Winfrey v. State
Winfrey v. State
Opinion of the Court
**94Appellant Jimmy Carlton Winfrey pled guilty to six counts of violating Georgia's Street Gang Terrorism Prevention Act in connection with a drive-by shooting of rapper "Lil Wayne's"
*614Winfrey now appeals, asserting that the trial judge improperly participated in plea negotiations in violation of Uniform Superior Court Rule 33.5 (A) and that his plea was involuntary on the basis of that participation. We agree, and we therefore reverse Winfrey's convictions.
I.
Winfrey entered his plea during a pre-trial hearing where the status of his plea negotiations was put into the record. The prosecutor advised that the State had made three offers, each of which Winfrey **95had rejected, and that no additional offers were anticipated. Defense counsel explained that he had discussed the offers with Winfrey "ad nauseam," but Winfrey was hesitant to enter a plea because of the effect Gang Act or RICO convictions might have on his parole eligibility and therefore, he was ready to proceed with his pending motions. The trial judge then stated, in part:
[T]his opportunity is going away. Go to trial and you get convicted there's not going to be any of me being concerned about when you parole out. I will not be concerned about when you parole out.
I will not be able to impact what count-only a jury can impact what count you get convicted on or don't get convicted on. So that's for your team to figure out.
Whatever they say you're guilty of I'm going to sentence you, and I'm not going to worry about when you get out of jail because it's not my concern.
My concern is you went to trial, you didn't take any responsibility for what you did or did not do. It was proved if you get convicted of what you did do. I'll take that as truth, because a jury said so.
And I would also take into account that you didn't take responsibility for what a jury says you did, and I won't worry about your parole eligibility.
And if you want to look around and see what happens to people in gangs in Cobb County, Georgia you can look at what happened last week to the guy who went to trial and got convicted and pulled-was it 50 years?
[Prosecutors]: One hundred to serve fifty, Judge.
The Court: There you go. These guys tried him. So I'm not judging them. That's what she did.
I'm a whole different person. And you're sitting over in jail listening to everybody shoot their mouths off about this judge and that judge and the other judge.
We all have reputations. My reputation is not that I'm an easy judge. I know it, you know it, the whole community knows it. So if that's what you want to go up against be my guest.
You've got an offer, it's about ready to evaporate. You're not coming back to there unless you convince a jury of people from Cobb County, Georgia you didn't do most of this.
There's such a thing as winning a battle and losing a war. If you think you're so smart and you've got it all figured **96out, you go to trial, let's say you get acquitted on-how many counts are there, 27?
So let's say you get acquitted on ten and convicted of seventeen. You add it all up it's still a mess of time, and I don't care when you get paroled.
It's not my job, it's not my function. My job is public safety, and my job is constitutionally a correct trial for everybody, which I will do.
Once that's done, whatever they say you deal with, I'm going to worry about public safety.
So, y'all might want to talk a little bit more, but otherwise we're going to do motions in about ten minutes.
When the proceeding reconvened approximately one hour and twenty minutes later, Winfrey had agreed to what his attorneys have consistently characterized as the State's previous plea offer, and the trial court accepted *615the plea after thoroughly questioning Winfrey about the voluntariness of his plea and providing an extensive explanation of his rights and the consequences of entering a plea.
On appeal, the Court of Appeals first considered its own jurisdiction to decide the case, and correctly concluded in the face of a challenge from the State that a direct appeal "is a prescribed way to challenge the guilty plea." Winfrey v. State ,
Turning to the merits of the appeal, the Court of Appeals concluded that the trial judge "did not improperly interject herself into the negotiation process," but added that it did "not condone" the trial **97court's comments, which "appear to violate the spirit of USCR 33.5 (A)." Id. at 349-350,
We granted certiorari, posing a single question to the parties: Did the trial court impermissibly participate in Winfrey's plea negotiations? We conclude that the trial court did participate in Winfrey's plea discussions in violation of Rule 33.5 (A) -in spite of the fact that many of the court's comments were implicit rather than explicit in their meaning. We also conclude that the level of the court's participation was so significant that it rendered Winfrey's guilty plea involuntary.
II.
"The trial judge should not participate in plea discussions." Uniform Superior Court Rule 33.5 (A). In addition to the error inherent in a Rule 33.5 (A) violation, " '[j]udicial participation in plea negotiations is prohibited as a constitutional matter when it is so great as to render a guilty plea involuntary." State v. Hayes ,
This conclusion is consistent with our treatment of other rule violations. See, e.g., Arnold v. State ,
Several factors have been consistent in this Court's involuntary-plea cases involving trial court participation in plea discussions. First, there has been evidence that the trial court threatened the defendant that he would receive a stronger sentence if he were convicted after trial. See, e.g., Pride ,
Let us be plain: if a trial judge communicates-either explicitly or implicitly-to a criminal defendant that his sentence will be harsher if he rejects a plea deal and is found guilty at trial, then Rule 33.5 (A) has been violated and the plea may be found involuntary. See, e.g., McDaniel v. State ,
Several Court of Appeals decisions also demonstrate that trial courts should not communicate to defendants that they had better accept plea offers because convictions after trial would-not could-result in harsher sentences. In McCranie v. State , for example, when the defendant asked the court what sentence would be imposed if he went to trial, the judge responded, "Why don't you try it and let's see."
The key distinction, then, is whether the trial judge threatens that a sentence will be harsher after conviction if a plea offer is **100rejected, or advises that the sentence may be harsher-the former should not occur, and it is of little significance whether the trial court accomplishes that communication with explicit or implicit language. This holding comports with Georgia courts' longstanding and recently reiterated recognition of the difference between "[t]elling a defendant that he could be sentenced up to " the maximum statutory sentence and "telling a defendant that he would be sentenced to" the statutory maximum if he forgoes a plea and is convicted at trial. Hayes ,
The comments in this case crossed the line. The trial court made repeated statements that referenced the judge's own proclivity to sentence harshly, along with other statements strongly implying that if Winfrey were found guilty by a jury, his sentence would be (not could be) harsher than that recommended in the plea offer. Specifically, the court told Winfrey, "if you want to look around and see what happens to people in gangs in Cobb County, Georgia you can look at what happened last week to the guy who went to trial and got convicted and pulled ... [one hundred to serve fifty] ... There you go. These guys tried him." The court went on to imply that her reputation would mean an even harsher sentence: "I'm a whole different person. ... We all have reputations. My reputation is not that I'm an easy judge. I know it, you know it, the whole community knows it."
These comments may not have explicitly stated that Winfrey would receive a harsher sentence if convicted after trial, but this monologue was far more than the mere "explanation of the potential maximum sentence ... carefully expressed in conditional language," that we approved in Hayes . The implication was unmistakable-if Winfrey rejected the plea offer and the jury found him guilty at trial, he would be sentenced more harshly.
The comments by the trial court in this case were similar in nature to those found inappropriate in Pride , in that they intimated a desire to sentence the defendant. And they were shortly followed by the additional statement, "If you think you're so smart and you've got it all figured out, you go to trial." While not quite as direct as the court's comments in Pride , the colloquy in this case strongly suggested that the court would hold it against the defendant if he went to trial. Indeed, the judge's statements that if Winfrey wanted to "go up against" her reputation, then "be my guest," and that he should go to trial if he thought he had it all figured out are very similar to the McCranie judge's invitation to that defendant, "Why don't you try it and let's see."
Also remarkable was the trial court's statement to Winfrey that he would have to "convince a jury of people from Cobb County, Georgia [he] didn't do most of this," an explanation that shifted the burden of proof from the State to Winfrey. But of course the State bears the burden of proving a defendant's guilt beyond a reasonable doubt, and the burden never shifts to a criminal defendant to present evidence of or to prove his innocence. See Estelle v. Williams ,
**102Taken in their entirety, then, the trial court's repeated comments communicated to Winfrey, albeit implicitly, that if he rejected the plea offer and was found guilty by a jury, then he would -not merely may or could-receive a harsher sentence. We must conclude in light of these comments that Winfrey's guilty plea was involuntary.
Judgment reversed.
All the Justices concur, except Blackwell and Peterson, J.J., who dissent.
Also known as Lil Weezy, Lil Weasel, Lil Full Clip, Young Weezy, Weezy F. Baby, Weezy F. Crazy, Wizzy Fizzy, Mr. Coach Carter, and Mr. Shoot 'Em Down. His given name is Dwayne Michael Carter, Jr.
A grand jury returned a 27-count indictment against Winfrey, charging him with multiple violations of the Racketeer Influenced and Corrupt Organizations Act and the Street Gang Terrorism Prevention Act, aggravated assault, criminal damage to property in the first degree, and possession of a firearm during the commission of a felony. As part of Winfrey's plea agreement, the State nolle prossed the other 21 counts in exchange for Winfrey's plea of guilty to the six gang counts, and Winfrey received a sentence of 10 years to serve incarcerated with a consecutive 10 years on probation.
It is apparent from the record and briefing that there may be a continuing, albeit unrecognized, disagreement between Winfrey and the State regarding the time-to-serve aspect of the last offer preceding the colloquy between Winfrey and the trial court, and we have identified nothing in the record that definitively resolves the question of whether the time to serve was 10 or 20 years. It may well be that, considering all the circumstances in a particular case, substantial improvement in a plea offer following improper participation from the trial court could demonstrate that the defendant's choice to accept the plea was not an involuntary one. We simply do not conclude that this is one of those cases.
As this suggests, a judge cannot immunize impermissible threats to sentence a defendant more harshly simply by couching the threats in conditional language.
Dissenting Opinion
As the majority correctly explains, the statements by the trial judge about her propensity to impose especially harsh sentences crossed the line drawn by Uniform Superior Court Rule 33.5 (A), insofar as her statements impliedly threatened Jimmy Carlton Winfrey with a harsher sentence if he went to trial and were found guilty. Judicial commentary of this sort certainly could render a subsequent guilty plea involuntary, but only if it actually induces the accused to enter his plea. The record in this case does not establish that the judicial commentary in question induced Winfrey to enter his plea, and I cannot, therefore, go along with the majority and conclude that his plea was involuntary. I respectfully dissent.
*619The majority concedes that a violation of Rule 33.5 (A) does not inevitably render a subsequent plea involuntary, and that most certainly is correct. As the United States Supreme Court has explained, improper threats may render a plea involuntary, but only to the extent that the plea is induced by the threats:
A plea of guilty entered by one fully aware of the direct consequences, including the actual value of any commitments made to him by the court, prosecutor, or his own counsel, must stand unless induced by threats (or promises to discontinue improper harassment), misrepresentation (including unfulfilled or unfulfillable promises), or perhaps by promises that are by their nature improper as having no proper relationship to the prosecutor's business (e.g. bribes).
Brady v. United States,
**103As the record presently exists, I cannot conclude that the improper comments of the judge, in fact, induced Winfrey to enter his plea.
To be sure, Winfrey entered his plea about an hour-and-a-half after the judge made the improper comments, and that fact is some evidence that the plea was induced by the comments. But the record also shows that Winfrey, his counsel, and the prosecuting attorneys had been in plea discussions prior to the improper comments, and although Winfrey had rejected earlier plea offers, the record indicates that his rejection of those offers was driven in significant part by concerns about parole considerations, concerns that were addressed, at least to some extent, by the negotiated plea that Winfrey finally entered. The precise terms of the earlier offers that Winfrey had rejected are unclear on the existing record, but the record suggests that the plea that he eventually negotiated might have been substantially more favorable than those earlier offers.
That possibility is reason to afford Winfrey an opportunity to present evidence of actual inducement, notwithstanding that such evidence would contradict his "solemn declarations" in the plea colloquy. See Fontaine v. United States,
I am authorized to state that Justice Peterson joins this dissent.
Cf. Colorado v. Connelly,
The statements of the prosecuting attorney at the plea hearing indicate that the plea eventually negotiated by Winfrey cut the years of incarceration by half from the earlier offers for Winfrey to plead to violations of the Street Gang Terrorism Prevention Act. The statements of Winfrey's counsel at the same hearing suggest otherwise, and the record is, therefore, ambiguous on this point.
The record also includes a written plea questionnaire, on which Winfrey made similar and consistent representations about the voluntariness of his plea.
Although the majority says that a Rule 33.5 (A) violation does not always render a subsequent plea involuntary, its analysis and conclusion suggest otherwise. Indeed, if the majority meant what it says, one surely would expect the majority to address voluntariness distinctly before concluding that the plea in this case was involuntary. But instead, the majority says nothing meaningful about inducement (an essential component of a claim that a plea is involuntary), and having found that the judge's commentary violated Rule 33.5 (A), the majority jumps straight to the conclusion that the commentary itself, without more, shows the plea to be involuntary.
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