U.S. v. Adams
| Decision Date | 19 January 1981 |
| Docket Number | No. 80-1140,80-1140 |
| Citation | 634 F.2d 830,56 A.L.R.Fed. 510 |
| Parties | UNITED STATES of America, Plaintiff-Appellee, v. James Edwards ADAMS, Defendant-Appellant. Summary Calendar. . Unit A |
| Court | U.S. Court of Appeals — Fifth Circuit |
Myron H. Garner, Dallas, Tex., (Court-appointed), for defendant-appellant.
Shirley Baccus-Lobel, Paul E. Coggins, Asst. U. S. Attys., Dallas, Tex., for plaintiff-appellee.
Appeal from the United States District Court for the Northern District of Texas.
Before GEE, RUBIN and RANDALL, Circuit Judges.
James Edward Adams was convicted after a jury trial in the District Court for the Northern District of Texas of three counts of using a telephone in the furtherance of a conspiracy to distribute heroin and was sentenced by the trial judge to three consecutive four year prison terms. Adams does not challenge the fairness of his trial or of his sentencing; instead, he seeks to enforce a purported plea bargain pursuant to which he was to plead guilty to two of the counts in exchange for a probated sentence. We do not believe that Adams is entitled to specifically enforce the terms of this agreement; although a bargain may have been made between Adams and the prosecutor, the record demonstrates that the judge rejected the agreement within the sound exercise of her discretion. The record also indicates, however, that the trial judge actively participated in plea discussions prior to Adams' plea of not guilty. Although Adams does not challenge the judge's actions, her participation in plea discussions is a serious violation of Rule 11(e)(1) of the Federal Rules of Criminal Procedure. In order to enforce that Rule and protect defendants against the dangers implicit in judicial participation in plea discussions, we raise the issue sua sponte and, pursuant to our supervisory power over the district courts, determine the appropriate remedy to violations of Rule 11(e) (1) in cases where, as here, the defendant pleads not guilty and demonstrates no actual prejudice in his trial or sentencing. We conclude below, on the basis of the fundamental rationales underlying strict enforcement of Fed.R.Crim.P. 11 insofar as its core concerns are implicated, that such a defendant should not receive a new trial but should be resentenced before a judge other that the one who participated in the unsuccessful plea discussions which preceded his trial.
On May 30, 1979, a grand jury in the Northern District of Texas handed down a thirty-five count indictment naming a total of twenty-one defendants in connection with an alleged conspiracy to distribute heroin in the Dallas, Texas area. The appellant herein, James Edward Adams, was indicted therein for one count of conspiracy to distribute heroin in violation of 21 U.S.C. § 841(a)(1), and for three counts of using a telephone in the furtherance of a conspiracy to distribute heroin in violation of 21 U.S.C. § 843(b).
Adams was arrested on August 20, 1979, and on that date a United States Magistrate appointed Myron H. Garner to represent him. On August 29, 1979, Garner met with the Assistant United States Attorney assigned to the case, Jay Ethington. After discussing the possibility of a plea bargain (but before any agreement was reached), Garner and Ethington went to the trial judge's chambers, and the judge agreed to speak with them. In the ensuing meeting in the court's chambers, Garner explained to the judge that Adams is a paraplegic; he is paralyzed below the waist as the result of a gunshot wound received on August 15, 1979. The judge then indicated that, because of Adams' condition, she felt a probated sentence would be appropriate. 1
Subsequent to this meeting, Garner and Ethington reached an agreement pursuant to which Adams was to plead guilty to one of the counts under section 843(b) and the government was to go along with a probated sentence. Adams agreed to enter a plea of guilty under these circumstances, and consented to an interview with a United States probation officer who was asked to compile a pre-sentence report on Adams. Trial Transcript at 33 and 41.
A pre-arraignment hearing was held on August 30, 1979 (the day after the meeting in the court's chambers), at which time Garner anticipated that Adams would plead guilty. The arraignment itself was postponed until such time as Adams would be well enough to come to court and the presentence report would be completed. Trial Transcript at 4.
Adams appeared in court on October 11, 1979, however, and pled not guilty to all counts. The record indicates that at this time the government was willing to go through with its part of the plea bargain, but that the judge had already rejected the deal because of the probation officer's recommendation that Adams receive a prison term. The pre-sentence investigation had disclosed that Adams had already served four felony prison terms, three in Texas penitentiaries and one in a federal penitentiary. The following colloquy took place at the arraignment:
Trial Transcript at 8-9. Unfortunately, it is not clear precisely when the judge rejected the agreement; her statements at this arraignment suggest that there may have been some off-the-record communication with counsel (in which she rejected the bargain) between the pre-arraignment hearing on August 30 and the arraignment on October 11.
The record leaves a somewhat greater gap, however, between the October 11 arraignment and a second arraignment, which took place on November 21, 1979. Sometime during this period Adams appears to have changed his mind and decided to plead guilty. The judge, the prosecutor and Adams' counsel all expected Adams to change his plea to guilty at the second arraignment, and after a reading of the indictment the judge explained the charges against Adams and the rights which he would waive by a plea of guilty. Trial Transcript at 11-16. Adams appears to have surprised all concerned when he then pled not guilty. At that point the judge made the following statements:
THE COURT: Not guilty? I thought after my full explanation to you the other day that you had decided that you would plead guilty. Now, which is it that you want to do?
(The defendant consulted with his attorney.)
THE COURT: Which is it that you want to do? You understand that if you are tried you will be tried not only on those two counts but you will be tried on the counts of conspiracy to distribute heroin which carries a fifteen year sentence and a twenty-five thousand dollar fine if it is your first offense and if it is your second offense thirty years in the penitentiary and a fifty thousand dollar fine or both. Now, what is it you want to do?
(Pause in proceeding while defendant consulted with his attorney.)
Trial Transcript at 16-17. The judge seems to have spoken to Adams or to his counsel off the record sometime between the first arraignment, on October 11, and the second arraignment, on November 21. She refers to "my full explanation to you the other day," yet no explanation-except for the court's rejection of the plea bargain calling for probation, quoted supra -appears anywhere in the record prior to November 21. The important fact, however, is that at some point the judge did speak with Adams or his counsel long enough to offer him a new deal: if he would plead guilty to two of the counts, she would sentence him to consecutive sentences of four years' imprisonment on one count and four years' probation on the other.
Adams apparently rejected this deal, for he pled not guilty to all charges on November 21. The prosecution then decided to proceed only on the three counts under section 843(b), and the conspiracy count under section 841(a)(1) was therefore dismissed at trial. Adams was tried before a jury between January 21 and January 23, 1980, and was found guilty of all three counts under 21 U.S.C. § 843(b). On February 8, 1980, the trial court sentenced Adams to serve consecutive four year prison terms on each of these counts.
There is no suggestion in the record that Adams' trial was unfair in any way...
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