Court Opinion

ID: 9476632
Source: CourtListenerOpinion
Date Created: 2023-08-05 06:01:09.325489+00
Date Added: 2024-06-11T17:45:25.527266
License: Public Domain

ATKINS, Senior District Judge,
concurring:
Although we are bound by precedent to follow this circuit’s decision in Rutkowski, I believe that it is important to note the factual differences between that case and the one before this court and to express concern about the scope of that ruling.
In Rutkowski, the defendant tried to suppress the use in evidence of a log that had been seized at the time of his arrest. He argued that statements made by his co-conspirator during plea negotiations caused the prosecution to introduce the log at trial. There existed no evidence, other than defendant’s allegation, that the statements caused the prosecution to scrutinize more closely evidence that it had previously and lawfully obtained. Based on those limited facts, the court found it “clear that Congress never considered including derivative evidence in the prohibition.” The court’s ruling effectively permits any use of a defendant’s statements other than their introduction at trial.
The importance of plea bargaining in the criminal justice system is well settled. See Santobello v. New York, 404 U.S. 257, 92 S.Ct. 495, 30 L.Ed.2d 427 (1977). This circuit has not been alone in emphasizing the importance of candor and fair dealing to proper and effective administration of such negotiations. See, e.g., United States v. Davidson, 768 F.2d 1266, 1270 (11th Cir.1985) (purpose of the rule is “to permit unrestrained candor which produces effective plea discussions”); United States v. Davis, 617 F.2d 677, 683 (D.C.Cir.1979) (“The most significant factor in the rule's adoption was the need for free and open discussion between the prosecution and defense during attempts to reach a compromise.”); United States v. Herman, 544 F.2d 791 (5th Cir.1977) (inescapably true that for plea bargaining to work effectively and fairly a defendant must not fear that his statements will later be used against him).
The court in Herman endorsed a broad interpretation of the rule “eschewing an interpretation of the rules that would make the accused less amenable to forthright plea discussions.” Herman, at 797. The two most important policy goals supported by Rule 11, the promotion of free and open plea negotiations and the effectiveness of a plea withdrawal, are severely hampered by a strict interpretation of the rule. A defendant, aware that his statements may be used to support probable cause for a warrant to obtain incriminating evidence, is unlikely to engage in the type of frank interchange so necessary to successful ne*699gotiations. Should such discussions be unsuccessful, the defendant has incriminated himself and aided the prosecution in building a stronger case against him. Finally, knowledge of the ability to make such use of statements gives the prosecution a powerful weapon that swings the balance of the discussions against the defendant. See United States v. Ross, 493 F.2d 771, 775 (5th Cir.1974) (“[I]t is inherently unfair.for the government to engage in [plea negotiations], only to use it as a weapon against the defendant when the negotiations fail.”). It is naive to believe that the only use of statements that would hamper the effectiveness of plea negotiations would be the introduction of the actual statements at trial.
Although not directly faced with a challenge to admission of evidence as is this court, the second circuit, in deciding whether information obtained during plea bargaining should be barred from use by the prosecution seeking a superceding indictment, quoted the lower court with approval saying: “A trial judge aptly stated in the proceeding below: ‘Rule 11 ... [is] designed to [be] applied to statements that are to be used in evidence, or evidence obtained through the use or exploitation of the statements.’” United States v. Hinton, 703 F.2d 672, 679 (2d Cir.1983) (emphasis added). In United States v. Kandik, 633 F.2d 1334 (9th Cir.1980), faced with facts extraordinarily similar to those in the case sub judice, the district court suppressed evidence obtained pursuant to a search warrant acquired with information obtained during plea negotiations. The district court ruled that the evidence was inadmissible for any purpose. Id. at 1335. Though this issue was not contested on appeal, the circuit court’s discussion implicitly accepted the trial court’s decision. While it is clear that the present case is in keeping with precedent as set by this circuit, it appears out of step with the spirit and implementation of plea bargaining and the rationale of other circuits.