*2 RIVES, Before GOLDBERG GEE, Judges. Circuit GOLDBERG, Judge: Circuit Glen Herman stands accused of robbing a United States Post Office and killing postal employee. On basis of recent ímportance Federal Rules case: he governing said he changes in the Evidence, plead guilty robbery charges produce the dis- Procedure Criminal pretrial gun agree mo- if authorities would drop granted court trict charges. the murder Inspector incriminating state- Crawford certain suppress tion testified that offer came near the inspectors to two *3 discussion, beginning of the following only claims were ne- Herman during what Herman’s statement that he should not be appeals, argu- government The gotiations. charged with murder and his inquiry as to were not made “in that the statements ing implicated Inspector who him. Broadwa- and any plea discussions with” connection ter, hand, on the other testified that Her- and disagree admissible. therefore man’s offer occurred at the end of the affirm. therefore inspectors agreed discussion. Both that in response Herman’s offer Broadwa- I. FACTS they position” that were not “in ter said County, in Orange occurred The crime make Crawford deals. testified that 21, inspectors Postal July Florida on the when discussion ended Herman said he Columbus, Georgia police de- the advised gun’s did not want to disclose his location warrant had been issued that partment speaking to an attorney. before killing, with the and Co- charging Herman August 1975 a On two-count indict- August him.1 arrested On police lumbus in ment the United States District Court inspectors, Broad- postal O. J. 1975 two the Middle District of Florida charged Crawford, transported Her- L. water and S. killing postal Herman with the employee in the county jail to the Columbus man from violation of 18 U.S.C. 1114 and robbing § hearing. for a removal courthouse federal post office the violation of 18 U.S.C. him of constitu- his inspectors advised The moved to suppress Herman 2114.2 § the rights. tional Inspectors made to Broadwater requested an Herman that hearing At the August at the 11 and Crawford removal represent him. attorney appointed be hearing, claiming they that were made in- the hear- promptly recessed magistrate The voluntarily and in violation of Miranda v. attorney. Herman to obtain ing and left Arizona, 86 16 two hearing room with the remained (1966), L.Ed.2d 694 and that a con- Herman initiated inspectors. made connection with an offer plead stated, during which some- versation 11(e)(6); guilty. See Fed.R.Crim.P. Fed. Inspector Broadwater’s response times R.Ev. The district court held that the guilty he was not of and questions, voluntary and did statements were not con- murder, his charged should not Miranda, but excluded the state- travene had fired the fatal alleged Brunson partner plea-related. as im- shot, had only one shot been fired. and that mediately appeal. filed this brought asked who had his also Herman case, whether Brunson had name into II. JURISDICTION talked, authorities had recov- whether met at the outset We are with the gun. Brunson’s ered jurisdiction. 18 U.S.C. issue our 3731 § during government appeal pre conversation authorizes a from a point
At some
suppressing
crucial
evidence
the offer
is of
trial order
“if
Herman
jurisdiction
indicate whether a war-
does not
of the United
record
ritorial
States.” We
issued.
event the
fact been
express
opinion
rant had in
whether 18
U.S.C.
§
bearing
legality
has no
the arrest
post
office murder.
extends
§
evidentiary issue before us.
penalty range
range,
same as the §
is the
appears
proving
to be no obstacle to
and there
also cited 18
which
§
U.S.C.
2. The indictment
postal employee.
was a
the victim
Ac-
punishable
princi-
makes aiders and abettors
cordingly,
indictment’s reference
§
proscribes
pals,
which
§
18 U.S.C.
inconsequential.
is
special
ter-
maritime and
murder “[w]ithin
dis-
Attorney
party
certifies
Neither
jurisdictional
United States
raised the
is-
is not taken for
appeal
sue,
trict court
absence of the certificate did
delay
evidence
purpose
not come to our attention until
opinion
a fact
proof of
material
is a substantial
being prepared.
The certificate
re-
Therefore,
suppres-
proceeding.”
protect
is
quirement
meant
the defend-
if,
appealable
issue here is
sion order at
unjustified
by eliminating
delay,
ant
but at
re-
if,
executed the
only
stage
delay
has already been in-
requirement
quired certificate.
curred,
vacating
appeal
could not
formality;
purpose
protect
its
is to
a mere
congressional
effectuate
purpose. Be-
delay.
from undue
the accused
already
cause
had
to uphold
resolved
position,
reaching
Herman’s
the merits
States attor
Whether
to protect,
undermine,
serves
ney
appropriate
certificate
executed
*4
right
speedy disposition
of the charges
Because
unclear
from this
record.
against him.4 We therefore
afford the
appellant,
as
has the burden
government,
government
seeks,
the review
appeal,
it
but
record on
we could
we
compiling the
cer
serve notice
the omission of the
properly hold
entertain
appeals
of the
3731
appeal.
§
necessitates dismissal
no future
unless the appro-
tificate
case,
priate
circumstances of this
certificate
is incorporated
In the unusual
in the
however,
decline to do so.3
appeal.5
on
record
analysis
made,
of the
from the
is
3. Omission
certificate
record
an
that such
has been
and we
“jurisdictional”
fail-
same sense
require
not
therefore
must
certificates to be
“jurisdic-
at
the certificate
all is
ure to execute
tional.”
ence of federal
appellate
appeal
promptly.
filed
Moreover, the issue is not the exist-
parties’
pen-
also call to the
attention the
case,
jurisdiction over
this
3731,
paragraph
ultimate
provides
18of U.S.C.
which
§
interlocutory
jurisdiction
this
over
“[p]ending
prosecution
and
clearly
a case
within the
federal
appeal
determination
.
the de-
jurisdiction.
therefore freer to
courts’
adopt
We are
fendant shall be released in accordance with
pragmatic
dealing
approach for
with
our
chapter
Chapter
207 of
title.”
207 deals
unusual circumstances
which we are
the
faced.
generally
trial,
pending
with release of a defendant
3146, 3148,
pending
18 U.S.C.
and
§§
a
pre-
Dismissing
appeal
probably
conviction,
appeal
would
from
18 U.S.C.
delay because the district court
3146(a)
vent further
judicial
3148. Under
a
§
§
officer must
ruling, appellee
adhere to its
would
would then
awaiting
a
release
defendant
trial
a non-
trial,
government
pur-
go
and the
could
to
offense,
capital
preferably on his or her own
appeal.
post-trial
The better
is for
sue a
course
recognizance
alternatively
or
under conditions
merits, however,
in order to
us to address
“reasonably assuring
presence
of the de-
any
prevent
efforts to have the
Cramer,
at trial.” United
fendant
States v.
451
suppression
court reconsider its
order
district
1198,
(5th
1971), quoting
F.2d
1200
Cir.
Brown
preclude
possibility
to
in order
and
States,
(5th
1968).
392 F.2d
v. United
189
Cir.
government could
raise
is-
somehow
the same
cases, however,
In unusual
the conditions can
appeal
pretrial
additional
in an
from some
sues
order.
may,
practical
that the
be such
defendant
aas
matter, be
meet
unable to
them. See 18 U.S.C.
Alternatively,
require
govern
we could
3146(d).
a
Under 3148
§
(or
§
convicted defendant
produce the
at this
date.
ment to
certificate
late
awaiting
capital
defendant
a
trial for a
of-
unacceptable,
approach
Such
fense)
pending appeal
need not be released
First, appellee
two reasons.
for at least
poses danger
community
she
he or
a
to the
or
Second,
unjustifiable delay.
suffer further
likely
flee, although
surely
cases
although
courts have allowed certificates
other
States,
See Harris v. United
rare.
404 U.S.
late,
Keller,
F.2d
to be filed
548
96 S.Ct.
see Meier
521
25,
(1971)
30
92
(Doug-
L.Ed.2d
S.Ct. 10
denied,
1975),
(9th
Cir.
cert.
424 U.S.
las,
Justice).
Circuit
(1976),
348
47 L.Ed.2d
provision
It is unclear whether
3731
§
Wolk,
(8th
1972);
795
any
plead
offer to
guilty or nolo contendere
MERITS
III.
to the charged crime or to
other
any
crime.6
11(e)(6) makes
Fed.R.Crim.P.
inadmissible
410
exactly
Fed.R.Ev.
contains
the same
provision.7 During
any
“in
the course of
statement
with”
connection
comply,
any
steps
or the
be able to
other
that we
fendant
could take. We
a
refuse to release
defend-
discretion to
ambigui-
3148
decline
resolve the
§
therefore
3731
§
required the
3731
stage
§
Prior to
ty
proceedings.
ant at all.
of the
be
to bail on his own
“admitted
defendant
recognizance.”
11(e)(6) provides:
6. Fed.R.Crim.P.
Congress
broadened
provided
Except
para-
as otherwise
in this
appealable
category
orders
inserted
graph,
guilty,
of a
evidence
later with-
chapter
207. See P.L. 90-351.
the reference
drawn,
contendere,
or a
of nolo
or of an
H.Rep.No.90-603.
In 1970
See also
guilty
plead
offer to
or nolo contendere
statute,
expanding
again
amended the
charged
crime,
any
or
crime
other
or of state-
ability
appeal
providing
with,
ments made
connection
liberally
relevant
construed to
section “shall
that the
to, any
offers,
foregoing pleas
or
purposes.”
is not
See P.L. 91-644.
its
effectuate
Wilson,
proceeding
admissible
civil or criminal
States v.
also United
person
(1975).
who
These
made the
L.Ed.2d
or
S.Ct.
changes
However,
key phrase
offer.
tend
indicate the
evidence of a statement
with,
provision
to,
is “in accordance with
release
made in connection
and relevant
§
207”;
chapter
withdrawn,
guilty,
that view the court would
later
of nolo
chapter
contendere,
plead
207 discretion in some
guilty
its
maintain
or an offer to
or nolo
impose
a de-
conditions with which
cases to
charged
contendere to the crime
other
matter,
not,
practical
com-
crime,
as a
fendant could
ply.
proceeding
is admissible in a criminal
*5
hand,
Congress
said
the other
On
perjury or
false statement
if the state-
“shall
treat-
released” rather than
be
“shall be
by
oath,
ment was
under
defendant
chapter 207
with
indicates
ed” in accordance
record,
presence
on the
and in the
of counsel.
key phrase may
be
be “shall
released.”
that the
original
The
rule
410 was somewhat different
say
Congress
to
“shall be treated”
knew how
Although part
from the current rule.
when it wanted
than “shall be released”
rather
Federal Rules of Evidence that became effec-
mandatory;
making
it
release
when
to avoid
July 1,
rule
tive
410
its terms was not
provisions applicable to some
3146
§
made the
August
to take effect until
1975 and was to
convictions,
appealing
it
while
their
defendants
superseded
be
inconsistent amendment
ac-
“shall be treated” in
said those defendants
to the Federal Rules of Criminal Procedure.
3146. See 18 U.S.C.
§
§
cordance
provisions
released”,
The reason for these
was
phrase
Con-
governing
is
be
“shall
If the
study
gress
continuing
pretrial appeal
was
to
issue.
See
takes a
when
Notes, H.Rep.No.93-
on
Conference Committee
court must release a defendant
the district
recognizance
impose
original
own
or
condi-
1597. Before
rule 410 became
his or her
effec-
reasonably
tive, Congress
11(e)(6)
can
which a defendant
tions with
comply.
amended Fed.R.Crim.P.
prosecutor
plea-related statements,
decide whether
must
origi-
to deal with
appeal,
prosecuting
is
of which
effect
nal'rule 410 therefore never
effect.
took
See
inevitably to
with a defendant’s
Martinez,
interfere
(5th
United States v.
discussion with Even before the enactment rule ques- plead guilty robbery. fered 11(e)(6), we held plea-related state- us is whether Herman’s other tion before inadmissible, recognizing ments are the in- were made “in connection with” escapable truth plea bargaining that for plea offer.8 effectively fairly, work a defendant negotiate free to must be without fear that 11(e)(6) correctly rule To construe will against his statements later be used proper perspective. Plea must set excluding a plea-relat- him. practice bargaining many is a have criti- statements, Judge ed Coleman wrote: have enthusiastically cized and few en- If, Supreme Nevertheless, Court said in Santo- plea bargaining has dorsed. bello, plea bargaining is an By fact of essential accepted life. 1971 com- become justice and, ponent properly Supreme encourage Court was able to adminis- tered, is to be practice, grounds necessity encouraged, it albeit on is immedi- apparent ately that no right: rather than defendant or his pursue counsel such an effort if the charges by disposition of criminal uttered during remarks the course of it agreement prosecutor between be are to admitted in proof evidence as accused, sometimes loosely called guilt. Moreover, it inherently unfair “plea bargaining,” compo- is an essential engage for the justice. administration such an nent of the activity, only to administered, use it as a Properly weapon it is to encour- negotiations defendant when aged. every charge If criminal were sub- fail. trial, jected to a full-scale the States and need the Federal Government would Ross, United States v. 493 F.2d (5th 775 multiply by many times the number 1974). Smith, Cir. See United States
judges
court facilities.
(10th
1975).
Cir.
F.2d
Cf. Crawford v.
States,
(5th
219 F.2d
York,
257, 260,
Cir. 1955)
Santobello v. New
U.S.
(plea related
statement held
(1971).
involuntary
justified
the statements
introduce
made in a bar-
accused,
encourage
candor
should
place
session
gaining
does
it in a worse
the rules
interpretation
eschewing
than would
if
position
occupy
an accused
less amenable
make the accused
that would
engage
bargaining
chose not
at
The accused
forthright plea discussions.
permit
the facts
all.
If
concerning a
be encour-
pretrial bargaining should
bargain
brought
evidence,
out in
will
discussions
aged by knowledge
the part
have silence on
of every
we will
sanctity.
considera-
Hypertechnical
knowledgeable accused. Discussion will not
pretrial
whether
not determine
tions should
price
potential bargain.
be worth
testimony
into the
come
bargaining
unexpansive
reading
An
relatedness
on the road
Having embarked
the trial.
go
rule,
heart
which is
govern-
plea bargaining,
permits
protection
discussions. The
it be
careful lest
ac-
be most
should
ment
rule’s central feature is that the
accused
throwing open
bad faith
cused of
encouraged candidly to discuss his or her
thought
the accused
matters that
trial
explore
possibility
situation
order to
him her. To hold
to be used
disposing of the case through
a consensu-
diminish,
if not
greatly
otherwise would
arrangement.
al
Such candid discussion
bargaining.
use of
nullify, incriminating
include
often
admissions.
argues,
to follow
ar-
If we were
*7
excluded,
are
clever de-
statements
all such
however, such admissions would be
gument,
to
append
will
offers
their
fendants
accompanied by
pream-
if not
admissible
thereby
incriminating
ren-
statements
explicitly demarcating the beginning
ble
The
statements
inadmissible.
der
government
allow
plea discussions. To
explain why clever
does not
government
to introduce statements uttered in reliance
refrain from
simply
would not
defendants
would be to
the rule
on the rule
use
as a
incriminating
altogeth-
statements
making
than
we
rather
a shield. This
cannot
sword
inadmissible
er,
offering
how the
nor
allow;
designed only
rule was
as a
prosecutor’s
abil-
impede
statement
shield.
a case as he
independently to assemble
ity
wanted
Congress
plea bargaining
If
had
government’s
The
always must.
or she
formalized,
structured,
ritualized or
gives us no cause
to be
concern
speculative
too,
statements,
Indeed,
prosecutor’s
prosecutors,
may make state-
some of the
own
see
Verdoorn,
they
during
negotiations
(10th
States v.
ed
STATES of
Plaintiff-Appellant,
might
One
as well
statements.
excludible
“two-legged creatures”
phrase
say that the
restricted, by the addition-
expanded,
Raymond
NOVELLI, Defendant,
G.
“with feathers.” Con-
phrase
qualifying
al
Gaines,
Allen,
Fred L.
Claude T.
possibil-
well have envisioned
Cornelius
gress
Kehoe,
Ray
Bullock,
J.
and
K.
other
of a crime or crimes
admission
ity of
Defendants-Appellees.
about, like
being plea bargained
than
and four mur-
irrelevant robberies
the two
No. 75-3078.
Sain,
in Townsend
ders
Court
Appeals,
States
(1963);
I
sion from the in return
concessions The effect of this plea.” exceedingly
for a reading of the rule is that
hospitable effectively all admissions can be sani- by injecting and retracted an irrele-
tized plea demand later in the
vant discussion the horse is out of the after barn.
Thus, stage spectacles we set the for such investigators prosecutors decamping obtaining just enough of an admission
after use, perhaps pursued by be of shouted plead. entirely possible It is
offer
avoiding ludicrous scenes was another purpose appending
congressional qualification relevant to”
“and exclu- language.
sionary unqualified rules’ Such sweeping generalizations black-letter necessary cause, to decision of I, deference, join with all decline to
them.
