Victims Restitution Act.
             142          (d) The contents of the presentence investigation report, including any diagnostic
             143      evaluation report ordered by the court under Section 76-3-404 , are protected and are not
             144      available except by court order for purposes of sentencing as provided by rule of the Judicial
             145      Council or for use by the department.
             146          (6) (a) The department shall provide the presentence investigation report to the
             147      defendant's attorney, or the defendant if not represented by counsel, the prosecutor, and the
             148      court for review, three working days prior to sentencing. Any alleged inaccuracies in the
             149      presentence investigation report, which have not been resolved by the parties and the
             150      department prior to sentencing, shall be brought to the attention of the sentencing judge, and
             151      the judge may grant an additional ten working days to resolve the alleged inaccuracies of the

             152      report with the department. If after ten working days the inaccuracies cannot be resolved, the
             153      court shall make a determination of relevance and accuracy on the record.
             154          (b) If a party fails to challenge the accuracy of the presentence investigation report at
             155      the time of sentencing, that matter shall be considered to be waived.
             156          (7) At the time of sentence, the court shall receive any testimony, evidence, or
             157      information the defendant or the prosecuting attorney desires to present concerning the
             158      appropriate sentence. This testimony, evidence, or information shall be presented in open court
             159      on record and in the presence of the defendant.
             160          (8) While on probation, and as a condition of probation, the court may require that the
             161      defendant:
             162          (a) perform any or all of the following:
             163          (i) pay, in one or several sums, any fine imposed at the time of being placed on
             164      probation;
             165          (ii) pay amounts required under Title 77, Chapter 32a, Defense Costs;
             166          (iii) provide for the support of others for whose support he is legally liable;
             167          (iv) participate in available treatment programs;
             168          (v) serve a period of time, not to exceed one year, in a county jail designated by the
             169      department, after considering any recommendation by the court as to which jail the court finds
             170      most appropriate;
             171          (vi) serve a term of home confinement, which may include the use of electronic
             172      monitoring;
             173          (vii) participate in compensatory service restitution programs, including the
             174      compensatory service program provided in Section 78-11-20.7 ;
             175          (viii) pay for the costs of investigation, probation, and treatment services;
             176          (ix) make restitution or reparation to the victim or victims with interest in accordance
             177      with Title 77, Chapter 38a, Crime Victims Restitution Act; and
             178          (x) comply with other terms and conditions the court considers appropriate; and
             179          (b) if convicted on or after May 5, 1997:
             180          (i) complete high school classwork and obtain a high school graduation diploma, a
             181      GED certificate, or a vocational certificate at the defendant's own expense if the defendant has
             182      not received the diploma, GED certificate, or vocational certificate prior to being placed on

             183      probation; or
             184          (ii) provide documentation of the inability to obtain one of the items listed in
             185      Subsection (8)(b)(i) because of:
             186          (A) a diagnosed learning disability; or
             187          (B) other justified cause.
             188          (9) The department shall collect and disburse the account receivable as defined by
             189      Section 76-3-201.1 , with interest and any other costs assessed under Section 64-13-21 during:
             190          (a) the parole period and any extension of that period in accordance with Subsection
             191      77-27-6 (4); and
             192          (b) the probation period in cases for which the court orders supervised probation and
             193      any extension of that period by the department in accordance with Subsection(10).
             194          (10) (a) (i) Probation may be terminated at any time at the discretion of the court or
             195      upon completion without violation of 36 months probation in felony or class A misdemeanor
             196      cases, or 12 months in cases of class B or C misdemeanors or infractions.
             197          (ii) (A) If, upon expiration or termination of the probation period under Subsection
             198      (10)(a)(i), there remains an unpaid balance upon the account receivable as defined in Section
             199      76-3-201.1 , the court may retain jurisdiction of the case and continue the defendant on bench
             200      probation for the limited purpose of enforcing the payment of the account receivable.
             201          (B) In accordance with Section 77-18-6 , the court shall record in the registry of civil
             202      judgments any unpaid balance not already recorded and immediately transfer responsibility to
             203      collect the account to the Office of State Debt Collection.
             204          (iii) Upon motion of the Office of State Debt Collection, prosecutor, victim, or upon its
             205      own motion, the court may require the defendant to show cause why his failure to pay should
             206      not be treated as contempt of court.
             207          (b) (i) The department shall notify the sentencing court, the Office of State Debt
             208      Collection, and the prosecuting attorney in writing in advance in all cases when termination of
             209      supervised probation will occur by law.
             210          (ii) The notification shall include a probation progress report and complete report of
             211      details on outstanding accounts receivable.
             212          (11) (a) (i) Any time served by a probationer outside of confinement after having been
             213      charged with a probation violation and prior to a hearing to revoke probation does not

             214      constitute service of time toward the total probation term unless the probationer is exonerated
             215      at a hearing to revoke the probation.
             216          (ii) Any time served in confinement awaiting a hearing or decision concerning
             217      revocation of probation does not constitute service of time toward the total probation term
             218      unless the probationer is exonerated at the hearing.
             219          (b) The running of the probation period is tolled upon the filing of a violation report
             220      with the court alleging a violation of the terms and conditions of probation or upon the issuance
             221      of an order to show cause or warrant by the court.
             222          (12) (a) (i) Probation may not be modified or extended except upon waiver of a hearing
             223      by the probationer or upon a hearing and a finding in court that the probationer has violated the
             224      conditions of probation.
             225          (ii) Probation may not be revoked except upon a hearing in court and a finding that the
             226      conditions of probation have been violated.
             227          (b) (i) Upon the filing of an affidavit alleging with particularity facts asserted to
             228      constitute violation of the conditions of probation, the court that authorized probation shall
             229      determine if the affidavit establishes probable cause to believe that revocation, modification, or
             230      extension of probation is justified.
             231          (ii) If the court determines there is probable cause, it shall cause to be served on the
             232      defendant a warrant for his arrest or a copy of the affidavit and an order to show cause why his
             233      probation should not be revoked, modified, or extended.
             234          (c) (i) The order to show cause shall specify a time and place for the hearing and shall
             235      be served upon the defendant at least five days prior to the hearing.
             236          (ii) The defendant shall show good cause for a continuance.
             237          (iii) The order to show cause shall inform the defendant of a right to be represented by
             238      counsel at the hearing and to have counsel appointed for him if he is indigent.
             239          (iv) The order shall also inform the defendant of a right to present evidence.
             240          (d) (i) At the hearing, the defendant shall admit or deny the allegations of the affidavit.
             241          (ii) If the defendant denies the allegations of the affidavit, the prosecuting attorney
             242      shall present evidence on the allegations.
             243          (iii) The persons who have given adverse information on which the allegations are
             244      based shall be presented as witnesses subject to questioning by the defendant unless the court

             245      for good cause otherwise orders.
             246          (iv) The defendant may call witnesses, appear and speak in his own behalf, and present
             247      evidence.
             248          (e) (i) After the hearing the court shall make findings of fact.
             249          (ii) Upon a finding that the defendant violated the conditions of probation, the court
             250      may order the probation revoked, modified, continued, or that the entire probation term
             251      commence anew.
             252          (iii) If probation is revoked, the defendant shall be sentenced or the sentence previously
             253      imposed shall be executed.
             254          (13) The court may order the defendant to commit himself to the custody of the
             255      Division of Substance Abuse and Mental Health for treatment at the Utah State Hospital as a
             256      condition of probation or stay of sentence, only after the superintendent of the Utah State
             257      Hospital or his designee has certified to the court that:
             258          (a) the defendant is appropriate for and can benefit from treatment at the state hospital;
             259          (b) treatment space at the hospital is available for the defendant; and
             260          (c) persons described in Subsection 62A-15-610 (2)(g) are receiving priority for
             261      treatment over the defendants described in this Subsection (13).
             262          (14) Presentence investigation reports, including presentence diagnostic evaluations,
             263      are classified protected in accordance with Title 63, Chapter 2, Government Records Access
             264      and Management Act. Notwithstanding Sections 63-2-403 and 63-2-404 , the State Records
             265      Committee may not order the disclosure of a presentence investigation report. Except for
             266      disclosure at the time of sentencing pursuant to this section, the department may disclose the
             267      presentence investigation only when:
             268          (a) ordered by the court pursuant to Subsection 63-2-202 (7);
             269          (b) requested by a law enforcement agency or other agency approved by the department
             270      for purposes of supervision, confinement, and treatment of the offender;
             271          (c) requested by the Board of Pardons and Parole;
             272          (d) requested by the subject of the presentence investigation report or the subject's
             273      authorized representative; or
             274          (e) requested by the victim of the crime discussed in the presentence investigation
             275      report or the victim's authorized representative, provided that the disclosure to the victim shall

             276      include only information relating to statements or materials provided by the victim, to the
             277      circumstances of the crime including statements by the defendant, or to the impact of the crime
             278      on the victim or the victim's household.
             279          (15) (a) The court shall consider home confinement as a condition of probation under
             280      the supervision of the department, except as provided in Sections 76-3-406 and 76-5-406.5 .
             281          (b) The department shall establish procedures and standards for home confinement,
             282      including electronic monitoring, for all individuals referred to the department in accordance
             283      with Subsection (16).
             284          (16) (a) If the court places the defendant on probation under this section, it may order
             285      the defendant to participate in home confinement through the use of electronic monitoring as
             286      described in this section until further order of the court.
             287          (b) The electronic monitoring shall alert the department and the appropriate law
             288      enforcement unit of the defendant's whereabouts.
             289          (c) The electronic monitoring device shall be used under conditions which require:
             290          (i) the defendant to wear an electronic monitoring device at all times; and
             291          (ii) that a device be placed in the home of the defendant, so that the defendant's
             292      compliance with the court's order may be monitored.
             293          (d) If a court orders a defendant to participate in home confinement through electronic
             294      monitoring as a condition of probation under this section, it shall:
             295          (i) place the defendant on probation under the supervision of the Department of
             296      Corrections;
             297          (ii) order the department to place an electronic monitoring device on the defendant and
             298      install electronic monitoring equipment in the residence of the defendant; and
             299          (iii) order the defendant to pay the costs associated with home confinement to the
             300      department or the program provider.
             301          (e) The department shall pay the costs of home confinement through electronic
             302      monitoring only for those persons who have been determined to be indigent by the court.
             303          (f) The department may provide the electronic monitoring described in this section
             304      either directly or by contract with a private provider.
             305          Section 4. Section 77-22-4 is amended to read:
             306           77-22-4. Investigation records to be filed with court.

             307          In all investigations under Section 77-22-2 , the attorney general, county attorney, or
             308      district attorney shall maintain [and file with the district court] the following records of the
             309      criminal investigation, unless otherwise ordered by the court:
             310          (1) a copy of the good cause statement and application for the authorization of the
             311      criminal investigation;
             312          (2) a copy of all motions made to the court by the attorney general, the county attorney,
             313      or the district attorney;
             314          (3) a copy of all court orders;
             315          (4) a copy of all subpoenas issued;
             316          (5) [detailed descriptions] a list of all documents and other evidence produced in
             317      response to subpoenas;
             318          (6) a copy of all transcripts of testimony, or a recording or summary of testimony,
             319      taken pursuant to the subpoena; and
             320          (7) a copy of all written communications between the court and the attorney general,
             321      county attorney, or district attorney, and staff.

Legislative Review Note
    as of 1-27-03 10:53 AM

A limited legal review of this legislation raises no obvious constitutional or statutory concerns.

Office of Legislative Research and General Counsel

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