Ronald FRAZIER a/k/a Ronnie Fraley, Appellant,
v.
The STATE of Florida, Appellee.
District Court of Appeal of Florida, Third District.
Bennett H. Brummer, Public Defender and McMaster, Forman & Miller and Daniel H. Forman, Sp. Asst. Public Defender, for appellant.
Jim Smith, Atty. Gen. and Jack B. Ludin, Asst. Atty. Gen., for appellee.
Before SCHWARTZ, C.J., and BARKDULL and HUBBART, JJ.
SCHWARTZ, Chief Judge.
In Fraley v. State,
The trial judge related that he had retendered the previously made six year plea offer at the end of the trial at the request of appointed defense counsel who himself made the
recommendation that he did accept it because under the circumstances, if he were convicted, there were possibilities of harsher sentences.
More important, the trial judge stated with charaсteristic forthrightness and clarity that he made the offer, which he said was repeated even after the jury had retired, and which avowedly represented less than a fair sentence to Frazier for the crime charged, solely in order to avoid the likely possibility that the defendant, whom the judge thought guilty, would be acquitted by the jury:
The reason I made the offer of five and one was because I had suppressed the majority of the evidence and I was fearful, and I think this is my real reasoning I had offered it: Because I thought the jury was going to walk Mr. Fraley on the case and I said, `In order to protect the people and the defendant and be fair, I will make the offer of six years of which the victim had no objection to, so I did it, and that's why I did it, because I wanted him to plead five years and one which would be six years.'
* * * * * *
The reason for the plea offer was because I thought the defendant was going to walk and I was concerned because of the information I had before me that I felt he was guilty and I was trying to protect the people's interest and the defendant's interest by making a fair plea offer which all sides agreed it was fair.
After Frazier rejected the plea, thus opting to take his chances with the jury, and then lost the bet which is inherent in that course of action, the actual sentence simply represented the court's assessment of an appropriate penalty for the crime and defendant involved, fully commensurate with its prior sentences in similar cases.
After the jury came back, the jury had cоncluded what I felt all along: That he was guilty beyond and to the exclusion of every reasonable doubt and six jurors of the community had agreed with what I felt was the interpretation of the evidence.
* * * * * *
Now, as far as this twenty year sentence is concerned, that was the same sentence I imposed in every robbery conviction I had of a similar nature.
Compare Gardner versus State where I imposed the same sentence.
There was no vindictive nature about it.
If I was going to be vindictive, I never would have offered it to him again after the jury went out.
I don't know any other Judge that would have done that as a favor to the defendant and the defense lawyers even *449 though I had spent three days of judicial labor trying a case.[3]
It affirmatively appears, therefore, that the twenty year sentence was not imposed out of a sense of imputed judicial "vindictiveness"[4] against the defendant for inconveniencing the court by asserting his constitutional right to a jury determination of his guilt. But that is the evil the Pearce doctrine seeks to obviate. See Bordenkircher v. Hayes,
We think that this point has been made clear by the decisions of the Supreme Court of the United States interpreting Pearce, the reach of which is essentially the only issue in this case. The Pearce rule evolved because the imposition of a harsher sentence upon a defendant after a new trial ordered on appeal poses a realistic likelihood of vindictiveness. Blackledge v. Perry,
[w]hile confronting a defendant with the risk of more severe punishment clearly may have a `discouraging effect on the defendant's assertion of his trial rights, the imposition of these difficult choices [is] an inevitable' and permissible `attribute of any legitimate system which tolerates and encourages the negotiation of pleas.' Chaffin v. Stynchcombe,412 U.S. 17 at 31, 93 S.Ct. [1977] at 1985.
Many previous cases have likewise indicated or held that Pearce principles are inapplicable to the consequences of plea bargaining even when, like this case, the court participates, and even when, unlike this case, the potentiality for impermissible retribution is much greater because the offer occurs prior to the trial proceedings made necessary by the defendant's rejection. See Frank v. Blackburn,
In sum, the defendant cannot be heard to complain if the fact that his sentence is greater than the plea offer is the result, not of the assertion of his rights, but of his rejection of the proposed agreement and of the fair conclusion as to his punishment which the court has the consequent ability to render. See United States v. Lippert,
[I]t stretches our credulity to think that one who declines to plead guilty with a recommended sentence acceptable to the court should nevertheless be given the benefits of a bargain available to, but rejected by, him.
United States v. Resnick,
Affirmed.
BARKDULL, J., concurs.
HUBBART, Judge (dissenting)
Chief Judge Schwartz has authored an able opinion for the court in this most troubling case and makes, in my judgment, the best possible argument for affirming the sentence appealed from. Ultimatеly, however, I remain unconvinced by this valiant effort and must dissent from the result reached because: (1) the trial court impermissibly deviated from our prior mandate in this cause, and (2) the sentence originally imposed impermissibly penalized the defendant for exercising his Fifth Amendment right not to plead guilty and his Sixth Amendment right to a jury trial. I would therefore reverse the sentence under review and remand with directions to the trial court to impose a sentence in accordance with the trial judge's original plea offer of six years imprisonment.
In the prior appeal in this cause, we held that the twenty-five year total sentence imposed in this case was "presumptively unlawful" as it constituted, in effect, a penalty on the defendant's exercise of his Fifth Amendment right not to plead guilty and his Sixth Amendment right to a jury trial. We reached this conclusion based on the undisputed showing in the record that the trial judge imposed a sentence four times greater, and nineteen years longer, than the sentence the trial judge himself had offerеd to the defendant in open court after all the evidence had been adduced at trial.[1] Moreover, no pre-sentence investigation was ever ordered in the case and we were unable to discern any real reasons in the record, other than the jury verdict, for such a drastic increase in the sentence. We stated:
"But we simply cannot determine from this record what factors the court took into account in imposing a sentence four *452 times more severe than that which hаd been offered, which offer was renewed even after the conclusion of all the evidence. When a trial judge imposes a sentence upon a defendant after trial, which is more severe than the plea offer made by the court after it has heard all the evidence, the reasons for the more severe sentence must affirmatively appear in the record so as to assure the absence of vindictiveness. Cf. North Carolina v. Pearce,395 U.S. 711 ,89 S.Ct. 2072 ,23 L.Ed.2d 656 (1969). Because of the total absence of reasons fоr the more severe sentence we find the sentence presumptively unlawful.[1]"
Fraley v. State,
"...
We do not question the validity of the sentence in this case merely because of the disparity between the plea offer and the sentence after trial. The Supreme Court of the United States has held that it is constitutionally permissible for the state to extend a benefit to a defendant who in turn extends a substantial benefit to the state and who demonstrates by his рlea that he is ready and willing to admit his crime and to enter the correctional system in a frame of mind that affords hope for success in rehabilitation over a shorter period of time than might otherwise be necessary. Brady v. United States,397 U.S. 742 , 753,90 S.Ct. 1463 , 1471,25 L.Ed.2d 747 (1969). We emphasize that this case is singled out because of three unusual circumstances, (1) the offer was renewed by the court at the conclusion of the evidence after the labors of trial were substantially completed, (2) no presentence investigation was conducted, nor is there evidence of any other appropriate factors the court might have considered, (3) the sentence finally imposed is, by comparison with the last plea offer, strikingly harsh."
We accordingly affirmed the judgment of conviction and remanded for further proceedings on the sentence, with our mandate reading as follows:
"The judgment of conviction is AFFIRMED, and the cause is remanded to the trial court with instructions to resentence the defendant in accordance with the pleа offer or to make record findings supportive of the more severe sentence."
Id. at 986.
Upon remand, the trial judge, in my view, totally deviated from this mandate which, without dispute, he had no authority to do under the established law of Florida.[2] First, he did not, as ordered, "resentence the defendant in accordance with the plea offer," to wit: six years imprisonment. Instead, he resentenced the defendant to twenty years imprisonment which he plainly had no authority to do under our mandate. Second, he did not "make record findings supportive of the more severe sentence" and then leave the original severe sentence of twenty-five years standing. As previously noted, he instead mitigated the twenty-five year sentence to twenty years, and proceeded to explain on the record which we had not directed him to do why he had made the original six-year plea offer to the defendant, an offer which he characterized as "a fair plea offer which all sides agreed it was fair." Without going intо his reasons for making the offer which the court recognizes are dubious at best,
Second, it seems clear beyond peradventure, based on this record, that the sole reason for the drastic fourfold increase in sentence was the jury verdict itself. This is so because the jury verdict, and nothing else, is the only significant event which occurred subsequent to the "fair plea offer" made by the trial judge himself. The verdict, and only the verdict, explains why the judge decided to impose such a severe sentence as compared with his original "fair" plea offer. Without dispute, he learned no new facts about the crime or the defendant subsequent to the plea offer to justify such a drastic increase; moreover, the differential in sentence between the plea offer and the sentence imposed is so drastic that, in my view, it exceeds the fair limits of reasonable plea bargaining negotiations. See Fraley v. State,
We correctly stated the applicable law in cases of this nature in the prior Fraley opinion.
"The law is clear that any judicially imposed penalty which needlessly discourages assertion of the fifth amendment right not to plead guilty and deters the exercise of the sixth amendment right to demand a jury trial is patently unconstitutional. United States v. Jackson,390 U.S. 570 ,88 S.Ct. 1209 ,20 L.Ed.2d 138 (1968) (a statute, violation of which is punishable by death on a jury's recommendation, but which assures no execution if the accused enters a guilty plea, is invalid because it encourages guilty pleas); Thomas v. United States,368 F.2d 941 (5th Cir.1966) (imposition of harsher punishment as a result of defendant's refusal to waive his fifth amendment rights held improper); R.A.B. v. State,399 So.2d 16 (Fla. 3d DCA 1981) (decision to adjudicate juvenile delinquent based upon his assertion of fifth amendment right to remain silent and right to plead not guilty was improper); McEachern v. State,388 So.2d 244 (Fla. 5th DCA 1980) (court could not imposе a more severe sentence because of the costs and difficulty involved in proving the State's case); Gillman v. State,373 So.2d 935 (Fla. 2d DCA 1979) (defendant's choice of plea should not have played any part in the determination of his sentence); Hector v. State,370 So.2d 447 (Fla. 1st DCA 1979) (defendant's failure to confess to crime is an improper consideration in imposing sentence). Compare United States v. Grayson,438 U.S. 41 , *45498 S.Ct. 2610 ,57 L.Ed.2d 582 (1978) (sentencing court can properly give consideration to defendant's false testimony observed by the judge during trial)."
It is therefore clear, based on the established law and this record, that the twenty-five year sentence originally imposed herein was an unconstitutional sentence and should have been vacated by the trial court upon remand. I would, accordingly, reverse the sentence appealed from and remand the cause to the trial court with directions to impose a six-year sentence in accordance with the original plea offer made by the trial judge below.
Based on the above-stated reasons, I respectfully dissent.
Before SCHWARTZ, C.J., and BARKDULL, HENDRY, HUBBART, NESBITT, BASKIN, DANIEL S. PEARSON, FERGUSON, and JORGENSON, JJ.
On Hearing En Banc
PER CURIAM.
After oral argument before a panel оf this court, this case was heard en banc at the request of a member of the panel because of the possibility that its decision might involve a departure from the prior decision in this case, Fraley v. State,
SCHWARTZ, C.J., and BARKDULL, HENDRY, NESBITT, BASKIN, PEARSON and JORGENSON, concur.
HUBBART, Judge (concurring).
I concur in the court's decision to deny the request of one member of this court for an en banc hearing under Fla.R.App.P. 9.331(b), but not for the reason stated in the court's opinion above. A brief bаckground of the rather complicated procedure followed in this case is, I think, in order as a predicate for explaining the basis on which I think the en banc hearing request should be denied.
This case was originally briefed and orally argued before a three-judge panel (Schwartz, C.J. and Barkdull, Hubbart, JJ.) of this court. Thereafter, a member of the panel requested an en banc hearing in the cause for the purpose of receding from our prior decision in this case. Fraley v. State,
I entirely agree that the en banc hearing request should be denied, but solely because I think our prior Fraley decision was cоrrect and should be adhered to. I express no opinion on whether an en banc rehearing should be granted in view of the panel opinion filed today since the matter is not presently before us. No motion or judge request for such a rehearing en banc has been, or could be, made at this time. I therefore think it premature for the court to comment, as it does, on the asserted lack of conflict between today's panel opinion and our prior decision in Fraley; moreover, it plainly can form no basis for denying the en banc hearing request originally made by a member of this court.
I therefore concur in the court's decision to deny an en banc hearing in this cause for the reasons stated above.
FERGUSON, J., concurs.
NOTES
[1] Frazier and Fraley are the same person.
[2] The defense declined his offer to recuse himself, so that another judge could resentence the defendant.
Notes
[3] The court also referred to the fact that he felt the defendant had lied at the subsequent probation hearing. This factor, even under Pearce, would justify an increased sentence. See United States v. Grayson,
After that was over, still, in order to assist the defendant, I reset the matter for probation violation hearing.
At the time of the probation violation hearing, the defendant testified as well as, I believe, his mother reference the facts, and basically he said he didn't do it and offered an alibi which in my viewpoint was totally inconsistent with the physical evidence and with the identification by the victim.
In effect, yes, I felt he lied. There is no doubt about it.
Am I going to call him a liar under oath? No. There was no reason to do it. Why should I do it, but I felt he was a danger to society and so stated into the record.
[4] We agree with defense counsel who, in his able presentations below and here, has pointed out that the expression "vindictiveness" is simply a term of art which expresses the legal effect of a given objective course of action, and does not imply any personal or subjective animosity between the court (or a prosecutor) and the defendant.
[5] Insofar as the appellant's rights are concerned, it is immaterial that the court, rather than the state attorney, made the plea offer in this case. Compare Pearce and Perry with Bordenkircher. Moreover, as we have pointed out in Fraley,
[6] it not for thе possibility of a higher sentence after trial, any guilty plea would be without consideration to support it. If a trial court could never impose a higher sentence after trial, the situation would arise ... that a defendant would enter a guilty plea, receive a sentence, then withdraw the plea with the guaranty that the trial court could not subsequently impose a greater sentence regardless of what evidence may be revealed at trial. Such a holding would seriously and unnecessarily erodе the guilty plea procedures.
People v. Davis,
[1] We set forth the trial judge's plea offers to the defendant in our prior Fraley opinion as follows:
"Our attention is directed to specific colloquies in the record:
[October 2]
[Defense counsel]: I have also explained the circumstances and the law to Mr. Fraley. I believe he understands it and he has decided not to accept either the State's offer or the Court's offer.
Court: The court's offer will be revoked at this time.
[Prosecutor]: State's also.
[October 28]
Court: I made an offer. The outstanding plea offer is rejected so we are in a trial posture.
[November 2, at commencement of the trial]
Court: Mr. Fraley, so wе are on the record, you understand that the Court conveyed an offer to you of six years in the State pen on all cases and you are turning that down?
Defendant: Yes.
Court: Okay ... No more plea offers.
[November 5, after all the evidence had been presented to the jury]
Court: Offer is still open to Mr. Fraley, too.
"Court: Mr. Forman, let me say, in order to sweeten the pot, as far as your client is concerned, I will let him plead no contest to the armed robbery charge, let him appeal the probation violation of five years, with the understanding that if I would be reversed on the Probation Violation Hearing, I would vacate the sentence on the armed robbery no contest, we can start anew ... If I am affirmed on the Probation Hearing it sticks, six years on the armed robbery charge ... Talk to your client.
Court: I will give both defendants until 10:00 tomorrow to consider it.
[November 6, before the jury began deliberations]
Court: I want to know one thing. Are they taking the plea offer, yes or no?
Defendant: No."
[2] Blackhawk Heating & Plumbing Co. v. Data Lease Financial Corp.,
