Cottman v. State
Nathaniel COTTMAN v. STATE of Maryland
Attorneys
George E. Burns, Jr., Asst. Public Defender (Nancy S. Forster, Public Defender, on brief), Baltimore, for Petitioner/Cross-Respondent., Edward J. Kelly, Asst. Atty. Gen. (J, Joseph Curran, Jr., Atty. Gen. of MD, on brief), Baltimore, for Respondent/Cross-Petitioner.
Full Opinion (html_with_citations)
On June 2, 2004, after a non-jury trial in the Circuit Court for Baltimore County, Nathaniel Cottman, Jr. (“Petitioner”) was convicted of distribution of cocaine, conspiracy to distribute cocaine, and possession of cocaine. He was sentenced as a repeat offender to ten years in prison, without the possibility of parole, for distribution of cocaine. The remaining convictions were merged for sentencing purposes. After filing a timely notice of appeal to the Court of Special Appeals, both
On August 18, 2005, in response to Petitioner’s request, the trial judge granted Petitioner a new trial, thereby vacating the underlying judgment of conviction and sentence. As we shall explain further in this opinion, the State was not entitled to file a notice of appeal from the order granting a new trial. On October 31, 2005, not having been informed by counsel of that intervening event, the Court of Special Appeals filed its written opinion affirming the Circuit Court’s initial judgment and sentence. On November 4, 2005, prior to the Court of Special Appeals’s issuance of the formal mandate,
Petitioner filed a petition for writ of certiorari
FACTUAL BACKGROUND
On August 14, 2002, at approximately 5:45 a.m., undercover Detective, Earnest Moore, drove into the parking lot of the Kingsley Park Apartment Complex in Baltimore County. A woman, later identified as Ms. Benson, yelled “hey, come here,” and then walked with a man over to Detective Moore’s vehicle. Detective Moore later identified the man as Petition
On June 2, 2004, the morning that Petitioner’s trial was to begin in the Circuit Court for Baltimore County, Petitioner’s counsel appeared before the administrative judge’s designee to request a continuance. Petitioner’s counsel argued that he had just located a critical witness for the defense and therefore needed more time. The administrative judge’s designee denied the motion, noting that the trial had already been postponed four times. The case then proceeded to a trial on the merits.
Detective Moore testified at trial that Petitioner’s actions were consistent with those of a lookout in a typical drug deal and that Petitioner and Ms. Benson walked off together after Detective Moore drove away. Detective Moore noted, however, that he never saw Petitioner and Ms. Benson exchange drugs or money with each other.
The trial judge determined that Detective Moore’s testimony was “very credible,” and that Petitioner had aided and abetted the distribution of drugs. He therefore found Petitioner guilty of distribution of cocaine, conspiracy to distribute cocaine, and possession of cocaine. Prior to sentencing, Peti
On July 25, 2005, while Petitioner’s appeal was still pending in the Court of Special Appeals and before that court filed its opinion, he filed in the Circuit Court a request for appropriate relief based on the results of the polygraph examination. The Circuit Court held a hearing on this request, and on August 18, 2005, issued an order granting Petitioner a new trial. Petitioner, however, did not notify promptly the intermediate appellate court of this event. On October 31, 2005, more than two months after the Circuit Court granted Petitioner a new trial, the Court of Special Appeals filed its reported opinion, Cottman v. State, 165 Md.App. 679, 886 A.2d 932 (2005), in which it expressed its view on the question of first impression: whether a defendant may be convicted of distribution of a controlled dangerous substance (CDS) on an aiding and abetting theory of culpability. It affirmed the previous judgment of conviction and sentence of the Circuit Court. On November 4, 2005, Petitioner requested, in writing, that the appellate court vacate its opinion and dismiss the appeal, on the basis that the issues were moot, because the Circuit Court had granted Petitioner a new trial before the Court of Special Appeals filed its opinion. Petitioner subsequently filed a memorandum of law, arguing that the Circuit Court retained jurisdiction to award him a new trial while the appeal was pending and that the State had waived any claim to the contrary.
The Court of Special Appeals directed the State to respond to Petitioner’s memorandum. On November 17, 2005, the State did so and acknowledged that the Circuit Court retained jurisdiction to make post-judgment rulings in Petitioner’s criminal case. It argued, however, that the intermediate appellate court should vacate the order of the Circuit Court granting Petitioner’s new trial because the Circuit Court’s
DISCUSSION
A.
The Circuit Court’s Order Granting Petitioner a New Trial
First, we point to the issues that are not before this Court and were not properly before the Court of Special Appeals. Neither this Court nor the intermediate appellate court obtained jurisdiction to rule on the propriety of the Circuit Court’s post-trial order granting Petitioner a new trial, because that order was not the subject matter of the initial appeal. In addition, whether the grant of the new trial interfered with the subject matter on appeal is not an issue before the appellate courts because that issue, likewise, was not the subject matter of the initial appeal. Because these two matters are not issues on appeal, neither the Court of Special Appeals nor this Court has jurisdiction to vacate, reverse, or affirm the order granting Petitioner a new trial.
Petitioner contends that the Circuit Court had jurisdiction
The State concedes that the Circuit Court retained jurisdiction to entertain post-trial matters under the general rule in Pulley, even after an appeal is filed. The State also cites Jackson, however, to convey that, because of a limitation
We disagree with the State’s contention, as it applies to this case. As Petitioner points out, we have held since Pulley v. State, that trial courts are not stripped of their jurisdiction to take post-judgment action simply because an appeal is pending from that judgment. We have said that “ ‘[i]f the trial court does ... decide to proceed during the pendency of the appeal, it, absent a stay required by law, or one obtained from an appellate court, has the authority to exercise the ‘funda
The issue of whether the grant of a new trial interfered with the subject matter on appeal is not properly before us, nor was it before the Court of Special Appeals. Even if that issue were a proper subject of this appeal, we are not persuaded that the Circuit Court’s grant of a new trial interfered with the subject matter of the appeal. We reach this conclusion because the trial court did not re-decide the merits of the case or rule upon the issues pending before the appellate court; it simply eliminated the need for an appeal, ipso facto. We have “consistently taken the view that, when an appeal is taken, the trial court may continue to act with reference to matters not relating to the subject matter of, or matters not affecting, the appellate proceeding....” Peterson, 315 Md. at 80, 553 A.2d at 676. Had the trial court revisited the substantive issues of the case, or had the subject matter on appeal been whether the trial court should have granted Petitioner a new trial, our answer might be different.
This distinction is consistent with prior opinions of this Court and the Court of Special Appeals where a circuit court’s actions did not interfere with the subject matter on appeal. See, e.g., Pulley, 287 Md. at 414, 412 A.2d at 1248-49 (holding that Petitioner’s immediate appeal of the trial court’s denial of his motion to dismiss did not deprive the trial court of its “ ‘fundamental jurisdiction’ to adjudicate the controversy relating to the subject matter of th[e] criminal cause”); Jackson, 358 Md. at 621, 751 A.2d at 477-78 (concluding that the Circuit Court’s denial of Petitioner’s motion for a new trial while her appeal from her convictions was pending did not interfere with the subject matter on appeal); Folk v. State, 142 Md.App. 590, 791 A.2d 152 (2002) (holding that a circuit court retains the fundamental jurisdiction to rule on a defendant’s motion for a new trial even when an appeal is pending in the Court of Special Appeals). Cf. In re Emileigh F., 355 Md. 198, 733 A.2d 1103 (1999) (holding that the Circuit Court interfered with the subject matter on appeal in a CINA proceeding by
Furthermore, if the issue were properly before the appellate courts and the State’s contention were correct, our observation in Jackson dictates that if a post-judgment trial court’s decision affected the subject matter of a pending appeal, it “may be subject to reversal on appeal, but it is not void ab initio for lack of jurisdiction to enter it.” Jackson, 358 Md. at 620, 751 A.2d at 477. See also County Comm’rs of Carroll County v. Carroll Craft Retail, Inc., 384 Md. 23, 45, 862 A.2d 404, 418 (2004) (stating that any ruling by a circuit court that interferes with the subject matter on appeal is “reversible on appeal, not void for lack of jurisdiction”). Under this reasoning, the Circuit Court’s grant of a new trial would not be rendered void, automatically, even if we determined that it was not proper to grant a new trial. Moreover, the State has not presented us any other reasons as to why the Circuit Court did not have the authority to grant Petitioner a new trial. Thus, we conclude that the Circuit Court had fundamental jurisdiction to grant a new trial and the propriety of that order and the effect on the subject matter of the pending appeal were neither then nor now subject to appellate review.
B.
The Court of Special Appeals’s Denial of Petitioner’s Request
We must next examine the issue properly before us in this case: whether the Court of Special Appeals should have decided the issues on appeal when the trial court granted a new trial, before the intermediate appellate court filed its opinion, and whether the intermediate appellate court acted
Petitioner argues that once the Circuit Court granted him a new trial, there no longer existed any judgment to be reviewed. He contends that by eliminating the final judgment, the Circuit Court rendered the appeal moot. According to Petitioner, because courts are not charged with the task of deciding moot or abstract questions, the Court of Special Appeals should have withdrawn its opinion and dismissed Petitioner’s appeal.
The State counters that the case was not moot at the time that the Court of Special Appeals filed its reported opinion, because there still remained an existing controversy between the parties. The State contends that Petitioner’s insufficiency of the evidence claim was still in controversy when the court filed its opinion, making Petitioner’s mootness claim untenable. We disagree.
In our view, Petitioner’s appeal became moot the instant that the Circuit Court granted him a new trial. We have said that “[i]t is generally recognized that the effect of granting a new trial is to leave the cause in the same condition as if no previous trial had been held.” Snyder v. Cearfoss, 186 Md. 360, 367, 46 A.2d 607, 610 (1946); see also Cook v. Toney, 245 Md. 42, 50, 224 A.2d 857, 861 (1966) (holding that when the new trial was granted, the verdict and judgment were eliminated entirely and the ease was put back in the same condition as if no trial had ever been held). When a court orders a new trial, “the beneficial procedural incidence of the order is to reestablish the equality in law of the parties, which was lost, by restoring them to the position of the litigants at the beginning of the trial before a jury.” State v. Balt. Transit Co., 177 Md. 451, 454, 9 A.2d 753, 754 (1939). Because the Circuit Court’s grant of a new trial eliminated the judgment of conviction, there no longer remained a judgment for the Court of Special Appeals to affirm, reverse, or vacate, thus rendering the appeal moot.
The State points to a public policy benefit served by reported judicial decisions. The State’s point is well taken. There
The Court of Special Appeals should have dismissed the appeal and reflected that disposition in its mandate, once it learned that the Circuit Court had granted Petitioner a new trial.
Similarly, in Chertkov v. State, 335 Md. 161, 642 A.2d 232 (1994), we examined whether a sentencing court could alter a
The State argues that the reported opinion responded to a question of first impression in Maryland — whether aiding and abetting is sufficient to convict one of a CDS possessory offense — that is of importance. Based on that, the State maintains, the Court of Special Appeals should not be required to dismiss the appeal. Similar to Peterson and Chertkov, there is no reason the Court of Special Appeals could not issue an opinion to elucidate the issue and provide guidance for future cases, if it decided that the issue before it was important enough to discuss, even though the issues had become moot. The intermediate appellate court’s opinion, however, would, at most, constitute dicta because the court would still have to reflect that the issues were moot, by dismissing the appeal and reflecting that disposition in its mandate. See, e.g. Lodowski v. State, 302 Md. 691, 725, 490 A.2d 1228, 1245
The State argues further that Petitioner had ample time under the Maryland Rules to dismiss his appeal, but essentially waived his right to dismiss his appeal by waiting for the Court of Special Appeals to file its opinion. Maryland Rule 8-601 states specifically that “[a]n appellant may dismiss an appeal without permission of the Court by filing a notice of dismissal at any time before the filing of the opinion of the Court.” According to the State, because the Circuit Court granted Petitioner a new trial on August 18, 2005, he had more than enough time to dismiss his appeal before October 31, 2005, the date when the Court of Special Appeals filed its opinion. The State contends that, instead, Petitioner ignored the timeline provided by the Maryland Rules because he hoped to obtain a favorable result from the Court of Special Appeals, eliminating the need for a new trial. The State maintains that to order withdrawal of the filed opinion would reward Petitioner for seeking to obtain relief simultaneously in two separate courts.
CONCLUSION
The Circuit Court retained its fundamental jurisdiction to grant Petitioner a new trial, even though the appeal was pending in the Court of Special Appeals. We hold that the Court of Special Appeals erred, as a matter of law, in denying Petitioner’s request to dismiss the appeal after he had been granted a new trial, as the new trial rendered moot the challenge to the judgment of the trial court before the appellate court. Although the Circuit Court granted Petitioner a new trial, the Court of Special Appeals retained the ability to express an opinion on the novel issue in the case; however, the judgment of the intermediate appellate court could not provide an effective remedy as there was no longer an existing
JUDGMENT OF THE COURT OF SPECIAL APPEALS VACATED; CASE REMANDED TO THAT COURT WITH DIRECTIONS TO DISMISS THE APPEAL ON THE GROUNDS OF MOOTNESS. BALTIMORE COUNTY TO PAY THE COSTS IN THIS COURT AND IN THE COURT OF SPECIAL APPEALS.
. Throughout this opinion, we referenced the “unofficial mandate” and "formal mandate” of the Court of Special Appeals. By unofficial mandate, we are referring to the unofficial judgment of the court as indicated at the very end of its opinion. Because this mandate is not certified by the Clerk of the Court, it constitutes the court's unofficial judgment. The formal mandate mirrors the court's unofficial judgment but is a separate document certified and filed by the Clerk. See Maryland Rule 8-606.
Maryland Rule 8-606, entitled “Mandate,” states:
(a) To evidence order of the Court. Any disposition of an appeal, including a voluntary dismissal, shall be evidenced by the mandate of the Court, which shall be certified by the Clerk under the seal of the Court and shall constitute the judgment of the Court.
. Petitioner presented the following issue in his petition for writ of certiorari:
Did the Court of Special Appeals err in failing to withdraw its opinion and not dismissing the appeal after the Circuit Court had granted Petitioner a new trial prior to the issuance of the opinion of the Court of Special Appeals?
. The question presented by the State in its cross-petition was as follows:
*734 [W]hether the Court of Special Appeals, prior to issuance of its mandate should have directed the [C]ircuit [C]ourt to vacate its order granting Cottman a new trial because it interfered with the pending appeal.
. The following transcript excerpt demonstrates how the issues before this Court arose. These discussions occurred on June 2, 2004, when the parties were trying to agree upon a time for sentencing.
THE COURT: So therefore, we can't go forward today.
MR. GLASS [Attorney for Petitioner]: Your honor, if I may on the record. [Petitioner] advised me there is this witness which 1 was told about today but I was not able to get a postponement to get him here nor did I have his address or phone number at the time. That he basically wants that witness to testify to basically to prove his case, and I advised him that he cannot. At this point, the evidence has been completed and I don’t think he quite — the person was unaware of the court date so I never got a chance to let him know when the court date was ...
THE COURT: Sir, excuse me. Wait a minute, Mr. Cottman. I understand the verdict is in and you’re not happy with it, but I asked you, do you have any questions about your right to testify or remain silent? You looked me in the eye and said "Judge, I do not.” So if you had any question about it at that point, you should have asked it. MR. COTTMAN: He told me not to speak. I was listening to what my lawyer was saying.
THE COURT: You know, maybe he gave you good advice, but if you had a question about it, the time to raise the question was then. MR. COTTMAN: Your Honor, this crime I did not do. The person that actually did the crime is willing to come in and testify that he did it.
THE COURT: Excuse me, Mr. Cottman. I was going to do this in any case anyway because this is a very, very heavy penalty, I would have offered you this possibility — to ask to have a polygraph examination done, file a motion for a new trial.
Wait a minute. Before you nod your head, you have to listen to me. You have to pay for the polygraph ... if in fact the polygraph operator shows me the test results and they show that you’re being honest when you say you weren't involved in this, then I'm not going to say you are not guilty, and I want everyone to hear that — I will say you’re entitled to a new trial either before a judge or jury and to bring in any witnesses you want to testify. But I want to say this to you, sir, that if in fact you did do it, there’s no way you can beat the polygraph.
MR. COTTMAN: I understand.
(Emphasis added.)
. Pending the appeal in the Court of Special Appeals, Petitioner subsequently acquired the necessary funds, underwent a polygraph examination, and passed the examination.
. Md. Code (2002 Repl. Vol.) § 12-302(c) of the Courts and Judicial Proceedings Article provides the State a limited right of appeal in criminal cases. We have said, "[u]nless the issue presented may properly be categorized as one of the actions enumerated in the statute, the State has no power to seek appellate review.” State v. Manck, 385 Md. 581, 597, 870 A.2d 196, 206 (2005) (holding that the State did not have a statutory right to appeal from the trial court’s grant of the defendant's motion to strike the State’s notice of intention to seek the death penalty in a capital murder prosecution). In the present case, because the right is not provided by statute, the State had no right to appeal the Circuit Court's grant of a new trial. Rule 8-201, "Method of securing review — Court of Special Appeals,” section (a), "By notice of
. The term “jurisdiction,” when applied to courts " 'is a term of large and comprehensive import and embraces every kind of judicial action.’ ” Pulley v. State, 287 Md. 406, 415, 412 A.2d 1244, 1249 (1980) (citations omitted).
. “Fundamental jurisdiction” means “the power residing in a court to determine judicially a given action, or question presented to it for a decision, over the subject matter of the proceedings.” In re Emileigh F., 355 Md. at 202, 733 A.2d at 1105 (citing Pulley, 287 Md. at 415-16, 412 A.2d 1244, 1249-50).
. We note that both parties cite Jackson v. State as the authority for their assertions. Jackson is distinguishable from this case and is actually dicta, because, in that case, the trial court denied the motion for a new trial. In Jackson, we examined whether the trial court interfered with the subject matter on appeal when it denied Petitioner’s request for a new trial at the time that an appeal was pending. We expressly avoided the issue in Jackson that we are asked to address today. In Jackson, we stated explicitly that "[w]e need not consider in this appeal whether an order granting the motion for new trial would have been subject to reversal on the ground noted. That would, indeed, have presented some interesting issues....” 358 Md. 612, 621, 751 A.2d 473, 477 (2000).
. We reiterate that the appellate court has no power to vacate an order where there is no appeal of that order. See generally, In re Emileigh F., 355 Md. 198, 733 A.2d 1103 (1999) (demonstrating that notice of appeal is required to put that order squarely before the appellate court). Thus, the issues as to the propriety of granting a new trial and its effect on the appellate proceedings are not properly before this Court. See also State v. Peterson, 315 Md. 73, 82 n. 3, 553 A.2d 672, 677 n. 3 (1989) (pointing out that the propriety of the trial court’s action pending the appeal as opposed to the power to proceed pending appeal was not before us).
. See supra footnote 1, providing the language of Maryland Rule 8-606, which states, in part, that the mandate “shall constitute the judgment of the Court.”
. We note that the Court of Special Appeals had not yet issued its mandate when Petitioner requested that the court vacate its opinion and dismiss the appeal. According to Maryland Rule 8-606(a), a mandate certified by the clerk of the court constitutes the judgment of the court. The Court of Special Appeals did not enter its formal mandate, however, until December 15, 2005, more than six weeks after Petitioner requested that the court withdraw its opinion and dismiss the appeal. That the Court of Special Appeals had not yet issued its mandate when Petitioner requested that the court withdraw its opinion, provides further support for our conclusion that the judgment of the Court of Special Appeals should have read something like “appeal dismissed as moot due to grant of new trial while appeal was pending.”
. Petitioner could have and, more importantly, should have promptly notified the Court of Special Appeals in writing that his motion for new trial had been granted. Because Petitioner did not comply with Rule 8-601, the intermediate appellate court was not required to withdraw its opinion. Moreover, this Court has no to authority to order that the Court of Special Appeals withdraw its opinion. We reach this conclusion because this Court reviews judgments rather than opinions.
. We note that Rule 8-601 gives the Petitioner the ability to dismiss the appeal without the permission of the court at any point before the opinion is filed. It does not prevent the Petitioner from requesting that the court dismiss its appeal, on the grounds of mootness, after the opinion is filed.