FI L ED U.S. COURT OF APPEAL S EL EVENTHCI RCUI T MAY 16, 2011 J OHN L EY CL ERK [DO NOT PUBLISH] IN THE U

NITED STATE S COURT OF APPEALS FOR THE ELE VENTH CIRCUIT

__ __ __ __ __ __ __ __ __ __ __ __ No. 1 0- 11 42 4 Non -Arg um en t Ca le nd ar

__ __ __ __ __ __ __ __ __ __ __ __ D.C. Dock etNo. 1 :0 6- cr-0 02 17 -RWS-CCH-1 UNITED STAT ES OF AMERIC A, Pl ai nt iff -Ap pe ll ee, ve rs us RODNEY SHAW , a.k .a. Po nc ho , Defen da nt -Ap pe ll an t.

__ __ __ __ __ __ __ __ __ __ __ __ App eal fro m

th e Uni te d S ta te s Di st ric t Co urt forth e North ern Dis tri ctof Ge or gi a

__ __ __ __ __ __ __ __ __ __ __ __ (Ma y 16 , 20 11 ) Befo re TJ OFLAT, CARNES andFAY, Circ ui t J ud ge s. PER CURI AM:Ro dn ey Sh aw ap pe al s h is co nv ic ti on , fol lo win g agu il ty ple a, of co ns pi racy to po ss es s wi th in te ntto di st rib ut e co cai ne , in vi ol at io n o f 21 U.S.C. §§ 84 6, 84 1( a)(1 ), (b )(1 )(A)(i ii ). He arg ue s t ha t t he m ag is tra te jud ge co m m it te d p la in erro r by part ic ip at in g i m

pe rm is si bl y

in hi s p le a d is cu ss io ns wit h the go ve rn m en t. The go ve rn m en t co nc ed es th e err oran d s ug ge st s t ha t we i ns tru ctth e d is tri ctco urt to reas si gn th e cas e o n re m an d. Fo r th e rea so ns setforth be lo w, we vac at e Sh aw’s co nv ic ti on an d re m an d fo r furth er p ro ceed in gs . I. In20 06 , a fed eral grandjury in di ct edSh aw on th ree c ou nt s: (1) co ns pi racy to po ss es s wi th in te ntto di st rib ut e co cai ne an d a t l eas t 5 0 g ram s o f co cai ne ba se , in vi ol at io n o f 21 U.S.C. §§ 84 1( a)(1 ), (b )(1 )(A)(i ii ), (b )(1 )(C) , 84 6, 8 51 ; (2 ) po ss es si on of afir earm in furth eran ce o f a dru g traff ic ki ng cri m e, in vi ol at io n of 18 U.S.C. § 9 24 (c)( 1) ; an d (3 ) po ss es si on of afir earm by a con vi ct edfel on , in vi ol at io n o f 18 U.S.C. § 9 22 (g ). On Se pt em

be r 17 , 20 09 , Mag is tra te Ju dg e Ch ris to ph er Hag y co nv en eda supp res si on he ari ng . Duri ng th e h eari ng , def en se co un se l Th om as Hawke r no te d th atth e p art ie s’ “ di ffi cu lt ” p le a n eg ot ia ti on s wer e n oty etres ol ve d, b utth ey ha d reac he d apo in t wh ere S ha w want edto tak e a p le a, so he wis he d t o p os tp on e th e in st an t h eari ng un ti l Se pt em be r 29 th . The p ro se cu to r, Mat th ew Ja ck so n, s ta te d

2th atth e g ov ern m en t was no t re ady to pro ceedwit h t he supp res si on he ari ng , andhe se t fo rth th e fo ll owi ng ti m e li ne of t he pl ea n eg ot ia ti on s. Th e h eari ng ori gi na ll y ha d b een sch edul edforAug us t 2 4t h, b utco un se l co nt act edhi m th atday to st at e th atSh aw was wil li ng to en te r in to a bi nd in g p le a. Acco rd in gl y , th e co urt h ad po stpo ne d t he supp res si onhe ari ng to Sep te m be r 4t h. Du rin g t he las t wee k o f Aug us t, J ack so n o ffer edde fen se co un se l a b in di ng pl ea ag reem en t fo r a 1 5- y ear se nt en ce fo r th e § 92 4( c) ch arg e. Ja ck so n n ot edto th e co urt t ha t Sh aw was el ig ib le fortwo § 8 51 en ha nc em en ts on th e dru g c ha rg e, so if h e were c on vi ct edat tri al , he wo ul d fa ce a m an da to ry -m in im um sen te nc e o f li fe i m

pr is on m en t. Ja ck so n fu rth er s ta te d t ha t, o n Au gu st31 st , cou ns el in fo rm edhi m th atSh aw wou ldpl eadto th e § 92 4( c) ch arg e in ex ch an ge fora 15 -y ear s en te nc e an d di sm is sa l o f th e o th er ch arg es . Later t ha t d ay , th ou gh , Jac ks on was t ol d t ha t Sh aw ha d c hang edhi s m in d a ndwis he d t o p le adto 15 y ears ’ im pr is on m en t o n t he dru g ch arg e, in st ead . Becau se ev eryone be li ev edth ata pl ea u lt im at el y wou ldbe en te red , th e h eari ng was p os tp on edag ai n t o S ep te m be r 17 th . On Sep te m

be r 11 th , Ja ck so n o ffer edde fen se co un se l a b in di ng pl ea ag reem en t fo r 15 y ears ’ im pr is on m en t fo r th e dru g c harg e. Co un se l s ai d t ha t Sh aw wou ldacce ptth e p le a, an d t ha t t he in st an t s up pr es si on he ari ng wou ldbe un ne ces sa ry . On Sep te m be r 15 th , Jac ks on sen t t he pl ea ag reem en t t o c ou ns el . The n ex t m orni ng , cou ns el 3in fo rm edJac ks on th atSh aw ha d c hang edhi s m in d a ndwou ldgo forwardwit h t he

supp res si on he ari ng un le ss th e g ov ern m en t ag reedto a se nt en ce o f le ss th an12 y ears ’ im pr is on m en t o n o ne of t he ch arg es . Ja ck so n a dd edth atHawke r ha d a sk edth atm orni ng for a 12 .5-year s en te nc e, whi chth e g ov ern m en t fo un d u na ccep tabl e. Ja ck so n s ai d t ha t, i f Sh aw wen t fo rwardwit h t he supp res si on he ari ng , he wo ul d fi le th e § 85 1 n ot ic e se ek in g t he m an da to ry -m in im

um li fe s en te nc e. He als o c ha ract eri zedSh aw’s ne go ti at io ns as

“ ga m es ” an d a n a tt em

ptto “pl ay

th e g ov ern m en t,” a ndin di cat edth at , if Sh aw di d no t p le adby 5:0 0 p .m . th e n ex t d ay , Sep te m be r 18 th , th e g ov ern m en t wo ul d m ak e no furth er o ffer s an d wo ul d p ur su e b ot h t he § 8 51 en hanc em en ts an d apo ss ib le supe rs ed in g i nd ic tm en t co nt ai ni ng eas ie r-t o- pr ov e subs ta nt iv e dru g c ha rg es . Ja ck so n e xp res se d c on cernth atSh aw wou ldag ree t o t ak e th e 1 5- y ear d eal , th enba ckou t o n t he ni gh t b efo re the res ch edul edsupp res si on he ari ng . He sai d, “ I do n’t kno w ho w to ne ces sa ril y res ol ve th is an d h op efu ll y You r Hon orha s a b et te r id ea, b ecau se I can ’t th in k o f on e.” The fol lo win g e xc hang e th ento okpl ace: THE COURT: W el l, m ay be we ou gh t t o –I m ean fir st , he’s g otth e rig htto ne go ti at e jus t t o fi ndou t h ow fa r he canbri ng y ou do wn. I th in k h e’s reac he d b ot to m at 1 5. MR. J ACKSON: He h as . THE COURT: I kno w with m e, I’m no t g oi ng to co nt inue th is th in g anym or e. W e’ve g otto m ov e th is th in g fo rwardan d l etth e ch ip s fa ll wher e th ey

m ay . 4. . . . AndI th in k h e kno ws t ha t. Bu t you c an ’t bl am e an y bo dy for tryin g t o n eg ot ia te . I kn ow you a re n ottrying to bl am e, bu t t he po in t is we ha ve be enat i t fo r si x m on th s. It ’s m ak in g t he cas e d iff ic ul t, it ’s bac ki ng up ev erybod y ’s do ck et s, an d i t’s t im e to fis h o r cu t b ai t.

. . . . Eit he r ta ke 15 y ears or t ak e wha t you g etif you a re fo un d gu il ty. MR. J ACKSON: I a gr ee.

. . . . . . . [W ]hatwe co ul d d o i s s ay we ne edto ha ve a pl ea b efo re Ju dg e St ory

on or b efo re Se pt em

be r . . . 29t h. If i t fa ll s t hr ou gh , th en we can ha ve ou r supp res si on he ari ng . . . ei th er l at er tha t wee k o r th e fo ll owi ng Mo nd ay . THE COURT: Oka y . Ju dg e Hag y

res ch edul edth e h eari ng an d a dd res se d S ha w: All rig ht . W e wil l s ch edul e iton Octo be r th e 7 th at 9 :0 0 a .m . andwe are g oi ng forward . No m or e – I do n’t care wh ethe r y ou are d is cu ss in g a p le a o r no t. We are go in g t o g o fo rwardan d g etth is th in g m ov in g an d l etth e ch ip s fa ll wher e th ey m ay . Aga in , Mr. Sh aw, y ou are en ti tl edto ne go ti at e. I do n’t h ol d th atag ai ns t you. Bu t I’ve go t t o m ov e th e d oc ke t an d we’ve go t t o l et th in gs happ en . Anditsee m s t o m e, y ou kn ow, i f y ou are fi sh in g a nd y ou are t es ti ng forth e b ot to m wit h asi nk er, I thi nky ou ’ve h itbo tt om . The y are n otgo in g t o g o a ny furt he r th anth at . Anditso un ds li ke th ey are g oi ng to askfor

m or e if y ou do n’t g o t he re. So th at ’s th e ch oi ce i n fr on t o f y ou an d we’ll jus t g o a he adon th atba si s. So is ity ou r in te ntto in di cat e b efo re m e to da y th atth e de fen da ntis wil li ng to en te r a p le a o f gu il ty to the dru g c ha rg e o r th e [§ ] 92 4( c) [c ha rg e]? Hawke r an d J ack so n c on firm edth e o fferfora 15 -y ear s en te nc e fo r co ns pi racy to d is tri bu te po wde r co cai ne . Hawkerst at edth athe an d S ha w had

5ta lk edab ou t t he writ te n p le a ag reem en t o ve r th e p ho ne , hadrev ie weditbri efl y

th atm orni ng , andha d d is cu ss edth e p rev io us ve rs io n i n d et ai l. The ex ch an ge co nt in ue d: THE COURT: Doe s M r. Sh aw in te nd , th en , to pl eadgu il ty to t he ch arg e o f Co un t On e li m it edto po wde r? MR. HAWKER: Li m it edto po wde r. THE COURT: Andto a 15 -y ear s en te nc e? MR. HAWKER: Th atis m y un de rs ta nd in g o f hi s i nt en t as we si t h ere t od ay . Is th atco rrec t? THE COURT: Is th aty ou r in te nt , Mr. Sh aw? THE DE FENDANT: Yes. THE COURT: Yes ? THE DE FENDANT: Yes, s ir. THE COURT: Oka y . Has an y bo dy – is th atvo lu nt ary? Has an y bo dy force d youor c oe rcedy ou or i s t hi s a d eci si ony ou ha ve reac he d a fte r di sc us si ng itwit h c ou ns el of you r own free wil l? THE DE FENDANT: W el l, re al ly, You r Hon or , m y ba ck is ki nd of ag ai ns t t he wall , I m ean . THE COURT: W el l, I m eanot he r th anth at . I kn ow yourba ck is ag ai ns t t he wall . I m eany ou ’ve g otto kn ow your op ti on s an d t he y ne edto tel l you your op ti on s. An d your op ti on s wo ul d b e y ouco ul d ge t n otgu il ty if ev erythi ng went– o r y ou co ul d g et15 y ears or you co ul d g etli fe. THE DE FENDANT: That ’s whatI’m sayin g. THE COURT: Andy ou r co un se l kno ws wh atth e ev id en ce i s ag ai ns t you andwhat ’s li ke ly andso th ey co ul d p ret ty m

uc h t el l you wha t t he li ke ly resu ltis an d t he n youjus t h av e to m ak e a jud gm en t. Andy ou ha ve m ad e a jud gm en t t ha t you wo ul d a ccep t a 1 5- y ear se nt en ce? THE DE FENDANT: Yes.

. . . . THE COURT: Andy ou are g oi ng to pl eadgu il ty on t ha t b as is ; is th atco rrec t? 6THE DE FENDANT: Yes. THE COURT: All rig ht . W el l, t ha t wo ul d b e in fro ntof J ud ge St ory an d we’ll try to g etit . I’ ll gi ve hi m a cal l . . . andsee if I c an ge t h im to ge t you o n the cal en da r qu ic kl y . Afte r co nf

irming th e n ew da te of t he he ari ng an d re vi ewin g wh ic h m ot io ns wou ldbe ad dr es se d, J ud ge Hagy sai d, Mr. Sh aw, I kn ow you’ve go t n otgre atch oi ces , bu t s om et im es we’ve go t t o m ak e h ardch oi ces . Andy ou ’ve h adgo odco un se l an d we’ve be enat i t a l on g t im e. So itso un ds to m e li ke a reas on edde ci si on an d on e th at ’s supp orte d b y

co m m on sen se an d ju dg m en t an d s o the reco rdrefl ect s t he gu il ty ple a wil l h av e to be red on e in fro ntof J ud ge St ory . Late r th atday , th e p art ie s ap pe aredbe fo re Di st ric t J ud ge Ric hardSto ry fora ch an ge -o f-p le a h eari ng . Duri ng th e co ll oq uy, Jud ge Sto ry ask ed , “ Asi de fro m

th e pl ea ag reem en t, h as an y on e th reat en edor f or cedy outo pl eadgu il ty or to ldy ou th atif you d o n otpl eadgu il ty, fu rth er ch arg es are g oi ng to be bro ug htag ai ns t you oran y ot he r ad ve rs e act io n t ak enag ai ns t you? ” Sh aw rep li ed , “ No, o th er tha n I’m go in g t o g eta li fe s en te nc e if I go to tri al an d b e fo un d g ui lty . I m ean , th atrig ht th ere i s ab ou t the on ly thi ng real ly pres su rin g m e in to tak in g t hi s p le a to da y .” Ju dg e St ory

sai d, “ I un de rs ta nd . You ’ve lo ok edat wh atth e p ot en ti al po ss ib il it ie s are i f y ou wentto tri al an d wer e co nv ic te d, the sen te nc e y ou m ig htface ; an d t ha t’s wha t’s caus edy ou to de ci de to acce ptth is ag reem en t. Is th atfai r? ” Sh aw an swe red , “ Tha t’s p artof i t, y eah , uh -h uh .” He in di cat edth at , ot he rwis e, no 7th reat s h adbe enm ad e ag ai ns t h im .

Dur in g adi sc us si on ab ou t t he po ss ib il it y of c red itforti m e se rv ed , Shaw sa idto th e co urt: Wha t I was sayin g i s t ha t, y ou kn ow, I’ve b een lo ck edup forth ree y ears forso m ethi ng th atI di dn ’t do , a cri m e th atI di dn ’t comm it . Andit ’s bee n aha rdth ree years o n m e. Mr. J ack so n was – s ta te d t o J ud ge Hagy tha t I was pl ay in g t he ga m es ab ou t t ak in g apl ea. It ’s nev er b een th at . It’s th at. . . if you gi ve m e 1 5 years, t he n, o ka y , I’ ll tak e th e 1 5 years. Bu t i f y ou ’re no t gi vi ng m e [cr ed it ] fo r th e [t im e] I’ ve be enlo ck edup , it ’s li ke I’m ge tt in g 1 8 years. The co urt s ta te d t ha t i t wo ul d re vi ew th e m at te r be fo re s en te nc in g. Aft er J ack so n reci te d t he factua l b as is for th e p le a, Sh aw st at edth athe adm it te d t o p os se ss in g po wde r co cai ne th athe pl an ne d t o d is tri bu te , bu t n otth athe co ns pi redwith o th ers . Ju dg e St ory

rei te rat edth atSh aw was ch arg edwit h aco ns pi racy, whi chrequi red hi m to ha ve be enwork in g wi th so m eo ne els e inpo ss es si ng th e co cai ne wit h i nt en t to di st rib ut e. Sh aw th enco nf irmed th athe work edwit h o th ers in ord er t o acco m pl is h t he co cai ne po ss es si on . Duri ng di sc us si on of t he sen te nc e ap pe al waiv er i n t he pl ea ag reem en t, J ack so n re it erat edth atth e p le a ag reem en t wo ul d b e vo idan d t he pa rti es wou ld“ go ba ckto squa re o ne ” if Sh aw were t o re cei ve ot he r th ana 15 -y ear s en te nc e. Ju dg e St ory

acce pt edSh aw’s pl ea an d a dju dg edhi m gu il ty. At the

8se nt en ci ng he ari ng in Feb ru ary 20 10 , he s ta te d t ha t h is in te nt io n was to im po se a 18 0- m on th sen te nc e, bu t b ecau se Sh aw ha d a lre ady be ende ta in edfor40 m on th s, he ord eredSh aw to serve 14 0 m on th s’ im pr is on m en t wi th no ad di ti on al cred itfor ti m e se rv ed . Ju dg e St ory furth er i nd ic at edth athe ha d re cei ve d s ev eral co m m un ic at io ns fro m

Sh aw ov er the pre vi ou s fe w m on th s i n wh ic h S ha w ex pr es se d re se rv at io ns ab ou t t he pl ea. He as ke d wh ethe r Sh aw wan te d t o ra is e an y of t ho se co nc ern s b efo re the sen te nc e was im po se d, b utSh aw sa idth athe di d no t. Acco rd in gl y , th e co urt i m po se d t he sen te nc e. II. Whe re, as he re, the de fen da ntdi d n otrai se an y ob jecti on s re la te d t o h is gu il ty ple a, we rev ie w for pl ai n e rro r. Se e Uni te d Sta te s v. Mo sl ey , 17 3 F .3d13 18 , 13 22 (11 th Cir . 19 99 ). A gu il ty ple a m us t b e fre e fro m

co erci on . Fed .R.Cri m .P. 11 (b )(2 ). Acco rd in gl y , whi le th e g ov ern m en t an d t he de fen se m ay di sc us s an d reac h apl ea ag reem en t, “ [t]he co urt m us t n otpa rti ci pa te in th es e d is cu ss io ns .” Ru le 11 (c)( 1) . Rul e 1 1( c)(1 ) is “ anab so lu te pro hi bi ti on on all form s o f jud ic ia l pa rti ci pa ti on in or i nt erfe ren ce wi th th e p le a n eg ot ia ti on pro ces s.” Uni te d Sta te s v. Co rb it t , 99 6 F .2d11 32 , 11 34 (11 th Cir . 19 93 ) (d is cu ss in g t he form er Ru le 11 (e)( 1) , whi ch was re nu m be redin 20 02 wit ho utrel ev an t t ex tu al ch an ge s) . Ju di ci al parti ci pa ti on in pl ea d is cu ss io ns is pl ai n e rro r, an d ade fen da ntwho ha s 9pl edgu il ty after ajud ge parti ci pa te d i n the di sc us si on s s ho ul d b e al lo wedto

rep le adwit ho utsh owi ng actua l p reju di ce. Id
. Eve n wh ere “ itis cle ar tha t t he . . . jud ge . . . was m ot iv at edpri m ari ly by th e co nc ern th at[th e d efen da nt ] be th or ou gh ly app ris edof t he si tu at io n t ha t h e fac ed , Rul e 1 1[ (c)( 1) ] requi res th atth is co nc ern , ho wev er wel l-i nt en ti on ed , be a dd res se d b y so m eo ne ot he r th anth e jud ge .” Uni te d Sta te s v. C as al la s , 59 F.3d11 73 , 11 78 (11 th Cir . 19 95 ). Whe re th e jud ge do es “ no th in g fl ag ran t,” b utm erel y in di cat es th atth e d efen da ntis li ke ly to rece iv e a h eav y

sen te nc e an d s ho ul d t hi nkcare fu ll y ab ou t t he pro se cu ti on ’s of fer, t he co m

m en ts st il l v io la te Ru le 11 (c)( 1) an d t he co nv ic ti onm us t b e rev ers ed . Co rb it t , 99 6 F .2dat 1 13 5. Here, J ud ge Hagy exp li ci tl y to ldSh aw th athe ha d t o c ho os e b etween th e go ve rn m en t’s 1 5- y ear o fferan d t he po ss ib il it y of ali fe s en te nc e. He als o em ph as iz edth e g ov ern m en t’s s ug ge st io n t ha t ad di ti on al ch arg es wou ldbe bro ug ht ag ai ns t Sh aw if

Sh aw refu se d t he off

er. He to ldth e p art ie s t ha t h e wou ldno t acce ptan y

furth er d el ay s i n t he pro ceed in gs , he a sk edwhet he r Sh aw wou ld co m m itat t ha t t im e to en te rin g agu il ty ple a, an d h e o ffer edto cal l J ud ge Sto ry in or de r to ex pe di te th e ch an ge -o f-p le a h eari ng . Sha w agr eedto pl eadonth e g ro un d th athi s “ba ck[was ] ag ai ns t t he wall .” Fu rth erm or e, whe n h e p le d g ui lty be fo re Ju dg e St ory

a few h ou rs lat er, h e m ad e co m m en ts su gg es ti ng th athi s d eci si on was 10di rect ly infl ue nc edby the ev en ts in Ju dg e Hag y ’s cou rtr oo m , andhe ap pe ars to

ha ve co nt act edJu dg e St ory be twee n t he ch an ge -o f-p le a h eari ng an d t he se nt en ci ng he ari ng ex pr es si ng res erv at io ns ab ou t t he pl ea. J ud ge Hagy’ s co m m en ts pl ai nl y

were i m pr op er, an d, t hu s, Sh aw’s co nv ic ti onm us t b e v acat ed . Co rb it t , 99 6 F .2dat 1 13 5. A cas e su ch as t hi s re qu ire s re as si gn m en t t o a no th er jud ge on rem an d, ev en if t he re i s n o e vi de nc e th atth e jud ge is vi nd ic ti ve or b ia se d. Id
. Acco rd in gl y , we in st ru ctth e d is tri ctco urt t o re as si gn Sh aw’s cas e to di ffer en t d is tri ctan d m ag is tra te jud ge s o n re m an d. In do in g s o, we d o n otsu gg es t tha t J ud ge Hagy’ s co m m en ts were o th er tha n wel l-i nt en ti on ed , andwe ha ve no reas on to be li ev e th at Ju dg e St ory

was a ware o f th e ev en ts th atto okpl ace i n J ud ge Hagy’ s co urtro om . Rea ss ig nm en t o f th e cas e is m erel y in te nd edto “ ex te ndth e p ro ph y la ct ic sch em e,” en su re a cl eanpro ceed in g, an d a vo idan y po ss ib le m is im

pr es si on crea te d b y

th e jud ge s’ con ti nu edpa rti ci pa ti onin th e cas e. Se e id
. Fo r th e fo reg oi ng reas on s, we v acat e Sh aw’s co nv ic ti on an d re m an d fo r fu rth er p ro ceed in gs , with i ns tru ct io ns to reas si gn th e cas e to di ffer en t m ag is tra te an d d is tri ctjud ge s o n re m an d. VACATED AND REMANDED WITH INST RUCTIO NS.

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