Legal Document

404 U.S. 257 92 Supreme Court Reporter 495 30 United States Reports Lawyer’s Edition 2d Series KF101.8 U54 427 Rudolph SANTOBELLO, Petitioner,v.NEW YORK. Number 70—98. Argued Nov. 15, 1971. Decided Dec. 20, Syllabus After negotiations with the prosecutor, petitioner withdrew his previous not-guilty plea to two felony counts and pleaded guilty a lesser-included offense, prosecutor having agreed make no recommendation as sentence. At petitioner's appearance for sentencing many months later new recommended maximum sentence, which judge (who stated that he was uninfluenced by recommendation) imposed. Petitioner attempted unsuccessfully withdraw plea, conviction affirmed on appeal. Held: The interests of justice proper recognition prosecution's duties in relation promises made connection 'any agreement guilty' require judgment be vacated case remanded state courts further consideration whether circumstances only there specific performance (in should resentenced different judge), or afforded relief seeks withdrawing plea. Pp. 260—263. 35 A.D.2d 1084, 316 N.Y.S.2d 194, remanded. Irving Anolik, New York City, petitioner. Daniel Judge Sullivan, respondent. Mr. Chief Justice BURGER delivered opinion Court. 1 We granted certiorari this determine State's failure keep commitment concerning sentence required trial. 2 facts are not dispute. State indicted 1969 counts, Promoting Gambling First Degree, Possession Records N.Y. Penal Law, McKinney's Consol. Laws, chapter 40, §§ 225.10, 225.20. first entered both counts. negotiations, Assistant District Attorney charge permit plead Second Law § 225.15, would carry prison one year. 3 On June 16, 1969, accordingly lesser charge. represented voluntary case, described Attorney, were true. court accepted set date sentencing. A series delays followed, owing primarily absence pre-sentence report, so September 23, had still been sentenced. By acquired defense counsel. 4 Petitioner's counsel moved immediately In an accompanying affidavit, alleged did know at time crucial evidence against him obtained result illegal search. accuracy affidavit is subject challenge since filed withdrawn motion suppress, before pleading guilty. addition renewed suppress inspect grand jury minutes. 5 These three motions turn caused delay until November 26, when denied all January 9, 1970, 9 appeared judge, who presided over juncture retired. motions, again rejected them. then turned 6 appearance, another replaced negotiated one-year making recommendation, cited criminal record links organized crime. Defense objected ground promised prosecution. He sought adjourn hearing order have prepare proof prosecutor's promise. second apparently ignorant colleague's commitment, argued nothing support claim promise, but State, subsequent proceedings, has contested such promise made. 7 ended discussion, following statement, quoting extensively from report: 8 'Mr. Aronstein (Defense Counsel), & N Immigration Nationality Decisions am influenced what says, need any testimony. It doesn't particle difference says will do, do. 'I here, Aronstein, probation report. here history long, long serious record. picture life man. . 10 "He unamenable supervision community. professional criminal.' This quotes. 'And recidivist. Institutionalization—'; means, plain language, just putting away, 'is means halting anti-social activities,' protecting you, your family, me, my society. 'Institutionalization.' Plain put behind bars. 11 'Under can send City Correctional Institution men year, hereby doing.' 12 imposed 13 certificate reasonable doubt admitted bail pending York, Appellate Division, Department, unanimously conviction, 194 (1970), leave appeal Appeals. Harlan our disposition case. 14 represents example unfortunate lapse orderly prosecutorial procedures, part, doubt, because enormous increase workload often understaffed offices. heavy may well explain these episodes, it does excuse charges between accused, sometimes loosely called 'plea bargaining,' essential component administration justice. Properly administered, encouraged. If every subjected full-scale trial, Federal Government multiply times number judges facilities. 15 Disposition after discussions part process highly desirable reasons. leads prompt largely final most cases; avoids much corrosive impact enforced idleness during pre-trial confinement those release trial; protects public accused persons prone continue conduct even while pretrial release; and, shortening disposition, enhances whatever rehabilitative prospects they ultimately imprisoned. See Brady versus States, 397 742, 751—752, 90 1463, 1470 1471, 25 747 (1970). 16 However, considerations presuppose fairness securing prosecutor. now clear, example, must counseled, absent waiver. Moore Michigan, 355 155, 78 191, 167 (1957). Fed.Rule Crim.Proc. 11, governing pleas federal courts, makes clear develop, record, factual basis as, describe gave rise charge.1 must, course, knowing if induced promises, essence some way known. There is, absolute right accepted. Lynch Overholser, 369 705, 719, 82 1063, 1072, 211 (1962); 11. reject exercise sound judicial discretion. 17 phase justice, adjudicative element inherent accepting guilty, attended safeguards insure defendant reasonably due circumstances. Those vary, constant factor rests significant degree said inducement consideration, fulfilled. 18 'bargained' particular secure dismissal more charges, also condition conceded abstain made, stage prosecution good position argue its inadvertent breach immaterial. staff lawyers office burden 'letting left hand doing' done. That lessen impact. 19 reach question known details influence we reason that. Nevertheless, conclude appropriate negotiation best served remanding consideration. ultimate entitled discretion court, better decide whether, view granting petitioner, i.e., opportunity guilty.2 emphasize sense judge; fault judge. 20 reconsideration inconsistent opinion. 21 DOUGLAS, concurring. 22 join add word. agree THE CHIEF JUSTICE MARSHALL bargain' default merely member party came court. unit each presumed commitments other member. responsibility could evaded way, designed deceptive 'contrivance,' akin condemned Mooney Holohan, 294 103, 112, 55 340, 341, 79 L.Ed. 791, Napue Illinois, 360 264, 1173, 1217. 23 bargains' important state1 federal2 levels serve role today's calendars. 24 However bargaining opinions established sobering occasion inasmuch constitutes waiver fundamental rights Duncan Louisiana, 391 145, 88 1444, 491, confront one's accusers, Pointer Texas, 380 400, 85 1065, 923, present witnesses defense, Washington 388 14, 87 1920, 1019, remain silent, Malloy Hogan, 378 1, 84 1489, 653, convicted beyond re Winship, 358, 1068, 368. Since Kercheval 274 220, 47 582, 71 1009, recognized 'unfairly obtained' ought vacated. course holding admissible prosecutions, opined: '(O)n timely application, vacate shown unfairly given through ignorance, fear inadvertence. Such application involve guilt innocence.' Id., 224, S.Ct., 583. 26 Although Kercheval's dictum grounds withdrawal expressly rest constitutional (cf. Frame Hudspeth, 309 632, 60 712, 989), Walker Johnston, 312 275, 61 574, 830, clearly held prisoner pled despite ignorance being uninformed lawyer deprived Sixth Amendment right, tricked misrepresentations into offended. Walker, evidentiary prove claims anticipation vacating Accord: Waley 101, 62 964, 86 1302; Von Moltke Gillies, 332 708, 68 316, 309. Machibroda 368 487, 510, 473, threatened tell private exchange proposed additional prosecutions. them, allegations true, matter hearing. 27 convictions founded upon coerced received increased scrutiny applied States. Powell Alabama, 287 45, 53 55, 77 158, lawyer's assistance choosing Williams Kaiser, 323 471, 65 363, 89 398. Com. Pa. ex rel. Herman Claudy, 350 116, 76 223, 100 126, habeas corpus lie where lawyerless uneducated numerous complex robbery charges. And, without advice White Maryland, 373 59, 83 1050, 193. Thus, per se unconstitutional, North Carolina Alford, 400 25, 37—38, 91 160, 167—168, 162; Shelton 242 Reporter, 2nd aff'd en banc, 246 571 (CA5 1957), rendered voidable threatening physical harm, supra, use false testimony, ibid., bring failing inform counsel, supra. Under 28 But deprive 'character act.' U.S., 493, 513. Cf. Bram 168 532, 542—543, 183, 186—187, 42 568. decisions spelled out sorts prosecutors tend coercive, assist appellate review weighing light circumstances, trial interrogate defendants enter affirmatively appear McCarthy 394 459, 1166, 418; Boykin 395 238, 1709, 274. lower however, uniformly form shows reneged bargain, jurisdictions preferring vacation 'involuntariness,' few enforcement. Note: Guilty Plea Bargaining: Compromises Prosecutors To Secure Pleas, 112 U.Pa.L.Rev. 865, 876 (1964). As author stated, outright 'an outraged fairness' breaches D. Newman, Conviction: Determination Guilt Innocence Without Trial 36 (1966). 29 'supervisory' jurisdiction; Rule Rules Criminal Procedure obviously relevancy problem. favor rule oncoming cases. Where kept requires (a) bargain (b) option go original One alternative do remedy, accord defendant's preference considerable, controlling, weight flouted defendant, State. 31 MARSHALL, whom BRENNAN STEWART join, concurring dissenting part. 32 majority's opinion, permitted requested majority, entitled. 33 belabor fact Constitution guarantees jury, or, 'right guilty,' Jackson, 390 570, 581, 1209, 1216, 138 (1968). waived waivers lightly fact, viewed 'utmost solicitude.' 243, 1712, (1969). Given this, believe presents government relied disadvantage, regained least prior judgment. words, deem earlier irrevocably 34 Here, never claimed automatic Rather, tendered why, His broken return When breaks undercuts implicit This, seems provides ample justification rescinding 'unfulfilled,' 755, 1472, specifically denies 'must stand.' Of agreement, enforce bargain. remedy here.* me worth noting ordinary sentencing, taken action reliance previously suffer harm plea's withdrawal. More pointedly, disappointed expectations about itself. itself disappointment cannot bar reclaiming remand instructions replead indictment. provides: 'A consent nolo contendere. refuse accept shall contendere addressing personally determining voluntarily understanding nature consequences refuses corporation fails appear, unless satisfied plea.' decides allow will, anew 1964, accounted 95.5% general jurisdiction York. 1965, figure California 74.0%. President's Commission Enforcement Administration Justice, Task Force Report: Courts (1967). 90.2% district courts. Ibid. fiscal 28,178 24,111 Report Director Administrative Office Courts, Period July 31, Table D—4, Page A—26. * although joining Court's (apparently thinks chosen court), concludes 'ought weight.' majority appears cases like these, generally granted.

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