United States v. Gregory Bethea
Opinion
Defendant-appellant Gregory Bethea pleaded guilty to possessing a counterfeit access device in violation of
I. Background
In 2014, Bethea used fraudulently obtained credit cards to purchase merchandise at retailers in Wisconsin. A grand jury subsequently indicted him for possessing a counterfeit access device in violation of
On December 1, 2017, the district judge conducted a combined guilty plea and sentencing hearing. The judge presided from his Madison, Wisconsin courtroom, while Bethea appeared via videoconference from Milwaukee because of his health issues and limited mobility. 1 After conducting a plea colloquy, the judge accepted Bethea's guilty plea and moved to sentencing. Although the judge acknowledged Bethea's health as a complicating factor in imposing a sentence, he remained bothered that Bethea's illegal conduct allegedly continued well after his health issues supposedly worsened. Ultimately, the judge sentenced Bethea to twenty-one months' imprisonment, which fell at the bottom of the Guidelines range of twenty-one to twenty-seven months. Bethea timely appealed, arguing that the district court was not permitted to accept Bethea's guilty plea via videoconference.
II. Discussion
We review legal questions, such as whether the use of videoconferencing at a sentencing hearing violates the Federal
*866
Rules of Criminal Procedure, de novo.
See
United States v. Thompson
,
Rule 43 of the Federal Rules of Criminal Procedure governs the circumstances under which a criminal defendant must be present in the courtroom. The Rule states that "the defendant must be present at ... the initial appearance, the initial arraignment,
and the plea
." Fed. R. Crim. P. 43(a) (emphasis added). The presence requirement is couched in mandatory language-"the defendant
must
be present."
True, the Rule's presence requirement does contain several exceptions and waiver provisions. See Fed. R. Crim. P. 43(b), (c). These exceptions include, for example, when a proceeding involves the correction or reduction of a sentence, see Fed. R. Crim. P. 43(b)(4), or when the defendant is voluntarily absent during sentencing in a noncapital case after initially attending the trial or plea, see Fed. R. Crim. P. 43(c)(1)(B). But none of these exceptions apply to the situation before us and are generally limited to the sentencing context. 3 Moreover, Rule 43 was amended in 2011 to permit videoconference pleas for misdemeanor offenses. See Fed. R. Crim. P. 43(b)(2) (stating that when the offense "is punishable by fine or by imprisonment for not more than one year, or both, and with the defendant's written consent, the court permits ... plea ... to occur by video teleconferencing or in the defendant's absence"). That the drafters did not include that option in the felony plea situation is telling. 4
No other circuit has addressed whether a defendant can affirmatively consent to a plea by videoconferencing.
5
However,
*867
four circuits have addressed whether a district court can require it. All have held that Rule 43 obligates both the defendant and the judge to be physically present; the outcome is the same whether it is the judge or defendant who appeared via videoconference.
See
United States v. Williams
,
Our decision is supported by the unique benefits of physical presence. As the Sixth Circuit explained, "[b]eing physically present in the same room with another has certain intangible and difficult to articulate effects that are wholly absent when communicating by video conference."
Williams
,
This Court has also recognized the value of the defendant and judge both being physically present. In the context of revocation of supervised release via videoconferencing, we noted that "[t]he judge's absence from the courtroom materially changes the character of the proceeding."
Thompson
,
In so holding, we agree with the Tenth Circuit that a Rule 43(a) violation constitutes
per se
error.
Torres-Palma
,
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The government's reliance on our statement in
United States v. Benabe
, that "[w]e see no reason to expand the limited list of structural rights whose violation constitutes per se error by adding the defendants' Rule 43 right to be present at the inception of trial,"
We are sympathetic to the government's concerns that a defendant on appeal can complain of an accommodation that was for his benefit below. We also agree with various courts that have stated it would be sensible for Rule 43 to allow discretion in instances where a defendant faces significant health problems.
See, e.g.
,
United States v. Brunner
, No. 14-cr-189,
III. Conclusion
For the foregoing reasons, we VACATE the judgment of the district court and REMAND in accordance with this opinion.
Specifically, Bethea requires dialysis for ten hours a day, five days a week; suffers from pulmonary issues; recently had a heart stent implemented; is wheelchair-bound; and suffers from Charcot joint syndrome, which makes him highly susceptible to fractures and dislocations from even minor physical contact.
Earlier cases quote a prior version of the Rule which used the language "shall be present." The Rule was amended in 2002 to read "must be present." That change is immaterial to our analysis.
For instance, a defendant can waive his absence at sentencing, but he must have been initially present either at the plea or the start of trial.
See, e.g.
,
United States v. Benabe
,
Likewise, Federal Rules of Criminal Procedure 5 and 10 were amended in 2002 to permit initial appearances and arraignments to be conducted by videoconference if the defendant consents. Rule 11, however, which governs the taking of guilty pleas, was not amended to permit a defendant to agree to enter a guilty plea by videoconference.
Several district courts have addressed this precise issue and held that a defendant
cannot
consent to video conferencing during a plea, even for medical or financial hardship reasons.
See, e.g.
,
United States v. Brunner
, No. 14-CR-189,
Since we find Bethea's presence at a plea an unwaivable requirement, we need not address the government's contention that Bethea invited the error here or forfeited the claim.
Given that result, we need not address Bethea's claim that the district court erred in addressing Bethea's health issues at the sentencing hearing.
Reference
- Full Case Name
- UNITED STATES of America, Plaintiff-Appellee, v. Gregory BETHEA, Defendant-Appellant.
- Cited By
- 11 cases
- Status
- Published