Wheeler v. State
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Wheeler v. State
Opinion of the Court
In State v. Johnson ,
The district court in appellant Jetaun Helen Wheeler's case made unsolicited comments about the propriety of the parties' competing settlement offers, including charges and sentences, before the parties reached an agreement for the court to accept or reject. Wheeler ultimately pleaded guilty to an amended charge during trial. Over a year later, Wheeler filed a postconviction petition, alleging that "the parties would not have agreed to a plea deal" but for the court's participation in the plea negotiations. She alleged that the court's participation made her plea invalid and required a remedy of automatic plea vacatur. The postconviction court denied her petition for postconviction relief without holding an evidentiary hearing, and the court of appeals affirmed.
We hold that a district court "participates" in the plea bargaining negotiation when it provides unsolicited comments regarding the propriety of the parties' competing settlement offers. We also hold that, when a defendant successfully challenges the validity of a guilty plea because of the district court's participation, the remedy is not automatic invalidation and vacatur of the plea. Rather, the plea is only invalid if it was involuntary under the totality of the circumstances. Because the law in existence at the time Wheeler filed her postconviction *561petition did not require a defendant to establish that her guilty plea was involuntary, we reverse the court of appeals and remand to the district court to give Wheeler an opportunity to amend her postconviction petition in light of the holdings that we announce today.
FACTS
The State of Minnesota charged Wheeler with second-degree intentional murder in August 2013. Because Wheeler had zero criminal history points, the charge carried a presumptive duration of 306 months in prison, with a range of 261 to 367 months. See Minn. Sent. Guidelines 4.A. Shortly after Wheeler was charged, defense counsel sought a plea to manslaughter, but the State did not move off the initial charge.
Plea negotiations were at an impasse until approximately 8 months later, when the State announced that it intended to call Wheeler's young children to testify against her. This announcement prompted the district court to become involved in the plea-negotiation process. Two weeks before trial, the court held a pretrial hearing to determine whether Wheeler's children should be allowed to testify. The court made the following on-the-record comments, in Wheeler's presence, encouraging both parties to negotiate:
I think ... you both have done a very thorough job of evaluating your case. There are positives, I'm sure, and negatives on both sides of the coin, so to speak, and I would - really like someone to extend an offer, at least make an attempt to try to resolve this case. It is a pretty serious situation to have children of the defendant having to come to court and testify possibly against their own mother. Both of you should be considering this. So I would like to see some attempts made at trying to resolve this.
The court further stated, "I don't care how you want to package it. ... There [are] wins and losses on a lot of elements in this case, and you never know what the jury is going to do."
Following this conversation, plea negotiations intensified between the parties. A week later, however, the State emailed the district court, with defense counsel copied, noting that "it does not appear that [this case] will settle" because the parties disagreed on the appropriate charge. The State had offered to reduce the charge to second-degree unintentional murder with a sentence of 240 months, and defense counsel had offered a plea to second-degree manslaughter with a sentence between probation and 96 months in prison.
The district court responded to both attorneys with unsolicited comments on the propriety of each party's settlement offer:
Thank you for the efforts you all have put towards settling this case. ... The defendant's offer to enter a straight plea to manslaughter in the second degree with a waiver of Blakely for a double departure of 96 months in prison, much less for a probationary disposition, isn't something this court is willing to do. Given what facts the court is aware of, a plea to unintentional 2nd degree murder with a prison term the parties can agree on (something in the range of x months and 240 months) appears to be more realistic.
No agreement was reached, so the case proceeded to trial the next week. At the end of the first day of trial, the district court requested an update on negotiations: "I just wanted an update. It's my understanding that the [S]tate did get permission to offer to do an unintentional second-degree murder for some range within the box ... [but] the defendant declined?" The parties confirmed this understanding, as well as defense counsel's intention to meet *562with Wheeler that weekend to discuss the offer further. Wheeler alleges that at or around this time, the district court and its law clerk made additional off-the-record remarks proposing a plea to second-degree unintentional murder.
Before the start of the third day of trial, Wheeler pleaded guilty to the offense of second-degree unintentional murder under an aiding-and-abetting theory of liability. At the sentencing hearing, counsel for the State noted that "we're all thankful that [Wheeler's children] did not have to come ... testify, I know the [c]ourt wanted that more than anything." Defense counsel noted that Wheeler "gave up her right to trial ... to protect her children." The district court commented that it had met the children and could "tell right away ... that they were suffering[,]" so it was "appreciative of the fact that the parties were able to come to some agreement ... that kind of, sort of, prompted [Wheeler] to enter a plea to Unintentional Second Degree." The district court then sentenced Wheeler to 172 months in prison.
Over a year later, Wheeler filed a timely petition for postconviction relief, asserting that the district court had improperly participated in the plea bargaining negotiation. Citing Minnesota Rule of Criminal Procedure 15.05 and court of appeals precedent, she maintained that this judicial participation made her plea per se invalid and required plea withdrawal "to correct a manifest injustice." Wheeler's trial counsel submitted a supporting affidavit, alleging that, but for the court's participation, including on- and off-the-record comments, "the parties would not have agreed to a plea deal." Wheeler herself did not submit an affidavit.
The same judge that presided over Wheeler's trial denied her petition for postconviction relief without holding an evidentiary hearing, concluding that Wheeler's claims were merely "argumentative assertions" without factual support. The judge concluded that, despite being "unambiguously involved" in the plea negotiations, the district court had not improperly involved itself. The judge further concluded that the court's "sparse remarks" were a "far cry from pressuring the parties to settle" and that the court never promised or suggested "anything like a specific sentence."
The court of appeals affirmed. Wheeler v. State ,
ANALYSIS
I.
A.
The threshold question in this case is what it means for a district court judge to "participate" in the plea bargaining negotiation itself. Although this question is one of first impression, we do not write on a blank slate. Fifty years ago in State v. Johnson , we observed that plea bargaining was a "prevalent practice" that was "not in conflict with public policy" so long as it was "controlled by the observance of certain essential conditions."
"The interpretation of case law is a legal question that is reviewed de novo." State v. Robideau ,
Johnson made three points regarding the role of the judge in plea negotiations. First, we envisioned an independent role for the judge, one that differed from the role of counsel. Johnson ,
Less than a decade after Johnson , the Minnesota Rules of Criminal Procedure were promulgated. Rule 15 sets forth procedures for guilty pleas, and Rule 15.04 specifically addresses "Plea Discussions and Agreements." It describes how "[t]he prosecutor must engage in plea discussions and reach a plea agreement with the defendant *564only through defense counsel unless the defendant is pro se." Minn. R. Crim. P. 15.04, subd. 1 (emphasis added). And it addresses what the judge "must" do "[w]hen a plea is entered"-either "reject or accept the plea of guilty on the terms of the plea agreement." Id. , subd. 3(1).
But, unlike the rules governing civil trials, Rule 15 makes no mention of any involvement by the judge before the entry of the plea. Compare Minn. R. Civ. P. 16.01 (describing a trial court's objective at pretrial conference as "facilitating the settlement of the case"); Minn. R. Civ. P. 16.03(i) ("At any conference ... the court may take appropriate action, with respect to: ... settlement...."), with Minn. R. Crim. P. 15. In other words, the rule is silent as to what the judge may do, if anything, as criminal plea negotiations are ongoing. Rule 15, then, is not in conflict with the principle from Johnson that judges should not participate in the plea bargaining negotiation itself.
On at least two occasions since Johnson was decided and Rule 15 was enacted, we have signaled the continuing vitality of Johnson 's rule against judicial participation in plea bargaining. See State v. Schmit ,
In recent years, the court of appeals has interpreted Johnson to instead mean that although a judge cannot "become excessively involved" in plea negotiations, State v. Anyanwu ,
This case presents us with an opportunity to conform this appellate precedent to Johnson and Rule 15 of the Minnesota Rules of Criminal Procedure. Today, we reaffirm the principle that a district court judge should not participate in the plea bargaining negotiation itself, and we overrule court of appeals decisions to the extent that they are inconsistent with this principle.
A judge does not violate this bright-line rule, however, by inquiring into the status of negotiations, sharing general sentencing practices, or disclosing nonbinding plea and sentencing information at the joint request of the parties.
Although nearly 50 years old, the principle recognized in Johnson remains as sound today as when it was first decided. See State v. Harris ,
Moreover, this rule is consistent with Johnson 's view of, and our precedent regarding, the ideals of judicial impartiality and the separation of powers. It promotes judicial impartiality throughout the plea bargaining phase, just as we expect during trial and sentencing. See State v. Schlienz ,
Finally, this approach protects defendants' interests. It helps further "[t]he ultimate *566judicial responsibility ... to make reasonably certain that a person innocent of any crime has not been improperly induced to plead guilty." Johnson ,
B.
Having resolved the threshold legal issue, we must next determine whether the district court here "participate[d] in the plea bargaining negotiation itself," Johnson ,
To be sure, the district court's requests to be updated about the status of plea negotiations were appropriate and necessary to its ability to effectively manage its busy calendar. But the court participated in the plea bargaining negotiation itself when it gave unsolicited feedback in its email regarding the substance of the parties' proposed charges and sentences.
The email as a whole was problematic because the judge disclosed plea and sentencing information specific to the case without being requested to do so by the parties. The judge sua sponte rejected the defendant's offer of second-degree manslaughter and the proposed disposition of probation. The judge further commented on its tentative approval of the State's proposed plea to second-degree unintentional murder. These remarks are inconsistent with Johnson 's vision of the judge's limited role in plea negotiations because the judge examined the propriety of contemplated pleas that had not been "submitted *567for judicial acceptance." Johnson ,
Most of this feedback would not have been participation if it had been provided at the joint request of the parties. In that event, it would have been appropriate for the court to reject Wheeler's proposed charge of second-degree manslaughter and her proposed sentence of probation to 96 months in prison-which the court did by saying that it "isn't something this court is willing to do." It also would have been appropriate for the court to comment that the State's proposed charge of second-degree unintentional murder seemed "more realistic." Under that scenario, the court's solicited feedback would have neither usurped the role of counsel nor compromised the court's role as an independent examiner of a subsequently negotiated settlement. After all, the judge simply dispensed nonbinding plea and sentencing information about the parties' proffered pleas "submitted for judicial acceptance." Johnson ,
But one part of the judge's email would have been problematic, even if the parties had requested the court's involvement: the court's added feedback about how "a prison term the parties can agree on (something in the range of x months and 240 months)" seemed to be a "more realistic" disposition. Presented with option A from the defendant and option B from the State, the judge essentially became a participant in the plea bargaining and counteroffered option C. When the court generates and proposes a plea deal not presented by the parties-either a particular charge, a specific sentence, or both-it violates Johnson , even at the joint request of the parties. Put another way, and to be clear, parties cannot solicit judicial participation in the plea bargaining process itself.
In sum, the district court did more than merely inquire into the status of negotiations or disclose nonbinding information at the parties' request. We therefore conclude that the district court violated the principle recognized in Johnson and reaffirmed today when it participated in the plea bargaining negotiation itself by providing unsolicited comments regarding the parties' competing settlement offers and proposing a plea deal of its own.
II.
A.
We must next address the appropriate remedy for this violation.
We decline to adopt this blanket rule of per se invalidity and automatic plea vacatur. Plea withdrawal is appropriate when a manifest injustice occurs, but we are not persuaded that a manifest injustice exists *568every time a judge participates in the plea bargaining negotiation itself. See Minn. R. Crim. P. 15.05. Instead, a manifest injustice occurs only when the court's participation in the plea bargaining negotiation makes the defendant's plea involuntary. Whether such a manifest injustice exists depends on the nature and extent of the judge's conduct, together with a variety of other factors bearing on the plea's validity.
Accordingly, overruling Anyanwu and its progeny, we hold that a Johnson violation should trigger a standard totality-of-the-circumstances inquiry into the voluntariness of the plea.
We decline to adopt any special test to assess and to remedy Johnson violations because judicial participation in plea bargaining negotiations is a specific type of pressure or coercion that is already accounted for by the standard voluntariness inquiry. See Raleigh ,
B.
Whether a Johnson violation occurred is a question of law, but the voluntariness of a plea is a question of fact. State v. Danh ,
Wheeler, too, was operating under an error of law, because at the time she filed her petition for postconviction relief, the law did not require her to develop a factual record on the voluntariness of her guilty plea. We therefore reverse the decision of the court of appeals and remand to the district court to allow Wheeler to amend her postconviction petition under the rule of law announced in our opinion today. See State v. Her ,
CONCLUSION
For the foregoing reasons, we reverse the decision of the court of appeals and remand to the district court for further proceedings consistent with this opinion.
Reversed and remanded.
These comments were likely dicta because they did not "squarely address[ ] the facts and legal issues before the court." Dickhoff ex rel. Dickhoff v. Green ,
Even if we assume that the Johnson court's comments were dicta, we may consider and rely upon dicta from our past opinions. See State v. Rainer ,
See also 8 Henry W. McCarr & Jack S. Nordby, Minnesota Practice-Criminal Law & Procedure § 19:17 (4th ed. 2012) (explaining, after reviewing decisions from the appellate courts, "that a judge's proper role is not as a mere by-stander, nor as the wielder of either a rubber stamp or a veto in plea negotiations, but that of an evaluator and facilitator").
To the extent that court of appeals precedent has defined "participation" under Johnson to mean that a district court judge is only prohibited from (1) making promises, (2) threatening defendants, or (3) imposing a plea agreement to which the prosecution objects, we clarify that "participation" is not so narrowly defined. See, e.g. , Wheeler ,
Other jurisdictions explicitly address judicial participation in plea negotiations in their rules or statutes that govern criminal procedure. See, e.g. , Ariz. R. Crim. P. 17.4(a) ; Colo. R. Crim. P. 11(f)(4) ; N.J. R. Ct. 3:9-3;
We do not reach the issue of whether the district court participated when it encouraged the parties to "try to resolve" the case to avoid the "serious situation" of having Wheeler's children testify. It is enough that the district court participated when it sent the email commenting on the propriety of proposed pleas. See State v. Newstrom ,
This case does not involve plea participation that tipped the scales in favor of the defendant, so we do not decide what remedy would be appropriate in such a case. See, e.g. , State v. Moe ,
Our holding today is consistent with the United States Supreme Court's interpretation of the comparable Federal Rule of Criminal Procedure, Rule 11(c)(3). In United States v. Davila , the Supreme Court held that because the rule against judicial participation in plea negotiations is only "a prophylactic measure," not one "impelled by the Due Process Clause or any other constitutional requirement," violations of the rule do not "trigger automatic reversal" because they do not "undermine the fairness of [the] criminal proceeding as a whole."
Although Wheeler raised the issue of judicial recusal and reassignment before the postconviction court, she did not make the argument before the court of appeals or in her petition for review. Accordingly, this issue is forfeited. See Figgins v. Wilcox ,
Reference
- Full Case Name
- Jetaun Helen WHEELER v. STATE of Minnesota
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- 9 cases
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- Published