Opinion ID: 2185638
Heading Depth: 1
Heading Rank: 2

Heading: Judicial Participation.

Text: German first contends that the trial judge improperly participated in the plea bargaining process by suggesting a plea bargain, by expressing his view that the case was not very serious and the evidence not very strong, and by commenting on the likely sentence. The statements occurred as follows: THE COURT: Well, I will put it this way. How about an attempted trafficking in stolen property? That would be an offense, and it would be a misdemeanor. I would suggest  Does that seem reasonable to your client? That would carry no more than a year. I would put it to you this way. This is not the most overwhelming criminal conspiracy I have seen in my lifetime, to put it politely; and the government's case may be strong enough to get a conviction, but I am not sure it's overwhelming. It did not get a conviction last time. I am not sure, you know, this does not seem to be odd, if something involves conspiracy, that the Agriculture Department is dying to stamp out or the world will come to an end unless a finding of trafficking is returned in this matter. It's not the oldest or the newest case on the calendar, nor is it one that appears to be life-threatening, that would require the incarceration of any of these individuals if convicted, and surely they would be released pending appeal in any event. And it's a question of commitment of resources to a matter like that. And if you would, we will continue this until eleven. MS. BRUCE [the prosecutor]: Yes, sir. THE COURT: And if you would be kind enough to simply convey my thoughts? I have no opinion as to whether the defendant is or is not guilty; whether it's worth a five day trial on the part of the Government, whatever the outcome, and if that would seem a reasonable disposition of the whole thing to you? . . . But I will proceed to trial at eleven o'clock, this morning; and if you wish to go to trial, so be it. I will simply try something else. This is far more interesting than the usual drug dealing. (Emphasis supplied.) German argues that these statements constituted impermissible judicial participation in the plea bargaining process in violation of Super. Ct.Crim.R. 11(e)(1), and that he relied on the trial judge's projections in choosing to go to trial rather than to accept a plea bargain. [3] He further contends that, after his conviction, the judge imposed the maximum sentence as a penalty for German's exercise of his sixth amendment right to a trial by jury.
Rule 11(e)(1) provides that a trial judge shall not participate in any . . . discussions leading to a plea agreement between a defendant and the government. [4] As interpreted by the federal courts, [5] the rule prohibits a trial judge from assuming the role of an active negotiator in the plea bargaining process. Frank v. Blackburn, 646 F.2d 873, 880 (5th Cir.1980) (en banc) (applying identical federal provision), modified, 646 F.2d 902 (deleting statement that lack of remorse demonstrated by failure to plead guilty is itself a justification of a more severe sentence), cert. denied, 454 U.S. 840, 102 S.Ct. 148, 70 L.Ed.2d 123 (1981). The rule, according to United States v. Werker, 535 F.2d 198, 201 (2d Cir.), cert. denied, 429 U.S. 926, 97 S.Ct. 330, 50 L.Ed.2d 296 (1976), leaves no room for doubt that its purpose and meaning are that the sentencing judge should take no part whatever in any discussion or communication regarding the sentence to be imposed prior to the entry of a plea of guilty or conviction, or submission to him of a plea agreement. The Werker court issued a writ of mandamus prohibiting the trial judge from disclosing, prior to the pleadings, the sentence to be imposed if a guilty plea was entered. Id. at 201-04. This prohibition is absolute because of the role required of the judge once an agreement is reached: the court must decide for itself whether to accept or reject the plea bargain. United States v. Adams, 634 F.2d 830, 835 (5th Cir.1981). Appellate courts have, however, shown more tolerance [6] to judicial commentary on likely sentences when the judge's statement is made at the specific request of the defendant. See Frank v. Blackburn, supra, 646 F.2d at 880, 883; Blackmon v. Wainwright, 608 F.2d 183, 184 (5th Cir. 1979) (per curiam), cert. denied, 449 U.S. 852, 101 S.Ct. 143, 66 L.Ed.2d 64 (1980). In the instant case, the trial judge sua sponte commented negatively on the strength of the government's case, suggested a misdemeanor plea would be an appropriate disposition and predicted that only a very light sentence, without incarceration, would result from a conviction. This general type of commentary constitutes participation in the plea negotiation process as proscribed by Rule 11(e). Somewhat strangely, these comments, would seem [7] to have the effect of reducing the defendant's desire to enter a guilty plea, especially where the first jury had been unable to reach a verdict, because the judge has lent his apparent authority and knowledge to the view that the trial prospects for acquittal were good. By contrast, most Rule 11 participation cases are concerned with protecting the defendant from being coerced into entering a guilty plea. See, e.g., Byrd v. United States, 377 A.2d 400 (D.C.1977). Nonetheless, these comments are still participation within the letter of Rule 11 because they intrude upon the judicial neutrality that is so central to both the plea bargaining and the sentencing process, see supra note 5; cf. id. at 404, and they still may improperly influence the defendant's decision. Cf. Blackman v. Wainwright, supra, 608 F.2d at 184 (chilling effect); see also Blackledge v. Perry, 417 U.S. 21, 28, 94 S.Ct. 2098, 2102, 40 L.Ed.2d 628 (1974).
The question remains, however, of the appropriate remedy for improper judicial participation in plea negotiations. Rule 11 prescribes a rule of practice for trial courts; it does not embody a constitutional limitation. On this record we are satisfied that German has failed to show that his ability to reach a voluntary and informed decision has been objectively prejudiced. [8] In Adams, supra, 634 F.2d at 838, the court stressed the prophylactic nature of Rule 11, and held that defendants whose guilty pleas are taken in violation of this rule should be allowed to replead without having to demonstrate actual prejudice. The court qualified this stringent approach, however, by not requiring strict enforcement whenever the Rule's core concerns are adequately addressed. Id.; see also McCarthy v. United States, 394 U.S. 459, 89 S.Ct. 1166, 22 L.Ed.2d 418 (1969) (actual prejudice not required in earlier, narrower form of Rule 11); United States v. Dayton, 604 F.2d 931 (5th Cir.1979) (en banc) (core concerns include lack of coercion, comprehension of charge, and knowledge of direct consequences), cert. denied, 445 U.S. 904, 100 S.Ct. 1080, 63 L.Ed.2d 320 (1980). [I]mplicit in Super.Ct.Crim.R. 11 is the requirement that any guilty plea represent a voluntary choice among the alternative courses of action open to the defendant. Byrd, supra, 377 A.2d at 404. While the main purpose underlying Rule 11 is to prevent coerced guilty pleas, similar concerns would apply to the possibility of a deceptively induced decision to reject a plea offer and proceed to trial. Cf. North Carolina v. Pearce, 395 U.S. 711, 725, 89 S.Ct. 2072, 2080, 23 L.Ed.2d 656 (1969) (the process requires that a defendant be freed of apprehension of a retaliatory motivation on the part of the sentencing judge). Nonetheless, this concern carries somewhat less significance because the right to a trial by jury, which was exercised in the instant case, should enjoy a more protected status. The defendant has less cause to complain when, in fact, he has received the full panoply of these procedural protections. More importantly, in the instant case there is no indication of any objective deception, whether conscious or not. The judge's commentary on the evidence was sufficiently vague, noncommittal, and brief as to preclude reasonable, unscrutinized reliance. That this type of assessment concerns a limited set of external factors, and not personal action within the power of the judge, should also have been taken into account by the defendant and his attorney. (The court recessed for approximately 55 minutes after these remarks.) Although the statement as to the likely sentence is more problematic, because it may have intruded too far into the issue of plea negotiations, it is also reasonable in view of the fact that the judge had not actually reached the point of deciding what particular sentence to impose on German. Further, the judge's commentary concluded with the statement that he had no opinion whether German was guilty and was ready to proceed to trial. German had to understand the context of these remarks and the limited nature of what the judge was saying. Nothing in the record indicates that the judge was making anything more than a limited prediction, [9] rather than a specific and personal promise. Compare Adams, supra, 634 F.2d at 833 (I would sentence you to four years on one count). The statement, at most, was a reasonably based projection, and not coercion, which left the defendant, with the aid of counsel, free to make a well-informed, voluntary decision. See Byrd, supra, 377 A.2d at 404 (participation neutral). The list of Rule 11's core concerns is somewhat different when the defendant has in fact pleaded not guilty and has received a full trial. The Adams court stated that the judge who suggests or encourages a particular plea bargain may feel a personal stake in the agreement . . . and may therefore resent the defendant who rejects his advice. Id. at 840. The court concluded that a new trial would be unnecessary but that resentencing before a new judge would satisfy the defendant's concerns, and would provide an important measure of protection against judicial participation in plea discussions. Id. at 842. The selection of a proper remedy to protect against this core concern, thus, merges into the question whether the defendant has been penalized for exercising his sixth amendment right to a jury trial. Although case law has contemplated the remedy of resentencing by a different judge, the harmless error standard of Rule 11(h) would limit the scope of review to those cases in which the judge has imposed a harsher sentence out of vindictiveness, see Frank v. Blackburn, supra, 646 F.2d at 885, or as punishment for a lack of remorse as demonstrated by the decision not to plead guilty, which effectively achieves the same result. See Hebble, supra note 9, 257 A.2d at 486; Miler v. United States, 255 A.2d 497, 498 (D.C.1969); United States v. Stockwell, 472 F.2d 1186, 1187 (9th Cir.), cert. denied, 411 U.S. 948, 93 S.Ct. 1924, 36 L.Ed.2d 409 (1973) (sentencing power can be used as a carrot, not as a stick, and only with respect to post-conviction remorse). Therefore, the same standards and case law can be employed to determine both the Rule 11 inquiry and the constitutional question whether German has been improperly penalized for exercising his sixth amendment right to a trial by jury. To succeed on this claim, a defendant must affirmatively demonstrate a reasonable likelihood of vindictiveness [10] on the part of the trial judge. [11] Frank v. Blackburn, supra, 646 F.2d at 886; see also Damiano v. Gaughan, supra note 6, 770 F.2d at 3. There is no such direct evidence in the instant case. Indeed, the judge's pretrial statements would seem to have the effect of encouraging the defendant to proceed to trial. The judge further indicated his willingness to try the case when he called it far more interesting than the usual drug dealing. Absent other circumstances, these statements are entitled to be accepted on their face. See Frank v. Blackburn, 605 F.2d 910, 915 (5th Cir.1979). The only possible way of showing vindictiveness would require an inference from the discrepancy between the judge's pretrial statements and the actual sentence and the fact that the judge had sat through an earlier hearing of the same case that ended in a mistrial. But the mere fact of a sentence increase does not show vindictiveness. Frank v. Blackburn, supra, 646 F.2d at 885 (33 year sentence imposed after 20 year sentence promised for plea). Because German has failed to show that all relevant information and evidence in the second trial was identical to the evidence introduced at the mistrial, the court must assume that the sentence was based on the judge's more accurate appraisal of the circumstances after hearing the full disclosure of the facts at trial. Id.; see also United States v. Cunningham, 529 F.2d 884, 889 (6th Cir.1976). Here, although the second trial was basically a rerun of the government's evidence at the first trial, German did not testify at the second trial. Most importantly, the judge had not previously been forced to choose an actual sentence to impose on German. [12] Nor had the judge heard the government's allocution urging incarceration or seen the presentence report. Admittedly, the judge's remarks at sentencing suggest some impatience with the fact German had insisted on a second lengthy trial and reveal his mistaken recollection of his pretrial statements. [13] In some respects, too, the remarks approach an area of forbidden judicial motivation. See Hebble, supra note 9, 257 A.2d at 486 (quoting Scott v. United States, 136 U.S.App.D.C. 377, 380, 419 F.2d 264, 267 (1969)). That the trial judge reassessed his evaluation of the seriousness of the crimes is nonetheless clear from the record. The judge referred at the sentencing hearing to three circumstances. First, he emphasized German's boast, on tape, that he had been dealing in stolen property for fifteen years and that he was willing to receive such property at any time. Second, the judge appeared to have come to a fuller appreciation of the extent to which fencing facilitates other criminal activities. The judge had previously noted, in denying a motion for reconsideration of bond pending sentence, that since German did not testify at the second trial, the government's evidence was left virtually uncontradicted. [14] Third, the judge considered Germans' prior federal conviction for burglary. Finally, the judge indicated that he had thought long and hard about the sentence. Viewing all the circumstances, and in recognition of the substantial trust that our system of criminal justice places in the trial judge to make every reasonable effort to maintain the requisite neutrality, we conclude that German has failed to meet his burden to show that the trial judge should be limited by his pretrial statements, however unfortunate. Cf. Frank v. Blackburn, supra, 646 F.2d at 878 (Once the defendant elects to go to trial, all bets are off.).