Opinion ID: 1349892
Heading Depth: 1
Heading Rank: 1

Heading: the plea procedure

Text: We have sanctioned plea bargain concepts in a number of cases and have stated in State ex rel. Gray v. McClure, W.Va., 242 S.E.2d 704, 705 (1978), that [p]lea bargaining has been a part of West Virginia law for at least forty-six years. State v. Ward, 112 W.Va. 552, 165 S.E. 803 (1932). Until the adoption of Rule 11 of the West Virginia Rules of Criminal Procedure, effective October 1, 1981, the procedures surrounding the plea bargaining process were largely developed through case law. E.g., Blackburn v. State, W.Va., 290 S.E.2d 22 (1982); State ex rel. Morris v. Mohn, W.Va., 267 S.E.2d 443 (1980); State v. Olish, W.Va., 266 S.E.2d 134 (1980); State v. Wayne, W.Va., 245 S.E.2d 838 (1978); Brooks v. Narick, W.Va., 243 S.E.2d 841 (1978); Call v. McKenzie, 159 W.Va. 191, 220 S.E.2d 665 (1975); State ex rel. Clancy v. Coiner, 154 W.Va. 857, 179 S.E.2d 726 (1971). With the advent of Rule 11, which is modeled after Rule 11 of the Federal Rules of Criminal Procedure, a detailed set of standards and procedures now exists governing the plea bargaining process. For example, we have held that: West Virginia Rules of Criminal Procedure, Rule 11, gives a trial court discretion to refuse a plea bargain. Syllabus Point 5, W.Va., State v. Guthrie, 315 S.E.2d 397 (1984). [5] We need not for the purposes of this opinion make a comprehensive analysis of Rule 11. It will be sufficient to examine those provisions of Rule 11 that have a bearing on Dempsey's plea agreement. [6] First, Rule 11(b) makes it clear that a defendant has no absolute right to enter a nolo contendere plea:  Nolo Contendere. A defendant may plead nolo contendere only with the consent of the court. Such a plea shall be accepted by the court only after due consideration of the views of the parties and the interest of the public in the effective administration of justice. Second, under Rule 11(e)(2), the power is vested in the circuit court to accept or reject a plea agreement or to defer acting on it [7] until the court obtains a presentence report under Rule 32(c). [8] Furthermore, Rule 11(e)(4) spells out the procedure to be used when a court rejects a plea bargain. [9] Obviously, one purpose for the presentence report is to enable the court to obtain information with regard to the defendant's background in order to make an informed decision as to whether to accept or reject the guilty or nolo contendere plea. Many jurisdictions have concluded generally that a court, in exercising its discretion to accept or reject a plea agreement, should consider whether the plea agreement is consistent with the public interest or, stated in a slightly different form, whether it promotes the ends or interests of justice. See, e.g., United States v. Bean, 564 F.2d 700, 704 (5th Cir.1977); United States v. Gallington, 488 F.2d 637, 640, 27 A.L.R.Fed. 582, 588 (8th Cir. 1973), cert. denied, 416 U.S. 907, 94 S.Ct. 1613, 40 L.Ed.2d 112 (1974); United States v. Miller, 722 F.2d 562, 563 (9th Cir.1983); United States v. Barker, 681 F.2d 589, 592 (9th Cir.1982); State v. Superior Court, 125 Ariz. 575, 577, 611 P.2d 928, 930 (1980) (in banc); Blinken v. State, 291 Md. 297, 308, 435 A.2d 86, 91 (1981), cert. denied, 456 U.S. 973, 102 S.Ct. 2235, 72 L.Ed.2d 846 (1982); State v. Thomas, 61 N.J. 314, 322, 294 A.2d 57, 61 (1972); State v. Haner, 95 Wash.2d 858, 865, 631 P.2d 381, 385 (1981) (en banc). We conclude that a court's ultimate discretion in accepting or rejecting a plea agreement is whether it is consistent with the public interest in the fair administration of justice. This general standard is not markedly different from the language in Rule 11(b), which states that a court should not accept a nolo contendere plea [10] until after due consideration of the views of the parties and the interest of the public in the effective administration of justice. Furthermore, as we discuss in more detail in Part II, courts have utilized a similar standard in connection with the dismissal of criminal charges under Rule 48(a) of the Federal Rules of Criminal Procedure and related statutes. As to what is meant by a plea bargain being in the public interest in the fair administration of justice, there is the initial consideration that the plea bargain must be found to have been voluntarily and intelligently entered into by the defendant and that there is a factual basis for his guilty plea. Rule 11(d) and (f). In addition to these factors, which inure to the defendant's benefit, we believe that consideration must be given not only to the general public's perception that crimes should be prosecuted, but to the interests of the victim as well. [11] Similar thoughts were expressed by the Wisconsin Supreme Court in State v. Kenyon, 85 Wis.2d 36, 47, 270 N.W.2d 160, 165 (1978): While the concerns expressed by the court for the defendant were legitimate and proper and go to the public interest to a limited degree, there must also be some concern with the public's right to have the crimes actually committed fairly prosecuted and to the protection of the rights of third persons. The court should consider the various elements as they appear and then exercise its discretion. A review of cases suggests some of the more obvious guidelines that a trial court should use in determining whether a plea agreement should be accepted or rejected. A primary test is in light of the entire criminal event and given the defendant's prior criminal record, whether the plea bargain enables the court to dispose of the case in a manner commensurate with the seriousness of the criminal charges and the character and background of the defendant. One of the leading cases in this area is United States v. Bean, 564 F.2d 700 (5th Cir.1977), in which the defendant appealed the district court's refusal to accept his guilty plea to auto theft, pursuant to a plea bargain that would have required the dismissal of one count of burglary also charged in the indictment. The Fifth Circuit upheld the district court, noting that since the counts dismissed pursuant to plea bargains often carry heavier penalties than the counts for which a guilty plea is entered, a plea bargain to dismiss charges is an indirect effort to limit the sentencing power of the judge. 564 F.2d at 704. The court also noted that the defendant had a prior burglary and theft conviction, for which he had served four years, and had also served time for unlawfully carrying a weapon. It affirmed the district judge's conclusion that the plea bargain did not provide for imposition of a sentence commensurate with the offense and the dangerous character of the offender. 564 F.2d at 704. See also United States v. Escobar Noble, 653 F.2d 34 (1st Cir.1981); United States v. Adams, 634 F.2d 830, 56 A.L.R.Fed. 510 (5th Cir.1981); United States v. Ocanas, 628 F.2d 353 (5th Cir.1980), cert. denied, 451 U.S. 984, 101 S.Ct. 2316, 68 L.Ed.2d 840 (1981); United States v. Munroe, 493 F.Supp. 134 (E.D.Tenn.1980); State v. Todd, 654 S.W.2d 379 (Tenn.1983). It has also been recognized that a plea agreement may be both reasonable and necessary when it is designed to secure a legitimate and important prosecutorial interest. A typical illustration is where the prosecutor enters into a favorable plea bargain with the defendant in order to obtain critical testimony needed to convict an accomplice. E.g., United States v. Hamm, 659 F.2d 624 (5th Cir.1981). Some courts have also considered Standard 14-1.8(a) of the American Bar Association's Standards for Criminal Justice (2d ed.1982), which provides that [i]t is proper for the court to grant charge and sentence concessions to defendants who enter a plea of guilty or nolo contendere when consistent with the protection of the public, the gravity of the offense, and the needs of the defendant. The following factors, if established by substantial evidence, are listed as being relevant to whether a plea bargain should be approved: (i) the genuine contriteness of the defendant and his willingness to assume responsibility for his conduct; (ii) the possibility that the plea bargain may make possible alternative correctional measures; and (iii) the avoidance of trial may spare the victims unseemly public scrutiny or embarrassment. To this list, we would also add that there may be cases where the public interest is best served by having the case tried so that public confidence in the criminal justice system is maintained. [12] To ensure that the trial court properly exercises its discretion in accepting or rejecting plea agreements, it is incumbent upon the prosecutor to inform the court of his reasons for proposing the plea agreement. The Eighth Circuit in Gallington, 488 F.2d at 640, mandated that in addition to the procedures specified in Rule 11, [j]udges are to require the agreement to be disclosed in open court at the time the plea is offered and require that the reasons for reaching the agreement be set forth in detail. (Footnotes omitted) See also United States v. Mack, 655 F.2d 843, 847 (8th Cir.1981); American Bar Association's Standards for Criminal Justice, Standard 14-3.3(a) (2d ed.1982). Requiring a prosecutor to state his reasons for entering into a plea agreement with a defendant is as essential as requiring a statement of reasons supporting a motion for the dismissal of criminal charges, as discussed in Part II of this opinion. We, therefore, conclude that a prosecutor has a duty to inform the trial court of his specific reasons for entering into a plea agreement with a defendant. The trial court also has the right to be informed not only of the terms of the agreement, but also of the circumstances surrounding the criminal episode which is covered by the plea bargain. Additionally, the court is entitled to secure all relevant information surrounding the background, prior criminal record, and the degree of criminal involvement of the defendant to assist it in determining whether to accept or reject the tendered plea bargain.