ILNews

Bell/Gaerte: SCOTUS guides trial courts’ involvement in plea offers

Back to TopCommentsE-mailPrintBookmark and Share

By James J. Bell and K. Michael Gaerte
 

gaerte Gaerte
bell Bell

In the last term, the United States Supreme Court, in Missouri v. Frye, 132 S. Ct. 1399 (2012), took a small step toward inviting trial courts into plea negotiations. In concluding that a defendant was denied effective assistance of counsel because the defense attorney failed to advise his client of a plea offer, the Supreme Court suggested that “formal offers can be made part of the record . . . to ensure that a defendant has been fully advised before those further proceedings commence.” Id. 1402.

In the same term, the Supreme Court also noted the importance of the plea-negotiation process to the criminal justice system. The court stated that “criminal justice today is for the most part a system of pleas, not a system of trials . . . As explained in Frye, the right to adequate assistance of counsel cannot be defined or enforced without taking account of the central role plea bargaining plays in securing convictions and determining sentences.” Lafler v. Cooper, 132 S.Ct. 1376, 1388 (2012).

The practice of a trial court making a record of plea offers seemed to be contrary to Federal Rule of Criminal Procedure 11(c)(1), which stated that the “court must not participate in [plea] discussions.” This practice also seemed to contradict the routine assurance given to defendants in guilty plea hearings in Indiana courts that the trial court was “not a party to the plea agreement.”

During this past term, in United States v. Davila, the Supreme Court limited a trial court’s participation in the plea negotiation process. 2013 U.S. LEXIS 4541 (2013). In Davila, the Supreme Court addressed the issue of whether a court’s active participation in plea negotiations requires “automatic vacatur” of a plea agreement. Id. 4. Davila was indicted for filing more than 120 false tax returns on behalf of Florida prisoners. Id. 8. During an in-camera hearing before a magistrate, Davila requested that a different attorney be appointed to represent him because his current attorney recommended that he plead guilty. Id. 9. The magistrate judge informed Davila that pleading guilty might be a “good idea” given that the government had “all of the marbles.” Id 9-10. The court urged Davila to “come to the cross” in order to qualify for a sentence reduction by accepting responsibility. Id. 11.

Three months after this hearing, Davila agreed to plead guilty. Id. 12. During the plea hearing before the District Court judge, Davila never mentioned the “come to the cross” speech, and he stated that he had not been pressured to plead guilty. Id. Eventually, the District Court found that Davila had entered a knowing and voluntary plea and sentenced him to 115 months. Id. 13.

On appeal, Davila’s counsel, citing Federal Rule of Criminal Procedure 11(c)(1), argued that judicial involvement in plea discussions required that his plea be set aside. The 11th Circuit applied a “bright line rule,” finding that the court’s participation in plea negotiations required “automatic vacatur” of Davila’s plea without the need for an inquiry as to whether the error was prejudicial. Id. 14.

The Supreme Court rejected the bright-line rule application and took a more nuanced approach. While acknowledging that the magistrate’s colloquy with Davila violated Rule 11(c)(1), the Supreme Court still found that automatic reversal was not necessary. Id. 25. The court explained that the errors that rise to the level of automatic reversal are exceptional and that, in this circumstance, the magistrate’s error was not egregious enough to mandate reversal. Id. 28. In coming to this conclusion, the Supreme Court cited that Davila did not plead guilty until months after the error, that he expressly claimed he had pleaded guilty for strategic reasons, and that he affirmed the plea was knowing and voluntary at the time it was entered. Id. 27. In light of “the full record” the court vacated the 11th Circuit’s ruling and instructed that the “bright line” approach was inappropriate. Id.

Frye and Davila give guidance to trial courts on what they can or cannot do in plea negotiations. Furthermore, these cases guide lawyers who may wish to seek the court’s assistance in negotiations. While trial courts may make a record of plea negotiations and therefore, may be knowledgeable of the terms of a plea offer at sentencing, Davila makes clear that trial courts must not participate in defendants’ decisions to plead guilty.

Regardless of this prohibition, in practice, a trial court’s participation in plea negotiations is unlikely to result in reversible error. In Davila, the magistrate judge not only advised the defendant that the government had a strong case, but told him to “come to the cross.” This command had to have some effect on the defendant’s decision to plead guilty – and his attorney’s advice – even after three months had elapsed. In addition, the “full record” in this case, in which Davila admitted he had entered the plea agreement knowingly and voluntarily, was perfunctory, and the same record is made in most guilty plea hearings. Nevertheless, courts must use caution and care to not cross the line in discussing plea offers with the parties, and parties should be aware of the limitations on the court’s involvement in the plea negotiation process.•

__________

James J. Bell and K. Michael Gaerte are attorneys with Bingham Greenebaum Doll LLP. They assist lawyers and judges with professional liability and legal ethics issues. They also practice in criminal defense and are regular speakers on criminal defense and ethics topics. They can be reached via email at jbell@bgdlegal.com or mgaerte@bgdlegal.com. The opinions expressed are those of the authors.

ADVERTISEMENT

Post a comment to this story

COMMENTS POLICY
We reserve the right to remove any post that we feel is obscene, profane, vulgar, racist, sexually explicit, abusive, or hateful.
 
You are legally responsible for what you post and your anonymity is not guaranteed.
 
Posts that insult, defame, threaten, harass or abuse other readers or people mentioned in Indiana Lawyer editorial content are also subject to removal. Please respect the privacy of individuals and refrain from posting personal information.
 
No solicitations, spamming or advertisements are allowed. Readers may post links to other informational websites that are relevant to the topic at hand, but please do not link to objectionable material.
 
We may remove messages that are unrelated to the topic, encourage illegal activity, use all capital letters or are unreadable.
 

Messages that are flagged by readers as objectionable will be reviewed and may or may not be removed. Please do not flag a post simply because you disagree with it.

Sponsored by
ADVERTISEMENT
Subscribe to Indiana Lawyer
  1. Whilst it may be true that Judges and Justices enjoy such freedom of time and effort, it certainly does not hold true for the average working person. To say that one must 1) take a day or a half day off work every 3 months, 2) gather a list of information including recent photographs, and 3) set up a time that is convenient for the local sheriff or other such office to complete the registry is more than a bit near-sighted. This may be procedural, and hence, in the near-sighted minds of the court, not 'punishment,' but it is in fact 'punishment.' The local sheriffs probably feel a little punished too by the overwork. Registries serve to punish the offender whilst simultaneously providing the public at large with a false sense of security. The false sense of security is dangerous to the public who may not exercise due diligence by thinking there are no offenders in their locale. In fact, the registry only informs them of those who have been convicted.

  2. Unfortunately, the court doesn't understand the difference between ebidta and adjusted ebidta as they clearly got the ruling wrong based on their misunderstanding

  3. A common refrain in the comments on this website comes from people who cannot locate attorneys willing put justice over retainers. At the same time the judiciary threatens to make pro bono work mandatory, seemingly noting the same concern. But what happens to attorneys who have the chumptzah to threatened the legal status quo in Indiana? Ask Gary Welch, ask Paul Ogden, ask me. Speak truth to power, suffer horrendously accordingly. No wonder Hoosier attorneys who want to keep in good graces merely chase the dollars ... the powers that be have no concerns as to those who are ever for sale to the highest bidder ... for those even willing to compromise for $$$ never allow either justice or constitutionality to cause them to stand up to injustice or unconstitutionality. And the bad apples in the Hoosier barrel, like this one, just keep rotting.

  4. I am one of Steele's victims and was taken for $6,000. I want my money back due to him doing nothing for me. I filed for divorce after a 16 year marriage and lost everything. My kids, my home, cars, money, pension. Every attorney I have talked to is not willing to help me. What can I do? I was told i can file a civil suit but you have to have all of Steelers info that I don't have. Of someone can please help me or tell me what info I need would be great.

  5. It would appear that news breaking on Drudge from the Hoosier state (link below) ties back to this Hoosier story from the beginning of the recent police disrespect period .... MCBA president Cassandra Bentley McNair issued the statement on behalf of the association Dec. 1. The association said it was “saddened and disappointed” by the decision not to indict Ferguson police officer Darren Wilson for shooting Michael Brown. “The MCBA does not believe this was a just outcome to this process, and is disheartened that the system we as lawyers are intended to uphold failed the African-American community in such a way,” the association stated. “This situation is not just about the death of Michael Brown, but the thousands of other African-Americans who are disproportionately targeted and killed by police officers.” http://www.thestarpress.com/story/news/local/2016/07/18/hate-cops-sign-prompts-controversy/87242664/

ADVERTISEMENT